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Information Management Capacity Check


Principles for developing Elements and Criteria 11. Elements of IM Capacity Check Tool 12 ... workshop along with additional senior managers brought in as validators ... – PowerPoint PPT presentation

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Title: Information Management Capacity Check

Information Management Capacity Check

Table of Contents
Page Overview of IM Capacity Check Tool
4 Background 5 Intellectual Property
6 Objectives 7 Key Characteristics 8 Concept
9 Elements and Criteria 10 Principles for
developing Elements and Criteria 11 Elements of
IM Capacity Check Tool 12 Element
Descriptions 13 Level Descriptions 14 Overview of
Key Elements and Criteria 15 Guiding Principles
for developing Scales 18 Lessons learned-
Interviews and Communications 19 Project Team
Structure 20 Overview and Composition 21 Roles
and Responsibilities 22
Table of Contents (contd)
Page Methodology for an IMCC Assessment 23 Overa
ll Methodology 24 Step 1Planning 27 Step 2Data
Collection 29 Step 3Consolidation of
Results 32 Step 4Validation of Findings 36 Step
5Developing an Action Plan 37 Elements and
Scale Descriptions 41 Additional Resources 42
Overview IM Capacity Check Tool
Background IM Capacity Check
  • Library and Archives Canada developed the IMCC to
    help federal government organizations assess
    their current IM capabilities against industry
    standards and best practices and develop a
    strategic plan to improve their IM Capacity.
  • The IMCC was developed in collaboration with
    stakeholders, other central agencies and subject
    matter experts in the public and private sectors.
  • Proof of concept was achieved in three successful
    pilot projects. The first was done on a
    department-wide basis, the second in a government
    cluster environment and the third at the project
  • Over thirty (30) federal government departments
    and agencies have successfully completed an IMCC
    self-assessment and the IMCC has had significant
    national and international attention.

Intellectual Property Usage Restrictions
  • The IMCC Tool may only be used in accordance with
    the following
  • The IM Capacity Check Tool has been designed for
    the use of (Canadian) federal departments and
    agencies, or other parties working on their
    behalf. This condition does not preclude third
    party organizations providing chargeable services
    utilizing this product in support of the federal
    government IM Capacity Check self-assessment.
    Third parties may utilize the IM Capacity Check
    for self-assessment but no third party may use
    this product for commercial gain outside the
    intended use for the (Canadian) federal
  • Use of the IM Capacity Check Tool must
    acknowledge and identify BearingPoint as the
    owner of this product. Departments and agencies
    have the right to adapt the product, and could do
    a self-assessment on their own or engage the
    services of consultants to help them carry out an
    assessment. Any adaptation must still continue
    to acknowledge and identify BearingPoint as a
    source of this product.

Objectives IM Capacity Check
  • Assess state of IM practices within each
    organization against a common standard. Assess
    current information management practices against
    recognized best practices and principles and
    identify level of Capacity.
  • Bring together all the elements of information
    management practices. The Capacity Check is
    intended to integrate the full range of
    capabilities necessary to implement IM.
  • Compare against best practices. The Capacity
    Check is based on generally accepted best
    practices, and therefore provides an opportunity
    for organizations to assess where they stand
    relative to these best practices.
  • Develop plans for improvements to their
    information management practices. Organizations
    will be able to prioritize improvements in IM
    capabilities and pursue high priority opportunity

Key Characteristics IM Capacity Check
  • Intended as a diagnostic tool for senior
    management of the organization. The IM Capacity
    Check focuses on
  • Future direction What capabilities must be in
    place in the future to respond to emerging client
    demands/changing environment.
  • Capacity - Expanding/improving organizational
  • Priorities - Recognizes that an organization can
    only focus on selected improvement areas at any
    one time, and cannot be best at everything.
  • Competencies - Helps identify the information
    management competencies needed to move forward.
  • Senior management - Intended as a diagnostic tool
    for senior management of the organization.
  • Self Assessment - Directed self-assessment tool.
    Information is collected through
    interviews/workshops, and then validated by
    managers collectively.
  • Support for current change - Builds upon changes
    already underway to existing information
    management processes.

