How to Build a Winning IG Strategy

Presented by:

Keith Atteck, ERMm and BJ Johnson

Agenda1. Strategy

• Getting started• Building a framework• Measurement• Accountability

2. Technology3. Questions

Strategy is what connects the present

to the future!

Objectives

Mandate

Mission Goals

Organization

Objectives Objectives Objectives Objectives Objectives

Policies & Strategic Directives

Operational Plans & Targets

Where do we start?

How can you connect to specific stakeholder needs, and demonstrate real value in supporting your organizations objectives?

What needs to change? Is change needed or

desired?

What is driving the need for change and biggest pain?

Who benefits from change?

You must know your stakeholder needs.

You must be connected to the business.

Link to other change initiatives.

What is your vision?

What is the scope of the change?

What are the desired Outcomes? Are there company

initiatives or projects that needs IG?

Has there been an information failure where IG could have made a difference?

Have senior management articulated desired future outcomes where IG can play a role?

Tie your ideas to well articulated, desired outcomes by senior management.

Make the connection to the benefits of good IG, and The Principles.

Integrate your Outcomes to other initiatives or projects to ease their acceptance. You need to be Outcomes focused!

Understanding Strategy

Strategy: A strategy is a high level directed plan of action designed to achieve a specific goal.

Strategy drives the required tactics needed to win or succeed.

Tactic: A tactic is a conceptual action or plan implemented as one or more specific tasks.

Tactics are selected or designed to support a strategy.

Focu

s on

the

top

thre

e O

bjec

tives

Connecting the Strategy Levels of Objectives

GoalThe higher big picture strategic or program Objective to which your IG initiative/project/program contributes.

PurposeThe impact or behaviour change you anticipate by undertaking the initiative/project; the expected result of producing outcomes.

Outcomes The specific results that your initiative/project and team must deliver by managing Inputs.

Definition

InputsThe activities and tasks your team must undertake and the resources necessary to produce outcomes.

Source: Strategic Project Management Made Simple – Practical Tools for Leaders and Teams, Terry Schmidt, 2009

Business Strategy ExamplesCost reduction example Production example

• Increased profits

• Reduce fixed costs

• Streamline production

• Eliminate waste

• Increased market share

• Diversification

• Add new product line

• Build new facility

Goal

Purpose

Outcomes

Inputs

IG Supporting Strategy ExamplesCost reduction example Production example

• Increased profits

• Minimize management cost

• Reduce volume of records

• ???

• Increased market share

• Simplification of process

• Process Automation

• ???

Goal

Purpose

Outcomes

Inputs

Selecting the right Inputs to support Outcomes Some Examples:

Stop Searching & Start Finding!A single, secure, intuitive central repository makes it easy to find documents in no more than three clicks.

Share Securely!Share one or many documents with internal or external stakeholders.

Achieve Full Compliance!Manage the document lifecycle according to your retention policy.

Environmental FitStrategic Hypothesis

Tact

ical

P

ersp

ectiv

eS

trate

gic

Per

spec

tive

Connecting Assumptions to the Strategy

Goal

Purpose

Outcomes

Inputs

Objectives Assumptions

Then

Then

Then

The Implementation Hypothesis:If we complete Inputs and have valid Assumptions, Then we can achieve Outcomes

If we deliver Outcomes and valid Assumptions, Then we can achieve PurposeIf we achieve Purpose and have valid Assumptions, Then we can reach our Goal

Source: Strategic Project Management Made Simple – Practical Tools for Leaders and Teams, Terry Schmidt, 2009

If

If

If

and

and

and

Turn our Assumptions+ into Risks-

When the (positive) Assumptions are not realized they turn into potential (negative) risks to your strategy. One needs to determine the level of business risk attached to your project or initiative, and your organizations ability to effectively implement your initiative, project or program.

Risk Category Assumption Types Risk ExamplesGovernance

Legal & Regulatory

Operational

Compliance

• Sponsorship• Organizational structure• Accountability framework

• Management disengagement• Policy misalignment• Employee turnover

• Evidentiary Integrity• Internal Controls • Legal Hold process

• Investigation• Litigation• Claims

• People• Process• Technology

• User resistance to change• Process degradation• Hardware/Software failure

• Regulatory landscape• Program maintenance• Organizational maturity

• Outdated citations• Budget cutbacks• Downsizing of operations

Success must be measured

Do you know what to measure?

