Information Governance – With all the risks of cellphone apps and security today, would you agree to allow employees use their own phones in the workplace?

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Information Governance: Concepts, Strategies and Best Practices by Robert F. Smallwoods

Robert F. Smallwood

INFORMATION GOVERNANCE

CONCEPTS, STRATEGIES AND

BEST PRACTICES

Cover image: © iStockphoto / IgorZh Cover design: Wiley

Copyright © 2014 by Robert F. Smallwood. All rights reserved.

Chapter 7 © 2014 by Barclay Blair

Portions of Chapter 8 © 2014 by Randolph Kahn

Published by John Wiley & Sons, Inc., Hoboken, New Jersey. Published simultaneously in Canada.

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Library of Congress Cataloging-in-Publication Data:

Smallwood, Robert F., 1959- Information governance : concepts, strategies, and best practices / Robert F. Smallwood. pages cm. — (Wiley CIO series)

ISBN 978-1-118-21830-3 (cloth); ISBN 978-1-118-41949-6 (ebk); ISBN 978-1-118-42101-7 (ebk) 1. Information technology—Management. 2. Management information systems. 3. Electronic

records—Management. I. Title. HD30.2.S617 2014 658.4’038—dc23

2013045072

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1

For my sons

and the next generation of tech-savvy managers

vii

CONTENTS

PREFACE xv

ACKNOWLEDGMENTS xvii

PART ONE—Information Governance Concepts, Defi nitions, and Principles 1p

CHAPTER 1 The Onslaught of Big Data and the Information Governance Imperative 3

Defi ning Information Governance 5

IG Is Not a Project, But an Ongoing Program 7

Why IG Is Good Business 7

Failures in Information Governance 8

Form IG Policies, Then Apply Technology for Enforcement 10

Notes 12

CHAPTER 2 Information Governance, IT Governance, Data Governance: What’s the Difference? 15

Data Governance 15

IT Governance 17

Information Governance 20

Impact of a Successful IG Program 20

Summing Up the Differences 21

Notes 22

CHAPTER 3 Information Governance Principles 25

Accountability Is Key 27

Generally Accepted Recordkeeping Principles® 27 Contributed by Charmaine Brooks, CRM

Assessment and Improvement Roadmap 34

Who Should Determine IG Policies? 35

Notes 38

PART TWO—Information Governance Risk Assessment and Strategic Planning 41g g

CHAPTER 4 Information Risk Planning and Management 43

Step 1: Survey and Determine Legal and Regulatory Applicability and Requirements 43

viii CONTENTS

Step 2: Specify IG Requirements to Achieve Compliance 46

Step 3: Create a Risk Profi le 46

Step 4: Perform Risk Analysis and Assessment 48

Step 5: Develop an Information Risk Mitigation Plan 49

Step 6: Develop Metrics and Measure Results 50

Step 7: Execute Your Risk Mitigation Plan 50

Step 8: Audit the Information Risk Mitigation Program 51

Notes 51

CHAPTER 5 Strategic Planning and Best Practices for Information Governance 53

Crucial Executive Sponsor Role 54

Evolving Role of the Executive Sponsor 55

Building Your IG Team 56

Assigning IG Team Roles and Responsibilities 56

Align Your IG Plan with Organizational Strategic Plans 57

Survey and Evaluate External Factors 58

Formulating the IG Strategic Plan 65

Notes 69

CHAPTER 6 Information Governance Policy Development 71

A Brief Review of Generally Accepted Recordkeeping Principles® 71

IG Reference Model 72

Best Practices Considerations 75

Standards Considerations 76

Benefi ts and Risks of Standards 76

Key Standards Relevant to IG Efforts 77

Major National and Regional ERM Standards 81

Making Your Best Practices and Standards Selections to Inform Your IG Framework 87

Roles and Responsibilities 88

Program Communications and Training 89

Program Controls, Monitoring, Auditing and Enforcement 89

Notes 91

PART THREE—Information Governance Key Impact Areas Based on the IG Reference Model 95p

CHAPTER 7 Business Considerations for a Successful IG Program 97

By Barclay T. Blair

Changing Information Environment 97

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