Appendix Sample Forms, Vendor Listings, and GARP In This Appendix ▶ Sample forms ▶ List of software vendors ▶ Information on Gartner’s Magic Quadrant for Enterprise Content Management ▶ Generally Accepted Recordkeeping Principles ▶ ARMA International’s Maturity Model for Information Governance N o offense intended to the feline lovers out there, but there’s usually more than one way to skin a cat — Records and Information management is no exception. Although the objective is creating an effective and compliant Records and Information Management program, how you choose to achieve the goal can vary. In this appendix, you find different form templates that give you options for documenting a Records and Information inventory and appraisal, as well as different retention schedule formats. If you think that software may be appropriate for your business, the appendix provides a listing of Records, Document, and Enterprise Content Management applications for organizations of all sizes, as well as vendor contact information. To help you evaluate some of the vendors, I include Gartner’s Magic Quadrant for Enterprise Content Management research paper. And if that wasn’t enough, the appendix contains the ARMA International Maturity Model for Information Governance. The model allows you to assess the current state of your Records and Information Management program and determine what steps you need to take to make it better. 9781118388082-bc01.indd 1 9/12/12 3:04 PM 2 Records Management For Dummies Sample Forms In the following sections, you find different form options for conducting and documenting Records and Information inventories, appraisals, and format options for your retention schedule. (See Figures AA-1 through AA-10.) This includes templates for full-blown Records and Information inventories, as well as forms that you can use for an interview or questionnaire approach. Inventory and appraisal forms Figure AA-1: A Records Inventory worksheet. 9781118388082-bc01.indd 2 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 3 Figure AA-2: A Records Inventory and Analysis form — page 1. 9781118388082-bc01.indd 3 9/12/12 3:04 PM 4 Records Management For Dummies Figure AA-3: A Records Inventory and Analysis form — page 2. 9781118388082-bc01.indd 4 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 5 Figure AA-4: Another Records Inventory worksheet. 9781118388082-bc01.indd 5 9/12/12 3:04 PM 6 Records Management For Dummies Figure AA-5: A Records Inventory form. 9781118388082-bc01.indd 6 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 7 Figure AA-6: A Records Inventory and Appraisal worksheet. 9781118388082-bc01.indd 7 9/12/12 3:04 PM 8 Records Management For Dummies Figure AA-7: A Records Inventory Questionnaire form. 9781118388082-bc01.indd 8 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 9 Retention schedule forms Figure AA-8: A Sample Departmental Retention Schedule form. 9781118388082-bc01.indd 9 9/12/12 3:04 PM 10 Records Management For Dummies Figure AA-9: A Sample Functional Retention Schedule form. 9781118388082-bc01.indd 10 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 11 Figure AA-10: A Sample Big Bucket Retention Schedule form. Software Applications and Vendor Contact Information Due to the amount of records and information that most companies create and receive, it may no longer be feasible to try to manage them with multiple sets of fast hands and ever-vigilant eyes. Records, Document, and Enterprise Content Management applications have become a necessity for ensuring that records and information are managed in an efficient and compliant manner. The Records and Information software market is full of vendor applications designed to meet the needs of small to global organizations. Table A-1 lists vendors, their applications, and their website addresses to help you in your research and evaluation. 9781118388082-bc01.indd 11 9/12/12 3:04 PM 9781118388082-bc01.indd 12 ECM, Records and Document Management ECM, Records and Document Management OmniRIM/Virtual File Room ASG ViewDirect/ ASG Records Manager Docuware 5 Eloquent Records Documentum/ ApplicationXtender EverSuite Fabasoft Folio File Trail RM Autonomy Content Management/TRIM OnBase FileNet/InfoSphere Infolinx Accutrac RecFind 6 Archive Systems ASG Software Solutions Docuware EloquentSystems Inc. EMC Corporation EVER TEAM Fabasoft File Trail Inc. HP Hyland Software IBM Infolinx Iron Mountain Knowledgeone Corporation ECM, Records (electronic) and Document Management Physical Records Management Physical Records Management ECM, Records and Document Management ECM, Records and Document Management Autonomy - ECM, Records and