The IM building blocks.

At the Core

This article:

* Explores the concerns of executives within the framework of information management program development

* Introduces new concepts to the information management community

* Presents a high-level, staged framework for information management program development

* Challenges the information professional to think of information management in a different way

WARNING: The records and information management community is at risk of becoming irrelevant.

More and more, organizations are thinking and operating strategically -- their very survival depends on it. Yet the information management professional's paradigm has not traditionally contained a strategically oriented skill set. Developing this skill set will be key to our survival. We must come to understand how information management and business are fundamentally interconnected and how strategic thinking creates a critical link between information management and business.

The records and information management community knows its business -- policies, procedures, information classification structures, retention and disposition schedules, essential records, disaster recovery planning, even electronic records management. But information professionals do not typically know and understand the concerns of the executive in their organization -- the decision maker. The information management professional does not typically know what drives the executives' decision making. Consequently, positioning the information management program as a mission-critical program can be a challenge, at best.

The model presented here can be used to augment information professionals' management toolkit so they are better equipped to become a business solution provider within their organizations. In the process, these professionals will align themselves more closely with their organization's strategic goals and objectives and thereby become more relevant.

The Information Management Building Blocks Model

Much of what the information management community needs to know to succeed in today's business world is missing from their paradigm. Note the 12 information management building blocks illustrated on page 27; about 75 percent of what the field currently focuses on can fit in one block. An estimated 90 percent of what the profession talks about at major conferences spans, at best, five of the 12 blocks -- less than half of the big picture.

No one block in the IM model is new in and of itself. However, considered as a whole, this model may serve as a new paradigm for the information management profession.

The Six Core Blocks

[1] Strategy & Vision

Much has been written about strategy formulation and implementation -- commonly referred to as strategic planning. Strategic planning has its roots in fundamental business management and is part of the very essence of what it means to manage. Information managers also need to think strategically.

Strategic Analysis and Action suggests strategic planning can take place within one of three organization levels -- corporate, business group (e.g., division), or business unit. While information managers often work within their own business group or unit, to succeed in the future they will need to intertwine themselves -- in a symbiotic way -- with higher level corporate strategic goals.

But what is strategy, and where does strategy formulation fit into the broader organization context? Strategy, or strategic planning, is simply about a process of positioning an organization to compete and win in its market. Strategic planning should create a framework for ideas, for expression of a concrete plan, and for the implementation of that plan. More importantly, strategic planning provides organizations with a context for dealing with strategic issues and formulation within the organization. Strategy should flow from an organization's mission, vision, and values. A basic strategic plan development methodology is shown below.

The choice of strategic analysis or development tool depends on what one is trying to achieve, one's understanding of the use and application of the tool, and one's appetite for the rigors of using and applying the tool. It is important to note that there is no single best way to conduct strategic analysis and formulation.

The previous discussion introduced the concepts of strategic analysis and formulation, proposed a basic strategic development methodology, and noted numerous strategic analysis and development tools. There are many other methodologies and models available for strategic analysis and formulation.

[2] Business Drivers & Requirements

The defining of business requirements and/or business case development should flow from strategy development. In the information management world, business requirements definition often focuses on user/functional and technical specification analyses -- whether for a records management program, records management software application (RMA), or an electronic document management system (EDMS).

The user/functional and technical specifications should clearly depict what the system or program needs to do for the user and the organization. The specifications must be clear and the objectives succinctly stated. It can be advantageous to rank or prioritize mandatory and non-mandatory requirements, so that it is obvious which requirements are most important to the system or program functionality.

The business case is a tool that senior management and executives use to evaluate options and take action based on recommendations. The business case puts the business decision in context. A business case should build a case for taking a certain action. It can be used to sell an idea or demonstrate the viability of a proposal.

A Business Case Template

* Current situation
  * Problem statement
  * Causes of the problem
  * Current practices and challenges
* Options analysis
* Investment analysis
* Recommendations
* Benefits
* Action plan

[3] Infostructure

Infostructure is the area in which the information management profession focuses 75 percent of its efforts (and therefore requires limited examination here). This is the information professional's area of expertise -- the comfort zone.

