Advance your Organization… · Records and Information Management (RIM) The profession or...

Advance your Organization… Transition to Information Governance from Records and Information Management The Blueprint: Part I

Karen S. Knight, CCEP

©2015 Cohasset Associates

Cohasset Associates © 2015 2

Agenda

Section I. The Basis…RIM and IG

II. Your organization’s transition readiness

III. Transition strategy mechanics

IV. Transition influencers, principles and processes

V. Sustain the momentum

Questions and Answers


I. The Basis - RIM and IG Definitions Distinctions Comparisons

Advance your Organization… Transition to Information Governance from Records and Information Management

Cohasset Associates © 2015

Records and Information Management (RIM)

The profession or discipline of controlling and governing the most important records of an organization throughout their lifecycle, which includes from the time records are created or received until their eventual disposition.

(Source: Wikipedia)

Governs the practice of records managers and of any person who creates and uses records and information in the course of their business activities.

(Source: ISO)

Programs reinforced by controls (policies and standards; training and audits and assessments) to manage business transaction evidence — which enables organizations to support decisions, satisfy customers, achieve regulatory compliance and protect against and respond to legal matters — from the time information is created/received through its final disposition.©

(Source: Cohasset)

4


Information Lifecycle Management (ILM)

The information lifecycle is comprised of a series of activities during which information develops and functions, and throughout which it must be managed.

Information Lifecycle

Creation or Receipt

Storage, Retrieval and Use

Protection

Retention

Preservation (Legal Hold)

Disposition or

Destruction


Information Governance (IG)

An organization’s coordinated, inter-disciplinary approach to satisfying information compliance requirements and managing information risks while optimizing information value.

(Source: Sedona Commentary on Information Governance)

The best chance that organizations have to truly get their important information under control and to maximize its value.

(Source: IGI)

A comprehensive and multi-disciplinary platform for managing the lifecycle of information:

• Establishes policy-level rules • Defines investment priorities • Institutes accountabilities • Aligns implementation outcomes to business priorities • Measures results • Assures effective and efficient information lifecycle management©

Sometimes referred to as information risk management (IRM). (Source: Cohasset)

6


IG Framework

Information Governance

Ethics and Compliance

Records and Information Management Information

Protection

Risk Management

Legal

Information Technology • Data Governance

• Long-term Digital Preservation

• Retention • Disposition • Paper Storage

• Legal Holds and eDiscovery • Contract Review

• Privacy • Information Security • Data Breach Prevention • Identity and Access

Management • Business Continuity

• Vendor Governance • Internal Audit

• Regulatory Requirements • Code of Conduct • Ethics Attestation(s)

• Application Development

• Infrastructure Management

• System Decommissioning

7


Exercise List your organization’s IG components.



WORKSHEET: Information Governance Components


Ethics and Compliance

Records and Information Management Information

Protection

Risk Management

Legal

Information Technology __________________________

__________________________ __________________________ __________________________

__________________________

__________________________

__________________________ __________________________ __________________________

__________________________

_____________________

_____________________ _____________________ ______________________

_____________________

__________________________

__________________________ __________________________ __________________________

__________________________

__________________________

__________________________ __________________________

__________________________

__________________________ __________________________

__________________________ __________________________ 9


The “most important” Information

Cohasset’s Information Value Pyramid® informs the process by which you can assess information value and risk, and apply governance to that information.

Information that Matters Lower Volume at 20% Higher Value

• Final Business Record • Core Support

Greater Controls Applied Focus is on Recordkeeping

Information that Clutters Higher Volume at 80% Lower Value

Internal Administrative Information

• Drafts and duplicates • Works-in-progress

Fewer Controls Applied Focus is on Deletion


COMPARISON: RIM to IG

Discrete

Cohesive

Interdisciplinary

Enduring

Information Infrastructure

Records and Information Management

Tactical

Strategic

Principles-based

Tangential


Process-based

11


II. Examine and Assess Is your organization transition ready?



Characterize and understand your organization’s culture Assess the state of your current RIM Program

Catalog what is working well Identify motivations for the transition to a cohesive IG structure

Conceive how an IG structure will better serve your organization ASK – Is now is the time?

13

Examine and Assess Transition Readiness


Organizational Culture

An organization’s culture can “crush” new ideas…

…making them difficult to promote, much less implement.


Organizational Culture

“United we stand” Diversity

Involvement

COLLABORATION 1

Systems Certainty

Standardization Order

CONTROL

2

Creativity Purpose Growth

Meaningfulness

CULTIVATION 4 Excellence

Professionalism Continuous improvement

COMPETENCE 3

Characterize and understand your organization’s Culture Type

Leverage its features to support your transition to IG. 15


Exercise Characterize your organization’s culture.



