2 Governance Maturity Model-TB
Content
Before the April 22nd session, read through this document for the purpose of identifying where your organization falls in the following maturity model. Please record the Tier for each category at which your organization stands today. We will discuss your findings in the April 22nd class. Bring the document to the class for discussion.
============================================== Governance Maturity Model
IT governance is the way in which an organization manages technology. Through research and practical experience we have determined there are, among others, five categories of governance that are critical to local government technology administration: Leadership, Communications, Planning, Education & Training, and Management.
For each of these best practices areas, there are six specific criteria that can be considered to determine the maturity level of a given IT organization.
Review each of the five categories through a six-tier governance maturity model, which was repurposed for local government after having modified the structure from a variety of sources, including the Control Objectives for Information and related Technology (COBIT) organization, from the Institute of Governance, Forrester’s Governance Maturity Model, and from the Government Performance Project. The sixth tier of the structure reflects the highest articulated state of performance, which may not reflect the level of attainment needed for your organization to be successful; tier four or five may be sufficient to meet the governance needs. It is not required that every criteria be met to satisfy the attainment of a tier.
The flexibility of the model is to allow for a variety of approaches and then the preponderance of evidence will sufficiently reflect the level of achievement implied by the tier. The real value in the governance model is not merely seeing where you are today, but what you need to do to further evolve tomorrow.
IT Leadership Criteria
IT leadership in a local government ranges from a clerical supervisor to a charterempowered governing board. Regardless of the maturity of the leadership, the potential for excellence in execution occurs at each tier, from the highest to the lowest.
Tier
6
IT Leadership
There is a citywide IT Governance Council, supported by the City Commission and City Manager that manages the multi-year infrastructure and portfolio–driven investment program through the CIO and the Program Management Office (PMO). Enterprise governance and IT governance are strategically linked, leveraging technology and human and financial resources to increase the competitive advantage of the enterprise.
5
IT governance evolves into an enterprise-wide process facilitated by an IT Director or CIO and a chartered Governance Council, which is actively encouraged by the City Manager who appointed the members of the Council.
4
IT leadership is provided by an IT Manager or Director, and may be augmented by an appointed committee of interested parties. The IT leader is supported by an adequatesized staff and uses strategic sourcing as needed.
3
IT leadership is provided by an MIS or IT Manager supported by a limited number of staff and using strategic sourcing as needed in lieu of additional staff.
2
IT leadership is provided by an MIS Coordinator supported by a limited number of staff plus vendors for both tactical and strategic effort that the city can afford. It is unclear as to where the final decision-making authority lies within the organization.
1
IT leadership is provided by senior clerical staff under the City Clerk or the Director of Administrative Services.
IT Communication Criteria
We have positioned “communications” so that it is understood to be a first priority of leadership. In this context, communications takes place among peers, to superiors, and to subordinates. Both information and instruction are exchanged on a recurring basis through a variety of media in a high performance organization.
Tier
6
IT Communication
IT delivers an annual report to the Board/Commission as a state of the business practices review that reports how technology has empowered the achievement of citywide goals. IT presentations may be delivered across the government-operated TV channel. The City has been repeatedly recognized by national associations that track and judge communications performance. Web 2.0 functions are deployed to educate the audience in addition to formal training.
5
All process stakeholders are aware of risks, the importance of IT and the opportunities IT can offer; increasingly aligned with the enterprise strategy. Communications are directed to the organizational audience through e-mail, presentations, reports, lunch-nlearns, and Community of Interest groups.
4
There is consistent communication on the overall issues and the need to address them. Published reports are distributed to management staff and a newsletter is distributed to IT staff. IT staff have been provided with the information to fully inform them of the purpose of each IT initiative.
3
Communication events are limited to need-to-know situations; policies are distributed via e-mail and in some cases employees may be asked to sign their acknowledgement to having read the policies; occasional technology presentations are made to senior staff.
2 1
The help desk (internal or vendor) is one of the primary communication channels. It is unclear as to where the final decision-making authority lies within the organization.
IT Planning Criteria
The highest realized state of planning is one that is aligned with the enterprise (citywide) strategic plan. The key challenge is in getting a plan documented, communicated, and distributed. Mature business processes arise out of the creation of the plan and then merge with the overall planning of the City’s strategies. Only a few local governments have achieved the highest stature. Many organizations today are between Tier 3 and Tier 4.
