records and information management for dummies

8/11/2019 Records and Information Management for Dummies

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Blake Richardson, CRM

Do an effective appraisal of

your organizations recordsand information

Implement a retention schedule

Get key supporters on board

and keep them

Explain the ongoing need to

manage information

Learn to:

Records&Information

Management2.0

Complimentsof


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Iron Mountain

Iron Mountain Incorporated (NYSE: IRM) provides information

management services that help organizations lower the costs,

risks, and inefficiencies of managing their physical and digital

data. The companys solutions enable customers to protect and

better use their information regardless of its format, location,

or lifecycle stage so they can optimize their business and ensure

proper recovery, compliance, and discovery. Founded in 1951,

Iron Mountain manages billions of information assets, including

business records, electronic files, medical data, emails, and more

for organizations around the world. Visit www.ironmountain.com

for more information.

These materials are the copyright of Wiley Publishing, Inc. and anydissemination, distribution, or unauthorized use is strictly prohibited.
http://www.ironmountain.com/http://www.ironmountain.com/


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Records &InformationManagement 2.0

FOR

DUMmIES

by Blake Richardson, CRM

These materials are the copyright of Wiley Publishing, Inc. and anydissemination, distribution, or unauthorized use is strictl rohibited.


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Records & Information Management 2.0 For Dummies

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Copyright 2011 by Wiley Publishing, Inc., Indianapolis, Indiana

Published by Wiley Publishing, Inc., Indianapolis, Indiana

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Introduction

Every business, regardless of legal status, annual revenue,or number of employees, creates and receives informa-tion, some of which makes up part of the official records ofthe organization. Records need to be retained in accordance

with governmental requirements and operational need,whether you work at the local bagel vendor or a Fortune 500company.

Just as businesses track and manage equipment, cash, andreal estate, companies should take the same approach to theirinformation. Managed properly, records and information pro-vide organizations many benefits, such as the ability to maketimely and informed decisions, reduced storage costs, and

compliance with laws and regulations.

Not understanding what information a company possesses,where it resides, and how to properly manage it can placean organization at risk. Risks can consist of fines, penalties,public relations nightmares, work stoppages as well as apossible stint in the local federal penitentiary.

Dont despair! As dire as it may sound, there are approaches

and proven best practices that any organization can put intoplace to mitigate these risks. Understanding the fundamentalsof how to properly manage your records and information willassist you in developing and implementing an effective andcompliant program.

About This BookIf developing and implementing a records and informationmanagement program seems like a daunting task, youre cor-rect. However, with the right guidance and resources, it canbe very manageable. This book has been written to help youunderstand the fundamental elements and practical stepsneeded to start and sustain an effective records and informa-tion management program.



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Records & Information Management 2.0 For Dummies2

This book will assist you in analyzing the current state ofrecords and information management within your organiza-

tion and provide insight into possible exposures and risksthat can impact the company. In addition, this book exploresother related topics that will allow you to assess the feasibil-ity of outsourcing certain functions and how to stay abreast ofrecords and information management challenges and trends.

I made some assumptions about what you know:

You understand that most records and information

reside in either paper or electronic format.

You know you have to retain some information.

Your organization probably stores records and informa-tion in multiple repositories.

Not managing your records and information is bad.

Icons Used in This BookThroughout the margins of this book, youll find several help-ful little icons that point out particular types of information.

Write this information down on a piece of paper and put itup on your fridge. This is important info that you shouldremember.

This icon marks information that could contain pitfalls foryour records and information program. Take heed!

Here are some time-saving tips or tricks.



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Chapter 1

The ABCs of Records andInformation Management

In This Chapter Defining the terms

Looking at the fundamental elements of a records and informationmanagement program

These days almost every organization needs to implementa records and information program. Putting a program in

place helps to make sure you manage your records and infor-mation to meet your business needs and comply with lawsand regulations.

A records and information management program has manycomponents. The first step in developing and implementingyour program is to understand the jargon. This chapter goesover some common terms and also discusses some of themost important program elements.

The Inside Scoop Termsand Terminology

Understanding the meaning of records and information maysound elementary; however, knowing how the terms are usedis important. There are differences and similarities. For exam-ple, all records constitute information, but not all informationis a record.



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Over the years, several terms have been used to identify infor-mation: knowledge, intelligence, and content to name a few.

But the definition of records hasnt changed. Understandingeach term is an important first step in creating your recordsand information management program.

This section discusses key terms and gives you an under-standing of how to identify and classify each type of item.

Explaining what information isFor a moment, picture your business as a finely crafted auto-mobile. It has been manufactured and designed to be efficient,agile, and appointed with all the amenities.

Now imagine you cant drive it because you dont have theproper fuel. Information is the fuel that keeps your companyoperating. The ability to access the proper information at theright time to make the best decisions possible is vital to your

companys competitiveness, profitability, and existence.

In laymans terms, business informationis the total volumeof, but not limited to, all paper and electronic documents,spreadsheets, recorded telephone conversations, databases,and tacit orgrey matterknowledge. Note that information is anall-encompassing term and all other terms discussed in thischapter are subsets.

For the recordSo where do records fit into the equation? Records can beconsidered the memory of the organization. Records com-prise a small percentage of the information population of acompany; however, theyre extremely important to the con-tinuing operation of a business.

Some records have operational value,such as accounts receiv-able; you want to know how much youre owed. Employeefiles represent a comprehensive view of employment thatcan be used to determine past performance and promotioneligibility. Some records have organizational value,such asthe companys history, Articles of Incorporation, and Board ofDirector meeting minutes.



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Chapter 1: The ABCs of Records and Information Management 5

ARMA International (a non-profit professional association forrecords and information folks) defines a record as:

Recorded information, regardless of medium orcharacteristics, made or received by an organization inpursuance of legal obligations or in the transaction ofbusiness.

In all likelihood, any information that you have that serves asevidence of your companys transactions and legal respon-sibilities is a record. This includes information such as con-

tracts, employee files, invoices, and tax returns. All recordsmust be assigned a specific retention period (see Chapter 4for more on this topic) based on laws and regulations. Foroperational purposes, a company may decide to retain somerecords longer than required by law.

As important as all records are to your organization, vitalrecordsare the most important. Dont worry, no wordy defini-tions. Vital records would be needed to resume your com-

panys operations in the event of a disaster. Vital records arecategorized as either organizational or operational.

Organizationally vital recordsare items such as Articlesof Incorporation, Board of Directors minutes, and by-laws. Vital records of this nature help an organization re-establish its legal existence.

Operationally vital recordsare needed to resume criticalbusiness functions and ensure that your revenue streamstays intact. In most cases, you cant resume operations ifyoure unable to pay your employees, provide your prod-ucts or services, or collect on accounts receivable.

