GARP Maturity Model, Information Governance Maturity Model, Metrics, transparency

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)

Transparency
The processes and activities of an organization’s recordkeeping program are documented in a manner that is open and verifiable and is available to all personnel and appropriate interested parties.

It is difficult to obtain information about the organization or its records in a timely fashion.

No clear documentation is readily available.

There is no emphasis on transparency.

Public requests for information, discovery for litigation, regulatory responses, or other requests (e.g., from potential business partners, investors, or buyers) cannot be readily accommodated.

The organization has not established controls to ensure the consistency of information disclosure.

Business processes are not well defined.

The organization realizes that some degree of transparency is important in its recordkeeping for business or regulatory needs.

Although a limited amount of transparency exists in areas where regulations demand transparency, there is no systematic or organizationwide drive to transparency.

Transparency in recordkeeping is taken seriously and information is readily and systematically available when needed.

There is a written policy regarding transparency.

Employees are educated on the importance of transparency and the specifics of the organization's commitment to transparency.

The organization has defined specific goals related to transparency.

Transparency is an essential part of the corporate culture and is emphasized in training.

The organization monitors compliance on a regular basis.

The organization's senior management considers transparency as a key component of information governance.

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

The organization has implemented a continuous improvement process to ensure transparency is maintained over time.

Software tools that are in place assist in transparency.

Requestors, courts, and other legitimately interested parties are consistently satisfied with the transparency of the processes and the response.

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.