This document summarizes key points from a presentation on IT governance and trends in government. It discusses how IT governance can support business objectives through principles, processes, relationships and decisions defined in a governance framework. It also examines how compliance requirements can be integrated into governance to balance predictability with agility. Emerging trends like socialization, the information continuum, and the convergence of IT, OT and CT are shaping new approaches to government IT strategies and operations.

1. This presentation, including any supporting materials, is owned by Gartner, Inc. and/or its affiliates and is for the sole use of the intended Gartner audience or other
authorized recipients. This presentation may contain information that is confidential, proprietary or otherwise legally protected, and it may not be further copied,
distributed or publicly displayed without the express written permission of Gartner, Inc. or its affiliates.
© 2012 Gartner, Inc. and/or its affiliates. All rights reserved.
II Encontro Nacional de Auditores da
Tecnologia da Informação-ENAUTI
Governança de TIC – Uma Visão do
Mercado
Claudio Chauke
Executive Partner, Gartner LATAM
Brasília, 06 de junho de 2013

2. What is Governance?
• Gartner defines "governance" as the process of:
- Setting decision rights and accountability, as well as establishing
policies that are aligned to business objectives (preservation and
growth of shareholder value)
- Balancing investments in accordance with policies and in support
of business objectives (coherent strategy realization)
- Establishing measures to monitor adherence to decisions and
policies (compliance and assurance)
- Ensuring that processes, behaviors, and procedures are in
accordance with policies and within tolerances to support decisions
(risk management)
- Bottom Line: Who decides and by what process?
1

3. In Undisciplined Times, Successful CIOs
Maintain a Continuous Planning Initiative
Use Key Management Tools to Drive Focus and Discipline
Objective Focus Discipline
Strategy
Dodge Threats,
Leverage Opportunities,
Meet Objectives
Strategy Process as a
Focusing Exercise
Formal
Development and
Refresh Processes
Architecture
Agile and Flexible
Evolution Path,
Provide Resources
Standard, Open,
Service-Oriented
Strongly Enforced
Rules
Governance
Efficient and Effective
Collaboration
The Right Links With
Demand and Supply
Formal Roles,
Responsibilities and
Decisions
Leadership
Continued Vision and
Guidance
Alignment, Coordination
and Integration
The Right Balance
between
Trust and Control

4. IT Governance Strategy
IT Governance
• Goals
• Domains
• Decision Rights
• Principles and Policies
Demand Governance is Dysfunctional for
Most Public Sector Organizations
Supply
Governance
(How Should IT Do What It Does?)
Demand
Governance
(What Should IT Work On?)
IT Management Primary Responsibility
Architecture
• Plan
• Implement
• Manage
• Monitor Compliance
Sourcing
Project
Management
• Plan
• Implement
• Manage
• Monitor Compliance
Procurement
• Plan
• Implement
• Manage
• Monitor Compliance
Corporate
Compliance
Etc.
IT Supply Governance Domains
• Plan
• Implement
• Manage
• Monitor Compliance
• Plan
• Implement
• Manage
• Monitor Compliance
• Plan
• Implement
• Manage
• Monitor Compliance
• Plan
• Implement
• Manage
• Monitor Compliance
Security
Business Management Primary Responsibility
Business IT
Strategy
Validation
Overall
IT Investment
& Expense
Develop Demand
Governance
Processes
Business/IT
Operational
Planning
IT Investment
Portfolios
(PPM)
Intra/Inter
Enterprise
Prioritization
Demand
Governance
Implementation
IT Value
Assessment
Board IT
Governance
Funding/
Chargeback
Spending/
Project
Oversight
Councils/
Committees
Issue Escalation/
Resolution
Business Benefits
Realization
Business Unit
Prioritization
Plan Implement Manage Monitor
Investment
Evaluation
Criteria
IT Service
Chargeback
IT Governance
Effectiveness
(Metrics, etc.)

