A Practical Guide for Creating an Information Management Strategy and Strategic Information Management Roadmap

A Practical Guide for Creating an Information Management Strategy and Strategic Information Management Roadmap Principal Author Sam McCollum, CRM, MBA Director of End User Consulting Parity Research LLC

TABLE OF CONTENTS STRATEGIC INFORMATION MANAGEMENT WORKBOOK 4 A. EXECUTIVE SUMMARY: 4 B. OBJECTIVE OF THE SIM WORKBOOK: 5 C. ISSUES: 5 D. BUSINESS DRIVERS: 5 E. SIM READINESS CHECKLIST: 7 F. IM JOURNEY: 7 G. IMAC CHARTER: 9 H. SIM (STRATEGIC INFORMATION MANAGEMENT) TOOL KIT: 10 1. SIM Process Guide (See Appendix B ) 10 2. SIM Questionnaire (See Appendix C ) 11 3. Corporate Culture Index (See Appendix D ) 11 4. IM Descriptors (See Appendix E ) 12 5. SIM Matrix assessment Tool (See Appendix F ) 12 6. IM Project Directory (See Appendix G ) 13 7. IMS Project Status (See Appendix H ) 14 8. SIM Roadmap (See Appendix I ) 14 I. STRATEGIC INFORMATION MANAGEMENT BUSINESS PROCESS: 16 Step 1 Determine the Current IM Environment: 17 Step 2 Determine Status of IM Descriptors: 18 Step 3 Evaluate Current IM Maturity Milestone: 18 12/16/2010 Pg 2

Step 4 Plot the current IM Maturity Milestones on the IM Journey Standard: 19 Step 5 Determine Desired Future IM Maturity Milestones: 19 Step 6 Conduct Matrix Gap Analysis: 20 Step 7 Select SIM Projects: 21 Step 8 Identify Required Position Papers: 21 Step 9 Complete IM Projects Assessment: 22 Step 10 Develop Information Management Strategy Document: 22 Step 11 Develop SIM Roadmap: 23 Step 12 Develop and Implement IM Standards and Training: 24 Step 13 Complete Individual Action Plans: 24 Step 14 Update Current SIM Maturity Model Ranking: 25 Step 15 Benefits Analysis, Audits, and Compliance: 25 J. OTHER SUPPORT CONSIDERATIONS FOR THE SIM PROGRAM 27 K. NEXT STEPS: 28 L. APPENDICES 29 12/16/2010 Pg 3

Strategic Information Management Workbook A. Executive Summary: Issues IM Journey SIM checklist Workbook objectives Business drivers IM Journey SIM Tool Kit SIM business process Support considerations Next steps SIM coaching and training resources 12/16/2010 Pg 4

B. Objective of the SIM Workbook: The SIM Workbook is designed to provide a step-by-step set of instructions to assist organizations in developing a Strategic Information Management Program. The SIM program deliverables; the Information Management Strategic Plan and Roadmap, will provide overall corporate direction for the management of all electronic information and physical records over a planning and budget period specified in the program. C. Issues: Most organizations currently lack a Strategic Information Management (SIM) Program that will ensure that their electronic information, both structured and unstructured, as well as their physical documents, are effectively managed through the complete information management lifecycle. The design and implementation of an SIM program will improve the value of information to the business, reduce the risks associated with technology decisions and business process change, improve information management policy compliance, and reduce overall management costs. The Strategic Information Management Tool kit is designed to assist organizations in developing an Information Management Strategic Program using internal resources, while assuring that the SIM program is effectively integrated into the organizational infrastructure and that the SIM expertise is developed and retained within the organization. D. Business Drivers: A review of Information Management (IM) industry reports and white papers has identified the following business drivers for the development and implementation of an IM Strategic Plan that focuses on the improvement of information management and use: Design a SIM roadmap (the SIM plan provides direction on where the organization wants to go from an information management point of view, what it wants to achieve, and how it is going to get there. Its purpose is to influence the future of the organization in this area of focus) Reduce operational costs (the SIM initiatives that form part of the SIM plan will provide users with the tools necessary to be more effective and efficient. These initiatives may include data de-duplication, reduction of copies, faster access to information, streamlined business processes, better information integration, etc) Improve management decision-making (the SIM plan will focus on the integration and rationalization of information repositories with the expected deliverable of improved information accuracy and storage integrity. Part of this 12/16/2010 Pg 5

