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  • 1. Department of Commerce Guidelines Information Management and Technology (IM&T) Strategic Planning Guideline Issue No: 4 First Published: Jun 1997 Current Version: May 2003 Table of Contents 1. INTRODUCTION ................................................................................................2 1.1 IM&T vs. ICT........................................................................................................................ 3 1.2 IM&T Strategic Plan vs. ICT Business Cases ..................................................................... 3 2. PURPOSE OF THE GUIDELINE ........................................................................4 3. IM&T STRATEGIC PLANNING CONCEPTS .....................................................4 4. STRUCTURE OF THE GUIDELINE ...................................................................4 5. INTRODUCTION TO THE IM&T STRATEGIC PLAN ........................................5 5.1 Purpose of the plan ............................................................................................................. 5 5.2 Scope and Nature of the Plan ............................................................................................. 5 5.3 Context of the plan .............................................................................................................. 6 6. OUTLINE OF CURRENT POSITION..................................................................6 6.1 Agency snap-shot and current business environment ........................................................ 6 6.2 Current ICT environment..................................................................................................... 6 6.3 What is the current IM&T strategy and how successful was it in achieving its objectives .. 7 7. ISSUES DRIVING CHANGE IN THE CURRENT ENVIRONMENT ....................8 7.1 ICT and wider government policy drivers and priorities ...................................................... 8 7.2 Sector developments or multi-agency business or service opportunities ........................... 8 7.3 Agency business objectives and SRAA drivers .................................................................. 9 7.4 Stakeholder needs .............................................................................................................. 9 7.5 Funding or staffing imperatives ........................................................................................... 9 7.6 Planned obsolescence and / or system failures occurring .................................................. 9 7.7 Emerging technologies and application improvements..................................................... 10 8. IM&T STRATEGY.............................................................................................10 9. PROJECTED OUTCOMES AND DELIVERABLES .........................................11 10. GOVERNANCE AND MANAGEMENT.............................................................11 10.1 The IM&T Steering Committee.......................................................................................... 12 10.2 The Chief Information Officer ............................................................................................ 13 10.3 Business Unit Managers ................................................................................................... 14 10.4 Governance and Management frameworks ...................................................................... 14 APPENDICES ...............................................................................................................16 Appendix 1 - IM&T Strategic Planning Process Steps ................................................................ 17 Appendix 2 - IM&T Strategic Plan Template ............................................................................... 16 Appendix 3 - Form 1 - Schedule of Current Projects................................................................... 16 Appendix 4 - Form 2 - Schedule of Proposed Projects ............................................................... 16 Appendix 5 - Form 3 - Project Briefs ........................................................................................... 16 Appendix 6 - Form 4 - Progress update on Current IM&T Strategic Plan ................................... 16 Appendix 7 - Current ICT Environment ....................................................................................... 25 Appendix 8 - IM&T Steering Committee Terms of Reference ..................................................... 28 Table of Figures Figure 1: Relationship of IM&T Strategic Planning to Corporate Planning and Government Directions...... 2 Information Management and Technology (IM&T) Strategic Planning Guideline Page 1 of 30
  • 2. 1. Introduction All agencies are required to update and review their Information Management and Technology (IM&T) Strategic directions on an annual basis in accordance with the NSW Government Strategic Management Framework, and the Premier’s Department annual Circular called INFORMATION TECHNOLOGY – Review of Information Management and Technology Strategic Plans. The annual Premier’s Department Circular describes the policy objectives of the Government, and provides guidance about what agencies need to address in the review of their IM&T Strategic Plans. Consequently, this IM&T Strategic Planning Guideline should be read in conjunction with the annual Premier’s Department Circular. In reviewing IM&T strategic directions, agencies are required to ensure that their use and application of Information and Communications Technology (ICT) is consistent with wider Government policies and priorities (for example, Social Justice), supports individual agency business objectives, is aligned with the ICT strategic directions and priorities of the Government, and actively contributes to efficient Government practices. This relationship between IM&T strategic planning and corporate planning and government directions is described in Figure 1. Wider Government policy directions and priorities (eg, Social Justice) Whole of Government ICT Strategic directions and priorities Corporate and Business Plans IM&T Strategic Plan Figure 1: Relationship of IM&T Strategic Planning to Corporate Planning and Government Directions IM&T Strategic Plans should encompass a two to three year period and provide a framework against which the agency demonstrates that its use and management of ICT is consistent with its corporate objectives as well as wider government policies and business objectives. This Guideline has been designed to assist agencies with the process of developing IM&T strategies and preparation of an IM&T Strategic Plan. It describes the IM&T strategic planning process steps, provides reporting forms and a template for preparing an IM&T Strategic Plan. Information Management and Technology (IM&T) Strategic Planning Guideline Page 2 of 30
  • 3. Agencies that are not due to prepare a new strategic plan are required to prepare a progress update report outlining any changes in strategic directions and/or project priorities, project progress and a timetable for the preparation of a revised Strategic Plan. Form 4 - Progress Update on Current IM&T Strategic Plan is attached to assist with preparing a Progress Update report. Progress Update reports should include schedules of current and proposed projects as outlined in Forms 1 and 2, as well as a Project Brief (Form 3) for each project included in Forms 1 and 2. 1.1 IM&T vs. ICT In 1997 the NSW Government launched the Information Management and Technology (IM&T) Blueprint which sets the direction for the strategic use of ICT by NSW Government agencies. The on-going evolvement of ICT in government, industry and the wider community has brought a change in the use of terminology from IM&T, when the Blueprint was first released, to ICT. The change reflects the distinction between management of the information and technology resources (as in IM&T) and describing the components being managed (as in ICT). Hence, this Guideline retains use of the term IM&T in relation to the management, governance and accountability issues that agencies must address. It also uses the term ICT in relation to the resources or components being managed. 1.2 IM&T Strategic Plan vs. ICT Business Cases Agency IM&T Strategic Plans are referred to by the Office of Information Technology (OIT) when analysing funding submissions (business cases) for new ICT proposals to ensure there is alignment between the business case(s) and the Plan. OIT works with other central agencies to ensure that all agency IM&T Strategic Plans and proposals for new ICT investments are aligned with wider government priorities and ICT directions, as well as taking account of wider benefits to the community. Therefore it is important that all agency business cases for new ICT proposals clearly demonstrate how the investment will satisfy a range of government and community needs as well as those of the agency as articulated in their IM&T Strategic Plan. This applies to proposals being funded from within existing agency resources as well as from new investment funding being sought through the annual Budget process. OIT also works with agencies to determine how their individual business objectives can be effectively met while maximising the value of new ICT investments for the whole NSW community. The Business Case Development, Benefits Realisation Guidelines and Business Case Template, available on the OIT web site at www.oit.nsw.gov.au provide specific guidance in preparing ICT business cases. Both Guidelines provide a framework in which agencies can identify anticipated business benefits from business change initiatives involving an ICT investment. The Guidelines are consistent with the increasing emphasis by the Government on performance management reporting for all program and service delivery Information Management and Technology (IM&T) Strategic Planning Guideline Page 3 of 30
