Transcript Enterprise IT Governance Framework for New York State

Institutionalizing Collaboration:
Challenges for the
21st Century Public CIO
Theresa A. Pardo
September 21, 2008
Corporate Leadership Council
National Association of Chief Information Officers
The Center for Technology in Government
Work with government to develop well-informed
strategies that foster innovation and enhance the
quality and coordination of public services. . .
. . . through applied research and partnership projects
that address the policy, management, and
technology dimensions of information use in the
public sector.
Research-Practice Partnerships
Practical
Problems of
Government
Practitioner skill
& knowledge
Academic skill
& knowledge
Improvements
in Practice
Venues for
Research
Layers of complexity
Organizational
setting
Work processes &
practices
Policy, program &
economic context
Tools
Our domain of interest
Policy
Management
Technology
The NASCIO Survey:
What does it tell us?
• How is the role of the CIO being viewed as a change
agent?
– Change Leader
• How will the role of the CIO change over the next 5 years?
– CIOs will evolve into a much stronger role overseeing IT policy
and operations
• What challenge is most impacting the ability of state CIOs
to develop more innovative technology solutions?
– Governance
– Politics
– Skill
42%
23%
23%
Why these results, why now?
• Why must the CIO be a change leader?
• Why is the role of the CIO changing to be
focused on policy and operational
responsibilities?
• Why is there such interest in new
governance capability?
Institutionalizing Collaboration
•
•
•
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Wicked and Tangled Problems.
The imperative for new governance capability
The Network as an Emerging Organizational Form
Information sharing as a cross-cutting issue for
Public CIO’s
– A quick look at the leadership tensions in the
networked WNV response efforts.
• Enterprise governance structures as the
mechanisms for institutionalizing collaboration.
Wicked Problems
• Pose broad and amorphous societal challenges,
such as “broken urban neighborhoods” or
“reforming public education.”
• Unstructured, cross-cutting, relentless problems.
• Little consensus exists about how to define them,
cause and effect are unclear, and attempts to solve
them often cause them to morph into different
problems. Weber and Khademian (2008)
Wicked Problems
• Associated with multiple diverse
stakeholders, high levels of
interdependence, competing values, and
social and political complexity.
• To top it off, they can sometimes be
mitigated, but they are never fully resolved.
Weber and Khademian (2008)
Tangled Problems
• Fall in the middle ground of a continuum of
complexity and tractability, between those
that are routine and well-understood at one
end and “wicked problems” at the other.
• In the space between registering a deed and
urban renewal.
Tangled Problems
• Plague the interconnected missions and
activities of organizations operating in the
same policy domain such as child welfare or
city planning, as well as from the
unintended consequences of interactions
across different policy domains or
professional perspectives.
Unprepared for the essentials
• Interoperability and transparency identified as “essential”
to the efforts of the member countries to “increase country
capacity in surveillance, early detection, diagnosis and
reporting of cases – both animal and human.”
• The cost of not being prepared to share information, to
coordinate our responses, and to work together, is well
understood, “If we are unprepared the next pandemic will
cause incalculable human misery.”
November 2007 meeting of the World Health Organization
Missed opportunities for
collaboration
•
A post-tsunami lessons learned report released by the
Government of Indonesia and the United Nations noted
the many missed opportunities for coordinated response
among national and international responders.
•
The consequence of this was a myriad of coordination
problems resulting in each responder providing what they
could based on an internal setting of priorities rather than
a shared understanding of needs.
Post-Tsunami Lessons Learned and Best Practices Workshop; Report and
Working Groups Output, Jakarta, Indonesia, May 2005, Government of
Indonesia, United Nations.
Weak systems for processing and
using information
• The 2004 bipartisan 9/11 Commission
Report emphasized that a weak system for
processing and using information is
stymieing the U.S. government’s ability in
leveraging the vast amount of information
it has access to.
National Commission on Terrorist Attacks on the United States The
9/11 Commission Report (Washington, D.C.: July 2004).
Chaos in our systems?
• “Criminals are protected by the chaos in our
systems.”
An Assistant District Attorney charged with integrated the 76
databases held by the DA’s office in her city.
Complexity and frequency of
future challenges
• “While we can't predict future challenges,
we know they will be there. We know they
will be difficult, surprising in complexity,
and growing in frequency and severity.”
A U.S. Local Government Public Health Official
Identifying the capability gap
• These kind of problems require a kind of crossunit, cross-agency, and cross-sectoral approach to
management that is
– ill-suited to conventional bureaucratic structures,
– perceived as risky to leaders and administrators within
them, and
– often alien in its needs for cooperation in a Madisonian
system predicated on competition rather than
cooperation. Wilson 1989
Changing landscape
• New organizational forms and interoperability
emerging as central to solution strategies.
