GARP Maturity Model, Information Governance Maturity Model, Metrics, Disposition

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)

Disposition
An organization shall provide secure and appropriate disposition for records that are no longer required to be maintained by applicable laws and the organization's policies.

There is no documentation of the processes, if any, that are used to guide the transfer or disposition of records.

The process for suspending disposition in the event of investigation or litigation is non-existent or is inconsistent across the organization.

Preliminary guidelines for disposition are established.

There is a realization of the importance of suspending disposition in a consistent manner, repeatable by certain legal groupings.

There may or may not be enforcement and auditing of disposition.

Official procedures for records disposition and transfer are developed.

Official policy and procedures for suspending disposition have been developed.

Although policies and procedures exist, they are not standardized across the organization.

Individual departments have devised alternative procedures to suit their particular business needs.

The organization has defined specific goals related to disposition.

Disposition procedures are understood by all and are consistently applied across the enterprise.

The process for suspending disposition due to legal holds is defined, understood, and used consistently across the organization.

Electronic information is expunged, not just deleted, in accordance with retention policies.

The disposition process covers all records and information in all media.

Disposition is assisted by technology and is integrated into all applications, data warehouses, and repositories.

Disposition processes are consistently applied and effective.

Processes for disposition are regularly evaluated and improved.

The organization's stated goals related to disposition have been met.

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.