The elements combine to form the much-needed infrastructure and foundation -- the bricks and mortar -- for information management programs. Although this infostructure is directly important to the information management professional, it may not be as important to the CEO, who is thinking about the organization's strategic future.

Information management professionals must be able to translate these infostructure details into strategic business tools to make their organizations more competitive. They need to take these tools to the next level and link them to achieving organization success rather than think of them simply as risk mitigation tools.

To begin, information professionals need to know and understand their organization's strategic goals and objectives. Only then can they look at their program through a different filter and position the infostructure to help their organizations get where they want and need to go.

[4] Technology

Technology has always been an interesting challenge. Most live with it. Some have claimed they could live without it. Whatever the situation, the technology solution is driven by and flows from the first three blocks. It is at this point that the technology procurement process may take place.

Each year the records and information management technology industry pushes out new solutions and creates more options for the information management community. Some leaders and visionaries in the information management community predict that within the next 12 to 18 months there will be an unprecedented industry shakeup and consolidation that will change the face of the information management technology community. The consolidation will result from new multinational players entering the market with their solutions and the merger and acquisition activity that will ensue.

[5] Implementation

Once the procurement of the technology solution is complete, the more difficult task of implementing the infostructure along with the technology solution takes place.

Even though the technology procurement process may have been completed by this point, the actual purchase of any software or technology systems may be contingent on a successful proof of concept and prototype.

[6] Maintenance

Positive manual system implementation success stories exist. However, there are few stories to draw upon for electronic recordkeeping or EDMS implementations, as the industry is still working to get it right.

An organization must expect and plan for continuous maintenance, which includes ongoing software upgrades, technology (i.e., hardware) upgrades, training, financial commitment, and human resourcing.

Completing The Picture

The remaining information management building blocks have always existed in the management toolkit but have rarely been used in the realm of information management. These blocks need to be in place from the beginning to the end -- they span the entire life of an information management program.

Change Management/ Business Transformation

Many consider change management and business transformation as two very separate disciplines -- with change management being just one element of business transformation. The terms are somewhat interchangeable in as much as the two disciplines are so intertwined that it is rare to see one take place without the other.

Often regarded as soft stuff, change management tends to be misunderstood. Too little importance is given to this business management tool because so few understand the concepts and benefits that can be accrued from change management.

Management consultant Linda S. Ackerman proposes three perspectives on change: developmental, transitional, and transformational.

* Developmental change is simply an improvement of what is.

* Transitional change involves the implementation of a known new state through the management of the interim state over a controlled period of time. Transitional change may involve developmental change.

* Transformational change results from the emergence of a new, previously unknown state out of the remains of the chaotic death of the old state. Transformational change may involve both developmental and transitional change. In addition, transformational change may be managed as a series of transitional changes.

In Managing Change, author Todd Jick offers a model for change management and positions the model as the 10 commandments of implementing change.

Business transformation encompasses change management and the well-known disciplines of business process re-engineering (BPR) or business process engineering (BPE), and a lot more. It endeavors to enhance the organization's ability to capture sustainable results, leading to business success. It is intended to give a business the results needed to expand and/or maximize its market capitalization.

Business transformation is equally about transforming a business to meet its strategic objectives. In this context, it is inextricably linked to the organization's strategic planning initiatives -- its vision, goals, and objectives.

In order for business transformation to be realized, change must occur throughout the organization. This is where business transformation and change management merge. The Belgard Group, a management consulting firm, defines the following critical elements for successful and sustainable change through business transformation:

* executive high performance team (i.e., senior management support)

* driving business decisions (i.e., detailed action plan)

* change leadership (i.e., change management)

* fully engaged workforce (i.e., empower and engage employees)

* compelling partnerships (i.e., relationship management)

* redesigned work (i.e., BPR or BPE)

* supportive infrastructure ( i.e., structure, processes, technology)

Project Management

Too many people think that project administration equals project management. Too many people think that preparing a detailed project plan and tracking the project against the plan is all project management is about. According to Meredith and Mantal, the project manager "is expected to integrate all aspects of the project, ensure that the proper knowledge and resources are available when and where needed, and above all, ensure that the expected results are produced in a timely, cost-effective manner."

