2014-07-30 Management Audit


DATE: July 30, 2014
TO:

HONORABLE DAVID MILLER

HONORABLE TONY ROSS

FROM:

Flint Waters, State Chief Information Officer FW_Initials.png

SUBJECT: Follow-up on Department of Administration & Information: Information Technology Division and Office of Chief Information Officer released July 13, 2011 (pursuant to W.S. 28-8-107 (b) (ii)) Department of Enterprise Technology Services (ETS) officials

CC:

Tony Young, Deputy Chief of Staff


EXECUTIVE SUMMARY:

Thank you for the opportunity to update our progress in response to the findings contained within the LSO’s management audit. It serves the citizens of Wyoming well to increase the level of transparency within government and we welcome our role in enhancing that communication.

RESPONSES TO RECOMMENDATIONS:

1. Update on the implementation of each LSO recommendation from the December 2010 report. Included is the Department’s formal responses to each recommendation from the report.

Recommendation #1 (page 40 of the report): The OCIO and ITD should develop a clear and consistent inventorying process for State Executive Branch Agencies; a comprehensive inventory should be conducted at least once each biennium to help assist in biennial budget preparations and in the development of the Wyoming State Biennial Technology Plan.


Department comments from its June 1, 2011 written response: We agree with this recommendation. Our intention is to investigate a previous initiative, “IT Capture”, which would code and capture all IT assets based on fiscal encumbrance. This is an add-on module for the IBARS system. This would be done annually to be consistent with the current inventories. Upon capture (no extra survey/inventory required), an agency-consolidated report would be produced and released for information and verification.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Evaluate data extraction from WOLFS

Due Date: January 31, 2012

Details: Analysis of the IT Capture solution indicated it was labor intensive for the agencies. We have obtained an extraction of data from WOLFS for consideration as a data gathering method. We are hiring an individual to handle procurement and inventory commitments within the agency and will task them with reviewing the extracted data for consideration as a source point of inventory detail.


State CIO Update - July 30, 2014: ETS is capturing counts of desktop computers, laptops and monitors through the IT Budget Exception requests ensuring alignment with Agency FTE counts. This proved to be the most economical approach to tracking inventory requested throughout the State. ETS references this count each year during the budget cycle to best inform our recommendations to the Governor and Legislature.  


Recommendation #2 (page 50 of the report): ITD should establish rates at the levels recommended from the CRIS software. If rates need adjustment because of unplanned factors, ITD should document the reasons and update customer agencies accordingly. Updates can be provided during the biennial rate-setting process and throughout the biennium, if needed.

Department comments from its June 1, 2011 written response: We agree with this recommendation. We will more clearly communicate the methods used in determining the rates. We will implement steps to historically evaluate spending levels in determining future rate commitments. We will also implement a process to ensure changes are communicated throughout the biennium. Future communications will include all impacted parties.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Completed

Completion Date: September 1, 2011

Details: The budget submission for FY2013-2014 follows the recommendations from the CRIS software. No deviations were made.


State CIO Update - July 30, 2014: Due to the consolidation of common and shared IT services, rates were adjusted accordingly. ETS created an updated service catalog, held meetings with agencies to review services provided and assisted agencies in the budgetary requirements. The Enhanced Service Catalog is made available for Executive Branch Agencies only. ETS continues to stick to strict calculations from the CRIS software models. In the next service catalog, we will be including low cost or free alternatives to our service line where appropriate.  For example, we have moved some agencies to Google’s free website hosting instead of our paid services.


Recommendation #3 (page 55 of the report): The Department should work with the State Auditor’s Office to discuss possible updates or replacement of existing software to include features fully compatible with the State’s accounting system.