Capacity Check Concept of Capabilities
  • Capabilities includes people, skills, processes,
    technology, policy, management framework and

IMCC Elements and Criteria
Principles for Element/Criteria Development
  • Bring together the key Elements of information
    management practices. The Elements reflect the
    integration of capabilities necessary to
    efficiently and effectively implement information
    management at the enterprise level.
  • The Elements are based on best practices and
    expert advice. The Elements are drawn from
    generally accepted best practices and from
    subject matter experts.
  • The Elements are sufficiently robust to apply
    across multiple GC organizations. The Elements
    reflect common areas of capacity building for
    information management. This provides the
    opportunity for GC organizations to assess their
    standing relative to a common set of best
  • The Elements collectively define a comprehensive
    baseline. The Elements help to establish a
    baseline for IM capacity building, priority
    setting and action planning.

Elements of IM Capacity
Element Descriptions
Level/Scale Descriptions
  • Capacity 1 Initial (No systematic or formal
    approach exists for this capacity. Processes and
    practices are fragmented or non-existent. Where
    processes and practices exist, they are applied
    in an ad-hoc manner.)
  • Capacity 2 Defined (Processes and practices
    are defined to varying degrees and are not
    applied consistently. Basic management controls
    and disciplines for the capacity are in place.)
  • Capacity 3 Repeatable (Processes and practices
    are defined, well understood and used
    consistently across the organization. Processes
    and practices are also well documented.)
  • Capacity 4 Managed (A well-defined framework
    exists for this capacity. Process and practices
    are measured and managed to ensure delivery of
    desired results. Process and practices are
    embedded in the values of the organization and
    are coordinated in an integrated manner.)
  • Capacity 5 Optimizing (Focus on continuous
    improvement of the capacity. The concepts of
    innovation, organizational learning and
    continuous improvement of the capacity are
    incorporated into the values of the organization
    and are consistently applied.)

The IM Capacity Check Tool Elements and Criteria
Key Elements of the IMCC Tool
  • 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 for IM.
  • Strategic Planning
  • Quality of strategic, business and operational
    plans for IM, and the linkages between plans,
    costs, benefits, resources and controls.
  • Principles, Policies Standards
  • Existence and use of a corporate policy and
    management framework to effectively support IM.
    Degree to which IM principles, policies and
    standards exist, are understood and applied
    within the organization.
  • Roles and Responsibilities
  • The extent to which roles, responsibilities,
    performance expectations, ownership and
    accountabilities are clearly defined, understood
    and accepted. Appropriateness of the
    organizational and governance structures to
    support IM.
  • Program Integration
  • Extent to which the organizations programs and
    projects proactively and efficiently integrate IM
    principles, policies and standards.
  • Risk Management
  • Mechanisms for identifying, measuring, and
    monitoring relevant risks for IM, including
    options for risk allocation and risk mitigation.
  • Performance Management
  • Extent to which the achievement of financial and
    operating results are embedded into the
    performance management framework for IM.
  • 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
  • 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
  • Relationship Management
  • The extent to which mechanisms or processes
    exist to facilitate partnerships and
    consultations between organizations (public
    and/or private) and other stakeholders in support
    of effective IM.