effort will be the creation of single source repositories, physical or virtual, for the storage and management of source information) More bang for the buck (the SIM plan will provide the detailed data necessary for management to make informed decisions on which IM initiatives would provide the greatest benefits for the least expenditures of resources; time, dollars, and labor) Improve employee communication (the SIM plan is an effective, concise, and simple communication tool. It can document management s proposed direction and goals for corporate information management. It also can inform, motivate and involve potential users) Build consensus (the SIM initiative is an opportunity to dialogue with users and to increase their awareness of the need to develop and adhere to enterprise level standards for the management of information. It also gives users the vehicle to express their concerns and beliefs related to the current status of IM ) Provide IM decisions framework (the SIM document provides an excellent source document to measure all IM initiatives and decisions against, thus assuring coordination of IM initiatives and the best use of the IM budgeted dollars) Balance security/access (effective information security and access is best managed at the corporate level. The SIM program is an excellent vehicle to make this happened) Improve customer relations (a consistent, enterprise level SIM program will project a clear picture of control and effective management to customers, as well as ensuring that customer requests are speedily and effectively addressed) Document opportunities and threats (the process of developing the SIM program provides an opportunity to document, investigate, and mitigate threats to the IM environment, and to make the most of those opportunities that are identified during the development process) Information integration/rationalization (because of its visibility and support at the most senior management level, the SIM roadmap is the best vehicle to promote the effective integration and rationalization of applications, databases, and business processes. Information integration and rationalization should be a critical component of any IM strategic plan Provide accountability (one of the key GARP Principles is Accountability; the IM requirement to ensure senior management input into the design and operation of the IM function. The SIM program is the vehicle to ensure this requirement is met) Reduce IM potential risk (the SIM program takes into account all of the regulatory, legislative, and corporate compliance requirements and considers the impact of proposed IM projects on those compliance requirements) 12/16/2010 Pg 6

E. SIM Readiness Checklist: Parity Research A SIM Program Workbook The SIM Readiness Checklist is an indispensable tool; a checklist to determine how ready the organization is to consider the development of an Information Managemenmt strategy. It identifies the critical tasks that need to be undertaken in the development of the SIM program. Get Senior Management buy-in Create IM cross-functional team (using the IMAC Charter) Defines goals and mission Conduct needs analysis and risk assessments Review processes and workflow Determine current IM state and acceptable future IM state Perform gap analysis and identify required upgrades Obtain affected parties input and set reasonable expectations Create IM Strategy and SIM Roadmap Create a budget Get management approval and empower the IM team Develop RFP s and engage external vendors F. IM Journey: Value generation drives the strategy. The four milestones that define an organizations IM maturity level are: '''React, Manage, Govern and Insight'''. 12/16/2010 Pg 7

React If your organization is stuck at the react milestone, you re behind the curve, spending more money on things like needless copies, over-retention, and e-discovery cost run away. You have little concrete evidence of what poor information management practices are costing you, you have no information governance policy or a plan or technology for implementing it if you had one. Manage Your organization has begun to look for and inventory your information assets by identifying and mapping all structured and unstructured repositories across the enterprise. You ve examined your retention policies and completed a gap analysis. You ve done at least a cursory review of compliance with regards to retention, security, backup, etc. both inside the enterprise and with vendors and service providers. You ve developed a few standard, probably inefficient practices from recent discovery requests and other related activities, etc. You've started to look at costs, and the impact of poor information management practices on people, infrastructure (e.g., storage management, CPU utilization) and IT budgets in general. De-duplication is part of your information management vocabulary, and you've started to develop separate implementations for backup and archiving applications. You ve identified where you are in meeting the technology and business process requirements for end-to-end functionality for information management and put together a technology and services roadmap. You also might even have metrics to measure the effectiveness of the information management program and the investments toward more efficiency. Govern At this milestone, you ve built and operationalized a strategic information management framework across one or several departments or functions within the organization. You ve redeployed policy for good information governance, established subject-matter expertise (maybe a center of excellence for larger organizations) as a service to organizational business units, and your technology roadmap for information management is being built out. Business value becomes apparent between the manage and govern stages. Organizations should see reduced discovery costs, fewer information liabilities (e.g., information assets not managed), and lower compliance costs as they move into governance. At the same time, information classification, declaration, and governance policy has become more automated and much less manual. Dedup in primary and secondary storage is part of IM parlance, copy ratios are falling, the percentage of information storage on tier 1 storage after 90 days is also falling. The ROI governance investment is being paid off through charge-backs to the application heads and business managers. 12/16/2010 Pg 8