The importance and growth of project management as a discipline is illustrated by the growth of the Project Management Institute membership from just over 10,000 in 1994 to nearly 70,000 six years later.

Project management is a vast discipline comprising such management and knowledge areas as

* integration -- ensures project is properly coordinated

* scope -- ensures project includes all (and only) the work needed to be successful

* time -- ensures project is completed in timely fashion

* cost -- ensures project is completed within approved budget

* quality -- ensures project will satisfy the needs for which it was undertaken

* human resources -- ensure project makes most effective use of people involved

* communications -- ensures timely and appropriate generation, collection, dissemination, storage and disposition of information

* risk management -- ensures identification, analysis, and response to project risks

* procurement -- ensures effective acquisition of goods and services from outside source

Despite this apparent complexity, project management can be described simply as concerning itself with delivering the desired business outcome while effectively managing scope, cost, and schedule -- the triple constraints of project management.

Risk Management

Risk management is crucial to the success of an organization's information management program.

Threat and risk assessment is a process by which a project can be surveyed to determine areas that need to be monitored to improve the likelihood of project success. Risk assessment models may categorize risks based on any number of factors including

* strategic risk

* financial risk

* project management risk

* technology risk

* change management/operational risk

The risk assessment is meant to be applied in all phases of a project and should be updated on a regular basis and as information becomes known. Once the respective risks have been identified, mitigation strategies are put in place to minimize or eliminate the risks. The risks, along with their associated mitigation strategies, then become part of the overall risk management plan.

Performance Measurement

Performance measurement is a process of collecting and analyzing data to assess how well an organization or project is progressing toward its goals. As a discipline, it involves linking strategic objectives to intended results (or outcomes) and activities (or processes). It includes putting systems in place to measure, assess, and report on an organization's progress-to-date.

Through performance measurement, organizations can demonstrate whether they are achieving their intended results/outcomes and link activities to these achievements. It contributes to an organization's ability to communicate its successes as well as facilitate lessons learned and captures best practices. When integrated into a broader management system, it can support effective planning and resource allocation resulting in smarter investment decisions.

Communications Management

Communications management is as much about marketing and selling a program as it is anything else. Keeping people apprised of the program goals, plans, and successes isn't enough. The five Ps of marketing come into play: product, price, place, promotion, and perception. What is being sold? What does it cost? Where or to whom is the product/program being marketed and sold? How is it being promoted? How do people perceive the product/program? Who are the customers? What are their needs, wants, and demands? What value does the program offer? All of these factors come into play.

The communication plan needs to be multifaceted -- a multipronged approach to getting a message across. Think of any major banking institution; how does it market its products and services? The Web? Television? Radio? Direct mail brochures? What are the various forms/media that will be used to communicate with customers?

Relationship Management

This is that part of the model where relationships must be forged and guiding coalitions must be built and maintained. Traditionally, discussions in this area have focused on securing top management support and bringing the records and information professionals to the table with the information technology professionals. But that's only the beginning. One must scan the environment to identify all possible stakeholders, build bridges among these stakeholders, and manage those relationships.

Stakeholders can range from administrative support staff to senior management, internal information professionals to external suppliers, and vendors to external application service providers (ASPs). One must constantly be aware of the players and manage the relationships, including those among the stakeholders. Political battles do not only exist inside the organization. When there are precious revenues at stake for external stakeholders, the political game can become far more complicated.

Pulling It All Together

The concepts introduced in this article must become part of the information management professionals' toolkit in order for them to increase their relevancy to their organizations and thereby ensure their future.

Some may not have the luxury of starting over again with a blank slate, but all can re-evaluate their current initiatives within this framework. There may be opportunities to apply new building blocks to an information management program based on the model presented here.

Think of this model as a set of tools that can be used to renew or revamp an information management program and help information professionals align themselves and their programs more closely with their organizations' business goals.

The IM building blocks present a tremendous opportunity for information management professionals to broaden their skill sets, make themselves more relevant, and turn themselves into business solution providers who can effectively integrate business and information management.

For those who are familiar with ARMA International's Strategic Information Institute, this model lays out a possible strategic framework for that important initiative -- an initiative that has the potential to reshape the information management profession.

