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Creating Enhanced Enterprise Information Technology Governance for New York State

Abstract

Executive Summary

Chapter 1 - Laying the Foundation for Value-Generating Change in New York State

Chapter 2 - Enterprise IT Governance in Practice: A review of the States

Chapter 3 - The Evolution of Enterprise IT Governance in New York State

Chapter 4 - Recommendations for an Enhanced Enterprise Information Technology Governance Structure

Appendices
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Appendices

Appendix F. NYS CIO Council Draft Charter

New York State CIO Council Charter

Section I – Background

The State Chief Information Officer position was established by Governor Pataki in January, 2002 under Executive Order No. 117, and James Dillon was appointed as New York State’s first CIO. The current New York State Chief Information Officer Council (the CIO Council) was first convened by CIO Dillon early in his tenure and has continued under succeeding State CIOs. Over this time span, the CIO Council has become a valuable resource for communication and collaboration with the Office of the State CIO (OCIO), and among the agency CIO community. In its current form, however, the CIO Council has neither formal status as a New York State government entity nor an official description of its mission and relationship with the State CIO. This charter provides that description with an outline of the mission, objectives, organization, procedures, and functions of the New York State Chief Information Officer Council.

Section II – Establishing Authority

The CIO Council is established under the authority of the New York State Chief Information Officer.

Section III: Purpose & Scope

The CIO Council has three primary purposes: (1) to provide a mechanism for the New York State agency CIO community to advise and inform the New York State CIO and the Office of the CIO on matters of information technology policy, management, and operations, (2) to provide a forum for the NYS CIO community to address issues of mutual concern and make recommendations on IT issues, and (3) to promote information sharing and cooperation.

The role of the CIO Council with respect to advising and informing the State CIO includes matters related to the responsibilities of the State CIO as established by Executive Order 117, items 2-6. Namely:
  2. “Overseeing, directing and coordinating the establishment of information technology policies, protocols and standards for State government, including hardware, software, security and business re-engineering;”
  3. “Overseeing and coordinating the development, acquisition, deployment and management of information technology resources for State government;”
  4. “Developing strategies to improve the State workforce’s ability to employ needed information technologies, and overseeing and coordinating the implementation of such strategies;”
  5. “Coordinating and facilitating information sharing among State government, local governments, other states, the federal government and institutions of higher learning to promote the use and deployment of information technology that will improve the delivery of government services; and”
  6. “Working with State government, local governments, the federal government, institutions of higher learning and private enterprises to further the State Technology Strategic Plan.”
Section IV– Responsibility of the State CIO

The State CIO’s responsibilities as they relate to the CIO Council are:
  1. To establish a regular schedule for the CIO Council meetings.
  2. To designate a senior staff member of OCIO to be a member of the CIO Council Leadership Committee.
  3. To develop and maintain procedures for responding to recommendations from the CIO Council Leadership.
  4. To review and respond to formal recommendations when so identified by the CIO Council.
  5. To appoint OCIO staff to provide administrative support to assist the Leadership Committee Chair in carrying out its responsibilities.
  6. To establish agenda items in conjunction with the CIO Council Leadership.
  7. To establish, in conjunction with the CIO Council Leadership, an annual strategic roadmap for the CIO Council.
Section V – Authority of the CIO Council

The authority of the CIO Council is to:
  1. In the absence of the CIO calling the quarterly meeting, the Leadership Committee may formally request to do so.
  2. Create and disband subcommittees as needed to respond to requests for advice and information from the OCIO and to address issues of concern to the CIO Council.
  3. Establish agenda items, in conjunction with the CIO Leadership Committee, for the CIO Council meetings.
  4. Formally convey recommendations to the State CIO regarding issues raised by the OCIO or members of the CIO Council.
  5. Provide recommendations for input to the State CIO’s strategic roadmap for the CIO Council.
Section VI – Responsibility of the CIO Council

The CIO Council is hereby charged with the following responsibilities:
  1. To provide advice and recommendations to the State CIO on issues related to the State CIO’s responsibilities as outlined in E.O. 117 items 2-6.
  2. To provide advice and recommendations to the State CIO regarding the IT-related business needs of the CIOs respective agencies.
  3. To meet on a regular basis, no less than four times per year.
  4. To provide a forum for CIO Council members that supports discussion of topics of mutual concern and fosters cross-agency collaboration.
  5. To develop and maintain procedures for fulfilling the CIO Council’s responsibility to advise and inform the State CIO.
  6. To provide feedback to the Leadership Committee on pending draft recommendations.
  7. To formulate such bylaws and rules for CIO Council activities that will support the fulfillment of these responsibilities.
  8. To be actively engaged in the meetings and activities of the CIO Council.
Section VII – Membership
  1. General Membership
    1. Membership of the CIO Council shall consist of:
      1. The CIO (or equivalent) of each state agency, all other entities over which the Governor has executive authority, the State University of New York, City University of New York, and all public benefit corporations, the heads of which are appointed by the Governor;
      2. The CIO (or equivalent) from the New York State Assembly and New York State Senate;
      3. The CIO (or equivalent) from the New York State Unified Court System;
      4. The CIO (or equivalent) from the Office of the New York State Comptroller;
      5. The CIO (or equivalent) from the Office of the Attorney General;
      6. Local and Regional Government CIOs (up to 10 members) including:
        1. The President and Vice President of New York State Local Government Information Technology Directors Association (NYSLGITDA).
        2. One representative from New York City as designated by New York City’s Chief Information Officer.
    2. The State CIO serves as ex-officio member of the CIO Council.
  2. Additional members
    1. The State CIO may appoint additional members of his or her executive leadership team to be members of the CIO Council. These members will be ex officio members.
    2. The CIO Council may appoint additional members on a temporary basis as needed to support specific subcommittee efforts.
  3. Alternate Members
    1. Members may designate alternate members to act on the behalf of the state or local entity. Alternate members shall have the same rights as regular members to participate in CIO Council matters and decide on CIO Council policy decisions on behalf of the agency, authority, or local entity they represent.

