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Retention issues.

Electronic Records Retention: New Strategies for Data Life Cycle Management

David O. Stephens, CRM, CMC, FAI, and Roderick C. Wallace, CRM

Building on their 1995 groundbreaking book on electronic records retention, David Stephens and Roderick Wallace have authored a comprehensive book that defines a practical methodology for applying the principles of records retention to computer-based recordkeeping environments.

The book includes chapters on the business case for electronic records retention; a cost-benefit analysis for retaining versus scheduling and purging electronic records; desktop environments; e-mail retention; web environments; digital preservation/ long-term data retention; legacy data; legislation and court cases; and case studies.

This book also addresses the implications of the international records management standard, ISO 15489-1, which is the first ever global standard on records management; the U.S. Department of Defense standard (DoD 5015.2-STD), which prescribes requirements pertaining to records management software applications; and the U.S. Internal Revenue Services-issued Revenue Procedure 98 25, which imposes certain long-term data retention requirements on corporate taxpayers.

ISBN: 1-931786-08-9 (ARMA) Soft cover, English, 202 pages, 2003 Catalog No. A4716 $51, ARMA member $35

Developing and Operating a Records Retention Program

ARMA International's Standards Records Retention Task Force

Program principles, staff and management structure, and program development strategies are highlighted in this records retention guidebook.

Further attention is given to

* determining records retention periods and obtaining approval lot retention schedules and procedures

* establishing a records retention program in litigation

* determining a record's value and developing appropriate destruction procedures

Eight appendices contain samples of policy statements, inventory forms, retention worksheets, destruction authorization forms, legal requirements index, and manual and automated retention schedule forms. Also includes a glossary and bibliography.

ISBN: 0-933887-18-3 (ARMA) Soft cover, English, 86 pages, 1989 Catalog No. A4520 $31, ARMA member $22

Recordkeeping Requirements

Donald S. Skupsky, J.D., CRM, FAI

Intended for small and medium-sized organizations, Recordkeeping Requirements is presented in non-technical language and provides information needed to determine recordkeeping requirements. The book comes complete with the full text of key statutes, regulations, and summary charts for many other state requirements.

It also discusses

* requirements for general business activities, such as tax, employment, contracts, and litigation

* 400 common business records with a simplified listing and retention period

* computer and microfilm records and how these technologies stand up in court

ISBN: 0-929316-21-5 (Information Requirements Clearinghouse) Soft cover, English, 245 pages, 1994 Catalog No. B4562 $48 ARMA member or non-member

Retention 6.1[TM]

Zasio Enterpries

Users of Retention 6.1[TM] can get right to the point of statutory requirements to retain records. Software tools help the user identify business activities that impact the organization, zero in on the "regulated parties" associated with each business activity, and quickly identify the specific records that must be retained and for how long. The full text of the related citation is provided for a more complete review. A comprehensive database of all federal and state requirements, researched and compiled for this product by certified paralegals on the Zasio staff, is provided. This is a 32-bit Windows application and requires Windows NT or Windows 9x. The software also requires a Structured Query Language (SQL) database, which is included. Price includes an annual fee of $495 for citation database update and software maintenance.

ISBN: None (Zasio Enterprises) CD-ROM, English, 2002 Catalog No. B4212 $2,490 ARMA member or non-member

Retention Manager 3[TM]

Information Requirements Clearinghouse

A full-featured, innovative software and data program, Retention Manager 3[TM] is used to facilitate legal research and development of legally defensible records retention schedules. The data includes more than 9,000 U.S. federal and state records retention laws, fully indexed and searchable, plus more than 400 pre defined record series and more than 125 pre defined records retention categories for common business records. The software implements the "Skupsky Retention Method" for applying legal research to the records retention decisions and managing these decisions over time. Retention decisions can be linked to record series, record titles, and departments and then exported to compatible records and information management software for enterprise-wide implementation. Purchase price includes the first year's subscription service, which provides technical support, quarterly CD updates, and software upgrades.

Requires: PC compatible with Pentium 2 or higher processor (400 MHz or taster), 98/NT/2000/XP workstation and server, 128MB RAM, 200 MB (200-300MB suggested) server disk storage, SGVA (1024 x 768 or better) monitor, 24x CD ROM drive or higher.

