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The Enterprise Architecture FINAL NOTES AND DISCUSSIONS

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1 The Enterprise Architecture FINAL NOTES AND DISCUSSIONS
IPMA Executive Summit The Enterprise Architecture of the HR/Payroll Systems October 31, 2002 FINAL NOTES AND DISCUSSIONS Presented by: Josetta Bull JB McCrummen, Gartner

2 Agenda CAB Business Thomas 1:00 - 1:30 IPMA Recap Josetta 1:30 - 1:45
Operating Principles Josetta 1:45 - 2:30 BREAK Governance Structure Josetta 2:45 - 3:05 Strategies Josetta 3:05 - 3:30 Initiatives/Projects Josetta 3:30 - 4:00 Session Wrap-Up Josetta 4:00 - 4:30 Next Steps Stuart 4:30 - 5:00

3 CAB Business Thomas Bynum

4 IPMA Recap Challenge Enterprise Architecture Enterprise Blueprint Plan
Governance Structure Operating Principles Your Role

5 IPMA Recap: Challenge Agencies must implement Civil Service Reform
Agency financial and administrative functions are under supported by the state’s common central information systems Agencies have implemented their own “shadow” systems Approach Plan and implement improvements from an enterprise view

6 IPMA Recap: Challenge HR Systems Overview Department of Personnel
Payroll* Payroll calculation Interfaces Tax reporting Time and attendance collection Table-driven calculation rules Reporting Benefits administration Retroactive adjustments Variable compensation Personnel Reporting* Personnel administration Position management Performance management Compensation planning Contract management Collective bargaining Career management Employee self-service Manager self-service Leave* Leave administration Leave collection Data Warehouse Human resource information reporting DOP Agency Applications Combined fund drive. Employer advisory services. Executive recruiting. 1Labor Distribution Payroll labor allocation Time and activity reconciliation Cost accounting feed 1 Statewide Accounting Financial accounting Financial reporting Budgeting Accounts payable Accounts receivable Cost accounting 1Salary Projection Salary project. Budget allocation. Salary administration Department of Personnel Office of Financial Management Recruiting (ARMS)* Job applicant intake Hiring support Job applicant self-service Recruitment Training (HRDIS)* Training records Training administration Competency management Agency HR Labor distribution HR tracking Agency recruiting 3 Insurance Membership Management Medical Dental Life and Long-term Disability Insurance Accounting Other State Agencies 2 Insurance Enrollment and Accounting 1 Applications operate in DIS IBM Mainframe environment. 2 DOP will decommission the Insurance system by August 30, 2003 3 HCA will implement the new MMS by June 30, 2003 Applications Meets business needs Partially meets business needs Does not meet business needs Legend

7 IPMA Recap: Challenge Interface Systems Labor and PAYROLL INSURANCE
Information Services Liquor Control Board Labor Unions (2) Credit Unions (10) Utilities & Transportation Commission Ecology Legislative Evaluation & Accountability Program State Printer Natural Resources Retirement Revenue State Patrol Labor and Industries Labor and PERSONNEL PAYROLL INSURANCE RECRUITMENT TRAINING Criminal Justice Training Commission Social Health and Services Financial Management & Services Convention and Trade Center Financial Employment Security Higher Education Political Sub-divisions Public Instruction Fish & Wildlife Security Health Care Authority Transportation & Marine Division Fish & Wildlife Health State Treasurer Social Security Administration Internal Revenue Service State Auditor General Administration Corrections Insurance Basic Health Plan House & Senate

8 IPMA Recap: Enterprise Architecture
Definition - A holistic expression of the enterprise’s key business, information, application, and technology strategies A set of processes that: are business strategy driven, are technology trend aware; and will evolve over time

9 IPMA Recap: Enterprise Architecture
Critical Processes - Governance is key to business/IT dialogue Continually update the Migration strategy Enables iterative and incremental approaches Expands and evolves with each release

10 IPMA Recap: Enterprise Architecture
State and agency enterprise architectures Points of compatibility State of Washington State Architecture Dept of Health Social & Health Services Community of Interest Architecture Agency Architecture Agency Architecture

