COME TOGETHER to Effect Positive Program Change presented by Fred V COME TOGETHER to Effect Positive Program Change presented by Fred V. Diers CRM FAI

Session Objectives How to Overcome IG Implementation Failures Exploring Inherent Obstacles to Effective and Sustainable Programs What is Management’s Role? What are the Staff’s Commitments? Steps in Minimizing Resistance to Change How to Achieve Collaborative Efforts

IG PROGRAM CASES Lack of Diverse Groups Coordinated Efforts result in: Outdated Policies and Retention Schedules Boilerplate Retention Schedules that don’t reflect organizational structure Line staff who have minimal knowledge of program policies Lack of transparency on Program purpose and support No compliance auditing

PROGRAM OBSTACLES Common Barriers: Loss of Program Champion Lack of Accountability Complicated Retention Guidelines Sporadic Management Support Ineffective ECM Tools No Enterprise Classification Standards No Urgency (Back office mentality) Lack of Program Education to Benefits Resistance to Change

RESISTANCE TO CHANGE Current Trends: No Realized Benefits No Program Implementation of: Lifecycle Management of Information Assets Enterprise Standards and Rules User Assisted Program Tools Partial Deployment of Tools Lack of Compliance Auditing Policy Adherence Silos

OVERCOMING RESISTANCE Three principles to minimizing resistance to change: Communicate Educate Collaborate

COMMUNICATION From Top Executives – From Line Management – Reinforces Compliance with Organization wide Governance Policies Classification / Retention Standards and Rules Explains Risk Avoidance Ensures Program Sustainability From Line Management – Aligns Goals with Program Policies Alleviates Fear of Retribution Promotes Program Benefits

EDUCATION The Program Purpose and Benefits: Access complete and accurate Information easily Reduce information volumes Confidence in disposing information in the normal course Minimize Legal and Operational risks Program Challenges: IG Policies and Retention Schedule are Corporate Standards not open to interpretation The Policies are Living Documents Implementation will result in document process changes

EDUCATION Management Education to sustain a program by providing resources for: An enterprise application to create, share, and store information assets A single repository to store and access final documents / records Ongoing staff training in the form of ‘town hall’ meetings for collaboration on Standards, Rules and application functionality Continuous user assistance Compliance audits

COLLABORATION Achieving Program Implementation and Sustainability requires cooperation: With Legal, Compliance and Risk (CCO) / (CRO) With Finance / Tax With Human Resources With Internal Audit With Information Technology

COOLABORATION Collaborating with IT is strategically essential to avoid Deploying ECM Tools before Standards are set Deploying Applications based on user requirements Users setting up indexing and classification structures The proliferation of Shared Drives & E-mail Repositories Program standards and rules come first, not the technology

PROGRAM IMPLEMENTATION Collaboration with Multiple Stakeholders Records and Information Governance Policies Program Policy Adherence and Enforcement Enterprise ECM Application with embedded Standards Realistic Retention Schedules Annual Updates Ongoing User Support and Training

CREDIBLE PROGRAM BENEFITS Reduces information related risk Enables organization personnel access to needed information Provides sustainable information volume reduction Manages life-cycle of structured and unstructured information Raises management’s comfort level of ethical conformance to the rules

COME TOGETHER, RIGHT NOW, OVER IG QUESTIONS? COME TOGETHER, RIGHT NOW, OVER IG