Vital records should be identified and protected in a mannerthat allows them to be secured, protected, and readily available.

Value addedInformation of business valueis important to a company, butdoesnt meet the criteria of a record. Think of business valueinformation as referential material such as spreadsheets,reports, and presentations. It assists in decision-making,but has a finite purpose and life (such as a spreadsheet thatyou create to show the boss how youve analyzed a certain



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matter). It has business value, but isnt evidence of your orga-nizations business or legal transactions. And it may not be

useful in a week, a month, or a year.

Value added information comprises the largest volume ofinformation retained. Its retention is based on how long itserves its intended need. In the normal course of business, nolaws or regulation govern how long this information needs tobe retained.

Non-value informationNot a record, no business value what is it then? Some callit non-value information, whichis simply information that hasno value to a company. Examples of non-value informationinclude lets-go-to-lunch e-mails, pictures of your luau party,expired records.

Even though some records and items of business value

become non-value information, remember that they still maycontaininformation of a confidential, personal, or competitivenature, and should be disposed of properly through meanssuch as shredding. (See Chapter 6 for more about securedocument shredding.)

Even items originally designated as having business valuecan morph into non-value information. Records eligible fordestruction or deletion and business value information that

has outlived its intended purpose are prime examples. Thevolume of non-value information residing in storage boxes,filing cabinets, and on hard drives and network drives rivalsmost companys useful information.

Grooving to the recordretention scheduleA retention scheduleis a document that provides direction onhow long to keep your records and information.

Arguably, the retention schedule is the most referenced docu-ment in your programs arsenal. The purpose of the retentionschedule is to provide employees with direction on how long



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Chapter 1: The ABCs of Records and Information Management 7

their records must be retained in accordance with laws, regu-lations, and business need. For more information on how to

develop a record retention schedule, please see Chapter 4.

Usually, the results of an appraisal (see Chapter 4) are thefoundation for establishing a record retention schedule. So ifthe appraisal is the foundation of your program, the recordretention schedule should be considered the cornerstone.

Fundamentally SpeakingThis section lists and briefly discusses the essential compo-nents of a records and information management program.Subsequent chapters will provide further detail on each ofthese items. (Note that a record retention schedule, discussedearlier in the chapter and in more detail in Chapter 4,is often considered the most fundamental element of arecords and information management program.)

The core function factorMost employees dont consider managing records andinformation as their core function (although for the recordsmanager it is). Keep this issue in mind when developing yourrecords and information management program.

Education is a must in approaching the development and imple-

mentation of a records and information management program.You have to understand the needs, concepts, resources, ben-efits, technologies, and marketing approaches needed to makeand keep it successful. Dont worry, you can do it! For moreinformation related to education, please refer to Chapter 3.

Finding your support groupLike most large corporate initiatives, a records and informationmanagement program cant succeed without support fromsenior-level management. Support from the top will improveyour chances of obtaining cooperation from others andyou will definitely need cooperation from others. For moreinformation on support, see Chapter 3.



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Examining the appraisal valueThe appraisal process allows you to gain an understand-ing of your records and information. This includes location,owners, and content. There are different methods for con-ducting an appraisal involving varying degrees of time andeffort. Regardless of the method you choose, the results ofthe appraisal begin the process for laying your program foun-dation. For information on how to conduct an appraisal, seeChapter 4.



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Chapter 2

Show Me the Benefits!In This Chapter Reducing expenses

Improving efficiencies

Managing risks

Being able to show the benefits of an initiative increasessuccess. Although records and information managementmay be a support function and never considered a revenuegenerator, an effectively designed and implemented programcan reduce organizational expense, improve efficiencies, andensure that your company is in compliance with laws and gov-ernmental regulations.

Giving Expenses a TrimOffice space is expensive. Why use it to store information thatis infrequently accessed or not needed at all? Studies indicatethat approximately 80 percent of the records and informationretained by organizations contain no business value and canlegally and operationally be destroyed. Would doing this havea positive impact on your business?

Reducing paperTo begin reducing your companys records and information man-agement expenses, start by getting rid of what you dont need.

Dont just dive in and start throwing things away! Youve gotto be certain that the retention periods for the records haveexpired, and that theyre not needed for any potential orpending lawsuits or inquiries.



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Reducing the companys volume of paper records and informa-tion can decrease the number of file cabinets that you have to

buy and use, which results in more space for productive pur-poses. And retaining only the records and information that youneed makes finding things easier reducing labor expenses.

Cutting back on electronic storageIn 1990 personal computers were equipped with 256-megabytesof storage. Today the average laptop has 20-gigabytes of stor-

age. For those who dont have their calculator handy, thisequates to over 80 times more capacity. In the past 30 years,the cost of a gigabyte of storage has decreased at a rate of 33percent per year. Currently a gigabyte of storage can be pur-chased for less than $3.

The inexpensive nature of storage is a contributing factor tomany records and information management problems. If stor-age is so cheap, why not keep everything forever? Because

the cost of physical storage is only the tip of the iceberg.

Every gigabyte of storage results in additional expense knownas total cost of ownership(TCO). TCO is the cost of labor,operations (including risk), and equipment to conduct com-puter backups, maintenance, recovery, and infrastructuresupport. Studies indicate that the price of storage representsless than 15 percent of the TCO. Eliminating unneeded elec-tronic information will reduce your storage dependencies,

thereby reducing your total TCO.

Looking at the EfficienciesSmart management of your records and information increasesefficiencies within your organization. You can look forimproved customer service, increased staff productivity, andbetter decision-making. Increasing your organizations effi-

ciencies doesnt involve any magic, but does require planning,support, and technology.

Improving customer serviceWhen youre communicating with customers, they expect theirproblems to be resolved while theyre on the phone or online.



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Chapter 2: Show Me the Benefits! 11

If you dont have access to their file or the information thatsneeded, you risk losing the customer and the revenue associ-

ated with their account. A properly developed program can helpensure that your company meets its customers needs by havingthe appropriate information available at your reps fingertips.

Increasing staff productivityAn already-efficient staff can be helped by an efficient recordsand information management program. Such a program will

decrease the amount of time it takes an employee to find theinformation they need to do their job.

Employees at every level of an organization file, retrieve, andrefile information throughout the day. Creating efficienciesbegins by implementing the proper filing systems and elimi-nating records with no business value. And, dont just thinkfile cabinets this also applies to electronic folders.

Streamlining decision makingHow can improving efficiencies improve decision making?Imagine every employee of a company having access to the rightinformation at the right time to make the best decisions possible.

Risky BusinessWhat types of risk does your organization face? Risks come inmany shapes and sizes, some expected and some completelyunforeseen. Examples of risks include lawsuits, work stop-pages, governmental inquiries, disasters, public relationsissues, fines, and penalties. Although an effective recordsand information management program may not prevent suchevents, it can eliminate some, reduce others, and ensure thatyour business is prepared to face others.

