Strategic Planning and Best Practices for Information governance

Risk Profile Methodologies
September 16, 2019
So what is the role of this Executive Sponsor?
September 16, 2019

Strategic Planning and Best Practices for Information governance

ITS 833 – INFORMATION GOVERNANCE

Chapter 5

Strategic Planning and Best Practices for Information governance

Dr. Sandra J. Reeves

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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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

Copyright@Sandra J. Reeves 2018

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ALIGMENT 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

Copyright@Sandra J. Reeves 2018

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SURVEY AND EVALUATE EXTERNAL FACTORS

What External Factors?

IT Trends – What new is coming online? What new 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 consultants

See Sample IG Best Practices taken from Different areas/industries on page 61-64

Copyright@Sandra J. Reeves 2018

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FORMULATING THE IG STRAEGIC 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 program and sign off on it

Copyright@Sandra J. Reeves 2018

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The end

Copyright@Sandra J. Reeves 2018

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