FY18 Agency IT Plan Guidebook

Fiscal Year 2018

Agency IT Plan Guidebook/Template

Release Date: June 17, 2016

Office of Strategic Planning

505-827-0029

Contents

SECTION I: About the FY18 Agency IT Plan Guidebook

1.Purpose of State IT Strategic Planning

2.OCIO and Agency Strategic Planning Process

3.Purpose of the Annual Agency IT Plan

4.Statutory Authority

5.Stakeholders of the Agency IT Plan

SECTION II: FY18 Agency IT Planning Template with Guidance

1.Executive Summary

2.Agency Information

2.1 Agency Mission

2.2 Agency Vision

2.3 Agency Description

2.4 Business Drivers

3.Agency Major IT Accomplishments of FY16

4.Description of Agency IT Services

4.1 Infrastructure Services

4.2 Business Services

5.Planned IT Facility Improvements or Upgrades

6.Changes in Federal or State Requirements with IT Impact

7.Agency IT SWOT Summary

8.Agency IT Strategic Goals, Objectives, and Strategies

8.1 Agency IT Strategic Goal

9.Joint Funding Opportunities

10.Key Statewide Strategic Focus Areas

10.1 Security

10.2 Strategic Planning

10.3 IT Best Practices

10.4 Workforce Development

11.IT Fiscal and Budget Management

11.1. C1Form

11.2 Projected IT Projects: Capital, Special, Supplemental Form

11.3 Request for Reauthorization of General Appropriations Act

Glossary

SECTION I: About the FY18 Agency IT Plan Guidebook

This document provides the purpose, process and statutory requirements for agencies completingtheir Annual IT Plan. The FY18 Agency IT Plans must be submitted on or before September 1, 2016. This guidebook provides a tool for agencies to help them develop, enhance, and amend their IT Strategic Plan.

The Agency IT Plan Guidebook is updated annually to reflect experience gained through the IT planning process, to accommodate advances in IT; to incorporate recommendations received from agency Chief Information Officer (CIO)s and IT Leads; and to reflect changes in executive and legislative priorities.

Agencies should use their IT Strategic Plans to identify and document their accomplishments, goals for the future, and strategies; to guide their work throughout the upcoming year; to ensure consistency and alignment with state IT goals; and to assess and adjust the agencies’ direction as the environment changes.

1.Purpose of State IT Strategic Planning

State IT strategic planning creates a framework from which all agency IT technology decisions should flow.

2.OCIO and Agency Strategic Planning Process

The OCIO is making some carefully structured changes to the strategic planning process this year. These changes create a more standard process for the agencies to follow in the creation of their Agency IT strategic plans and focus on alignment throughout the year. Please see the narrative and figure below for more details on this process.


First, the Office of the CIO (OCIO) leads the effort to promulgate a State of New Mexico Information Technology Strategic Plan (State IT Plan) based on an analysis of current state government IT environments, advances in technology, needs and priorities of the New Mexico state governor or legislature, agency needs and priorities, and regulatory requirements. Next, state agencies analyze their own strengths, weaknesses, opportunities, and threats.

Then, based on the goals, strategies, and initiatives defined in the State IT Plan, agencies identify their own focus, goals, and specific strategies for the upcoming year and develop and submit their Agency IT Strategic Plans and C-2 requests. The agency IT organizations develop and implement strategies to incorporate their IT strategic plans into operations. Possible strategies include developing summaries and reviewing them in staff meetings, developing and posting billboards, doing email blasts, etc. Next OCIO, DFA, LFC, and ITC review the plans and C-2 requests, and the agency IT organizations make oral presentations in support of their requests. Next, OCIO makes funding recommendations to SFC, ITC, the appropriate legislative committee, and in January, the Legislature. Finally, both the OCIO and agencies reference the state or agency plan throughout the year to ensure continued alignment or, if necessary, to recognize and implement changes in the plan.

If done with thought and consistency, statewide IT strategic planning can result in aligned IT goals and strategies, reduction of waste and redundancy, and the development of enterprise coalitions.

3.Purpose of the Annual Agency IT Plan

Agency IT Strategic Plans have several purposes:

  • The process of creating the planscauses agency IT leaders to examine their agencies’ current IT status, their agencies’ IT needs, and the resources available. Then they are ready to make often difficult decisions about future directions and strategies.
  • The resulting IT plans provide tools for agencies to use in their IT administration and management to ensure that they are aligned with their agencies’ business strategic plan and with the state’s IT Strategic Plan.
  • IT Agency Plans also provide standards, expectations, and measures for agencies to use in assessing their performance.
  • IT agency plans help DoIT, DFA, and LFC to assess how well agencies are selecting and managing its IT resources.

