Managing electronic records

Saffady provides start-to-finish guidance for initiating effective programs for storing, retrieving, and controlling electronic records, with coverage of vital components, including concepts and issues, storage media, file formats, inventorying, retention schedules, managing vital electronic records, and managing electronic files and media. Valuable appendices provide suggestions for further study and research, and a comprehensive glossary defines important terms as they relate specifically to the records management arena.

• Introduction p. vii
• Chapter 1 Concepts and Issues p. 1
• Growth of Electronic Records p. 3
• Importance of Electronic Records p. 7
• Issues and Concerns p. 9
• Inadequate Controls p. 9
• Information Redundancy p. 10
• Unstructured Electronic Records p. 11
• System Dependence p. 13
• Media Stability p. 14
• Transparent Arrangement p. 14
• Remote Access p. 15
• General Concerns p. 15
• Program Components p. 17
• Summary p. 19
• Chapter 2 Storage Media for Electronic Recordkeeping p. 23
• Magnetic Media p. 25
• Hard Disks p. 25
• Removable Hard Disks p. 28
• Floppy Disks p. 30
• Nine-Track Computer Tapes p. 33
• Half-Inch Data Cartridges p. 34
• Digital Linear Tape p. 36
• ITO Ultrium p. 36
• Quarter-Inch Cartridges p. 37
• Eight-Millimeter Data Cartridges p. 38
• Digital Audio Tape p. 40
• Audio Tapes p. 41
• Video Tapes p. 43
• Obsolete Magnetic Media p. 45
• Optical Disks p. 47
• Compact Discs p. 48
• DVD Formats p. 49
• MO and UDO Disks p. 51
• Obsolete Optical Disk Formats p. 52
• Other Optical Media p. 53
• Solid State Storage p. 54
• Paper-Based Electronic Media p. 55
• Summary p. 56
• Chapter 3 File Formats for Electronic Records p. 59
• Text Files p. 60
• Coding Schemes p. 61
• Word Processing Files p. 62
• Formats for Compound Documents p. 65
• ASCII Text Files p. 66
• E-mail Messages p. 67
• Spreadsheet Files p. 68
• Databases p. 69
• Image Files p. 70
• File Compression p. 74
• Video Recording Standards p. 77
• Audio File Formats p. 78
• Summary p. 80
• Chapter 4 Inventorying Electronic Records p. 83
• The Inventory Plan p. 85
• Mapping the IT Infrastructure p. 85
• Defining the Inventory Scope p. 87
• Management Support p. 89
• Inventory Method p. 90
• The Survey Instrument p. 96
• Series Title p. 97
• Summary Description p. 98
• Copies / Backup Practices p. 98
• File Type p. 99
• Dates Covered p. 99
• Arrangement p. 100
• Quantity p. 100
• Estimated Growth p. 101
• Physical Storage Requirements p. 102
• Storage Location(s) p. 103
• Media Characteristics p. 103
• Media Manufacturing Date p. 103
• Hardware Environment p. 104
• Software Environment p. 104
• Reference Activity p. 105
• Sensitivity p. 106
• Retention Requirements p. 106
• Relationship to Nonelectronic Records p. 107
• Supporting Files p. 107
• Vital Record Status p. 107
• Inventory Followup p. 107
• Summary p. 108
• Chapter 5 Retention Schedules for Electronic Records p. 111
• Retention Concepts p. 114
• Benefits of Retention Schedules p. 114
• Criteria for Retention Decisions p. 116
• Electronic Records as Official Copies p. 118
• Legally-Mandated Retention Periods p. 119
• Legal Status of Digital Document Images p. 125
• Admissibility of Electronic Records p. 128
• Electronic Records Authentication p. 129
• E-Discovery and the Amended Federal Rules p. 136
• Rule 34(a) p. 137
• Rule 34(b) p. 138
• Rule 16(b) and Rule 26(f) p. 138
• Rule 26(a)(1) p. 140
• Rule 26(b)(2) p. 141
• Other Amended Rules p. 141
• Legal Status of Electronic Signatures p. 142
• Operational Retention Requirements p. 144
• Retention Principles p. 144
• Retention of E-mail p. 147
• Media Stability and System Dependence p. 153
• Data Migration p. 156
• Data Migration Plan p. 157
• Alternatives to Data Migration p. 158
• Summary p. 159
• Chapter 6 Managing Vital Electronic Records p. 161
• Establishing the Vital Records Protection Program p. 163
• Identifying Vital Records p. 168
• Risk Analysis p. 171
• Threats and Vulnerabilities p. 172
• Qualitative Risk Assessment p. 174
• Quantitative Risk Assessment p. 176
• Risk Control p. 178
• Preventive Measures p. 179
• Protective Measures p. 182
• Real-Time Backup p. 185
• Backup Computing Arrangements p. 185
• Auditing for Compliance p. 188
• Summary p. 188
• Chapter 7 Managing Electronic Files and Media p. 191
• Labels and Names p. 192
• Document Management and ECM p. 197
• Records Management Application Software p. 201
• Media Filing Equipment p. 204
• Autochangers and Hierarchical Storage Management p. 207
• Media Management p. 209
• Selecting Blank Media p. 210
• Storage Copies p. 213
• Media Handling p. 218
• Summary p. 222
• Appendix A Suggestions for Further Study and Research p. 225
• Appendix B Glossary p. 227
• Index p. 239
• About the Author p. 245
• About the Association p. 246