11 IPMA - Recap: Enterprise Blueprint Plan
IPMA Recap: Enterprise Architecture e-Security Management e-Business Applications Citizens, Visitors & Other Customers (G2C) Channel & Customer Relationship Management (CRM) e-Shared Services e-Data Bases Information Providers (G2B & G2G) In-Person Supply Chain Management (SCM) US Mail E-Filings Payments E-Forms Web/Portal Fa x On-Line e-Infrastructure EDI Environmental Services Credit Cards e-Governance e-Policies e-Architecture e-Standards Tax Services License Services Permit Services e-Application Middleware Payment Processes EDI/EFT Geographic Information Systems (GIS) Public Key Infrastructure Directory Services Collections Management Others Legacy Data Bases Benefits Services On-line G2B, G2G Bulk Data Transfers e-Procurement e-Forms Legacy Production Data Base C Legacy Applications Enterprise Resource Planning (ERP) Health Services Employment Services Family Services Education Services Public Safety Services Justice Services Enterprise Resource Planning (ERP) Employee Services Others... e-Marketing e-Data Middleware Historical Legacy Legacy Customer Identity & Production Production Decision Support Data Warehouse External Data Base Data Base Data A B Legacy Legacy Legacy Web Data Web Data Web Data Production Production Production Base A Base B Base C Data Base Data Base Data Base D E F User Devices Networks Platforms/Servers System Management (Desktop/Laptops/PDA) (LAN/WAN/VPN,etc)

12 Enterprise Financial and Administrative Community
IPMA Recap: Enterprise Architecture Enterprise Financial and Administrative Community Financial Management Capital Asset Management Procurement Management General Ledger Accounts Payable Travel Voucher Accounts Receivable Cost Accounting Purchasing Supplies Inventory Contracts Management Vendors Accounting Commodities Enterprise Reporting Personnel Data Warehouse Financial Data Warehouse Procurement Data Warehouse DSHS Integration (FRIP) Data Warehouse(s) Time / Labor Distribution Employees Positions Budget & Performance . Budget Management Human Resources/Payroll Capital Budget Budget Development Performance Meas. Tracking Allotment Management Version Reporting Fiscal Notes Payroll Personnel Positions Benefits Retirement Leave Applicants Training Salary Projection 2/15/2002

13 IPMA Recap: Enterprise Architecture
Organizational Guidance Copyright © META Group, Stamford, Ct. (203)

14 IPMA Recap: Enterprise Blueprint Plan
Objectives: Financial and administrative system changes/upgrades are needed to: Maximize the value of the state’s IT investments Improve business process efficiency Provide valuable information Meet customer expectations for “modern” systems, e.g., web-based, integrated

15 IPMA Recap: Enterprise Blueprint Plan
Principles: Central systems and tools “Build it once” Support it centrally Common, central data stores Integration, efficiency, integrity, facilitate reporting Self-service To gain efficiencies More consistent coding across agencies To support the Enterprise view

16 IPMA Recap: Enterprise Blueprint Plan
Principles (continued): Incremental approach To manage risk and achieve early payoff Select high value projects To reduce system duplication

17 IPMA Recap: Enterprise Blueprint Plan Enterprise Strategies Committee (ESC)
The ESC is formed to sponsor and lead the incremental implementation of comprehensive, coordinated enterprise-wide blueprint for financial and administrative systems. Best Practices Steering Committee Governing for he New Millennium (G4NM) Enterprise Blueprint Plan Work Group Enterprise Strategies Committee (Policy and Decision Making Body) Directors of: OFM, DIS, DOP, GA, CTED, DRS, L&I, HCA Enterprise Strategies Work Group (Task Force) (Representatives from central service agencies and customers)

18 IPMA Recap: Governance Structure
Management Framework Business Technology Change Management Budget Staffing Governance / Policy

19 IPMA Recap: Governance Structure
Definition Initiatives and Projects Chain Starts Here Architecture Customer Needs - Shift from internal to external customers Vision of Service Delivery Chain of Necessity Architecture Design Principles IT Governance

20 IPMA Recap: Governance Structure
Definition - Governance is the inter-agency organizational structure that provides a decision-making process to determine the services, architecture, policies and standards for the enterprise information technology. The institutionalization of a process that guides how individuals and groups cooperate to manage technology. Governance provides a framework for making IT decisions. Governance consists of the body of rules, agreements, and standards that define the basis for interaction between functions, roles, departments, and people within the enterprise. Governance involves discussions about architectures, standards, IT organization, deployment of IT people and skills, and IT cost structures. The overall objectives and role of IT governance is to ensure that IT organizational resources are targeted to deliver maximum business value.