Understanding whento keep informationAppropriate policies, procedures, and enforcements canimprove a companys ability to respond to risks. All risks



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have associated records and information that will need to beproduced for reference, research, and ongoing business pur-

poses. Having access to this information allows an organiza-tion to respond to the matter at hand.

Consistently managing your records and information and fol-lowing the companys retention schedule (for more on thetopic, see Chapters 1 and 4) help to ensure everything is keptfor the appropriate period of time.

Many risks involve records and information that a company

must legally and operationally retain such as contracts,employee files, and financial statements. These records havelong-term informational value and potential negative conse-quences if not managed properly.

Understanding when todestroy information

If records and information are needed for risk purposes, whynot keep it all forever? Then youll know that youll alwayshave the information you need, and can respond to any eventat any time. Even though the logic appears to make sense, thisapproach has its own set of risks. For many years, attorneysencouraged clients to keep everything forever just for thereasons mentioned. But a properly researched, implemented,and enforced retention schedule allows companies to destroy

records and information once the retention period haspassed. The schedule provides organizations with a defen-sible position if the destruction of records and information ischallenged by the government or the courts.

For example, if a plaintiffs attorney requests that the defen-dant produce information from 20 years ago, but the informa-tion was destroyed in accordance with the retention scheduleafter 10 years, the organization should not be found at fault for

not producing it. However, if the company failed to destroy theinformation after the retention period expired, the informationwill have to be produced, which could be harmful to the orga-nizations legal position. So, get rid of stuff when you should!



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Chapter 3

We Have Liftoff! GettingYour Program Off

the GroundIn This Chapter Finding support

Marketing your program

Planning, implementing, and maintaining a records andinformation management program is a significant under-taking that requires cooperation from all departments withina company. The best way to ensure the ongoing success ofthis initiative is to get support from the highest levels of com-pany management. Without this support, you may find that

your efforts gain momentum at first, but quickly fizzle.

To gain support for your program, you have to market it.Because many organizations dont view records and informa-tion management as a core business function such as pur-chasing, accounting, and sales, awareness must be increased.Marketing your program allows you to create that awareness.Be advised: Once you havesupport you will have to continueyour promotion efforts in order to maintain support.

Creating Your Support GroupTo implement a records and information management pro-gram, you need senior-level support.



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When presenting your case it is important to know your audi-ence. In most cases, senior management will want to know the

following: what it is, why its important, how it can benefit theorganization, what has to happen, and how much it will cost.Being prepared and brief will improve your chances of gain-ing the support you need. Keep in mind that, depending onthe size of your company, support may involve several things.Therefore, make sure senior management understands exactlywhat itll take to make the program a reality.

Make sure youve done your homework before you ask the

Executive Vice President to accept your meeting request.Education is the first step in gaining support. And dont expectto spend all day discussing the ins and outs of records andinformation management you will have maybe 30 minutes topresent an executive briefing. So try to make the best of it.

Marketing Your ProgramMarketing your program involves three stages: pre-implementation, implementation, and maintenance. Eachphase has a purpose.

Getting started withpre-implementation

This marketing phase will target your companys senior man-agement in an attempt to get their buy-in. As discussed, itsimportant to have their blessing. The success of your pro-gram hinges on their approval.

Marketing to this group involves knowing their concerns,removing the technicalities, and anticipating their questions.Youll not be successful if the important points of your mes-sage are buried in a 30-page document short, sweet, and

accurate is what they want.

Moving along to implementationCongratulations, you were successful! Senior management hassaid you may go forth and spread records and informationmanagement throughout the company. Now what? Although



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Chapter 3: We Have Liftoff! Getting Your Program Off the Ground 15

the top brass has issued a proclamation to cooperate withyour efforts, the managers of the company still have to make

sure that their daily functions are performed and not signifi-cantly interrupted. Your marketing challenge in this phase isto help these managers and their employees understand howa records and information management program can benefittheir departments. To help with your efforts, make sure todevelop cooperative partnerships with IT, legal, and otherdepartments that can assist with the initiative.

In some cases, youll be received with open arms; in other

cases youll meet stiff resistance. Marketing your program ina whats in it for you manner will increases cooperation.So what benefits can the average department expect to reapfrom cooperating with you? Well you can help them to findinformation when they need it, know how long it shouldbe kept, and outline what to do with it when it is no longerneeded. Make everyone aware that youre willing to work withthem closely.

Keeping things goingwith maintenanceThis marketing phase assumes that a records and informationmanagement program is in place throughout your company.However, this doesnt guarantee that employees have madeit part of their daily routine. Your task is to make sure that

records and information management occupies a small por-tion of their grey matter. Communicating that records andinformation management is an ongoing function that theyreresponsible for, and not an annual project or something theydo when they find the time will keep up the awareness.

Looking at Some Marketing TipsContinuing to educate yourself on records and informationmanagement fundamentals gives you the foundation youneed to market your program. Try to become your companyssubject matter expert (SME) and go-to person for all thingsrelated to this topic.



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Moving with options and phasesSenior management likes to know if options or phasedapproaches exist to a problem or for an initiative. Optionsand phased approaches provide management with an under-standing of alternatives to spending all the money and effortupfront or whether it can be done in chunks. When youmarket your program to them, be prepared to discuss theseissues.

Keeping the visionBecome familiar with your organizations vision and direction.Once equipped with this information, determine how yourprogram can be developed, implemented, and maintained tosupport the company goals.

Bringing awarenessKeeping employees aware of and focused on your programwill help ensure success. This occurs through ongoing mar-keting efforts such as newsletters, posters in key locations,and training sessions.

Succeeding with success storiesNothing will market your program better than word-of-mouthfrom a success story. Find an area of the company that isstruggling to manage their records and information and applyyour program to solve their issues. Then let everyone elseknow about it.



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Traditionally the focus of an appraisal has been on the com-panys records. However, more organizations have begun to

understand the importance of not only identifying and manag-ing their records, but also their non-record information, whichoften includes information of business value.

Make sure that you prepare for the event. This includeschoosing the appraisal approach that best fits your companyand communicating the process to each department. Whetheryoure part of a small business or a large organization, lettingemployees know what youre going to do and when youre

going to do it helps your chances for cooperation andsuccess.

So what information should be documented during theappraisal process? Regardless of the appraisal method used,a core set of information should be obtained. This includesbasics like the name and nature of the records and informa-tion, whether theyre paper or electronic, their location,whether theyre considered vital, any laws or regulations that

the department is aware of that govern their retention, andwhether the item is actually a record or a copy of a record.

Develop an appraisal template to be used during the process(see Figure 4-1 for an example). The appraisal templateisused to document the records and information that you find.A spreadsheet is a good tool for this task. In most cases, youdont have to re-create the wheel; you can find one on theInternet. However, if you plan to use a form you find on the

Internet, make sure you tailor it to document all the appraisalinformation you require.

