How to build a winning ig ecm or rim strategy keith atteck
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The document outlines a strategy for building a winning information governance (IG) framework, emphasizing the importance of connecting organizational objectives to stakeholder needs and desired outcomes. It defines key terms like strategy and tactics, discusses the significance of measuring success through KPIs, and highlights the need for an effective stakeholder engagement and risk management strategy. The framework is designed to assist in various scenarios, including project initiation and the refresh of existing programs.
How to build a winning ig ecm or rim strategy keith atteck
- 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