The document provides background on SIMC Utilities and discusses developing a strategic information management plan. It outlines current status, including that the RIM function was recently moved to IT, an information governance function was created but not much has been accomplished. There are issues around lack of cooperation between divisions, no formal disposition process, and only partial implementation of an ECM system with user adoption problems. Key areas to address in developing an effective IM program are identified.

1. Developing a Strategic
Information Management Plan
Sam McCollum, MBA, CRM
Strategic Information Management Coaching, Inc.

2. • GARP Principles
SIM Theory Tools (2)
SIM Application Tools (8)
• ARMA Maturity Model
• SIM Roadmap
• Discussion Papers
• Project Directory
• Project Status
• Infrastructure Questionnaire
• Environmental Index
• 4 SIM Dimensions
• SIM Plan

3. 3. GAR Principles
SIM Tools (10)
4. ARMA Maturity Model
8. SIM Roadmap
9. Discussion Papers
6. Project Directory
7. Project Status
2. Infrastructure Questionnaire
5. Environmental Index
1. 4 SIM Dimensions
10. SIM Plan

4. What basic RIM
information for our
company do we need to
research and document in
order to provide a basis for
the formal assessment ?

6. SIMC Coaching
Developing a Strategic
Information Management
Plan
(SIMC Utilities – A Typical Scenario)

7. Hand out scenario
Read the typical scenario
Highlight RIM concerns
Highlight positives

8. A. Background
SIMC Utilities is a progressive electricity, gas and fiber optics
service provider with approximately 820,000 customers. Its head
office is located in Denver, Colorado and it provides utility
services to the states of Colorado, Wyoming and Utah.
SIMC Utilities is noted for its emphasis on green energy; with
interests in wind farms, solar panels, electric cars, and co-
generation plants. It also has been promoting the value of district
energy over the past few years with the aim of reducing the
energy loss associated with long transmission lines.
B. Issue
Recently, the organization hired a CIO who succeeded in
transferring the RIM function from Legal Services, and then
integrating it into the IT department.

9. In addition, an Information Governance function was
created and is just getting started.
One of its key mandates is to formalize the IM policy
and procedures currently in use.
The current mandate from senior mgt is to address the
growing information mgt concerns but these concerns
are not being effectively transferred down to middle
mgt.
A review of risks associated with information
management has recently been the subject of
meetings at the CIO level in response to an internal
audit report published a year ago.
The physical records management process has been
functioning well for a number of years.

10. The focus on electronic records is fairly new; with an
ECM program that was implemented into 1/3 of the
key departments before being temporarily stalled
because of budget considerations. There is strong
senior mgt support for ECM, but the organization has
identified a need for better IM education, training, and
new employee orientation. User adoption problems
with the ECM program suggest an emphasis on better
change mgt process. Additional concerns include
issues around the limited interface capabilities for the
ECM program.

11. C. Current Status
A detailed review of the current status of information
management has identified the following
considerations in developing an effective IM program:
- The organization is moving into a budget period
where there is limited cash flow due to the
construction of two large generation plants.
- Legal Services and the user departments have been
unable to resolve jurisdictional issues over the
proposed disposition process, so no disposition has
taken place in the 11 years since the company
organized.

12. - There is a strong environmental emphasis at the
senior mgt level.
- The organization is involved in all three utility industry
areas; generation, transmission, and retail. The first
two areas are regulated while the last area is non-
regulated. Legislation requires that activities and
information within the two distinct areas (regulated and
non-regulated) be kept separate.
- There is no vehicle (i.e. Information mgt Advisory
Committee) that exists to discuss IM concerns at the
Senior Mgt level.

13. - There is a large number of IT and generation
projects currently underway with pressure
from senior mgt to complete ASAP.
- Some limited review of business processes
has taken place in the newly created
generation group. The review of information
flow within most business processes has not
been undertaken.