21 IPMA Recap: Governance Structure
Generations/Phases: As enterprises become more IT-savvy, they move from viewing IT as a cost to be contained to a vehicle by which to transform their organization and even government itself. Level of Involvement Stage 4: Pioneering Stage 3: Proactive Stage 2: Reactive Stage 1: Passive Where Do You Fall? A critical first step in creating an effective IT governance process, either single or multiagency, is to “baseline” council members’ perceptions toward IT and the role IT plays in accomplishing the mission of the agency or the collective mission of multiple agencies. If you start with a frame of reference, it will be easier to identify the level of education that it will take to get the team up to speed. Key elements include attitude toward IT, the IT agenda, IT fluency, IT control mechanisms, IT education, information, managing IT risks and attitude toward the CIO. As the label suggests, a passive council will see no role for itself except in crisis situations. IT is a necessary evil. It is not understood and definitely does not rank high on the council’s top agenda items. A reactive council will respond to the CIO’s proposals, with IT being seen as a cost to be controlled. This council will delegate risks to the CIO, who will be invited to meetings on a situational basis. A proactive council is a little more engaged. It recognizes the IT implications of business initiatives and sees IT as an opportunity that can be exploited. IT budgets are managed within a framework of business strategy, and IT management is delegated but monitored by the council. Few government organizations sport an IT council with a pioneering spirit. These organizations see IT as a core competency, monitoring their IS performance against external benchmarks to maintain leadership. The council is IT-savvy, and formal and deliberate IT education is an agency norm. The CIO is considered a business colleague with an IT specialty. Where does your agency fall on the continuum?

22 IPMA Recap: Operating Principles
Definition - Operating principles are statements that help define how an organization makes business decisions. Operating principles clearly define roles and responsibilities. Operating principles are what an organization strives to achieve. Operating principles address general business operations, policies, standards, oversight, and resources. Operating principles provide the foundation for the Information Technology Governance Charter. Operating principles need to be tested over time and update as appropriate, ensuring they help facilitate improvement of out information technology infrastructure.

23 Evolution of CIO Role and Enterprise Governance
IPMA Recap: Your role! Evolution of CIO Role and Enterprise Governance New Rules/New Realities Mainframe Era: Conventional Plus Functional Head Operational Manager Deliver on Promises Advisor on ‘How to’ Not ‘What to do’ On-Time delivery Reliable operations Automate for Efficiency Alert Line-Mgmt. to IT Investment Opportunities Distributed Era: Transitional, Shifting Strategic Partner Expectation Manager Technology Advisor Align IT with Business Access to the Executive Invited ‘Seat at Table’ Manage IT Department Provide Infrastructure Manage vendors Reduce Business Process Cycle-time Set Direction and Secure Benefits from “Selective” Outsourcing Web-based Era: Hybrid, Emergent Business Visionary Technology Opportunist Drive Channel Strat. Member of Executive Team or Assumed ‘Seat’ Jointly Develop Bus./ IT Model; Leverage Extra-structure Integrate Client/ Supplier Value-Chain Define Office-of-the Future; Lead effort to Customer-centricity CIO Role Key Responsibility Business Input Major Tasks System Objective Leadership SPA: By 2002, the primary focus of IT management shifts from operational efficiency and effectiveness to information exploitation and extraenterprise operability (0.7 probability). By 2002, more than 60 percent of large enterprise CIOs are sourced from “the business” or ESPs, facilitating business/IT fusion and e-process innovation (0.7 probability). By 2003, 75 percent of Type A and 40 percent of Type B enterprises will have integrated IT planning and governance as key elements of their mainstream management processes to implement strategic business goals (0.7 probability). The increasing involvement and focus of line management in IT oversight reflects the importance of IT to the attainment of strategic business goals. The advent of e-business and its impact on the business model will cause IT and business leadership to integrate their roles around the transformation of core business processes, and to take advantage of new market and operational opportunities. Due to the pervasiveness of this change, smart governance will play an increasingly key role, de-emphasizing control and oversight in favor of providing appropriate forums for both internal and external stakeholders. Governance mechanisms must facilitate fluid communication and collaboration, and provide efficient connections to the mainstream business decision- making processes of the organization. Increasingly, IT is an asset and not an expense; as a consequence, CIOs will evolve to a role of asset manager for the very high value resources of the company.