The following sections outline the most common appraisaloptions. Although some options produce more accurateresults than others, none of them is likely to provide a com-plete listing of your companys records and information thefirst time around. Appraisal is an ongoing process. You willfind yourself needing to occasionally update appraisals.



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Chapter 4: Laying the Foundation 19

Employee

Files

Medical

Files

FMLA

Annual

Appraisal

Training

EEOC

Comprehensive file

of employment

Employee medical

related information

Family Medical Leave

Act information

Annual employee

performance evaluations

Employee certifications

and training

Equal Employment

Opportunity Commission

information

Electronic

Paper

Paper

Electronic

Paper

Paper

Imaging System

HR filing cabinets

HR filing cabinets

Imaging System

HR filing cabinets

HR filing cabinets

10 Years

10 Years

3 Years

7 Years

7 Years

3 Years

RecordName

RECORD APPRAISAL FORM (Sample)

Department Name: Human Resources

Conducted By: Jane DoeDate Conducted: ##/##/####

RecordDescription

Media(Paper/

Electronic) Location

CurrentRetention

Period

Figure 4-1:An example of how an appraisal template should look.

Taking an inventoryThe inventoryappraisal method is the most time-consuming(for the department, you, and your staff) and labor intensive

of the options, but provides the most accurate results. Thisapproach requires an in-depth review of a departmentsrecords and information. It involves opening every file cabinetand desk drawer as well as accessing employees computers.During this process, your goal is to document a departmentscontent at the folder level, not at a document level.

A record seriesis a grouping of like records or informationsuch as invoices from multiple vendors or employee files:

For example, if you open a file cabinet drawer and see alot of hanging folders, you can assume that each docu-ment in the same folder is related. You dont have toaccount for every document, but do need to note eachhanging folder and the type of information it contains.



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The same is true for electronic content not each filebut each main computer folder. If a computer folder is

labeled Invoices, you dont have to go through it tomake sure that all the items in the folder are invoices.

Have a knowledgeable employee from each department tagalong while youre going through their records. This helps incase you have any questions about the departments recordsand information.

Going through with an interviewThe interviewappraisal method involves meeting withemployees from each department and asking them a series ofquestions. You dont need to open file cabinet drawers andcomputer folders. Instead, this method relies on interviews ofa departments management and staff. This approach requiresless time and effort than an inventory, but the results arentas accurate. However, the interview option can still be effec-

tive, and will allow you to account for most of your companysrecords and information.

Use your appraisal form as a guide for your questions: Askthem to tell you about the records and information they have,how they use them, if theyre vital, whether theyre paper orelectronic, and how long they keep them.

Your challenge is to get employees to think about the total

populationof their records and information to makesure that you capture as much of it as possible during theappraisal process. Get them to think about the things thatneed to be captured that are out-of-sight, out-of-mind. Thismay take some gentle prodding. File cabinets full of paper areeasy targets; its the hundreds (possibly thousands) of filefolders on the network and employee computers that presentthe biggest challenge.

Before conducting an interview, find out a little bit about thedepartment and its functions. This helps you better tailoryour interview questions.



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Quizzing with a questionnaireWhen using the questionnairemethod, you provide managerswith a set of questions and simply rely on them to documentall their items. Unlike the inventory and interview methods,you will not be in the department to assist in the gathering ofthe information.

This appraisal method takes the least time and effort on yourpart, but the results arent as thorough. However, good plan-ning and communication can still provide you with the major-ity of the information you need.

The questionnaire you develop should be easy for the manag-ers to understand and fill out. You may want to attach a sepa-rate definitions-and-instructions page to guide them along.Make sure your questionnaire is properly developed to getwhat you need.

Getting to Know theRetention Schedule

A retention scheduleis a document that provides an organiza-tion direction on how long to keep records and information.You can start to develop your retention schedule once theappraisal is complete. The main purpose of the retention

schedule is to let employees know how long to keep recordsand information. Traditionally, retention schedules havefocused only on records. However, more organizations arenow providing employees with guidance on how long to retainitems that arent official company records, but have businessvalue. Develop your schedule to account for both.

Some of your companys records are assigned retention peri-ods mandated by the government. Other records are kept

based on how long the organization feels they need them. Theretention of non-record information falls into the latter cat-egory. Only keep non-record information as long as it servesits business purpose. Items such as spreadsheets, system



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reports, and PowerPoint presentations may have initiallybeen of use to an organization, but ultimately the informa-

tion becomes outdated and can be discarded. Once it nolonger brings value to your company, make sure it is securelydestroyed. (For more on getting rid of records and informa-tion, see Chapter 6.)

Knowing where to beginUse the information you collected during the appraisal pro-

cess to help create your retention schedule. You need toknow what you have before you assign dates. Include informa-tion such as name, description, paper or electronic, whetherits vital, retention periods, and any laws or regulationsrelated to retention.

The number of records listed on a retention schedule ismainly based on the size of the business. A small companymay only have a dozen or so records listed. However, a large

company may have hundreds or thousands of records on itsretention schedule. In this case, the records are usually listedby department.

A records management program requires employees todeclare their records; this is what provides control and vis-ibility. However, employees create and receive non-record(business value) information many times during the day. It isimportant to also document retention periods for these types

of items in order to prevent the storage of items that dontneed to be retained. Chapter 6 provides details on how tomanage this type of information.

Determining retention periodsDetermining the retention period of records and informationinvolves research. The retention of non-record information

is determined solely by the department or business. Forrecords, you need to research laws and regulations. Differentindustries have different retention requirements, some regu-lated at a federal level, some at the state or provincial level.This may include laws and regulations such as HIPAA (per-sonal health information), PCI (credit/debit card information),and other personally identifiable information.



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The Internet can provide you with basic guidance in determin-ing the proper retention period. Consult with an attorney,

CPA, or with consultants that specialize in records manage-ment and retention to make sure that you determine theappropriate timeframe to keep your records.

Retention periods for records are mainly expressed in monthsor years; however, a small population of your records mayrequire permanent retention. Items that must be kept per-manently usually include (but arent limited to) informationabout pensions, company history, insurance policies, real

estate, construction, the Board of Directors, and some taxrelated records.

New types of retention schedulesThe traditional retention schedule lists all the records thata department has. In many cases, separately listed recordsare related such as purchase orders, shipping and receiving

records, and invoices. Over the past decade, new approacheshave emerged in the development of retention schedulessuch as functional schedules and the big-bucket method.Each method relies on the record series or a grouping of likerecords or retention periods.

Function basedThe function-based retention schedule doesnt list recordsindividually, but groups them as a function. This results in

three records being reduced to one all having the sameretention period. The function-based approach reduces theoverall number of records listed on the schedule and maymake it easier for employees to comply.

