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Workshop Guide

Information Management (IM) Capacity Check

Assessment for
(Name of Organization)


Interview Workshops

During this workshop, we would like to discuss the various IM Capacity Check criteria with you.

Note: We don't expect to cover all 32 criteria in each workshop-we'll cover off those criteria that you are most knowledgeable about.

Examples of the types of questions that will be discussed are provided on the following pages for each criterion.

1. Organizational Context

CRITERIA MAIN QUESTION
Culture Does the Organizational culture recognize information as a strategic asset? What are the indicators that support your answer?
Change Management Are the change management implications related to IM renewal well understood? Is there a change management program in place?
External Environment Does the Organization scan its environment for IM opportunities, trends and emerging issues? If so, how does it use the results of the environmental scan?


2. Organizational Capabilities

CRITERIA MAIN QUESTION
IM Community Has the organization identified the competencies required to implement its IM strategies and plans? Have staff received the training appropriate for their responsibilities?
Expert Advice Are functional specialists/experts working in partnership with managers to help them address IM issues?
IM Tools To what extent are IM tools available to staff. Do staff have the skills and knowledge to use them effectively?
Technology Integration Is there a technology architecture in place which integrates IM enabling technologies across the organization?
Portfolio Management What portfolio management processes are in place to support planning, tracking and oversight of the organizational investment in IM?
Project Management To what extent are project management tools, processes and standards used on IM projects?
Relationship Management What mechanisms are in place to establish and maintain relationships (internal and external) in support of IM?


3. Management of IM

CRITERIA MAIN QUESTION
Leadership How has senior management demonstrated their understanding of and commitment to IM?
Strategic Planning Are strategic, business and operational plans aligned and congruent with the organizational priorities?
Principles, Policies and Standards To what extent do principles, policies and standards address IM requirements?
Roles and Responsibilities Are IM roles, responsibilities and accountabilities clearly defined and understood?
Program Integration To what extent are the IM principles, policies and standards integrated into the Organization's programs and projects?
Risk Management How does the Organization assess IM risks? To what extent is IM risk management integrated with overall risk management within the organization?
Performance Management Is the Organization monitoring its IM performance? How is it using this information? What are examples of some IM performance indicators?


4. Compliance and Quality

CRITERIA MAIN QUESTION
Information Quality Are mechanisms in place for monitoring the quality of the Organization's information holdings? What is the state of quality of the Organization's information holdings?
Security Is there a security architecture in place that addresses the organization's IM security requirements?
Privacy Are privacy policies and standards in place and are they applied through out the information lifecycle? Are privacy impact assessments done throughout the project lifecycle?
Business Continuity Are contingency plans and mechanisms in place to ensure business resumption in the event of information corruption or loss?
Compliance Are effective processes in place to ensure compliance to the applicable legislation, policies and standards?


5. Information Life Cycle

CRITERIA MAIN QUESTION
Planning Are information life-cycle requirements incorporated into the development of policies, programs, services and systems?
Collect, Create, Receipt and Capture How does the Organization ensure that it collects, creates, receives and captures information that will be useful?
Organization To what extent is the Organization described and organized in a coordinated and comprehensive manner.
Use and Dissemination To which extent the organization provides users with timely and convenient access.
Maintenance, Protection and Preservation To what extent can the Organization ensure the long-term usability and safeguarding of its information holdings?
Disposition Does the Organization have retention and disposition plans? If these plans exist, are they followed to ensure the timely disposition of information, subject to legal and policy obligations?
Evaluation To which extent does the organism has mechanisms in place to measure and assess the overall compliance and performance of the organizations information management programs.


6. User Perspective

CRITERIA MAIN QUESTION
User Awareness Are information users aware of the Organization's information products and services?
User Training and Support What mechanisms exist to help train and support the information users in accessing and using information?
User Satisfaction Is client satisfaction and measured regularly? Are client expectations/ needs/ wants considered in the planning and delivery of information products and services?


1. Organizational Context

  • Culture
    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

  • Leadership
    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.
  • Security
    Extent to which mechanisms ensure information is protected from unauthorized access, use and destruction.
  • Privacy
    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.
  • Compliance
    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

  • Planning
    The extent to which information life-cycle requirements are incorporated in the development of policies, programs, services and systems.
  • Collect, Create, Receipt and Capture
    The extent to which information collection, sharing and re-use are optimized and decisions are documented.
  • Organization
    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.
  • Disposition
    The extent to which organizational retention and disposal plans are followed to ensure the timely disposition of information, subject to legal and policy obligations.
  • Evaluation
    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.