5. A Changing Environment
Changes Business Objectives
Contractual
Target
Business
Objective
Governance Frameworks Respond to Changes
And Steer Processes toward Changing Objectives

6. Regulatory Compliance
Undermines the Business!
Restricts Business Agility and Flexibility
Compliance without a Business Focus
Business
Objective

7. Business
Objective
Regulatory Compliance
Undermines the Business!
Does Not Properly Support Business Objectives
Business
Objective
Actually
Achieved
Compliance without a Business Focus

8. IT Governance: From the Basic Concept,
Two Perspectives, One Framework
IT governance is
the set of
processes that
ensure the
effective and
efficient use of IT
in enabling an
organization to
achieve its goals
IT Governance
Framework
Formal and
verifiable
description of:
 Principles
 Processes
 Relationships
 Decisions
Business
Alignment of decisions
to business strategy
and objectives
Regulatory
Compliance
Compliance with
regulations, and
accountability with
transparency

9. Key Issues
 How does IT governance support the
achievement of business objectives?
 How can you integrate IT governance and
compliance?

10. Key Issues
 How does IT governance support the
achievement of business objectives?
 How can you integrate IT governance and
compliance?

11. Effective Governance
Harnesses Different Perspectives
IT Governance
must provide
continuous, agile
alignment with
business objectives
 Business: Solution
 IT Area: Resources
 GRC: Control
Players have
different
objectives and
perspectives over
IT initiatives

12. Governance: a Business Perspective
Enterprises will strategically use
IT governance to steer IT initiatives
toward changing business objectives
Governance Building Blocks
Process Framework
Principles
Relationships Decisions

13. Principles:
The Guiding Ground Rules of Governance
A set of guiding ground rules
that clarify a strategy,
expressed as simple statements
of practical courses of action.
Contrasting Examples:
 Decisions about IT initiatives will be made
independently by business units, under
general corporate directions and compliance
requirements.
 Individual decisions, favoring specific,
individual business units, are taken in
collaborative decision processes, with diverse
representation from corporate areas and
business units.
Role:
 Establish culturally-
aligned
governance style
 Shape process
framework
processes
 Communicate
direction (transmit
and share)

14. The IT Governance Motherboard
Is Collection of Processes
Strategy: Alignment, objectives, policies, priorities
Resources: Knowledge, skills, sources of resources
Delivery: Workflow, operations, coordination, integration
Finance: Budget, funding, assets, costs, cashflow
Control: Business value, performance, risk, compliance
Feedback: Communication, reporting6
1
2
3
4
5
A set of shared processes that enable
the IT organization to continuously align IT initiatives
to changing organizational goals.

15. Processes Establish Relationships
between Demand and Supply
Supply Governance:
Supports IT’s delivery patterns
How should IT work?
Demand
Governance:
Supports
the user’s
expectations
What should
IT be
working on?
Relationships in
an IT governance Framework:
Match expectations
and patterns according to
each specific IT initiative
How can IT initiatives
continuously match
business expectations?

16. Decision Relationship Typical
Method Level Governance Tools
 Automatic 0 Rules, Controls
 Role Autonomy 1 Principles, Guidelines
 Processes 2 Workflow
 Projects 4 Methodology
 Collaborative Groups 3 Committees
Decisions Steer IT Initiatives toward
Changing Business Goals

17. Decisions Steer IT Initiatives toward
Changing Business Goals – Examples
Payment approval for external
providers under ongoing contracts
will made by a contract manager
based on formal metrics
established by contract T&C.
Selection of new technology will
be approved by interested
business user, after OK by chief
architect followed by OK by
budget committee, supported by
business case.
Changes in project priority or
resource allocation will be taken
by business-IT initiatives
committee, based on
recommendations by CIO,
supported by business cases.
Role
Autonomy
Processes
Collaborative
Groups
 Simple
 Fast
 Few information
requirements
 Logically
sequential
 Time-economic
interventions
 Leveled
information
 Binding
 Slow and
expensive

18. Key Issues
 How does IT governance support the
achievement of business objectives?
 How can you integrate IT governance and
compliance?