Can the delta substantiate the need for change and be embedded in the organizational culture, sustainably? Success

ThresholdTrend

History

Baseline

Trend

Goal Achievement Success Matrix

Objectives Success Measures Verification

Goal

(What?)

Purpose

(Why?)

Outcomes

(What?)

Inputs

(How?)

How close are we to achieving our desired success Goal?

What practices or tools can be used to verify the Goal achievement?

How much has the impact or behavior changed in the business?

What practices or tools can be used to verify the Purpose achievement?

Which Outcomes have contributed the most to achieving our goal?

What practices or tools can be used to verify the impact of Outcomes?

How do we measure the progress of each defined task?

Do we know the impact of performing specific tasks?

Measuring Success with Key Performance Indicators (KPIs)

A Key Performance Indicator (KPI) is a business metric used to evaluate factors that are crucial to the success of an organization or an initiative/project. Connect these to “The Principles” to assist with maturity assessments.

The Principles KPI Measure examples

Accountability

Integrity

Protection

Compliance

Availability

Retention

Disposition

Transparency

Completeness of roles, distribution and participation

Completeness of process, procedures and systems

Systematized security model and access controls

Conduct reviews, audits and surveys to gather information

Completeness of records and extensibility of search

Up-to-date Schedules, reviewed regularly and approved

Numbers of certificates, holds, and shredding volumes

Policy availability to employees, and training records

What Internal Controls are needed to Manage and Verify Success

Align your programs framework with COSO to take advantage of the corporate governance objectives relating to operations, reporting, and compliance, and to align with your Internal Audit view of “Internal Controls”.

Control Category Source Examples

Control Environment

Risk Assessment

Control Activities

Information & Communication

Monitoring Activities

• Corporate Objectives• Authorities & Standards• Policy Framework

• Program Objectives Alignment• Accountability/Delegation • Role definitions and assignment

• Risk Register• Defined Thresholds• Mitigation Strategies

• Committees & regular meetings• Reviews & assessments• Management plans

• Preventative• Detective• Manual or Automated

• Segregation of duties• Authorizations & approvals• Training & incentives program

• Reporting Dashboards• Systems Data Collection• Employee Surveys

• Regular reporting• Trending analysis• Deficiency and Action Register

• Internal Auditing• Performance Reviews• Maturity Assessments

• Due Diligence Reviews• Check Lists & Audit Reports• Continuous Improvement Plans

Tact

ical

Per

spec

tive

Stra

tegi

c P

ersp

ectiv

e

Strategic FrameworkObjectives Success Measures Verification Assumptions +

Goal

Thenand

Purpose

IfThen

and

Outcomes

IfThen

and

Inputs

If

Strategy Internal Controls Risks -KPIs

This Strategic Framework supports…

Stakeholder Engagement Strategy

Major Outcomes and Key Deliverables

Risk Management Strategy

Key Success Factors and KPI Strategy

The Business Case

The Project Charter and Execution Plan

Internal Controls Strategy

The Operational Readiness Plan

Management of Change Strategy

Communications Strategy

This Strategic Framework supports…

You have a initiative or project and need a winning strategy.

Need to bring stakeholders together to build a common strategy.

You are in a new job or role as a Records Manager and need a strategy.

The business environment has changed & your old strategy simply does not work.

Your program or project is failing due to the lack of a strategy and needs rescuing.

You need to refresh your existing paper-based records management program.

You need an imaging program, an ECM system, SharePoint, a digital archiving system, an e-mail archiving solution, and do not know where to start.

IT has an initiative and needs IG and RIM to give the system the structure and business rules it needs to build for a sustainable and viable implementation.

Business Needs

Info

rmat

ion

Gov

erna

nce

Questions?

Keith Atteck, Atteck Consultingkatteck@icloud.com

discover@accesscorp.com