Basel II » (PDF File)
This White Paper examines the impact of Basel II on the document managements and recordkeeping 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 File)
This White Paper examines the impact of the Bioterrorism Act on document 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 document 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 File)
This White Paper examines the impact of the CEII on document 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 document 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 File)
The Gramm-Leach-Bliley Act establishes rules on the disclosure of personal financial information by financial institutions. This carries enormous implications for document management disciplines with respect to protection, retention and destruction of customer records and files.

HIPAA Privacy and Access to Information Requirements » (PDF File)
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 File)
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.

Document Management and 21 CFR Part 11 » (PDF File)
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 document management system.

Response to the Sarbanes-Oxley Act » (PDF File)
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 document management.

Document Management and the Freedom of Information Act and the Privacy Act » (PDF File)
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 document management. These statutes are part of a comprehensive legislative scheme which has brought the issue of effective document 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 document management program.

Sarbanes-Oxley Act of 2002 » (PDF File)
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 recordkeeping requirements; as a result, the implications of SOX in the area of document management are expected to be enormous. The post SOX-era is one that requires greater awareness than ever before of information and document management issues. This White Paper discusses how, document 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.

SEC Rules 17a-3 and 17a-4 » (PDF File)
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 document management issues as well as the specific document management implications of the SEC Rules themselves. This White Paper includes, as an appendix, the complete text of the SEC Rules.

Document Management and the TREAD Act » (PDF File)
The TREAD Act, and its implementing Final Rule, has major document 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 document management requirements.

USA Patriot Act » (PDF File)
The Patriot Act has very wide-ranging new implications for many businesses and organizations. Among the less obvious ones are the significantly enhanced recordkeeping 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 document management.