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Table of Contents
About This Book Conventions Used in This Book Foolish Assumptions How This Book Is Organized Part I: Setting the Stage Part II: Filing Made Simple Part III: Capturing Records Part IV: Parking Spaces Part V: Creating a Plan Part VI: The Part of Tens Bonus Content: Appendix What You’re Not to Read Icons Used in This Book Where to Go from Here
Part I: Setting the Stage Part II: Filing Made Simple Part III: Capturing Records Part IV: Parking Spaces Part V: Creating a Plan Part VI: The Part of Tens Bonus Content: Appendix
Chapter 1: Fundamentally Speaking The Inside Scoop — Terms and Terminologies What is information? For the record Business value Nonvalue The information life cycle Grooving with the records (and the information retention schedule) Hold on! Role Playing The Records and Information Manager The evolution of the records manager The big bang! School is in session I can associate with that Let me see your credentials I’ve got to do what?! The written word Professionally speaking I’m Excited — Why Aren’t You? Core function junction Show me the benefits! Trimming expenses Improving efficiencies Increasing staff productivity Risky business Creating your support group Marketing Your Program Chapter 2: Appraising Preparing for the Appraisal Push for the purge Don’t forget the hard drives Choosing an Appraisal Method A method to the madness The good and the . . . good Conducting the Appraisal Capturing appraisal information Taking inventory Going through with an interview Quizzing with a questionnaire Documenting the appraisal Processing the appraisal results Chapter 3: Scheduling Keeping Your Options Open Working with the Departmental retention schedule Scheduling based on function Bring out the big buckets Conducting the Investigation Considering the value Researching retention periods Mining your natural resources Assigning retention periods to nonrecord information Looking for Approval Department management Paying a visit to the Tax department Legalizing your retention Creating the Retention Schedule Document The pieces to the retention schedule puzzle Sampling retention schedule forms Implementing the Retention Schedule Keeping it electronic Providing direction Updating the Retention Schedule
The Inside Scoop — Terms and Terminologies What is information? For the record Business value Nonvalue The information life cycle Grooving with the records (and the information retention schedule) Hold on! Role Playing The Records and Information Manager The evolution of the records manager The big bang! School is in session I can associate with that Let me see your credentials I’ve got to do what?! The written word Professionally speaking I’m Excited — Why Aren’t You? Core function junction Show me the benefits! Trimming expenses Improving efficiencies Increasing staff productivity Risky business Creating your support group Marketing Your Program
What is information? For the record Business value Nonvalue The information life cycle Grooving with the records (and the information retention schedule) Hold on!
The evolution of the records manager The big bang! School is in session I can associate with that Let me see your credentials I’ve got to do what?! The written word Professionally speaking
Core function junction Show me the benefits! Trimming expenses Improving efficiencies Increasing staff productivity Risky business Creating your support group
Preparing for the Appraisal Push for the purge Don’t forget the hard drives Choosing an Appraisal Method A method to the madness The good and the . . . good Conducting the Appraisal Capturing appraisal information Taking inventory Going through with an interview Quizzing with a questionnaire Documenting the appraisal Processing the appraisal results
Push for the purge Don’t forget the hard drives
A method to the madness The good and the . . . good
Capturing appraisal information Taking inventory Going through with an interview Quizzing with a questionnaire Documenting the appraisal Processing the appraisal results
Keeping Your Options Open Working with the Departmental retention schedule Scheduling based on function Bring out the big buckets Conducting the Investigation Considering the value Researching retention periods Mining your natural resources Assigning retention periods to nonrecord information Looking for Approval Department management Paying a visit to the Tax department Legalizing your retention Creating the Retention Schedule Document The pieces to the retention schedule puzzle Sampling retention schedule forms Implementing the Retention Schedule Keeping it electronic Providing direction Updating the Retention Schedule
Working with the Departmental retention schedule Scheduling based on function Bring out the big buckets
Considering the value Researching retention periods Mining your natural resources Assigning retention periods to nonrecord information
Department management Paying a visit to the Tax department Legalizing your retention
The pieces to the retention schedule puzzle Sampling retention schedule forms
Keeping it electronic Providing direction
Chapter 4: I Know It’s Here Somewhere Filing Methods The alpha file The numbers don’t lie Filing alphanumerically Evaluating Filing Equipment and Supplies The right equipment makes a difference File folders under “important” Selecting a Filing Method Creating a records profile Growing, growing — gone! Evaluating the current state of affairs Creating a Digital Filing System Drawing the parallels Naming folders and files Chapter 5: Drives Can Drive You Crazy At-Risk Drivers Out of sight — out of mind Driving up the costs Driving down function lane Cleaning Up Your Driving Record Taking time to know your drives Mapping a course of action Creating a folder structure Administering shared drives Planning the file review Reviewing files Cleaning up with software Maintaining Your Drives Creating a usage policy Relying on the administrator Using software to maintain your drives Chapter 6: A Message about E-Mail The Anatomy of an E-Mail Determining the value of the message Scheduling time for e-mail The rising risks of e-mail Managing quotas Filing the Message PSSST! What you need to know about PST folders MSG can be good for your informational health Naming e-mail Using Software to Manage E-Mail E-mail archiving systems Optimizing with DM and ECM applications