24 State Enterprise Operating Principles - Final Discussion
Please note: The following Operating Principles were discussed during IPMA meetings held on October 4, 5 and 31. Discussion notes may be viewed in the “Notes” portion of this presentation. During the IPMA meetings, it was discussed that the following Operating Principles need to be adopted and charted, once the State identifies their overall Governance structure and processes.

25 Enterprise Operating Principles
Business Principles We will seek business leadership commitment for enterprise initiatives by presenting a business case that helps them understand the benefits to the State and their Agency (cross-walk between benefits to the whole and benefits for each participant) We will demonstrate our technology leadership by proposing and championing innovative solutions to business executives As leaders, who truly understand the business of our Agencies, we will advocate for changes in business service delivery and processes in order to improve the effectiveness of our organization Our common community needs to help support this effort – we all need to be saying the same thing We need to be able to identify the win and where we can all move forward together We will seek business leaders’ commitment by presenting a business case that helps them understand the benefit We will collaborate in order to share ideas, resources, technology research, and best practices in the deployment of integrated services. Issue of resources We are saying HR/Payroll is a place where we should collaborate – it isn’t every person for themselves Need to identify the common threads There needs to be a benefit for each participant – we have to sell this internally even after we all agree to something here Cross-walk between benefits to the whole and benefits for each participant We need to articulate why we should help in this time of “crisis” – this is a packaging strategy that we need to implement Those projects that are collaborative in nature will move forward in the budget process – motivation Collaboration must lead to active decisions – we have to have a formalized decision-making process We need to harness the energy that went into the development of the disparate systems in order to move forward We collaborate when it makes sense for all our organizations We will strive for increased efficiencies through the implementation of self-service systems. We are moving data maintenance/ownership to the end user Provided we aren’t adding costs to the system we need to build – in this economic time, we wouldn’t do this just for improved customer satisfaction I don’t agree, we would pay more for self-service - we might not contribute as an Agency to cost savings We will embrace phased implementation in order to reduce risk and recognize system benefits as soon as possible. We will advocate for the common IT needs of the HR/Payroll system, for all departments, in order to ensure our goal is realized. We agree in theory, it is very difficult to implement We will emphasize the commonality We want to do this, we just have to put this in business terms our Agencies will understand We think the overall system will benefit and here is the benefit for our Agency We would not be willing to pay more to support the system so “have nots” have access to it There may be unique needs for our Agencies that don’t make this feasible We advocate for the whole and help articulate how our Agencies’ unique needs would not be sacrificed – we help our Agency understand that it is beneficial to accept the direction of the whole if it does not negatively impact our unique business needs What happens when business people advocate for their “unique” business process? If we embrace COTS, we embrace the associated business processes. The biggest problem we run into is dealing with people who have done these processes the same way for decades – they want us to change the application. We need to define standards that the vendor community can use Standards are very difficult to develop in a very diverse environment We need to ensure we have leadership buy-in – otherwise we won’t be successful