15. Where are
we now?

17. ORGANIZATION & CULTURE
IM and IT Integration – what is the nature of the working
relationship between the IT, Legal, Risk Management and IM
functions within your organization.
SIM Roadmap – Does a SIM roadmap exist that lists the RIM
projects that are required to close the gap between existing RIM
maturity levels and acceptable future maturity levels?
Effective IM Governance – does your organization have separate
IM Operations and IM Governance functions, and how do they
interact with each other?
[No]
[A separate information governance
function recently set up but not a lot accomplished yet.]
[Very little cooperation
occurs between divisions at the senior level. Jurisdictional
disputes continue to exist between IT and Legal. Departments
are complaining about IT overhead costs. IT has taken over the
RIM function.]

18. Management of Change – do you have a formal management of
change process to guide users in the design and acceptance of
new IRM processes? How well is it being implemented?
IMAC Charter – is there a formal IM committee consisting of senior
management that regularly meets and reviews IM activities and
guidelines? [No]
[Management change is not being used well. Users are
complaining about lack of customized user interfaces with
LiveLink. Many of the user departments are concerned over
the level of IT infrastructure admin charges that have been
assigned to their operating budgets.]
ORGANIZATION & CULTURE

19. Legal Holds/Litigation Notification – does your organization have a
formal disposition process for all information, regardless of media?
Is there a legal holds and litigation notification process that
overrides normal disposition?
Archiving and Storage – what processes do you have in place to
indicate the levels of sensitivity for information and how do you
ensure that the proper levels of access are applied to each
information item? [A process for archiving of emails from the
email server has not been discussed. Single source archiving
of files on network drives is not currently practiced.]
[Both legal hold and litigation
notification standards have been developed. Neither have been
approved nor implemented. The majority of RIM procedures
are not formalized or enforced.]
POLICY / COMPLIANCE / MEASUREMENT

20. Info Sensitivity/Security – what processes do you have in place to
indicate the levels of sensitivity for information and how do you
ensure that the proper levels of access are applied to each
information item? [An information sensitivity classification
standard has been developed, but not yet approved or
implemented. Information security issues have not been
addressed]
POLICY / COMPLIANCE / MEASUREMENT

21. Process Auditing/Metrics – do you have an effective system for
auditing both IM systems, and business processes that involve
information management, to ensure compliance requirements are
met? [Livelink has an automatic audit trail for all electronic
information stored in its repository. The IRM Centre audits the
activity of hardcopy documents stored in their system. A
corporate audit of the RIM function was conducted 2 years ago
but there is limited action on the recommendations due to
budget restrictions. Only 33% of hardcopy or electronic
information is currently stored in corporate repositories that
have audit capabilities.]
POLICY / COMPLIANCE / MEASUREMENT

22. Benefits Realization – do you have processes in place to identify
expected benefits before starting a RIM project? Do you complete a
benefits analysis within 6 months of completing a project? Do you
conduct annual audits to ensure that user departments are
following RIM policy, procedures, and practices? [Benefits
analysis of projects and annual audits of department practices
are seldom done.]
POLICY / COMPLIANCE / MEASUREMENT
User Awareness – describe your organizations IM user awareness
program and how it interacts with both new and existing employees.
[Very little RIM training in place. No enterprise level RIM
procedures in place.]

23. Classification /Indexing – do you have a formal classification and
indexing program that is effectively applied to both paper records
and electronic information? [SIMC Utilities has a CICRS system
for classification and retention of all official information.
However, its retention periods have not been updated for over
7 years. The classification system focuses on content only;
sensitivity and security tags are not available or implemented.]
POLICY / COMPLIANCE / MEASUREMENT

24. BUSINESS PROCESS OPTIMIZATION
Corporate ECM – does your organization have an enterprise level
system that manages the collection, storage, distribution,
manipulation, and disposition of all information regardless of its
media?
Information Disposition – does your organization dispose of official
information once it meets its CICRS designated retention periods?
How do you coordinate information disposition with legal hold
requirements? [A jurisdictional dispute between legal, IM
Governance, and the user departments means that no
information has been disposed of since in the last 12 years.]
[SIMC Utilities has implemented Livelink into
approximately 30% of its key departments. Single source
storage of information has not been addressed.]

