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IT Governance
How to integrate IT into a mid-sized Enterprise
and ena e s perior a e rea on


        The control of

      IT Processes
       IT Processes
                              which satisfy

                            Business
                            Business
                          Requirements
                          Requirements
                                                       is enabled by

                                                     Control
                                                      Control
                                                    Statements
                                                    Statements
                                                                         considering

                                                                         Best
                                                                         Best
                                                                       Practices
                                                                       Practices



                    ¦›Ä—ƒ
                >     Why IT Governance is a powerful business tool.

                >      valua n the poten al for value crea on –
                      the Governance Scorecard.
                >        sin the Scorecard to i prove IT inte ra on.




                                  The Infology Group, Inc.
IT Governance
       PAGE 2



         owerful usiness Tool

    In a u er onsor u          survey         of co pany                     failin to deliver benefits.
e ecu ves s ll re arded Infor a on Technolo y IT as a
necessary evil the IT depart ent purely as a cost center or                       IT       G o v e r n a n c e. . .
worse.                                                                         Provides the structure that links IT processes, IT
                                                                               resources, and information to enterprise strategies and
    To the other     IT is already a source of benefits such
                                                                               objectives.
as enhanced reputa on trust product leadership         e-to-
  ar et reduced costs and ul ately sta eholder value.                          Integrates optimal ways of planning and organizing,
                                                                               acquiring and implementing, delivering and
These co panies re ard IT as an i portant value creator that                   supporting, and monitoring IT performance.
drives e ec veness increases e ciencies and elevates
                                                                               Enables the enterprise to take full advantage of its
co pe veness.
                                                                               information, thereby maximizing benefits capitalizing
                                                                               on opportunities, and gaining competitive advantage.
   This new state of a airs presents a fresh set of business                      IT Governance Institute
 ana e ent challen es.
    The IT depart ent has tradi onally been so ewhat                         The challen e is to inte rate the IT co    unity and the
separated fro the rest of the business o en repor n to                  control of IT in eneral into the fabric of the whole business
the inancial func on. re uently the business and IT                     not just isolated areas and to e tend corporate overnance
co    uni es e perience basic di culty in co   unica n                  to IT processes and ac vi es.
and in aintainin produc ve dialo s. Thus IT beco es                         What has been lac in so far is a co prehensive
disconnected fro the ainstrea of corporate overnance.                   perspec ve on the control of IT that would
      The price paid for this lac of inte ra on can be heavy
                                                                         >    rovide an a enda for evalua on prescrip on and
 > Wea ened co pe              ve posi on dissa sfied custo ers               applica on of i proved ana e ent processes.
   or business losses.
                                                                         >    stablish co    on round between the various
 > Lowered uality hi her costs and              issed deadlines.             co    uni es in the enterprise en a ed in the use and
 >       ciency and processes ne a vely i pacted by poor                     delivery of IT.
       uality of deliverables.                                           > Yield ilestones and oals for the advance ent of IT
 >     usiness ini a ves inade uately supported by IT and                  inte ra on into the whole business.
                                                                         >    e a pla or   for i proved IT overnance.
                             IT: Often Absent                           G v           c P vid      F c
           Corporate executives asked:Which subjects are
             included in your formal business strategy?                     IT Governance focuses ana e ent’s pursuit of cohesive
                                                                         oals across the IT and business func ons of the or ani a on.
                                                                              Good overnance endeavors to create har ony
        Product Strategy                                       51%
                                                                        between IT and the business ul ately leadin to a
     E-Business strategy                                    49%
                                                                        rela onship where IT and other business func ons adapt and
       Sales / marketing                                 43%
                                                                        collaborate in support of enterprise strate ies.
       Customer service                                  43%
                                                                            The ability to achieve and sustain this syner is c
     Competitive position                            38%
                                                                        rela onship between the IT and other business func ons is
                 IT's role                         35%
                                                                        anythin but easy.
             Source: Cutter Consortium, Arlington, Massachusetts             We find in id-si ed or ani a ons that achievin ood
               February 2002: Based on 75 Large Organizations
                                                                         overnance is evolu onary and dyna ic. It re uires stron
                                                           The Infology Group, Inc.
IT Governance
      PAGE 3