Insight This is the goal demonstrating business insight through effective and efficient information management. Auto-declaration and data classification is the norm across e-mail, file systems, Sharepoint, social networks, etc., not the exception. Policy compliance is exception-based, not an afterthought. Information management is a dynamic service and function that is flexible, secure, and optimized to meet both accessibility and disposition needs. Applications and other significant business workloads are aware of information and information management policies. All information carrying some business value is indexed or accessable in some manner and can automatically be put in context with other information needed for business decision-making. Content analytics are a staple throughout the organization to support Customer Service, Finance, IT, Legal, Marketing, Product Development, Sales and Lines of Business to lower costs and drive revenue. The Director of enterprise SIM programs is a valued resource and key player in the orgamizational hierachy. G. IMAC Charter: The IMAC is mandated by your organizations Information Management policy, which states that the Committee be formally established and include cross functional representation to ensure appropriate oversight and sponsorship for policy adoption and compliance. It provides further direction to the SIM policy group to provide specific implementation and monitoring activity recommendations for the committee. The purpose of this Charter is to provide an overview of those recommendations and the necessary procedures and practices that are designed to support those recommendations. Accountabilities and Responsibilities:. 12/16/2010 Pg 9

Parity Research A SIM Program Workbook H. Strategic Information Management (SIM) Tool Kit: The Strategic Information Management Tool Kit consists of eight separate but interconnected components, whose objectives are to analyze the current state of an organization s IM program, identify gaps when comparing the current state to industry best practices, determine the most cost efficient roadmap to improve the IM program to meet management expectations, and to identify and select the best resources to accomplish the activities outlined in the IM roadmap. This section of the manual includes a thumbnail image of each component (with the full document attached as an addendum) and provides a brief description of their purpose and application. Each of the tool kit components is utilized at an optimum stage of the SIM Process Guide workflow. The Business Process (section I ) provides further implementation details on each component s application. 1. SIM Process Guide (See Appendix B ) The SIM Process Guide is a project workflow that lays out a step-by-step process utilizing the various components of the SIM Tool Kit with the objective of creating a SIM roadmap of IM projects over a designated budget period. The purpose of the roadmap is to chart a strategic course towards a desired future state of Information management. 12/16/2010 Pg 10

2. SIM Questionnaire (See Appendix C ) The purpose of the SIM Questionnaire is to document a picture of an organization s current information management environment. The questionnaire asks questions under each of the four IM focus descriptors. The answers can then be plotted on the SIM matrix to obtain a picture of the current status of the organization s IM program. 3. Corporate Culture Index (See Appendix D ) A list of Corporate Culture questions to ask of staff within each key department: What is the Risk Appetite of the organization? Does the organization have Key Performance Indicators related to information management? Does the organization s Legal history indicate significant volumes of litigation related to information management? Are there audit findings and/or observation history that would drive increased efforts around information management? The purpose of the Corporate Culture Index is to measure how changes will be welcomed in the organization and what support can be expected from management and staff. 12/16/2010 Pg 11

4. IM Descriptors (See Appendix E ) The IM Descriptors are IM criteria designed to measure the state/maturity of the IM program in each of four distinct and equally critical areas of focus; organizational/culture, policy/compliance/measurement, business process optimization, and technology optimization. 5. SIM Matrix assessment Tool (See Appendix F ) The SIM Matrix charts the maturity of an organization s IM program against a set of industry standards that include the eight GARP principles published by ARMA International, as well as other industry standards. These standards are rolled up into the four IM descriptors (organization and culture, policy/ compliance & measurement, business process optimization, and technology optimization). 12/16/2010 Pg 12