  • 4. activities. They reinforce the link between ICT investment and Strategic Resource Allocation Agreement (SRAA) Outcomes (in place for some General Government Budget Dependent agencies) or key performance indicators in agency Corporate Plans (for other agencies). 2. Purpose of the Guideline The purpose of this Guideline is to: • Provide guidance for agencies in how to undertake the IM&T strategic planning process; • Provide guidance in the preparation of the content of an IM&T Strategic Plan; • Describe the IM&T strategic planning process; • Provide reporting forms to assist in structuring project and update information; • Provide a template to assist in the preparation of the IM&T Strategic Plan. 3. IM&T Strategic Planning Concepts IM&T strategic planning involves planning for business systems, information management and information and communications technology. IM&T strategic planning also includes establishment of appropriate governance and accountability structures to ensure that Government, corporate and business objectives effectively drive the IM&T strategies being pursued. The planning process should also take into account wider government business objectives to ensure the needs of key stakeholders are met. It follows that IM&T Strategic Plans are an integral part of agencies’ corporate and business plans. An IM&T strategy is a support strategy that exists to underpin the agency’s core business strategies and defines: • The business benefits and outcomes to be achieved by the agency through the pursuit of its IM&T strategy; • How the IM&T strategy will enable the agency to contribute to the Government’s ICT and wider policy objectives; • The key projects by which the agency’s IM&T strategy will be implemented; • The way in which achievement of benefits will be managed, and the timing of their realisation. Appendix 1 of this Guideline defines and describes the IM&T strategic planning process in four key steps: Step 1 - Develop IM&T Strategic Vision Step 2 - Develop IM&T Requirements Step 3 - Develop IM&T Strategy Step 4 - Commit to IM&T Strategy The timing of the steps should be aligned with agencies’ own corporate and business planning cycles. 4. Structure of the Guideline Information Management and Technology (IM&T) Strategic Planning Guideline Page 4 of 30
  • 5. The key drivers and priorities of an agency corporate plan will vary from time to time in accordance with changes in wider government directions and policy priorities, as well as stakeholder and client needs. This will require a corresponding shift or refocus in IM&T drivers and priorities. An IM&T Strategic Plan represents a snapshot at a particular point in time, and the focus and emphasis of the strategy will vary from period to period. Hence this Guideline should be considered a guide to best practice, rather than a prescription. The Guideline includes suggested mechanisms for addressing wider Government policy priorities and ICT directions, as well as actions to ensure that each agency’s individual corporate and business goals are supported by IM&T strategies that are measurable with specific outcomes and deliverables. The remaining sections of this Guideline discuss the various sections that should be included in the IM&T Strategic Plan and what sorts of issues should be taken into consideration when developing the IM&T Strategic Plan. A detailed outline of the IM&T strategic planning process steps that can be followed is attached as Appendix 1 to this Guideline. Appendix 2 contains an IM&T Strategic Plan Template that provides the format for preparing the IM&T Strategic Plan. The remaining Appendices provide other tools, including the required project reporting forms that are discussed in the Introduction to this Guideline. 5. Introduction to the IM&T Strategic Plan 5.1 Purpose of the plan The purpose of undertaking an IM&T strategic planning process is to look ahead and determine whether the existing ICT environment in an agency will effectively support future business needs and wider government policy priorities. The IM&T Strategic Plan should therefore reflect the consideration and assessment an agency has given of the following issues: • Its current position (agency snapshot); • The issues driving change; • The IM&T strategy the agency will adopt to address these issues; • The measurable outcomes and deliverables that will be achieved by implementing the strategies and projects outlined in the IM&T Strategic Plan; • The governance and management framework that will be adopted to assign responsibilities for achieving the desired outcomes. 5.2 Scope and Nature of the Plan The fast pace of technological advances since 1990 means that it is not possible or meaningful to accurately predict which kinds of technology will be needed in the business beyond a two or three year planning horizon. It is suggested that IM&T Strategic Plans generally cover a three-year planning Information Management and Technology (IM&T) Strategic Planning Guideline Page 5 of 30
  • 6. horizon with annual reviews. If an agency decides to use a different planning horizon this needs to be explained and justified within its own business context. An IM&T Strategic Plan is essentially a communication tool (as is any corporate or business plan) used by an agency to describe and justify the way it manages and applies its ICT resources. The IM&T Strategic Plan may be used to demonstrate how the agency is: • Aligning technology with wider government and agency priorities; • Disseminating knowledge about technology needs and constraints; • Building alliances with key decision-makers; • Assigning responsibilities for managing ICT resources and achieving desired outcomes; • Bidding for (and obtaining) financial and other resources; • Addressing existing technology needs; • Keeping an eye on the leading edge. It is critical to remember that an IM&T Strategic Plan is a statement about priorities and their implementation, given the best knowledge at the time of planning, and that all kinds of events may cause the reality to be different from the Plan. This is the reason that the NSW Premier’s Department requires all agencies to review their IM&T Strategic Plans annually and provide a progress update report to OIT using Form 4 (attached as Appendix 6 to this Guideline). 5.3 Context of the plan The IM&T strategic planning process outlined in this Guideline should ensure that any IM&T initiatives are linked effectively with business planning, and that the IM&T Strategic Plan is clearly aligned with the agency’s corporate planning framework of an agency. In stating the context of its IM&T Strategic Plan, agencies should therefore outline how the IM&T Strategic Plan aligns with its corporate planning processes and how it will use the IM&T Strategic Plan as a planning tool over the life of the Plan. 6. Outline of Current Position 6.1 Agency snap-shot and current business environment The purpose of providing a ‘snap-shot’ of the agency in the IM&T Strategic Plan is to illustrate the characteristics of an organisation, such as the mission and core objectives, number of staff, locations, core business, etc. It also needs to include an outline of the business environment such as; key stakeholders and customers, range of products and services provided, how and where clients can access products and services, average annual transaction volumes for core services, etc. These indicators help to put the IM&T Strategic Plan into the right context for the reader to understand the scale and scope business and service delivery priorities of the agency. 6.2 Current ICT environment Information Management and Technology (IM&T) Strategic Planning Guideline Page 6 of 30