support fro        senior    ana e ent       ood wor in              the aps between business ris s control needs and
rela onships between func ons          stron    leadership           technical issues. It provides ood prac ces across a
appropriate     priori a on      trust     and     e ec ve
co                                                     "We believe by 2002-03, more than 30-40 percent
      unica on. ll based on a co prehensive understandin
                                                       of Global 2000 companies deploying new
of the underlyin business environ ent as well as deployed
and e er in technolo y capabili es.                    technologies and entering new markets with e-
                                                       products and services will have adopted a COBIT-
A w                                                    like risk assessment and balanced risk/reward
  Despite the si e of invest ents and ris s associated reporting process,"
with IT control and overnance of the do ain has not
                                                                          Al Passori, vice president, META Group.
 enerally received the level of a en on it deserves. erhaps
this is because it re uires ore technical insi ht; has its own       do ain and process fra ewor and presents ac vi es in
uni ue lan ua e; and is an inherently co ple subject                 a sound and lo ical structure.
  a in the co         unica on ap between IT and other
                                                                             IT is desi ned to be the brea throu h IT
co      uni es di cult to brid e.
                                                                      overnance tool that helps in understandin and
       owever the scale of the challen es and the poten al             ana in the ris s and benefits associated with
rewards of success in dealin with the are drivin a reat              infor a on and related IT. - SACA
deal of new research into the uni ue challen es of IT as a
                                                                     In its full co ple ity    IT addresses 34 hi h-level
  ana e ent discipline.      rofessional bodies      lar er
                                                                 process control objec ves robustly supported by an
enterprises do ain e perts and even acade ic ins tu ons
                                                                 addi onal 3 detailed process control objec ves.
con nually research how to be er ana e IT adop on and
invest ent.                                                              IT is     ore than just a delinea on of control
                                                                 objec ves. It is a co plete fra ewor for the crea on and
     So e es this involves        the re-tar e n of eneral
                                                                   aintenance of a syste        of processes and controls
  ana e ent techni ues.          en it involves a confusin
                                                                 appropriate to the business.
prolifera on of theories tools    and techni ues tar e n the
  any and varied ele ents of     IT ac vity but rarely ta in a   O      App      ch
holis c view of the proble .                                           s a fir Infolo y has always sou ht to provide id-
O      App     ch S    d O                                       si ed co panies with the advanta es nor ally reserved for
                                                                 the lar est and ost sophis cated enterprises. We adapt and
    In a crowded field the wor done by The Infor a on
                                                                 transfer the field tested e periences of lar e early adopter
Syste s udit and ontrol ssocia on IS            stands out.
                                                                 or ani a ons to the id-si ed ar etplace.
The IS     is a reco ni ed leader in IT overnance control
and assurance o erin ori inal resources to assist enterprise           or Governance wor we use        IT as the underpinnin
leaders in their responsibility to a e IT successful in          of fast-paced pra a c ini a ves a uned to the
suppor n the enterprise s ission and oals.                       or ani a onal and resource capabili es of our clients. We
                                                                 scale the     IT approach to the tas at hand usin its robust
COB T                                                            process base to ensure inte rity and best prac ce. We retain
     The ontrol bjec ves for Infor a on and related              all core a ributes to per it bench ar in between our
Technolo ies      IT ra ewor is a se inal wor which we           clients and other or ani a ons.
believe is a sound basis for a unified approach to IT
                                                                      or e ec ve         overnance to be i ple ented
perfor ance enhance ent. The         IT ra ewor is bein
                                                                 or ani a ons need to assess how well they are currently
for ally adopted by Global 2        co panies and is the
                                                                 perfor in and iden fy where and how i prove ents can
inspira on of related e orts by fir s such as Infolo y who
                                                                 be ade. This applies to both the overnance process itself
address the uni ue needs of id-si ed co panies.
                                                                 and to all the processes that need to be ana ed within IT.
          ontrol bjec ves for Infor a on and related
    Technolo y helps eet ana e ent needs by brid in

                                                    The Infology Group, Inc.
IT Governance
      PAGE 4



 The Governance Scorecard

Control                                        Process                  Maturity                     Levels
Categories                1. Without            2. Repeatable              3. Defined             4. Managed           5. Optimized
                       Business/IT Lack         Limited Business/IT     Good understand-        Bonding, unified       Informal, pervasive
1. Communication       Understanding            Understanding           ing

                       Some technical           Functional cost effi-   Some cost effective- Cost effective;    Extended to exter-
2. Metrics             measurements             ciency                  ness                 Some partner value nal partners

                       No formal process;       Tactical at function-   Relevant process        Managed across        Integrated across
3. Oversight           reactive priorities      al level                across organization     organization          organization
                       Conflict; IT a cost of IT emerging as as-        IT seen as asset;       IT enables / drives   IT & business
4. Partnership         doing business         set                       Process driver          business strategy     co-adaptive
                       Traditional office       Transaction             Integrated across       Integrated with       Evolve with partners
5. Technology          support                  (e.g., ESS, DSS)        the organization        partners
                       IT takes risk, little    Differs across func- Emerging as value          Shared risk & re-     Education/careers/
6. Human Resources reward; Technical            tional organizations service provider;          wards                 rewards across the
                       training                                      Balanced Hiring                                  organization
                                                                   Figure 1.

     The use of a scorecard reatly si plifies the tas of                  is chao c and there is only sporadic inconsistent
assess ent and i ple enta on. It provides a pra a c and                  co     unica on on issues and responses to issues. There ay
structured approach for easurin how well developed your                  be so e ac nowled e ent of the need to capture the
processes are a ainst a consistent and easy-to-understand                contribu on of IT to enterprise perfor ance. IT onitorin is
scale. sin a process aturity odel you can                                i ple ented reac vely to an incident that has caused so e
                                                                         loss or e barrass ent to the or ani a on.
 >    uild a perspec ve of current prac ces that is shared
     across internal and e ternal co   uni es.                                 Level or ani a ons are hi hly li ely to e perience
                                                                         si nificant IT under-perfor ance but have no way of
 > Set tar ets for future develop ents based on best
                                                                         addressin the subject.
   prac ces hi her up the scale.
                                                                               L v l2–      p     bl p c
 >    lan projects to reach those tar ets by definin the
     specific chan es re uired to i prove ana e ent.                           There is awareness of IT overnance issues. IT
                                                                          overnance ac vi es and perfor ance indicators are under
 >    riori e project wor by iden fyin where the reatest
                                                                         develop ent. Mana e ent has iden fied basic IT
     i pact will be ade ost easily.
                                                                          overnance easure ents and assess ent ethods and
      i ure     provides an overview of the adapted                      techni ues. owever the process has not been adopted
 overnance scorecard that we have adopted.                               across the or ani a on. There is no for al trainin and
P c          M     i yL v l                                              co    unica on on overnance standards and responsibili es
                                                                         are le to the individual. IT overnance ac vi es are
     The rocess Maturity Levels reflect the followin
                                                                         included in the or ani a on’s chan e ana e ent process
 eneral states of IT overnance
                                                                         with ac ve senior ana e ent involve ent and oversi ht.
      L v l 1 – wi h       p c
                                                                             Level 2 or ani a ons can be characteri ed as be innin
      rocesses are not applied at all or are ad hoc. The                 the overnance process. This ran in tends to reflect
or ani a on    ay not even reco ni e that there is a                     a ributes reali ed at local units or func onal roups within
 overnance issue to be addressed. Mana e ent’s approach
                                                           The Infology Group, Inc.
I Governan e
     PAGE 5




