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V3.1
Deploy Effective Information Governance
with a Document Source Audit
When there’s trouble like litigation or compliance problems, the CIO gets the call.
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Introduction
The CIO must own enterprise information. When there’s a problem, such as
litigation or service outages, the CIO will get the call. Be proactive. Get
stakeholders together in a room and take control of information.
This Research Is Designed For:
This Research Will Help You:
 CIOs and IT leaders who must take control of
 Build an information governance strategy.
 Develop an inventory of information sources,
information in the enterprise to reduce risk or
extract additional value.
 Other business leaders who are responsible
for information governance, including:
• Compliance officers
• Records managers
assess their relative importance, and develop
appropriate projects for either risk mitigation or
value delivery.
 Co-ordinate cross-functional Information
governance initiatives involving IT, business
units, legal counsel, and other stakeholders.
 Balance the complex sets of constraints and
demands that apply to content including:
• Regulatory compliance
• eDiscovery
• Privacy
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Executive Summary
Situation
• Many CIOs assume that information management is the problem
of business units and users. The information belongs to the
business, not IT.
• These same CIOs also want a greater role in determining the
information strategy for the enterprise, particularly in sales and
marketing efforts.
Complication
• When there’s a problem, the CIO gets the call. When there’s
litigation or a failed compliance audit, the CIO must assume
responsibility for the remediation.
• A perceived lack of performance by the CIO then threatens IT’s
ability to take a leadership role in other information-driven projects
such as defining a social networking strategy.
Resolution
• Take control of the information in your enterprise. If the enterprise
determines that there are information-related risks or opportunities
in the business, you must perform an assessment and explore
opportunities.
Info-Tech Insight
1. Information governance is one process
among many.
A focus on information governance is often
the result of an assessment of enterprise
risk and opportunity. Review Info-Tech’s
workshops: WCO: Risk Management and
WCO: IT Strategy.
2. Get control of information sources.
Information is resident in many different
places within the enterprise. Each of these
sources must be identified, assessed, and
assigned to a particular owner.
3. Assess risk and reward.
Each information source must be classified
to identify potential risks and rewards. This
assessment is crucial for both the creation of
project proposals and for recommending
changes to standard IT services.
• Create a project team, profile information sources, and develop a
list of priorities and plans.
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Follow Info-Tech’s information governance roadmap
Info-Tech offers a variety of resources. This set will address how to
develop and deploy an information governance plan.
WCO: Risk Management
WCO: IT Strategy
Find Information in
the Enterprise
A
Risk Mgmt.
Content Mgmt.
You are here:
Deploy Effective Information Governance
with a Document Source Audit
IT Strategy
Develop a Data Privacy Mitigate Internal Risks &
Achieve Compliance
Compliance Strategy
with Internal Controls
Move Away from File Shares
and Organize Enterprise
Information
Reintroduce the Information
Lifecycle to the Content
Management Strategy
Minimize Litigation and FOIA Expenses
with an Appropriate eDiscovery
Framework
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When risk and strategy assessments point to information, you
need an information governance strategy
WCO: Risk Management
WCO: IT Strategy
1. Risk Scenarios
Deploy Effective
Information Governance
with a Document Source
Audit
2. Determine Risk Severity
1. Build a Project Team
2. Assess the Current State
of IT
3. Build the Risk Profile
2. Identify Information
Sources
3. Define the Targets and
Gaps
4. Take Action Towards Risk
3. Assess Information
Sources
4. Create the Roadmap
5. Report and Communicate
Risk
4. Define a Retention
Schedule
5. Create the IT Strategy
 Info-Tech’s World Class
Operations (WCO) workshops
often point to the need for
information governance.
 This set lays the groundwork
for projects related to
eDiscovery and knowledge
management.
1. Understand the Corporate
Strategy
5. Create a
Communication Plan
eDiscovery: Ease
Compliance through
Repeatable Process
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Info-Tech is just a phone call away to assist you with your
project
Info-Tech Assisted Implementation (IAI). Our analysts will guide you to
successful project completion.
1. Arrange to speak with a Consulting Analyst. Apply our research advice to
your specific organizational needs.
2. Complete a critical project stage with a Consulting Analyst. Collaborate with
the Analyst as you work through a project step, complete a Tool or Template,
interpret results, and plan next steps.
3. Compare your results with those of others. Benefit from lessons learned.
Consulting Analyst will review completed deliverables and experiences of other
clients to suggest improvements and help you avoid pitfalls.
