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Dedication
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Dedication
by Robert F. Smallwood
Information Governance: Concepts, Strategies, and Best Practices
Cover Page
Title Page
Copyright
Dedication
CONTENTS
PREFACE
ACKNOWLEDGMENTS
PART ONE: Information Governance Concepts, Definitions, and Principles
CHAPTER 1: The Onslaught of Big Data and the Information Governance Imperative
Defining Information Governance
IG Is Not a Project, But an Ongoing Program
Why IG Is Good Business
Failures in Information Governance
Form IG Policies, Then Apply Technology for Enforcement
Notes
CHAPTER 2: Information Governance, IT Governance, Data Governance: What's the Difference?
Data Governance
IT Governance
Information Governance
Impact of a Successful IG Program
Summing Up the Differences
Notes
CHAPTER 3: Information Governance Principles *
Accountability Is Key
Generally Accepted Recordkeeping Principles®
Assessment and Improvement Roadmap
Who Should Determine IG Policies?
Notes
PART TWO: Information Governance Risk Assessment and Strategic Planning
CHAPTER 4: Information Risk Planning and Management
Step 1: Survey and Determine Legal and Regulatory Applicability and Requirements
Step 2: Specify IG Requirements to Achieve Compliance
Step 3: Create a Risk Profile
Step 4: Perform Risk Analysis and Assessment
Step 5: Develop an Information Risk Mitigation Plan
Step 6: Develop Metrics and Measure Results
Step 7: Execute Your Risk Mitigation Plan
Step 8: Audit the Information Risk Mitigation Program
Notes
CHAPTER 5: Strategic Planning and Best Practices for Information Governance
Crucial Executive Sponsor Role
Evolving Role of the Executive Sponsor
Building Your IG Team
Assigning IG Team Roles and Responsibilities
Align Your IG Plan with Organizational Strategic Plans
Survey and Evaluate External Factors
Formulating the IG Strategic Plan
Notes
CHAPTER 6: Information Governance Policy Development
A Brief Review of Generally Accepted Recordkeeping Principles®
IG Reference Model
Best Practices Considerations
Standards Considerations
Benefits and Risks of Standards
Key Standards Relevant to IG Efforts
Major National and Regional ERM Standards
Making Your Best Practices and Standards Selections to Inform Your IG Framework
Roles and Responsibilities
Program Communications and Training
Program Controls, Monitoring, Auditing, and Enforcement
Notes
PART THREE: Information Governance Key Impact Areas Based on the IG Reference Model
CHAPTER 7: Business Considerations for a Successful IG Program
Changing Information Environment
Calculating Information Costs
Big Data Opportunities and Challenges
Full Cost Accounting for Information
Calculating the Cost of Owning Unstructured Information
The Path to Information Value
Challenging the Culture
New Information Models
Future State: What Will the IG-Enabled Organization Look Like?
Moving Forward
Notes
CHAPTER 8: Information Governance and Legal Functions
Introduction to e-Discovery: The Revised 2006 Federal Rules of Civil Procedure Changed Everything
Big Data Impact
More Details on the Revised FRCP Rules
Landmark E-Discovery Case: Zubulake v. UBS Warburg
E-Discovery Techniques
E-Discovery Reference Model
The Intersection of IG and E-Discovery
Building on Legal Hold Programs to Launch Defensible Disposition
Destructive Retention of E-mail
Newer Technologies That Can Assist in E-Discovery
Defensible Disposal: The Only Real Way To Manage Terabytes and Petabytes
Retention Policies and Schedules
Notes
CHAPTER 9: Information Governance and Records and Information Management Functions
Records Management Business Rationale
Why Is Records Management So Challenging?
Benefits of Electronic Records Management
Additional Intangible Benefits
Inventorying E-Records
Generally Accepted Recordkeeping Principles ®
E-Records Inventory Challenges
Records Inventory Purposes
Records Inventorying Steps
Ensuring Adoption and Compliance of RM Policy
General Principles of a Retention Scheduling
Developing a Records Retention Schedule
Why Are Retention Schedules Needed?
What Records Do You Have to Schedule? Inventory and Classification
Rationale for Records Groupings
Records Series Identification and Classification
Retention of E-Mail Records
How Long Should You Keep Old E-Mails?
