INFORMATION GOVERNANCE A Holistic Approach to Information Governance. David Peterson June 6, 2014

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1 INFORMATION GOVERNANCE A Holistic Approach to Information Governance David Peterson June 6, 2014

2 Presentation Overview WHAT IS INFORMATION GOVERNANCE? CHALLENGES OUTCOMES ESSENTIAL ELEMENTS STANDARD DEFINITIONS 2

3 Why Do We Need Information Governance? Without a proper Information Governance framework, even the best intended IM programs can stall or face perpetual uphill battles with the user community. 3

4 How Does Cogniva Define Information Governance? Information Governance is the enterprise-wide framework that includes the people, processes, policies and technologies necessary to ensure the preservation, availability, security, confidentiality and availability of an enterprise s information. 4

5 Information Governance is comprised of 4 core elements People The human resources required to create and develop the policies, includes documenting role definition and tasks Processes The steps required to achieve a business goal or output, typically either a product or service Information Governance Policies The documentation that clearly outlines regulatory, statutory or internal imperatives Technologies Documentation related to features (or limitations) of available tools that enable the people to follow the processes required to adhere to the policies 5

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7 clearly lays out the level of authority, processes and procedures whereby strategic and key operational decisions are made. Good IM Governance outlines the relationship among the multiple stakeholders, the decision-making process and how issues are resolved. 7

8 Information Governance: How does one implement it? - Define and document the scope of the Framework, including: Information Architecture Management Electronic Document Management Compliance Monitoring & Reporting Social Media Data Collection Management Recordkeeping Data Management - Legislative & Regulatory Framework Review - Standardized Organizational Definitions - Current state vs Target state - Roles & Responsibilities - Governance Body Terms of Reference and Membership Review - Governance Framework Development - Policies, Standards, Guidelines and Best Practices Development - Documented EIM Vision (Target State) - Communications, Consultations and Training 8

9 Elements of an IG Program Create an Information Governance Committee Create, adhere to, and enforce policies and procedures; Alignment of goals; Cross-functional cooperation; Engagement and support internally; Assessing value of information. 9

10 Information Governance Committee Membership Executive management members who understand the organizational business strategy and expected outcomes Executive management members who understand the technology roadmap and organizational IT requirements Leaders from business units who understand the organization s business requirements Legal experts who understand the legislative and regulatory requirements guiding the organization 10

11 Elements of an IG Program Technology Environmental Assessment Technologies relevant to information governance; ECM, RM, e-discovery, social content, analytics; Alignment with tools and capabilities. The functional architecture within the technologies should align with the current tools and capabilities related to ECM, RM, management, e-discovery, social content, etc. This ensures that IG is a solid part of the organization s IT strategy long-term. 11

12 Challenges 12

13 Challenges Information locations and formats Records management requirements Risk and compliance issues Hoarders & Push Backers Lack of internal support WIFM Culture High cost or lack of resources 13

14 Outcomes 14

15 Outcomes 15

16 Legislative and Regulatory Review Public vs. Private Public Sector Private Sector 16

17 Legislative and Regulatory Review Outlines the non-negotiable Documented rationale for policies, procedures, etc. Helps shape organizational direction 17

18 Standardized Definitions 18

19 Standardized Definitions Enterprise Information Management Data Management Enterprise Architecture 19

20 Standardized Definitions: Enterprise Architecture Business Architecture Application Architecture Enterprise Architecture Data Architecture Security Architecture Information Architecture 20

21 Standardized Definitions Enterprise Architecture Business Perspective Application Perspective EA Perspectives Information Perspective Technology Perspective 21

22 Enterprise Architecture defines the: processes & standards by which the business operates on a day-today basis interactions among the processes & standards used by the organization Business Application raw data (such as document files, databases, images, presentations, and spreadsheets) that the organization requires in order to efficiently operate. Information Technology hardware, operating systems, programming & networking solutions used by the organization 22

23 Current State vs Target State EIM Vision 23

24 EIM Vision 24

25 EIM Vision Tactical Plans Resourcing Strategic Direction Communication Procedures Policies Monitoring and Reporting 25

26 Governance Body Terms of Reference/Membership Review Terms of Reference and Membership Review Stakeholder clarity consultations Hierarchical positioning review 26

27 Governance Framework Qualities Evergreened on a regular, pre-defined schedule Executive Sponsorship by the CIO or senior leader formally responsible for EIM Centrally published and accessible Ties formal policy back to legislative and regulatory components Provides tangible examples which resonate organizationally 27

28 Policies, Standards and Guidelines Approved through governance body construct Centrally published and accessible Broadly consulted and in support of EIM Vision Direct mapping to organizational roles Reviewed and refreshed on a pre-defined schedule, or as required by legislative/regulatory/organizational shift. 28

29 Communications, Training and Consultations Training is an essential element to the successful implementation and adoption (2 different things!) Research shows that effective information governance is crippled by the lack of training an organization provides. Up to 30% of organizations provide no training to their staff at all, which leads to lack of confidence in IM programs in general. It is a best practice to first identify the high-frequency, high-risk, and high-value areas of the organization. First the communications and training should be focused on them, and then as the information governance program develops, participation and quality can be ramped up in other areas of the enterprise through structured change management initiatives. 29

30 David Peterson Chief Operating Officer Cogniva Information Solutions (819) Download Cogniva s IM Governance White Paper 30

31 2013/2014 Information Governance Benchmarking Survey (Cohasset, ARMA, AIIM) Governance and Recordkeeping Around the World (Library and Archives Canada) Information Governance Toolkit: How to Plan and Implement Information Governance (AIIM) 31

32 Picture Sources Question mark (Google Image Search): Dictionary (Google Image Search): Tug of War (Google Image Search): Thumbs Up (Google Image Search): Lightswitch (Google Image Search): Sunset (Google Image Search): Recipe (Google Image Search): 32

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