25. BUSINESS PROCESS OPTIMIZATION
Knowledge Management – to what extent are you using integrated
electronic information and social media tools to improve secondary
use of information and management decision-making?
Hardcopy Information Reduction – do you have a program to reduce
the volume of hardcopy information, and promote the creation of
digital information and its integration into your business processes?
[A program has just begun to reduce the volume of source
information in paper form. All contracts and other signed
documents have been scanned and indexed into the LiveLink
system. Document capture and information extraction is one
initiative that IM governance is working on.]
[The use
of social media is very limited. Structured and unstructured
information is not yet integrated. The review of some business
processes; specifically Supply Chain Management has been
started to see if the information input and flow in the
processes can be improved.]

26. BUSINESS PROCESS OPTIMIZATION
Business Continuity – does your business continuity plan include
identification of vital information, disaster planning and recovery,
and availability of key resources? [IT has started work on a
disaster recovery program but the program is in the early
stages of setting up an off-site repository and hot spot. Further
efforts are being hampered by the restrictions in cash flow.]

27. TECHNOLOGY OPTIMIZATION
Info Capture/Data Extraction – what processes do you have in
place for hardcopy information capture, data extraction from the
scanned images, and the transfer of that information to ERP and
business processes?
Enterprise Single Repository – have you rationalized your
databases and information repositories to facilitate the creation of
single source repositories?
[Supply Chain is lobbying for budget
approval for the implementation of doc capture/data extraction
to improve their AP & AR business processes. Currently
scanning of hardcopy documents is limited to legal contracts.]
[This initiative is still in the planning
stage.]
[Younger employees are
demanding social media capabilities but the support
infrastructure for social media tools is very limited.]
Social Media – do you have policy, procedures, and software
systems in place to manage social media tools? What links to you
have to your ECM repositories?

28. TECHNOLOGY OPTIMIZATION
Info Capture/Data Extraction – what processes do you have in
place for hardcopy information capture, data extraction from the
scanned images, and the transfer of that information to ERP and
business processes?
User Interface Customization – have you customized the user
interfaces for your information management applications to meet
specific user and department needs, and to both improve efficiency
and reduce errors? [The organization is looking at using
SharePoint to develop customized interfaces to their ECM and
other database repositories. This initiatives is still in the
planning stage.]
[Supply Chain is lobbying for budget
approval for the implementation of doc capture/data extraction
to improve their AP & AR business processes. Currently
scanning of hardcopy documents is limited to legal contracts.]

29. TECHNOLOGY OPTIMIZATION
Storage Optimization – what processes are you using to improve
information storage optimization and reduce information
duplication?
E-Mail Mgt – what systems/processes do you have in place to
manage the collection, storage, distribution, manipulation, and
disposition of email? [Email management studies have been
underway for 18 months but no recommendations have been
documented.]
[A huge amount of legacy data is currently stored
on tapes; the majority of which are inaccessible due to the lack
of indexing, and the obsolescence of the software used to
gather and store the information. The organization has not
implemented the concept of single source repositories, and
therefore multiple copies of documents can exist.]

30. TECHNOLOGY OPTIMIZATION
Technology Assessment – have you completed an assessment of
all IM supporting applications with the objective of consolidating,
standardizing, and rationalizing those IT applications that provide
services under the headings of presentation and access, process
and collaboration, content middleware, data management, and
storage? [This initiative is still in the planning stage. There are
multiple systems within the IM infrastructure that serve the
same purpose. For example there are five different indexing
software systems and two different search engines employed
throughout the organization. There is a number of point-
solution IT initiatives underway to address specific IM
problems, but there is no overall coordination of initiatives or
integration of systems. Information security and information
sensitivity classification issues have been a concern of senior
management for some time. ]

32. ARMA GAR Principles:
‘An industry standard
designed to measure adherence
to an acceptable and effective
RIM program’

33. Integrity3
Transparency2
Accountability1
Protection4
Compliance5
Availability6
Retention7
Disposition8

34. Current
RIM
Maturity
Levels
Infrastructure
Questionnaire
Findings
GAR
Principles

35. 1. Accountability – No coordination between senior mgt, RIM
reports to V/P of IT who reports to the CIO. The IMAC is not
currently meeting, even though the last RIM audit recommended
regular meetings.
2. Transparency – Procedures are informal and not widely
published or enforced. The CICRS (Corporate Information
Classification and Retention Schedule) system is in place but needs
to be updated. The Information Governance function is still new and
needs to develop a set of documents that define acceptable
enterprise level information mgt processes. Information archiving
policy not developed or implemented.

