Information Technology Strategic Plan

Introduction

The purpose of this document is to establish a foundational guide intended for use by government entities that are considering developing an Information Technology (IT) system. This guide serves as a model to aid in the initial setup and development of an IT strategic plan for your agency. This guide also lists several pre-planning steps that describe the basic work and typical products that are essential to creating an IT strategic plan.

Technology Trends

As government entities become aware of the benefits derived from implementing information technology in everyday operations, the demand for growth in this area has become monumental. A large number of agencies from the Internal Revenue Service to rural police departments have been inundated with requests from the public to make information more accessible. As a result, these agencies are turning to modern technology for solutions. An important trend in information technology is the explosive rate at which technology is being enhanced with updated technology on the market. Today’s latest computer system will become an average system in less than a year, and it will become obsolete within two years. Agencies cannot afford to budget for only the initial purchase of computers and components. Therefore, an awareness of system maintenance and system upgrades is crucial in order to keep those systems fully operational and viable as modern, technical systems. There are five established technology needs:

Computers at all levels will continue to become more powerful and affordable -This trend will continue and impact data integration and performance between agencies.
Computer-based, multi-media networking - The Internet explosion has demonstrated the impact of tying together millions of computers. This connection of computers will increase convergence between voice, television and computer communication.
Growing sophistication of persons in the personal and business uses of information technology -As citizens become more conversant with IT, it impacts their personal and business lives.
Planning -As government agencies pursue new technologies, several areas of development and planning must be acknowledged in order for the information technology transition to be successful on a long-term basis. Agencies must be aware that the sharing of information within and outside of an agency is of extreme importance, as the push for integration at the local, state, and federal levels increases. The sharing of information requires connectivity to the outside world through the Internet. Government officials should spend as much time seeking high quality, reputable Internet providers as they do with computer technology procurements.
Personnel -The constant task to hire and retain qualified technical staff is a struggle in this technology era. The public sector typically cannot afford to hire highly skilled technical personnel, so they often have to lower their expectations to match the available funding for these positions. For example, an agency may hire computer personnel with limited experience, and then provide training in an effort to improve their abilities and performance. Unfortunately, this training and experience often results in the technician leaving for a higher paying private sector job. Agencies must be aware of this trend and act creatively to address their technical personnel needs. Solutions might include partnering with neighboring agencies to share technical personnel, associated costs, and working with local colleges and universities to create internship positions.

It is impossible to predict exactly how and when technology will affect our lives, but the basic trends are clear: each technology trend builds on another. Referencing your state's IT plan should provide an ideal source when developing your agency's initial strategic plan. Consulting your state’s IT department is necessary in order to adhere to any required state procurement and contractual agreements. A listing for each state's IT department can be found in Appendix C.

A New Vision

Information technology is important for an agency's economic development, quality of life, and safety for its citizens. Computers, networks, and the information they bring are becoming major factors in the lives of individuals and businesses everywhere. Information technology within an agency is important because it improves the functioning of the agency. The importance of IT is found in its impact on how each agency conducts business, in managing agency information, in providing services to citizens, and in effectively using the agency's financial and human resources.

What Can Information Technology Mean?

Information technology dramatically changes how government and agencies do business, both from an external perspective (that of citizens and businesses) as well as an internal one (that of government agencies).

Public Sector

Electronic commerce is a fast and predominant means of conducting business with an agency; however, it is not the exclusive process. The agency will continue to provide service in person, by telephone, or through written correspondence to accommodate those who lack or prefer not to use electronic means.
The general public will be able to communicate with the agency from their homes or places of business by telephone or personal computers for any type of service.
Internet access is quickly becoming a primary form of communication among agencies. Utilizing the Internet, information can be exchanged, services can be provided, and information sharing can be greatly expanded.
Electronic communication access will expand to alternate locations (libraries, county offices, schools, etc.).

Agencies

Agencies will have access to support advanced technologies, assist in determining plans, projects, and service objectives through connectivity and access to Internet resources.
Agency IT plans will be coordinated to incorporate the ideas and strategies of other agencies, to take advantage of opportunities for information sharing, resource sharing, and the elimination of duplicate efforts.
Agency directions for general public access to government and cross-agency connections will be defined so that each agency can confidently plan its individual projects and plans.
Agencies will have access to design and implementation support, and assistance in development and implementing their projects to ensure success in their activities. This will include effective project management to ensure these tasks are completed in a timely manner.