Installs: BDE (Borland Database Engine) libraries and Crystal Reports 8.5 libraries on local PC

ISBN: None (information Requirements Clearinghouse) CD ROM, English, 2003 Catalog No. B4220 $6,002 (single user price) ARMA member or non-member

Subsequent annual support is 51,095 and will be invoiced by Information Requirements Clearinghouse.

Records Retention Procedures

Donald S. Skupsky, J.D., CRM, FAI

In today's litigious society, records problems could spell disaster for an organization. The process of determining how long to keep records requires both a methodology and technical records retention information. Useful for basic to advanced users, this book addresses general records retention procedures using the "Skupsky Retention Method."

It will help the reader to

* understand the Skupsky methodology, which is a departure from traditional approaches to records retention, and how to apply it

* recognize the need for complete and accurate legal research and consistent. accurate assignment of retention periods

* determine the legal retention periods' effect on an organization's records

* address general records retention procedures

ISBN: 0-929316-03-7 (Information Requirements Clearinghouse) Soft cover, English, 178 pages, 1995 Catalog No. B4563 $45 ARMA member or non-member

FILELAW[R] (National)

TAB Canada

FILELAW[R] National Edition is a CD-ROM containing all the Canadian statutory and regulatory provisions affecting the retention or limitation of particular records--both at the federal level and for all provinces. This reference tool helps the user establish an appropriate retention schedule and reduce costly storage space. The state-of-the-art searching capabilities allow searches by jurisdiction, topic or industry, type of record, code number of record, keywords or phrases, name or citation of the statute or regulation, or any combination of the above. Regular updates load quickly into a computer system, eliminating filing time and chance of misfiling. An annual subscription includes quarterly updates on CD-ROM and a quarterly newsletter with research tips and comments on recent developments in the law and practice of records retention. FILELAW is Folio[R] driven and requires a PC with 486 processor; CD-ROM drive (quad speed recommended); 8 MB RAM; 33 MHz minimum (66 MHz recommended); and Microsoft Windows[R].

ISBN: None (Carswell Thomson Professional Publishing) CD-ROM, English 2000 Catalog No. B4691 $2.073 ARMA member or non-member

Subsequent annual updates are approximately $1,386 and will be shipped and invoiced by Carswell.

FILELAW[R] (Regional)

TAB Canada

Regional editions of FILELAW[R] are available for Ontario, Quebec, British Columbia, Alberta. Manitoba, Saskatchewan, and the Atlantic Canadian provinces. Each regional edition offers on one CD-ROM the relevant statutory and regulatory provisions of that province or provinces and the federal government.

ISBN: None (Carswell Thomson Professional Publishing) CD-ROM, English, 2000 Catalog No. B4692 (Please specify region) $1,210 ARMA member or non-member

Subsequent annual updates are approximately $866 and will be shipped and invoiced by Carswell.

Records Retention: Statutes and Regulations

TAB Canada

Create your own records retention schedule and confirm accuracy with the checklist provided. Records Retention: Statutes and Regulations provides a unique database of Canadian records retention requirements and direction on classification of records for storage included in federal and provincial statutes and regulations. It contains full citations, including amendments and verbatim text from relevant legislation, and delivers tried-and-true searching techniques to assist the records manager in uncovering relevant retention requirements. Also included are an introduction, searching techniques, records retention schedule development and maintenance, and a sample records retention schedule. Base work includes binder, federal jurisdiction, and any updates issued within three months of purchase; thereafter, annual supplements are shipped and invoiced separately by Carswell.

ISBN: 0-459-57388-8 (Carswell Thomson Professional Publishing) Binder, English, 1999 Catalog No. B4694 $107 ARMA member or non-member

Records Retention: Statutes and Regulations for the province of Ontario contains contents checklists, record indexes, statute indexes, and core modules.

Catalog No. B4695 589 ARMA member or non-member

Records Retention: Law and Practice

Ronald F. Anson-Cartwriqht, C.A., C.B.V.; Robert Hollingshead, CA.; and Timothy Kennish, LL.B.

