GARP Maturity Model, Information Governance Maturity Model, Metrics, Availability

ARMA International Maturity Model for Information Governance

A Picture of Effective Information Governance

The Maturity Model for Information Governance begins to paint a more complete picture of what effective information governance looks like. It is based on the eight GARP ® principles as well as a foundation of standards, best practices, and legal/regulatory requirements.

GARP ®
Principle

Level 1
(Sub-Standard)

Level 2
(In Development)

Level 3
(Essential)

Level 4
(Proactive)

Level 5
(Transformational)

Availability
An organization shall maintain records in a manner that ensures timely, efficient, and accurate retrieval of needed information.

Records are not readily available when needed and/or it is unclear who to ask when records need to be produced.

It takes time to find the correct version, the signed version, or the final version, if it can be found at all.

The records lack finding aides: indices, metadata, and locators.

Legal discovery is difficult because it is not clear where information resides or where the final copy of a record is located.

Record retrieval mechanisms have been implemented in certain areas of the organization.

In those areas with retrieval mechanisms, it is possible to distinguish between official records, duplicates, and non-record materials.

There are some policies on where and how to store official records, but a standard is not imposed across the organization.

Legal discovery is complicated and costly due to the inconsistent treatment of information.

There is a standard for where and how official records and information are stored, protected, and made available.

Record retrieval mechanisms are consistent and contribute to timely records retrieval.

Most of the time, it is easy to determine where to find the authentic and final version of any record.

Legal discovery is a welldefined and systematic business process.

The organization has defined specific goals related to availability.

There are clearly defined policies regarding storage of records and information.

There are clear guidelines and an inventory that identifies and defines the systems and their information assets. Records and information are consistently and readily available when needed.

Appropriate systems and controls are in place for legal discovery. Automation is adopted to facilitate the implementation of the hold process.

The senior management and board levels provide support to continually upgrade the processes that affect record availability.

There is an organized training and continuous improvement program.

The organization’s stated goals related to availability have been met.

There is a measurable ROI to the business as a result of records availability.

For each principle, the maturity model associates various characteristics that are typical for each of the five levels in the model:

Level 1 (Sub-standard): This level describes an environment where recordkeeping concerns are either not addressed at all, or are addressed in a very ad hoc manner. Organizations that identify primarily with these descriptions should be concerned that their programs will not meet legal or regulatory scrutiny.

Level 2 (In Development): This level describes an environment where there is a developing recognition that recordkeeping has an impact on the organization, and that the organization may benefit from a more defined information governance program. However, in Level 2, the organization is still vulnerable to legal or regulatory scrutiny since practices are ill-defined and still largely ad hoc in nature.

Level 3 (Essential): This level describes the essential or minimum requirements that must be addressed in order to meet the organization's legal and regulatory requirements. Level 3 is characterized by defined policies and procedures, and more specific decisions taken to improve recordkeeping. However, organizations that identify primarily with Level 3 descriptions may still be missing significant opportunities for streamlining business and controlling costs.

Level 4 (Proactive): This level describes an organization that is initiating information governance program improvements throughout its business operations. Information governance issues and considerations are integrated into business decisions on a routine basis, and the organization easily meets its legal and regulatory requirements. Organizations that identify primarily with these descriptions should begin to consider the business benefits of information availability in transforming their organizations globally.

Level 5 (Transformational): This level describes an organization that has integrated information governance into its overall corporate infrastructure and business processes to such an extent that compliance with the program requirements is routine. These organizations have recognized that effective information governance plays a critical role in cost containment, competitive advantage, and client service.