Big-bucketThe big-bucketmethod involves creating a schedule based onsimilar functions and processes, and determining the most

common retention periods of the associated records. Forexample, an Accounts Payable Department may lump pur-chase orders, invoices, and shipping and receiving documentsinto a seven-year retention bucket. Though the retentionperiod of each individual record may be different, they all arepart of the purchase and payment process. Adhering to a bigbucket retention schedule approach will minimize the total



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number of records listed on a companys retention schedule.However, in some cases it will cause certain records to be

retained longer than actually needed. It is recommended thatorganizations consult with their legal department to deter-mine the related risks.

Assigning a retention period in the big bucket style may beeasier, but may cause your company to retain records toolong. If a record should be retained for at least four years andthe only choice available is seven years, then the record willbe kept for three years longer than it should be.



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Chapter 5

Its a Matter of PolicyIn This Chapter Determining what to include

Policing the policy

This chapter goes over why you need a records and infor-mation management policy, what should be in the policy,things you shouldnt include, and how to make sure employ-ees are sticking to it. In addition, the chapter provides best

practices for keeping your policy updated and how to ensureemployee compliance.

Examining PolicyParts and Pieces

Think of the policy as a GPS for your program. It selects thebest route and then tells you where to turn and when youvearrived. Without good instruction, you might get lost. Thesame is true for your policy. It provides employees with direc-tion on how to navigate the records and information manage-ment program.

Are you prepared to defend and justify your policy? Attorneysare becoming savvier regarding the role records and infor-

mation play within an organization. Once a policy is imple-mented, a business and its employees have an obligation tofollow it. During a lawsuit, an attorney may attempt to provethat a policy was in place, but employees didnt receiveproper training on how to follow it and that no enforcementof the policy was in place. Because of this, employees should



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regularly receive training on the organizations records andinformation management policies and the training should

be documented.

Deciding what to includeor not to includeA good policy takes planning. What is it that you need to com-municate to employees about the program? What you include

in the policy sets the course for your results.

The first steps in determining what to include in a recordsand information management policy involve understandingthe overall objective of the program, who it applies to, whyit applies, and the goal of each individual part. Many policiescontain common sections. These include:

Introduction: What the topic is.

Objective: Why its important.

Scope:Who it applies to.

Roles and responsibilities:Who does what.

The quickest way to set your policy up for failure is to includethings that are impossible to achieve or enforce. For example,if the policy states that all e-mail is to be indexed and cen-trally archived within 30 days of receipt, but you lack the

software application to do so, then it cant happen. If youinform employees that each department will be audited forcompliance to the policy on a quarterly basis, but you lackthe staff to conduct the audits, then it cant happen. Onlyinclude in the policy what you and the organization have theability to do.

Policies and procedures are different animals. The policy iswhat you should do and procedures detail howyou should

do it. Sometimes the line between the two gets muddled. Thepolicy shouldnt become a procedure. For example, the policymay state that employees are to enter records into the com-panys records management software system. The role of thepolicy is not to provide step-by-step instructions on how toaccomplish this; this is the role of the procedure.



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these items have been identified, you can then determine howthey will be audited.

Records and information management policies frequentlyinclude such topics as defining what counts as a vital recordand determining when legal holds should be placed, whatshould be stored on and off site, retention schedules, anddestruction approvals and methods. Other items may beincluded in a policy depending on a companys needs.

Audits of each area should focus on where the policy informs

an employee to do something. The goal of the audit is to makesure they did it, and did it right. So how does an employeeknow how to comply with the policy? Training and communi-cation. Training is an ongoing process. Employees shouldbe trained regularly to make sure they understand andacknowledge the records and information requirements ofthe organization.

Protecting your staff againstunpleasant surprisesNo one likes to be caught off-guard. After you determinewhat should be audited, make employees aware that auditsare going to happen, what will be audited, and how they canprepare. A good tool to provide to employees is an audit docu-ment,which addresses these issues.

Depending on the size of your company, you may be the oneresponsible for conducting audits. However, if youre partof a large organization, you may have the luxury of an inter-nal audit department that can perform them. In either case,audits should be scheduled to allow enough lead-time to letdepartments prepare.



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Chapter 6

Managing and MaintainingIn This Chapter Controlling the information explosion

Understanding e-mail

Evaluating record storage options

Knowing when and how to destroy information

Implementing your records and information management

program is only the beginning of your journey. Now yourchallenge is to manage and maintain it. Management andmaintenance are like housekeeping. Washing the dishes everyday rather than once a week makes it easier. The same is truefor records and information management.

The volume of records and information received and createdeach day by companies can quickly become out of controlif employees dont have guidance on how to deal with it.

Although the programs policy provides a framework formanaging the companys records and information, it doesntprovide detailed procedures about how to do it. This chaptergives you practical guidance and best practices that can help.

Are Drives Driving You Crazy?The majority of an organizations information is now elec-tronic and managed by employees, not file clerks. So a com-pany has to rely on employees to know what to do and howto do it. This includes knowing how to manage paper items,e-mail, application data, and files and data on hard drives andnetwork drives.



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Records and information stored on hard drives and networkdrives pose a huge challenge for your program. Without

proper management, these storage locations can becomedigital graveyards areas of risk. This happens due to lack ofcompany standards, controls, and audits.

Computers have made businesses more efficient. However,the ways employees use computers can reduce the efficien-cies. Computer drives provide convenience and the ability tostore a lot more documents than a box can, which is part ofthe problem. Boxes of records are more visible, and in most

cases easier to manage than their electronic counterparts.

Try to make sure that employees are taking advantage offolder structures and proper file naming conventions. Whenan employee saves a file on their computer, they make sev-eral choices: what drive theyre going to use, what folder itbelongs in, and how theyre going to name it. The programspolicy can provide instructions to employees on these issuessuch as what drive to use to save certain information (such as

company records), and guidance on how to name files.

Drives, folders, andfiles oh my!To improve the efficiency of filing and retrieval, a folderarrangement should be created. Computer folders are very

similar to folders in a paper file cabinet. In each case, thefolder provides employees a place to file and organize docu-ments. Imagine opening a file cabinet drawer and seeing nofolders, just paper. Although you dont expect this to be thecase, it frequently occurs when saving computer files. Whenyou open a hard drive or network drive, you should see fold-ers, not files. Computer folder structures provide the samebenefits as paper folders with even more flexibility such asusing subfolders to get more specific when you file.

Although you may warn against it, everyone knows thatemployees will store information on their hard drives. Storinginformation on a hard drive presents a couple of fundamen-tal problems. In many cases, the hard drive isnt regularlybacked-up and doesnt provide organizations with the vis-ibility they need in case of litigation. Some vendors providesoftware applications that provide back-ups to hard drives at



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Chapter 6: Managing and Maintaining 31

certain intervals to help with recovery in situations such ashard drive crashes and litigation support.

