Information Governance Chapter 6

Its 833 Information Governancechapter 6information Governance Policy

Develop an understanding of the key components involved in crafting an effective Information Governance (IG) policy. This includes familiarization with the 8 Generally Accepted Recordkeeping Principles®, the IG Reference Model (IGRM), and how these frameworks support best practices and standards in IG. Understand the significance and application of interrelated standards such as risk management standards (ISO 31000), information security standards (ISO/IEC 27001), records management standards (ISO 15489), and others pertinent to information governance. Recognize the benefits of establishing standards, including quality assurance and interoperability, alongside potential risks like decreased flexibility and standards confusion. Additionally, review relevant international, national, and regional standards for electronic records management and long-term digital preservation, such as PDF/A and ISO 14721. Grasp the crucial elements of developing an IG policy, including aligning with organizational goals, securing executive support, establishing communication and training programs, defining metrics, conducting testing and auditing, and ensuring compliance through clear penalties. The goal is to foster an IG environment that ensures information is managed in accordance with legal, regulatory, and organizational requirements, while supporting organizational effectiveness and risk mitigation.

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Information Governance (IG) has become a pivotal aspect of managing organizational data effectively and compliantly in today’s digital landscape. Crafting a comprehensive IG policy requires understanding foundational principles, frameworks, standards, and best practices that support reliable, secure, and accessible information management. Integral to this process are the Eight Generally Accepted Recordkeeping Principles®, which serve as the cornerstone of sound recordkeeping. These principles—Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, and Disposition—provide a universal framework for evaluating and guiding IG practices. Their significance lies in promoting consistent, reliable, and legally defensible management of information assets (ARMA International, 2012). They establish a common language and set expectations for all stakeholders involved in information management, thus aligning IG practices with organizational and regulatory objectives.

The IG Reference Model (IGRM), developed by ARMA International and the Corporate Governance Oversight Committee (CGOC) in 2012, offers a comprehensive blueprint for implementing effective IG strategies. The model comprises an outer ring representing complex, interoperable processes and structures necessary for operationalizing IG, and an inner ring illustrating a lifecycle workflow depicting the continuous management of information assets through various stages—from creation to disposition (ARMA International & CGOC, 2012). This dual-layer approach highlights the importance of integrating cross-functional stakeholder activities—such as legal, records management, risk, and business units—and emphasizes that information management is an ongoing process impacting all organizational levels.

The IGRM diagram facilitates visualization of how principles nourish the organization's intersecting objectives, showcasing the relationships between duty, value, and information assets. It also aids organizations in assessing their maturity level, guiding policy formation through an understanding of interdependencies and across-functional coordination. The visual model underscores the necessity of a lifecycle perspective—considering all phases of information from creation to destruction—and promotes proactive management aligned with organizational goals and compliance obligations.

Best practices in establishing an IG policy must be tailored to organizational context, recognizing that standards and procedures differ depending on industry, size, and regulatory environment. Among the best practices are clearly defining roles and responsibilities, securing executive sponsorship, and embedding IG into corporate culture through continuous training and communication (Rainey, 2014). Transparency in policies, relevant and measurable metrics, routine testing, audits, and feedback mechanisms are essential. Additionally, organizations should enforce policies consistently and communicate penalties for violations to foster accountability (Hitchcock & Willoughby, 2010).

Standards, whether de jure or de facto, underpin IG frameworks by ensuring quality, interoperability, and legal defensibility. De jure standards include internationally recognized standards like ISO 31000 (risk management), ISO/IEC 27001 (information security), and ISO 15489 (records management). These standards provide organizations with structured guidelines for risk mitigation, security, and recordkeeping (ISO, 2012). De facto standards, such as Microsoft Windows, exemplify widely adopted practices that inform organizational behavior even if not formally sanctioned via standards bodies.

Understanding the benefits of standards—such as quality assurance, process consistency, and support for interoperability—is essential. However, challenges such as reduced flexibility and the costs associated with adoption and updates must also be considered. As noted by Ruijter and Fisscher (2017), organizations should balance adherence to standards with agility in policy adaptation to reflect changing legal contexts and technological innovations.

