Resources - RM Regulations
New Rules for E-Discovery » (PDF)
© 2006 ARMA International, www.arma.org.Used with permission.
Ready or not, new electronic discovery rules go into effect December 1. The Supreme Court approved amendments to the U.S. Federal Rules of Civil Procedure (FRCP) regarding e-discovery. Experts say the new rules will affect the way organizations maintain, alter, delete, and archive electronic information.
Basel II » (PDF)
This White Paper examines the impact of Basel II on the records managements and record keeping requirements of financial institutions that conduct business on an international basis. Banks and other financial institutions that conduct business globally will need to be able to demonstrate to banking authorities that they have complied with Basel II or, alternatively, that they are entitled to avail themselves of the new Basel II methodologies. Bank risk management officers will need create and retain records that show that they are managing both credit operations and market risk and have the capital reserves necessary to meet those risks. Banks will have to keep the underlying records for an extended period of time and retain them in both auditable and accessible forms that will allow banking authorities to accurately recreate the bank's risk projections.
Bioterrorism
Act » (PDF)
This White Paper examines the impact of the Bioterrorism Act
on records management in one of the business sectors most
likely to be affected: firms that import food and food products
into the United States and manufacturers that utilize imported
foods. The paper reviews the Bioterrorism Act and outlines
the new records management requirements for compliance under
the Act for these firms. The primary impact on business is
a significant increase in the amount and complexity of record
keeping necessary for compliance with the new requirements.
These changes pose significant challenges to businesses.
FERC - CEII » (PDF)
This White Paper examines the impact of the CEII on records management. In the wake of 9/11, and following a review of procedures, the Federal Energy Regulatory Commission ("FERC") took steps to protect America's critical energy infrastructure information ("CEII") from possible terrorist attack. In February 2003, FERC issued regulations restricting access to CEII and established new procedures for gaining access to CEII. FERC also implemented regulations allowing energy companies to withhold, from public release, information on energy infrastructure installations and projects.
These regulations have important records management implications. Companies need to identify records with CEII implications, remove them from public access, and alert FERC's CEII Coordinator whenever a member of the public makes a request to view these records.
Gramm-Leach-Bliley
Act »
(PDF)
The Gramm-Leach-Bliley Act establishes
rules on the disclosure of personal financial information
by financial institutions. This carries enormous implications
for records management disciplines with respect to protection,
retention and destruction of customer records and files.
HIPAA
Privacy and Access to Information Requirements » (PDF)
This White Paper provides a brief introduction to the Health
Insurance Portability and Accountability Act (HIPAA) and discusses
the requirements of the Department of Health and Human Services'
general administrative requirements rule regarding privacy
and access to information as it pertains to hospitals and
health care providers in the United States.
PIPEDA
Privacy and Access to Information Requirements » (PDF)
This White Paper provides a brief introduction to the Personal
Information Protection and Electronic Documents Act (PIPEDA)
and discusses the privacy and access to information requirements
as it pertains to hospitals and health care providers in Canada.
Records
Management and 21 CFR Part 11 » (PDF)
This White Paper reviews the components of 21 CFR Part 11
and discusses the evolving issues and interpretations specifically
as they relate to the importance of a sound records management
system.
Records
Management and Canadian Corporate Governance and Financial
Disclosure Initiatives: Canada 's Response to the Sarbanes-Oxley
Act » (PDF)
This White Paper provides an overview of recent Canadian corporate
governance and financial reporting initiatives which, some
might argue, are proffered as Canada 's response to the Sarbanes-Oxley
Act . Its primary focus is on those initiatives including
legislation, rules, regulations and guidelines that have specific
relevance to records management.
Records
Management and the Freedom of Information Act and the Privacy
Act » (PDF)
This White Paper provides an overview of both the Freedom
of Information Act and the Privacy Act and discusses
their impact on federal agencies in the area of records management.
These statutes are part of a comprehensive legislative scheme
which has brought the issue of effective records management
to the forefront of government responsibility. As a result
of the enactment of the Freedom of Information Act
and the Privacy Act, federal government agencies
now have no choice but to implement and constantly monitor
an effective records management program.
Sarbanes-Oxley
Act of 2002 » (PDF)
This White Paper reviews the reforms SOX makes to existing
laws and its new compliance requirements as they pertain to
record management. Certain provisions of SOX specifically
address or refer to record keeping requirements; as a result,
the implications of SOX in the area of records management
are expected to be enormous. The post SOX-era is one that
requires greater awareness than ever before of information
and records management issues. This White Paper discusses
how, records management has now expanded from being simply
an important business process into being a critical legal
compliance issue with corporate and personal implications
for executives.
Canada's Response to Sarbanes-Oxley Act » (PDF)
Passage of the Sarbanes-Oxley (SOX) Act in the USA has put pressure on Canadian regulators to examine the adequacy of Canadian corporate governance. This whitepaper provides an overview of recent Canadian corporate governance and financial reporting initiatives which are clearly being proffered as Canada's response to the SOX Act.
SEC
Rules 17a-3 and 17a-4 »
(PDF)
The Securities and Exchange Commission's books
and records rules, Rule 17a-3 and Rule 17a-4, promulgated
under the Securities Exchange Act of 1934, specify minimum
requirements related to the creation and retention of the
records with respect to broker-dealers and their client relationships
and liability issues in this regard. This White Paper goes
on to consider general records management issues as well as
the specific records management implications of the SEC Rules
themselves. This White Paper includes, as an appendix, the
complete text of the SEC Rules.
Records
Management and the TREAD Act » (PDF)
The TREAD Act, and its implementing Final Rule, has major
records management implications for all those involved in
the automotive industry including manufacturers, OEM suppliers,
and replacement parts manufacturers. The Act requires these
groups to collect, organize, retain, and submit knowledge
of fatalities or serious injuries involving their products.
The Act also requires them to submit information on other
safety-related issues such as property damage claims, warranty
claims, communications to customers (such as recall campaigns),
and field notes This White Paper provides an overview of the
TREAD Act and the impact of the regulations on records management
requirements.
USA
Patriot Act » (PDF)
The Patriot Act has very wide-ranging new implications for
many businesses and organizations. Among the less obvious
ones are the significantly enhanced record keeping obligations
imposed on many businesses and organizations conducting operations
in the United States . This White Paper first provides an
overview of the USA PATRIOT Act and briefly summarizes its
impact on corporate and management responsibilities related
to records management.
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