19. Regulatory Compliance
Undermines the Business!
Governance:
Formal description of
how people work together
and make decisions
 Principles
 Processes
 Relationships
 Decisions
Business
Drivers
Predictability
Regularity
Transparency
Control
Auditability
Regulatory
Compliance
Agility
Flexibility
Speed

20. What is Compliance, After All?
Compliance is about controls and accountability
in the fulfillment of a mandate. It is also
predictable, consistent, transparent behavior.
Establish what you know
Know what to do
Do what you establish
Say what you do

21. The Connection Between
IT Governance and Compliance
Governance Compliance
… through predictable,
consistent and transparent
behavior
Aims at steering resources
towards business goals
Is concerned with the
process of how you do it
The governance framework
defines mechanisms for
steering resources
Makes sure that those
mechanisms meet
compliance objectives
Efficient & effective use of IT
in enabling an organization to
achieve its goals

22. The Many Flavors of Compliance
Externally mandated regulations aiming
ethical behavior, good corporate governance
and financial transparency.
Regulatory
Compliance
Requirements established by, or jointly developed
with, external trading partners, including ESPs,
aiming at the proper distribution of roles and
responsibilities in their shared business processes.
Commercial
Compliance
Organizational
Compliance
A composite of vision, mission and bylaws aiming
to shape organizational behavior and culture, with
strong influence over business objectives,
including CSR

23. Business
Domain
There Are IT Initiatives Outside of Compliance
(But Not Outside of IT Governance)
Regulatory
Compliance
Commercial
Compliance
Organizational
Compliance
BPM
Dashboard
Collaboration
Workbench
BI
Toolbox
Efficiency,
Quality
Agility,
Flexibility
Innovation
Process
Cycle Time

24. The Journey: Changing the Organization
& Delivering Results along the Way
The Map: Strategy
Sets objective
 Sets path to follow
The Vehicle: Governance
 Aims the destination
 Steers resources
 Provides agility, flexibility
 Comes with a dashboard
The Road: Compliance
 Road characteristics and conditions
 Regulations & sign posts
 Radar and cameras
The Obsessed Cop: Constraints
Safe driving as priority over destination
Excessive, unjustified constraints
Tickets for everything
Equipment & Resources:
Architecture
Defines equipment
Sets resource plan

25. Key Steps in
The Journey toward Success
 Understand what your business
objectives are and how IT is
going to achieve them.
 Assess the current IT governance
framework, its strengths and weaknesses
 Establish IT governance objectives
 Assess current IT compliance requirements
 Integrate compliance requirements with
governance objectives
 Develop the IT governance framework

26. This presentation, including any supporting materials, is owned by Gartner, Inc. and/or its affiliates and is for the sole use of the intended Gartner audience or other
authorized recipients. This presentation may contain information that is confidential, proprietary or otherwise legally protected, and it may not be further copied,
distributed or publicly displayed without the express written permission of Gartner, Inc. or its affiliates.
© 2012 Gartner, Inc. and/or its affiliates. All rights reserved.
II Encontro Nacional de Auditores da
Tecnologia da Informação-ENAUTI
Governança de TIC – Uma Visão do
Mercado
Claudio Chauke
Executive Partner, Gartner LATAM
Brasília, 06 de junho de 2013

27. Trends in Government
26

28. Will Governments Be Able
to Sustain Themselves?
• Climate change
• Depletion of nonrenewable
resources
Excessive Debt
Slow growth
High unemployment Civil unrest
Rapid economic growth
New infrastructure
Natural disasters

29. Five Key Trends That Will Shape
Government IT in the Next Decade
CommoditizationSeamless Socialization
Information Continuum Confluence of
IT, OT, CT
Employee-Centricity

30. Seamless Socialization:
The Symmetry of Open Government
Transparency
Participation
Community data
Employee participation
2
1
5
4 Government 2.0
3 Collaboration
Open Government