Legal and accounting professionals in Canadian businesses will find Records Retention: Law and Practice to be a comprehensive guide. This book provides a complete reference to the principles and practices of records retention, as well as the legal obligations of Canadian businesses to retain documents and files. It deals with a wide range of issues related to retention, accessibility, value, and permissible destruction of business and professional records under federal and provincial statutes. Highlights include records retention and filing issues under Canadian tax laws; access to records under federal and provincial legislation; employment and other major workplace records; specialized information for specific organizations such as law and accounting firms; security and confidentiality of professional and business records; and records retention issues related to insolvencies. Base work includes a binder and any updates issued within three months of purchase; thereafter, annual supplements are shipped and invoiced separately by Carswell.

ISBN: 0-88820-332-2 (Carswell Thomson Professional Publishing) Binder, English, 1999 Catalog No. B4693 $144 ARMA member or non-member

Financial Institutions Record Retention Manual, 4th Ed. Nan Heldenbrand Morrissette

Published for financial managers and institutions, this manual is based on information gathered from 10 federal and 42 state agencies--including the FDIC, OCC, OTS, NCUA, SEC, and EEOC.

Key features include

* an overview of issues in determining retention periods, such as litigation concerns, the discovery doctrine, and the impact of various media on retention periods

* a new five-part "how to" guide that details how to set up a comprehensive record management program

* recommended retention periods for more than 3,400 records in 19 record categories

* a diskette containing all 3,400 records and their retention periods formatted in a Microsoft Excel[TM] spreadsheet, which can be used as a starting point for creating your own records retention schedule

ISBN: None (Financial Managers Society) Soft cover, English, 130 pages, 2002 Catalog No. B4394 $155 ARMA member or non member

Law, Records and Information Management: The Court Cases

Donald S. Skupsky, J.D., CRM, FAI; and John C. Montana, J.D.

Although most people think of statutes and regulations as the mainstay of records management law, case law is an important complement to them. Case law differs in two important ways from statutory law. Courts examine real-life situations and apply legal doctrines to them; therefore, cases provide insight on likely real-world outcomes. Unlike statutes and regulations, case law rarely becomes outdated or obsolete. Instead, later cases build on the holdings of earlier cases, solidifying or expanding the original doctrine.

Even though the law does not mandate a records management program in most industries, the courts expect organizations of all types--whether private business, nonprofit, or government--to have a system in place to identify and retrieve records during discovery in lawsuits.

Law, Records and Information Management examines leading decisions from state and federal courts and provides

* practical, procedural recommendations for developing and implementing a records management system

* selected text from more than 175 leading court cases

* detailed legal analysis of the important cases, indexes, tables, and cross references to help the reader find relevant information

ISBN: 0-0929316-32-0 (Information Requirements Clearinghouse) Hard cover, English, 700 pages, 1994 Catalog No. B4364 $85 ARMA member or non-member

Legal Requirements for Business Records: The Electronic Edition

Donald S. Skupsky, J.D., CRM, FAI, editor

As a replacement to the previous loose-leaf service, this electronic edition gives rapid access to more than 10,000 U.S. federal and state laws using Folio Views[TM]. Find relevant information by using indexes or by searching either the full text of the laws for relevant words and phrases or information fields, such as jurisdiction, citation, agency, industries, subjects, and headers.

Legal Requirements for Business Records contains federal statutes, regulations, revenue rulings, and procedures for all industries; state statutes and regulations for general business requirements; state government agency requirements for recordkeeping and records technology; court cases providing state and federal court rulings on recordkeeping practices; international recordkeeping requirements from more than 45 countries, including Canada, England, France, and Spain; and reference material covering issues, such as records retention, legal requirements for information technology systems, and legal responsibility for records. Compatible with Windows 3.1, 95, 98, and NT.

ISBN: 0-929316-15-0 (Information Requirements Clearinghouse) CD-ROM (includes one annual update), 1999 Catalog No. B4670 $1,500 (single user) ARMA member or non-member Subsequent annual subscription is $495

ARMA members receive a 10% discount (which is reflected in the member price) when they purchase Commonwealth videos through ARMA. Videos are also available for rental or preview by contacting Commonwealth Films directly at www.commonwealthfilms.com or by phone at 617.262.5634. Use of Commonwealth Films is subject to certain terms and conditions. For details, contact Commonwealth.
COPYRIGHT 2004 Association of Records Managers & Administrators (ARMA)
No portion of this article can be reproduced without the express written permission from the copyright holder.
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Publication:Information Management Journal
Date:Jan 1, 2004
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