Department comments from its June 1, 2011 written response: This is not a matter for response from OCIO or ITD. However, the Department of Administration & Information (A&I) is currently in the process of obtaining a vendor to provide a new accounts receivable system which will be compatible with the State’s accounting system. At this time, the Department is in the process of obtaining a statement of work from the vendor and will be proceeding with the upgrade to the system over the next several months.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Discussion with A&I Director Boswell

Due Date: Spring 2012

Details: The evaluation of a software replacement is in the early stages. It is difficult to predict the final selection of a solution at this time.


State CIO Update - July 30, 2014: The Department of A&I completed its evaluation executing a contract and the new solution will be deployed in August.


Recommendation #4 (page 69 of the report): The OCIO and ITD should work to develop an anonymous survey to agencies with respect to ITD provided services. In addition, other questions related to customer service should be asked as well (e.g. rate setting, purchasing processes, etc.).

Department comments from its June 1, 2011 written response: We agree with this recommendation. An effective survey solution is a critical need in any agency dedicated to customer service. We are pursuing this through the establishment of an enterprise-wide anonymity-capable survey application that agencies can utilize, as needed. In terms of our plans to establish a process for any survey, we will ensure questions and methods are formulated in conjunction with the IT governance model.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Completed

Completion Date: July 30, 2011

Details: The migration to the Google Apps environment enabled a new feature called forms which provides an anonymous survey solution. This solution can be used throughout the Executive Branch without agency cost.


State CIO Update - July 30, 2014: ETS continues to use Google Forms to survey for continuous improvement purposes. Agency Directors involved in IT Consolidation and IT Transition were anonymously surveyed to assist in informing the process. These results are posted on the ETS website. Further, we also survey our staff within ETS using an anonymous survey measuring employee engagement.


Recommendation #5 (page 75 of the report): The Governor should reappoint members to the State Telecommunications Council or provide information to the Legislature if there is a reason to modify W.S. 9-2-1026.2.

This item is addressed in Recommendation #6.

Recommendation #6 (page 76 of the report): If the Governor reappoints members to the State Telecommunications Council, the OCIO and ITD should work with the new Council to ensure statutory responsibilities of W.S. 9-2-1026.2 are carried out.

Department comments from its June 1, 2011 written response: This is not a matter for response from OCIO or ITD. However, the Governor is currently reviewing the Telecommunications Council appointments in the conjunction with current challenges like the expansion of Wyoming broadband infrastructure and the pending D-Block federal legislation.


When the Governor appoints members to the State Telecommunications Council, the OCIO and ITD will comply with W.S. 9-2-1026.2 with immediacy and transparency.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: N/A

Due Date: N/A

Details: During a conversation with former council member Brett Glass, this office was advised that many of the council members felt disillusioned that their concerns and recommendations were not being heeded. It was his opinion that this caused the council to lose interest. Another former member, that wished to remain anonymous, felt that group did not adequately focus on the “State's initiatives through workshops, forums and perhaps even special projects through the WBC,” and described the council as dysfunctional. This same member said they, “To put it bluntly, would have stopped utilizing the WTC, too.” These views and related matters were discussed with the Governor’s office. The Governor concurred with the proposal to consider removing the statutory requirement for the council. The Governor’s office could manage the intended function through the broadband working group or could establish a council through executive order, if needed.


State CIO Update - July 30, 2014: During the creation of ETS, the language designating the telecommunications council was removed from Wyoming State Statute. The Governor holds an annual broadband summit and meets regularly with stakeholders throughout the telecommunications industry. This approach is working quite well and is leading conversation in advance of the upcoming telecommunications bill rewrite due in 2015.

Recommendation #7 (page 84 of the report): The OCIO should promulgate rules with respect to the structure and activities of the Governance Model. Rules should clearly articulate the processes involved with its activities.


Department comments from its June 1, 2011 written response: We agree with this recommendation. We will review the existing charter for these entities and establish rules as appropriate to better articulate the structure and purpose.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Formalizing new organization

Due Date: Anticipate completion by Spring 2012

Details: The CIO is reorganizing the Office of the CIO and the Information Technology Division. This reorganization will better formalize the intra-agency support of the governance model and subsequent drafting of rules, better articulating the described processes.