Filing Methods The alpha file The numbers don’t lie Filing alphanumerically Evaluating Filing Equipment and Supplies The right equipment makes a difference File folders under “important” Selecting a Filing Method Creating a records profile Growing, growing — gone! Evaluating the current state of affairs Creating a Digital Filing System Drawing the parallels Naming folders and files
The alpha file The numbers don’t lie Filing alphanumerically
The right equipment makes a difference File folders under “important”
Creating a records profile Growing, growing — gone! Evaluating the current state of affairs
Drawing the parallels Naming folders and files
At-Risk Drivers Out of sight — out of mind Driving up the costs Driving down function lane Cleaning Up Your Driving Record Taking time to know your drives Mapping a course of action Creating a folder structure Administering shared drives Planning the file review Reviewing files Cleaning up with software Maintaining Your Drives Creating a usage policy Relying on the administrator Using software to maintain your drives
Out of sight — out of mind Driving up the costs Driving down function lane
Taking time to know your drives Mapping a course of action Creating a folder structure Administering shared drives Planning the file review Reviewing files Cleaning up with software
Creating a usage policy Relying on the administrator Using software to maintain your drives
The Anatomy of an E-Mail Determining the value of the message Scheduling time for e-mail The rising risks of e-mail Managing quotas Filing the Message PSSST! What you need to know about PST folders MSG can be good for your informational health Naming e-mail Using Software to Manage E-Mail E-mail archiving systems Optimizing with DM and ECM applications
Determining the value of the message Scheduling time for e-mail The rising risks of e-mail Managing quotas
PSSST! What you need to know about PST folders MSG can be good for your informational health Naming e-mail
E-mail archiving systems Optimizing with DM and ECM applications
Chapter 7: Watch Out, I’m Backing Up Creating a Backup Plan Identifying different types of backups Finding a place to back up Distinguishing between backups and archives The tale of the mystery tape Managing Backups Determining what needs to be backed up Applying retention to backups Creating a data retention schedule Deleting backed-up and archived information Chapter 8: Know When to Hold ’em Discovering Discovery Initiating a Legal Hold The components of a legal hold Organizing the search party Searching in the dark E-mail — the smoking gun Keying in on keywords Searching made simple Preserving what you find Maintaining the legal hold We have liftoff Chapter 9: Imaging Documents From Paper to Paperless Understanding the basics of document imaging Benefiting from an image makeover To Image, or Not to Image Conducting an imaging needs assessment Stepping through the imaging process Prep school Scanning documents Recognizing a good thing when you see it Applying indexes Controlling the quality Determining Your Imaging Approach What happens in-house stays in-house Equipping your imaging operation Gathering Requirements Conducting a document analysis End of the beginning Calculating the Return on Investment (ROI) Investing in the benefits Knowing your customer Valuating the benefits Evaluating Imaging Hardware and Software Examining document scanners The role of document-imaging software Chapter 10: Software Applications Examining Software Options Laying the software foundation Types of software Assessing Your Needs Calculating the return on investment (ROI) Identifying your “pain points” Conducting a requirements analysis Evaluating Vendors Determining your evaluation approach Using business-use cases Detailing the results It’s not all about functionality Comparing the results Guiding You through Implementation Why implementations fail How to ensure that your implementation is a success!
Creating a Backup Plan Identifying different types of backups Finding a place to back up Distinguishing between backups and archives The tale of the mystery tape Managing Backups Determining what needs to be backed up Applying retention to backups Creating a data retention schedule Deleting backed-up and archived information
Identifying different types of backups Finding a place to back up Distinguishing between backups and archives The tale of the mystery tape
Determining what needs to be backed up Applying retention to backups Creating a data retention schedule Deleting backed-up and archived information
Discovering Discovery Initiating a Legal Hold The components of a legal hold Organizing the search party Searching in the dark E-mail — the smoking gun Keying in on keywords Searching made simple Preserving what you find Maintaining the legal hold We have liftoff
The components of a legal hold Organizing the search party Searching in the dark E-mail — the smoking gun Keying in on keywords Searching made simple Preserving what you find Maintaining the legal hold We have liftoff
From Paper to Paperless Understanding the basics of document imaging Benefiting from an image makeover To Image, or Not to Image Conducting an imaging needs assessment Stepping through the imaging process Prep school Scanning documents Recognizing a good thing when you see it Applying indexes Controlling the quality Determining Your Imaging Approach What happens in-house stays in-house Equipping your imaging operation Gathering Requirements Conducting a document analysis End of the beginning Calculating the Return on Investment (ROI) Investing in the benefits Knowing your customer Valuating the benefits Evaluating Imaging Hardware and Software Examining document scanners The role of document-imaging software
Understanding the basics of document imaging Benefiting from an image makeover
Conducting an imaging needs assessment Stepping through the imaging process Prep school Scanning documents Recognizing a good thing when you see it Applying indexes Controlling the quality
What happens in-house stays in-house Equipping your imaging operation
Conducting a document analysis End of the beginning
Investing in the benefits Knowing your customer Valuating the benefits
Examining document scanners The role of document-imaging software
Examining Software Options Laying the software foundation Types of software Assessing Your Needs Calculating the return on investment (ROI) Identifying your “pain points” Conducting a requirements analysis Evaluating Vendors Determining your evaluation approach Using business-use cases Detailing the results It’s not all about functionality Comparing the results Guiding You through Implementation Why implementations fail How to ensure that your implementation is a success!
