CRITICAL SUCCESS FACTORS IN IMPLEMENTING INFORMATION GOVERNANCE (IG)

Presented by: Michael S. Smith; University of Phoenix
Presented to: Stephen Mohan; D. CS, Chair
Teresa North; PhD, Committee Member
Jean Plough; PhD, Committee Member
A QUALITATIVE PHENOMENOLOGICAL STUDY OF
CRITICAL SUCCESS FACTORS IN IMPLEMENTING
INFORMATION GOVERNANCE
© Michael S. Smith, 2015 All Rights Reserved

Presentation Agenda
• Introduction
• Background of the Problem
• Support of the Problem
• Problem Statement
• Purpose of the Study
• Significance of the Study
• Significance of the Study to
Leadership
• Research Question
• Theoretical Framework
• EIM & Lifecycle Management
• Literature Review
• Methodology
• Population
• Research Sampling Frame
• Participants
• Analysis of Emergent Themes
• Limitations
• Recommendations to
Leadership
• Recommendations to IG
Professionals
• IG Critical Success Factors
• Recommendations for Further
Research
• Dissemination of Findings
• Questions
• References

Background of the Problem
Personal Computing
-Beyer, Lapkin, Gall, Feinberg, & Sribar, 2011
Low Cost of Storage
-Gopisetty, et. all (2008)
Proliferation of Mobile &
-Moore, 2011
Social Technology

Background of the Problem (continued)
Consolidation of Electronic Tools
-Turner, Reinsel, Gantz, and Minton (2014)
Into Smart Devices
(Maps, Camera, Music, Video)
Digital Universe
-Gantz & Reinsel, 2014
Replication is the movement, storage, and back-up of data. In demonstrating the rapid
growth of data, Turner et al., (2014) noted from “2013 to 2020, the digital universe will
grow by a factor of 10 from 4.4 trillion gigabytes to 44 trillion” (p. 2)
To bring this to common terms, 4.4 trillion gigabytes is 275 million 16 - gigabyte Apple
iPhone’s growing to 2.75 billion Apple iPhone’s by 2020.

Support of the Problem Statement
The proliferation of structured data, unstructured data, and information stored
within an enterprise along with the convergence of increasing regulation and
compliance has created the big data phenomena (Vednere, 2009).
The cost of creating, capturing, managing, and storing information in 2011
was just one-sixth the cost in 2005, while the cost to store and manage in the
digital universe increased IT investment by 50% (Gantz & Reinsel, 2011).
Chaos will reign without an EIM strategy due to increased compliance
requirements, increasing costs, and gaps in data security (Murphy, 2006).
The change in the volume, velocity, and variety of information along with the
increase in regulatory and legal compliance, and a lack of security controls
places organizations at risk and their brand in jeopardy (Beyer et al., 2011).

Problem Statement
The general problem is the difficulty seen in trying to
manage the ever-growing amount of data (Gantz &
Reinsel, 2011).
4.4
Trillion
GB
44
Trillion
GB

Purpose of the Study
The purpose of the phenomenological study was to explore the CSFs
experienced by 20 IG professionals in implementing IG practices within the
EIM at Fortune 500 publicly traded companies within the United States.
Purposeful sampling required creating criteria for choosing people to be
studied (Merriam 2009).
500

Significance of the Study
Few studies cover the big-data phenomenon, yet EIM is a discipline requiring
engagement in extreme information management (Gartner, Inc., 2012).
Organizations experience exponential growth of data and a simple formula is
as follows:
Existing Data + New Created Data = Total Data
Reducing the volume of data through disposition by automation using
IG policies and retention to clean legacy data and manage the
information lifecycle going forward could yield a slower net growth of
data. The formula would be as follows:
Existing Data + New Created Data = Total Data then less disposition
through deletion = Net Data

Significance of the Study to
Leadership
The significance of this study to leadership was to provide a reference for
CSFs to guide future leaders in their quest in implementing an EIM system.
Organizations choosing to adopt an EIM program must formulate an effective
business strategy for the complex task and ensure governance of the
program (Lei & Slocum, 2005).
IT and EIM professionals may possibly use this study to further develop their
plans to combat the ever growing volumes of data.

