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Additional ERM Resources
Additional Resources
The following sections are included on this page. If you would like to submit additional resources, please contact the Higher Education Information Security Council.
Definitions
Unless otherwise noted*, all definitions are from the Glossary of Records and Information Management Terms, 3rd ed., ARMA International (2007).
- Archives — 1) The documents created or received and accumulated by a person or organization in the course of the conduct of affairs and preserved because of their continuing value; 2) The building or part of a building in which archives are preserved and made available for consultation; or 3) The agency or program responsible for selecting, acquiring, preserving, and making available archives
- Data — Symbols or characters that represent raw facts or figures and form the basis of information
- Discovery — Required disclosure of relevant items in the possession of one party to the opposing party during the course of legal action
- Disposition — A final administrative action taken with regard to records, including destruction, transfer to another entity, or permanent preservation
- Electronic Records Management — 1) The application of records management principles to electronic records; or 2) The management of records using electronic systems to apply records management principles
- Information — Data that has been given value through analysis, interpretation, or compilation in a meaningful form
- Lifecycle (of a record) — Distinct phases of a record's existence, from creation to final disposition
- Record — Recorded information, regardless of medium or characteristics, made or received by an organization in the pursuance of legal obligations or in the transaction of business.
- Records and Information Management — Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records
- Records Manager* — The person responsible for the oversight and administration of the records management program in an organization. Records Managers are found in all types of organizations, including business, government, and non-profit sectors. This role has evolved over time in response to the ever-increasing need for and importance of records management. On the whole, the role can take many forms with a variety of titles and can have various reporting structures. The role might be held by an attorney or legal counsel member, a senior administrative associate, a manager in the IT department, the Compliance Officer or Auditor, or even the Chief Information Officer of an organization. Records Managers may focus on operational responsibilities, design strategies and policies for maintaining and utilizing information, or combine elements of those jobs. What is most important is that the Records Manager’s position be established and given appropriate authority by organizational policy, be supported by upper management, and be placed high in the organizational structure. In addition to the more traditional expertise of records appraisal, retention, disposition, and the like, today’s Records Manager also commonly has subject matter expertise in law (as it affects records management), privacy and data protection, and electronic storage systems. Records Managers may have degrees in a wide variety of subjects in all disciplines and may have professional certifications awarded by organizations such as the Institute of Certified Records Managers, AIIM, the Society of American Archivists (SAA) and others.
- Retention Period — Length of time a record must be kept to meet administrative, fiscal, legal, or historical requirements
- Retention Program — A system established and maintained to define retention periods for records in an organization
- Retention Schedule — A comprehensive list of records series, indicating for each the length of time it is to be maintained and its disposition
List of Records Management Laws for State Agencies
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
- Statutes and Administrative Code Rules Relating to Archives and Records Management
- Chapter 119, 2008 Florida Statutes--Public Records Law
- Chapter 257, 2008 Florida Statutes--Public Libraries and State Archives
- Chapter 1B-11, Florida Administrative Code--Use of Archives and Archives Facilities
- Chapter 1B-24, Florida Administrative Code--Public Records Scheduling and Dispositioning
- Chapter 1B-26.003, Florida Administrative Code--Electronic Recordkeeping
- Chapter 1B-26.0021, Florida Administrative Code--Microfilm Standards
- Chapter 1B-31, Florida Administrative Code--Real Property Electronic Recording
- Chapter 2.430-2.440 and Retention Schedule, Florida Rules of Judicial Administration -- Judicial Branch/Court records retention (PDF)
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Texas
Tennessee
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
List of Records Management Standards (in progress)
Non-Comprehensive List of Statutory Regulations & Requirements (in progress)
- Sarbanes-Oxley Act (2002) — This legislation pushes accountability for proper records management to the executive level. The law requires:
- CEOs & CFOs to certify personally financial records & reports periodically,
- Guidelines for audit committees to be established,
- All documents relevant to possible government investigation be retained appropriately, and
- Audit work papers to be retained for seven years.
- Similar laws in other countries:
- Bill 198 — Ontario, Canada, equivalent of Sarbanes-Oxley Act
- J-SOX — Japanese equivalent of Sarbanes-Oxley Act
- German Corporate Governance Code (at the German Wikipedia)
- CLERP9— Australian corporate reporting and disclosure law
- Financial Security Law of France ("Loi sur la Sécurité Financière") — French equivalent of Sarbanes-Oxley Act
- L262/2005("Disposizioni per la tutela del risparmio e la disciplina dei mercati finanziari") — Italian equivalent of Sarbanes-Oxley Act for financial services institutions
- King Report — South African corporate governance code
Other Relevant Agencies
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