the overall enterprise. However, overall enterprise              pro ess etri s. All pro ess stakehol ers are aware of risks,
i prove ents re ain i          lt to a hieve. he poten al        the i portan e of I an the opport ni es it an o er. A on
opport nity is beginning to be re ognize .                       is taken in any, b t not all ases where pro esses appear
    Level 3—defined process                                       not to be working e e vely or e iently. Pro esses are
                                                                   p ate an best internal pra es are enfor e . Root a se
       he val e of I governan e is n erstoo an a epte .
                                                                 analysis is being stan ar ize . on n o s i prove ent is
A baseline set of I governan e in i ators is se , where
                                                                 beginning to be a resse . here is involve ent of all
linkages between o t o e           eas res an perfor an e
                                                                 re ire internal o ain e perts. I governan e evolves into
  rivers are efine , o       ente an integrate into strategi
                                                                 an enterprise-wi e pro ess an is be o ing integrate with
an      opera onal planning an            onitoring pro esses.
                                                                 enterprise governan e pro esses.
Pro e res are stan ar ize , o          ente an i ple ente .
Manage ent has o             ni ate stan ar ize pro e res              evel organiza ons a vely anage I Governan e, to
an infor al training is establishe . Perfor an e in i ators      reinfor e the on ept of I as a val e enter. evel
for all I governan e a vi es are being re or e an                organiza ons leverage I assets on an enterprise-wi e basis
tra ke , lea ing to enterprise-wi e i prove ents. Altho gh       an fo s appli a ons syste s on riving b siness pro ess
   eas rable, pro e res are not sophis ate .             is ng   enhan e ents to obtain s stainable o pe ve a vantage.
pra es are for alize . ools are stan ar ize , sing               A evel      organiza on views I as an innova ve an
   rrently available te hni es. It is, however, le to the        i agina ve strategi ontrib tor to s ess.
in ivi al to get training, to follow the stan ar s an to apply     Level 5 – op m ed process
the . Root a se analysis is o asionally applie . Most                here is visionary n erstan ing of I governan e iss es
pro esses are onitore against so e baseline etri s, b t          an sol ons. raining an o               ni a on is s pporte by
any evia on, while ostly being a te pon by in ivi al             lea ing e ge on epts an te hni es. Pro esses have been
ini a ve, wo l       nlikely be ete te by          anage ent.    refine to the level of e ternal best pra es, base on
Nevertheless, overall a o ntability of key pro ess               res lts of on n o s i prove ent an ben h arking with
perfor an e is lear an        anage ent is rewar e base on       other organiza ons. he i ple enta on of these prin iples
key perfor an e eas res.                                         has le to an organiza on, people an pro esses that are
      evel    organiza ons an be hara terize as having              i k to a apt an f lly s pport I governan e re ire ents.
establishe goo fo s on I Governan e. his level                   All proble s an       evia ons are root a se analyze . I is
 on entrates oversight, pro esses an o        ni a ons on          se in an e tensive, integrate an op ize             anner to
spe ifi b siness ob e ves. I is be o ing e be e in the            a to ate workflow an provi e tools to i prove ality an
b siness. evel leverages I assets on an enterprise-wi e          e e veness. he risks an ret rns of the I pro esses are
basis an appli a ons syste s e onstrate planne ,                   efine , balan e an o             ni ate a ross the enterprise.
  anage      ire on away fro        tra i onal transa on            ternal e perts are leverage an ben h arks are se for
pro essing to syste s that se infor a on to ake b siness         g i an e. Monitoring, an             o     ni a on abo t I
 e isions. he inter-organiza onal te hnology infrastr t re       Governan e e pe ta ons are pervasive an there is op al
evolves in partnership fashion.                                    se of te hnology to s pport            eas re ent, analysis,
    Level 4 – managed process                                     o       ni a on an training. nterprise an I governan e
                                                                 are strategi ally linke , leveraging te hnology an h an an
       here is f ll n erstan ing of I governan e iss es at all
                                                                 finan ial reso r es.
levels, s pporte by for al training. here is a lear
  n erstan ing of who the I        sto er is . Responsibili es         evel   organiza ons en oy op al I Governan e.
are efine an         onitore thro gh servi e level agree ents.    S staine governan e pro esses integrate the I strategi
I pro esses are aligne with the b siness an with the I           planning pro ess with the strategi b siness pro ess. evel
strategy. I prove ent in I pro esses is base pri arily           organiza ons leverage I assets on an enterprise-wi e basis
  pon a      an ta ve n erstan ing an it is possible to          to e ten the rea h of the available inter-organiza onal
   onitor an       eas re o plian e with pro e res an            infrastr t re into the s pply hains of        sto ers an
                                                    The Infology Group, Inc.
I Governan e
     PAGE 6



