Chapter 6: Information Governance Policy

Chapter 6information Governanceinformation Governance Policy Developm

This chapter covers the development of an Information Governance (IG) Policy, emphasizing the importance of aligning the policy with internal frameworks, external standards, best practices, and legal/regulatory obligations. It highlights the necessity of understanding recordkeeping principles, such as ARMA International’s eight Generally Accepted Recordkeeping Principles: Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, and Disposition.

The chapter introduces the IG Reference Model, which comprises an outer ring focused on business imperatives, tools, infrastructure, and legal considerations, and a center emphasizing the information lifecycle from creation to disposition. It underscores that IG should be an ongoing program supported by executive sponsorship, not a one-time project.

Best practices in IG evolve continuously and include supporting enterprise risk management (ERM), preserving digital assets permanently, and integrating IG into strategic policy development. The chapter details two types of standards—de jure (formal, law-based) and de facto (informal, industry practice)—and discusses their benefits and potential downsides, such as reduced flexibility or overlapping standards, along with the costs of maintaining them.

Key standards relevant to IG include ISO 31000 (Risk Management), ISO/IEC 27001/27002 (Information Security), ISO/IEC 38500 (IT Governance), ISO 15489 (Records Management), ISO 30300/30301 (Records Management Systems), and ISO 22301 (Business Continuity). The chapter emphasizes that these standards provide essential guidance for developing policies that ensure organizational resilience, security, and compliance.

The policy components must define roles and responsibilities clearly, establish effective communication and training programs tailored to stakeholder needs, and implement controls, monitoring, auditing, and enforcement mechanisms. The chapter concludes with a summary stressing the importance of understanding stakeholder engagement, standardized frameworks, and consistent, effective communication in successful IG policy development.

Paper For Above instruction

Information Governance (IG) is a comprehensive framework that ensures the management, protection, and utilization of organizational information assets are aligned with business strategies and regulatory requirements. The development of an effective IG policy is vital for ensuring that information is handled systematically, securely, and efficiently throughout its lifecycle. This paper explores the key components involved in establishing a robust IG policy, the standards that underpin IG practices, and the strategic considerations necessary for implementation.

Understanding the foundational principles of recordkeeping is paramount for effective IG. ARMA International’s Eight Generally Accepted Recordkeeping Principles—Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, and Disposition—serve as a critical guideline for organizations aiming to uphold high standards of record management. These principles foster trust, ensure legal compliance, and facilitate operational efficiency. For instance, accountability assigns clear responsibility for records, while transparency ensures stakeholders can audit and verify recordkeeping practices. Integrity and protection maintain the trustworthiness and confidentiality of information, whereas compliance guarantees adherence to relevant laws and regulations.

The IG Reference Model provides a strategic visualization of the factors influencing effective information management. The outer ring encompasses understanding enterprise business imperatives, the necessary tools and infrastructure, and awareness of legal and regulatory obligations. These elements form the external context within which the organization’s information management policies are formulated. The core of the model emphasizes the information lifecycle—management at all stages from creation to final disposition. Recognizing that IG is a continuous process rather than a one-off project underscores the need for ongoing oversight, review, and refinement supported by executive sponsorship.

Best practices play a pivotal role in shaping effective IG policies. As practices evolve, organizations must incorporate emerging standards and guidelines. IG supports enterprise risk management (ERM) by identifying vulnerabilities related to data security, compliance lapses, or operational disruptions. Moreover, some digital information assets require permanent preservation, emphasizing the importance of integrating archiving strategies into policies. Given the dynamic nature of technology and operational risks, IG must be adaptive, emphasizing regular updates and stakeholder engagement.

Standards serve as the foundation for consistency, quality, and interoperability in IG systems. De jure standards—such as those from ISO, ANSI, NIST, BSI, and other recognized agencies—are formalized, legally recognized frameworks. Conversely, de facto standards emerge from industry consensus and operational practices, like the widespread use of Windows OS or specific military recordkeeping standards such as DoD 5015.2. The integration of these standards into organizational policies offers numerous benefits, including quality assurance, operational interoperability, and cost efficiencies due to system uniformity.

Incorporating standards such as ISO 31000 (Risk Management), ISO/IEC 27001 and 27002 (Information Security), ISO 38500 (IT Governance), ISO 15489 (Records Management), and ISO 22301 (Business Continuity) ensures that policies are aligned with international best practices. ISO 31000 provides a risk-based approach to managing uncertainties affecting information assets, while ISO/IEC 27001/27002 offer comprehensive guidance on establishing and maintaining information security controls. ISO 38500 supports senior management decision-making regarding IT, and ISO 15489 emphasizes the core principles of recordkeeping, which are essential for compliance and operational effectiveness. ISO 22301 addresses organizational resilience by establishing practices for business continuity planning, crucial during crises or disasters.

The components of an effective IG policy extend beyond standards and principles to include clearly defined roles and responsibilities to prevent ambiguity and promote accountability. Establishing communication channels and training programs tailored to different stakeholder groups enhances awareness and compliance. Implementing control mechanisms such as audits and monitoring procedures ensures the ongoing effectiveness of the IG program. Regular testing, feedback, and enforcement are necessary to sustain momentum and adapt to emerging threats and technological changes.

In conclusion, successful implementation of an IG policy requires a strategic approach that incorporates global standards, organizational best practices, clear stakeholder roles, and ongoing evaluation. Recognizing that IG is an ongoing, evolving process allows organizations to adapt proactively to technological developments and regulatory changes. The alignment of policies with international standards, combined with effective stakeholder engagement and communication, can significantly enhance organizational resilience, legal compliance, and operational efficiency. As digital assets continue to proliferate, organizations must prioritize IG policy development as a critical component of their overall governance strategy.

References

• ISO. (2009). ISO 31000:2009 Risk Management — Principles and Guidelines. International Organization for Standardization.
• ISO/IEC. (2005). ISO/IEC 27001:2005 Information Security Management Systems. International Organization for Standardization.
• ISO/IEC. (2005). ISO/IEC 27002:2005 Code of Practice for Information Security Controls. International Organization for Standardization.
• ISO. (2008). ISO 38500:2008, Information Technology — Governance of Information Technology.
• ISO. (2001). ISO 15489-1:2001, Records Management — Concepts and Principles. International Organization for Standardization.
• ISO. (2011). ISO 30300:2011, Information and Documentation — Management Systems for Records — Fundamentals and Vocabulary.
• ISO. (2011). ISO 30301:2011, Information and Documentation — Management Systems for Records — Requirements.
• ISO. (2012). ISO 22301:2012, Societal Security — Business Continuity Management Systems.
• National Institute of Standards and Technology (NIST). (2014). Framework for Improving Critical Infrastructure Cybersecurity (NIST Cybersecurity Framework).
• ARMA International. (2016). Generally Accepted Recordkeeping Principles (GARP). ARMA International.