36. 3. Integrity – No regular RIM audits are conducted. A single source
for all official documents does not exist. The ECM Livelink system
has been implemented in only 33 % of key departments, so
information integrity and authenticity is a huge concern. Information
security issues have not been addressed. Sensitivity classification
standards have been developed but not approved for
implementation.
4. Protection – Information security issues have not been addressed.
Sensitivity classification standards have been developed but not
approved for implementation; so access issues have developed. The
ECM Livelink system has been implemented in only 33 % of key
departments, so automatic audit tracking is not available for 66% of
UEI. Privacy guidelines not developed or enforced. The lack of RIM
training for information users is a problem.

37. 5. Compliance – No regular RIM audits are conducted to ensure
users are following RIM guidelines. Procedures are informal and not
widely published or enforced. The lack of RIM training for information
users is a problem. The Information Governance function is still new
and needs to develop a set of documents that define acceptable
enterprise level information mgt processes.
6. Availability – A single source for all official documents does not
exist; the same document could be stored in multiple repositories, and
in different versions. The ECM Livelink system has been implemented
in only 33 % of key departments. Legal hold procedures have not
been implemented. Retention guidelines are outdated; records may
be destroyed in spite of compliance or litigation requirements. Email is
stored on the email server only and deletion is an individual decision
only. A huge amount of legacy information is stored on backup tapes
that are inaccessible.

38. 7. Retention – A huge amount of legacy information is stored on
backup tapes that are inaccessible. The CICRS system is in place but
its retention periods are seven years old and need to be updated. The
lack of RIM training for information users is a problem. Jurisdictional
disputes continue to exist between IT and legal over the process of
information retention and disposition.
8. Disposition - A huge amount of legacy information is stored on
backup tapes that are inaccessible. The CICRS system is in place but
its retention periods are seven years old and need to be updated. The
lack of RIM training for information users is a problem. Jurisdictional
disputes continue to exist between IT and legal over the process of
information retention and disposition.

40. ARMA Maturity Model:
‘Provides information
governance picture, with scope
notes and maturity levels for
each GAR Principle ’

42. 1. Accountability – No coordination between senior mgt, RIM
reports to V/P of IT who reports to the CIO. The IMAC is not
currently meeting, even though the last RIM audit recommended
regular meetings.
2. Transparency – Procedures are informal and not widely
published or enforced. The CICRS (Corporate Information
Classification and Retention Schedule) system is in place but needs
to be updated. The Information Governance function is still new and
needs to develop a set of documents that define acceptable
enterprise level information mgt processes. Information archiving
policy not developed or implemented. [Meets level 1
scope notes. At level 2 – approved procedures not in place.]
[Meets level 2 scope notes. At level 3 –
manager is not an officer, no interaction with other officers.]

43. 3. Integrity – No regular RIM audits are conducted. A single source
for all official documents does not exist. The ECM Livelink system
has been implemented in only 33 % of key departments, so
information integrity and authenticity is a huge concern. Information
security issues have not been addressed. Sensitivity classification
standards have been developed but not approved for
implementation.
4. Protection – Information security issues have not been addressed.
Sensitivity classification standards have been developed but not
approved for implementation; so access issues have developed. The
ECM Livelink system has been implemented in only 33 % of key
departments, so automatic audit tracking is not available for 66% of
UEI. Privacy guidelines not developed or enforced. The lack of RIM
training for information users is a problem. [Meets level 2 scope
notes. At level 3 – access control and chain of custody,
training of staff insufficient, no current audits.]
[Meet level 1 scope notes. At level 2 – no
chain of custody to ensure authenticity]

44. 5. Compliance – No regular RIM audits are conducted to ensure
users are following RIM guidelines. Procedures are informal and not
widely published or enforced. The lack of RIM training for information
users is a problem. The Information Governance function is still new
and needs to develop a set of documents that define acceptable
enterprise level information mgt processes.
6. Availability – A single source for all official documents does not
exist; the same document could be stored in multiple repositories, and
in different versions. The ECM Livelink system has been implemented
in only 33 % of key departments. Legal hold procedures have not
been implemented. Retention guidelines are outdated; records may
be destroyed in spite of compliance or litigation requirements. Email is
stored on the email server only and deletion is an individual decision
only. A huge amount of legacy information is stored on backup tapes
that are inaccessible. [Meets level 1 scope notes. At level 2 – not
able to distinguish between official records and duplicates.]
[Meets level 1 scope
notes. At level 2 – there is no legal hold process in place.]