Statutes, regulations, and agency policies will need to be coordinated to eliminate unnecessary barriers of general public access, electronic services, and information sharing.

Strategic Planning

Step One - Getting Ready

In order to design a strategic plan, an organization must first assess if it is ready. While a number of issues must be addressed in assessing readiness, the determination essentially comes down to whether an organization’s leaders are truly committed to the effort, and whether or not they are able to devote the necessary attention to the big picture.

Establish Governance Structures and Enhance Multi-Jurisdictional Support

Identify and evaluate management structures in place that are responsible for agency integration issues. These management groups need to be focused on the goal to enhance information sharing between their respective justice agencies. This will require cooperation and collaboration between the agencies. Memorandums of understanding and informal agreements or resolution action may be required.

To better educate and inform the involved stakeholders, meetings such as technology summits and site visits to police departments or court systems to view integrated technology systems may be beneficial. Attendance at council meetings will offer opportunities to address positive aspects of these efforts and to gain needed political support.

To maintain continuity in the infrastructure, each agency should select a Chief Information Officer who would be responsible for overseeing the integration efforts. Serious consideration must also be given to selecting an oversight committee made up of members from each of the affected divisions/departments to manage any efforts to integrate the agencies.

An organization that determines it is ready to begin strategic planning must perform five tasks to prepare for an organized process:

Identify specific issues or choices that the planning process should address.
Clarify roles and decide who performs what task in the process.
Create a planning committee.
Develop an organizational profile.
Identify the information that must be collected to help make sound decisions.

Government entities have a responsibility to utilize information technology tools to provide effective services and provide citizens access to public information. Information about government services should be readily available for viewing and processing via the Internet. In addition, the services should be user friendly to the public sector and the agency’s personnel.

Enhance Criminal Justice Information Laws, Policies, Procedures, and Practices

This initiative will stress the importance of reviewing and revising, if necessary, criminal justice policies, procedures, and work practices to design processes that enhance the efficiency of the services they support or provide. Utilizing the enhanced networks provided by this project, efforts to streamline information sharing practices become a logical and important step within the overall integration process.

The product developed at the end of Step One is a work plan.

Step Two - Articulating Statewide Vision and Mission

Vision Statement

A vision statement should be realistic and credible, well articulated, easily understood, and responsive to change. It should orient the agency’s energies and serve as a guide to action. It should also be consistent with the organization's philosophy, and it should challenge and inspire the agency to achieve its mission.

Example Vision Statement

Assure standardized, effective, and efficient agency-wide access to information and services.

Mission Statement

A mission statement states an agency’s values and objectives. An organization’s ability to articulate its mission indicates its focus and purpose. Consequently, a mission statement describes an organization in terms of its:

Purpose - why the organization exists and what it seeks to accomplish.
Business - the main method or activity through which the organization tries to fulfill this purpose.
Values - the principles or beliefs that guide an organization’s members as they pursue the organization’s purpose.

The mission statement is a written statement of the organization’s purpose that supports the vision statement yet in a more detailed manner. It should be developed collaboratively and reflect the primary role of the agency. In other words, "What is the purpose of the agency within a larger context such as society?" Sometimes it is appropriate for segments within an agency to have sub-mission statements that support the general mission.

It is imperative that the mission statement coincides with your state's IT mission statement. Refer to this statement when developing an agency IT mission statement. To develop a mission statement, identify and establish the following guidelines:

Provide an appropriate technical infrastructure that is needed for information processing and electronic communications, including networks, shared computing platforms, and foundation software.
Supply assistance to other agencies in the planning, design and development of information systems. Assistance is valuable regardless of the technical skill level.
Support the agency or the state’s designated Chief Information Officer/Department in establishing plans, policies, and standards that promote efficiency in the use of information technologies.
Ensure that the agency’s information technology investments take advantage of cost-effective measures in technology. This is often achieved by coordinating with your state’s IT department procurement division.

Example Mission Statement

Develop an information technology infrastructure that provides for easy access and a more responsive approach to the needs of its citizens, regardless of location, while making investments in government, education, health care, public safety, and other services and processes more efficient and cost effective.