Key Elements of the IMCC Tool (contd)
  • 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.
  • Collection, Creation, 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
  • Use and Dissemination
  • The extent to which the organizations
    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.
  • 4. Compliance Quality
  • Information Quality
  • The extent to which the organizations processes
    for ensuring information is accurate, consistent,
    complete and current.
  • Security
  • Extent to which mechanisms are in place to
    ensure information is protected from unauthorized
    access, use and destruction.
  • Privacy
  • Mechanisms to ensure that an individuals rights
    to privacy in the collections and disclosure of
    information are respected.
  • Business Continuity
  • The existence of contingency plans and
    mechanisms to ensure timely information recovery,
    the restoration of essential records and business
    resumption in the event of information corruption
    or loss.
  • 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.
  • 6. User Perspective
  • User Awareness
  • The extent to which information users are aware
    of organizations information products and
  • User Training User Support
  • The availability of user training and support
    programs to facilitate the access and use of
  • User Satisfaction
  • Mechanisms to measure, evaluate, and learn from
    user feedback on information products and

Guiding Principles for the IMCC Scales
  • The capacity scales have entity-wide relevancy
  • The capacity scales are sufficiently flexible to
    apply to other entities and agencies
  • The capacity scales are incremental, that is,
    each capacity level within a scale builds on the
    previous capacity level of the scale
  • Relative consistency in the description of the
    capacity levels across all the scales, i.e., 1 is
  • Each capacity level description is homogeneous
    and does not represents more that one level of

Lessons Learned Interviews and Communications
  • Need to prepare interim report in order to
    confirm issues, gaps in information, and topics
    to pursue in greater detail.
  • A briefing is required at outset of project in
    order for the consultants to have a basic
    knowledge of the organization in terms of
    structure and lines of business.
  • The interviewee mix must consist of
    policy/operational interviewees to get an
    adequate cross-section. .
  • Although not an audit, it is necessary to get
    some examples of the types of information
    reported/ examples of documentation (e.g., IM
  • Telephone interviews are not as effective.
    Conduct in person interviews to the extent
  • Due to the levels of interviewees (i.e. ADM/DG),
    some areas should be covered off with higher
    level questions. Also, keep communications at a
    high level prior to interviews.
  • Team members should be provided with an
    orientation which highlights the process steps.
    This will help during the interviews.
  • The interview process must be fluid. Probe the
    applicable areas and summarize the areas of

Project Team Structure and Expected Involvement
of Organizational Staff
Overview and Composition of Project Team
  • Possible Composition of the Project Team
  • Organizational Business/Program representatives
  • Organizational IM representatives e.g. records,
    library, security, ATIP, etc.
  • Library and Archives Canada Representative(s)
  • Internal Audit
  • IT Representatives
  • Other members as deemed appropriate
  • Overview of the Project Team
  • Multi-disciplinary team
  • Reviews IM documents
  • Assists in interviews
  • Helps determine IM Capacity as is and to be
  • Identifies opportunities and helps set priorities
  • Participates in validating results and reviews
    final report

Project Team Roles and Responsibilities
  • Project Team Members will participate in
  • IM capacity check training session
  • Data collection Interviews and workshops
  • Consolidation workshop
  • Validation workshop along with additional senior
    managers brought in as validators
  • Reviewing draft and final reports

The typical Project team, consisting of 10-15
Typical level of commitment and effort required
for Project team members is approximately 4 - 8
days, over the 3 - 4 months of the project.
  • Role and commitment of Chair of Project Team
  • Single point of contact for the client Project
    team members
  • Sits on the Steering Committee
  • Focal point for communications planning
  • Provides QA role
  • Responsible for ensuring teams logistics
  • Garnering executive support
  • Client spokesperson for internal and external

Methodology for an IMCC Assessment
Overall Methodology and Timeline for Assessment
  • Joint consultant-organizational team (Project
    Team) is trained in implementing Capacity Check.
  • A mix of techniques are used to collect the
    information to do the assessment, including
    workshops, interviews, and review of
  • Senior management from the organization being
    assessed is involved throughout the process.
  • Findings are consolidated and an assessment is
    done by joint consultant-organizational Project
  • Follow-up group sessions are held with a
    different cross section of senior management team
    from the organization being assessed, and the
    Project Team to validate the findings, the
    capability ratings and the opportunities for
  • The final step is preparation and approval of a
    report outlining the current and future state and
    an action plan for the resulting opportunities
    and priorities.