  • 7. This section of the IM&T Strategic Plan provides an overview of the business and information systems and applications, telecommunications environment and information technology architectures and technical infrastructures being used in the agency. This information is the base line data against which the reader can compare the IM&T strategies and proposed ICT projects contained in the IM&T Strategic Plan. This section of the IM&T Strategic Plan should include a general technical environment summary as well as descriptions and analyses of the various application and system components. For example, the hardware description may comprise the elements that make up the hardware environment (servers, workstations, etc), what has been the acquisition and maintenance program, what problems or limitations are occurring, etc. It is recommended that the detailed information about an agency’s current ICT environment be contained in an Appendix to the main IM&T Strategic Plan. Appendix 7 of this Guideline gives a suggested format for this information. 6.3 What is the current IM&T strategy and how successful was it in achieving its objectives All NSW government agencies have been required to undertake IM&T strategic planning since 1997. Hence, most agencies have managed at least 2 major IM&T strategic planning cycles. As with any other business program, agencies should analyse the outcome of previous IM&T Strategic Plan initiatives so that these experiences can inform the current IM&T strategic planning process. That is, learn from mistakes and build on successes. This section of any new IM&T Strategic Plan should look at the implementation of previous IM&T strategies and assess how much of the previous strategy was achieved and the reasons why some objectives were not fully implemented. For example: • Were some strategies not pursued because government policy directions changed? How did this impact on the agency and were corporate and business plans revised as a result of the changes? • Was the scale of the proposed strategies too ambitious? Were there too many strategies and projects, which caused resources to be spread too thinly? Were individual strategies scoped so broadly that it was difficult to define meaningful outcomes and deliverables within the time frame of the Plan? • How successful was your participation in cross-agency or wider government initiatives? • How accurate were the predictions of the impacts of emerging technologies on the business? Did you take the lead in any sector initiatives and did you gain support from other agencies? Did you participate on any cross-agency or sector based initiative and was your input valued? • How effective was your governance and management framework in ensuring that the IM&T strategies were implemented according to the Plan and achieved desired outcomes? What changes would you make to strengthen the governance framework? Information Management and Technology (IM&T) Strategic Planning Guideline Page 7 of 30
  • 8. • Were any opportunities lost because they were not anticipated and did not fit the IM&T Strategy? • Were opportunities lost because the supporting business cases did not attract the necessary funding in the forecast timeframe? • Were there any functions of the business that were not addressed in the IM&T Strategic Plan and did the exclusion of these functions cause problems during the implementation period? 7. Issues Driving Change in the Current Environment 7.1 ICT and wider government policy drivers and priorities The NSW Government has adopted a series of whole-of-government strategies for the management and use of ICT to streamline and reform government business practices, reduce costs and improve service delivery within government and to the community and business. The NSW Government strategies are outlined in the Information Management and Technology Blueprint, connect.nsw, ICT Skills Action Plan, NSW Government Telecommunications Strategy, Premier’s Memorandum No:2000- 12 and other wider policy priority statements. Agency IM&T Strategic Plans should include a discussion of how each strategic direction is aligned with, and actively supports, whole of Government ICT strategic directions and wider government policy priorities. OIT has prepared a Quick Reference to Key ICT Strategies, Policies and Directions which is available from the OIT Website to direct and guide agencies in this task. The wider policy priority areas of government are targeted at improving government service delivery and agency internal business practices while accelerating online service delivery. Agencies need to consider initiatives that support these and other stated government policy and business objectives, contribute to agency outcomes, deliver value for money, support business integration and consolidation and accelerate enhanced service delivery. 7.2 Sector developments or multi-agency business or service opportunities In support of the Cabinet decision in May 2000 to improve information sharing within and between agencies (Premier’s Memorandum No: 2000-12, Meeting the Government’s Information and Communications Technology Strategic Agenda), the Government is encouraging agencies to work together where there are demonstrated business needs to streamline business practices and/or enhance service delivery to the community. Many agencies already participate in sector or cluster based information sharing forums or are involved in joint service delivery initiatives. Many of these initiatives are possible because of improvements in supporting technologies, such as Internet protocols and encryption. Information Management and Technology (IM&T) Strategic Planning Guideline Page 8 of 30
  • 9. Agencies are actively encouraged to explore how they can lead or participate in a range of multi-agency business and service delivery reform opportunities. Some of these are well underway with the implementation of the government Shared Corporate Services Strategy. Other multi-agency programs may focus on common business functions (such as the Government Licensing System project), common clients (such as the Human Services Better Service Delivery Program), or common service delivery opportunities (such as the Government Access Centres). 7.3 Agency business objectives and SRAA drivers NSW Treasury is introducing Service and Resource Allocation Agreements (SRAA) as part of the government Financial Management Framework. Treasury and some agencies have done a significant amount of work to develop meaningful agency performance indicators that are linked to agencies’ corporate objectives and business outcomes. IM&T Strategic Plans must demonstrate a clear link between the IM&T strategies and projects being pursued and the SRAA outcomes that will be met or supported. This can take the form of a table or matrix to present the information, but this must be accompanied by a narrative analysis of the extent to which the IM&T strategies will contribute to achieving the SRAA outcomes. Agencies that do not currently have an SRAA negotiated with NSW Treasury should instead demonstrate linkages to its corporate objectives and performance indicators. 7.4 Stakeholder needs IM&T Strategic Plans must demonstrate that key stakeholders have been consulted in the preparation of the Plan, as well as the development of key strategies, initiatives and projects. This will ensure that the IM&T strategies are not developed in isolation to the business and key stakeholders and that stakeholder needs are driving the desired outcomes of the Plan. 7.5 Funding or staffing imperatives IM&T Strategic Plans need to be developed in the context of wider organisational (agency) operational constraints and priorities. Business Managers have a responsibility to inform the IM&T strategic planning process of the operational factors such as planned or actual budget support and staffing imperatives that are influencing changes in ICT requirements. Consequently, all proposed IM&T strategies, initiatives and projects need to be adopted by the relevant Business Manager(s) prior to inclusion in the IM&T Strategic Plan. 7.6 Planned obsolescence and / or system failures occurring The assessment of the issues driving change in the current environment should include issues occurring with the current ICT environment and planned Information Management and Technology (IM&T) Strategic Planning Guideline Page 9 of 30