Having created vision and mission statements, an organization has taken an important step towards creating a shared, coherent idea of its strategically plan. At the end of Step Two, a draft vision and mission statements are developed.

Step Three - Assessing the Situation

Once an organization has outlined its vision and mission statements, it must take a comprehensive look at its current situation. This part of strategic planning needs an awareness of resources and a firm grasp on future goals so that the agency can successfully respond to changes in the environment. Assessing the organization’s strengths, weaknesses, and performance will highlight the critical issues that the organization faces and that its strategic plan must address. These could include a variety of primary concerns, such as funding issues, new program opportunities, changing regulations, or changing needs in the client population.

The products of Step Three include information that can be used to make decisions, a list of critical issues, which demand a response from the organization, and the most important issues the organization needs to examine.

Step Four - Developing Strategies, Goals, and Objectives

Once an organization's mission has been affirmed and its critical issues have been identified, strategies, goals, and objectives may come from individual inspiration, group discussion, and formal decision-making techniques. But in the end, the leadership agrees on how to address the critical issues. This can take considerable time and flexibility, and discussions at this stage frequently require additional information or conclusions that were reached during the situational assessment. It is even possible that new insights will emerge that may change the thrust of the mission statement. Therefore, it is important that strategic planners are not afraid to revert to an earlier step in the process and take advantage of available information to create the best possible plan.

Strategic Goals

The following list contains suggestions for strategic goals to be considered when developing an IT plan:

Consider the resources to be integrated with other agencies to ensure that the goals and objectives of all parties involved are supported.
Document information from development to implementation that will be valuable in the development of future projects and troubleshooting situations.
Identify opportunities that will direct funds towards new technologies.
Improve the efficiency and effectiveness of services through information and communication technologies.
Explore information and communication technologies that improve the quality and safety of life.
Provide easy and affordable public access to information, services, and processes.
Develop a scalable, reliable, and efficient agency-wide telecommunications infrastructure:
- Improve agency efficiency and effectiveness.
- Expand citizen access to agency information.
- Enhance services and processes for citizens.
Coordinate the agency’s telecommunications infrastructure:
- Develop new approaches to aggregate demand, reduce costs, and create support networks.
- Encourage collaboration among communities of interest.
- Encourage competition among technology and service providers.

The product of Step Four is an outline of the organization's strategic directions, including its general strategies, long-range goals, and specific objectives of its response to critical issues.

Step Five - Completing the Written Plan

Step Five involves writing the identified critical issues, goals, and strategies agreed upon. The product of Step Five is a formal statewide strategic plan.

Current Operating Environment

This section deals with aspects of information technology and its management in agency operations. Much of this information, if applicable, can be obtained from your respective state’s IT department. Areas to explore include, but are not limited to the environment, the agency, the politics, and the obstacles.

The Environment

IT resources, including cabling and switching/routing for existing wide area networks.
Existing telecommunications planning and coordination.
Access to information to and from other agencies.
Neighboring agencies with similar information needs apply technology and challenges they have experienced.
Determine the availability of agency resources, with long-term implications for support costs and agency performance.
Determine whether agency-collected data may be valuable or available to outside users and other agencies.
Partner with other agencies to meet obligations to the general public if viable or required.

The Agency

Complex technology requires increased support to decrease the risk of failure in vital operational systems. Coordination with a state IT plan is necessary to ensure compatible operating systems.
Federal or other external funding sources for agency activities frequently impose constraints, which can hinder agency efforts to coordinate IT (for example, expenditures are limited strictly to the one program for which the funds were intended; support of any other program is prohibited).
There is a cost for coordination, in terms of staff time devoted, and there is a cost for leadership, in terms of the effort required to monitor activities and persuade individuals and outside agencies to act in concert. These costs may not be directly offset by quantifiable benefits.

The Politics

The political nature of state government makes for an unstable environment for long-term planning, with no guarantee of continuity in support for IT directions. It is imperative to stay updated of information technology legislation passed at the state legislative level.
Other levels of government play roles in the delivery of agency services. Counties and municipalities serve as agents of the state in areas where there are few state offices, and the federal government is a significant source of funds and direction.
Agencies are indirectly judged by each other's IT performance. Success by any one agency in IT development encourages supports for all other agencies' efforts. Conversely, IT failure within one agency casts doubt on every other agency's work.