Research Question
What are the critical success factors and lived experiences of U.S. Fortune
500 information governance professionals in supporting information
governance in the effective implementation of an enterprise information
management program?
Are there new patterns that affect the success or failure of an
information governance program?
How does your organization plan the lifecycle of information
in the information governance?
What are the lived experiences of the professionals who have
implemented a successful information governance program?

Theoretical Framework
EIM
IG
CSF’s
Enterprise
Information
Management
Managing all
of the data &
information
across an
enterprise
Implementing an
Information
Governance
(IG) Program
to govern EIM
across an
organization
Critical Success
Factors that
enable a
successful
implementation
of IG within EIM

Enterprise Information Management
& Lifecycle Management
EIM is the set of business processes, disciplines, and practices adopted by the
enterprise and used to manage the information created from an organization's
data as an enterprise asset.
EIM
Data lifecycle begins with
the creation of data and
extends through the use,
maintenance and
disposition of data
DLMILMInformation lifecycle
management attempts to
assign appropriate value to
information and specify an
adequate storage
capability, as opposed to
indiscriminately storing
everything.
RLMRLM refers to the creation,
classification, maintenance and
disposition of a record

Literature Review
• Critical Success Factors
• Information Lifecycle
Management
• Data Lifecycle Management
• Risk & Compliance
• Information Governance

Methodology
This phenomenological hermeneutic study was designed to explore the
CSFs experienced by 20 IG professionals in implementing IG practices
within the EIM program of U.S. Fortune 500 publicly traded companies.
The data collection method was an unstructured interview and permission
to document the conversational interview.

Population
The population for this study consisted of IG professionals responsible for
EIM in Fortune 500 companies within the United States.
The preferred participant was the IG professional of the organization, a
position that could be at the vice president, director, or management level.
The context of the study was to understand the
CSFs of an effective EIM from those who had direct
information and lived experiences.

Research Sampling Frame
Contact 50 Participants for Research Study
(from Fortune 500 in the United States)
Confirm 20 Senior Information Governance professionals from 20
different companies
(return to Fortune 500 list until complete)
Schedule Dates, Times & Type of Interview
(in person or virtual teleconference meeting)

Research Sampling Frame (continued)
Conduct
Interviews
Compile
Data
Analyze
Results
1
2
3

Sample Population
Study Participant Profiles & Demographics
Participant Job Age Years Reporting to
Number Gender Title Group Experience Business/IT
P01
P02
P03
P04
P05
P06
P07
P08
P09
P10
P11
P12
P13
P14
P15
P16
P17
P18
P19
P20
Director
Director
Manager
Manager
Director
Manager
Director
VP
Director
Director
Director
VP
Director
Manager
Manager
Director
VP
Director
Manager
Manager
41-50
51-60
31-40
60+
51-60
60+
41-50
41-50
51-60
60+
51-60
51-60
60+
41-50
41-50
51-60
41-50
51-60
41-50
41-50
16-20
20+
16-20
20+
20+
20+
1-5
16-20
11-15
20+
20+
11-15
20+
20+
16-20
11-15
11-15
20+
11-15
11-15
Business
Business
Business
Business
Business
Business
IT
Business
Business
IT
Business
Business
Business
Business
Business
Business
Business
Business
Business
Business

Participant Industries Represented
Financial Services/Banking
Consumer Products
Insurance
Pharmaceutical/Biotech
Manufacturing
Food & Beverage
Industrial/Petroleum
Business Services
28.7%
19.0%
14.3% 14.3%
9.50%
4.80% 4.80% 4.80%

Analysis of Emergent Themes
Theme Emergent Theme Questions Responses
1
2
3
4
5
6
7
8
9
10
11
12
Executive Support/Sponsorship
Risk
Change
Communication
Technology & Automation
Planning
Standards, Controls, Retention & Disposition
Common Language between IT & IG
Quick Wins
Information Lifecycle Management (ILM)
Balancing Needs of the Business & Compliance
Legal
2,3,4,5,6,7,8
2,3,5,10
5,6
6,7,8
2,4,10
7,9
3
2
6,8
7
3
3
90
37
36
36
32
25
19
17
14
8
6
6

Limitations of the Study
From the population, a study sample of 20 IG professionals with a
minimum of 24 months of experience within Fortune 500 publicly traded
companies was used.