26 Enterprise Operating Principles
Business Principles We will collaborate among departments in order to: Achieve return on investment in support of common goals and requirements Share ideas, resources, technology research, and best practices in the deployment of integrated services Achieve synergies in: Purchasing Applications development and deployment Research and development We will strive for increased efficiencies through the implementation of self-service systems Our customer will use a single authentication process in order to receive services We will develop a State business driven architecture that ensures departments can effectively communicate with each other, and share and exchange information as appropriate. We will develop plans for the effective life cycle management of technologies. We will centralize (logically, not physically) systems and tools support. For an HR/Payroll system, does it make sense that we are going to go do our own thing, or are we going to centralize where appropriate. Find common needs among us and focus on that vs. our differences. If we want a solid system (incorporating the things we have in common), we should only build it once We need to ensure we do a good job of identifying where our commonality exists Have to consider where your information is coming from Name, employee demographics – that should be kept once and available for appropriate people to access it Need to determine the reality of uniqueness vs. commonality Action item – assess the HR/Payroll systems for common functionality – determine where common requirements are so can let people know they aren’t necessarily unique We need to understand what makes sense to centralize vs. decentralize Standards and data formats – have the common framework so that systems know how to plug into a distributed architecture Should we develop this framework together? Should we talk about common tools to use? We can talk XML more easily than same applications We will support the development of shared services and tools to be utilized by agency departments. What does support mean? It means committed to creation, maintenance, and usage of shared services and tools What is key here is the funding model – we don’t have a model today that supports this Shared services vs. shared Our customers will use single (authentication) in order to receive information and services. Phrase as a Business issue/term Single authentication/Signon Single ID/multiple Ids? Single identification-walk thru other IDs

27 Enterprise Operating Principles
Budget/Resource Principles: Enterprise projects will be prioritized based on: Common Business need/goals Statewide ROI (State needs to define term) Availability of funding Support of long term architecture Conflicting priorities will be raised through the States Governance structure (State needs to define structure and process) Agencies will work collaboratively when seeking funding Agencies will not initiate a project unless the appropriate staffing is available to support it Enterprise projects will be prioritized based on: Common Business need/goals Statewide ROI (Define) Availability of funding Support of long term architecture Conflicting priorities will be discussed with the (HR/Payroll) Enterprise Strategies Committee Governance or principles? Agreeing to submit to resolution process Agencies will work collaboratively when seeking funding Agencies will not initiate a project unless the appropriate staffing is available to support it. ROI- more than typical (short-term)definition-what does it mean-long term-to us? Technology is more than automation and financial return. State wide benefits. Common business need-Stewardship responsibilities Joining together may bring more benefits to all

28 Enterprise Operating Principles
Technology We will develop, maintain and support an Enterprise Technology Architecture (ETA) that supports the sharing, exchange and integration of agency data and services We will develop, maintain and support ETA standards We will support the development of shared services to be utilized by agency departments We will embrace phased implementation in order to reduce risk and recognize system benefits as soon as possible Based on knowledge and understanding of our business needs, we support the development and reuse of common application components We will strive to eliminate redundant systems and processes We will seek the best provider of a solution (commercial off the shelf or custom build) As a best business practice, we will strive for shared applications and consider reuse of applications (internal and/or COTS) the first option whenever possible. I’m not comfortable with the thought that COTS applications intrinsically include best practices I think we need to leave the decision up to the FSR process Best practices are really the business practices, not necessarily the technical practices We pause to look at the internal and external market before we decide what we want to do Leverage existing investments We should consider building ourselves only as a last resort We consider internal reuse first, then COTS, then other alternatives, build ourselves last Action Item: We may need to change our contracting rules in order to support this principle – stated that you have to indicate why you can’t do it yourself before proceeding. This is a cultural shift that we have to make. We will eliminate redundant systems and processes. HR/Payroll Systems will be accessible by individuals with special needs.

29 Enterprise Operating Principles
Data Agency data/information is a State enterprise resource regardless of its physical location, and departments will collaborate to manage it as such We will implement security policies and standards that will protect systems, networks, resources, and data from loss and unauthorized access, use, modification, destruction, and disclosure We will create and implement a process for the creation, deployment, maintenance and retirement of information We will strive for shared applications and consider reuse of applications (internal and/or COTS) the first option whenever possible. Look for common(does common meet all needs?) components/apps Issue of building from the state common/standard- exceptions or non standards Know business need and find best business/technology solutions--whether build, COTS, outsourcing Building apps for “sharability” We will eliminate redundant systems and processes Technology - Data Principles: (Enterprise) Agency data/information is a State enterprise resource regardless of its physical location, and departments will collaborate to manage it as such Planning & Standards (costs for example) Integration Restate purpose of principle We will implement security policies and standards that will protect systems, networks, resources, and data from loss and unauthorized access, use, modification, destruction, and disclosure We will create and implement a process for the creation, deployment, maintenance and retirement of information