Obstacles

Agency’s Individual Agendas - Each agency is built around specific missions and functions, servicing a certain constituency, and subject to unique pressures. Agency appropriations and external revenues depend on their mission requirements.
Agency's Individual IT Deployment - Agencies develop their own capabilities for implementing and managing their IT assets. Those agencies without the resources to do so frequently do without. While this indicates a spirit of independence and self-reliance, it may mean that agencies miss opportunities for applying another's experience or resources toward their own problems.
Agency's IT Resource Limitations - Agencies try to keep up with rapidly changing technology and support the increasing pace of operations while facing budget-driven pressures to do more with less. Inconsistent and outdated policies, limits on agency authority, barriers to hiring and retaining qualified technical staff, and uneven comprehension of IT's role have wreaked havoc towards the development of sound IT systems. It is difficult to meet both agency needs and expectations of their participation in cross-agency activities.

Framework for the Strategic IT Plan

The result of achieving the vision of citizen-centered, IT supported government service can be categorized in six themes, which will provide a framework for the remainder of this plan. Each theme works in conjunction with the other. Therefore, it is important that each of them is thoroughly researched to ensure the success of all the themes. The Strategic Information Technology Planning themes initiate the vision and strategies that develop into specific goals, objectives, program needs, and policy needs for government agencies and the state.

Planning Themes

Access to Public Information - Every citizen has efficient and convenient access to government services and information, as appropriate under laws governing privacy and the Freedom of Information Act. Agencies freely exchange data whenever needed, subject to these same laws.
Effective Use of Government Resources - Government services available to the public sector takes the maximum advantage of shared government resources, operates as a single enterprise with multiple points of contact, and eliminates unnecessary duplication of information processes.
Economic and Community Development - An agency’s information technology capabilities are positive attributes for attracting new business, promoting economic development, and improving the quality of life and safety for its citizens.
Agency Interconnection - Each agency and employee is provided the capabilities to electronically connect to any other agency allowing for quick access and exchange of information.
Agency IT Management - Every agency practices effective and efficient management of its information and information technology resources.
Information Technology Awareness and Education - Both government agencies and the public sector need to understand the opportunities and advantages of information sharing and information technology through education.

Issues to be Addressed

Issues are areas of concern that must be identified to successfully achieve the six planning themes. These issues may currently occur within an existing automated system, or could be identified for possible future problems. Some issues will require legislative action for necessary authorization and/or funding. The authorization of funding may have been previously procured by the state's IT department. Refer to your state's IT plan to determine what funding procurements have been mandated via state legislation.

Multiple or Singular Fragmented Databases

Disparate portions of data pertaining to individual citizens, businesses, and organizations that is scattered throughout various agency databases make it difficult to obtain composite/compatible profiles of the data. The information within an agency’s database must be compatible in order to ensure that it can be properly shared.

Multiple Identifiers - How will the organization ensure personal identification in agency records to allow for services that cross agency, and sometimes state boundaries, while considering the privacy of the individual? Different systems have a unique identifier for a single individual or company, making cross-system matching difficult and sometimes requiring service recipients to track numerous identification numbers as the common identifier.
Cost Recovery - To what extent should costs for agency services be recovered through information access fees? Would such fees impose an unacceptable burden on citizens seeking public information? Is this an allowable function that the state’s legislature has deemed acceptable for the agency to pursue?
Accommodate Non- IT Access - Many citizens prefer to deal with an agency without using information technology. They must have access to information and services when the predominant mode of agency business shifts to electronic access. Other options of electronic access (in lieu of the Internet) are phone, fax, or face-to-face contact.
Obscurity and Inconsistency in Government Access - Citizens are frustrated when they receive inconsistent answers to a question or request for services from different agencies, based on differing interpretations of statute or regulation. Consequently, the need for data uniformity and cross platform access of information becomes crucial.
Accessibility of Archived Records - The designated "archivist" is responsible for storing electronic as well as paper records. The variety of data formats and retrieval mechanisms across agencies adds complexity to this task. Common archive processes are in paper file format, scanned to a disk or electronic tape.