45. 7. Retention – A huge amount of legacy information is stored on
backup tapes that are inaccessible. The CICRS system is in place but
its retention periods are seven years old and need to be updated. The
lack of RIM training for information users is a problem. Jurisdictional
disputes continue to exist between IT and legal over the process of
information retention and disposition.
8. Disposition - A huge amount of legacy information is stored on
backup tapes that are inaccessible. The CICRS system is in place but
its retention periods are seven years old and need to be updated. The
lack of RIM training for information users is a problem. Jurisdictional
disputes continue to exist between IT and legal over the process of
information retention and disposition. [Meets level 1 scope notes.
At level 2 – disposition guidelines in limbo, suspending
disposition process not in place.]
[Meets level 2 scope notes.
At level 3 – retention schedule has not been updated, staff
training is not sufficient.]

47. Where do we
want to be in
the future?

49. Environmental Index:
‘What changes would be
welcome and what support
can be expected’

50. Risk Appetite - What is the Risk Appetite of the organization?
Key Performance Indicators - Does the organization have Key
Performance Indicators related to information management?
[The company has recently added enterprise targets related to
customer IM response time, disposition volumes, and paper
consumption (environment issue)]
[The company has a low risk tolerance due to the highly
regulated nature of its business and the high risk of litigation
from government and its 800,000 plus customers. An IT
governance department was created in 2009 which includes an
IG function, designed to provide greater direction to users
around the proper management of information. One of its
goals is to reduce the risk associated with poor management
of information]

51. Litigation - Does the organization’s legal history indicate significant
volumes of litigation related to information management?
Audits - Are there audit findings and/or observation history that would
drive increased efforts around information management?
[In October, 2008, the Internal Audit department conducted a
review of the corporate information management system. The
results of that report recommended more IM training of
employees, periodic audits of individual departments, and an
increased senior management emphasis on information
management. None of the findings have been implemented to
date]
[Litigation is steadily increasing due to pressure from
environmental groups. Recent litigation issues have put an
emphasis on more accurate and consistent reporting for
decision-making]

52. Corporate Strategic Objectives - Do the strategic objectives of the
organization for the current or next year require an increased
emphasis on information management?
Volume vs Quality - Is the corporate emphasis on managing the
volume or quality of information? [The pressure to complete the
large generation projects is putting pressure on getting the job
done. However this is balanced by the requirement for more
accurate information. Senior management direction seems to
lean towards ‘code and go’ related to new IT projects.
However, the ECM Livelink project is designed to improve
information quality. Also the initiative towards single source
documentation will help – slow start expected]
[An increased emphasis
on environmental controls is coming down from senior
management. The formalization of RIM policy and objectives
has been mandated to the IG function. There is strong
management support for ECM implementation. The CIO is
requesting initiatives to improve information management]

53. Collaboration/Communication - How do collaboration and
communication needs affect information management?
Speed vs Accuracy - Is the corporate focus on getting the job done or
zero tolerance for errors? [The current emphasis is on ensuring
the accuracy of information required for effective senior
management decision-making]
[Departments are asking for more streamlined inter-
department information flow. Employees are frustrated with
the lack of single source information, the cost of IT projects,
the RIM miscommunication between senior and middle
management, and the need for more social media initiatives.
This is a mixed bag of concerns that requires better
communication between IT and the user departments]

54. Information Security - What effect does the corporation’s security
policy have on information management?
Employee Culture - What particular employee culture or tendencies
will affect proposed information management initiatives?
[Employee culture has evolved to embracing corporate
repositories such as Livelink and an expectation that new IM
systems will make their work easier and more accurate. They
will use social media regardless of whether the organization
approves. User departments are more interested in document
management then in information management]
[Security issues are a
concern for both IT and the user departments. At this time
there is limited budget dollars for new security initiatives.
Recent information leaks have put pressure on the CIO to
ensure better information security. One consideration is to
adopt a sensitivity classification system for all official
information]