30 HR/Payroll Operating Principles
Change Management Principles: We will ensure all employees receive the basic training necessary to operate the IT systems necessary to support their business functions We will support change management practices in order to ensure successful system deployment. Our focus will include Leadership demonstrates their support of the change management process Education and outreach Communication that is open, timely, and accurate Articulate the benefits of change The State will ensure all employees receive the basic training necessary to operate the IT systems necessary to support their business functions We will support change management practices in order to ensure successful system deployment We will ensure all stakeholders are aware of how development and implementation of the HR/Payroll system will involve/affect their lives We will properly communicate change well in advance We will clearly articulate the benefits of change We will clearly define and communicate roles and responsibilities of HR/Payroll project stakeholders We will give stakeholders an opportunity to provide the HR/Payroll project team members with feedback throughout project implementation We will ensure Agency leaders are actively engaged in the change management process

31 HR/Payroll Operating Principles
Please note: The following Operating Principles were NOT discussed, as it was determined that the HR/Payroll team had already completed a similar exercise.

32 HR/Payroll Operating Principles
Technology - HR/Payroll Community Principles: As an HR/Payroll community, we will work to find and launch our efforts based on commonality As an HR/Payroll community we agree to centralized systems, data and tools, when there is a supporting business case We will develop plans for the assessment, migration and retirement of duplicate HR/Payroll processes, services and products. Before we retire something, we need to be assured that we will get the same or improved level of service Or (there is disagreement here) We need to be willing to accept a reduced level of service We will establish individual service level objectives that will allow us to monitor and track the state’s HR/Payroll programs and services to determine if stated outcomes are being met


34 Background Structure Chartering
Governance Structure Background Structure Chartering

35 Introduction to Governance
Key Elements in Review IT-Savvy Board Takes enterprise approach to IT management Merges IT and business planning Uses IT to facilitate mission and goals Owns IT projects Monitors success metrics Engages in continual education Prioritizes IT investments Information Constitution Framework for making informed IT decisions Defines roles and responsibilities Enterprise First Silos Second Governance Board Members Executive sponsor Department executives CIO CFO Partners Although governance in a digital world (one supporting multiple agencies, partnerships and constituencies) adds another layer of complexity to the challenge, the underlying principles for governance remain the same. There must be an established process by which to make informed IT decisions. Government operates in an environment of politics; the key players rotate in and out on a regular basis. It is critical to create a structured process that is able to transcend administrations while remaining flexible enough to be responsive to a dynamic environment. The cornerstone of the process is the full fusion of business and technology — the two being so integrated that technology becomes a business decision. All initiatives should be evaluated as to their impact on the mission(s) of the agency(s) involved. This means enterprise or global thinking first and silo or single-agency second. Council membership should include an executive sponsor, program executives, CIO, CFO, and business partners and citizens (when appropriate); or in the case of a multiagency council, representation from across these groups. One of the biggest challenges in creating viable governance at any level is keeping up with the continual process of educating the members — what does the council know and what do they need to know to make effective IT decisions? Action Item: Perform a gap analysis on what your council knows about IT — as opposed to what they need to know — and develop an aggressive educational plan to ensure that the leaders are capable of making the right decisions to support a digital environment. Make education a key council activity. Fuse IT and Business