Naming files properlyHow files are named is very important. Many employees usenames and abbreviations that only they or members of theirdepartment understand. How many times have you tried toretrieve a file and had to open several documents before youfound the one you wanted?

The best way to prevent this is ask that employees name filesin a manner thats easy for anyone to understand. If its achicken, call it a chicken, not chkn, poultry, or 1#4Q32.Avoid acronyms, abbreviations, and any other hard-to-figure-out names. This allows employees to quickly retrieve theinformation they need.

Retaining non-recordsIf records have a set retention period, shouldnt non-recordsalso? A company may do a good job knowing how long tokeep its records, but find it challenging to identify and managethe lifecycle of non-record information. The most commonapproach used to control non-record information involvessetting a maximum timeframe for retention. For example,all non-record information older than three years should be

destroyed. This assumes that information of this type hasprobably lost its business value after three years. Althoughthis sounds easy enough, the catch is that you have to rely onemployees to do it. Some vendors now offer software applica-tions that will track the companys non-record informationstored on hard drives and network drives. These applicationsinform employees when the retention period is up so thatthey can review and delete the information.

E-mail Yikes!Twenty years ago most companies couldnt have imagined theimpact e-mail would have on their business. E-mail serves as themain contributor to the explosive growth of electronic informa-tion. With e-mail has come the challenge of how to manage it.



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E-mail isnt always a record, but the information in the e-mailmay be a record. Knowing how to evaluate, manage, and

retain the message within the e-mail is whats important.

Looking at management systemsSo how can you manage your e-mail? The best way to managee-mail is to use an e-mail archiving software application.These systems provide the following benefits:

Back-ups Active retention policies

Better search and retrieval

Indexing

Assistance with e-discovery

Improved compliance

Storage reduction

Basically, an e-mail archiving system centrally manages allincoming and outgoing e-mails based on rules determined bythe business.

Sound wonderful? The reality is that most companies dont usethese systems. They rely completely on the e-mail application(such as Microsoft Outlook and IBMs Lotus Notes) and employ-

ees to manage e-mail. If you dont have an e-mail archiving appli-cation, there is still a glimmer of hope. There are several bestpractices for managing e-mail without additional technology.

Determining the businessvalue of e-mailsThe message in the e-mail needs to be evaluated to determineif it is of no business value and can be immediately deleted, orneeds to be saved. Messages that are records or non-recordsthat have business value should be saved to the network sothey can be backed-up, searched, and retrieved. However,many vendors offer e-mail archiving and management solu-tions that allow organizations to better manage their e-mailand storage needs. Applications like this allow you to classify



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messages for quick retrieval. This feature assists in the caseof lawsuits or if other employees need to access the informa-

tion. Most e-mail applications provide the ability to createpersonal foldersfor this purpose. In addition, rules can be builtto automatically move messages to folders based on criteriasuch as certain words in the subject line or who sent thee-mail. When creating a folder or naming a file, make sure touse names that other employees can understand. (Note:Someproducts dont recommend personal folders or PSTs.)

Encourage employees to review e-mail folders on a regular

basis to determine what messages should be deleted. Thiswill reduce clutter, make information easier to find, decreasestorage needs, and help to ensure that employees arent hold-ing onto information that can be deleted. Check the retentionschedule before deleting any message that may be a record todetermine whether its retention period has passed.

Getting to Know theStorage VendorsFor many companies, the day comes when they realize theydont have space to store records in their offices, or thatthe space could be used for something more productive.And many organizations arent equipped to store records.Companies need to decide whether they can provide ade-

quate physical protection and the secure access needed toproperly manage their records. If they cant, they may decideto bring in a records storage vendor. This section goes overhow to determine if you need to use a vendor to store yourrecords, and how to select the right one.

Before you start shipping records to a vendor, figure out whatyou need them to store. Not everything taking up office spaceis a candidate to be stored off-site. The first step is to sepa-

rate records from non-records.

Records only pleaseWhy pay a vendor to store copies and information of no busi-ness value? When preparing to send information to a vendor,the best practice is to only send records.



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So when should you send your records to a vendor? Thearms-length ruleis a good yardstick. You want to keep records

on-site that you frequently need. All records have an activeand inactive period. For example, vendor invoices are activefrom the time you receive and pay them. However, even afteran invoice is paid, vendors may say they didnt receive pay-ment or the payment wasnt in full. This means that the aver-age active period of an invoice may sometimes last a year.Sending only inactive records to a storage vendor helps toreduce your overall costs because that way you dont have topay to have the records sent back to you and then re-stored.

Another rule-of-thumb, if space allows, is to avoid sending avendor records that have a short retention period. If a recordonly needs to be kept for one year, then try to store it in youroffice. The best candidates for vendor storage are inactiverecords with long retention periods.

Copies can be securely destroyed as soon as theyre no longerneeded. Usually their importance to the company has ended

by the time you need to send information to a vendor.

Not all vendors are created equalMany companies can store your records, but are they quali-fied and certified? Even though the records of today arevery similar to records of decades ago, the way that theyhave to be protected, secured, and controlled has signifi-

cantly changed. Reputable vendors make sure that they havechanged with the times.

Laws and regulations controlling health, credit card, andother personal information have changed the records man-agement and storage landscape. Organizations should makesure that they partner with vendors who have received train-ing and certifications to meet these requirements.

In addition, look for other basic requirements when selectinga records storage vendor. Although these may be basics, itsnot a given that all vendors have them, so do your investigat-ing. These include items such as:

Smoke and fire detection

Sprinkler systems



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Perimeter alarms

Security access and monitoring procedures

Proper shelving

Cleanliness

Automation

Employee background checks

If the vendor youre considering meets these requirements,there is a good chance that your records will be safe andsecure.

Understanding Destructionand Deletion

The dumpster out back is no longer an option. The days of

throwing everything in the trash or a recycle bin are over.Laws and regulations now control many parts of an organiza-tions records and information management program. Thisincludes how you dispose of business information.

Privacy laws have set the tone for how customer andemployee information must be destroyed. This doesnt justinclude paper, but also electronic items. Knowing how todispose of information can prevent your company from being

fined, penalized, and receiving negative brand reputation.

Finding a place for everythingEmployees process and handle a lot of information. Everyday, companies rely on employees to know how to disposeof it, but have those employees received the proper trainingand guidance? What goes in the trash, what should go in the

recycle bin, and what needs to be securely destroyed?

To avoid employee uncertainty about how to dispose of infor-mation, it is recommended that organizations adopt a shred-allpolicy.This takes the guesswork out of employees day-to-daydecisions about records, because everything that needs to bediscarded is shredded.



