CIO Leadership for Cities and Counties: Free Chapter

An Evolving Role

Alan R. Shark

A brief history of the rise of the CIO

Today, no private sector company would consider operating without a Chief Information Officer (CIO) or Chief Technology Officer (CTO) – yet many cities and counties continue to struggle to define what type of technology position best fits their needs and budget, as well as what type of governance structure works best. Local governments only recently began to consider such titles as CIO or CTO.

Traditionally, those whose main responsibility was technology — be it for a department, division, agency or jurisdiction-wide — were called director of technology, director of office of information and technology, director MIS, if not CIO or CTO.

Typically, a CIO is responsible for an enterprise and all the business units of a particular unit or jurisdiction with an eye toward leading, managing and integrating all communication and information technology applications.

The CTO position, by contrast, usually is considered a more technically oriented position and is more focused on technology solutions as opposed to navigating the political and administrative functions. In practice, it appears that the titles have been used interchangeably and carry little distinctive differences as compared to what is found in the private sector.

So, one may ask, do titles really matter? The answer is both yes and no. More important than a title is what are the duties, responsibilities and expectations of the senior technology staff person? How many staff does the person have managerial responsibility for? What size budget? What is the complexity of the business lines?

The rise in stature of the CIO and CTO within the city and county arena has grown or evolved, as some would say, along with the ever-increasing complexity for managing communication and information technology.

Today, there are more than 3,000 counties and 36,000 cities and townships in the U.S. The CIO or CTO is becoming one of the most important “new” key positions in local government, and there is every indication that the position will continue to grow in stature and strategic importance. Exactly where they sit and their exact tittles will depend largely on the type and size of any given local entity.

The new city and county CIO leader

After four years of traveling across the country and meeting and interviewing technology executives from well over 300 local government agencies and jurisdictions, I have observed overwhelming consistency in trends and common needs. The role of the head technology staff person, whom we shall refer to as the CIO, is growing in complexity and required skill sets.

Many have expressed frustration that the jobs they were originally hired for has changed along with growing expectations. Some even went as far as to state they felt somewhat unprepared or lacked key staff support to help them carry out an increasing amount of demands – some more political then technical.

When asked about issues of governance, a surprising number of CIOs felt their formal reporting relationship was a serious obstacle in effectively carrying out their responsibilities. Many reported through a chief finance officer, deputy mayor, assistant city manager or other administrative officer. CIOs working in smaller jurisdictions usually reported directly to the city or county executive. For the smaller jurisdiction CIO, problems were more focused on lack of resources and having to work extraordinary hours with corresponding pressures.

The most important factor regarding governance came down to decision rights: Who makes the final IT decisions, for what department or agencies, and what is the agreed-upon process? That of all issues was the most critical from the CIO’s point of view.

Those CIOs who were deemed the most successful by their peers noted that they reported to mayors and county executives who understood and embraced technology. They went on to add that they often were involved in jurisdiction-wide meetings, and everyone knew they had the complete support and respect of the CEO. Some were recruited into that positive leadership environment, while others were lucky and gifted to work their way into the inner circles of public management.

Cities and counties with exceptional leadership teams included Denver; New York; Seattle; Chicago; Houston; Austin, Texas; San Francisco; Phoenix; the District of Columbia; Los Angeles County; Harris County, Texas; Johnson County, Kan.; Fairfax County, Va.; Montgomery County, Md.; Arlington County, Va.; and Miami-Dade, to name a few.

Perhaps most startling was the lack of discretionary funds for travel, training, key memberships, and consulting and research services. It seemed the larger the jurisdiction, the proportionately less funding there was — despite the millions spent on IT. Mid-size jurisdictions appeared to fare better when it came to discretionary funds.

Just about everyone interviewed seemed to agree (many quite strongly) that city and county CIOs need a greater sense of professional recognition as well as an on-going need for more continuous professional development. Certified city managers, assistant city managers, attorneys, and even certified MS or Cisco engineers seemed able to justify their professional development activities and requirements more often than CIOs.

Junior and aspiring CIOs expressed strong support for a CIO Certification program – something along the lines that the Public Technology Institute (PTI) has promised in the very near future. In fact, no less than three universities have embarked upon CIO certifications programs and have created a consortium to help coordinate learning opportunities for CIOs. The name is the Consortium for State & Local Government Technology Leadership Development and comprises Florida State University’s Florida Institute of Government, University of North Carolina’s School of Government Center for Public Technology, and Rutgers University School of Public Affairs and Administration. PTI has been designated as the administrative secretariat for the new consortium.

The need for certification went beyond recognition for the sake of recognition. CIOs honestly wanted to learn more about current trends and practices, new management systems and techniques, and who they could turn to for advice and help.