36 Introduction to Governance
Definitions: Governance is the cross-jurisdictional organizational structure that provides a decision-making process to determine the services, architecture, standards and policies for the enterprise’s IT. E-governance is the development, deployment and enforcement of the policies, laws and regulations necessary to support a functioning digital society and economy, as well as e-government. The Next Generation Action Items: Build extra-agency view of governance Include constituents, partners, advocacy groups Develop cooperative architecture Governing (Policy/ Regulations) Governance Global Governance (Multiagency) IT Governance (Single Agency) The term “governance” has been used to depict both the regulatory process of creating and enacting legislation as well as the process for making informed IT decisions. As we consider the next generation of governance, three components come into play: 1) governing (the regulatory process of enacting e-government legislation); 2) global governance (the IT decision process across multiple entities); and 3) IT governance (the IT decision process within one enterprise). The journey to the end state of next-generation governance will be an iterative and possibly painful experience. Agencies are struggling to implement governance structures that blend silo thinking into a single enterprise perspective, and large umbrella agencies are challenged in their endeavor to bring multiple subagencies into a single governance structure. The level of complexity increases exponentially as multiple agencies come together to implement global governance. Although legislation (e.g., the Clinger-Cohen Act in the United States) has paved the way for IT governance in the public sector, it in no way provides a definitive road map. In the near term, agencies will continue to seek solutions for single-agency governance at the same time as politicians are promising government’s many constituencies a single point of entry, or single face to government. The total transformation of government will require a merger of the three components. Gartner predicts that they will merge incrementally, with IT governance and global governance converging before the process of governing catches up. Once total convergence has taken place, the stage is set for a new generation of governance — e-governance. Time

37 Introduction to Governance
Agency Mission Culture Organization Business Process Technology Transformation IT Governance Culture will be the single most important focus for governance councils as public-sector agencies come together to orchestrate a single face to government. Culture has been cited by NASIRE — an alliance of state CIOs — as the No. 1 barrier to an agency’s capability to implement digital government. Culture drives the organizational climate (e.g., personality) of an agency and sets the standard for how work is accomplished. It strongly influences how an organization uses technology, structure, process and intellectual capital to deliver services, information or products to its constituents. In short, culture can either be an enabler or a hindrance to effective product delivery and customer service. One of the ongoing challenges for a governance council is to mitigate the cultural issues that come into play when making IT decisions. How will enterprise governance affect our ability to make individual program decisions? Will we lose control by operating in a collaborative environment? Will we have to redirect our limited funding to enterprise infrastructure or projects? What will happen to the “turf”that our program currently enjoys? The list goes on and on. Agencies that sport a negative or bureaucratic culture will find it difficult (if not impossible) to embrace change at the magnitude necessary to move into multiagency models. This challenge multiplies exponentially as agencies come together to create a climate for making global IT decisions. Action Item: It is critical for all agencies to identify cultural barriers in their own organizations and drive toward the cultural changes that will enable them to operate successfully in a dynamic collaborative environment. Intellectual Capital Constituent Feedback Services and Products Adapted from J. Carr, “Human Factors: A New Perspective for Software Systems Development”

38 Introduction to Governance
Governance Structure High Level Implementation Steps Formalize IT Governance Structure Test IT Governance Structure Modify IT Governance Structure as Necessary Fully Implement IT Governance Structure

39 IT Governance Structure

40 IT Governance Structure
Purpose of Governance Ensure that business strategy drives IT decisions Ensure the organization is supported by a stable and secure IT infrastructure Responsibilities Make decisions regarding IT strategic directions Approve key IT policy and program decisions Set priorities for IT projects, ensuring they support business needs Monitor implementation of IT Strategic Plan Remove barriers to IT project implementation Report results to Executive Staff

41 IT Governance Structure
Purpose of the IT Governance Board Provide IT Governance Board and CIO with proposals and guidance regarding technology solutions, policies, standards, and procedures Responsibilities Review alternatives and prepare recommendations for review by CIO Conduct technical analysis to support business needs Ensure coordination of technical activities between centralized IT staff and business unit IT staff Facilitate knowledge sharing and exchange between centralized IT and business unit IT staff Monitor and report on appropriate IT projects Facilitate implementation of IT Strategic Plan initiatives

42 IT Governance Structure
Membership An appropriate IT Governance Board member as Chair Technology experts Business experts Familiar with business processes or issues being addressed External Service Providers as appropriate

43 IT Governance Structure
Sub-Committee Purpose Provide Governance Board and CIO with proposals and guidance regarding technology solutions, policies, standards and procedures Responsibilities Review alternatives and prepare recommendations for review by CIO Conduct technical analysis to support business needs Ensure coordination of technical activities between Department IT staff and Information Technology Division staff Facilitate knowledge sharing and exchange between IT Department and Information Technology Division staff Monitor and report on appropriate IT projects Facilitate implementation of strategic initiatives Meet as necessary Monthly at a minimum Reports coincide with Board meetings