Tier
6
IT Planning
The IT strategy is fully aligned with the enterprise strategy and a business culture is established to involve the IT organization in business process improvement and in creating new business opportunities. Goals and objectives are communicated crossfunctionally, using Critical Success Factors and Key Performance Indicators to monitor performance. The IT strategic plan is continuously modified and the results posted.
5
There is a documented strategic plan that has been distributed and presented to the City Commission and to all department managers. The IT strategy is becoming increasingly aligned with the enterprise strategy. IT processes are aligned with the business and with the IT strategy. Selected IT processes are identified for improving and/or controlling core enterprise processes and are effectively planned and monitored as investments, and are derived within the context of a defined IT architectural framework.
4
There is a documented and distributed strategic plan that has been developed through a citywide data collection process and has been adopted by the City Task forces or Communities of Interest. These groups have been formed to address specific groups of issues and needs. Capital projects are prioritized in anticipation of systems being replaced as the systems reach maturity (i.e. lifecycle infrastructure planning).
3
A current strategic plan is not available. Focused planning efforts occur through the budget development process that includes long term capital needs. Some business strategies are identified, but the primary driver is technology.
2
Annual capital projects are reported through the budget process. Operating plans are based on the deployment of technology rather than business needs.
1
It is unclear as to where the final decision-making authority lies within the organization therefore there is no central planning responsibility or effort.
IT Education and Training Criteria
One of the frequently overlooked and clearly under funded areas of IT is education. In this case, we mean education of the technologist who delivers the technology and the training of the end user of the technology. Learning organizations have come to accept that great value is derived from improving the skills and talents of the employee population. The benefit of educating employees about their software is that all aspects of the software capabilities can be tapped rather using only a portion of a system’s capacity for productivity. Organizations that educate spend far less time trying to help employees ‘catch up’ while working.
Tier
6
IT Education and Training
Training and communication are supported by leading-edge concepts and techniques. Formal in-house career development on desktop software and on applications through formal accredited training positions;
5
IT governance issues at all levels are supported by formal training. Career oriented certification programs for a wide variety of technologists; also from on-the-job training credentials to the highest industry certifications. The technologists have a budget that targets specific professional needs for each individual.
4
Technologists and system users at all levels are supported by consistent and repeatable formal training. Specific, formal, technology education may not be planned for
technologists in the previous year’s budget, but is accessed ad hoc throughout the year. 3 There are sporadic training classes provided to system users throughout the year. Technologists receive limited training 2 There is no formal training and the communication on standard procedures and responsibilities is left to the individual. 1 Clerical staff have no formally-delivered technology skills; non-technical staff posses basic survival techniques. There is no training program for IT staff. The City relies upon “On the Job Training” for applications and desktop functionality.
IT Management Criteria
This category is a measure of the combination of individual maturity criteria at the performance level. Leading, communicating, and planning the processes and measures are together judged as the management function. It is the integration of all of these disciplines that produces the value of the management perspective. Tier
6
IT Management
IT is used in an extensive, integrated and optimized manner to strategically leverage technology in automating the workflow and providing tools that improve quality and effectiveness. Sophisticated approaches are uniformly applied to planning, organizing, directing, and controlling of all IT resources: Service-driven, customer-oriented IT organization with centralized infrastructure and distributed business services and investment program. The implementation of policies has led to an organization, people and processes that are quick to adapt and fully support IT governance requirements. Highly dynamic communications program throughout the enterprise including
collaborative online work groups and Communities of Interest. 5 Processes are occasionally improved and enforce best internal practices. Control practices are becoming increasingly transparent, flexible and scalable. Responsibilities are clear and process ownership is established. IT governance activities are becoming integrated with the enterprise governance process. There is involvement of all required internal domain experts. 4 Procedures have been standardized, documented and implemented. They are being communicated and informal training is established. Tools are standardized, using currently available techniques. IT specialists are involved in this formalization, but internal non-IT specialists participate only occasionally. 3 Management has identified basic IT governance measurements and assessment methods and techniques; however, the process has not been adopted across the organization. There is involvement of all required internal domain experts. 2 Management’s approach is chaotic and there is sporadic, inconsistent communication on issues and approaches to address them. 1 Information Technology (IT) support is administered at a clerical level and with the assistance of a contractor (who may also be an IT vendor) on a per call basis. The role of the senior IT person is to keep things functioning by having them repaired when needed. No one, other than a few clerical staff, is involved, typically passing along user requests for assistance to the vendor.