State CIO Update - July 30, 2014: The Agency has been organized to provide quality customer service and a review of the IT Governance Model has been completed based on statutory mandates. Promulgated rules have been reviewed, repealing and updating where appropriate. Additional information regarding the IT Governance Model is available on the ETS website at http://ets.wyo.gov/governance.

IT Governance Model.png


Recommendation #8 (page 84 of the report): The OCIO should modify purchasing policy and allow agencies to make IT-related purchases under $500 without OCIO approval.


Department comments from its June 1, 2011 written response: We agree with this recommendation. This is an area where there is a clear need for immediate improvement. We will be considering the following policy change effective July 1, 2011:


Agencies making Information Technology purchases under $500 per item must submit an IT purchase authorization form to the OCIO. Items purchased for $500 or under must submit a spreadsheet detailing those purchases at the end of each purchasing quarter. These items will be considered to be pre-approved by OCIO within the restriction of existing standards, security and procurement policies. The spreadsheets shall be compiled for IT expense reporting.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Completed

Completion Date: July 1, 2011

Details: The following policy change went into effect July 1, 2011: Agencies making Information Technology purchases under $500 per item must submit an IT purchase authorization form to the OCIO. Items purchased for $500 or under must submit a spreadsheet detailing those purchases at the end of each purchasing quarter. These items will be considered to be pre-approved by OCIO within the restriction of existing standards, security and procurement policies. The spreadsheets shall be compiled for IT expense reporting. Spreadsheets will be due to the OCIO on the 15th of January, April, July and October.


State CIO Update - July 30, 2014: ETS has continued to collect spreadsheets submitted by agencies for technology purchases at or below $500. ETS has also deployed a new system, ETS Request, streamlining the process for agencies.

Recommendation #9 (page 95 of the report): The OCIO and the Governor’s Office should reevaluate efforts to move Wyoming toward IT consolidation, ensure that efforts are transparent and that agencies are able to provide communication related to the process. In addition, proposals related to statewide consolidation should be supported by sufficient financial and other information via a business case plan.


Department comments from its June 1, 2011 written response: We somewhat agree with this recommendation and provide the following clarification.


The OCIO will review all existing documentation on consolidation and will continue to improve the transparency of the process. We will implement a shared discussion form for State employees on this and other IT matters.


We see the next steps in the consolidation process as:

  • Review the Governor’s Core Objectives for Service Delivery to the citizens of Wyoming.

  • The OCIO will clearly delineate a vision and strategy (with priority initiatives). This strategy will be vetted through the Governance Model.

  • The resulting consensus will be presented as a plan of action with cost/benefit analysis to the Governor and the Joint Appropriations Committee for their input and approval.

  • The Governor’s Office is evaluating the topic of Information Technology consolidation and will determine additional steps toward the goal attainment, once the evaluation is complete.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Preliminary consolidation plan  

Due Date: December, 2011

Details: This office has committed to working with the OCIO Governance body and the IT community to develop and present an initial consolidation proposal for submission in December, 2011.


State CIO Update - July 30, 2014: ETS was established on March 8, 2012. The proposed recommendations were accepted by the Governor’s Office and the Legislature gave final approval of centralizing common and shared IT services. With the onset of the FY 2015-16 Biennium Budget, the agency is operating as a consolidated IT enterprise, serving all agencies identified in the Executive Branch. As a continuous improvement Agency, we reevaluated our consolidated positions and identified one team that fit better within the subject matter expert designation. This programing team assigned to the Wyoming Department of Transportation (WyDOT) was transferred back for the most efficient delivery of State services. We will continue to assess consolidation and address challenges or opportunities as they arise.