Control Categor es                                                organiza ons, in l ing I 's involve ent in efining b siness
                                                                  strategies, the      egree of tr st between the two
     here are si ontrol ategories, s pporte by thirty-
                                                                  organiza ons, an how ea h per eives the ontrib on of
eight riteria, that a ress I Governan e perfor an e.
                                                                  the other. Giving the I f n on the opport nity to have an
      Comm n ca on                                                e al role in efining b siness strategies is obvio sly
       he e hange of i eas, knowle ge an infor a on               i portant. How ea h organiza on per eives the ontrib on
a ong the I an b siness organiza ons, enabling both to            of the other, the tr st that evelops a ong the par ipants,
have a lear n erstan ing of the o pany's strategies,              ens ring appropriate b siness sponsors an ha pions of I
b siness an I environ ents, priori es an what          st be      en eavors, an the sharing of risks an rewar s are all a or
 one to a hieve the . e ve e hange of i eas an a lear              ontrib tors to at re governan e. his partnership sho l
 n erstan ing of what it takes to ens re s essf l strategies      evolve to a point where I both enables an rives hanges to
are high on the list of enablers an inhibitors to align ent.      both b siness pro esses an strategies.
 oo o en there is li le b siness awareness within I or li le           5 Technology
I appre ia on by the b siness. Given the yna i
                                                                        he e tent to whi h I provi es appropriate an
environ ent in whi h ost organiza ons fin the selves,
                                                                  a aptable syste s an servi es in s pport of the evolving
ens ring ongoing knowle ge sharing a ross organiza ons is
                                                                  nee s of the b siness. his set of riteria ten s to assess
para o nt. Many fir s hoose to raw on liaisons to
                                                                  infor a on te hnology at rity. he e tent to whi h I is
fa ilitate this knowle ge sharing.
                                                                  able to:
    2 Metr cs
                                                                  >    Go beyon the ba k o e an the front o e of the
       he se of eas res that e onstrate the ontrib on
                                                                       organiza on
of I reso r es to the b siness, in ter s that the b siness
                                                                  >    Ass e a role s ppor ng a fle ible infrastr t re that is
  n erstan s an a epts. oo any I organiza ons annot
                                                                       transparent to all b siness partners an sto ers
  e onstrate their val e to the b siness in fa iliar ter s.
                                                                  >     val ate an apply e erging te hnologies e e vely
Fre ently b siness an I val e etri s i er. Servi e levels
                                                                  >     nable or rive b siness pro esses an strategies as a
that assess I 's o     it ents to the b siness have to be
                                                                       tr e stan ar an
e presse in ter s that the b siness n erstan s an
                                                                  >    Provi e sol ons sto izable to sto er an ven or
a epts. he servi e levels sho l be e to riteria that
                                                                       nee s.
 learly efine the rewar s an penal es for s rpassing or
   issing the ob e ves. Fre ently organiza ons evote                   6 H man Reso rces
signifi ant reso r es to      eas ring perfor an e fa tors.              his in l es pra es s h as training, perfor an e
However, they spen        h less of their reso r es on taking     fee ba k, en o raging innova on an provi ing areer
a on base on these eas re ents.                                   opport ni es, as well as the I organiza on's rea iness for
    3 Overs ght                                                    hange, apability for learning an ability to leverage new
                                                                  i eas. Skills in l e all of the h an reso r e onsi era ons
      he egree to whi h the a thority for         aking I
                                                                  for the organiza on. Going beyon            the tra i onal
 e isions is efine an share a ong anage ent, an the
                                                                   onsi era ons s h as training, salary, perfor an e
pro esses anagers, in both I an b siness organiza ons,
                                                                  fee ba k, an areer opport ni es, are fa tors that in l e
apply in se ng I priori es an the allo a on of I reso r es.
                                                                  the organiza on's lt ral an so ial environ ent. Is the
 ns ring that the appropriate b siness an I par ipants
                                                                  organiza on rea y for hange in this yna i environ ent
for ally is ss an review the priori es an allo a on of I
                                                                  Do in ivi als feel personally responsible for b siness
reso r es is a ong the ost i portant enablers/inhibitors of
                                                                  innova on an in ivi als an organiza ons learn         i kly
align ent. his e ision- aking a thority nee s to be learly
                                                                  fro    their e perien e Does the organiza on leverage
 efine .
                                                                  innova ve i eas an the spirit of entreprene rship hese
    4 Partnersh p                                                 are so e of the i portant on i ons of op ize
     he   rela onship   between     the   b siness    an     I    organiza ons.

                                                     The Infology Group, Inc.
I Governan e
     PAGE 7



 Using he S ore ar
  We have a opte a seven-step approa h that fo ses on              at rity level of the organiza on's governan e an how the
 n erstan ing eval a on riteria,    a i izing pro ess            organiza on an best pro ee .
enablers, an  ini izing inhibitors.                                   4   naly e and pr or   e gaps
        Set the goals and establ sh a team                             he tea      st re e ber that the p rpose of this step is
      ns re that there is an e e    ve b siness sponsor an       to i en fy a vi es that will i prove siness-I integra on.
 ha pion for the assess ent. Ne t, assign a tea of both          On e it is n erstoo that the i erent opinions hel by the
b siness an        I     lea ers. Obtaining appropriate          par ipants refle t the opport ni es for i prove ent, the
representa ves fro        the    a or b siness f n onal          gro p agrees on ranking. he gaps between where the
organiza ons: Marke ng, Finan e, R D, Man fa t ring an           organiza on is to ay an where the tea believes it sho l
Distrib on is ri al to the s ess of the assess ent. he           be in the f t re are priori ze a er onsi era on of val e to
p rpose of the tea is to fairly s ore the I Governan e           the b siness an ease of o ple on.
ranking. On e the pro ess is n erstoo , the tea           is          5 Spec y ac ons
e pe te to efine opport ni es for enhan ing the
                                                                       he priori ze list of gaps will rive fo s on spe ifi
har onio s rela onship of b siness an I .
                                                                 a ons.      il a governan e roa ap with learly efine
    2 Understand the b s ness-IT l nkage                          eliverables, ownership,     efra es, reso r es, risks, an
      he I Governan e S ore ar is an i portant tool in             eas re ents for ea h of the priori ze gaps.
 n erstan ing the b siness-I linkage. he tea eval ates                6 Choose and eval ate s ccess cr ter a
ea h of the si riteria. A traine fa ilitator an be val able in
                                                                       his step ne essitates revisi ng the goals an reg larly
g i ing the i portant is ssions.
                                                                  is ssing the eas re ent riteria se to eval ate the
    3 Complete the scorecard                                     i ple enta on of the roa ap pro e ts. he review of the
      he e ort epen s on the n ber of par ipants, the              eas re ents sho l serve as a learning vehi le to
presen e of an e perien e fa ilitator, the egree of               n erstan how an why the ob e ves are or are not being
 onsens s re ire , an the level of etail of the                    et.
re o     en a ons. a h of the riteria is assesse in ivi ally          7 S sta n mprovement
by a tea of I an b siness nit e e        ves to eter ine the
                                                                      So e proble s st won't go away. Why are so any of
ranking. he s ore ar per its any riterion to be allo ate
                                                                 the inhibitors I relate     his last step in the pro ess is o en
to two or ore rankings if there is an overall re ogni on that
                                                                 the ost i        lt. o s stain the benefit fro I , a "S staine
the organiza on tr ly has an neven perfor an e. While the
                                                                 I prove ent ehavior"          st be evelope an          l vate .
s ore ar an ipates ea h riterion, within a ontrol
                                                                   y a op ng s h behavior, o panies an in rease the
 ategory, will be e ally weighte , the tea        an agree to
                                                                 poten al for a ore appropriate level of I Governan e an
  o ify the weigh ng. he overall ranking is al late sing
                                                                 reinfor e their ability to gain b siness val e fro             I
the ategory weigh ngs. hese have been preset sing
                                                                 invest ents. Hen e, on n o sly i proving I governan e
fee ba k fro      any sers of the s ore ar , b t an be
                                                                 stan ar s to i prove I integra on is key.
  o ifie . Generally, it is the is ssions that ens e ring
the pro ess that pro ote n erstan ing of both the rrent