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Secure shred bins are provided by many recycle and recordsmanagement vendors. Items placed in the bins are shredded

so that the information cant be pieced back together. Thebins come in several shapes and sizes to meet a companysneeds.

Before destroying or deleting any record, make sure that itsretention period has expired. In addition, even though theretention period has passed, the record may still need to beretained due to a pending or active lawsuit. The destructionor deletion of records should be approved by all employees

that may be involved.

Staying on scheduleRecords should be destroyed or deleted regularly based onthe record retention schedule. The justice system tends tofrown on records being destroyed at a companys conve-nience. When you create a destruction schedule, this demon-

strates a normal course of businessapproach.

Whether you store records on-site or use a vendor to store orshred records, you should keep track of those records thatare destroyed or deleted. Vendors will provide a certificate ofdestructionthat guarantees that the information that the com-pany approved for destruction was actually destroyed.



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Chapter 7

Understanding DocumentImaging

In This Chapter Determining if imaging is a good fit

Evaluating whether to do it yourself or outsource

Remember the paperless office? Although for mostcompanies it never became a reality, document imag-

ing can allow organizations to rely less on paper process-ing.Document imaging,sometimes referred to as scanning,involves using technology to convert your paper documentsto electronic images. Implementing a document imaging pro-gram is a big job that requires time, planning, and money. Sobefore you make the leap into imaging, determine whether itsa good fit for your company. This chapter discusses how todetermine whether your company will benefit from imaging,what documents should be imaged, and how much it will cost.

Is It Time for an ImageMakeover?

Any company interested in document imaging should ask

itself what it hopes to gain. Scanning may not be the answerto every problem.

Before deciding to implement an imaging program, take timeto evaluate the issues that are causing you to consider thisapproach. For instance, running out of file cabinet space maybe caused by employees not properly managing records. If



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theyre scanned, the electronic images may also not be man-aged, and will still take up storage space. Understanding

whats causing the pain will help you determine if the benefitsof an imaging program can heal it.

Imaging benefitsDocument imaging can provide major benefits. It has trans-formed the way many companies operate. Imaging can get youout of the paper shuffling business and let you focus on things

that make your company competitive and profitable. Somebenefits of document imaging include:

Improved employee productivity

Reduced space needed to store paper

Improved customer service

Access to scanned files from remote locations

Disaster recovery support Reduced incidence of lost and misfiled documents

Although there may be a little more to imaging than hittingthe enter key and having a document pop up, imaged docu-ments provide quick access to information. They eliminatethe need to get up from your desk to retrieve files from filingcabinets, then having to refile the information, or having torequest records from your storage vendor. Faster access

to information results in better service to customers andincreased employee productivity.

Imaging your paper eliminates the need to file documents infile cabinets. How many times have you searched for a file ordocument endlessly only to discover it was misfiled, or worse,you couldnt locate it? Document imaging reduces this prob-lem through technology. Each imaged document is assignedclassification information known as metadata(details about the

document that allow you to search and retrieve it). Assigningmetadata occurs during the index phase of the imaging pro-cess. In some cases, metadata is entered manually or itcan be captured automatically by using character recognitionsoftware. In either case, try to put controls in place to ensureinformation is high quality.



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Chapter 7: Understanding Document Imaging 39

Knowing what to imageSome paper documents are better candidates than others.Chapter 6 discusses how records that are infrequently neededshould be sent to a vendor for storage. The reverse is truewhen determining what documents should be scanned. Anorganization will benefit more from scanning documents thatare frequently needed. This approach decreases labor costsassociated with paper filing and retrieval, allowing employeesto be more productive.

Documents that are frequently used arent the only candi-dates for imaging. Chapter 1 discussed how vital recordsneed to be identified and protected. A good way to protect acompanys vital records is to image them. This provides anelectronic copy that can be backed-up.

Although frequently accessed documents usually make thebest candidates for scanning, some companies make the deci-sion to scan records to reduce their vendor storage costs.These are usually records that have long or permanent reten-tion periods. But will the cost to image a large number of doc-uments be less than the costs of storage? This is a questionyou need to answer before deciding the best course of action.

Front-end, back-end, or

image-on-demand?After you decide what documents to scan, its time to con-sider how to get the most out of document imaging. There ismore to imaging than running a document through a scannerand receiving a digital image. Three approaches can be used:

Front-end imagingmeans that documents are scannedbefore theyre processed. For example, if invoices areimaged before theyre processed and paid, this would

be front-end. In this case, either the companys ImagingDepartment or a vendor images the invoice and electron-ically sends it to the Accounts Payable department forprocessing.

Front-end imaging provides the option of using workflowtechnology. Workflow is software technology that allows



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scanned images to go through a series of steps. In thecase of an invoice, workflow can allow the invoice to be

electronically matched with the purchase order and ship-ping and receiving documents. Once these items havebeen matched, the invoice can be electronically routedto the employee or employees authorized to approve it.Workflow allows many steps to be automated.

Back-end imaginginvolves scanning documents aftera process has been completed. If you decide on back-end imaging, the Accounts Payable department wouldprocess the paper invoice then send it to the ImagingDepartment or to a vendor to be scanned.

Back-end imaging provides an electronic collection of adepartments documents. Depending on what a companywants from its imaging process, this approach can pro-vide benefits such as quick retrieval of information andreduced storage costs.

Scan-on-demandis a service that some document imag-ing and storage vendors provide. A customer who storestheir paper records with a vendor who provides thisservice can instruct the vendor to pull documents froma box and have them scanned and transmitted ratherthan receiving the paper file or the entire box. Thisapproach has several benefits. It provides quicker accessto the information you need, and in most cases it is pay-as-you-go, meaning that you only pay for the pages ordocuments that the vendor scans. This can be a moreeconomical alternative to imaging all your documents.

Outsourcing versus In-HouseDocument imaging can be an expensive proposition. You needto consider the volume of documents you plan to scan andpurchase a scanner that meets your needs. Document imaginghardware vendors offer multiple models capable of scanning

a few pages per minute to production scanners that can imageover a hundred pages per minute.

The software needed to captureimages is another consider-ation. Many low volume scanners include a document capture



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Chapter 7: Understanding Document Imaging 41

application. However, most medium to high through-putscanners require the purchase of capture software that may

cost thousands of dollars annually. Additional employeesmay be needed for the document imaging process. This willbe based on your planned image volume and how quicklythe documents need to be scanned. After you pick out yourimage equipment and capture software and fully understandemployee needs, you can determine whether you need amaintenance contract to make sure your scanner continues toproperly perform. This section of the book helps a companydecide whether to make the investment in equipment, soft-

ware, and staff, or to outsource the process.