WORKSHEET: Organizational Culture

Culture Types Influential Moderate Insignificant Collaboration ● Involvement

● Diversity

● “United we stand”

Control ● System and process

● Certainty

● Standardization

● Order

Cultivation ● Creativity

● Purpose

● Meaningfulness

● Growth

Competence ● Excellence

● Professionalism

● Continuous improvement


Current State Assessment

Ad hoc Inadequate Coordinated Operationalized

…by measuring it, on scale and in contrast to the benefits of a cohesive platform that manages information risk and optimizes information value.

Evaluate the MATURITY of your organization’s current records management program...


Current State Maturity Assessment

Ad hoc The organization is unaware of its

records management and information governance

responsibilities. Its ad hoc practices are makeshift and based upon

tradition. Existing program elements fall far short of industry,

legal, regulatory or other standards.

Evaluate the maturity of your organization’s current records management program, is it...



Inadequate The organization is aware of its records

management and information governance responsibilities. It has

acknowledged that its program elements are ill-defined and that very specific actions must be taken to correct sub-

standard recordkeeping practices.




Coordinated The organization is taking action

to address its records management and information

governance responsibilities. Efforts are coordinated across

departments, with certain improvements defined, and

initiated or deployed. Legal and regulatory exposures are

somewhat mitigated.




Operationalized The organization has imbedded

records management and information governance as critical components of its business infrastructure, practices

and culture. Program elements align with organizational goals and

objectives, and serve as evidence of reasonable compliance with laws and

regulations.



Exercise Assess the maturity of your RIM Program elements.



WORKSHEET: Maturity Assessment

Ad hoc Inadequate Coordinated Operationalized

Foundational Elements

Program Authorization

Recognition that information is a Company Asset

Dedicated Program Staff

Defined Accountabilities

Established Policy and Standards (including Retention Schedule)

Implementation plans (where to share decisions, decommissioning and migration plans, etc.)

Effective Training

Ongoing Compliance Testing and/or Attestations

Continuous improvement


III. Transition Strategy Mechanics



Information Governance IS the stronger platform…

26


…now comes the planning!


Transition Strategy Mechanics

Mechanics…The Building Blocks of YOUR Business Case…

27


Transition Strategy Mechanics

The Problem Statement

Rationale

Benefits and Challenges

You can replace this text with your own.

B A

C

E

D

F The Project Plan

and… YOUR Business Case is the orderly representation of your transition strategy

Sponsorship

28


Business Case

Recount the problem statement I. Detail the problem(s) that needs to be solved II. Consider solution options

A Business Case is a formal, written argument intended to convince a decision maker to approve a certain action. (Source: WhatIs.com)

Reduce time and resource constraints and competing interests.

Simplify the information governance infrastructure.

Align and harmonize existing, yet disassociated or conflicting information principles, policies and lexicon..

Enable IG input on appropriate IT projects.


Business Case

Develop the rationale I. Describe the problem(s) in detail II. Illustrate and characterize the breakdowns that have

occurred III. Forecast potential future events if the current state

persists

Describe the situation(s) that exemplifies the problem.

Characterize internal inefficiencies, missed opportunities, unacceptable performance or service and unfavorable results.

Address the impact of increasing regulation or business risk.


Business Case

Secure executive sponsorship I. Who? II. Why? III. How many?

Executives will provide valuable input, suggesting priorities, and other IG transition strategy content.

Transition outcomes aligned to the company’s goals and priorities, including organizational performance and risk mitigation, will garner ongoing support at important and influential levels.


Business Case

Entrenched culture

Business silos

Cohesive

Interdisciplinary

Harmonization

Transition to Information Governance

Challenges “Empire-building”

Simplification

Risk sensitive

Competing priorities

Benefits

Resistance to change

Optimized information value

Accountability

Business objective alignment

32


Business Case

Goals and objectives Timeline Resources Key participant availability Budget Stakeholders Risks Dependencies Assumptions Metrics ROI Communication,

education and training

Project Plan

The Project Plan has many “moving parts.”

Each part must contemplate sound business judgment, industry practice standards, legal and regulatory requirements and organizational specifics.

33


Exercise Start the development of a Business Case for transitioning to IG at your organization.



WORKSHEET: Business Case

Problem Statement

Rationale

Sponsor(s)

Transition to Information Governance


Agenda

Section Introductions and Agenda I. The Basis…RIM and IG

II. Your organization’s transition readiness

III. Transition strategy mechanics

IV. Transition influencers, principles and processes

V. Sustain the momentum

Questions and Answers



Q A

Advance your Organization… · Records and Information Management (RIM) The profession or...

Documents

Transcript of Advance your Organization… · Records and Information Management (RIM) The profession or...