Laying the software foundation Types of software
Calculating the return on investment (ROI) Identifying your “pain points” Conducting a requirements analysis
Determining your evaluation approach Using business-use cases Detailing the results It’s not all about functionality Comparing the results
Why implementations fail How to ensure that your implementation is a success!
Chapter 11: Storage Locations Storing Inactive Records Onsite Protecting your inactive records Implementing access control procedures Optimizing your inactive storage Getting to Know the Record Storage Vendor Understanding the fee structure Making sure that your requirements are met Contracting with the vendor Chapter 12: Compliant Destruction Determining the Appropriate Destruction Method Deciding on Your Shredding Approach Shredding your own documents Getting to know the shredders themselves Outsourcing your shredding Selecting the Right Shred Vendor How to ensure that electronic information is unrecoverable Establishing your shredding requirements Developing an Information Destruction Policy If you can’t do it, don’t include it Elements of an effective destruction policy
Storing Inactive Records Onsite Protecting your inactive records Implementing access control procedures Optimizing your inactive storage Getting to Know the Record Storage Vendor Understanding the fee structure Making sure that your requirements are met Contracting with the vendor
Protecting your inactive records Implementing access control procedures Optimizing your inactive storage
Understanding the fee structure Making sure that your requirements are met Contracting with the vendor
Determining the Appropriate Destruction Method Deciding on Your Shredding Approach Shredding your own documents Getting to know the shredders themselves Outsourcing your shredding Selecting the Right Shred Vendor How to ensure that electronic information is unrecoverable Establishing your shredding requirements Developing an Information Destruction Policy If you can’t do it, don’t include it Elements of an effective destruction policy
Shredding your own documents Getting to know the shredders themselves Outsourcing your shredding
How to ensure that electronic information is unrecoverable Establishing your shredding requirements
If you can’t do it, don’t include it Elements of an effective destruction policy
Chapter 13: Codifying the Policies Developing a Records and Information Management Policy Understanding what a policy is (and isn’t) The basic characteristics of a good policy Talking records and information Making the Policy Available Distributing the hard copy Attaching a soft copy The missing link Auditing the Policy Developing an audit plan Determining what to audit Communicating the audit Documenting the audit findings Chapter 14: Train the Troops I’m Aware of That! From the top What’s in it for me? Creating a creative awareness campaign Developing a Training Plan Deciding on the curriculum One size doesn’t always fit all How refreshing Training the Masses How much time do I have? Face-time training Webinars Intranet-based training
Developing a Records and Information Management Policy Understanding what a policy is (and isn’t) The basic characteristics of a good policy Talking records and information Making the Policy Available Distributing the hard copy Attaching a soft copy The missing link Auditing the Policy Developing an audit plan Determining what to audit Communicating the audit Documenting the audit findings
Understanding what a policy is (and isn’t) The basic characteristics of a good policy Talking records and information
Distributing the hard copy Attaching a soft copy The missing link
Developing an audit plan Determining what to audit Communicating the audit Documenting the audit findings
I’m Aware of That! From the top What’s in it for me? Creating a creative awareness campaign Developing a Training Plan Deciding on the curriculum One size doesn’t always fit all How refreshing Training the Masses How much time do I have? Face-time training Webinars Intranet-based training
From the top What’s in it for me? Creating a creative awareness campaign
Deciding on the curriculum One size doesn’t always fit all How refreshing
How much time do I have? Face-time training Webinars Intranet-based training
Chapter 15: Ten Simple Management Guidelines Limiting E-Mail Attachments Knowing How to Dispose of Information Structuring Electronic Folders Naming Files Managing Active and Inactive Periods Scheduling Destruction and Deletion Creating the Proper Filing System Avoiding the “Keep Everything” Syndrome Managing Copies Keeping It Simple Chapter 16: Ten Emerging Trends Governing Information Computing in the Clouds Big Data Social Media Putting Some Structure to It Let’s Collaborate Generally Accepted Recordkeeping Principles Mapping Your Data Enterprise Searching Don’t Get Duped Appendix: Sample Forms and Vendor Listings Inventory and appraisal forms Retention schedule forms
Limiting E-Mail Attachments Knowing How to Dispose of Information Structuring Electronic Folders Naming Files Managing Active and Inactive Periods Scheduling Destruction and Deletion Creating the Proper Filing System Avoiding the “Keep Everything” Syndrome Managing Copies Keeping It Simple
Governing Information Computing in the Clouds Big Data Social Media Putting Some Structure to It Let’s Collaborate Generally Accepted Recordkeeping Principles Mapping Your Data Enterprise Searching Don’t Get Duped
Inventory and appraisal forms Retention schedule forms