Discussions
ITS 833 – INFORMATION GOVERNANCE
Chapter 5
Strategic Planning and Best Practices for Information Governance
Dr. Margaret Leary
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CHAPTER GOALS AND OBJECTIVES
Be able to explain the general steps required in the strategic planning for an IG Plan
Be able to identify key Best Practices as they relate to strategic planning for an IG Plan
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First Step in Strategic Planning for Information Governance Program
Secure commitment/sponsorship of executive management
Resource acquisition
Time
Labor/Manpower
$$$
Accountability
But who??
Suggested: Chief Compliance officer, Chief Information Officer, Chief Executive Officer
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Crucial Roles:
So what is the role of this Executive Sponsor?
Budget
Planning and Control
Decision Making
Expectation Management
Anticipation/Runs Interference for PM
Approval
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What is the role of the Project Manager?
Keep Executive Sponsor apprised of progress
Implement/oversee daily tasks
Track detailed progress
Involve Executive Management only when necessary to do so
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EVOVING ROLE OF EXECUTIVE SPONSOR
The Role of the Executive Sponsor will change over the lifecycle of the IG program implementation
Initial involvement requires greater TIME investment by executive management
Early Implementation – Visible and Accessible
Post-Implementation – Responsible for maintenance –ongoing communication with PM
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THE IG TEAM
Who Should Be On Your IG Team?
Take a Cross-Functional Approach
Required:
Executive Sponsor
Legal Department or Outside Attorney
IT Department
Senior Records Officer
Risk Management Specialist
IG Program Manager
Elective:
Human Resources
Analyst
Rep from different business units or departments
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ASSIGNMENT OF ROLES AND RESPONSIBILITIES
Executive Sponsor – designation of roles for:
Project Manager
Possibly from Legal, Compliance, Risk management, Records Management or IT
Logically each IG team members take responsibility for their functional area of expertise
Pair up team members or assign small work groups
Resulting output of team effort: Final Draft of the IT strategic plan – Should be in a form ready to align with organizational strategic plan
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ALIGNMENT OF IG PLAN TO
ORGANIZATIONAL STRATEGIC PLAN
IG Plan MUST support the achievement of the Organization’s business objectives and its strategic plan!!
IG Plan MUST be integrated with the IT strategy
Decisions must be made with regard to the use of E-Discovery techniques like predictive coding technology in early case assessment and software that uses artificial intelligence
Must take resource allocation into consideration
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SURVEY AND EVALUATE EXTERNAL FACTORS
What External Factors?
IT Trends – What new technology is coming online? What new technology is being developed? Which are too risky? What is the plan for long term digital preservation?
Business Conditions and Economic Environment-Where is the industry/country in the recurring business cycle? What is the state of business conditions in your industry??
Relevant Legal, Regulatory and Political Factors - Identify regulation affecting your industry. What is expected of future and anticipated regulation?
Industry Best Practices-Survey your industry. What is your more progressive competition doing? Will you use 3rd party solutions? consultants
See Sample IG Best Practices taken from different areas/industries on page 61-64
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FORMULATING THE IG STRATEGIC PLAN
Synthesize Information –
Make the plan relevant to the information . Don’t linger
Develop IG strategy for each critical area
Maintain focus by developing IG strategy without regard to prioritizing critical areas
Prioritize strategies and map to organizational goals and objectives
Develop Actionable Plans to Support Organizational Objectives and Goals
Develop policies and plans that identify specific tasks and steps, and define roles and responsibilities
Build checks and audits and other testing methods
Create New IG Programs to Support Business Goals and Objectives
Launch new “Sub-Programs” within the IG program
Assign specific employee responsibility to specific tasks
Have defined timeframes for subprograms
Piece together subprograms
Draft IG Strategic Plan and Gain Input from Broader Group of Stakeholders
Get Buy-in and Sign-Off and Execute Plan
Answer questions of top level management
Address concerns
Get them to buy-in to the processgram and sign off on it
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The end
Copyright@ Geanie Assante 2019
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