New 2012 Report!
Developing & Implementing
Records Retention & Disposition Schedules
& Disposition Schedules for E-Records
Including Inventorying, File
Plans, Taxonomies, Metadata Consistency & SharePoint 2010 Tips
A Management Guide
Robert F. Smallwood, MBA IMERGE Consulting
Who we are
IMERGE Consulting is North America's largest and
most experienced team of experts in the fields of enterprise content
management (ECM) and business process optimization. IMERGE is also a
leading provider of education courses in records management,
electronic document capture and e-discovery through our alliance
with Wexford Partners. IMERGE has offices in major cities including
Boston, San Francisco, Toronto, Chicago, Houston, Los Angeles,
Minneapolis, Seattle, New Orleans and Washington, DC.
What we have achieved
Our track record speaks for itself: We have
completed more successful projects, published more articles and
given more expert presentations than any other enterprise content
management consulting firm in the world. We are proud that our
organizations include some of the world’s best and largest public
and private organizations. Learn more about us at
imergeconsult.com or contact an
IMERGE professional today to discuss putting our expertise to work
About the Author
Robert Smallwood, MBA, Master of Information
Technology, Laureate of Information Technology
is a founding Partner of IMERGE Consulting and
has been recognized as one of the industry’s “25Most Influential
People” and “Top 3 Independent Consultants” by KM World magazine. Some of his past organizations
include Bank of America, AT&T, Xerox and IBM. He has published more
than 100 articles and given more than 50 conference presentations on
document, records and content management. He is the author of the
book, Taming the
Email Tiger, and several
Table of Contents
Introduction to Records Retention
GARP® Can Be a Helpful Guide
Inventorying: First Step
Records Inventory Purposes
What is a Retention Schedule?
Why Are Retention
What information should be included in a
15 Benefits of Records Retention Schedules
Electronic Transactions Act (UETA: 1999)
Signatures in Global and National Commerce Act
Types of Retention
Principles of Records Scheduling
Who Compiles and Maintains the Retention
Key Steps: How to Compile a Retention Schedule
Retention Scheduling for Disposition of E-Records
Creating an Organization-Wide Scheduling
Determining Scope of Scheduling Projects
5 Reasons Records Are Grouped Together
and Categorizing Records Series
Reviewing Collected Schedule Data
Developing Records Series Descriptors
Value of Records
Determining Closure Criteria, and Final
The Value of
Classification for E-Records Management
classify business information by function?
Are All Emails a
Characteristics of Reliable Email Evidence
4 Key Email
Ten Legal, Regulatory, and Business
Reasons to Archive Email
Email Archiving in the Cloud
Email Archiving or
Don’t Confuse Archiving with Backup
3 Best Practices
for Email Record Management
Failure to Manage Email: Consequences and
Introduction to Business Classification Schemes
5 Benefits of a
a Functional Thesaurus?
Naming of files and folders
4 Key Advantages
of a Functional BCS
Tagging vs. Taxonomy?
8 Steps to
Successful Taxonomy Design
8 Things You Need to Know About Taxonomy,
Metadata and Information Architecture in SharePoint 2010
Tools for Managing
Electronic Records Management
Glossary of Terms
schedule sets out the amount of time that an organization needs to
keep certain types of records. It applies to records in all formats,
including paper and electronic information.
schedules should identify and describe records series or systems,
not individual records.
is the process of determining how long an organization needs to keep
its records, taking into account the operational business needs,
legal, and/or regulatory requirements. A records retention schedule
provides an approved list of records series indicating for each
series the length of time and format(s) in which records are to be
retained and their associated disposition process at the end of
processes include not only destruction but also the selection and
protection of historical records for an organizational archival
program. Event-based disposition directives may also include
transfer of records.
Every U.S. state
has laws governing the acceptance of electronic records and
signatures with the legal standing of those on paper.
Email represents the greatest challenge
for managing records. Email archiving software can help maintain a
real-time audit trail of email. Not all email messages are records.
Email nonrecords are a liability and should not be kept.
classification scheme (BCS) or file plan is a conceptual
hierarchical representation of the business activity performed by an
organization used to organize e-records and documents. A taxonomy is
the underpinning and detail for a BCS. A taxonomy is the standard
vocabulary a company uses to describe its business. Taxonomies
should make information easier to find.
This Management Guide will assist senior
managers, records managers, IT managers, compliance managers and
others involved in electronic records and e-discovery
implementations to make intelligent, informed decisions.
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