• New political and program priorities
–
–
–
–
–
Transparency
Integrated service delivery
Public value
Regional and globalization
And more
Challenge for the 21st Century
Public Manager
• Navigating the transition to post-bureaucratic
forms of organizing as a way of filling the gap in
our ability to respond to the wicked and tangled
problems of our day.
• This navigation process requires the new
institutional capacity to work across the
boundaries of organizations, sectors, and
professions.
The transition
• As governments transition from cognitive
networks to structural networks they must
operate differently. Provan, 2006
– Cognitive networks – common goals, network
as interaction
– Structural networks – shared administrative
responsibility
History of Network Organizations
• 1946- Weber’s ideal bureaucracy: based on
the “principle of office hierarchy and levels
of graded authority”
• 1990- W.W. Powell introduced the network
organization as an alternative form of
economic organization that is separate from
market and hierarchy
Two Traditions in the
Study of Networks
• Tradition 1
– Emerges from policy studies literature and focuses on
collaboration among bureaucrats, interest groups, and
target populations for policy formulation and
implementation.
• Tradition 2
– Emerges from organizational studies literature and
investigates the use of non-hierarchical, non-market
forms of organization in the public sector as an
alternative to traditional bureaucracy.
Information and knowledge
sharing networks
• Emerging in an increasing number of program
and policy arenas.
• Differ from service delivery in that their
purpose is sharing information and knowledge
among participating organizations.
• They facilitate cross-program and crossfunctional coordination and support
communities of practice.
Information and knowledge
sharing networks
• New forms of public organization.
• Networks and bureaucracy co-exist and
interact (O’toole, 1997)
• Formal authority remains important.
• Other concepts - innovation, consensusbuilding, and risk taking - are equally
important.
As a consequence...
• Public managers are turning to information
sharing as a strategy for maximizing the
value of information in providing services,
responding to problems, measuring
performance, and engaging citizens.
Complexity revealed
• The more these strategies are pursued, the
more the complexity of cross boundary
information sharing is revealed.
• The level of changes required to create the
high-functioning cross-boundary capability
necessary as among the most complex.
Understanding cross-boundary
information sharing and integration
• No comprehensive definition of cross-boundary
information sharing and integration exists.
– “despite the widespread interest regarding the topic,
integration continues to be poorly conceptualized”
(Barki & Pinsonneault)
– integrated information systems “means different things
to different people in different contexts” (Harris, 2000).
• Current definitions tend to focus on social or
technical aspects.
Modeling the social and technical interactions
in cross-boundary information sharing
• An interdisciplinary study funded by the U.S. National
Science Foundation in 2002 to investigate two key
questions:
– What are the critical factors and processes involved in sharing
and integrating information across the boundaries of
organizations charged with providing government services?
– How do technical and social factors interact to influence the
effectiveness of cross-boundary information sharing and
integration in these contexts?
Why West Nile Virus?
West Nile Virus Spreads Across United States
2002
West Nile Virus Spreads Across United States
Managing public health in the U.S.
• Public health in most U.S. states is a local
government responsibility; primarily county-level
• The state primarily regulates delivery of these
services and provides support.
• Local governments
– New York has 57 counties – 33 of which have their own full-time
health services.
– Colorado has over 2,800 local governments – each able to operate
independently in terms of its systems and practices.
West Nile Virus in New York State
• First human cases reported in 1999.
• Existing (but previously unused) web-based
system was used to collect and provide access to
West Nile virus related case data.
• Network became the platform for sharing
mosquito, bird, mammal, and human data.
• Brought together animal and human public health
professionals unaccustomed to collaborating.
West Nile Virus in the State of Colorado
• First human cases reported in 2003
• County health departments responsible for
coordinating the response to the virus
• At the local level, the coordination of response
efforts relied heavily on a less formal or single
system.
West Nile Virus in the State of Colorado
• This ‘system of systems’ was comprised of
e-mail, phone, fax communications, and
geographic information systems
• Public and private sector human and animal
healthcare facilities and providers involved
Information Sharing Complexity Matrix
Program
Specific
Problem-solving
Inter-governmental
Inter-organizational
Organizational
Enterprise
Capacity
Building
A definition
• Cross-boundary information integration can
be conceptualized as a complex multidimensional phenomenon with four
components, which cover a continuum from
mostly social to mostly technical in nature.
Four components of cross-boundary
information sharing and integration
• Trusted Social Networks
– Networks of social actors who know each other and trust each
other.
• Shared Information
– Sharing of tacit and explicit knowledge in the form of formal
documents, informal talks, e-mail messages, faxes, etc.
• Integrated Data
– Integration of data at the level of data element standards and/or
industry/community data standards (e.g., XML).
• Interoperable Technical Infrastructure
– Systems that can communicate with each other at the
hardware/operating system level.
Leadership (as an example)
• Research and experience tells us leadership
matters.
• What we don’t know is how leaders make a
difference in the context of information
sharing and knowledge networks.