Recommendation #10 (page 109 of the report): The OCIO should work with the University of Wyoming, the Wyoming Business Council, the Wyoming Technology Business Center and the Department of Workforce Services to develop a plan to reinvigorate earlier efforts by the Legislature to encourage diversification of Wyoming’s IT industry and infrastructure. Such a plan should be drafted and presented to the Legislature prior to additional funding.


Department comments from its June 1, 2011 written response: We agree with this recommendation. We welcome the opportunity to participate in the State’s efforts to encourage diversification in Wyoming’s IT industry and infrastructure.


Department comments from its September 15, 2011 subsequent correspondence:

Milestone: Preliminary action plan

Due Date: June 30, 2012

Details: The OCIO will partner with the identified entities to complete an assessment. Action steps have been generated regarding the items that need to take place over the next few months. They include gathering information on existing program efforts from each entity and completing a gap analyses, which should highlight overlapping efforts. Additionally, focus groups will be identified and periodic meetings will be scheduled to discuss the appropriate direction of the comprehensive plan.


State CIO Update - July 30, 2014: ETS has started participation in a joint intern program with the University of Wyoming and the Wyoming community colleges. We have had four interns to date and have hired one into a full-time position within

State government. ETS is further addressing this item through the Governor’s Policy Group dedicated to Job and Workforce, which has recently reorganized. ETS will continue to have representation on the policy group.


2. Related to Recommendation #4, please provide a summary of survey responses (and comments) from July 30, 2011 to present.


Overall, our responses from customer surveys have been very positive. There are always a small number of issues, but we wished to capture the types of details we received. We are providing summaries of our most recent customer survey from January-May 2014.


In addition, we have implemented a call back process where our staff calls individuals after support is received to ensure all of their needs were met and see if there are other areas where we can assist. This service receives high praise as well as high levels of frustration from a small number of customers that do not wish to hear back from us after the problem is resolved.


Post service results - representing our assessments for 2014:


We received 324 comments during the May 2014 evaluation period. Many contain last names which we removed. To eliminate any issue of selective presentation, we included the first comment for every letter represented in a sorting of the comments. We provided the full spreadsheet to LSO staff. We can provide details for each month if requested, but would ask that the individual names be protected.


A job well done.

Barnaby always does a great job!

Chris is great!

Dave took care of this immediately and followed up to see that I had access to my data. ETS removed our regular service rep. without telling us or telling the new rep. what to expect or what the needs of the WCSP would be. Therefore, he was untrained and did not have any knowledge of our software  and there was some confusion as to what we needed him to do.  It would have been nice to know that when I submitted the service request that we had a new rep. and that we were going to have to explain what we needed. Instead there was confusion and frustration by both parties. Sorry, someone dropped the ball on this one. Still the Tech was great.

Fast results!    Thanks

Gabe is a Rockstar!!

He did a wonderful job.  Thanks Steve!

I already discussed with Rick ways to communicate with our end users when we will be having an emergency Tomcat reboot - Rick did reach out to me prior to getting it rebooted, but I was out of the office at lunch - so his intentions were best, in that we needed to get it restarted asap in order to avoid the system crashing.  A version upgrade in the near future will hopefully eliminate the need to reboot tomcat so often.

Joe answered all of my questions.

Linda facilitated this request for me and was great.  Although it took over a week to

Mark did a fantastic job on this.

Nate is always timely and courteous.  He does an excellent job keeping us working!

Once the ticket was given to Linda, she was able to resolve it quickly.

Password reset instantly

Quick, efficient and courteous as well.  Thanks ETS.

Randy is very helpful and always so prompt

Scott and Kai are awesome!

Technician was very pleasant and helpful throughout the process!

Veronica is such a pleasure to work with.  She really knows the meaning of customer service.  She knows our website and is fast and accurate with updates.

Warrin called right away and he actually had a portable 3.5" diskette drive which is what I needed to rescue 3 files off of it.  He was pleasant and knew exactly what to do as I was in a panic on how to get them since no PC has one anymore.  What a handy device to have for those dinosaur requests from customers.