    The o om L ne
     Fo s on I Governan e an raise the val e of I to a higher level. We believe i -size o panies sho l strive to a ain
an overall s ore ar ranking in the range of 2.8 to . with so e perfor an e riteria rea hing evel perfor an e. Infology
  oes not believe that i -size o panies an erive s           ient benefit fro an overall evel or ranking to s fy the
invest ent re ire to a hieve the res lt. O r prag a approa h provi es signifi ant i prove ent with       ely ret rn on
invest ent, while working in a fra ework g i ing the strategi ire on for f t re i prove ents.

                                                    The Infology Group, Inc.
I Governan e
How to integrate IT into a mid-sized Enterprise
and ena e s perior a e rea on

  y: Greg Torski




The In ology Gro p, Inc
  Ko aya R
Waban, MA 02 68

PH: 617.8 1.80 1

 MAI : Info@InfologyGro p. o
W : www.InfologyGro p. o

© 2006—2011. All rights Reserve .


Acknowledgements:

This white paper builds on a body of work which Infology uses to assess and improve IT performance through
IT Governance.


Control Objectives for Information and related Technologies (COBIT) Framework © 2001 by Information Systems Audit
and Control Association (www.isaca.org) and it’s subsidiary the IT Governance Institute (www.itgovernance.org).




                                                 The Infology Group, Inc.