  • 10. redundancy or upgrade paths. For example, if an agency decided that its desktop equipment that has an average service life of 3 years, it may decide to replace 1/3 of its desktop equipment each year to spread the cost and disruption, or maintain some of its desktop equipment longer than 3 years. It is important that detailed information about the current ICT environment of an agency be contained in an Appendix to the main IM&T Strategic Plan. Appendix 7 of this Guideline gives a suggested format for this information, including the current status and future direction of each component. 7.7 Emerging technologies and application improvements Other issues driving change in the current environment generally relate to emerging technologies and application improvements. This part of the IM&T Strategic Plan should critically analyse the opportunities and costs of these issues. 8. IM&T Strategy This section of the IM&T Strategic Plan must clearly identify the changes in the business objectives and functions of the agency that need to be supported by changes in the IM&T environment (business systems, information management systems, ICT). This should be supported by a discussion about what will be changed, justification for the change, impact on the business, timeframe and resourcing. The information in this section should demonstrate how an agency intends to progress from its current situation and environment to a desired situation and environment at the end of the Plan timeframe. ICT projects are the means by which an agency can implement the strategies in an IM&T Strategic Plan. Consequently, descriptions about current and proposed projects provide the detailed information about how an agency intends to implement its strategies. This is also the reason why specific reporting forms have been developed as part of this Guideline to make the description and collection of this information more uniform for comparative purposes. This section of the IM&T Strategic Plan should provide an outline of existing projects and how these support the new strategy. It should also identify if any existing projects need to be re-focussed to fit the new strategy or abandoned altogether. This information is supported by completing Form 1 and Form 3, which are Appendices to the Plan. This section of the Plan should also provide an outline of all proposed projects and how these support the new strategy. This information is supported by completing Form 2 and Form 3, which are Appendices to the Plan. The final part of this section should outline the proposed IM&T Strategic Plan schedule in the form of a Gantt Chart that shows all existing and proposed projects, as well as any other key milestones of the IM&T Strategic Plan. Information Management and Technology (IM&T) Strategic Planning Guideline Page 10 of 30
  • 11. 9. Projected Outcomes and Deliverables This section of the IM&T Strategic Planning Guideline is a new requirement introduced in 2003 to reflect the increasing demands of the government and community for increased accountability. This means that any new initiative or investment (ICT or non- ICT) must be able to clearly state what benefits and service delivery outcomes will be delivered from the project and when they will be achieved. In addition, agencies must be able to demonstrate that they have a process in place to mentor and manage the achievement of the stated benefits and outcomes of a project or strategy. On 1 May 2003, the NSW Treasurer outlined new mandatory ICT project management and monitoring standards that are to be followed by all agencies, including State Owned Corporations. Further information on this new requirement can be found on the NSW Treasury web site. As a consequence of these new requirements on management and monitoring of ICT projects, this IM&T Strategic Planning Guideline has been revised to ensure that it also reflects improved governance and management standards. This new section of the IM&T Strategic Plan requires an agency to clearly articulate and demonstrate: • The measurable outcomes and deliverables that will be achieved by undertaking the strategies and projects identified in the IM&T Strategic Plan; • A process that has been established to manage, monitor and track the achievement of the desired outcomes and deliverables throughout the IM&T Strategic Plan’s lifecycle; • The evaluation framework that will be used to demonstrate achievements against the IM&T Strategic Plan. 10. Governance and Management There is overwhelming evidence in government and the private sector that a key element in the successful implementation of IM&T programs is the personal endorsement and ongoing support and engagement of the Chief Executive Officer (CEO). The personal endorsement and support of an agency’s CEO should ensure that IM&T programs are aligned with and support Government polices and priorities, as well as the agency’s individual business and program objectives. In undertaking an IM&T strategic planning process and developing an IM&T Strategic Plan, an agency should establish or review the governance and accountability structures that exist within the agency. It is the responsibility of the CEO and the Executive Management Team to determine IM&T governance, accountability and management requirements and to identify the actions needed to meet those requirements. This will usually require advice from the CIO and/or the head of the IM&T unit (if different from the CIO). The CEO and Executive Management Team are ultimately accountable for all elements of the business and IM&T planning processes, and must take ownership of the IM&T Strategy as part of the Corporate and Business Plans. The ICT elements provide the corporate infrastructure that supports delivery of the business systems. Information Management and Technology (IM&T) Strategic Planning Guideline Page 11 of 30
  • 12. IM&T strategic plans need to address all these governance, accountability and management issues. The priority and strategic importance of each of these may change from one planning period to the next, and these changes need to be reflected in the management mechanisms. IM&T Governance and Accountability generally refers to the processes by which the IM&T functions within organisations are directed, controlled and held to account. It encompasses authority, accountability, leadership, direction, and control exercised within the organisation. Key elements of IM&T Governance and Accountability includes; the transparency of operations, establishing effective risk management, continuity and internal control systems, and the accountability of IM&T Management to its agency through, for example, clear and timely disclosure. IM&T Management generally refers to how the IM&T functions utilise resources to achieve strategic and operational goals. Key elements of IM&T Management include strategic and operational planning; implementing and monitoring risk management and internal control systems; and providing accurate and timely communication of progress and results to the CEO and Executive Management Team. The review of IM&T governance, accountability and management in an agency may identify a need to introduce new governance, accountability and management arrangements, retain or decommission current arrangements, continue, modify or cancel current governance, accountability and management projects. In particular, it is necessary to review regularly the charter, functions and membership of committees that may be established to provide guidance, coordination and oversight of IM&T related activities, such as an IM&T Steering Committee or individual project Steering Committees. In addition to internal management structures and processes, each IM&T Strategic Plan should consider opportunities for collaboration on multi-agency initiatives, outsourcing or partnering with the private sector, funding business reform initiatives from benefits, or through private sector capital investment. The other positions and committees that should be given specific responsibilities in relation to developing and implementing an agency’s IM&T Strategies are the IM&T Steering Committee, the CIO, and Business Unit Managers. These are described below. Further information about the responsibilities that various positions hold in relation to management of individual ICT Projects can be found in the Project Management and Business Case Development Guidelines. 10.1 IM&T Steering Committee The IM&T Steering Committee is the key body convened to ensure that the IM&T strategies being pursued by an agency are aligned with its business objectives and financial plan. It’s role is to ensure effective use and management of the ICT resources of an agency, and that the agency only undertakes IM&T projects that have been planned within the scope of its IM&T Strategic Plan and forecast budgets. Information Management and Technology (IM&T) Strategic Planning Guideline Page 12 of 30
  • 13. The IM&T Steering Committee is responsible for: • Ensuring that IM&T strategies are aligned with wider government directions and policy priorities (such as social justice, regional development, public safety, etc), as well as the business objectives and financial plan of the agency. • Developing the IM&T Strategic Plan for approval by the Executive Management Team. • Improving the quality, management and value of information, business systems and ICT. • Taking action to ensure that the IM&T Strategic Plan is delivered within the agreed budget and timeframe. • Ensuring that the agency adopts a structured project management methodology that is used for all ICT initiatives and projects. There should be a standard process adopted which guides Project Managers through the process of customising the methodology to suit individual projects. • Ensuring that all IM&T strategies and projects have a Business Unit Manager fulfilling the role of sponsor. • Considering new projects that emerge outside the IM&T Strategic Planning cycle and investigate the impact and ripple through affect of their implementation on other projects, priorities, costs etc. in the IM&T Strategic Plan. • Monitoring the implementation of ICT projects against approved project plans, with particular emphasis on quality, risk management, benefits realisation and change management. • Ensuring that every project proposal and implementation plan achieves appropriate levels of user and stakeholder consultation and satisfaction. A more complete list of responsibilities and a suggested format for the Terms of Reference for the IM&T Steering Committee is provided in Appendix 8 to this Guideline. 10.2 Chief Information Officer The role of the Chief Information Officer (CIO) is to ensure that agency information management resources support the business needs of the agency and reflect the government's IM&T strategic priorities. The scope of CIO responsibilities should include, but not be limited to, all agency information and information-related activities including network and telecommunications services, data administration, publishing, libraries, archives and records management. Also included in this scope is information-related procurement services and project and contract management. The role of the CIO is to be accountable for planning and managing all information management resources to set corporate infrastructure standards and support the responsibilities of business managers in the agency. In this context, the role of the CIO is to provide executive-level support for the strategic Information Management and Technology (IM&T) Strategic Planning Guideline Page 13 of 30
