Table of Contents

Forward by Jay Cohen, ESQ. ...xi
Preface by John F. Mancini ...xv
Introduction: Welcome to a New Era of Information Management...1

PART 1 Laying the Foundations of Information Management Compliance...7

Chapter 1 Why Information Management Matters...9
Chapter 2 Building the Foundation: Defining Records...17
Chapter 3 An Overview of Records Management...31
Chapter 4 Information Management Compliance (IMC)...43
Chapter 5 Achieving IMC: Introduction to the Seven Keys ...57
Chapter 6 Sarbanes-Oxley and IMC...65

PART 2 Seven Keys to Information Management Compliance ...75

Key 1 Good Policies and Procedures...77
Chapter 7 The Purpose of Policies and Procedures...79
Chapter 8 Making Good Policies and Procedures...89
Chapter 9 Information Management Policy Issues...103

Key 2 Executive-Level Program Responsibility...125
Chapter 10 Executive Leadership, Sine Qua Non ...127
Chapter 11 What Executive Responsibility Means ...141
Chapter 12 IT Leadership ...147

Key 3 Proper Delegation of Program Roles and Components ...163
Chapter 13 Create an Organizational Structure to Support IMC ...165
Chapter 14 A Sample Information Management Organizational Structure...175

Key 4 Program Communication and Training...185
Chapter 15 Essential Elements of Information Management
Communication and Training...187

Key 5 Auditing and Monitoring to Measure Program Compliance...201
Chapter 16 Use Auditing and Monitoring to Measure IMC ...203

Key 6 Effective and Consistent Program Enforcement...219
Chapter 17 Addressing Employee Policy Violations...221
Chapter 18 Using Technology to Enforce Policy...23

Key 7 Continuous Program Improvement...239
Chapter 19 The Ongoing Work of...241

Conclusion...259
Notes...261
Index..271
Industry Resources...281
About the Authors...301