Document Management; TRIM Physical and Electronic Records Management Physical Records Management Documentum - ECM, Records and Document Management; ApplicationXtender Document Management Physical and Electronic Records Management ECM, Records and Document Management ECM, Records (electronic) and Document Management Records and Document Management ECM, Records and Document Management Alfresco Enterprise 4 Alfresco Type of Software Software Name Software Vendors and Applications Vendor Name Table A-1 http://www.knowledgeonecorp. com/ http://www.ironmountain.com/ Services/Records-ManagementAnd-Storage/Records-ManagementSoftware.aspx http://www.infolinx.com/ http://www-01.ibm.com/software/ ecm/filenet/ http://www.hyland.com/onbaseand-ecm.aspx http://www.autonomy.com/ http://protect.autonomy.com/ products/records-management/ trim/index.htm http://www.filetrail.com/FT_ Home/Index.asp?gclid= http://www.fabasoft.com/ http://www.ever-team.com/ http://www.emc.com/domains/documentum/index.htm http://www.eloquent-systems. com/ http://www.docuware.com/ http://www.asg.com/ http://www.archivesystems.com/ http://www.alfresco.com/ Website 12 Records Management For Dummies 9/12/12 3:04 PM 9781118388082-bc01.indd 13 ImageNow/ Retention Policy Manager FileBound SharePoint ECM Suite Enterprise Content Management Open Text ECM Suite Universal Content Manager (UCM)/ Universal Records Manager (URM) Digital Tiger/Paper Tiger Lexmark/ Perceptive Software Marex Group Microsoft Newgen Software Technology Objective Open Text Corporation ORACLE Paper Tiger GAIN RM DocuShare Xerox Zasio Enterprises, Inc. Physical and Electronic Records Management Physical and Electronic Records Management ECM, Records and Document Management Physical and Electronic Records Management ECM, Records and Document Management ECM, Records and Document Management ECM, Records and Document Management ECM, Records and Document Management ECM, Records and Document Management Document Management ECM, Records and Document Management ECM, Records (physical records management provided through an integration with Infolinx) and Document Management Versatile (Enterprise, Physical and Electronic Records Professional and Management Express) artner Magic Quadrant for Enterprise Content Management Enterprise Content Management Triadd Software Corporation Saperion Laserfiche Rio/ Laserfiche Avante Laserfiche http://www.zasio.com/ http://docushare.xerox.com/ http://www.triaddsoftware.com/ http://www.saperion.com/en/ http://thepapertiger.com/ http://www.oracle.com/index. html http://www.opentext.com/2/ global.htm http://www.objective.com/anz/ index.html http://www.newgensoft.com/ homepage http://sharepoint.microsoft. com/en-us/Pages/default.aspx http://www.filebound.com/ http://www.perceptivesoftware. com/ http://www.laserfiche.com/en-us Appendix: Sample Forms, Vendor Listings, and GARP 13 9/12/12 3:04 PM 14 Records Management For Dummies Gartner, Inc., is a premier information technology research and advisory organization. Each year, Gartner publishes the Magic Quadrant for Enterprise Content Management. The document is an in-depth analysis of leading vendor applications. The complete research document can be obtained directly through Gartner or a participating vendor. Generally Accepted Recordkeeping Principles In an effort to provide organizations with a framework and guidance for properly managing their records, ARMA International developed Generally Accepted Recordkeeping Principles (GARP). GARP consists of eight principles designed to support an organization’s operational, legal, risk, and compliance needs. Figure AA-11 shows the GARP Employee Scorecard that you can use to document the current state of your Records and Information Management program. ARMA International Maturity Model for Information Governance ARMA International’s Maturity Model for Information Governance is based upon the eight GARP principles and shows how the principles complement and support information governance. (See Figure AA-12.) The model lists the characteristics found in different maturity levels of a Records and Information Management program. The model allows you to determine where your organization is and what needs to happen for it to progress. For additional information on GARP and the Maturity Model for Information Governance, visit ARMA at www.arma.org. 9781118388082-bc01.indd 14 9/12/12 3:04 PM Appendix: Sample Forms, Vendor Listings, and GARP 15 Figure AA-11: GARP Employee Scorecard. 9781118388082-bc01.indd 15 9/12/12 3:04 PM 16 Records Management For Dummies Figure AA-12: ARMA International Maturity Model for Information Governance. 9781118388082-bc01.indd 16 9/12/12 3:04 PM