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IT Governance Briefing

  • 1. IT Governance How to integrate IT into a mid-sized Enterprise and ena e s perior a e rea on The control of IT Processes IT Processes which satisfy Business Business Requirements Requirements is enabled by Control Control Statements Statements considering Best Best Practices Practices ¦›Ä—ƒ > Why IT Governance is a powerful business tool. > valua n the poten al for value crea on – the Governance Scorecard. > sin the Scorecard to i prove IT inte ra on. The Infology Group, Inc.
  • 2. IT Governance PAGE 2 owerful usiness Tool In a u er onsor u survey of co pany failin to deliver benefits. e ecu ves s ll re arded Infor a on Technolo y IT as a necessary evil the IT depart ent purely as a cost center or IT G o v e r n a n c e. . . worse. Provides the structure that links IT processes, IT resources, and information to enterprise strategies and To the other IT is already a source of benefits such objectives. as enhanced reputa on trust product leadership e-to- ar et reduced costs and ul ately sta eholder value. Integrates optimal ways of planning and organizing, acquiring and implementing, delivering and These co panies re ard IT as an i portant value creator that supporting, and monitoring IT performance. drives e ec veness increases e ciencies and elevates Enables the enterprise to take full advantage of its co pe veness. information, thereby maximizing benefits capitalizing on opportunities, and gaining competitive advantage. This new state of a airs presents a fresh set of business IT Governance Institute ana e ent challen es. The IT depart ent has tradi onally been so ewhat The challen e is to inte rate the IT co unity and the separated fro the rest of the business o en repor n to control of IT in eneral into the fabric of the whole business the inancial func on. re uently the business and IT not just isolated areas and to e tend corporate overnance co uni es e perience basic di culty in co unica n to IT processes and ac vi es. and in aintainin produc ve dialo s. Thus IT beco es What has been lac in so far is a co prehensive disconnected fro the ainstrea of corporate overnance. perspec ve on the control of IT that would The price paid for this lac of inte ra on can be heavy > rovide an a enda for evalua on prescrip on and > Wea ened co pe ve posi on dissa sfied custo ers applica on of i proved ana e ent processes. or business losses. > stablish co on round between the various > Lowered uality hi her costs and issed deadlines. co uni es in the enterprise en a ed in the use and > ciency and processes ne a vely i pacted by poor delivery of IT. uality of deliverables. > Yield ilestones and oals for the advance ent of IT > usiness ini a ves inade uately supported by IT and inte ra on into the whole business. > e a pla or for i proved IT overnance. IT: Often Absent G v c P vid F c Corporate executives asked:Which subjects are included in your formal business strategy? IT Governance focuses ana e ent’s pursuit of cohesive oals across the IT and business func ons of the or ani a on. Good overnance endeavors to create har ony Product Strategy 51% between IT and the business ul ately leadin to a E-Business strategy 49% rela onship where IT and other business func ons adapt and Sales / marketing 43% collaborate in support of enterprise strate ies. Customer service 43% The ability to achieve and sustain this syner is c Competitive position 38% rela onship between the IT and other business func ons is IT's role 35% anythin but easy. Source: Cutter Consortium, Arlington, Massachusetts We find in id-si ed or ani a ons that achievin ood February 2002: Based on 75 Large Organizations overnance is evolu onary and dyna ic. It re uires stron The Infology Group, Inc.
  • 3. IT Governance PAGE 3 support fro senior ana e ent ood wor in the aps between business ris s control needs and rela onships between func ons stron leadership technical issues. It provides ood prac ces across a appropriate priori a on trust and e ec ve co "We believe by 2002-03, more than 30-40 percent unica on. ll based on a co prehensive understandin of Global 2000 companies deploying new of the underlyin business environ ent as well as deployed and e er in technolo y capabili es. technologies and entering new markets with e- products and services will have adopted a COBIT- A w like risk assessment and balanced risk/reward Despite the si e of invest ents and ris s associated reporting process," with IT control and overnance of the do ain has not Al Passori, vice president, META Group. enerally received the level of a en on it deserves. erhaps this is because it re uires ore technical insi ht; has its own do ain and process fra ewor and presents ac vi es in uni ue lan ua e; and is an inherently co ple subject a sound and lo ical structure. a in the co unica on ap between IT and other IT is desi ned to be the brea throu h IT co uni es di cult to brid e. overnance tool that helps in understandin and owever the scale of the challen es and the poten al ana in the ris s and benefits associated with rewards of success in dealin with the are drivin a reat infor a on and related IT. - SACA deal of new research into the uni ue challen es of IT as a In its full co ple ity IT addresses 34 hi h-level ana e ent discipline. rofessional bodies lar er process control objec ves robustly supported by an enterprises do ain e perts and even acade ic ins tu ons addi onal 3 detailed process control objec ves. con nually research how to be er ana e IT adop on and invest ent. IT is ore than just a delinea on of control objec ves. It is a co plete fra ewor for the crea on and So e es this involves the re-tar e n of eneral aintenance of a syste of processes and controls ana e ent techni ues. en it involves a confusin appropriate to the business. prolifera on of theories tools and techni ues tar e n the any and varied ele ents of IT ac vity but rarely ta in a O App ch holis c view of the proble . s a fir Infolo y has always sou ht to provide id- O App ch S d O si ed co panies with the advanta es nor ally reserved for the lar est and ost sophis cated enterprises. We adapt and In a crowded field the wor done by The Infor a on transfer the field tested e periences of lar e early adopter Syste s udit and ontrol ssocia on IS stands out. or ani a ons to the id-si ed ar etplace. The IS is a reco ni ed leader in IT overnance control and assurance o erin ori inal resources to assist enterprise or Governance wor we use IT as the underpinnin leaders in their responsibility to a e IT successful in of fast-paced pra a c ini a ves a uned to the suppor n the enterprise s ission and oals. or ani a onal and resource capabili es of our clients. We scale the IT approach to the tas at hand usin its robust COB T process base to ensure inte rity and best prac ce. We retain The ontrol bjec ves for Infor a on and related all core a ributes to per it bench ar in between our Technolo ies IT ra ewor is a se inal wor which we clients and other or ani a ons. believe is a sound basis for a unified approach to IT or e ec ve overnance to be i ple ented perfor ance enhance ent. The IT ra ewor is bein or ani a ons need to assess how well they are currently for ally adopted by Global 2 co panies and is the perfor in and iden fy where and how i prove ents can inspira on of related e orts by fir s such as Infolo y who be ade. This applies to both the overnance process itself address the uni ue needs of id-si ed co panies. and to all the processes that need to be ana ed within IT. ontrol bjec ves for Infor a on and related Technolo y helps eet ana e ent needs by brid in The Infology Group, Inc.