Yes- it worked great!! I did it the sensible way-called IT, This is a total waste of resources.


3. Please provide an update on IT projects and ETS operations since 2012. As you know, Senate Enrolled Act 0020 (2012) centralized IT staff and created the new department.


ETS is working on hundreds of IT projects throughout the State from our participation in the four state consortium building an unemployment solution to small it projects within agencies.


Major initiatives include:


Data Center Power Upgrade

The Emerson Data Center is housed in a converted Junior High School, which is now a multi-purpose office building and data center support area. The data center is approximately 40 years old and most of the infrastructure (cooling, electrical, battery backup system, etc.) is of the same age. Data centers on average need refitted every 7-11 years. The Emerson Data Center has never had a refit. In addition, this data center was fit to run on 208 volts, which at the time would have been a cost saving measure. Today’s data centers are engineered and built on 480 volts. Computer systems of late such as servers and storage hardware benefit from this type of power service.


P20W Statewide Longitudinal Data System (SLDS)

Wyoming policymakers and legislators are under ever-increasing pressure to ensure the economic viability and competitiveness of their State. They recognize education is an essential element to economic growth. To this end, Wyoming is continuously pursuing and assessing effective education reform policies and programs. Such pursuits require detailed and specific data spanning early childhood to workforce across multiple years, from multiple agencies and through a wide range of programs. Currently, the data needed is scattered among numerous data systems that lack cohesion and integration necessary to easily and accurately trace the progression of a child through an entire continuum of education and agency experiences into the workforce.


Unified Network

ETS is presenting an enhanced network design as part of the FY 2015-16 Biennium Budget request proposing to substantially upgrade the capabilities for Wyoming through enhanced partnerships with vendors, migration to the latest technologies (IPv6), and redundant paths of sustainable support offering the greatest possible security and business value. Voice over Internet Protocol (VoIP) communication protocols, technologies and transmission techniques can also be delivered over this network.


Wyo4Life

The Governor’s initiative of providing Google Apps for Education and Microsoft Live 365 to the Wyoming Education community was made available January 2014. The State of Wyoming’s Wyo4Life project will allow K-12, Wyoming community colleges, University of Wyoming, Wyoming alumni and numerous other educational entities the ability to utilize Google and Microsoft Apps for Education free of charge. Wyoming was the first State to implement Google Apps for Education for the both K-12, postsecondary and other educational entities.


Wyoming Government Cloud

The Wyoming Government Cloud (WyoGov Cloud) provides an enterprise-wide solution for server hosting and data storage utilizing the combined resources of the State’s two data centers. The WyoGov Cloud is about the delivery of computing and storage capacity as a service. The WyoGov Cloud provides a cost effective manner by which agencies can quickly deploy application environments without having to manage server infrastructure thus allowing agencies to focus on their core business. By moving purchases of new and end-of-life physical servers to the WyoGov Cloud, the State will see a major reduction in capital expenditures. These savings will go beyond just physical servers and will include cost benefits from: centralized purchasing, physical storage consolidation, centralized management, data center power and cooling, network hardware consolidation and data center infrastructure.


With the upcoming construction related to the capitol complex upgrades, we are working on plans to vacate the Herschler data center. This will involve considerable effort in moving 67 racks including dedicated servers that are managed by vendors. We are looking at co-location opportunities with Wyoming data centers. We hope to complete the data center move prior to being tasked with moving all State agencies out of the Capitol and Herschler buildings. The relocation efforts will likely set back IT initiatives depending on the demands. This was not an anticipated project during the budget cycle, so efforts are underway to identify funding mechanisms.


We have reduced the IT staffing in Wyoming by 15 positions through attrition and have established an advanced IT culture focused on service oriented disruptive change. We are now teaching a collaboration course for all agencies, free of charge in our technology classroom in the Rogers Building.


Reports previsouly provided to the Legislature can be found at http://ets.wyo.gov/cio-reports.