Table of Contents

How To Use This Book...xvii

Chapter 1: The Information Nation Warrior: An Introduction...1
Your Changing Information Management Reality ...3
The Information Management Compliance Battle ...4

Chapter 2: The Information Nation Warrior Quadrants ...9
I. Information Technology Quadrant 11
II. Legal Quadrant ...12
II. Business Quadrant ...12
IV. Records Management Quadrant ...13

Chapter 3: Assessing Your Information Nation Warrior Quotient...15
I. IT Quadrant ...15
II. Legal Quadrant ...16
III. Business Quadrant ...16
IV. Records Management Quadrant ...17

Warrior Quadrant I: Information Technology ...19

Chapter 4: Take Control Of IT Today ...21
Where Warriors Need to be Involved... 22
Policy Should Drive Technology...24
Take Control at the Frontiers ...26

Chapter 5: Bridge the Gap Between Policy and IT Management ...29
What are Internal Controls? ...29
IMC and Internal Controls ...31
Internal Control Frameworks ...32
COBIT Framework (Control Objectives for Information and Related Technology) ...32
COSO Framework (Committee of Sponsoring Organizations of the Treadway Commission) ...33

Chapter 6: Be Prepared for Problems ...35
Get Your IT House in Order ...35
Data Today, Evidence Tomorrow ...37
Data in Hiding ...40
Manage Systems to Protect Content ...41

Chapter 7: Build Compliant IT Systems ...43
System Trustworthiness and Record Trustworthiness ...44
Record Completeness ...46
Record Format ...46
Record Integrity ...47

Chapter 8: Don’t Reinvent the Wheel: Best Practices and Standards ...49
Evaluating Best Practices ...50
The Benefits of Best Practices and Standards ...50
Sources of Best Practices and Industry Standards ...52

Chapter 9: Be a Critical Purchaser ...55
Providing IMC Input on the IT Purchasing Process ...56
Justifying Projects With TCO And ROI ...58
Total Cost of Ownership (TCO) ...58
Return on Investment (ROI)...58
Total Cost of Failure (TCF) ...59
The Request For Proposal ...60
Choosing The Right Vendor ...62
Pilot Projects ...63

Chapter 10: Use Project Management for IMC Success ...65
Project Management Documentation ...65
Managing Resources ...67
Managing Scope ...68
Communication ...69

Chapter 11: Understand Your IT Organization ...71
Views of IT ...71
Assessing Your IT Department ...73
The Impact on IMC ...73
The Tactical View: Pros and Cons ...74
The Strategic View: Pros and Cons ...74
New Challenges for IT ...75

Warrior Quadrant II: Legal Quadrant ...77

Chapter 12: Translate Law Into IT Reality ...79
Good IT Planning and Management are Central to Compliance ...82
New Technologies, New Legal Considerations ...83

Chapter 13: Address Legal Issues Throughout the Information Lifecycle ...87
Manage “Unstructured Content” ...90
IMC Intentions Matter ...91

Chapter 14: Assess Your Electronic Discovery Readiness ...93
Assess Your Readiness ...93
Answer True or False ...93
The Answers ...95

Chapter 15: Ensure That Legal Responsibilities are Clear—Especially When Trouble Strikes ...99
The Legal Hold Challenge ...100
The Legal Hold Process ...101
The Legal Hold Notice: A Checklist ...103
Manage Information Today—Prepare for Tomorrow ...104

Chapter 16: Make Informed IMC Legal Decisions ...107
Electronic Records and Signatures: Where the Rubber Meets the Road ...109
Making Decisions About Electronic Signatures ...110

Chapter 17: Don’t Try to Buy Compliance ...113
Avoid Legal Advice from a Salesperson ...113
Validate Compliance Claims ...114
Carefully Evaluate “Intelligent” Solutions ...115
Fight the Urge to Buy into the “SOX in a BOX” Solution ...115