  • 4. IT Governance PAGE 4 The Governance Scorecard Control Process Maturity Levels Categories 1. Without 2. Repeatable 3. Defined 4. Managed 5. Optimized Business/IT Lack Limited Business/IT Good understand- Bonding, unified Informal, pervasive 1. Communication Understanding Understanding ing Some technical Functional cost effi- Some cost effective- Cost effective; Extended to exter- 2. Metrics measurements ciency ness Some partner value nal partners No formal process; Tactical at function- Relevant process Managed across Integrated across 3. Oversight reactive priorities al level across organization organization organization Conflict; IT a cost of IT emerging as as- IT seen as asset; IT enables / drives IT & business 4. Partnership doing business set Process driver business strategy co-adaptive Traditional office Transaction Integrated across Integrated with Evolve with partners 5. Technology support (e.g., ESS, DSS) the organization partners IT takes risk, little Differs across func- Emerging as value Shared risk & re- Education/careers/ 6. Human Resources reward; Technical tional organizations service provider; wards rewards across the training Balanced Hiring organization Figure 1. The use of a scorecard reatly si plifies the tas of is chao c and there is only sporadic inconsistent assess ent and i ple enta on. It provides a pra a c and co unica on on issues and responses to issues. There ay structured approach for easurin how well developed your be so e ac nowled e ent of the need to capture the processes are a ainst a consistent and easy-to-understand contribu on of IT to enterprise perfor ance. IT onitorin is scale. sin a process aturity odel you can i ple ented reac vely to an incident that has caused so e loss or e barrass ent to the or ani a on. > uild a perspec ve of current prac ces that is shared across internal and e ternal co uni es. Level or ani a ons are hi hly li ely to e perience si nificant IT under-perfor ance but have no way of > Set tar ets for future develop ents based on best addressin the subject. prac ces hi her up the scale. L v l2– p bl p c > lan projects to reach those tar ets by definin the specific chan es re uired to i prove ana e ent. There is awareness of IT overnance issues. IT overnance ac vi es and perfor ance indicators are under > riori e project wor by iden fyin where the reatest develop ent. Mana e ent has iden fied basic IT i pact will be ade ost easily. overnance easure ents and assess ent ethods and i ure provides an overview of the adapted techni ues. owever the process has not been adopted overnance scorecard that we have adopted. across the or ani a on. There is no for al trainin and P c M i yL v l co unica on on overnance standards and responsibili es are le to the individual. IT overnance ac vi es are The rocess Maturity Levels reflect the followin included in the or ani a on’s chan e ana e ent process eneral states of IT overnance with ac ve senior ana e ent involve ent and oversi ht. L v l 1 – wi h p c Level 2 or ani a ons can be characteri ed as be innin rocesses are not applied at all or are ad hoc. The the overnance process. This ran in tends to reflect or ani a on ay not even reco ni e that there is a a ributes reali ed at local units or func onal roups within overnance issue to be addressed. Mana e ent’s approach The Infology Group, Inc.
  • 5. I Governan e PAGE 5 the overall enterprise. However, overall enterprise pro ess etri s. All pro ess stakehol ers are aware of risks, i prove ents re ain i lt to a hieve. he poten al the i portan e of I an the opport ni es it an o er. A on opport nity is beginning to be re ognize . is taken in any, b t not all ases where pro esses appear Level 3—defined process not to be working e e vely or e iently. Pro esses are p ate an best internal pra es are enfor e . Root a se he val e of I governan e is n erstoo an a epte . analysis is being stan ar ize . on n o s i prove ent is A baseline set of I governan e in i ators is se , where beginning to be a resse . here is involve ent of all linkages between o t o e eas res an perfor an e re ire internal o ain e perts. I governan e evolves into rivers are efine , o ente an integrate into strategi an enterprise-wi e pro ess an is be o ing integrate with an opera onal planning an onitoring pro esses. enterprise governan e pro esses. Pro e res are stan ar ize , o ente an i ple ente . Manage ent has o ni ate stan ar ize pro e res evel organiza ons a vely anage I Governan e, to an infor al training is establishe . Perfor an e in i ators reinfor e the on ept of I as a val e enter. evel for all I governan e a vi es are being re or e an organiza ons leverage I assets on an enterprise-wi e basis tra ke , lea ing to enterprise-wi e i prove ents. Altho gh an fo s appli a ons syste s on riving b siness pro ess eas rable, pro e res are not sophis ate . is ng enhan e ents to obtain s stainable o pe ve a vantage. pra es are for alize . ools are stan ar ize , sing A evel organiza on views I as an innova ve an rrently available te hni es. It is, however, le to the i agina ve strategi ontrib tor to s ess. in ivi al to get training, to follow the stan ar s an to apply Level 5 – op m ed process the . Root a se analysis is o asionally applie . Most here is visionary n erstan ing of I governan e iss es pro esses are onitore against so e baseline etri s, b t an sol ons. raining an o ni a on is s pporte by any evia on, while ostly being a te pon by in ivi al lea ing e ge on epts an te hni es. Pro esses have been ini a ve, wo l nlikely be ete te by anage ent. refine to the level of e ternal best pra es, base on Nevertheless, overall a o ntability of key pro ess res lts of on n o s i prove ent an ben h arking with perfor an e is lear an anage ent is rewar e base on other organiza ons. he i ple enta on of these prin iples key perfor an e eas res. has le to an organiza on, people an pro esses that are evel organiza ons an be hara terize as having i k to a apt an f lly s pport I governan e re ire ents. establishe goo fo s on I Governan e. his level All proble s an evia ons are root a se analyze . I is on entrates oversight, pro esses an o ni a ons on se in an e tensive, integrate an op ize anner to spe ifi b siness ob e ves. I is be o ing e be e in the a to ate workflow an provi e tools to i prove ality an b siness. evel leverages I assets on an enterprise-wi e e e veness. he risks an ret rns of the I pro esses are basis an appli a ons syste s e onstrate planne , efine , balan e an o ni ate a ross the enterprise. anage ire on away fro tra i onal transa on ternal e perts are leverage an ben h arks are se for pro essing to syste s that se infor a on to ake b siness g i an e. Monitoring, an o ni a on abo t I e isions. he inter-organiza onal te hnology infrastr t re Governan e e pe ta ons are pervasive an there is op al evolves in partnership fashion. se of te hnology to s pport eas re ent, analysis, Level 4 – managed process o ni a on an training. nterprise an I governan e are strategi ally linke , leveraging te hnology an h an an here is f ll n erstan ing of I governan e iss es at all finan ial reso r es. levels, s pporte by for al training. here is a lear n erstan ing of who the I sto er is . Responsibili es evel organiza ons en oy op al I Governan e. are efine an onitore thro gh servi e level agree ents. S staine governan e pro esses integrate the I strategi I pro esses are aligne with the b siness an with the I planning pro ess with the strategi b siness pro ess. evel strategy. I prove ent in I pro esses is base pri arily organiza ons leverage I assets on an enterprise-wi e basis pon a an ta ve n erstan ing an it is possible to to e ten the rea h of the available inter-organiza onal onitor an eas re o plian e with pro e res an infrastr t re into the s pply hains of sto ers an The Infology Group, Inc.
