Allow me to begin by thanking you for agreeing to participate in the Information Management Capacity Check assessment. Interviews, such as the one we have scheduled, are an important component of this assessment. In order to ensure that our discussion adds as much value as possible, I have enclosed a copy of the interview guide to help frame the interview. Also included is a copy of the Information Management Capacity Check.
As we will be discussing several of the Information Capacity Check elements, it would be helpful if you could take a few minutes to familiarize yourself with the material, prior to our discussion. It is anticipated that the interview will take between 1 to 1.5 hours.
- Does the organization have a vision for IM? If so, is the vision documented and understood by staff, clients and business partners? If not, what needs to be done to bring about a common understanding of IM?
- Does the organizational culture recognize information as a strategic asset? If yes, what are the indicators that support your answer? If not, what needs to be done to achieve this cultural transformation?
- How has senior management demonstrated their understanding, commitment and leadership for IM? What more needs to be done in this area?
- Has the Organization identified an IM champion? If so, is there support for and commitment by this champion? If there is no formal organization IM champion, do you think that this is even an issue?
- Are IM roles, responsibilities and accountabilities clearly defined and understood? If not, what do you think are the perceived gaps and how would you overcome them?
- Is there an IM risk management framework to support risk assessment, analysis and mitigation? Are the risks associated with IM well understood by managers? What is being done to mitigate identified risks?
- Are the change management implications related to IM well understood? Is there a change management program in place to support IM initiatives? What do you think are the short and long term opportunities for change management related to IM?
- How is IM integrated into the organization's strategic and operational goals and objectives? Are resources, priorities and results for IM clearly stated and aligned with organizational IM plans? If not, what are the perceived gaps, and what can be done to bridge these gaps?
- Are effective processes in place to ensure compliance to the applicable legislation, policies and standards? Are there and gaps and/or opportunities for improvement?
- Is user satisfaction of IM measured regularly? Are the users' expectations/ needs/ wants considered in planning and delivery of information products and services? What roles do users play in moulding the information product and services? What more do you think the Organization could be doing in this area?
- What do you see as major challenges for effective information management for the Organization? (Process management? Technology? Culture? Others?) How do you think the Organization could best overcome these obstacles?
- How would you assess the Organization's capabilities with respect to information management? The gaps? What suggestions would you offer to improve these capabilities?
1. Organizational Context
Recognition by the organization that information is a strategic corporate asset requiring stewardship. Degree of support and reinforcing behavior that is consistent with these values.
- Change Management
Mechanisms to facilitate the adoption of change within IM and related initiatives.
- External Environment
The extent to which the organization conducts environmental scans and assesses their possible impacts on IM.
2. Organizational Capabilities
- IM Community
The extent to which IM specialists have the competencies and capacities to meet the challenges of IM on a sustained basis.
- Expert Advice
Extent to which expert advisors are available and utilized for objective commentary and independent advice for supporting IM.
- IM Tools
The extent to which IM tools efficiently and effectively support IM.
- Technology Integration
The degree to which IM enabling technologies are integrated across the organization to support the delivery of information, programs and services.
- Portfolio Management
Extent to which mechanisms to plan, track, and evaluate the overall IM project portfolio are available to staff.
- Project Management
Extent to which mechanisms to manage projects in the organization exist to ensure the optimal design, development and deployment of IM initiatives.
- Relationship Management
The extent to which mechanisms or processes exist to facilitate partnerships and consultations between organizations and other stakeholders in support of effective IM.
3. Management of IM
The extent to which senior management is aware, understands, demonstrates commitment to a clear vision and set of strategic objectives.
- Strategic Planning
Quality of strategic, business and operational plans for IM, and the linkages between plans, costs, benefits, resources and controls.
- Principles, Policies and Standards
Existence of framework to effectively support IM. Degree to which IM principles, policies and standards exist, are understood and applied.
- Roles and Responsibilities
Extent to which roles, responsibilities, performance, and accountabilities are clearly defined, understood and accepted. Appropriateness of the organizational and governance structures to support IM.
- Program Integration
Extent to which the organization's programs and projects proactively and efficiently integrate IM principles, policies and standards.
- Risk Management
Mechanisms for identifying, measuring, and monitoring relevant risks for IM.
- Performance Management
Extent to which the achievement of financial and operating results are embedded into the performance management framework for IM.
4. Compliance and Quality
- Information Quality
The extent to which processes for ensuring information are accurate, consistent, complete and current.
Extent to which mechanisms ensure information is protected from unauthorized access, use and destruction.
Mechanisms to ensure that an individuals rights to privacy in the collection and disclosure of information are respected.
- Business Continuity
The existence of mechanisms to ensure timely information recovery, restoration of essential records and business resumption.
The extent to which audit and review processes are in place to ensure awareness of and compliance with applicable IM legislation, policies and standards.
5. Records and Information Life Cycle Management
The extent to which information life-cycle requirements are incorporated in the development of policies, programs, services and systems.
- Collection, Creation, Receipt and Capture
The extent to which information collection, sharing and re-use are optimized and decisions are documented.
The extent to which information is identified, categorized, catalogued and stored to effectively and efficiently support the business process.
- Use and Dissemination
The extent to which the organization's information can be located, retrieved and delivered to provide users with timely and convenient access.
- Maintenance, Protection and Preservation
The extent to which the long-term usability and safeguarding of information is ensured.
The extent to which organizational retention and disposal plans are followed to ensure the timely disposition of information, subject to legal and policy obligations.
The extent to which an organization can assess the overall compliance and performance of its information management program.
6. User Perspective
- User Awareness
The extent to which information users are aware of organization's information products and services.
- User Training and User Support
The availability of user training and support programs to facilitate the access and use of information.
- User Satisfaction
Mechanisms to measure, evaluate, and learn from user feedback on information products and services.