Information management professionals must realize that if they do not soon begin to embed and infuse their know-how and skills into the broader business context, they will lose ground -- at best, they will float adrift at sea and lose their relevancy. The information management professionals' future may very well rest on their ability to augment their skill set, grasp and apply the concepts presented here, and bring a meaningful voice to the boardroom -- to the executives and decision makers in our organizations.

How to Develop the Strategic Plan

Step 1: Strategic Analysis         1. Assess past performance.
Assess the strategic position      2. Identify and evaluate current
of the business and the urgency       strategy.
for action.                        3. Forecast future performance under
                                      current strategy.
                                   4. Decide on the need, nature, and
                                      urgency for change.

Step 2: Strategy Formulation       1. Examine you environment and
and Testing                           capabilities and generate
Develop and evaluate proposals        proposals.
to address business opportunity    2. Shape and short-list proposals.
and challenges.                    3. Prepare performance forecasts for
                                      short-listed proposals.

Step 2: Decision and               1. Decide on proposal(s) to
Implementation                        implement.
Develop and evaluate proposals     2. Build commitment and develop
to address business opportunities     required capabilities.
and challenges.                    3. Implement.
A Model for Change Management

1. Analyze the organization and its need for change.
2. Create a shared vision and common direction.
3. Seperate from the past. Begin the change process.
4. Create a sense of urgency.
5. Support a strong leadership role.
6. Line up political sponsorship.
7. Craft an implementation plan.
8. Develop enabling structures.
9. Communicate, involve people, and be honest.
10. Freeze (i.e., reinforce and institionalize change.)

Todd D. Jick, Managing Change, 1993

Strategic Analysis Tools

There are numerous business models/tools available to conduct strategic analysis and formulate strategic proposals. Some of the tools available for strategic analysis include:

Company Analysis

* Company capability profile
* Core competencies and core capabilities
* WOTS-up analysis (i.e., SWOT)
* ETOP (environmental threat and opportunity profile)
* Growth vector analysis
* SPACE analysis
* Technology check
* Directional policy matrix
* PIMS analysis (profit impact of market strategy)
* Organizational lifecycle
* Vulnerability analysis

Product Analysis

* Product lifecycle
* Product lifecycle and marketing/strategy
* Product lifecycle and financial
  situation
* Product lifecycle and competition
* Product lifecycle and management
* Product lifecycle and critical product/production factors
* Stakeholder analysis
* Stakeholder map

Industry Analysis

* BCG (Boston Consulting Group)
* Industry lifecycle
* Industry attractiveness analysis
* Porter's Diamond

Financial Analysis

* Strategic funds programming
* Sustainable growth rate
* Baseline projections
* Financial ratios

Generic Strategic

* Position Porter curve
* Key success factors
Three Stages of Performance Measurement

Development a Performance   * Link strategic objectives to intended
Measurement Framework         results/outcomes and activities
                            * Clarify assumptions and risks
                            * Establish performance measures and
                              targets
                            * Use a balanced approach

Implement a Performance     * Identify methods for collecting and
Measurement Plan              analyzing data
                            * Design and implement systems, procedures,
                              and practices to support ongoing
                              performance measurement; remove
                              organizational obstacles to
                              implementation
                            * Assign accountabilities

Use Information             * Generate regular reports for project
to Report on Performance      teams, management, and users/clients to
                              report on progress to date
                            * Report results and information about
                              process.
                            * Use reports to improve decision making,
                              demonstarte accountability, and enhance
                              organizational learning

Read More About It

Ackerman, Linda. "Development, Transition or Transformation: The Question of Change in Organizations." OD Practitioner. December 1986.

Fry, Joseph N. and J. Peter Killing. Strategic Analysis and Action, 4th Ed. Scarborough, ON: Prentice Hall Canada, 2000.

Jick, Todd D. Managing Change: Cases and Concepts. New York: Irwin McGraw-Hill, 1993.

Robert Meagher, BAA, MBA, is the Information Management Practice Leader for IT/NET, a prominent IM/IT consulting firm headquartered in Ottawa, Ontario, Canada. He has developed and implemented components of information management programs for municipal, provincial, and federal governments and for private sector organizations. Meagher can be contacted at [e-mail].