GARP Maturity Model, Information Governance Maturity Model, Metrics, Retention

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)

Retention
An organization shall maintain its records and information for an appropriate time, taking into account legal, regulatory, fiscal, operational, and historical equirements.

There is no current documented records retention schedule.

Rules and regulations that should define retention are not identified or centralized. Retention guidelines are haphazard at best.

In the absence of retention schedules, employees either keep everything or dispose of records based on their own business needs, rather than organizational needs.

A retention schedule is available, but does not encompass all records, did not go through official review, and is not well known around the organization.

The retention schedule is not regularly updated or maintained

Education and training about the retention policies are not available.

A formal retention schedule that is tied to rules and regulations is consistently applied throughout the organization.

The organization’s employees are knowledgeable about the retention schedule and they understand their personal responsibilities for records retention.

The organization has defined specific goals related to retention.

Employees understand how to classify records appropriately.

Retention training is in place. Retention schedules are reviewed on a regular basis, and there is a process to adjust retention schedules as needed.

Records retention is a major corporate concern.

Retention is an important item at the senior management and board levels.

Retention is looked at holistically and is applied to all information in an organization, not just to official records.

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

Information is consistently retained for appropriate periods of time.

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.