Chapter 18: Strive For IMC Consistency ...119
Train Your Organization ...119
Consistency Starts at the Top ...121
Instant Messaging ...121
Dealing with the Tough-to-Retain Records ...124
Consistency Checklist ...125

Chapter 19: You May Not Like It, But You Still Need To Comply ...127
What Do Legal and Regulatory Compliance Failures Look Like? ...127
Case #1: Insurance Firm Fined and Forced to Create New Information Management Program ...127
Case #2. Accounting Firm Loses Most of Its Customers Long Before It Is Prosecuted ...129
Case #3: WorldCom Assigned RM Babysitter Because They Just Didn’t Get It ...129
The Law Does Not Expect Perfection ...131
Know The Laws That Apply To You ...133
California Database Protection Act ...133
SOX and Foreign Companies ...134

Warrior Quadrant III: Business Quadrant ...135

Chapter 20: Carpe Diem: Making the Case for IMC Has Never Been Easier ...137
The Changing Environment for IMC ...137
Taking Advantage of the Changing Environment ...140
The Stick (Fear, Uncertainty and Doubt) ...140
The Carrot (Faster, Better, Cheaper) ...140

Chapter 21: Use Business Management Techniques for IMC Success ...143
Use Management Objectives to Stay Focused ...143
Be Your Own Champion—Learn to Tell Your Story ...145
Come to Management with Solutions, Not Problems ...147

Chapter 22: Find An Executive Champion ...149
Finding the Right Champion ...150

Chapter 23: Learn to Articulate the Business Value of IMC ...153
Manage Information Overload ...153
Manage Information to Drive Business ...154
Manage Knowledge ...155

Chapter 24: Manage Change...157
Educate Executives and Middle Management ...158
Eliminate Resistance Through Widespread Involvement ...159

Chapter 25: Align IMC with Business Goals ...161
Organizational Goals And Priorities ...162
Good Governance and IMC ...163
Information is an Asset ...164

Chapter 26: Run IMC Like a Business ...165
Know Your Customers ...165
Understand and Balance Business Needs ...167

Chapter 27: Building and Managing the IMC Team: Tips for Success ...169
Establish Both Strategic And Tactical Goals ...169
Pick The Low Hanging Fruit First ...170
Establish an Easy Way to Communicate and Coordinate ...171
Establish a Clear Approval and Decision-Making Chain ...171
Find A Great Project Manager ...171

Warrior Quadrant IV: Records Management ...173

Chapter 28: Make Value Judgments About Information ...175
Are the Organization’s Retention Efforts Reasonable? ...176
Assess the Value Based on Content ...177
The Devil is in the Details: Metadata ...178

Chapter 29: Address the New Records Management Reality ...181
Coordination with IT ...181
The Importance of Intent ...182

Chapter 30: Simplify Records Management Rules— Even Though Technology May be Complex ...185
Simplify, Simplify, Simplify ...185
Automated Processes ...186
Employee Education ...187

Chapter 31: Put a New Face on Records Management ...189
Reach Out to Internal Customers ...190

Chapter 32: Teach Your Organization That All Employees Share Records Management Responsibilities ...193
The Role That All Employees Play in RM ...194

Chapter 33: Records Management Expertise to Aid Business Continuity ...197
Records Management and Business Continuity are Not the Same Thing ...198
Business Continuity Needs the RM Perspective...199

Chapter 34: Harness Technology to Manage E-Records ...201
Audit Trails ...201
Manage in Electronic Form ..203
Proper E-Disposal: Cleansing Hard Drives ...203

Chapter 35: Don’t Forget Records Management Fundamentals in the Digital World ...207
Even “Transitory” Records Need to be Managed ...207
Identify What You Need to Retain and Access the Record ...207
Pay Attention to Retention ...208
Can You Find It and Access It? ...218
Dispose of It Properly ...208

Endnotes ...211

Purchasing Information Nation Warrior

Information Nation Warrior: Information Management Compliance Boot Camp is available for purchase here.