============================================== Governance Maturity Model
IT governance is the way in which an organization manages technology. Through research and practical experience we have determined there are, among others, five categories of governance that are critical to local government technology administration: Leadership, Communications, Planning, Education & Training, and Management.
For each of these best practices areas, there are six specific criteria that can be considered to determine the maturity level of a given IT organization.
Review each of the five categories through a six-tier governance maturity model, which was repurposed for local government after having modified the structure from a variety of sources, including the Control Objectives for Information and related Technology (COBIT) organization, from the Institute of Governance, Forrester’s Governance Maturity Model, and from the Government Performance Project. The sixth tier of the structure reflects the highest articulated state of performance, which may not reflect the level of attainment needed for your organization to be successful; tier four or five may be sufficient to meet the governance needs. It is not required that every criteria be met to satisfy the attainment of a tier.
The flexibility of the model is to allow for a variety of approaches and then the preponderance of evidence will sufficiently reflect the level of achievement implied by the tier. The real value in the governance model is not merely seeing where you are today, but what you need to do to further evolve tomorrow.
IT Leadership Criteria
IT leadership in a local government ranges from a clerical supervisor to a charterempowered governing board. Regardless of the maturity of the leadership, the potential for excellence in execution occurs at each tier, from the highest to the lowest.
Tier
6
IT Leadership
There is a citywide IT Governance Council, supported by the City Commission and City Manager that manages the multi-year infrastructure and portfolio–driven investment program through the CIO and the Program Management Office (PMO). Enterprise governance and IT governance are strategically linked, leveraging technology and human and financial resources to increase the competitive advantage of the enterprise.
5
IT governance evolves into an enterprise-wide process facilitated by an IT Director or CIO and a chartered Governance Council, which is actively encouraged by the City Manager who appointed the members of the Council.
4
IT leadership is provided by an IT Manager or Director, and may be augmented by an appointed committee of interested parties. The IT leader is supported by an adequatesized staff and uses strategic sourcing as needed.
3
IT leadership is provided by an MIS or IT Manager supported by a limited number of staff and using strategic sourcing as needed in lieu of additional staff.
2
IT leadership is provided by an MIS Coordinator supported by a limited number of staff plus vendors for both tactical and strategic effort that the city can afford. It is unclear as to where the final decision-making authority lies within the organization.
1
IT leadership is provided by senior clerical staff under the City Clerk or the Director of Administrative Services.
IT Communication Criteria
We have positioned “communications” so that it is understood to be a first priority of leadership. In this context, communications takes place among peers, to superiors, and to subordinates. Both information and instruction are exchanged on a recurring basis through a variety of media in a high performance organization.
Tier
6
IT Communication
IT delivers an annual report to the Board/Commission as a state of the business practices review that reports how technology has empowered the achievement of citywide goals. IT presentations may be delivered across the government-operated TV channel. The City has been repeatedly recognized by national associations that track and judge communications performance. Web 2.0 functions are deployed to educate the audience in addition to formal training.
5
All process stakeholders are aware of risks, the importance of IT and the opportunities IT can offer; increasingly aligned with the enterprise strategy. Communications are directed to the organizational audience through e-mail, presentations, reports, lunch-nlearns, and Community of Interest groups.
4
There is consistent communication on the overall issues and the need to address them. Published reports are distributed to management staff and a newsletter is distributed to IT staff. IT staff have been provided with the information to fully inform them of the purpose of each IT initiative.
3
Communication events are limited to need-to-know situations; policies are distributed via e-mail and in some cases employees may be asked to sign their acknowledgement to having read the policies; occasional technology presentations are made to senior staff.
2 1
The help desk (internal or vendor) is one of the primary communication channels. It is unclear as to where the final decision-making authority lies within the organization.
IT Planning Criteria
The highest realized state of planning is one that is aligned with the enterprise (citywide) strategic plan. The key challenge is in getting a plan documented, communicated, and distributed. Mature business processes arise out of the creation of the plan and then merge with the overall planning of the City’s strategies. Only a few local governments have achieved the highest stature. Many organizations today are between Tier 3 and Tier 4.
