Information Governance (Records Management)

EARLY

• Information governance and records management  unaddressed or ad hoc

• Employees keep their own records and information

• Documents generally paper-based with limited digitization.

   

INTERMEDIATE

• Formal information governance and records management program in place with dedicated leadership and team

• Executive and stakeholder support for program

• Information governance and records management addressed by the business with assistance from program leader/team

• Enterprise information governance policy and records retention schedule in place but not enforced; compliance not audited/monitored

• Some employees trained on policy and schedule

• Essential or minimum requirements that meet the organization’s legal, regulatory, and business requirements

• Initiatives to digitize paper records, integrate digital document management into information governance program underway

• Some records and information managed with metadata and chain of custody

• Employee training available but not tracked and recorded.

ADVANCED

• General Counsel advocates for program

• Enterprise policy and retention schedule regularly updated, communicated, and enforced; compliance audited by information governance team

• Policy and retention schedule reflect regulatory requirements and supported by legal research

• End-to-end documented and audited document/record lifecycle management with oversight from an information governance steering committee

• Software tools

• Enterprise audit information reviewed and continuously improved

• Program integrated into overall corporate infrastructure and business processes

• Program plays a critical role in cost containment, competitive advantage, and client service

• Program provides avenue for business intelligence gathering

• Defined formal information and records disposition process

• Featured in all IT and product development projects

• Managed on global basis, with retention, document management, and data housing policies (reflecting multinational requirements) published and managed.

Creating a Data Classification Sample Form
Outlines key concepts and recommended practices for creation of a Data Security policy.

Data Map Population Strategies Sample Form
Outlines sample data map population strategies.

Records Management Maturity Model
The ACC Records Management Program Maturity model provides a detailed maturity model for all aspects of an organization's records program. It seeks to gauge program effectiveness across a variety of program elements, taking a "big picture" view to increase program value.

Data Map Design Strategies Sample Form
Outlines what a data map is and design strategies.

IG Committee Sample Charter
Charter for a cross functional Information Governance Committee.

Sample Information Governance Project Plan
Sample project plan for starting or upgrading a records retention or information governance program.