Risk management standards like ISO 31000 provide a crucial foundation for IG policies. These guidelines help organizations identify, assess, and respond to risks associated with information, including breaches, loss, or non-compliance (ISO, 2018). They advocate a structured approach that integrates risk considerations into organizational decision-making processes, reinforcing overall governance.

Information security standards further buttress IG strategies by establishing controls to protect data assets (ISO/IEC 27001). These controls include access restrictions, encryption, and incident response protocols, which are vital for safeguarding sensitive information and maintaining stakeholder trust (ISO, 2013). Similarly, standards for records management, such as ISO 15489, specify requirements for the systematic control of records, including their creation, maintenance, and disposition (ISO, 2016).

Regional and national standards address specific legal and cultural contexts. For example, the U.S. Department of Defense (DoD) 5015.2 standard for electronic records management software ensures systems support lifecycle management and legal defensibility (Department of Defense, 2002). Canadian standards regarding electronic evidence emphasize the admissibility of digital records in court, reflecting the importance of compliance with legal standards (Canadian Standards Association, 1993).

Long-term digital preservation (LTDP) is a critical component of IG focused on maintaining digital records’ accessibility over extended periods. Standards such as PDF/A provide formats for preserving electronic documents (Adobe Systems, 2011). ISO 14721 (OAIS model) offers an internationally recognized framework for digital archives, ensuring information remains accessible and authentic regardless of technology shifts (ISO, 2012). Additionally, ISO 16363 addresses the certification of trustworthy digital repositories, reinforcing confidence in digital preservation practices (ISO, 2012).

Business continuity management (BCM) standards like ISO 22301 are integral to IG, emphasizing the need for organizations to prepare for disruptive incidents affecting information assets. Implementing ISO 22301 entails comprehensive threat identification, risk assessment, and recovery planning, thereby bolstering organizational resilience. Such standards ensure organizations can sustain critical functions and protect vital records during incidents like natural disasters, cyberattacks, or system failures (ISO, 2019).

Developing a robust IG policy entails critical considerations. Organizational goals must align with IG objectives to ensure relevance and support. Establishing clear governance structures—including defining authority and accountability—is fundamental. Securing top management support facilitates resource allocation and cultural acceptance. Communication strategies and staff training are crucial for awareness and compliance. Metrics that are specific, measurable, and linked to organizational performance enable ongoing assessment. Regular testing, audits, and feedback cycles ensure policies remain effective and reflect evolving risks and technologies. Enforcing penalties for violations underscores the seriousness of IG commitments and fosters a culture of accountability (Rainey, 2014; Hitchock & Willoughby, 2010).

In conclusion, an effective IG policy integrates principles, frameworks, standards, and best practices to manage information assets responsibly and efficiently. It must be tailored to organizational needs, supported by leadership, and continuously monitored and improved. Adopting appropriate standards and frameworks not only ensures compliance and risk mitigation but also enhances organizational resilience and reputation in an increasingly data-driven world.

References

• Adobe Systems. (2011). PDF/A-2—ISO 19005-2.
• ARMA International. (2012). Generally Accepted Recordkeeping Principles®.
• Canadian Standards Association. (1993). CAN/CGSB-72.11-93. Microfilm and Electronic Images as Documentary Evidence.
• Department of Defense. (2002). DoD 5015.2-STD. Design Criteria Standard for Electronic Records Management Software Applications.
• Hitchcock, S., & Willoughby, R. (2010). Electronic Records Management: A Guide for Record Managers and IT Professionals. Springer.
• ISO. (2012). ISO 14721:2012. Space Data and Information Transfer Systems—Open Archival Information System (OAIS) Reference Model.
• ISO. (2013). ISO/IEC 27001:2013. Information Security Management Systems—Requirements.
• ISO. (2016). ISO 15489-1:2016. Information and Documentation—Records Management—Part 1: Concepts and Principles.
• ISO. (2018). ISO 31000:2018. Risk Management—Guidelines.
• Rainey, D. V. (2014). Records Management 101: Essential Practices for Effective Information Governance. Archives & Records.