Tier
6
IT Planning
The IT strategy is fully aligned with the enterprise strategy and a business culture is established to involve the IT organization in business process improvement and in creating new business opportunities. Goals and objectives are communicated crossfunctionally, using Critical Success Factors and Key Performance Indicators to monitor performance. The IT strategic plan is continuously modified and the results posted.
5
There is a documented strategic plan that has been distributed and presented to the City Commission and to all department managers. The IT strategy is becoming increasingly aligned with the enterprise strategy. IT processes are aligned with the business and with the IT strategy. Selected IT processes are identified for improving and/or controlling core enterprise processes and are effectively planned and monitored as investments, and are derived within the context of a defined IT architectural framework.
4
There is a documented and distributed strategic plan that has been developed through a citywide data collection process and has been adopted by the City Task forces or Communities of Interest. These groups have been formed to address specific groups of issues and needs. Capital projects are prioritized in anticipation of systems being replaced as the systems reach maturity (i.e. lifecycle infrastructure planning).
3
A current strategic plan is not available. Focused planning efforts occur through the budget development process that includes long term capital needs. Some business strategies are identified, but the primary driver is technology.
2
Annual capital projects are reported through the budget process. Operating plans are based on the deployment of technology rather than business needs.
1
It is unclear as to where the final decision-making authority lies within the organization therefore there is no central planning responsibility or effort.
IT Education and Training Criteria
One of the frequently overlooked and clearly under funded areas of IT is education. In this case, we mean education of the technologist who delivers the technology and the training of the end user of the technology. Learning organizations have come to accept that great value is derived from improving the skills and talents of the employee population. The benefit of educating employees about their software is that all aspects of the software capabilities can be tapped rather using only a portion of a system’s capacity for productivity. Organizations that educate spend far less time trying to help employees ‘catch up’ while working.
Tier
6
IT Education and Training
Training and communication are supported by leading-edge concepts and techniques. Formal in-house career development on desktop software and on applications through formal accredited training positions;
5
IT governance issues at all levels are supported by formal training. Career oriented certification programs for a wide variety of technologists; also from on-the-job training credentials to the highest industry certifications. The technologists have a budget that targets specific professional needs for each individual.
4
Technologists and system users at all levels are supported by consistent and repeatable formal training. Specific, formal, technology education may not be planned for
technologists in the previous year’s budget, but is accessed ad hoc throughout the year. 3 There are sporadic training classes provided to system users throughout the year. Technologists receive limited training 2 There is no formal training and the communication on standard procedures and responsibilities is left to the individual. 1 Clerical staff have no formally-delivered technology skills; non-technical staff posses basic survival techniques. There is no training program for IT staff. The City relies upon “On the Job Training” for applications and desktop functionality.
IT Management Criteria
This category is a measure of the combination of individual maturity criteria at the performance level. Leading, communicating, and planning the processes and measures are together judged as the management function. It is the integration of all of these disciplines that produces the value of the management perspective. Tier
6
IT Management
IT is used in an extensive, integrated and optimized manner to strategically leverage technology in automating the workflow and providing tools that improve quality and effectiveness. Sophisticated approaches are uniformly applied to planning, organizing, directing, and controlling of all IT resources: Service-driven, customer-oriented IT organization with centralized infrastructure and distributed business services and investment program. The implementation of policies has led to an organization, people and processes that are quick to adapt and fully support IT governance requirements. Highly dynamic communications program throughout the enterprise including
collaborative online work groups and Communities of Interest. 5 Processes are occasionally improved and enforce best internal practices. Control practices are becoming increasingly transparent, flexible and scalable. Responsibilities are clear and process ownership is established. IT governance activities are becoming integrated with the enterprise governance process. There is involvement of all required internal domain experts. 4 Procedures have been standardized, documented and implemented. They are being communicated and informal training is established. Tools are standardized, using currently available techniques. IT specialists are involved in this formalization, but internal non-IT specialists participate only occasionally. 3 Management has identified basic IT governance measurements and assessment methods and techniques; however, the process has not been adopted across the organization. There is involvement of all required internal domain experts. 2 Management’s approach is chaotic and there is sporadic, inconsistent communication on issues and approaches to address them. 1 Information Technology (IT) support is administered at a clerical level and with the assistance of a contractor (who may also be an IT vendor) on a per call basis. The role of the senior IT person is to keep things functioning by having them repaired when needed. No one, other than a few clerical staff, is involved, typically passing along user requests for assistance to the vendor.