Overall Methodology and Timeline for Assessment
3 4 months
  • Core project team
  • Experts in
  • IM
  • Program delivery
  • Information technology
  • Organizational context
  • User context

Project Team 0.5 - 1 days
Project Team 1 - 2 days
Project Team and Senior Management .1- 2 days
Project Team 2 - 2.5 days
Organizational managers who are knowledgeable of
the organizations IM practices
IMCC Methodology
Note The following represents an overview of
the IMCC Methodology. LAC recommends that the
Methodology be followed as shown to obtain
maximum input from stakeholders and
organization-wide buy-in for planned priorities.
Step 1 Planning
1.1 Project initiation 1.2 Briefing of
organization 1.3 Project team training 1.4 Works
hop/interview planning 1.5 Documentation review
1.6 Develop communications plan
1.7 Presentation to senior management (if
  • Workplan and schedule
  • Training manual
  • Interviewee list/ no. of interviews
  • Interview/workshop guide and info. Package
  • List of documentation to be reviewed
  • Communiques
  • Challenges
  • Obtaining management commitment and resources
    support to the project.
  • Establishing an interviewee list that is
    representative of the organization (e.g., by
    management level, sector, region, operational
    versus policy). Between 8 to 10 interviews and 1
    to 2 interview workshops are standard.
  • Customizing and establishing the appropriate
    level of detail for the interview guide and
    information package to be distributed to managers.

Step 1 - Sample Assessment Timeline
Step 2 - Data Collection
2.1 Develop/adapt interview and workshop
guides 2.2 Schedule and Conduct interviews and
workshops 2.3 On-line survey (if and when
required) 2.4 Documentation review 2.5 Summarize
  • Interview and workshop guides
  • Interview and workshop notes
  • On-line survey results (when required)
  • Results of documentation review
  • Interview/workshop notes reported by criteria
  • Challenges
  • Ensuring all criteria are covered through
  • Reporting findings in a systematic/structured
    approach based on Capacity Check criteria.
  • Confidentiality of interviews.
  • Focus on actual status rather than hypothetical
    (i.e., clearly distinguish between what the
    organization should be doing versus what the
    organization is actually doing at this time).

Step 2 - Data Collection Approaches
Interviews with senior managers and other
internal and external stakeholders.
Document and literature review.
Workshops and site visits.
Step 2 - Data Collection Process
Workshops tend to be for senior staff/management.
Typical size is 12-15 participants. Two
workshops should be enough for most organizations.
Interviews tend to be for executive management.
The number of interviews depends on the size and
breadth of the organizationtypically 12-15, but
will vary.
Data collection efforts include organizational
policies and guides, performance reports, org
structure, governance models, IM and strategic
plans. Any relevant documentation identified
during the interviews is also collected and
Interviews questions are sent to interviewees in
advance. A Project Team member attends with the
consultant conducting the interview. The Project
Team member helps in taking notes and
consolidating findings
Step 3 - Consolidation of Results
3.1 Consolidate findings by criteria 3.2 Project
team workshop to summarize findings and
opportunities for improvement/ issues for each
criteria 3.3 Project team establishes preliminary
rating for each criteria, and rationale 3.4 Prepar
e preliminary report
  • Findings/ opportunities by criteria
  • Conclusions reported by major element
  • Ratings as per criteria, as-is and to-be
  • Challenges
  • Identifying overall patterns/trends given sectors
    within organization often operate in a different
    business environment.
  • Ratings and priorities should be secondary to
    findings, conclusions and improvement

Step 3 - Consolidated Results Template (prepared
for each criteria…)
Findings and Issues
  • Identified opportunities related to each criteria
    are inserted.
  • Summary of findings and issues related to each
    criteria is inserted.