The two most common complaints that cut across all lines was (1) the lack of consistent support from among elected leaders – and they longed for champions; and (2) the fact that most felt they spent 75% to 95% of their time in crisis mode, responding to emergencies much like a firefighter, and too little time contemplating strategic planning, and planning for new solutions and applications.

Unlike CIOs, fire chiefs do much more than fight fires. They work on prevention, staff development and training, and keeping up on the latest in technology, too. CIOs are clearly at a proportionate fiscal disadvantage when it comes to responsibilities.

Toward greater CIO certification and recognition

Having worked in varying degrees with each of the universities in the consortium, a common curriculum outline has emerged that covers just about every skill set required for today’s CIO. The consortium members agreed that re-certification would be necessary and that it should occur about every three years. Candidates could earn credits by attending recognized continuing education programs in the field, as well as writing and speaking about solutions, applications, and other tactical or strategic experiences.If there was one major skill set to be demonstrated, everyone agreed it would be leadership in terms of needs, styles and effectiveness. What follows is what PTI and Rutgers University is contemplating as an on-line program for CIO Certification.

Naturally, there will be some pre-qualification criteria that would include letters of recommendation, years in service in a leadership role, and a signed promise to abide by a voluntary code of ethics.

What follows is a draft outline, absent of the weighting of each criteria prepared by PTI of what one can expect by way of a course curriculum for CIO certification. Certainly “leadership” would be weighted at least 30% of the overall criteria. Whether the reader has any interest in such a certification, the outline serves as a reinforcing message as to the significant responsibilities in which today’s CIO leaders must demonstrate proficiency.

1. Leadership

Leadership theory and practice tops everyone’s list. For the purposes of certification, there are six key areas that will be examined. They are:

• Skills
• Styles
• Measurement
• Decision making
• Collaboration
• Managing expectations

2. IT governance

IT governance examines the structure of the jurisdiction’s decision-making process in terms of how decisions are made, by whom, and where the IT function is placed within the jurisdiction’s organization chart. What types of governance models are being used today? What are the strengths and weaknesses of each? Aside from reporting relationships, how is information best communicated? In addition:

• Styles
• Assessment
• Models
• Communication
• Public-private partnerships

3. Strategic planning

Here, strategic planning is analyzed for style, process, as well as available tools, methods and best practices. In addition:

• Plan and strategy development
• Process
• Needs analysis
• Identification and positive relations with key stakeholders/customers/elements
• Public-private partnerships

4. Citizen, public and external relations

CIOs increasingly are having to interact with citizens and their representative organizations. At times, there is a language barrier as to technical terms and jargon versus what the public really wants to know in a way they can best understand.

Issues like 311 and citizen records (or relationship) management is increasingly being embraced as a tool to better engage citizens and provide greater transparency into government effectiveness. But, like any key public manager, communication skills are vital to the success of the public enterprise. And finally, managing expectations from among elected leaders, senior public officials and the public at large is a key metric for success or failure.

• 311
• CRM
• Web portal development and services
• Communication skills; written, oral, political
• Managing expectations

5. Network security and operations

With growing threats from computer viruses, spam, phishing schemes, and identity or records theft, the CIO is ultimately responsible. Where and how data is stored, and the back-up and restoration policies that govern data is of the upmost importance. Maintaining data centers and other technology equipment and software is also critical.

• Storage
• Data center(s)
• Security policies and oversight
• Equipment
• Software
• SaaS (Software as a Service)
• Cloud computing
• Managed (outsourced)
• Acquisitions
• Disposal (equipment)
• Policies

6. Contract management

CIOs must understand the local, state and federal laws governing contracts for equipment, services and among various agencies.

• SLAs (Service Level Agreements)
• Contracts
• MOUs (Memorandums of Understanding)
• Strategic partnerships
• Legal considerations and obligations

7. Human resource development

Technology may be considered just a tool, and even the best equipped need to rely on well-trained and motivated staff. In the past, CIOs didn’t have to worry as much about HR as they must today. In a competitive environment, it is difficult to attract and retain great staff in public service when the private sector generally pays so much more.

• Training and development
• Recruitment
• Retention
• Motivation
• Evaluation

8. Innovation: Learning and nurturing

CIOs often are expected to heed the call to help develop a vision for innovation in a city or county environment. Here, best practices and case studies on what has worked and hasn’t — and as importantly, why — are explored. New social web-based tools are being tested, and new ways to improve communications while better engaging citizens is essential.

• Creating the vision
• Creating opportunities
• Cultivating an innovation culture
• Web 2.0, 3.0
• Collaboration
• Green IT initiatives

9. Purchasing and acquisition

Many former CIOs have found themselves in trouble when it comes to purchasing and acquisition. Understanding contract law and the rules governing purchasing and acquisitions cannot be taken lightly. Those looking to ignore the rules or take short cuts in the name of expediency can find themselves indicted and could wind up in jail as well as other monetary penalties.