56. Environmental
Index
Findings
Future
RIM
Maturity
Levels
Maturity
Model

57. Accountability – Target level 3 scope notes. Manager elevated to
director level due to environmental and litigation concerns; now
reporting to senior management. IMAC activated for the same
reasons. [Level 4 - Records Mgt activities not fully sponsored by
senior mgt]
Transparency – Target level 3 scope notes. Information
governance function fully operating. SIM plan and 3 year SIM
Roadmap developed. RIM policy and procedures approved,
implemented and published. Training program developed to meet user
demands. [Level 4 - Transparency still not fully embraced by all
departments – old cultural issues hard to break]

58. Integrity - Target level 3 scope notes. Key department audits
required annually as defense against litigation and to ensure a chain of
custody record. Livelink implemented in all key departments; chain of
custody records. Single source official information has been obtained
through the use of archival rationalization and storage optimization.
Security guidelines and sensitivity classification processes have been
implemented but not universally followed. [Level 4 - Metadata
requirements not fully embraced by all users. Signature requirements
not yet developed]
Protection - Target level 4 scope notes. Privacy, security, and
sensitivity classification guidelines implemented. Full ECM
implementation for all official records provides good information
protection and chain of custody documentation. Regular RIM auditing
of users implemented. Training program developed to meet user
demands. [Level 5 - Audit review and continuous improvement
initiatives secondary due to other project demands]

59. Compliance - Target level 2 scope notes. Regular RIM auditing of
users implemented. Training program developed to meet user
demands. Information governance function fully operating. RIM policy
and procedures approved, implemented and published. [Level 3 -
Initiative to develop compliance criteria and measurement system is
not highest priority]
Availability - Target level 3 scope notes. Introduced SharePoint as
acceptable user interface to Livelink. Completed LiveLink installation to
improve single source information. Legal hold procedures have been
implemented. CICRS retention guidelines have been updated. Email is
backed up to a separate Email repository. Review and employ both
document capture and information extraction software to meet Supply
Chain Mgt concerns over information access, back up and cost
reductions. However, legacy information stored on backup tapes is still
inaccessible due to resource constraints. [Level 4 – information is
readily available when needed – resources concerns]

60. Retention - Target level 2 scope notes. The CICRS system retention
periods have been updated. Training programs have been developed to
train users on the CICRS and its procedures. Disposition, litigation
notification and disposition processes have been approved and
implemented. However, legacy information stored on backup tapes is still
inaccessible due to resource constraints. [Level 3 - Timely retention is
still not fully embraced by all departments with some departments keeping
all records just in case – old cultural issues hard to break]
Disposition - Target level 2 scope notes. The CICRS system retention
periods have been updated. Training programs have been developed to
train users on the CICRS and its procedures. Disposition, litigation
notification and disposition processes have been approved and
implemented. However, legacy information stored on backup tapes is still
inaccessible due to resource constraints. [Level 3 - Disposition is still not
fully embraced by all departments; no one wants to take responsibility for
signing off information for destruction – old cultural issues hard to break]

61. Typical
Scenario
=
Proposed
Acceptable
Maturity
Model
Levels

62. How do we
translate a desired
RIM future state
into a strategic plan?
Proposed SIM
projects.

64. Project Directory2
Areas for Improvement1b
Gap Analysis1a
Project Status3

66. 1. There is a need for a higher level of accountability for the
management of information flow. A senior level advisory
committee (IMAC) should be organized and implemented.
2. A Strategic Information Management (SIM) plan for the
enterprise and a 5-year SIM Roadmap need to be developed.
3. Better RIM training of all staff should be undertaken, including
the development of effective training materials.
4. Support for the Information governance function and the design
and implementation of RIM policy, standards and procedures
encouraged and distributed.
5. Regular internal audits should be conducted in key
departments to ensure that all RIM standards are being
adhered to.

