Information Governance (IG) is truly a strategic initiative of any organization. As such, the connection to organizational strategy must be made concretely. The starting point for any IG initiative must be the organization’s corporate mandate, policies and strategic directives, mission and goals. The resulting tactical elements must be aligned with the organizational plans, objectives, and the operational targets of management.

1. How to Build a Winning
IG Strategy
Presented by:
Keith Atteck, ERMm
and BJ Johnson

2. Agenda
1. Strategy
• Getting started
• Building a framework
• Measurement
• Accountability
2. Technology
3. Questions
Strategy is what
connects the present
to the future!

3. 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?

4. 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?

5. 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!

6. 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.

7. Focusonthetopthree
Objectives
Connecting the Strategy
Levels of Objectives
Goal
The higher big picture strategic or program
Objective to which your IG
initiative/project/program contributes.
Purpose
The 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
Inputs
The 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

8. Business Strategy Examples
Cost 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

9. IG Supporting Strategy Examples
Cost 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

10. 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.

11. Environmental FitStrategic Hypothesis
Tactical
Perspective
Strategic
Perspective
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 Purpose
If 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

12. 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 Examples
Governance
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

13. 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
Threshold
History
Baseline

14. 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?

15. 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

16. 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

17. TacticalPerspectiveStrategicPerspective
Strategic Framework
Objectives Success Measures Verification Assumptions +
Goal
Then
and
Purpose
If
Then
and
Outcomes
If
Then
and
Inputs
If
Strategy Internal Controls Risks -KPIs

18. 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

19. 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.

21. Questions?
Keith Atteck, Atteck Consulting
katteck@icloud.com
discover@accesscorp.com