The maturity levels for each set of IM descriptors consist of four levels as follows: React (behind the curve), Manage (initiate programs), Govern (build, operationalize, measure), and Insight (clearly demonstrate business contributions). At the intersect of each descriptor and maturity level is a set of scope notes that assists the SIM director in gauging the current or future status of their IM program. The matrix is used as a template to collect current state metrics from the user and determine what would be an acceptable future IM state. 6. IM Project Directory (See Appendix G ) The IM Project Directory is a mind map that documents a set of projects and initiatives categorized by the four IM Descriptors. Each project or initiative is defined in terms of effort, desired outcome, and value generated. Typical scope statements and resource requirements are identified for each project or initiative. The IM Project Directory is used as input for completing the SIM roadmap and determining enterprise value. 12/16/2010 Pg 13

7. IMS Project Status (See Appendix H ) The purpose of the SIM project status document is to define the scope of each IM project, to determine its present status, and to suggest a timeline for the start and completion of each IM project approved by the affected parties and the IMAC as part of the organization s SIM program. 8. SIM Roadmap (See Appendix I ) The SIM roadmap provides the user a tool for describing and timing SIM projects and action items, identifying relationships between projects and actions, tracking 12/16/2010 Pg 14

key project and action item deliverables, and serves as a basis for budget negotiations and decisions. 12/16/2010 Pg 15

I. Strategic Information Management Business Process: The development of a Strategic Information Management Program is based on the SIM Process Guide (see section H, item #1) and involves the following business steps: 1. Identify and document the organization s current IM Environment using the SIM Questionnaire (see Appendix C) and the Corporate Culture Index (CCI) Survey (see Appendix d). 2. Evaluate the status of the current IM Descriptors using the IM Descriptors document (see Appendix E). 3. Use the SIM matrix assessment tool to determine the organization s current IM maturity levels (se Appendix F). 4. Plot the current IM maturity levels on the IM Journey Standard document (see Appendix A). Different colored coordinate points should be plotted for each of the four descriptors (customized IM Journey document). 5. Use information from the Corporate Cultural Index (CCI) for the organization and the customized IM Journey standard document as decision-making tools to determine the desired future IM maturity levels for the organization. 6. Conduct a Matrix Gap analysis using both the current and desired future maturity levels. 7. Use the results of the Matrix Gap analysis, the IM Project Directory (see Appendix G), and the IMS Project Status report (see Appendix H) to select those SIM projects that will fill the gap and best achieve the desired future SIM status. 8. Identify what position papers need to be developed in order to develop and implement the required infrastructure, IM standards, and other supporting resources. The position papers, based on industry research, make recommendations and outline detailed steps to achieve the required deliverables identified in step #7. 9. Complete IM Projects assessments - Review required resources, budgetary restraints, department priorities, and expected benefits to determine the priority and timing for the selected SIM projects. 10. When position papers are accepted and after strategy/resources are determined and realizable, then develop the Information Management Strategy document. 11. Develop a SIM Roadmap (see Appendix I) that documents the sequence, timing, and interrelationships of the various SIM projects as determined in step #7 and documented in step #10. 12. Develop and implement the standards and training as outlined in the selected position papers, and within the timelines documented in the SIM Roadmap. 13. Implement the scheduled IM projects using the policy and standards created in step #11. 12/16/2010 Pg 16

14. Update Current SIM Maturity Model ranking. 15. Conduct project benefits analysis and post-project audits, and implement compliance measures. The objective of this portion of the workbook is to define each of these steps, document the required deliverables, suggest ownership for each of the deliverables, outline the business process, and look at the resources (time, cost, staffing) required to develop and implement a final Information Management Strategic Plan. Step 1 Determine the Current IM Environment: It is wise counsel that suggests, Test the waters before jumping in. This advice is never more true then when an organization sets out to implement a corporate wide Strategic Information Management (SIM)program. The IM Environment is a measure of how well changes will be welcomed in the organization and what support can be expected from management and staff. It is also a snapshot of what IM capabilities already exist within the organization. The SIM Questionnaire documents the status of the current IM environment based on four main areas of focus, and asks general IM questions about specific issues in each focus area. The Corporate Culture Index survey documents the current cultural ideas and inclinations with the goal of identifying areas of possible resistance and possible areas of support for the Information Management Strategic Plan. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. 12/16/2010 Pg 17