  • 6. I Governan e PAGE 6 Control Categor es organiza ons, in l ing I 's involve ent in efining b siness strategies, the egree of tr st between the two here are si ontrol ategories, s pporte by thirty- organiza ons, an how ea h per eives the ontrib on of eight riteria, that a ress I Governan e perfor an e. the other. Giving the I f n on the opport nity to have an Comm n ca on e al role in efining b siness strategies is obvio sly he e hange of i eas, knowle ge an infor a on i portant. How ea h organiza on per eives the ontrib on a ong the I an b siness organiza ons, enabling both to of the other, the tr st that evelops a ong the par ipants, have a lear n erstan ing of the o pany's strategies, ens ring appropriate b siness sponsors an ha pions of I b siness an I environ ents, priori es an what st be en eavors, an the sharing of risks an rewar s are all a or one to a hieve the . e ve e hange of i eas an a lear ontrib tors to at re governan e. his partnership sho l n erstan ing of what it takes to ens re s essf l strategies evolve to a point where I both enables an rives hanges to are high on the list of enablers an inhibitors to align ent. both b siness pro esses an strategies. oo o en there is li le b siness awareness within I or li le 5 Technology I appre ia on by the b siness. Given the yna i he e tent to whi h I provi es appropriate an environ ent in whi h ost organiza ons fin the selves, a aptable syste s an servi es in s pport of the evolving ens ring ongoing knowle ge sharing a ross organiza ons is nee s of the b siness. his set of riteria ten s to assess para o nt. Many fir s hoose to raw on liaisons to infor a on te hnology at rity. he e tent to whi h I is fa ilitate this knowle ge sharing. able to: 2 Metr cs > Go beyon the ba k o e an the front o e of the he se of eas res that e onstrate the ontrib on organiza on of I reso r es to the b siness, in ter s that the b siness > Ass e a role s ppor ng a fle ible infrastr t re that is n erstan s an a epts. oo any I organiza ons annot transparent to all b siness partners an sto ers e onstrate their val e to the b siness in fa iliar ter s. > val ate an apply e erging te hnologies e e vely Fre ently b siness an I val e etri s i er. Servi e levels > nable or rive b siness pro esses an strategies as a that assess I 's o it ents to the b siness have to be tr e stan ar an e presse in ter s that the b siness n erstan s an > Provi e sol ons sto izable to sto er an ven or a epts. he servi e levels sho l be e to riteria that nee s. learly efine the rewar s an penal es for s rpassing or issing the ob e ves. Fre ently organiza ons evote 6 H man Reso rces signifi ant reso r es to eas ring perfor an e fa tors. his in l es pra es s h as training, perfor an e However, they spen h less of their reso r es on taking fee ba k, en o raging innova on an provi ing areer a on base on these eas re ents. opport ni es, as well as the I organiza on's rea iness for 3 Overs ght hange, apability for learning an ability to leverage new i eas. Skills in l e all of the h an reso r e onsi era ons he egree to whi h the a thority for aking I for the organiza on. Going beyon the tra i onal e isions is efine an share a ong anage ent, an the onsi era ons s h as training, salary, perfor an e pro esses anagers, in both I an b siness organiza ons, fee ba k, an areer opport ni es, are fa tors that in l e apply in se ng I priori es an the allo a on of I reso r es. the organiza on's lt ral an so ial environ ent. Is the ns ring that the appropriate b siness an I par ipants organiza on rea y for hange in this yna i environ ent for ally is ss an review the priori es an allo a on of I Do in ivi als feel personally responsible for b siness reso r es is a ong the ost i portant enablers/inhibitors of innova on an in ivi als an organiza ons learn i kly align ent. his e ision- aking a thority nee s to be learly fro their e perien e Does the organiza on leverage efine . innova ve i eas an the spirit of entreprene rship hese 4 Partnersh p are so e of the i portant on i ons of op ize he rela onship between the b siness an I organiza ons. The Infology Group, Inc.
  • 7. I Governan e PAGE 7 Using he S ore ar We have a opte a seven-step approa h that fo ses on at rity level of the organiza on's governan e an how the n erstan ing eval a on riteria, a i izing pro ess organiza on an best pro ee . enablers, an ini izing inhibitors. 4 naly e and pr or e gaps Set the goals and establ sh a team he tea st re e ber that the p rpose of this step is ns re that there is an e e ve b siness sponsor an to i en fy a vi es that will i prove siness-I integra on. ha pion for the assess ent. Ne t, assign a tea of both On e it is n erstoo that the i erent opinions hel by the b siness an I lea ers. Obtaining appropriate par ipants refle t the opport ni es for i prove ent, the representa ves fro the a or b siness f n onal gro p agrees on ranking. he gaps between where the organiza ons: Marke ng, Finan e, R D, Man fa t ring an organiza on is to ay an where the tea believes it sho l Distrib on is ri al to the s ess of the assess ent. he be in the f t re are priori ze a er onsi era on of val e to p rpose of the tea is to fairly s ore the I Governan e the b siness an ease of o ple on. ranking. On e the pro ess is n erstoo , the tea is 5 Spec y ac ons e pe te to efine opport ni es for enhan ing the he priori ze list of gaps will rive fo s on spe ifi har onio s rela onship of b siness an I . a ons. il a governan e roa ap with learly efine 2 Understand the b s ness-IT l nkage eliverables, ownership, efra es, reso r es, risks, an he I Governan e S ore ar is an i portant tool in eas re ents for ea h of the priori ze gaps. n erstan ing the b siness-I linkage. he tea eval ates 6 Choose and eval ate s ccess cr ter a ea h of the si riteria. A traine fa ilitator an be val able in his step ne essitates revisi ng the goals an reg larly g i ing the i portant is ssions. is ssing the eas re ent riteria se to eval ate the 3 Complete the scorecard i ple enta on of the roa ap pro e ts. he review of the he e ort epen s on the n ber of par ipants, the eas re ents sho l serve as a learning vehi le to presen e of an e perien e fa ilitator, the egree of n erstan how an why the ob e ves are or are not being onsens s re ire , an the level of etail of the et. re o en a ons. a h of the riteria is assesse in ivi ally 7 S sta n mprovement by a tea of I an b siness nit e e ves to eter ine the So e proble s st won't go away. Why are so any of ranking. he s ore ar per its any riterion to be allo ate the inhibitors I relate his last step in the pro ess is o en to two or ore rankings if there is an overall re ogni on that the ost i lt. o s stain the benefit fro I , a "S staine the organiza on tr ly has an neven perfor an e. While the I prove ent ehavior" st be evelope an l vate . s ore ar an ipates ea h riterion, within a ontrol y a op ng s h behavior, o panies an in rease the ategory, will be e ally weighte , the tea an agree to poten al for a ore appropriate level of I Governan e an o ify the weigh ng. he overall ranking is al late sing reinfor e their ability to gain b siness val e fro I the ategory weigh ngs. hese have been preset sing invest ents. Hen e, on n o sly i proving I governan e fee ba k fro any sers of the s ore ar , b t an be stan ar s to i prove I integra on is key. o ifie . Generally, it is the is ssions that ens e ring the pro ess that pro ote n erstan ing of both the rrent The o om L ne Fo s on I Governan e an raise the val e of I to a higher level. We believe i -size o panies sho l strive to a ain an overall s ore ar ranking in the range of 2.8 to . with so e perfor an e riteria rea hing evel perfor an e. Infology oes not believe that i -size o panies an erive s ient benefit fro an overall evel or ranking to s fy the invest ent re ire to a hieve the res lt. O r prag a approa h provi es signifi ant i prove ent with ely ret rn on invest ent, while working in a fra ework g i ing the strategi ire on for f t re i prove ents. The Infology Group, Inc.
  • 8. I Governan e How to integrate IT into a mid-sized Enterprise and ena e s perior a e rea on y: Greg Torski The In ology Gro p, Inc Ko aya R Waban, MA 02 68 PH: 617.8 1.80 1 MAI : Info@InfologyGro p. o W : www.InfologyGro p. o © 2006—2011. All rights Reserve . Acknowledgements: This white paper builds on a body of work which Infology uses to assess and improve IT performance through IT Governance. Control Objectives for Information and related Technologies (COBIT) Framework © 2001 by Information Systems Audit and Control Association (www.isaca.org) and it’s subsidiary the IT Governance Institute (www.itgovernance.org). The Infology Group, Inc.