Outsourcing your imagingMost organizations make the decision to outsource documentimaging because they dont want to invest in the hardware,software, and staff needed to start an in-house program, orthey dont want to get involved in something that sidetracks

them from their main business focus.

Many vendors specialize in document imaging services. Somevendors referred to as service bureausare dedicated to theimaging of client documents. Other vendors such as recordstorage companies perform scan-on-demand services. Bothcan provide valuable benefits.

Many storage vendors and service bureaus provide a full

range of document imaging services. They can electronicallytransfer the images and metadata to your companys networkor supply a CD that contains the information. In some cases,organizations will have incoming mail sent to the storagevendor or service bureaus post office box so that the infor-mation can be imaged and transmitted even more quickly.

Do your homework. Not all vendors are created equal. Visitthe vendors office. Inspect their equipment, processes, and

staff. Some vendors may image your documents then send itto another country to be indexed. Make sure youre comfort-able with how the vendor is planning to handle your com-panys information.



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Adding up the costs of

the in-house optionThe cost to image documents is based on the volume of docu-ments to be scanned. The daily volume of documents imagedby companies can vary significantly, and volume controlsevery part of an organizations document imaging expense.Heres what you need to consider:

Scanners. The type of scanner you need is based on the

volume it has to process within a certain timeframe.

Prices for scanners range from hundreds to thousandsof dollars. Each type of scanner has a duty-cycle, whichrefers to the vendors recommended number of imagesproduced per day. Here are averageduty-cycle ranges:

Low-volume (workgroup): 4,000-10,000 images

Medium-volume (department): 10,000-25,000 images

High-volume (production): 25,000-60,000 images

Software. Most business scanners need to work in combi-nation with image capture software. The cost of softwareneeded to capture an image of a document is usuallybased on the number of pages that will be scanned.

Capture softwareenhances the overall imagingprocess.

You can also consider optical character recognition(OCR), which is a process that converts print tosearchable text.

Equipment maintenance.Equipment maintenanceshould optimally be performed after a certain numberof images are created, or after a certain length of time(preventive maintenance).

Staff costs. The volume of documents that need to be

scanned by a particular time determines the amount ofstaff needed. Depending on the amount of imaging a com-pany plans to do, new employees may need to be hiredor current employees may need to dedicate part of theirtime to image documents.



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Chapter 8

Six Records andInformation

Management TrendsIn This Chapter Reviewing records and information management trends

Determining the risks and benefits

New technologies, laws, rules, and regulations are forcingorganizations to rethink the way they conduct business.The trends that are discussed in this section either involvethe use of technology or how to better manage it.

eDiscoveryeDiscoverymeans electronic discovery. Discovery is a legalterm that involves steps that occur before a trial. Lawyers forboth sides meet and request information and documents fromeach other in an attempt to gather important facts.

eDiscovery focuses specifically on a companys electronicinformation. So why is it a trend? The volume explosion of

electronic information has made it almost impossible for mostcompanies to manage. Electronic information can be stored inmany locations such as hard drives, network drives, softwareapplications, flash drives, CDs, and tapes. Many companiesdont have policies or procedures in place for identifyinginformation that may be relevant.



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Controls should be put in place and standards followed to iden-tify, hold, preserve, process, protect, and produce information

that is needed. Many vendors now offer software that helpscompanies manage eDiscovery. It may be helpful to examine theEDRM model, which you can find online at http://edrm.net.

Computing on the CloudImagine not having to buy another server on which to storeyour information or not having to worry about backing-up your

files. Its not a dream welcome to cloud computing. Cloudcomputing allows an organization to transmit its informationsecurely over the Internet where its stored and immediatelybacked-up. Cloud computing enables quicker deployment timesand greater simplicity than on-premises alternatives.

Most cloud computing contracts are based on a pay-as-you-gobasis, (a company pays only for the amount of informationthat they need to store) or have a per-seat (per-user) licensing

component in addition to a usage-based component. However,cloud computing isnt only about storage. Vendors also pro-vide software services on the cloud. This allows companies tobuild, test, use, and host software on the vendors site.

Governing InformationInformation governance may sound like a red-tapephrase;however, companies are beginning to understand its impor-tance.Information governancefocuses on what a companyshould do to manage its information and how it should doso. Plus, it advises on how to hold employees accountable tohelp out with governing information. If you think it sounds likea policy, youre correct, but theres a little more to it.

Information governance involves a team approach made up of

members from different areas of an organization such as IT,legal, compliance, records management, and operational man-agement. No one employee of a company understands all theissues related to the management of information. The objec-tive of information governance is to account for all the issuessuch as eDiscovery, records management, compliance, secu-rity, storage, and privacy, and then make sure controls areput in place to properly manage each item. The controls are



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Chapter 8: Six Records and Information Management Trends 45

then monitored and measured by the information governanceteam to make sure theyre working.

Looking at Records ManagementSoftware

Records management software isnt new. However, the soft-ware has evolved over the years to meet changes in recordsand information management requirements. Some softwareonly manages paper records, while others may manage bothpaper and electronic records.

So how does the software work? Its main function is toaccount for and monitor all your records and their retentionperiods and retention event triggers. This eliminates the needfor employees to track records throughout their life cycles. Italso helps companies determine when retention periods areup. To make this happen, you simply supply the software with

your records inventory and retention rules.

But records management software can do a lot more than justmanage your inventory and retention. It can also place holdson records if they need to be kept for litigation or audit, allowemployees to request records from storage, generate listingsof records that can be destroyed, and provide managementreports.

Advanced electronic records management systems can evenallow organizations to manage records that are located inother systems. This is known as federation, meaning that elec-tronic records no longer have to be in the records manage-ment software application to be managed.

Mapping Your DataMany organizations are finding it very difficult to manage theexplosion of electronic information. Most large organizationshave hundreds of software applications in use. Its importantto know where electronic information is located, its purpose,and who owns it. This is the process of data mapping. Whyis it important? One major reason companies decide to com-plete a data map is due to the changes in the Federal Rules ofCivil Procedure (FRCP).



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46 Records & Information Management 2.0 For Dummies

To comply with the FRCP, parties to a lawsuit have to provideeach other with a copy or description, by category and loca-

tion, of all documents and electronically stored information(ESI) that each side has that supports their case.

Data mapping involves conducting an inventory of all thecompanys electronic applications in order to document thename, location (mainframe or server name), purpose, whattype of information it contains, retention periods of the data,and the department or operation owner.

The process of data mapping is similar to conducting anappraisal for your paper records and information (seeChapter 4).

Many organizations who have tried to complete a data mapthemselves have found that the project is too big to do alone.Vendors have created software that can assist in the process.In addition, consultants specializing in electronic records andinformation management can help with data mapping.

Social MediaWho would have ever thought something like social mediawould affect businesses, let alone how it would impact themanagement of their policies, records, and information?

Most folks are now familiar with Faceb