Step 2 Determine Status of IM Descriptors: The IM Descriptors are a set of four metrics designed to measure the maturity of an Strategic information Management (SIM) Program. They examine the current information flow and management function by focusing on the areas of Organization/Culture, Policy/Compliance/Measurement, Business Process Optimization and Technology Optimization. These metrics can then be transferred to the SIM Matrix Assessment tool, which provide a corporate summary of the maturity of the SIM program. This analysis will allow the organization to determine what level, or combination of levels, their enterprise SIM program is currently operating under. A number of.. The distribution and completion.. Individuals will be.. Resources required - This deliverable will require. Step 3 Evaluate Current IM Maturity Milestone: The SIM Matrix Assessment tool plots the values for the IM Descriptors against four levels of maturity; React, Manage, Govern, and Insight. Each succeeding maturity level sets higher standards for the management of information in each of the four descriptor focus areas. Each maturity level contains a set of scope notes that describes the IM status that would exist at that level for each of the four focus areas. The intersection points can then be plotted on the IM Journey Standard as a critical step in deciding what the desired future maturity levels should be. A number of. 12/16/2010 Pg 18

The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 4 Plot the current IM Maturity Milestones on the IM Journey Standard: A more general evaluation of the Current SIM Maturity Model ranking might be determined by averaging the levels for each of the eight GARP principles. This more general evaluation does not allow for a detailed gap analysis and a more detailed focus on each GARP principle. A number of.. The distribution and completion.. Individuals will be.. Resources required - This deliverable will require. Step 5 Determine Desired Future IM Maturity Milestones: The determination of an Acceptable SIM Maturity ranking for your organization would be dependent on a number of criteria that can be grouped under the heading of Corporate Culture. Corporate Culture is the combined beliefs, values, ethics, procedures, and atmosphere of an organization. The culture of an organization is often expressed as "the way we do things around here" and consists of largely unspoken values, norms, and behaviors that become the natural way of doing things. 12/16/2010 Pg 19

Level 5 of the IRM Maturity Model is difficult to maintain and very expensive. Level one is unacceptable from a compliance and litigation point of view. The corporate culture of an organization will determine where within that range each organization might target themselves. Highly regulated organizations tend towards a level 3.5 or 4; whereas cost conscious organizations tend toward a level 2.5 to 3. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 6 Conduct Matrix Gap Analysis: The purpose of the Matrix Gap Analysis is to compare the current and desired future maturity levels in each of the four IM descriptor areas and document what gaps currently exist. This documentation is the basis for decision-making on what IM projects and deliverables need to be put in place to move the organization from an existing IM maturity level to the desired future maturity level. The gap analysis is used, in combination with the IM Project Directory to determine what specific IM projects should be recommended to the organization for review and possible budgeting and planning. A number of.. The distribution and completion.. Individuals will be.. Resources required - This deliverable will require. 12/16/2010 Pg 20

Step 7 Select SIM Projects: Parity Research A SIM Program Workbook The gap analysis identifies areas of IM deficiency. The correction of these deficiencies may require the implementation of one or more tools, techniques, hardware infrastructure, and/or software solutions. The IM Project Directory acts as a checklist to determine what solutions are currently in place and what new solutions will meet the IM deficiencies identified by the gap analysis. A number of.. The distribution and completion.. Individuals will be.. Resources required - This deliverable will require. Step 8 Identify Required Position Papers: The SIM Projects are a reaction to the needs addressed in the gap analysis. However, before an organization can initiate the identified IM projects, the organization may first require the development and acceptance of additional standards and guidelines to provide a structure in which the projects can be implemented. The purpose of the position paper is to identify those required standards, to suggest an initiative/process to put those standards in place, to detail the process steps, and to identify the resources that would be required to implement the process. The development of specific position papers that outline required SIM guidelines that can then be reviewed and debated for practicality, required resources, compatibility with corporate culture and IT infrastructure, and acceptable timelines, is the basis for deciding which action plans to proceed with, and what is a realistic timetable for the design and implementation of each action plan A number of. 12/16/2010 Pg 21

The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 9 Complete IM Projects Assessment: The decision on what position papers to act on, and what priority to assign to those selected for further action, will be dependent on the information management culture of the organization and the acceptable degree of risk associated with the various issues outlined in each position paper. These considerations will determine the strategy that the organization will employ in acting on the proposals contained in these position papers. The IM projects Assessment requires the introduction of new parties to the SIM Program process. These individuals would consist of all those stakeholders and interested parties that would be affected by the implementation of each position paper solution. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 10 Develop Information Management Strategy Document: The purpose of the Information Management Strategy (IMS) document is to provide corporate direction to the management of all information, both electronic and hardcopy, for the budget periods of 2011 to 2013. 12/16/2010 Pg 22