• Best practices
• Ethics
• Bidding dos and don’ts
• Cost benefit analysis
• Evaluation and review
• RFP, RFQs, RFIs, etc.
• Legal requirements and obligations

10. Knowledge and records management

State and federal laws require millions of documents, e-mails and even text messages as public records to be saved and stored for a specific period of time – this in addition to regular public records and documents. Today, with increasing turnover in employees at all levels, it has never been more essential to create and maintain sound records and knowledge management policies and programs. For example, what is the policy for capturing the data stored in someone’s computer or telephone e-mail? How is institutional memory stored and indexed?

• Policies and procedures
• Identification of knowledge management markers
• E-discovery requirements

11. Enterprise Resource Planning (ERP)

Someone once remarked that ERP really stood for “early retirement program,” usually reserved for the CIO in charge. ERP is actually an enterprise-wide information system designed to coordinate all the resources, information and activities needed to complete business processes.

Many departments and agencies grew with their own data and communication systems. ERP is both a goal and process to develop common platforms and systems to reduce redundancy, while at the same time increasing efficiencies of scale, greater system integration, ease of use, ease in maintenance and, hopefully, reduced costs over time.

The problem with ERP is not just in its inherent complexities, but the political buy-in from the internal customers who are often asked to do business in a slightly different manner. Judging by experience, change never comes without pain.

• Processes
• Policies
• Models
• Understanding the enterprise

12. Communication technologies

Broadband in all its forms is truly the information highway that carries voice, data and video. Many cities already have fiber networks, but everyone acknowledges there is more to be done for economic growth and national security.

While fiber is by far the most robust of the “highway” types, there is still a compelling need for wireless access, too. There are many new and emerging wireless technologies that need to be evaluated and piloted. It is imperative that every CIO keep abreast of the latest technologies, trends and opportunities in this fast-changing area.

• System integration
• Applications
• Broadband (generic)
• Fiber
• Wireless
• Field support

13. Financial and performance management

Anecdotal information has been replaced with more sophisticated tools and requirements. There is a greater need than ever before to better cost-justify and monitor projects and programs – operating and capital budgets alike. Successful CIOs will need to continue to demonstrate how to develop argument-proof return on investment (ROI) reports. This is where some of the older “techies” find it difficult to adjust to the increasing demands for financial reporting and accountability. To complicate things, the newest efforts are to add greater citizen engagement and transparency (all positive and necessary), but which also take more time away from what some perceive as their core responsibilities.

• Budgeting and justifications
• ROI
• Capital budget
• Financing
• Forecasting
• Performance measurement techniques and tools
• Presentation skills

14. Energy and sustainability

Given all the attention to global warming, rising energy costs, pollution, and maintaining energy-grabbing computers and datacenters, there are many new technological breakthroughs that are occurring that are designed to increase efficiencies and reduce costs. Many see cities and counties taking the lead and setting an example. Most of the new energy solutions have a technology component that every CIO needs to be kept abreast on.

• Green IT polices
• Fleet management
• Smart buildings
• Smart lighting and monitoring
• Recycling and reuse
• Energy Star compliance
• Solar and wind energy
• Energy Star programs

15. Ethics and social equity

Perhaps the category that gets the least attention — but is no less important — is ethics and social equity. In many ways, ethics is a key ingredient of leadership but deserves to be highlighted in its own category to help illustrate the fact that ethics and ethical behavior reach every form of public management. It concerns itself with purchasing, contracting, decision-making, employee relations, and working with public managers and the public itself.

Social equity is related but different. While ethics usually involves a code of conduct, social equity is an area of concern regarding whether government in its programs and services is adequately taking into account the needs of the underserved. A subpart might be called “digital equity” or “bridging the digital divide,” where technology could either serve as a bridge or a barrier for ethnic minorities, the elderly and perhaps those with physical handicaps. Here, the traditional public administration argument has centered on the two “e"s: Is it efficient, and is it effective? We simply add a third “e:” Is it equitable?

• Polices and practices
• Digital divide considerations
• Implementation and compliance

As one can see, rather than listing sample position descriptions of CIOs, listing required skill sets seemed to serve as a better example of the growing complexity they face. The demands have grown, as have budgets and expectations. And, there appears to be a new trend toward hiring either CIOs from the private sector or hiring technology executives with broader, perhaps less technical, skills, too.