  • 14. business planning, financial planning and business process reform of the agency. The CIO is responsible for: • Planning the information management, information technology and telecommunications components of the IM&T Strategy; • Business system planning; • Ensuring business solutions are appropriate to agency objectives and Government ICT strategies; • Ensuring business managers are aware of, and have access to, relevant information about opportunities arising from technology developments and Government strategies; • Ensuring business system requirements are specified to sufficient levels to enable rational and cost effective information and communications technology decisions to be made. Details of the relationships between the CIO and business unit managers will vary from one agency to another, but the essential principles are set out in the Chief Information Officer Guideline. 10.3 Business Unit Managers The role of Business Unit Managers is to ensure that the business needs of their area of interest is effectively represented in any IM&T planning activity, and that they take responsibility for the business process reform and relevant implementation activities of any IM&T initiative that supports their business. Business Unit Managers are responsible for: • Ensuring business solutions support agreed government and agency business objectives and outcomes; • Identifying and planning their business system requirements as an integral part of their business planning process; • Participating in IM&T strategic planning activities and project scoping studies, to ensure that their business needs are adequately supported by any new or enhanced IM&T initiative; • Undertaking the necessary business process reform activities of approved IM&T projects in accordance with the implementation plan; • Realising the benefits of approved IM&T projects where they have identified responsibilities in the Benefits Realisation Register; • Ensuring that business solutions support agreed government and agency business objectives and outcomes. 10.4 Governance and Management frameworks In addition to the specific roles and responsibilities outlined above, the IM&T Strategic Plan should provide a framework within which all IM&T activities are undertaken. This involves establishing governance and management protocols Information Management and Technology (IM&T) Strategic Planning Guideline Page 14 of 30
  • 15. and standards that will be used across the agency for any IM&T initiative or ICT project. The governance and management frameworks that agencies should establish and describe in the IM&T Strategic Plan include: 1) Project management methodology adopted; 2) Risk management framework adopted; 3) Change management framework adopted; 4) Benefits Management process adopted; 5) Information Security program adopted Best practice guidelines are available on these topics from the website. This section of the IM&T Strategic Plan should identify and describe the methodologies and frameworks that have been adopted for use in the agency for each of the 5 areas noted above. As each individual project progresses into the detailed planning phase, the methodologies and frameworks will have to be customised to suit the requirements of the project. Therefore, this section of the IM&T Strategic Plan should also outline a standard process that is to be used by all Project Mangers to customise the methodologies and frameworks for each individual project. On 1 May 2003 the Treasurer wrote to all Ministers to advise of the new requirement that agencies are to ensure that a structured project management methodology is used to manage ICT projects. The choice of methodology is left to the agency to determine according to its requirements and scale of projects generally undertaken. Information Management and Technology (IM&T) Strategic Planning Guideline Page 15 of 30
  • 16. Appendices Appendix 1 - IM&T Strategic Planning Process Steps Appendix 2 - IM&T Strategic Plan Template The IM&T Strategic Plan Template is available as a Word document. Appendix 3 - Form 1 – Schedule of Current Projects Form 1 - Schedule of Current Projects is available as an Excel document. Appendix 4 - Form 2 – Schedule of Proposed Projects Form 2 - Schedule of Proposed Projects is available as an Excel document. Appendix 5 - Form 3 – Project Briefs Form 3 - Project Briefs is available as a Word document. Appendix 6 - Form 4 – Progress Update on Current IM&T Strategic Plan. Form 4 - Progress Update on Current IM&T Strategic Plan is available as a Word document. Appendix 7 - Current ICT Environment Appendix 8 - IM&T Steering Committee Terms of Reference Appendices 2-5 form part of the IM&T Strategic Planning Template. Information Management and Technology (IM&T) Strategic Planning Guideline - Appendices Page 16 of 30
  • 17. Appendix 1 - IM&T Strategic Planning Process Steps Step 1 Develop IM&T Strategic Vision STEP 1.1 REVIEW CORPORATE & BUSINESS UNIT GOALS, DRIVERS & STRATEGIES Planning Activities: • Understand the external drivers of corporate and business plans, and the development priorities and goals of the agency in response to these. Identify major strategic issues and their likely impacts on future actions. • Ensure a comprehensive understanding of the customers of the agency and the services it provides or plans to provide to them. • Identify opportunities and plans for business unit, whole-of-agency and multi-agency or across government services and business initiatives. • Review and understand planned reforms or developments in the agency and its management, structure, services and business processes. • Identify, at a high level, the information and business systems required by the business processes. • Clearly identify and define, at a high level, the business benefits sought from planned agency reforms. • Identify current, new or changed performance indicators, performance targets and key result areas of the agency and its business units. • Identify key relationships between business drivers, business units, business processes, business reforms, and information and business systems requirements. • Clearly identify the relevant government policies, standards and other guidelines driving changes to the business objectives of the agency or influencing IM&T strategies. • Involve key stakeholders in reviewing the business drivers and emerging issues affecting the agency. STEP 1.2 ASSESS TECHNOLOGY OPPORTUNITIES Planning Activities: • Investigate new and emerging technologies and their possible application. • Investigate current and planned use of technologies by other organisations with similar or comparable needs. • Investigate current or planned infrastructure that might provide opportunities for joint or cooperative use with other organizations. • Identify mechanisms to encourage joint use of common ICT infrastructure and sector based initiatives. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 17 of 30