The IMS document is based on the findings of the IM Maturity Models gap analysis and the Position Papers feedback from impacted departments. It makes reference to both the current IM environment and the future IM targets. Using IM industry trends and available tools and techniques, as well as feedback from impacted departments, the document identifies the IM aims and goals for your organization over the next three years. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 11 Develop SIM Roadmap: Feedback from the affected departments related to the distributed position papers will provide the required information to determine what IM projects need to be initiated and in what sequence. The identified projects can then be assigned to the appropriate IM area of focus and then scheduled within the three year calendar. A SIM Roadmap for the years 2011 to 2013 which includes all of the approved IM projects required to close the gap between the current maturity model ranking and the acceptable maturity model ranking. The Strategic Information Management (SIM) Director, or equivalent, will be responsible for the development of the SIM Roadmap. Feedback from each of the departments affected by the proposed position papers will be analyzed to determine what IM projects can and should be undertaken over the next 3 years. Each of the approved IM projects will be assigned to the proper IM area of focus. The duration of each project will then be estimated. With that information, the projects 12/16/2010 Pg 23

within each area of activity will be scheduled based on their dependencies to each other and their dependencies to the approved projects in the other three areas of focus (or swim lanes). The resultant SIM Roadmap will then be distributed to all affected departments for their input and approval. Resources required These deliverables will require time from the SIM Director, and some time from staff (to be determined) from each of the affected parties/departments. Step 12 Develop and Implement IM Standards and Training: The purpose of each position paper is to document for approval those SIM guidelines that need to be in place before any individual action plans, as determined by the gap analysis process, can be undertaken. Once a position paper has been selected for action, and the necessary strategy and resources have been identified and budgeted for, then policies and procedures need to be designed to flesh out the SIM guidelines that are inherent in the position papers. The SIM guidelines should be listed as deliverables in each position paper. Training materials may also have to be developed and presented to project teams and other affected staff to ensure that they understand the SIM guidelines that will govern the individual action plans that are assigned to them. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 13 Complete Individual Action Plans: Once the policies, procedures and training are completed for those SIM guidelines associated with the selected position papers, then the associated 12/16/2010 Pg 24

individual action plans can be undertaken. The scheduling of these individual action plans will be dictated by decisions made at the end of Step 9. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 14 Update Current SIM Maturity Model Ranking: The Current SIM Maturity Model ranking should now be updated, to reflect the impact of the completion of each action plan on the maturity levels for each of the four descriptors and maturity levels. A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. Step 15 Benefits Analysis, Audits, and Compliance: IM Governance initiatives should include a benefit analysis for each IM project within 6 months of their project completion, regular audits of the operations of each process or asset created from the projects, and a program to ensure that all regulatory, legislative and corporate compliance requirements are met. 12/16/2010 Pg 25

A number of. The distribution and completion. Individuals will be Resources required - These deliverables will require.. 12/16/2010 Pg 26

J. Other Support Considerations for the SIM Program Information Technology Support: The implementation of a SIM program requires additional IT support to ensure that the following tools and processes are available to sustain the SIM process: Education and Training Education refers to the process of motivating stakeholders to accept and use a particular process. It explains the why a process is being adopted. The key deliverable will be an on-line overview of the new legal hold process for email, and electronic information; why it is necessary and how it will benefit the user. Training refers to the process of teaching users Your organization can Employee Accountability The SIM process requires some accountability from employees to ensure that they comply with any legal hold activities or behavior that relate to electronic information that is under their control. Employees will have to be.. Auditing Function Legal Services will be responsible for... These auditing measures will. Testing of the SIM Program Process A number of sample requests will need to be run to test the IT support systems and to determine any weaknesses in those systems or in the effective participation of individual employees. The test would look at the following activities:... 12/16/2010 Pg 27

K. Next Steps: 1. Information Management Strategy Design Process to be reviewed by. 2. Refinements to be made as required by.. 3. IT Governance to approve. 4. The SIM Director to implement the... 5. The SIM Director to develop the... 6. The SIM Director to work with... 12/16/2010 Pg 28

L. Appendix Appendix I SIM Roadmap