31. Information Continuum: New Challenges
for Information Management
Top-down
Declassification, de-
identification, transformation
Taxonomies and ontologies
Formal and specialized
Information assurance
Mostly text and
structured data
Bottom-up and sideways
Social network analysis,
sentiment analysis
Tagging, rating, usage,
folksonomies
Informal by crowd
Trusted sources, reputation,
social rating
People, text, graphics,
audio, videoMedia
Creation
Capture
Categorization
Maintenance
Open Data Social Data
Trust

32. At the Confluence of Information,
Operational and Consumer Data
Crowdsourced
Traffic Management
Collaborative
Environmental Management
Environment
Energy
Traffic
• Air quality
• Water quality
• Water consumption
• Instant power supply
• Instant power demand
• Energy consumption
• Traffic light map
• Number of vehicles per zone
• Parking lot status
• Traffic cameras
Government Data
• Consumer GPS location
• Traffic-related feeds & microblogs
• Geolocated pictures & videos
• Instant home power demand
• Active devices per type
• Instant oil consumption/
carbon emission
• Instant water consumption
Citizen-Generated Data
Consumer Device to
Government Infrastructure

33. The Evolution of Technology
in Government
E-Government
• Online services
• Multiple websites
Joined-Up
Government
• Life events
• Back-office re-engineering
• Benchmarking
Open Government
• Transparency,
participation, collaboration
• Community engagement
Smart Government
• Sustainability
• Agility
• Blending IT, OT, CT
2000
2005
2010
2015+
• Integrates information, communication
and operational technologies
• to planning, management and operations
• across multiple domains, process areas
and jurisdictions
• to generate sustainable public value

34. A Different Approach to Government
IT Strategic Planning
Political Agenda
Service Delivery &
Operations
Project Management
IT ESP
Strategic Sourcing
Business Strategic Plan
Budget
Political Agenda
(Strategic) Sourcing
Budget
Business Strategic Plan
Advice Agile PM
Clients ESPITBusiness
Service Delivery &
Operations
Unclear or
Ambiguous
Fast-
Changing
Differentiate
& Record
Innovation

35. Smart Government
and the Nexus of
Forces

36. 35

37. Not Just "the" Social Web —
But a Dynamic Network of Networks
Collective intelligence
Pooling contributions
Expertise location
Finding one in a million
Interest cultivation
Sharing interests
Relationship leverage
Cultivating weak ties
Flash coordination
Organizing a mass
Emergent structures
Unearthing reality
Social

38. Mobile Consumer Service
Opportunities Proliferate
Video calling
Social networking
Low
High
Mobile advertising
Music (streaming
and downloading)
Mobile healthcare
Mobile payment
Ring tones
Mobile e-mail
Mobile search
Mobile
virtual
worlds
Mobile TV
Consumer ImpactLow High
Maturity
Consumer
telepresence
Mobile gaming
Indoor navigation
Likely rate of change: faster slower
Mobile

39. MS Clipart
(pixelated)
Many Elements Form a
Context Impression
Device
orientation
Voice tone
/stress
Direction of
movement
Speed of
movement
Location
Light level
Social
network
tie strength
Process
stage
Acceleration
Recent
interactions
Heart rate
Temperature
Sentiment
Context

40. Expose Your Data and Services to the Cloud —
Get More Open Innovation for Your Customers Cloud

41. Governance in the near future perspective
• What are your challenges?
• How do you think should be the better approach
to deal with this scenario?
• What change should be taken in Government
regarding auditing?
40

42. This presentation, including any supporting materials, is owned by Gartner, Inc. and/or its affiliates and is for the sole use of the intended Gartner audience or other
authorized recipients. This presentation may contain information that is confidential, proprietary or otherwise legally protected, and it may not be further copied,
distributed or publicly displayed without the express written permission of Gartner, Inc. or its affiliates.
© 2012 Gartner, Inc. and/or its affiliates. All rights reserved.
II Encontro Nacional de Auditores da
Tecnologia da Informação-ENAUTI
Governança de TIC – Uma Visão do
Mercado
Claudio Chauke
Executive Partner, Gartner LATAM
Brasília, 06 de junho de 2013