Keith Atteck presented on developing an effective information governance strategy at the ARMA Canada Conference in 2016. He emphasized that strategy connects the present to the future. Atteck has over 20 years of experience in information governance, records management, and project management. He discussed how to articulate a clear IG strategy by connecting to stakeholders' needs, demonstrating value, and linking initiatives to organizational objectives. Atteck also stressed the importance of change management, defining metrics and success measures, and establishing controls to manage and verify success of the strategy.

1. Presented by Keith Atteck
ARMA Canada Conference 2016: Halifax, June 12 - Session M43
Strategy is what
connects the present
to the future!

2. Keith Atteck, Principal Consultant
Atteck Consulting
Burlington, Ontario, Canada
 Keith Atteck is an experienced and results-driven Information Governance
(IG), and project management professional facilitator, mentor, and coach,
who provides IG, ECM and KM expertise to support organizational initiatives
and projects. He helps companies achieve their goals and deliver value by
deploying efficient and effective information governance and management
strategies. His business and stakeholder analysis is guided by outcome
expectations that in turn drive tactics to support implementation plans,
policies and programs.
 Keith has more than 20+ years in capital projects and 10+ years as a PMO
lead, developing and facilitating program and change management
initiatives. His experience includes incorporating instructional design into
human capital development programs, delivering interactive and dynamic
training to management, program leads, and key stakeholders.

3. How can you articulate a clear strategy for your
IG, ECM, or RIM project or program?
 Have you struggled to pull together a convincing
and demonstrative strategy that can convince
senior management that your initiative, project or
program is important and achievable?
 How do you connect to the executives’ core
needs, and what keeps her or him up at night?
 How can you demonstrate your ideas in a way
that is graphically clear, and with a well-
developed strategy?

4. “The IG strategic plan must support the
achievement of the organization’s business
objectives, and therefore must be melded into
the organization’s overall strategic plan…...
goals, and business objectives”
Source: Information Governance: Concepts, Strategies, and Best Practices, 2014
Robert, F Smallwood

5. 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
demands and demonstrate real value in
supporting your organizations objectives.

6. IG effort is truly a Change Management
effort, in that it aims to change the
structure, guidelines, and rules within
which employees operate.
The change must occur at the very core
of the organization’s culture.
Source: Information Governance: Concepts, Strategies, and Best Practices
Robert, F Smallwood

7. 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
stakeholders needs.
 You must be
connected to the
business.
 Link to other change
initiatives.
What is your vision?
What is the scope of the change?

8. 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!

9. What Inputs can IG, ECM, or RIM
contribute?
 If we improve X, will
it contribute to the
desired Outcomes?
You all know the principles and practices.
This is where your stakeholder teams knowledge
and expertise comes in for describing the various
elements of your desired future.

10. 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.

11. Focusonthetopthree
Objectives
Connecting the Strategy
Levels of Objectives
Goal
The higher big picture strategic or program
Objective to which your IG, ECM or RIM
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

12. 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

13. IG Supporting Strategy Examples
Cost reduction example Production example
 Increased profits
 Minimize management cost
 Reduce volume of records
 Eliminate waste
 Increased market share
 Simplification of process
 Process Automation
 Build new facility
Goal
Purpose
Outcomes
Inputs

14. What conditions must exist, out of your control,
for each objective to be achieved!

15. 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

16. Describe all Assumptions as
True or Positive Statements
Assumptions Example Assumptions example
 Executive support
 Impact is sustainable
 User support Outcomes
 Projects can be initiated
 Sponsor identified
 Change is supported
 IT can support software
 We have the right tools
Goal
Purpose
Outcomes
Inputs

17. 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

18. Metrics are the best way to measure success!
If you can’t measure it,
you can’t control or manage it!

19. 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

20. 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 goals?
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?

21. 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.
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

22. 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

23. From the “Art of War”
Sun Tzu emphasized the importance of positioning in
military strategy. The decision to position an army to win
must be based on both objective conditions in the
physical environment and the subjective beliefs of other,
competitive factors in that environment.

24. 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
TacticalPerspectiveStrategicPerspective

25. TacticalPerspectiveStrategicPerspective
Objectives Success Measures Verification Assumptions
Goal
Growth Strategy
• 6 weeks to deploy
IG, ECM or RIM to
new operation or
division
• Roles Assigned
• Deployment Report
• Training Records
• Limited or no impact
to taxonomy and
retention schedule
• Stable senior
management team
Purpose
Improve Compliance
• Within 6 weeks of
implementation 80%
user adoption
• Audit Report
• Survey
• Helpdesk Tickets
• User Access Logs
• Staff availability for
assessment
• Minimal or no
program changes
Outcomes
Reduce Cost
• Fixed Costs (-$)
• Variable Costs (-$)
• On Budget (+/-$)
• Simplified Process
• Trend Tracking
• Monthly Reports
• Sustained
Resources
• Asset Management
• Stable Budget
Inputs
Key Tasks for PMP
• Policy formation
• IT project gates
• RFP issue
• ECM selection
• Policy approved
• PMO Gates passed
• Functionality Def.
• Configuration Rules
• Helpdesk Reports
• Engaged Sponsor
• Ownership model
• Stakeholder
engagement
• IT engagement
Simple Strategic Framework Example

26. 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

27. Who can benefit from this?
 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.

28. T14 Rapid Fire Session: Keith Atteck
 Sustainability - 3 Keys to Avoiding IG Failures
 Information Governance failures are inevitable! Focusing on these
3 keys to sustainability will provide the guidance necessary for
policy formation, program development, technical support,
administration, and end-user training.
 Simplicity is the key to the messaging and these three messages
will inform and guide everyone in the organization; from senior
management to general administration.
 The just build it and launch it mentality is a sure-fire way to
Information Governance failure.

29. Keith Atteck
Atteck Consulting
katteck@icloud.com
1.416.428.0674