OPE GA RE VI E W State-Wide Planning and State-Wide Planning and F INAL RE PORT Management of Information Management of Information Technology Technology JANUARY a r e port by 2006 the Offic e o f Pro g ra m E va lua tio n & Go ve rnme nt Ac c o unta b ility
About the Re vie w Slide 2 OPEGA Interim Report: State-Wide Information Systems Management
Purpo se ――――――――――――――――― OPE GA Se e ks to Answe r the Que stion… Is information technology (IT) being planned for and managed in a way that: • maximizes the effectiveness and efficiency of State government; and • keeps the State’s exposure to associated risks at an acceptable level? Slide 3 OPEGA Final Report: State-Wide Information Technology Management
Purpo se ――――――――――――――― OPE GA’ s re vie w wa s pe rfo rme d during the initia l pha se s o f OI T Co nso lida tio n. OPE GA/ JWI Risk Asse ssme nt Se pt-Nov ‘05 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q1 Q1 Q3 Q4 ‘05 ‘06 ‘06 ‘06 ‘06 ‘07 ‘07 ‘07 ‘07 ‘08 ‘08 ‘08 ‘08 ‘09 ‘09 ‘09 ‘10 ‘10 ‘10 ‘10 Inhe r ite d c ur r e nt c onditions F ully imple me nte d F r om pr e 2005 E nte r pr ise Or ganization Ne w OIT Manage me nt 2008 - 2010 te am hir e d Se pt ‘05 Slide 4 OPEGA Final Report: State-Wide Information Technology Management
Me tho ds ―――――――――――――――― To answer this question, OPEGA ……. • Co mb ine d hig h le ve l Be st Pra c tic e e va lua tio n with I T Risk Asse ssme nt • Co nduc te d re se a rc h o n: – Sta te ’ s histo ry re la te d to I T – Curre nt o rg a niza tio n a nd pla ns fo r I T – Ro le o f I T in g o ve rnme nt – Mo de ls a nd b e st pra c tic e s re la te d to the pla nning a nd ma na g e me nt o f I T in g o ve rnme nt • Pa rtne re d with c o ntra c te d te a m o f spe c ia lize d I T a udito rs to c o nduc t Risk Asse ssme nt Slide 5 OPEGA Final Report: State-Wide Information Technology Management
Me tho ds ―――――――――――――――― • Be st Pra c tic e Mo de ls we re tho se c o nsiste ntly ide ntifie d b y: – F e de ra l GAO a nd OMB – NASCI O – Custo me r Ma na g e me nt Co mmunity F o rum • OPE GA c o mpa re d c urre nt Sta te situa tio n a nd pla ns to mo de ls • Risk Asse ssme nt b a se d o n COBI T , a n industry sta nda rd fra me wo rk fo r I T risk ma na g e me nt • Risk Asse ssme nt to o k b ro a d surve y a ppro a c h invo lving 31 Sta te o rg a niza tio na l units Slide 6 OPEGA Final Report: State-Wide Information Technology Management
Wha t is a Risk Asse ssme nt? ――――― Government/Quality Objectives What are we trying to ac hie ve ? Hig h ike lihood Risk Risks or Threats to Achievement L o w What c o uld go wro ng? Ho w like ly is L it? What’s the po te ntial impac t? Risk Controls Impac t Ho w do we pre ve nt it, de te c t it o r re duc e its impac t? Exposure Is it Acceptable? What’s the like liho o d and impac t with c o ntro ls in plac e ? Slide 7 OPEGA Final Report: State-Wide Information Technology Management
Risk Asse ssme nt Re sults ――――― � JWI de live re d a de ta ile d re po rt o f the ir re sults to OPE GA in No ve mb e r 2005; re po rt b e c a me pa rt o f OPE GA’ s wo rking pa pe rs � De live ra b le s fro m JWI inc lude d de ta ile d Risk Ma trix a nd re c o mme nde d 3 ye a r a udit pla n � De ta ils we re sha re d with CI O & ke y sta ff; a lso sha re d with GOC a s I nte rim Re po rt � Re sults we re inte g ra te d with b e st pra c tic e s e va lua tio n to de ve lo p finding s/ o b se rva tio ns fo r this re po rt Slide 8 OPEGA Final Report: State-Wide Information Technology Management
Bac kgr ound Slide 9 OPEGA Interim Report: State-Wide Information Systems Management
in Go ve rnme nt ―――――― Ro le o f I T • L ike a ll o the r o rg a niza tio ns, g o ve rnme nt ha s b e c o me re lia nt o n I T • I T ha s b e c o me a func tio n o r “pro g ra m” tha t itse lf ne e ds to b e he ld a c c o unta b le to pub lic • I T pro vide s c ritic a l infra struc ture tha t must b e c a re fully de ve lo pe d, ma inta ine d a nd ma na g e d Slide 10 OPEGA Final Report: State-Wide Information Technology Management