  • 18. • Assess any problems or limitations occurring with existing information systems, telecommunications and information technology infrastructure. • Review the government best practice guidelines Use of the Internet for Electronic Messaging Guideline in relation to Information Management, Information Security, Use of the Internet, Telecommunications strategy, etc to identify any areas that need to be strengthened. Develop strategies to strengthen these areas. • Ensure that a ‘Technical Proof of Concept study is undertaken and reviewed for all major projects valued at more than $10 million. • Assess the alignment of existing or planned projects with the agency ICT architectures and platforms and justify any proposed variation for individual projects or systems. Identify the cost and support implications of maintaining separate architectures. STEP 1.3 DEFINE IM&T STRATEGIC VISION The IM&T Strategic Vision is defined by reviewing, refining and consolidating the outcomes of Steps 1.1 and 1.2 above. Planning Activities: • Write the statement of the agency's IM&T Strategic Vision. • Review and refine the business benefits anticipated from achieving this ‘vision’. • Consolidate descriptions of the information, systems and technologies needed to achieve the ‘vision’. Preliminary decisions are made here as to whether or not changes in particular business processes or objectives require changes in the ICT environment. Assess the impact on the business, budget, other agencies, staff, clients, etc. • Identify and carry out a high level assessment of alternative approaches or streams of activity. Note that this step needs to be carried out largely in parallel with part of Step 2 below. • Identify the measurable outcomes and specific deliverables for IM&T activities over the planning period. • Validate and gain support for the strategic vision through consultation with key stakeholders within the agency and in any other relevant agencies. CEO, Executive Management team (and, possibly, Ministerial) support is required at this stage. As planning is an iterative process, performance of Step 1.3 may create a need to review conclusions from either of the prior steps, 1.1 and 1.2. Step 1 Checkpoint The objective of the checkpoint at this stage is to ensure that the CEO, the Executive Management team and key Business and IM&T Managers understand and agree the role that IM&T will play in supporting corporate objectives and business needs. Such agreement provides a valid basis for moving on to define the more detailed IM&T requirements and the strategies for meeting them. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 18 of 30
  • 19. Step 2 Develop IM&T Requirements STEP 2.1 IDENTIFY CURRENT IM&T SITUATION Planning Activities: The key activities involved in assessing the current IM&T situation are to: • Identify existing, in-progress and planned systems; • Identify business systems; • Identify information holdings / management; • Assess the ICT environment; • Review governance/management arrangements; • Review achievement of planned outcomes from IM&T activities in prior planning periods. See separate Benefits Realisation and Post Implementation Review Guidelines; • Formulate discussion papers and assessments as inputs into the analyses of requirements (Activities 2.2 through 2.5), and as a basis for assessment of alternative strategic directions. Validate through consultation with key stakeholders within the agency and in any other relevant agencies. STEP 2.2 DEVELOP BUSINESS SYSTEMS REQUIREMENTS Agencies are required to focus and prioritise their IM&T strategic directions on improving government service delivery and internal business practices and accelerating online service delivery. Agencies need to consider initiatives that support stated Government policy and business objectives, contribute to agency outcomes, deliver value for money, support business integration and consolidation and accelerate enhanced service delivery. Consequently, OIT in the Department of Commerce will focus its review of agency IM&T strategic plans on how well agencies are intending to meet these objectives. The review of agency IM&T Strategic Plans should also include a discussion of how agency strategic directions are aligned with, and actively support, whole of Government ICT strategic directions and priorities. OIT has prepared a Quick Reference to Key ICT Strategies, Policies and Directions which is available from the Website to direct and guide agencies in this task. An assessment of business system requirements should include current business needs, identified business reform projects, and support required for the corporate or business unit vision for the future. This assessment should establish high-level functional requirements, priorities and desired service levels. Further analysis may identify a need to introduce new business systems, retain or decommission current systems, continue, modify or cancel Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 19 of 30
  • 20. current business system projects, or retain, modify or cancel existing business system plans. For each identified requirement other than a decision to preserve the status quo, a project brief and business case will need to be developed. This is described later, in Step 3.2. The analysis also seeks to identify those business systems that may be grouped or combined for common use by more than one business process, and those which are specific to a single business process. The result of this analysis is usually termed a Business Systems Architecture, which identifies the current and required business systems, their usage and the relationships between them. Wherever there are identified opportunities for whole of government or coordinated multi- agency initiatives, the business systems architecture needs to span multiple agencies. A Business Systems Architecture is closely related to, and usually developed in parallel with, an Information Architecture, which is described later in Step 2.3. STEP 2.3 DEVELOP INFORMATION MANAGEMENT REQUIREMENTS (INFORMATION NEEDS ANALYSIS) The Information Needs Analysis should consider the needs of the whole agency as well as the individual business units. This process includes lifecycle management considerations such as: what information will be collected, how it will be stored and maintained, where can it be accessed, who can use it, and when will it be disposed of? It also includes characteristic management considerations such as: to what level of detail will information be defined, who should be made responsible for it, how will its sensitivity be protected and its quality preserved, and how can it be made more accessible? See the Information Management Framework Guideline for more detailed information. The analysis may identify a need to introduce new information holdings; retain or dispose of current information holdings; continue, modify or cancel current information management projects; retain, modify or cancel existing information management plans. The result of the analysis is sometimes called an Information Architecture which identifies what information is currently held by the agency and what information is needed over time to achieve the agency’s business outcomes. For details see the Information Management - Inventory Guideline. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 20 of 30
  • 21. Across Government initiatives, such as coordinated customer services, require a coordinated information infrastructure which spans multiple agencies. This is achieved through cross-agency information sharing. The analysis will need to accommodate these external requirements. External requirements may also extend to agencies in other levels of government or to private sector organisations. For each identified requirement other than a decision to preserve the status quo, a project brief and business case will need to be developed. This is described in Step 3.2. STEP 2.4 DEVELOP INFORMATION TECHNOLOGY REQUIREMENTS (INFORMATION TECHNOLOGY NEEDS ANALYSIS) The Information Technology Needs analysis should establish a high level definition of technology and telecommunications requirements, priorities, standards, desired service levels and characteristics such as performance, security and availability. This process is designed to analyse whether user needs are satisfied; and, if not, whether anything needs to be commenced within this planning cycle to redress the deficiency. The analysis may identify a need to introduce new ICT infrastructure, retain or decommission current ICT, continue, modify or cancel current ICT projects, retain, modify or cancel existing IM&T plans. Across government initiatives and provision of coordinated customer services may require a common ICT infrastructure shared between multiple agencies. In some cases, however, a unique technology requirement may be determined for an individual business system, possibly separate from the common infrastructures. Such cases should be relatively uncommon, and should be assessed on their merits against the potential advantages of using a common infrastructure. Wherever there are identified opportunities for across government or coordinated multi-agency initiatives, the ICT architecture needs to span multiple agencies. For each identified requirement other than a decision to preserve the status quo, a project brief and business case will need to be developed. This is described in Step 3.2. Step 2 Checkpoint The checkpoint at the end of Step 2 serves to underscore the parallel nature of the planning process. There are two key purposes for this checkpoint: • To ensure consistency and completeness between the vision and the more detailed requirements which must be met in order to achieve the vision; Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 21 of 30
