Information Governance Concepts, Strategies, and Best Practices

  • ISBN13:


  • ISBN10:


  • Edition: 1st
  • Format: Hardcover
  • Copyright: 2014-04-21
  • Publisher: Wiley

Note: Supplemental materials are not guaranteed with Rental or Used book purchases.

Purchase Benefits

  • Free Shipping On Orders Over $35!
    Your order must be $35 or more to qualify for free economy shipping. Bulk sales, PO's, Marketplace items, eBooks and apparel do not qualify for this offer.
  • Get Rewarded for Ordering Your Textbooks! Enroll Now
List Price: $80.00 Save up to $28.70
  • Rent Book $72.00
    Add to Cart Free Shipping


Supplemental Materials

What is included with this book?

  • The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.
  • The Rental copy of this book is not guaranteed to include any supplemental materials. Typically, only the book itself is included. This is true even if the title states it includes any access cards, study guides, lab manuals, CDs, etc.


Proven and emerging strategies for addressing document and records management risk within the framework of information governance principles and best practices Information Governance (IG) is a rapidly emerging "super discipline" and is now being applied to electronic document and records management, email, social media, cloud computing, mobile computing, and, in fact, the management and output of information organization-wide. IG leverages information technologies to enforce policies, procedures and controls to manage information risk in compliance with legal and litigation demands, external regulatory requirements, and internal governance objectives. Information Governance for Business Documents and Records reveals how, and why, to utilize IG and leverage information technologies to control, monitor, and enforce information access and security policies. Written by one of the most recognized and published experts on document management Provides big picture guidance on the imperative for information governance and best practice guidance on electronic document and records management Crucial advice and insights for compliance and risk managers, operations managers, corporate counsel, corporate records managers, legal administrators, information technology managers, archivists, knowledge managers, and information governance professionals IG sets the policies that control and manage the use of organizational information, including social media, mobile computing, cloud computing, email, instant messaging, and the use of e-documents and records. This extends to e-discovery planning and preparation. Information Governance for Business Documents and Records provides step-by-step guidance for developing information governance strategies and practices to manage risk in the use of electronic business documents and records.

Table of Contents




Part I: Information Governance Concepts, Definitions & 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


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


Chapter 3 Information Governance Principles

Accountability Is Key

Generally Accepted Recordkeeping Principles®

Contributed by Charmaine Brooks, CRM

Assessment and Improvement Roadmap

Who Should Determine IG Policies?


Part II: 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


Chapter 5 Strategic Planning and Best Practices for Information Governance

The 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


Chapter 6 Information Governance Policy Development

A Brief Review of Generally Accepted Recordkeeping Principles®

The IG Reference Model (IGRM)

Best Practices Considerations

Standards Considerations

Benefits and Risks of Standards

Key Standards Relevant to IG Efforts

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


Part III: Information Governance Key Impact Areas

Chapter 7 Information Governance and Legal Functions (Robert Smallwood with Randy Kahn, Esq., and Barry Murphy)

Introduction to E-Discovery: The Revised 2006 Federal Rules of Civil Procedure (FRCP) Changed Everything

Big Data Impact

More Detail on the Revised FRCP Rules

A Landmark E-discovery Case: Zubulake v. UBS Warburg

Defensible Disposal: The Only Real Way to Manage Terabytes and Petabytes

This section is by Randy Kahn, Esq.

E-Discovery Techniques

E-Discovery Reference Model

The Intersection of IG and e-Discovery

This section is by Barry Murphy

Retention Policies and Schedules

This section is by Robert Smallwood, edited by Paula Lederman, MLS

Building on Legal Hold Programs to Launch Defensible Disposition

This section is by Barry Murphy, edited by Robert Smallwood

Destructive Retention of E-mail

Newer Technologies That Can Assist in E-discovery


Chapter 8 Information Governance and Records and Information Management (RIM) Functions

Records Management Business Rationale

Why Is Records Management So Challenging?

Benefits of Electronic Records Management

Additional Intangible Benefits

Inventorying E-Records

The Generally Accepted Recordkeeping Principles®

E-Records Inventory Challenges

Records Inventory Purposes

Records Inventorying Steps

Appraising the Value of Records

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?

Destruction Retention of E-mail

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


Chapter 9 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


Chapter 10 Information Governance and Privacy and Security Functions

Cyber Attacks Proliferate

The 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 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

The Missing Piece: Information Rights Management (IRM)

Embedded Protection

A 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


Chapter 11 Business Considerations for a Successful IG Program (Barclay T. Blair, edited by Robert Smallwood)

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 the IG-enabled Organization Will Look Like

Moving Forward


Part IV: 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


Chapter 13 Information Governance for Social Media (Robert Smallwood and Dr. Patricia Franks)

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 Considerations for Social Media

Emerging Best Practices for Managing Social Media Records


Chapter 14 Information Governance for Mobile Devices

Current Trends in Mobile Computing

Security Risks of Mobile Computing

Securing Mobile Data

Mobile Device Management (MDM)

IG for Mobile Computing

Building Security into Mobile Applications

Best Practices to Secure Mobile Applications

Developing Mobile Device Policies


Chapter 15 Information Governance for Cloud Computing

Defining Cloud Computing

Key Characteristics of Cloud Computing

What Cloud Computing Really Means

Cloud Deployment Models

Greatest Security Threats to Cloud Computing

IG Guidelines: Managing Documents and Records in the Cloud

Managing E-Docs and Records in the Cloud: A Practical Approach

Long-Term Content Migration Issues

Cloud Services Lack Basic Records Management Capabilities


Chapter 16 SharePoint Governance for E-Records and Documents (Monica Crocker, CRM, PMP, edited by Robert Smallwood)

Process Change, People Change

Where to Begin the Planning Process

Records Management Policy Considerations

Roles and Responsibilities

Establish Processes

Training Plan

Communications Plan


Part V: Long Term Program Issues

Chapter 17 Long-Term Digital Preservation (Charles M. Dollar and Lori J. Ashley)

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


Chapter 18 Maintaining an Information Governance Program and Culture of Compliance

Monitoring and Accountability

Continuous Process Improvement

Why Continuous Improvement is Needed


Appendix A Information Organization and Classification: Taxonomies and Metadata (Barb Blackburn, CRM, with Robert Smallwood; edited by Seth Earley)

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


Appendix B Laws and Major Regulations Related to Records Management

United States


United Kingdom


Identifying Records Management Requirements in Other Legislation



About the Author

About the Major Contributors


Rewards Program

Write a Review