Destructive Retention of E-Mail
Legal Requirements and Compliance Research
Event-Based Retention Scheduling for Disposition of E-Records
Prerequisites for Event-Based Disposition
Final Disposition and Closure Criteria
Retaining Transitory Records
Implementation of the Retention Schedule and Disposal of Records
Ongoing Maintenance of the Retention Schedule
Audit to Manage Compliance with the Retention Schedule
Notes
CHAPTER 10: Information Governance and Information Technology Functions
Data Governance
Steps to Governing Data Effectively
Data Governance Framework
Information Management
IT Governance
IG Best Practices for Database Security and Compliance
Tying It All Together
Notes
CHAPTER 11: Information Governance and Privacy and Security Functions
Cyberattacks Proliferate
Insider Threat: Malicious or Not
Privacy Laws
Defense in Depth
Controlling Access Using Identity Access Management
Enforcing IG: Protect Files with Rules and Permissions
Challenge of Securing Confidential E-Documents
Apply Better Technology for Better Enforcement in the Extended Enterprise
E-Mail Encryption
Secure Communications Using Record-Free E-Mail
Digital Signatures
Document Encryption
Data Loss Prevention (DLP) Technology
Missing Piece: Information Rights Management (IRM)
Embedded Protection
Hybrid Approach: Combining DLP and IRM Technologies
Securing Trade Secrets after Layoffs and Terminations
Persistently Protecting Blueprints and CAD Documents
Securing Internal Price Lists
Approaches for Securing Data Once It Leaves the Organization
Document Labeling
Document Analytics
Confidential Stream Messaging
Notes
PART FOUR: Information Governance for Delivery Platforms
CHAPTER 12: Information Governance for E-Mail and Instant Messaging *
Employees Regularly Expose Organizations to E-Mail Risk
E-Mail Polices Should Be Realistic and Technology Agnostic
E-Record Retention: Fundamentally a Legal Issue
Preserve E-Mail Integrity and Admissibility with Automatic Archiving
Instant Messaging
Best Practices for Business IM Use
Technology to Monitor IM
Tips for Safer IM
Notes
CHAPTER 13: Information Governance for Social Media *
Types of Social Media in Web 2.0
Additional Social Media Categories
Social Media in the Enterprise
Key Ways Social Media Is Different from E-Mail and Instant Messaging
Biggest Risks of Social Media
Legal Risks of Social Media Posts
Tools to Archive Social Media
IG Considerations for Social Media
Key Social Media Policy Guidelines
Records Management and Litigation Considerations for Social Media
Emerging Best Practices for Managing Social Media Records
Notes
CHAPTER 14: Information Governance for Mobile Devices *
Current Trends in Mobile Computing
Security Risks of Mobile Computing
Securing Mobile Data
Mobile Device Management
IG for Mobile Computing
Building Security into Mobile Applications
Best Practices to Secure Mobile Applications
Developing Mobile Device Policies
Notes
CHAPTER 15: Information Governance for Cloud Computing *
Defining Cloud Computing
Key Characteristics of Cloud Computing
What Cloud Computing Really Means
Cloud Deployment Models
Security Threats with Cloud Computing
Benefits of the Cloud
Managing Documents and Records in the Cloud
IG Guidelines for Cloud Computing Solutions
Notes
CHAPTER 16: SharePoint ® Information Governance *
Process Change, People Change
Where to Begin the Planning Process
Policy Considerations
Roles and Responsibilities
Establish Processes
Training Plan
Communication Plan
Note
PART FIVE: Long-Term Program Issues
CHAPTER 17: Long-Term Digital Preservation *
Defining Long-Term Digital Preservation
Key Factors in Long-Term Digital Preservation
Threats to Preserving Records
Digital Preservation Standards
PREMIS Preservation Metadata Standard
Recommended Open Standard Technology-Neutral Formats
Digital Preservation Requirements
Long-Term Digital Preservation Capability Maturity Model ®
Scope of the Capability Maturity Model
Digital Preservation Capability Performance Metrics
Digital Preservation Strategies and Techniques
Evolving Marketplace
Looking Forward
Notes
CHAPTER 18: Maintaining an Information Governance Program and Culture of Compliance *
Monitoring and Accountability
Staffing Continuity Plan
Continuous Process Improvement
Why Continuous Improvement Is Needed
Notes
APPENDIX A: Information Organization and Classification: Taxonomies and Metadata *
Importance of Navigation and Classification
When Is a New Taxonomy Needed?
Taxonomies Improve Search Results
Metadata and Taxonomy
Metadata Governance, Standards, and Strategies
Types of Metadata
Core Metadata Issues
International Metadata Standards and Guidance
Records Grouping Rationale
Business Classification Scheme, File Plans, and Taxonomy
Classification and Taxonomy
Prebuilt versus Custom Taxonomies
Thesaurus Use in Taxonomies
Taxonomy Types
Business Process Analysis
Taxonomy Testing: A Necessary Step
Taxonomy Maintenance
Social Tagging and Folksonomies
Notes
APPENDIX B: Laws and Major Regulations Related to Records Management
United States
Canada
United Kingdom
Australia
Notes
APPENDIX C: Laws and Major Regulations Related to Privacy
United States
Major Privacy Laws Worldwide, by Country
Notes
GLOSSARY
Notes
ABOUT THE AUTHOR
ABOUT THE MAJOR CONTRIBUTORS
INDEX
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For my sons and the next generation of tech-savvy managers
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