Recommendations to Leadership
Leadership may safeguard their data and information by supporting
the IG professional and the program.
Leadership may also assist in their support by providing the
necessary resources to manage risk, promote change
management, and encourage open communication.
Leadership should also monitor the IG program and supporting
technology as part of its strategic planning process. Information
assets should be aligned with the corporate strategy moving into
the future.

Recommendations to IG Professionals
IG professionals need to prepare their organizations at all levels for
an IG program.
To be effective at managing change and communicating across the
enterprise the IG professional must speak in the terms of the
Business.
IG professionals need to develop skills to gain executive
sponsorship, create an IG steering committee, and communicate at
all levels of the organization.

IG Critical Success Factors
Communication
The IG professional should look
to build relationships and
partnerships at all levels of the
enterprise to effectively engage
stakeholders.
Executive Sponsorship
An effective business value
statement should be defined and
communicated.
Technology
Effective automation of the
complex IG requirements
regarding risk, compliance, and
business rules may provide
greater confidence to
executives.
Risk Management
Align clearly with privacy,
security, and risk professionals
within their enterprise on
strategies and plans.
Strategy & Planning
IG professionals should use
industry assessments to
measure their enterprises
current situation regarding IG.
Change Management
People are an important part of
any organization and the change
management plan for IG must
be customized to include the
culture and style of the
enterprise.
Information Lifecycle Management
Successful Information Governance
Critical Success Factor (CSF) are the set of factors most essential to the
success of the project. It is what you must have to be successful.

Recommendations for Further
Research
• An opportunity to test the IG Critical Success Factors in
a quantitative analysis is an opening for further research.
• A quantitative analysis of Fortune 500 companies with IG
programs in various levels of maturity would be useful
by surveying executive, middle management and front
line stakeholders.
• Testing a sample of companies who have implemented
the General Accepted Record Keeping Principles against
their financial performance over the last five years.

Dissemination of Findings
• ARMA International Conference 2015
– Poster Session
– Professional Development track presenter for IG professionals
• Information Management Magazine
– Publication proposal for IG practitioners
• Academy of Management August 2016
– Paper Submission
– Paper Presentation
• Feedback to participants once published in ProQuest

References
 Beyer, M.A., Lapkin, A., Gall, N., Feinberg, D., Sribar, V.T. (2011). Big data is only the beginning
of extreme information management. Gartner Research Report, ID Number: G00211490(1), 1-32.
Retrieved from http://www.gartner.com/technology/home.jsp
• Gantz, J., & Reinsel, D. (2011). Extracting value from chaos (IDC 1142). Retrieved from
http://idcdocserv.com/1142
• Gartner, Inc. (2012). IT glossary. Retrieved from http://www.gartner.com/it-glossary/
• Gopisetty, S., Agarwala,S., Butler, E., Jadav, D., Jaquet, S., Korupolu, M, [...]Vogl, N. G. (2008).
Evolution of storage management: Transforming raw data into information. IBM Journal of
Research & Development, 52(4/5), 341-352. doi:10.1147/rd.524.0341
• Merriam, S. B. (2009). Qualitative research: A guide to design and implementation. San
Francisco, CA: Jossey-Bass .
• Murphy, B. (2006, January 3). Information management 101 (Forrester Research Report).
Retrieved from http://www.forrester.com
• Turner, V., Reinsel, D., Gantz, J., & Minton, S. (2014). The Digital Universe of Opportunities: Rich
data and the increasing value of the Internet of Things. Retrieved from http://idcdocserv.com/1678
• Vednere, G. (2009). The building blocks of a global records management program. Information
Management, 43(3), 35-39. Retrieved from http://content.arma.org/IMM/Libraries/May-
June_2009_PDFs/IMM_0509_global_rim.sflb.ashx

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