– What mechanisms do leaders use to effect
change in this context?
Executive
Involvement
Formal Authority
Informal
Leadership
Cross-Boundary
Information Sharing
Executive
Involvement
???
Formal Authority
???
???
Informal
Leadership
Cross-Boundary
Information Sharing
Mechanisms/Mediators
Leadership Variables
Dependent Variable
Boundary
Object Use
Appropriate
and Effective
Strategies
Informal
Leadership
Trust among
Key
Participants
Clarity of Roles
and
Responsibilities
Respect for
Autonomy of
Participating
Organizations
Executive
Involvement
Formal
Authority
Availability of
Financial
Resources
Cross-Boundary
Information
Sharing
Localized,
Episodic,
Problem
Solving
Willingness
to Participate
Localized,
Episodic,
Problem
Solving
Formal
Authority
Appropriate
and Effective
Strategies
Willingness to
Participate
CrossBoundary
Information
Sharing
Formal authority, appropriate and effective
strategies, and willingness to participate
• “Well, just recently, with the state getting all the
bioterrorism money, the state has basically forced people
into regions, whether they make sense to be regions or not.
• Now if this makes any sense to you as being a region but,
you know, that met their, they had some other thing
divided up that way and so they said, these will be your
bioterrorism regions. So, yes, we do have those. They're
sort of state-imposed; they're not natural, people who
naturally would necessarily be working together.”
•
A county-level public health manager in Colorado
Institutionalizing Collaboration
• Navigating the transition to postbureaucratic forms of organizing.
• Networks and bureaucracy co-exist and
interact (O’toole, 1997)
• Formal authority remains important.
• The role of Enterprise IT Governance
Striking the balance in Enterprise IT
Governance
Definitional Challenges
• What is governance?
• What is IT governance?
• What is the enterprise?
• Well defined in general, unclear in the
context of networks.
Components of Governance
•
•
•
•
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Members – roles and responsibilities
Authority
Scope
Process
Organizational structure
IT Governance
• IT Governance is specifying the decisions,
rights, and accountability framework to
encourage desirable behavior in the use of
IT. Governance answers the questions:
–
–
–
–
What decisions must be made?
Who should make these decisions?
How will decisions be made?
What is the process for monitoring results?
(Weill& Ross, 1999)
IT Governance Frameworks
• Emerging throughout the world.
• Most have limited applicability to the
network as enterprise.
• Context matters here as much as elsewhere,
maybe more.
IT Governance:
in the eye of the beholder
•
•
•
•
•
California
Florida
Kansas
Kentucky
Maine
•
•
•
•
•
Michigan
Minnesota
Pennsylvania
North Carolina
Virginia
What we learned ...
• The early focus of most states was on
cost savings
– new state-wide procurement and IT
consolidation efforts.
• Through use – it became clear this
focus was insufficient to meet the
goals of more broadly based
enterprise IT governance goals.
What we learned ...
• Most are using a mixture of frameworks
and structures.
• Most had central IT offices – some
provided IT services support, development
and management and others provided both
services and policy and planning.
• Most chose hybrid/federal structure.
What we learned ...
• Formalized structures within states were similar
– Most had advisory boards of some sort.
– Most variation found in composition, placement
within the hierarchy, and authority.
• Many use ‘coordination mechanisms’ to help
support their IT governance.
– External committees, councils, and boards
– Enterprise oriented offices, divisions or unites
– Communities of practices (those that come together
to solve a problem relevant to the community)
– Agency liaisons within central IT governance model
(re)Creating NYS
Enterprise IT Governance
Purpose
– To generate a set of recommendations for the design of
an enterprise IT governance framework for New York
State government.
Approach
– Engage CIO’s from NYS Agencies and Local
Government in needs analysis, prototyping, and
capability assessment process over the next 12 – 16
months.
The NYS IT governance domain
CS
OCIO
CIO Council
IT Investment
Board
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CSCIC
OGS
ATP
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OSC
Big e
DOB
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Little
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OCFS
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Procurement
Service Grp.
NYS
FMS
GOER
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OTDA
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Open
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NY
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DOL
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DOH
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DOH
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Challenges for the Public CIO
• The ones we know already
–
–
–
–
–
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Rapidly changing technology
Dynamic socioeconomic environment
IT workforce issues
Context matters
Public value argument
New and complex problems.
Challenges for the 21st Century
Public CIO
• How can a governance structure support the
effective operation of a network as an
enterprise?
• How to leverage political will toward the
institutional changes necessary for effective
enterprise governance?
• What is the Enterprise?
To meet the challenges of the
21st Century
• CIOs must be change leaders.
• The role of the CIO must be focused on
policy and operational responsibilities.
• Institutionalizing collaboration through
effective governance is central to our ability
to respond to the wicked and tangled
problems of government.
Institutionalizing Collaboration:
Challenges for the 21st Century CIO
Thank You!