  • 22. • To ensure that Business Managers have identified and are committed to achieving business benefits as a result of meeting the requirements and achieving the vision. Step 3 Develop IM&T Strategy STEP 3.1 IDENTIFY/DEVELOP STRATEGIC DIRECTIONS Planning Activities: The principal planning activities at this stage are: • Review the overall priorities of the corporate plan and its business plans, and the timing of key initiatives; • Group major projects (identified in Steps 1 and 2) according to their contribution to corporate and business strategies; • Other group projects according to their mutual inter-relationships and dependencies. Identify any priority or timing conflicts between business needs and inter-project dependencies. Attempt to resolve conflicts by re-prioritising and/or by identifying "migration" or "bridging" projects if necessary; • Assess potential alternative project strategies (including the "do nothing" option) and prepare preliminary economic evaluation of proposed projects/project streams; • Consolidate the key projects/project streams and ensure that they all contribute consistently to achievement of identified business benefits; they position the enterprise to respond to current and predicted changes in their environment and ensure responsibilities and accountabilities for individual projects and for the strategic program as a whole are clearly defined and understood; • Identify and detail the measurable outcomes and specific deliverables that will be achieved by undertaking the strategies and projects outlined in the proposed IM&T Strategic Plan; • Validate and obtain agreement from key stakeholders to the overall strategy and its key projects. STEP 3.2 DEVELOP PROJECT BRIEFS AND BUSINESS CASES At the time of drawing together an IM&T Strategy there will potentially be three classes of projects: • Projects in progress that have business cases that were developed in previous planning cycles, and whose future will have been determined during Step 2 - Develop IM&T Requirements; • Planned projects where full business cases have been developed; Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 22 of 30
  • 23. • Identified projects, needed to achieve the strategic vision and meet the established requirements which further work is needed to develop a full business case; • The majority of this information will be retained by the agency for developing detailed business cases for funding. However, a summary for each project should be included in the IM&T Strategic Plan using Form 3 – Project Briefs. STEP 3.3 IDENTIFY INTERDEPENDENCIES The objective of this step is to summarise clearly the business outcomes and benefits, determine the measures of success by which implementation will be judged, and ensure conformity with whole of government and corporate policies and strategies. In particular, it is necessary to ensure that: • Each planned initiative integrates (as appropriate) with all others, according to the system, information and technical architectures that were developed in Step 2; • Each initiative adds value to all others, so that the sum of the projects contained in the strategy provides added value or business benefits without unnecessary duplication and without unknown gaps. Step 3 Checkpoint Any of the parts in Step 3 may force a review of and modification to any or all of the preceding steps. In particular - issues arising from the detailed level of project planning may require a re-examination of the overall vision and strategy developed in prior steps. The results of the economic appraisal may require a review of the strategy and/or any of its component projects. Step 4 Obtain Commitment to IM&T Strategy The purpose of this step is to ensure that all approvals are in place, necessary management commitments are obtained and the implementation of the strategy will realise the anticipated business benefits. STEP 4.1 REFINE & DRAFT STRATEGY & OBTAIN APPROVAL A draft IM&T Strategic Plan will be prepared using the IM&T Strategic Plan template provided in the next section. Ensure that appropriate input is received during the preparation and refinement of the IM&T Strategic Plan. This might be in the form of an IM&T Steering Committee comprising representatives of senior management, end-user business units and IM&T professionals. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 23 of 30
  • 24. It is essential that the IM&T Strategic Plan obtain endorsement and active support from the CEO and the Executive Management Team, as it represents part of their plan to achieve corporate objectives and meet government and business needs. STEP 4.2 FINALISE STRATEGY AND OBTAIN COMMITMENT The principal direct accountabilities for achieving benefits will lie with those business managers who ‘own’ business reform projects. Indirect, but very important, accountabilities will rest with the CIO or the IM&T group for provision of the infrastructure and facilities to enable the business reforms to be implemented. See Benefits Realisation Guideline. Once the overall IM&T Strategic Plan and its principal projects/project streams are approved, the CEO must ensure that accountabilities for delivering benefits are defined and accepted in management performance agreements, and that appropriate monitoring and evaluation processes are in place to ensure that the anticipated benefits are realised. Finally, it is considered good practice to communicate the approved IM&T Strategic Plan to all affected parts of the organisation. This may be done through presentations or other means appropriate to the organisation. Step 4 Checkpoint This checkpoint provides an opportunity for final review by the executive and business managers. Theoretically this may result in a need to review any parts of the strategy at this stage in order to obtain approval. In practice, however, support and endorsement should have been built up through a process of frequent involvement and review throughout the planning process, and particularly at each of the other major checkpoints. This should minimise the impact of the final review. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 24 of 30
  • 25. Appendix 7 - Current ICT Environment This Appendix to the IM&T Strategic Plan should be used to outline the agency’s current ICT environment including technical infrastructure (hardware, operating systems and communications configurations), business applications, and primary business systems. Each section should have a description, an analysis of the current status and future directions of the ICT environment components. The appendix must explain which area/division has development and operational management responsibility for the technical infrastructure of the agency and identify the details for the following components. Technical Infrastructure: Hardware: - provide a list and brief description of the hardware components (terminals, PCs, servers, etc) and how each component is attached to the communications backbone; - describe the business use of the components (for example, PCs are primarily used for office automation applications, etc); - outline the current status and future directions of the components (for example, 20 of the 36 servers in use are over 5 years old and approaching their end of useful life, etc.) - briefly describe the upgrade and maintenance program used for the hardware components (for example, PCs are replaced every 3 years under a lease arrangement, etc.); - state whether there will be a change in philosophy of the upgrade and maintenance program and the reasons for this change. Operating Systems: - provide a list of the operating systems and versions supported by the agency; - describe the business use of these operating systems (for example, the Unix environment provides the platform for corporate applications, etc.); - outline the current status and future directions of the operating systems (for example, are there any plans to change the operating systems in place, etc.). LAN / WAN Configuration: - outline the structure of the agencies LAN/WAN configuration including number of locations supported and not supported, LAN configuration, WAN configurations, etc; - outline the current status and future directions of the LAN/WAN configuration, including plans to upgrade or connect locations not presently supported by the LAN / WAN; - briefly describe the upgrade and maintenance program used for the LAN/WAN configuration; - state whether there will be a change in philosophy of the upgrade and maintenance program and the reasons for this change. Servers: Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 25 of 30
