Introduction
Records and information management isn’t a new concept or discipline. From the moment one cave person grunted to another or scrawled the first picture on the inside of a cave wall, information and recordkeeping was born. That first cave person probably had not been assigned the title of “Records and Information manager” or official scribe for the cave community, but nonetheless felt a need to communicate and keep what we know today to be records.
Over millions of years, the information grunt has grown — not only into structured languages that are spoken, but also into an exponential increase in the documentation and transmission of information. Most of this increase has occurred at a staggering rate over the past 15 years — you guessed it, we have computers, e-mail, and the Internet to thank for our information overload. The reality is that information is a good thing. However, if not managed appropriately, you may never realize its true value, and someday find yourself in a corner curled up in the fetal position mumbling “Delete”!
About This Book
Hold onto to your seat; you’re about to enter the riveting world of Records and Information management. Okay, riveting may be embellishing a bit, but the truth is whether you’re a small-business owner or work for a global corporation, you deal with information on a daily basis — you receive it, you send it, you determine what’s relevant, and you make decisions, whether consciously or subconsciously, as to what information to retain. This book is not about information technology (IT); this book is about information management. The goal of the book is to assist you and all companies, regardless of size, number of employees, or annual revenue, in making this entire process more manageable and compliant with applicable laws and regulations.
Records and Information management is an ongoing process and not a one-time project. Depending on the size of your company, it may take a significant up-front investment of time to implement an effective program. However, the up-front investment will help to minimize any back-end debacles. After you have your Records and Information Management program in place, it needs to be maintained. This book provides proven best practices and tips for ensuring that you are successful — and for good measure, I’ll throw in a hearty “Good luck!” to start things off.
Conventions Used in This Book
In an effort to avoid any confusion while you are reading this book, I thought I would briefly explain some nuances:
Website addresses, known as URLs, are highlighted like this: www.websiteaddress.com.
Menu commands are given in the order in which you should select them. For example, Choose File⇒New⇒Folder.
Foolish Assumptions
No offense intended, but I’ve made some assumptions about you — yes, you over there! I assume that you haven’t received a doctoral degree in Records and Information Management or any other formal training in this area. I bet you receive and send information each day, and that you may have trouble finding information later when you need it. Or, you might wish that you had another filing cabinet because the one you have has a No Vacancy sign on it.
I assume that you know how to use a computer — not that you’re a computer prodigy, but you know enough to get by. This includes knowing how to use e-mail, document software, and spreadsheet applications, and that you have not used formal Records and Information Management software programs (yet). My apologies for any incorrect assumptions!
How This Book Is Organized
This book is structured in a sequential or step-by-step practical approach that will take you from the beginning of your records and information journey through more advanced, relevant topics and issues facing today’s organizations. The book also lends itself to readers who want to focus on particular subjects or just want to refresh their knowledge.
Part I: Setting the Stage
Part I provides instruction and guidance on creating the foundation for your Records and Information Management program. This includes obtaining an understanding of common terms, the benefits you and your organization can realize by implementing a program, and how to get senior management buy-in and their continuing support for the initiative. In addition, Part I provides options and step-by-step instructions for inventorying your records and information to develop an effective retention schedule.
Part II: Filing Made Simple
In Part II, you get to examine different filing methods and equipment and determine which ones best fit your company’s needs. You get some guidance on how to create an electronic folder structure, receive tips for naming files, and find out how to prevent electronic repositories such as hard drives and shared network drives from becoming cluttered. In addition, Part II provides instruction on how to effectively manage e-mail in a manual and automated environment.
Part III: Capturing Records
The ongoing management of your records and information is an essential part of the process. In Part III, you discover the purpose and perils of backup tapes and find out how to effectively manage them so that they don’t come back to bite you. In addition, you look into the role that records and information play in lawsuits and see what you need to know about document imaging and its benefits, as well as determine how technology can help you manage your records and information.
Part IV: Parking Spaces
Ever wonder what to do when you have too many records and not enough storage space? Part IV to the rescue! Part IV helps you understand how to properly store records onsite as well as offsite with a vendor. I examine storage requirements and compliant destruction methods that will ensure that your records are properly protected and destroyed when the time comes.
Part V: Creating a Plan
What’s a Records and Information Management program without policies, audits, and training? Part V guides you through the process of establishing a comprehensive policy, determining what components of records and information management need to be audited, and gives you options that ensure that employees are effectively trained.
Part VI: The Part of Tens
Ten is a nice round number for listing things. In the case of this book, I discuss ten management guidelines and ten emerging trends. The first list provides you with practical tips that, if they become habit, will make managing records and information a lot easier. The second list provides insight into hot Records and Information Management topics and issues that are just now beginning to peek over the business horizon.
Bonus Content: Appendix
In the online appendix, you find helpful tools such as templates, sample forms, vendor information, and Records and Information program assessments. These tools have practical applications that you can use to inventory and appraise your information, as well as forms that provide different retention schedule formats. (To access all bonus content, visit this book’s website at www.dummies.com/go/recordsmanagefd.)
The appendix includes a comprehensive listing of Records and Content Management software vendors and assessments of their products. Also provided are ARMA International’s Generally Accepted Recordkeeping Principles and Maturity Model for Information Governance, which allow you to determine the current state of your records and information management and what it takes to make it better.
What You’re Not to Read
First, you don’t have to read this book from front to back, or back to front depending on where you reside. If you want to just get information about a certain topic, you can open this book to any chapter and get the information you need.
The book has been designed to first lay the foundation for managing your records and information and then build upon it. So reading the book from start to finish will work as well!
Icons Used in This Book
One picture is worth . . . well, you know the old saying. That’s why For Dummies books use icons to give you a visual clue as to what’s going on. Essentially, icons call your attention to bits of special information that might very well make your life easier. Following are the icons used in this book.
Remember icons signal either a pertinent fact that relates to what you’re reading at the time (but is also mentioned elsewhere in the book) or a reiteration of a particularly important piece of information that’s — well — worth repeating.
Tips are the Ann Landers of business books. They offer sage advice, a bit more information about a topic under discussion that might be of interest, or ways to do things a bit more effectively.
Warning icons spell trouble with a capital T. When you see a Warning, read it, because it’s trying to tell you that if you’re not careful, you might do something at this point that could cause disaster.
Where to Go from Here
By reading this book you will have taken the first step in managing your records and information. Educating yourself on the subject matter is essential. Like every organization, your company has its own operational nuances. However, you will find that the Records and Information Management principles in this book are applicable to all businesses.
So absorb what you read and determine how to apply it to your own situation. I’m not promising that filing records and determining how long to retain information will be the highlight of your day, but putting an effective program in place may help you sleep better at night.
Last but not least, for updates to this edition, check out www.dummies.com/go/recordsmanagementfdupdates.
Please note that some special symbols used in this eBook may not display properly on all eReader devices. If you have trouble determining any symbol, please call Wiley Product Technical Support at 800-762-2974. Outside of the United States, please call 317-572-3993. You can also contact Wiley Product Technical Support at www.wiley.com/techsupport.