This bell signifies when you’ve reached an IAI point!
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Info-Tech is ready to assist throughout the information
governance project
Recommended Info-Tech Assisted Implementations
Section 1: Understand the growing need for information governance
An information governance strategy is useful for almost every enterprise. It is not, however, a priority for most of them. Learn
how to engage support for information governance with key stakeholders, and understand the key issues that might be crucial
for the effective deployment of an information governance program.
Section 4: Implement information governance
Interpreting and Acting on Data Audit Results: Review data audit results, discuss how to rectify any issues highlighted, who
will take ownership of the cleanup process, a communication plan for end-users and any automated tools that may assist in
the cleanup initiative.
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Understand the growing need for information
governance
What’s in this Section:
• Who owns information governance?
• What are the top drivers?
• How can Info-Tech help?
Sections:
Understand the growing need for
information governance
Determine why you need an
information governance program
Build the information governance
team
Implement information governance
Maintain the information governance
strategy
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Information governance applies people and process to the
management of organizational information assets
Ownership, accountability, process, and policy encourage the right behavior
in stakeholders, users, and creators of all organizational information.
Information is one of the largest assets owned by an
organization. To manage it effectively there must be
guidelines and processes put in place around the
creation, storage, access, archiving, and destruction of
that information.
Information governance considers responsibility,
accountability, and ownership for how an
organization’s information is handled throughout its
lifecycle.
The processes and policies that encompass
information governance will also ensure that an
organization’s information is current, trustworthy, and
reliable to promote accurate decision making.
The challenge with information governance is that the
amount of organizational information is growing at an
increasingly rapid rate. Social media, mobile usage,
and the Cloud are all contributing to the rise of
unstructured content, which must also be managed
under a governance initiative.
With over 90% of all business
information being created electronically,
the ultimate purpose of information
governance is to help organizations
capitalize on the value of their information,
while reducing the potential risks.
Information governance not
only safeguards corporate information from
risks such as breaches and unauthorized
access, it also puts mechanisms in place
to manage compliance so that
organizations don’t get themselves into
legal or regulatory trouble.
For more information on
information governance strategy,
refer to Info-Tech’s solution set
Develop an Information Governance Strategy.
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Regulation is the top driver for information governance
Regulation is the biggest driver of information
governance initiatives
Compliance with government
regulations
Achievement of business benefits
73%
12%
35%
4%
Achievement of IT efficiencies
19%
8%
Mitigation of eDiscovery/litigation
costs and risks
Unsurprisingly, regulatory compliance (e.g. SarbanesOxley, HIPAA, etc.) is by far the top driver of the need
for information governance, according to Info-Tech’s
survey.
Benefits and efficiencies are the second and third
leading drivers. These include improved access to
information for knowledge workers and reduced
helpdesk and email server loads.
23%
4%
Compliance with non-government
standards
12%
Info-Tech’s Findings:
12%
Reported as the greatest barrier
Reported as the second-greatest barrier
Respondents were asked to select all that apply
Info-Tech’s Advice:
Compliance (or non-compliance) is a concrete and
imminent risk that resonates with business leaders
and stakeholders around the organization.
IT leaders should use compliance to gain executive
buy-in and drive the cross-functional cooperation
required for an information governance strategy.
Once the initiative is underway, due diligence must be
paid to every aspect of information governance,
including benefits and eDiscovery risks.
Source: Info-Tech Research Group, N=26
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Start by assuming responsibility for information governance
CIOs Have Responsibility for
Designing & Implementing
Compliance Systems
45%
Take Leadership Action:
The CIO must take a leadership role in an
information governance initiative.
Because IT will ultimately implement and manage
solutions – and bear the brunt of the grief – IT leaders
can’t afford to let apathy and indecision undermine the
policy and planning stages. IT must come to the table
with an understanding of what’s technically feasible and
affordable versus what is not.
42%
30%
CIOs have a major
responsibility for
information governance!
25%
17%
Other stakeholders, including compliance officers
and records managers, who are responsible for
compliance policies and systems, must also be actively
involved in the information governance project team.
11%
Relevant Job Descriptions:
CIO
Compliance Officer
Records Managers
CISO
• Chief Privacy Officer
CFO
Legal counsel
• Chief Risk Officer
Source: Info-Tech Research Group. N=31
• Corporate Compliance Officer
• Electronic Records Manager
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