  • 26. - provide an outline of the servers in use (for example, number of Windows servers and their business use, number of Unix servers and their business use, other servers such as print servers, e-mail servers etc); - outline the current status and future directions of the agency’s servers, including plans to upgrade, consolidate or increase the number of servers; - briefly describe the upgrade and maintenance program used for the servers; - state whether there will be a change in philosophy of the upgrade and maintenance program and the reasons for this change. Internet / Intranet: - provide an outline of how Internet services are provided to users and the proportion of users with Internet access; - provide a brief description of the agency Intranet (if applicable), how it is used in the business (for example, is it used as the primary point of access for staff to business applications, major source of corporate information, etc.), and whether all users have access to the Intranet; - outline the current status and future directions of the agency Intranet; - state whether there will be a change in the policies regarding users access to the Internet and Intranet. E-mail: - provide a description of the e-mail and/or messaging system (servers and application) in use by the agency; - outline the current status and future directions of the agency e-mail service; - state whether there will be a change in the policies regarding users access to the e-mail service. Information security program: - provide an outline of the established information security program of the agency in accordance with AS-NZS 7799.2:2003; - outline the current status and future directions of the information security program; - state whether there will be a change in the policies regarding the information security program and the reasons for this change. Business Applications: This section of the Appendix should provide a description of the business applications used by the agency and the area/division that has development, operational management and maintenance/support responsibility for the applications. This section should contain descriptions, status and future directions of the following applications: - database software; - application development software; - desktop software. Primary Business Systems: This section of the Appendix should provide a description of the primary business systems used by the agency and the area/division that has development, operational management and maintenance/support responsibility for the systems. This section should contain descriptions, business use, status and future directions of the following systems: - business systems that support core operations; Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 26 of 30
  • 27. - financial and related systems; - human Resource systems; - marketing or management information systems; - records management systems; - fleet and property management; - other applications or systems not already covered. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 27 of 30
  • 28. Appendix 8 - IM&T Steering Committee Terms of Reference Each agency should establish an IM&T Steering Committee and determine an effective framework or Terms of Reference for its operation that is relevant to the agency. The Terms of Reference should describe the role and responsibilities of the Committee, the membership and meeting structure that suits the needs of the agency. The IM&T Steering Committee plays one of the key IM&T governance roles within the agency and should be given appropriate status within the corporate planning and management environment. The following sections outline some examples of the structure and contents of the Terms of Reference for an IM&T Steering Committee. Agencies should use this as a starting point and customise the elements to suit its own requirements. Role of the IM&T Steering Committee: The primary role of an agency IM&T Steering Committee is to: • Develop corporate level IM&T strategies and plans that ensure the cost effective application and management of ICT systems and resources throughout the agency; • Review current and future technologies to identify opportunities to increase the efficiency of ICT resources; • Monitor and evaluate ICT projects and achievements against the IM&T Strategic Plan; • Provide advice and recommendations to the CEO and Executive Management Team on significant ICT issues. Responsibilities: The IM&T Steering Committee is responsible for: • Ensuring that IM&T strategies are aligned with wider government directions and policy priorities (such as social justice, regional development, public safety, etc), as well as the business objectives and financial plan for the agency. • Developing the IM&T Strategic Plan for approval by the Executive Management Team. • Improving the quality, management and value of information, business systems and information and communication technology. • Taking action to ensure that the IM&T Strategic Plan is delivered within the agreed budget and timeframe. • Ensuring that the agency adopts a structured project management methodology that is used for all ICT initiatives and projects. There should be a standard process adopted which guides Project Managers through the process of customising the methodology to suit individual projects. • Ensuring that all IM&T strategies and projects have a Business Unit Manager fulfilling the role of sponsor. • Considering new projects that emerge outside the IM&T Strategic Planning cycle and investigate the impact and ripple through affect of their implementation on other projects, priorities, costs etc. in the IM&T Strategic Plan. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 28 of 30
  • 29. • Reviewing and approving major Information Management and Information Technology policies, procedures and standards for use by the agency, including the IM&T and ICT project governance frameworks. • Ensuring that the information architecture, systems architecture and technology platforms proposed in new projects are consistent with the strategic architecture and plans of the agency. • Establishing the priority of projects, and resolving competing demands for resources and funds. • Monitoring the implementation of ICT projects against approved project plans, with particular emphasis on quality, risk management, benefits realisation and change management. • Ensuring that every project proposal and implementation plan achieves appropriate levels of user and stakeholder consultation and satisfaction. • Assessing the quality and value of business cases prepared for new ICT project proposals. Provide advice and recommendations to the agency CEO and Executive Management Team on the merits of new project proposals. • Reviewing and approving the detailed ICT project implementation plans and project management documents such as risk management, change management, benefits realisation register, benefits management plan, information security. • Assisting the ICT Division/Branch Manager to achieve his/her position objectives. • Providing the agency CEO and Executive Management Team with regular progress reports on the implementation of the IM&T Strategic Plan initiatives and projects, as well as advising on current IM&T issues and developments. Membership of the IM&T Steering Committee: The membership of the IM&T Steering Committee should be determined by individual agencies and take account of the size and scale of the agency. For some small to medium sized agencies, it is appropriate that the CEO fill the role of Chair of the IM&T Steering Committee. In other larger agencies, the CEO may delegate the Chair of the IM&T Steering Committee to the Deputy CEO or CIO. The position of Chair of the IM&T Steering Committee should be a member of the Executive Management Team and ideally represent a business or operational area. The other members of the IM&T Steering Committee should represent a cross-section of functional areas of the agency, with the number of members determined by the CEO as appropriate for each agency. As a guide, a small agency should have as a minimum the CEO as Chair, the head of corporate services and / or the agency CIO, the ICT Divisional manager, and senior managers representing the key business functions of the agency. The Chair of the IM&T Steering Committee may invite other people to attend meetings as required. This section of the IM&T Strategic Plan should list the positions and current position holders that are permanent and occasional members of the IM&T Steering Committee. Meetings: The frequency of meetings of the IM&T steering Committee should be determined by each agency given the scale of its operations and the stability of its ICT environment. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 29 of 30
  • 30. As a minimum, it is suggested that the IM&T Steering Committee meet quarterly. This may be varied to suit each agency’s requirements. Generally the ICT Divisional Manager will be given responsibility to provide secretariat services to the IM&T Steering Committee. This section of the IM&T Strategic Plan should document the mechanical arrangements for the IM&T Steering Committee meetings, such as: • Meeting frequency; • The position or member who acts as the meeting secretary; • When the agenda and meeting papers will be circulated to members; • Who has authority to call IM&T Steering Committee meetings; • Who will record the minutes and when these will be circulated to members. Communication & Reporting: • The IM&T Steering Committee should report directly to the CEO and / or the Executive Management Team; • The IM&T Steering Committee should provide advice to the CEO on significant IM&T developments and issues regularly (to be specified) and as requested; • A regular (to be specified) report of major issues and developments should be prepared by the IM&T Steering Committee and submitted to the Executive Management Team; • The IM&T Steering Committee should submit and present proposed IM&T strategies to the CEO and Executive Management Team for approval. Information Management and Technology (IM&T) Strategic Planning Guideline – Appendices Page 30 of 30