67. 6. The ECM project (Livelink) should be extended to all key
departments to ensure more effective indexing, auditing of
activity, e-discovery efficiencies, and to ensure better integrity
and authenticity of information is possible. Access control and
chain of custody issues can also be addressed with this
recommendation.
7. IM Infrastructure review, integration and rationalization should
be improved with the intent of reducing multiple software
application and enabling single source of official information.
8. Security measures for information need to be improved and
the existing sensitivity classification system applied to all
official information.

68. 9. User concerns over ease of use should be addresses by
looking at better interfaces for the ECM system (i.e. using
SharePoint to provide user customized interfaces to Livelink).
Management of change processes should also be utilized
before and during the planning and implementation of any SIM
initiatives.
10. CICRS retention periods should be reviewed and updated.
11. The proposed disposition, litigation notification, and legal hold
procedures should be adopted and implemented.
12. An archival solution for email and network drives should be
investigated and approved for all official records; a solution
that supports the ‘single source’ objectives for official
information.
13. A document capture and information extraction software
system should be implemented in certain high volume or
information risk areas.

70. Organization/Culture –
1. Design the SIM plan and roadmap for the next 3
years
2. Set in place the IMAC and conduct regular
meetings.
3. Assign a corporate sponsor for the Information
Governance initiatives.
4. Employ management of change techniques for
all SIM projects

71. Policy/Compliance/Measurement –
5. Obtain senior management approval and implement the
disposition/litigation notification/legal hold process.
6. Put in place a process for conducting regular audits for
all key departments
7. Develop, obtain senior management approval, and
implement all necessary RIM policy, standards, and
guidelines.
8. Increase user awareness through increased IM training
materials development and user IM training.
9. Up date the retention schedules for the CICRS and
ensure regular updates every 3 years.

72. Business Process Optimization –
10. Continue the rollout of the Livelink ECM to all
key departments
11. Use SharePoint software to design
customized user interfaces to LiveLink for all
user departments
12. Investigate, obtain approval and implement a
formal document capture and information
extraction process.

73. Technology Optimization –
13. Complete an Information Management (IM)
infrastructure review to rationalize and integrate all
hardware, systems and software currently being used
to support the IM function and processes.
14. Investigate and implement an archival solution for
email and network drive electronic files that support the
‘single source’ concept for information management.
15. Implement security measures and sensitivity
classification systems to improve information access
and user permissions efforts.

75. ‘Defines the scope,
status, and
suggested timelines
of proposed projects’

76. SIM Plan & 5 Year Roadmap - develop roadmap of required
activities under the headings of organization/technology/ business
process/ compliance
- Will complete the roadmap by the end of the
second quarter of 2012 and obtain approval by end of July
2012.
• [not started]
IMAC Charter - develop charter for Sr. Mgt IM committee, hold
regular meetings to review and approve
- Working on IMAC charter completed. Will start
first of the bi-annual meetings in the second quarter of 2012
(agenda will include the second half 2012 RIM strategy.
• [underway]

77. Management of Change - develop a process to manage the
change associated with the implementation of the IM initiatives that
are part of the 5 year roadmap, link to user awareness, handhold,
process change, communication. ADKAR = awareness, desire,
knowledge, ability, and responsibility
- This initiative will be managed by the RIM
Operations ECM team and will be designed for implementation
by the end of the third quarter 2012.
• [not started]
Effective IM Governance – complete the organization of the
Information governance function and develop standards, perform
audits, ensure IM compliance, link to benefit realization, link to user
awareness. Determine corporate sponsor for all SIM initiatives and
Sr. Mgt accountability for RIM operations.
- Currently underway with completion expected
by years end 2012.
• [underway]

78. Process Auditing/Metrics - determine metrics, audit for
improvement, tie to business process improvements, increased
efficiency
- Closely tied into document capture/data
extraction and business process improvements. Planned for
start of 1st half of 2013 and completion by the end of that year.
• [not started]
Disposition/Legal Holds/Litigation Notification - process to
institute and manage legal holds, procedure for notification of
litigation, information disposition process, all applicable forms/
documents.
- The legal hold, litigation notification, and
information disposition standards have been approved but a
discussion on-going about who would be executive sponsor of
the project. Will plan for approval, training and adoption of
litigation by end of 1st half of 2012 and legal holds by end of
2012.
• [underway]