―――――――――― Be st Pra c tic e s in I T I nstitutio na l Fig Figure 3 re 3. Re Relat lation onsh ship ip amon among g Mana Management nt Contro Controls, Peo , People, le, Proc Processes, and esses, and Techno chnolo logy gy pra c tic e s, tha t Modified from US GAO Modified from US GAO b ring to g e the r pe o ple , pro c e sse s a nd te c hno lo g y IT Human Capital to a c hie ve g o a ls, Management Organizational Structure se rve a s hig h- Management le ve l Peopl People Process Process ma na g e me nt c o ntro ls to Stra trategic Pl tegic Planning anning mitig a te I T risks. *Risk Management Business Continuity & Ma ine ’ s I T is *Knowledge Security Management Management imma ture in Fiscal Management *Enterprise Customer Architecture re g a rd to ma ny Relations Management Management o f the se *IT Investment Management pra c tic e s. *Be st pra c tic e mo de ls fo r the mo st unfa milia r Technol Te nology pra c tic e s a re disc usse d in re po rt. Slide 11 OPEGA Final Report: State-Wide Information Technology Management
in Ma ine ――――――― E vo lutio n o f I T • I T de ve lo pme nt in e nviro nme nt o f ra pid te c hno lo g y c ha ng e ; dra stic c ha ng e s in po lic y a nd ma nda te s • F e de ra l g o ve rnme nt funding o f I T g o e s dire c tly to Sta te a g e nc ie s to suppo rt spe c ific pro g ra ms • I mpe tus fo r ve rtic a l inte g ra tio n re sulte d in I T o pe ra tio ns “silo -e d” in e a c h Sta te a g e nc y; I T re so urc e de c isio ns ma de a t a g e nc y le ve l Figu Figure 4. IS In re 4. IS Integration tegration Vertical IS Silos Federal State Local Legislature Education DHHS DHHS Corrections Program Program Silos = Agency Data Arrows = IS Compatibility Slide 12 OPEGA Final Report: State-Wide Information Technology Management
in Ma ine ――――――― E vo lutio n o f I T • F ra g me nte d a ppro a c h ha s re sulte d in: – Curta ile d c a pa c ity to pe rfo rm c o re sta te -le ve l func tio ns – Unc o ntro lle d e xpe nditure o n unc o o rdina te d c o ntra c ts; la c k o f inve stme nt in I S infra struc ture – I ne ffic ie nc ie s, duplic a tio n o f e ffo rts, a nd misse d o ppo rtunitie s • F ra g me nte d a ppro a c h with re so urc e c o nstra ints ha s c re a te d I T c ulture o f “o pe ra tio na l e xpe die nc y” Slide 13 OPEGA Final Report: State-Wide Information Technology Management
in Ma ine ――――――― E vo lutio n o f I T • Ope ra tio na l e xpe die nc y ha s re sulte d in: – L a c k o f me a ning ful fina nc ia l a nd ma na g e me nt info rma tio n – No e nte rprise -wide stra te g ic pla nning fo r I T – L a c k o f sta nda rd, Sta te -wide pro je c t ma na g e me nt pro c e sse s – Ag e nc ie s c o nsta ntly re a c ting to I T c rise s – E xpe nsive re tro fitting o f ne w syste ms – We a k c he c ks a nd b a la nc e s in a c q uisitio ns a nd c o ntra c t o ve rsig ht – E mplo ye e s ha mpe re d b y o ut o f da te syste ms o r pro b le ma tic ne w o ne s Slide 14 OPEGA Final Report: State-Wide Information Technology Management
in Ma ine ――――――― E vo lutio n o f I T • De spite pro b le ms with fra g me nte d a ppro a c h, Ma ine ha s b e e n slo w to a do pt “e nte rprise ” a ppro a c h to I T • Atte mpts to c o o rdina te o r c e ntra lize so me I T func tio ns b ro ug ht so me suc c e sse s b ut ha ve no t b e e n fa r-re a c hing e no ug h • Pla nning fo r ma jo r tra nsfo rma tio n to e nte rprise a ppro a c h fina lly c o mme nc e d in 2003 with a ppo intme nt o f c urre nt CI O Slide 15 OPEGA Final Report: State-Wide Information Technology Management
in Ma ine ――――――― E vo lutio n o f I T • Re a l tra nsfo rma tio n b e g a n in 2005 with c o nso lida tio n o f E xe c utive b ra nc h I T into the Offic e o f I nfo rma tio n T e c hno lo g y unde r CI O • OI T c o nso lida tio n: – inte g ra te s re la tive ly inde pe nde nt I T “unive rse s” tha t ha d va rying re so urc e s a nd prio ritie s – mo ve s Sta te to wa rd I T struc ture tha t a llo ws pla nning & ma na g ing fro m a n “e nte rprise ” pe rspe c tive • E xpe c t 3-5 ye a rs b e fo re full b e ne fits a re re a lize d. Slide 16 OPEGA Final Report: State-Wide Information Technology Management
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