Understanding Data and Information Systems for Recordkeeping

1.  The Impact of Change on the Management of
Electronic Records                                    1
Changes in Technology                                 1
Changes in Organizational Structure and Workflow      6
The Effect of Change on Records Management           10
Models for Managing Electronic Records               18
References                                           22
2.   Recordkeeping Systems                               27
What Are Records?                                    27
What Is Records Management?                          29
Primary Functional Requirements for
Recordkeeping Systems                             31
Specific Requiremeints for Recordkeeping Systems     34
Fhe Importance of Metadata                          45
Key Recordkeeping Metadata                           47
OAIS Model                                           55
Other Points of Agreement about Recordkeeping
Metadata                                          59
Ref'rences                                           61
3.   Transaction Processing Systems Constructed
on the Relational Database Model                     65
Technology and Information                           66
Data and Information                                 67
Information Management Systems                       68
Transaction Processing Systems                       72
Database Structures                                  81
Transaction Processing Systems as
Recordkeeping Systems                           103
Making Transaction Processing Systems
Better Recordkeeping Systems                    112
References                                         126
4.  Enterprise Document Management and Content
Management Systems                                 129
Document Management Systems in the Earls to
Mid 1990s                                       130
Early to Mid 1990s Document Management Systems as
Recordkeeping Systems                           133
Changes in Enterprise Document Management
Systems in the Last Decade                      136
Modern Document Management/Records Management
Applications as Recordkeeping Systems            142
References                                         148
5.  Decision Support Systems and Data Warehouses       149
Decision Support Systems                           149
Executive Information Systems (EIS)               152
Artificial Intelligence: Expert Systems            154
Artificial Intelligence: Data-Mining               155
On-Line Analytical Processing (OLAP) Systems       156
Business Intelligence (B1)                        157
Operational Data                                   158
Operational Data Store                             159
Data Marts                                         161
Data Warehouses                                    163
Decision Support Systems Based on the Data Warehouse
as Recordkeeping Systems                        187
Making Data Warehouses Better Recordkeeping Systems  193
References                                         196
6.  E-mail Management                                  199
Legal Cases Involving E-mail                       200
Court Cases Involving Discovery and PreserNation
of E-mail                                       204
Lessons Learned from the Legal Cases              211
Surveys on E-mail Management                      215
Strategies for Mlaking Retention Decisions        218
S tratgies for E-mail Management                  221
Ret firen es                                      227
7.  Laws, Regulations, and Best Practices Relating
to Electronic Records Management                  231
l.at"s and Acts                                   233
Impact of SOX                                     248
Rules and Regulations                             256
Guidelines and Best Practices                     266
lessos Ule I ned fromn the Laws, Regulations, and
Best Practices                                  283
References                                        289
8.  Conclusion                                        295
Progress                                          295
( hallenges                                       297
Refrenc (es                                       301