44 Sample IT Governance Structure
A: Decision-Making Bodies Executive Officer IT Governance Board B: Advisory Committees Enterprise Technical IT Resource Allocation Security and Privacy Steering Architecture and Standards Steering Committee Committee Steering Committee Data Task Force Communication and Change Management Application Architecture Task Force Servers, Desktops and Networks Task Force C: Task Forces E-Government Task Force Employee Excellence = Direct Reporting Relationship

45 IT Governance Structure
Assess where you are A. Decision-Making Bodies IT Executive Steering Committee Executive Business Management Team Architecture Council B. Advisory Committees Strategic Planning Team E-Gov Steering C. Workgroups/Task Forces Server and Desktop Management E-Gov Team A E-Gov Team B Security Team Team Privacy Team D. Information Sharing/Coordination Forums Project Oversight IT Forum Technology Forum

46 Washington’s Governance Structure

47 Governance Chartering

48 Governance Chartering
A Governance Charter communicates to your organization how and why decisions will be made (IT and/or business). Charter includes: Preamble Introduction Values Information Technology Governance Council, Advisory Committees and Task Forces Organization Structure Overview IT Governance Board Mission Responsibilities Membership Meetings and Attendance Decision Process Exception Process Advisory Committees Reporting Task Forces Responsibilities Membership Meetings and Attendance Reporting Decision Process IT Operating Principles General Policies, Standards and Oversight Resources Project Management Security Systems and Networks (Including Desktops) Applications Data and Information

49 Governance Chartering
Governance Board Purpose/Responsibilities - Example Working with Executive Leadership to understand business needs and set department direction, the IT Governance Board will be responsible for: Identifying, developing, and recommending IT policies (Policies are approved by Executive Staff) Developing and approving implementation procedures, and tracking and monitoring processes to support IT policy Establishing department-wide automation priorities, including new development and on-going maintenance operations Approving information technology projects that fit within existing budget resources Recommending information technology projects that require budget augmentation (BCPs) for approval by Executive Staff Approving the allocation of resources to support automation (staff and dollars) Working to resolve IT issues and challenges Monitoring implementation of the IT strategic direction Communicating directions or decisions with Executive Staff and the organization, using existing communication and change management vehicles as appropriate

50 Strategies Please note:
The following Strategies were discussed high level in concept only. They should be viewed as things to consider only.

51 Enterprise Implementation Strategies
We will identify our community’s common goals and requirements. We will implement a formalized process to ensure our collaboration leads to active decision-making (e.g., expand governance framework). Establish project governance that ensures timely decision-making while taking into consideration staff input. Develop a business driven technical architecture that establishes capability standards. Identify shared application services that can be leveraged by the core system and interfacing applications. Design data logically to support a single customer based system.

52 Enterprise Implementation Strategies
Focus business application design on providing customer centric self-service. Implement a single authentication for State systems. Develop a budget allocation process that ensures all Agencies have the funding necessary to support HR/Payroll implementation and maintenance. Establish State enterprise mechanisms to govern and fund the development of new services that address business and technical needs (includes R&D money). Conduct a skills assessment of individuals involved with the HR/Payroll system to determine the training needed to support it. Ensure HR/Payroll system contracts include staff skills transfer requirements.

53 Enterprise Implementation Strategies
Develop and implement a cultural change management program that ensures customer buy-in and use of the new HR/Payroll system. Develop communication mechanisms to ensure stakeholders are provided with timely and clear communication regarding changes (their impacts and benefits). Articulate the vision and the importance of the project

54 Session Wrap-Up

55 Session Wrap-up What will we do tomorrow?
Conduct a test of the principles HR/Payroll (internal) Financial Possibly an external test The process can work for other projects Testing the values Important to building of the architecture/infrastructure Take principles back to own agency Expand from IT problem only to business challenge(s)

56 Next Steps Stuart McKee

57 Thank you!

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