At least for the midsize city and county, the CIO must be a great leader and have the ability to address many divergent audiences. He or she needs to be a translator as well as an arbiter between the pure techies and the pure non-techies. There is no doubt that after listening to the hundreds of technology executives throughout the U.S., everyone expressed a deep commitment to their jurisdiction, and, despite some imposing challenges, they love what they do!

So far, this chapter has summarized the current state of the local government CIO. Many of the newer CIOs spoke of anticipating their next job. They mentioned that what is often overlooked is the need to know what to ask for that next CIO position. A number of new CIOs stated they wished they had asked better questions during the interview process. And, for those who believed they asked the right questions, or for those intending to apply for a CIO position, what follows stems from years of experience in the field and can simply be called the 20 questions you need to ask before you accept your next position.

What every CIO needs to ask before accepting

It is not only important to ask these questions, it is equally important to wait for the answers. Many people get so excited that they fail to understand the answers to their questions or shrug them off as not being that important. But, once you have accepted a new position, it is usually too late to make any real changes to your understanding or employment contract. No matter how excited one may be, it is important to take the time and do the necessary due diligence.

20 must-ask questions and must-know answers

• Whom do I report to?
• What were the incumbent’s strengths and weaknesses?
• What do you see as the primary opportunity and challenge?
• What are the jurisdiction’s top five goals?
• What is the capital budget?
• Who decides the budget?
• How involved is senior management?
• How involved are elected leaders?
• How will success be measured?
• How competent is the current IT staff?
• What are the five biggest problems IT staff have recently faced?
• How is the IT function viewed within other departments, divisions and agencies?
• How much latitude will I have in innovation?
• How will IT interface with other agencies, divisions and departments?
• What kind of discretionary budget will I have? For travel, memberships, training, subscriptions, PDA, data air card, research?
• What resources will I have for my staff — personal development, training, memberships and subscriptions?
• How is IT defined?
• How is the overall strategic plan decided? What is the process? Who is in charge?
• How much real political support can I expect from: a. The chief executive? b. Key elected leaders? c. The citizen community?
• How do you want me to primarily report to you? a. Weekly briefings in person? b. Daily briefings? c. E-mails? d. Written reports? e. A combination of the above? In what order of preference?

The future city and county CIO leader

The role of the new CIO leader is emerging, but as pointed out earlier, the skill sets will need to change, too. Not only is technology changing at an unprecedented and exponential rate, but so, too, is the U.S. population. It is estimated by the U.S. Census Bureau that there will be 60 million people more added to the U.S. population by the year 2030.Local governments provide numerous population-sensitive services that must be provided in increasing volumes with population growth (e.g., roads, education, garbage collection, policing, social services). Technology will have to play a key role in helping to provide better quality services in ways that also save time and taxpayers’ money.

A survey of CIOs that PTI and Input conducted in the summer of 2008 yielded an impressive 15.5% response rate. Responses were from jurisdictions within 37 states. When asked about priorities, public safety/interoperability and e-government services far outpaced the rest of the field. That is probably due to the fact that police officers are the single largest employee outlay of city and county governments.

Also, the large number of e-government related transactions and services lend themselves to delivered self-service. There was also a renewed effort to develop systems for greater citizen transparency and engagement, especially for financial and budget information.

We know from hundreds of interviews and surveys that the CIO position is receiving heightened attention, and the position itself continues to involve. The need for greater professional development leading up to actual CIO certification is sorely needed. And, given the make-up of the new city and county CIO leader, it would not be surprising to see greater turnover, as many CIOs have expressed the only way to advance financially is to move to another jurisdiction.

The CIO leader of the future will have been exposed to technology at an earlier age and will be more impatient with the slow pace of change typically found in local government. But, at the same time, many will accept the pace as a welcome trade-off from the high-pressure, short-term goals often associated with the private sector. Quality of life issues will become more important to the next generation, and that will help balance impatience with the greater public good.

Technology solutions are no longer a luxury for local governments, as they must continually seek ways to satisfy their customer/citizens, just as private companies struggle with much the same.
The CIOs whose collective commentary found its way into this chapter all strongly agree that they truly enjoy the challenges of working for the public good. And that’s good for all of us.

Discussion questions

• What are the various pros and cons of specific reporting relationships?
• Is the title for the current technology executive reflective of today’s environment?
• What are the five greatest technology-related challenges facing your jurisdiction?
• Would having a CIO certification course help you to better realize your career goals?
• What are the top three questions that stand out among the 20 questions, “What every CIO needs to ask before accepting…”
• How will the newer generation CIO differ from his or her predecessors?
• Is it a good or bad thing to hire new CIOs from the private sector? Why?
• What kind of discretionary budget do you have for training, memberships, consulting, etc.?
• What is your total IT budget, and what portion do you have responsibility for?

04-16-2010     Send a link     CIO Library     Print version