E-Records Institute

At IMERGE Consulting, Inc.

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Electronic Records Management

Electronic Records Management Principles, Best

Practices, Standards & Implementation Issues


SharePoint 2010 Records Management

Taxonomies & Folksonomies

Moving to ’Green’ Records Management

Document Management

E-Discovery Readiness

A Management Guide


Charmaine Brooks, CRM

Robert F. Smallwood, MBA

IMERGE Consulting

Who we are

E-Records Institute™ is a specialized consulting practice at IMERGE Consulting, which is North America's largest and most experienced team of experts in the fields of enterprise content management (ECM), e-records, and business process optimization. IMERGE is also a leading provider of research and education courses in records management, electronic document capture and e-discovery. IMERGE has offices in major cities including Boston, San Francisco, Toronto, Chicago, Houston, Los Angeles, Minneapolis, Seattle, New Orleans and Washington, DC.  Our track record speaks for itself: We have completed more successful projects, published more articles and given more expert presentations than any other enterprise content management consulting firm in the world. Learn more about us at imergeconsult.com or contact an IMERGE professional today to discuss putting our expertise to work for you.

About the Authors

Charmaine Brooks, CRM, ERMp, ERMs, ERMm focuses on records management consulting, with a specialty in electronic records. She has an extensive background in records management and administration. She gained a broad base of knowledge in digital content management integrated records management software solutions as the Manager of Administrative Services for Stellent, Inc., a major content management systems provider.

Robert Smallwood, MBA, Master of Information Technology, Laureate of Information Technology is a founding Partner of IMERGE Consulting and has been recognized as one of the industry’s “25 Most Influential People” and “Top 3 Independent Consultants” by KM World magazine. Some of his past organizations include Bank of America, AT&T, Xerox and IBM. He has published more than 100 articles and given more than 50 conference presentations on document, records and content management. He is the author of the book, Taming the Email Tiger, the upcoming books Safeguard Critical E-Documents, and Managing Electronic Records, and several others.


The references provided in this book should not be considered as legal advice, and is only provided as a resource and starting reference point for further foundation to your own research. All cited references should be verified and updated with your own organization’s legal counsel and findings as applicable.


Table of Contents

Executive Summary
Electronic Records Management Detailed Definition & ECM Role
Fundamental Records Management Principles
Electronic Records Management Business Drivers
ERM Vision and Strategic Case
Strategic Drivers for Change
Benefits of Electronic Records Management
U.S. and International Records Management Standards
Introduction to ISO 15489
MoReq2010: The New European E-Records Standard
Managing Canadian Electronic Records: Standards, Regulations
Security and Access Control
Audit Trails
Risk of Non-Compliance
Information Governance Framework
Automating the Process
Records Survey/Inventory
5 Key Considerations for Managing Social Media Records
Are Federal Records Created in Social Media?
How Are Federal Records Defined?
9 Records Management Challenges in Social Media
8 RM Best Practices for Social Media
The Surging Cloud
Defining Cloud Computing
What Cloud Computing Really Means
4 Key RM Implications of Using the Cloud
Records Management Challenges in Cloud Computing
Taxonomy and Business Classification Scheme
Tagging vs. Taxonomy?
Eight Steps to Successful Taxonomy Design
Real-world taxonomy development
Best Practices in Implementing Taxonomy for Enterprise Information Management
Tools for Managing Taxonomies
SharePoint Governance: First Steps
SharePoint 2010 Metadata and Taxonomy Management
SharePoint 2010 Records Management Capabilities & Changes
How SharePoint 2010 Improves on ERM
New RM Capabilities in SharePoint 2010
Improved RM in SharePoint 2010
Is SP2010 5015.2 Certified?
The Helpful Compliance Details Dialog
SharePoint 2010 Records Management Review
New RM Capabilities in SharePoint 2010
Improved RM in SharePoint 2010
ERM Using SharePoint 2010 Records Center
Document Management
Introducing Document Management in SharePoint 2010
How Document Management Has Evolved in SharePoint 2010
More on DM in SharePoint 2010
Is SharePoint 2010 the Answer for Document Management?
E-discovery Overview
Legal Requests Often Begin with Email
E-Record Retention: Fundamentally a Legal Issue
Best Practices: 5 Compliance Tips for Effective Electronic Records Management
E-Discovery Project Planning
1. Why E-Discovery Readiness is Important
2. Your Organization Needs To Comply with the FRCP
3. Electronically Stored Information
4. E-Discovery Techniques
5. E-Discovery Rules
6. Issues with New E-Discovery Rules
7. Meet and Confer
8. Not Reasonably Accessible - Undue Burden or Cost
9. E-Discovery: Undue Burden or Cost/Good Cause
10. Good Faith: E-Discovery Safe Harbor
11. Legal Holds
12. E-Discovery Readiness
12.1 Approach to Building Readiness
12.2. Status and Possibilities
12.3. Identify Federal Litigation Risks
12.4 Knowing and Managing ESI
12.5 Technology
12.6. Identify Gaps
12.7. Assess Costs
12.8. Know Organization’s ESI
12.9 ESI Retention
12.10. ESI Management Plan
12.11 Email & Instant Messaging
12.12 Internet/Intranet Sites
13. E-Discovery Readiness: Ongoing Actions For Organizations
14. E-Discovery Readiness: Ongoing Actions for Lawyers
E-discovery Conclusions
Ten Key Functional Requirements for E-Discovery Software
Ten Legal, Regulatory, and Business Reasons to Archive Email
Don’t Confuse Archiving with Backup
Prohibit Personal Archiving
3 Best Practices for Email Record Management
Five Characteristics of Reliable Email Evidence
Glossary of Terms.


Executive Summary

Electronic records management (ERM) is the management of electronic records AND the electronic management of non-electronic records.  ERM improves search capabilities and speeds retrieval of e-records.

ERM business drivers include compliance, information governance, litigation readiness, business continuity, employee efficiency and effectiveness. 

Electronic records management is a component of enterprise content management (ECM).  ECM controls the management of unstructured content. ERM is used to complete the lifecycle management of information, documents, and records.

Gathering information about an organization’s records through a records survey is the first step to classifying and updating the Records Retention Schedule.

Social media and cloud computing use have skyrocketed over the past few years. This publication lays out current Best Practices for managing social media business records. NARA has made certain public sector recommendations cited herein.

The cloud computing market will be worth $55 billion-$148 billion by 2014, according to estimates. This publication covers and overview of Best Practices for managing records created by cloud computing.

taxonomy is the standard vocabulary (using common terms to file items) an enterprise uses to describe its business information.
Taxonomies should make information easier to find by standardizing search terms.

Document management
controls the life cycle of documents in organizations how they are created, reviewed, published, and consumed, and how they are ultimately disposed of.

SharePoint 2010 has greatly improved e-records, metadata management, taxonomy development and document management features over SharePoint 2007

E-discovery, (or electronic data discovery, EDD) flew to the forefront of business
and law with the 2006 amendments to the U.S. Federal Rules of Civil Procedure (FRCP).  The revised FRCP cover the discovery procedures during civil litigation and records managers must take specific steps to ensure compliance and readiness.  Business records must be defined and kept according to written records management policies and a retention schedule for varying types of records.

This Management Guide will assist senior managers, records managers, IT managers,
compliance managers and others involved in electronic records and e-discovery implementations to make intelligent, informed decisions.

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