Step 3 - Assessing the Capabilities- As Is and
To be assessment - Sample
  • Current capabilities are assessed based on key
    elements of the IM Capacity Check, and criteria
    provided for each key element.
  • The capabilities depicted within the criteria
    represent different states or plateaus that the
    organization may strive to achieve. The
    descriptions are incremental.
  • The capability descriptions are based on
    generally recognized best practices, but have
    been customized to reflect the Government of
    Canada context.
  • The Organization identifies which level of
    "maturity" would be the most appropriate in
    support of its business needs, priorities and
    consistent with its capabilities.
  • A rating system of 1 to 5 is used. A rating
    of 5 does not necessarily mean goodness, but
    rather, maturity of capability. The ideal
    maturity rating for any area is dependent on the
    needs of the Organization.

Where the organization may strive to be in the
Existing maturity
Future capability
Step 3 - As-Is and To-Be Assessments overview
Step 4 - Validation of Findings
4.1 Conduct workshops with Senior Managers
(Validators) and the Project Team to validate
findings, conclusions and ratings 4.2 Discuss
relative importance of criteria and opportunities
for improvement 4.3 Update report
  • Validation of the findings, conclusions and
  • Opportunities for improvement
  • Establish 5-10 priorities
  • Challenges
  • Adopting a forward looking strategic approach.
  • Being honest about major improvement opportunity
  • Reaching consensus on priority areas of
  • The Validators may dictate the approach for the
    deliverables of this session. This methodology
    is sufficiently flexible to allow a customized
    approach to capture the deliverables.

Step 5 Developing an Action Plan
5.1 Present results to senior management 5.2 Senio
r management assesses where the organization
should be in terms of target capability
ratings 5.3 Senior management prioritizes the
criteria and opportunities 5.4 Develop action
  • Target capability ratings
  • Relative priority of criteria
  • Ranking of opportunities
  • Implementation strategy and action plan
  • Challenges
  • Senior management needs to take ownership of the
  • Developing an action oriented plan. The
    organization needs to focus on the high priority
  • Summarizing and reporting the findings in a
    manner that accommodates needs of different
    levels of management. The results will need to
    be communicated on an organization-wide basis.
  • Need to maintain linkages between the various
    initiatives currently ongoing in the organization
    in support of IM.

Step 5 - Summary of Priorities and Opportunities
- Template
To facilitate the prioritization of the projects,
we graph them in the chart below, based on two
factors level of effort to implement, and
expected impact that the initiative will have on
the organization. Those of low effort and high
impact may be likely candidates to begin with, to
gain some initial successes.
Opportunity 5
Opportunity 2
Opportunity 4
Opportunity 1
Opportunity 3
Step 5 - Transition Map Template
This graph outlines the various opportunities
and their intended occurrence over time.
Medium Term
Short Term
Long Term
Opportunity 1
Opportunity 2
Opportunity 3
Opportunity 4
Year 1
Year 2
Year 3
Step 5 - Contents of Assessment Report
  • Executive Summary
  • Key Themes
  • Summary of Findings
  • Highlights of Findings
  • Projects
  • Action Plan
  • Background
  • Overview
  • Objectives of the Capacity Check
  • Key Characteristics
  • Key IM Elements Examined
  • The Mechanics of the Capacity Check
  • Project Objectives, Scope and Process Overview
  • Summary of IM Capacity Check Assessment findings/
    opportunities (by criteria)
  • Lessons Learned
  • Appendix A - Background Information
  • Interviews
  • Workshops

Element and Scale Descriptions
Note Due to proprietary considerations, full
descriptions of the original 6 IMCC Elements and
32 Criteria and the rating scales are only
available from Library and Archives Canada.
Contact us via e-mail at
Additional Resources
After a IM Capacity Check is completed Library
and Archives Canada has a number of Guides, Tools
and Best Practices to help improve IM Capacity in
your areas of priority and need. Additional
material useful for conducting an IM Capacity
Check assessments such as Interview Guides and
Communiqués are also available. For information
please contact Information Management
Centre Email Telephone (819)