79. User Awareness - training, educational materials development,
communications plans, help desk, user groups, ‘How To’ documents
- Focus on developing better training materials,
hooking into HR training function, involving users in design,
etc. Start ASAP in 2012 and complete process development by
year-end for all key training requirements/ situations. Training
to start in tandem after second half of 2012.
• [not started]
Policy & Procedures – develop, and obtain formal senior mgt
approval for RIM policy and procedures
- Will work with user departments, compliance
and legal to assemble / develop RIM policy and procedures
and obtain senior mgt approval. Planned for the second half of
2012.
• [not started]

80. Corporate ECM Implementation - for all key departments, transfer
in hardcopy indexes, workflow improvements, link to e-mail, link to
social media
- Will restart in the first quarter of 2012 and will
continue working on the project for the next 3 years, including
retooling of existing implementations – completion sometime
in 2015.
• [underway]
Classification /Indexing - applying subject classifications to
information to improve search and retrieval, indexing all information
when create, CICRS
- Need to upgrade retention schedules and
consider effect on CICRS. Set for third quarter of 2012.
• [not started]

81. Info Capture/Data Extraction - scanning of hardcopy documents
and storing images in repositories, extraction of data from scanned
images and transfer to ERP or other business processes
- Report in progress with completion by 2012
year-end. Training and approval slated for 1st half 2013.
Implementation to follow.
• [underway]
User Interface Customization - employ software (I.e. SharePoint)
that allows for customizing of department user interfaces to improve
usability and efficiency, to encourage consistency where necessary,
to accommodate different user requirements
- Urgent request of Livelink users and required
to achieve planned efficiency target – Planned for second half
of 2012 – need to have SharePoint strategy first – discussion
paper.
• [underway]

82. UEI Archiving Solution - procedures for storing information,
storage media, transfer processes, mgt of storage areas, link to
disposition
- Working with Enterprise Architecture to
identify and document databases and UEI storage repositories.
Need to develop guidelines by end of 2012. Project to start
after that.
• [not started]
IM Infrastructure Review - list and assessment of all applications
supporting IRM, consolidate, standardize, rationalize. IT Services =
applications for presentation and access, process and
collaboration, content middleware, data management, and storage
- Independent review – can be conducted at any
time – useful for single repository project, and storage
optimization – planned for second half of 2012 and into the
first half of 2013.
• [not started]

83. Info Sensitivity/Security Systems - applying sensitivity class to
information to control access to it, securing information against
unauthorized access, privacy requirements
- Procedures and process development moved
to 1st half of 2013 due to resource constraints and need for
user training scheduling.
• [underway]

84. SIM Roadmap
Discussion Papers
SIM Plan

86. Suggests
timing,
relationships,
tracking and
budgeting of
proposed
projects
‘Suggests timing,
relationships,
tracking and
budgeting of
proposed projects’

89. ‘Outlines required
guidelines, resources,
ownership,
implementation steps,
and deliverables for
projects’

90. ‘The decision on what position papers to act
on, and what priority to assign to those projects
selected for further action, will be dependent on
the information management culture of the
organization and the acceptable degree of risk
associated with the various issues outlined in
each position paper. These considerations will
determine the strategy that the organization will
employ in acting on the proposals contained in
these position papers.’

91. 1. An IMAC charter document
2. A study of change management techniques
3. The development of a SIM plan design process
4. A review of legal hold processes, litigation
notification trigger events, and acceptable
information disposition methods
5. A review of industry accepted RIM policy and
procedures
The development of the following discussion papers is
recommended:

92. 6. A review of the compliance requirements related to
retention periods (CICRS updates)
7. A study of the best options for the integration of
SharePoint and LiveLink
8. A review of document capture and information
extraction software and techniques
9. A study of UEI (email and electronic files on
network drives) archiving options
10. A combined review with IT of security and
sensitivity requirements and processes

94. ‘Documents the
SIM design results
and proposes a
strategic
information
management plan’

95. An Information Management
Strategy for
SIMC Utilities
(2012 to 2014)
SIMC Utilities Inc.
IT Governance Department
Sam McCollum, Manager of
Strategic Information Management

96. We
would
be
happy
to
help.
Do
You
Have
Any
Ques@ons?