Section VIII - CIO Council Leadership

The CIO Council shall have a leadership committee, hereafter known as the Leadership Committee.
  1. Membership
    1. The Leadership Committee will consist of 13 members; 7 elected by the general membership, 5 CIOs appointed by the State CIO, and one senior member of the OCIO staff appointed by the State CIO.
    2. Those appointed to the Leadership Committee by the State CIO, serve at the pleasure of the State CIO.
    3. Those elected to the Leadership Committee are elected to serve a two- year term except as noted in Section VIII.A.4 below.
    4. To establish a staggered election schedule for those members elected to the Leadership Committee, for the 2009 election, 4 committee seats are designated for a two-year term and 3 committee seats are designated for a one-year term. Committee members selected for a two-year term are those who received the highest number of votes from the membership.
    5. The officers of the Leadership Committee will be the Chair and Vice Chair and shall be elected for a one-year term by a simple majority of the Leadership Committee membership present at the first monthly meeting of the Leadership Committee each year.
    6. The term of office for leadership committee members and officers shall start the first day of January and end the thirty-first day of December.
  2. Responsibilities of the CIO Council Leadership Committee Chair and Vice Chair
    1. Duties and responsibilities of the Chair shall include:
      1. Act as convener and organizer of the Leadership Committee and preside over the quarterly membership meetings.
      2. Appoint a nominating subcommittee to present a slate of candidates for the annual leadership committee elections.
      3. Communicate regularly with the State CIO regarding progress on findings, recommendations, and advisement as it relates to the work of the CIO Council.
      4. Communicate regularly with the CIO Council membership and provide advance notification prior to any submission of recommendations to the State CIO.
      5. Design and implement a process for sending and receiving communications from the general membership.
      6. Collect feedback from the general membership and the State CIO as to agenda topics for each meeting and set and distribute agenda prior to each meeting.
      7. Provide transparency to its members regarding all CIO Council activities
    2. Duties of the Vice Chair shall include
      1. Serve as Chair in the absence of the Chair.
      2. Fulfill duties as assigned by the Chair to assist him or her in the fulfillment of his or her duties.
  3. Filling Vacancies
    1. Vacancies created by elected members of the Leadership Committee will be filled by nomination of CIO Council members based on a majority vote of the members present at the next meeting of the Leadership Committee to complete the term of the vacating member.
    2. Vacancies created by those members of the Leadership Committee who are appointed by the State CIO will be filled by State CIO, whether on a permanent or temporary basis.

Section IX – CIO Council Meetings
  1. General
    1. General Membership Meetings will be held on a quarterly basis (January, April, July, and October) on a consistent schedule as decided upon by the State CIO in consultation with the CIO Council Leadership.
    2. An annual review and planning session will be conducted for each coming year, which includes a review and affirmation of the charter and subcommittee assignments
    3. The Leadership Committee shall meet as often as it deems necessary, but at least once monthly. All Leadership Committee meetings will be open to the general membership. The Chair or the State CIO may call special meetings of the Leadership Committee or of the CIO Council as he or she deems necessary.
    4. A written record of proceedings shall be maintained and made available to the membership by the OCIO staff member assigned to provide administrative support to the CIO Council.
  2. Subcommittees
    1. Subcommittees may be established by the Leadership Committee in consultation with the State CIO as determined necessary to perform the duties of the CIO Council.
    2. Subcommittees shall be disbanded following the completion of the work for which they were formed as directed by the Leadership Committee in consultation with the State CIO.
    3. Subcommittee Co-chairs shall be elected by a simple majority of the membership present at a previously announced meeting of the subcommittee or may be appointed by the Leadership Committee Chair in consultation with the State CIO.
    4. Members of the subcommittees will be designated by the subcommittee Co-Chair, the Leadership Committee in consultation with the State CIO, or through solicitation of volunteers from the general membership of the CIO Council.
    5. CIO Council members may nominate other agency staff to subcommittees based on the nominee’s areas of expertise.
    6. Subcommittee Co-chairs shall report subcommittee findings to the general membership at the quarterly meetings and to the monthly Leadership Committee meeting as requested by the Leadership Committee Chair.

Section X – CIO Council Recommendations
  1. CIO Council recommendations to the State CIO shall be submitted for approval to the membership at regular meetings and shall require a majority vote of the members present at that meeting for approval. When approved, they are designated as formal recommendations and submitted by the Leadership Committee to the State CIO for response.