advance your organization… · records and information management (rim) the profession or...
TRANSCRIPT
Advance your Organization… Transition to Information Governance from Records and Information Management The Blueprint: Part I
Karen S. Knight, CCEP
©2015 Cohasset Associates
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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
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I. The Basis - RIM and IG Definitions Distinctions Comparisons
Advance your Organization… Transition to Information Governance from Records and Information Management
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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)
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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
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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)
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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
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Exercise List your organization’s IG components.
Advance your Organization… Transition to Information Governance from Records and Information Management
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WORKSHEET: Information Governance Components
Information Governance
Ethics and Compliance
Records and Information Management Information
Protection
Risk Management
Legal
Information Technology __________________________
__________________________ __________________________ __________________________
__________________________
__________________________
__________________________ __________________________ __________________________
__________________________
_____________________
_____________________ _____________________ ______________________
_____________________
__________________________
__________________________ __________________________ __________________________
__________________________
__________________________
__________________________ __________________________
__________________________
__________________________ __________________________
__________________________ __________________________ 9
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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
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COMPARISON: RIM to IG
Discrete
Cohesive
Interdisciplinary
Enduring
Information Infrastructure
Records and Information Management
Tactical
Strategic
Principles-based
Tangential
Information Governance
Process-based
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II. Examine and Assess Is your organization transition ready?
Advance your Organization… Transition to Information Governance from Records and Information Management
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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?
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Examine and Assess Transition Readiness
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Organizational Culture
An organization’s culture can “crush” new ideas…
…making them difficult to promote, much less implement.
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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
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Exercise Characterize your organization’s culture.
Advance your Organization… Transition to Information Governance from Records and Information Management
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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
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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...
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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...
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Current State Maturity Assessment
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.
Evaluate the maturity of your organization’s current records management program, is it...
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Current State Maturity Assessment
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.
Evaluate the maturity of your organization’s current records management program, is it...
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Current State Maturity Assessment
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.
Evaluate the maturity of your organization’s current records management program, is it...
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Exercise Assess the maturity of your RIM Program elements.
Advance your Organization… Transition to Information Governance from Records and Information Management
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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
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III. Transition Strategy Mechanics
Advance your Organization… Transition to Information Governance from Records and Information Management
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Information Governance IS the stronger platform…
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Information Governance
…now comes the planning!
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Transition Strategy Mechanics
Mechanics…The Building Blocks of YOUR Business Case…
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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
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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.
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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.
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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.
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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
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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.
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Exercise Start the development of a Business Case for transitioning to IG at your organization.
Advance your Organization… Transition to Information Governance from Records and Information Management
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WORKSHEET: Business Case
Problem Statement
Rationale
Sponsor(s)
Transition to Information Governance
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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
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Advance your Organization… Transition to Information Governance from Records and Information Management
Q A
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Advance your Organization… Transition to Information Governance from Records and Information Management
Karen S. Knight, CCEP [email protected] 312 718-8855
April 2015 38 ©2015 Cohasset Associates