4.Statutory Authority

The Department of Information Technology Act (Chapter 9, Article 27, NMSA 2009), establishes the following basis for the Agency IT Plans:

C. As the chief information officer, the secretary shall:

(1)Review executive agency plans regarding prudent allocation of information technology resources; reduction of duplicate or redundant data, hardware and software; and improvement of system interoperability and data accessibility among agencies

(7)Monitor executive agency compliance with its agency plan, the state information technology strategic plan and state information architecture and report to the governor, executive agency management, and the legislative finance committee on noncompliance.

(9) Provide technical support to executive agencies in the development of their agency plans

D. Each Executive Agency shall submit an Agency information technology plan to the secretary
in the form and detail required by the secretary.

5.Stakeholders of the Agency IT Plan

IT planning is an essential part of an agency’s business planning. Agency CIOs and IT Leads work closely with executive and program management staff to ensure that their IT plan supports and aligns with the agency’s business strategic plan. Additional agency IT planning stakeholders include DoIT, Department of Finance (DFA), and Legislative Finance Committee (LFC). The following chart presents the stakeholders of the Agency IT Plan.

Stakeholder / Roles and Responsibilities
DoIT Cabinet Secretary / State CIO: Refer to Section 4 above
Make the State IT Strategic Plan available to agencies
Agency Cabinet Secretary/Executive Management /
  • Set the strategic direction for the agency
  • Establish the business requirements for the use of IT
  • Allocate the budgetary resources to provide necessary technical and human support
  • Review and sign off on the submittedAgency IT Plan

Agency Chief Information Officer OR Information TechnologyLead /
  • Supervise IT strategicplanning
  • Identify and research strategies (tactical activities) needed to fulfill the agency’s IT mission and vision.
  • Complete and submit Agency IT Plan
  • Communicate highlights of Agency IT Strategic Plan to Agency employees

Department of Finance,
Legislative Finance Committee / Use the Agency IT Plan to assess how well an agency is selecting and managingIT resources.
Enterprise Project Management Office (EPMO)/Compliance and Project Management, DoIT /
  • Oversee State IT C-2 Process: revise templates, assist agency in creation of applications, etc.
  • Work with OCIO Office of Strategic Planning to assess agency IT Strategic Plans for alignment with State IT Strategic Plan
  • Oversee the State Project Portfolio resulting from the C-2 process
  • Makes the revised C-2 process and templates available to the agencies

Information Technology Commission (ITC) / Is in the process of reactivation. Information concerning ITC will be distributed as it becomes available
Project Certification Committee / During project certification process, refer to Agency IT Plan to ensure project is included in Plan
OCIOOffice of Strategic Planning /
  • Develop the Annual Agency IT Plan Guidebook (including template)and Agency IT Planning Schedule in alignment with the State ITPlan
  • Make revised Agency IT Plan Guidebook and Agency IT Planning Schedule available to agencies
  • Support agencies in completion of IT strategic planning process
  • Facilitate development and revision of State IT Strategic Plan as needed
  • Serve as source of information and support for all state IT strategic planning
  • Work with EPMO to assess agency IT Strategic Plans for alignment with State IT Strategic Plan
  • Compile anenterprise report on analysis of the Agencies IT Plans

DoIT Enterprise Services / Reference Agency IT Plans in evaluating enterprise service opportunities.

SECTION II: FY18 Agency IT Planning Templatewith Guidance

1.Executive Summary

The executive summary serves as an introductory outline of the Agency IT Plan andshould be no longer than one or two pages. It shouldhelp the reader to quickly understand what the agency plans to do with IT in the future.It is best to write the Executive Summary AFTER completing the Agency IT Plan.

2.Agency Information

2.1 Agency Mission

State the Agency Mission—the purpose of the agency, why the agency is doing what it is doing. The Agency IT Plan must support the agency mission.

2.2 Agency Vision

State the Agency Vision—where the agency would like to be in 3-5 years. The Agency IT Plan must move strategically towards the agency vision and tie back to the Agency Strategic Plan and State IT Plan.

2.3 Agency Description

Provide a brief narrative overview of the agency, including:

  • Business programs
  • Major locations and programs at each location
  • Number of employees and percentage of total employees in each program.

Also, provide a current organization chart. Large agencies must include all levels down to the bureau level; mid-size to small agencies must include all section levels.

2.4 Business Drivers

State the agency’s internal and external business drivers, such as a resource, process, or condition that is vital to the continued success and growth of the agency business.

3.Agency Major IT Accomplishments of FY16

Provideinformation on the agency’s previous year’s accomplishments, including:

  • Accomplishment description. This can include progress made on a major project, an improvement in operations or IT management, or another kind of accomplishment
  • Actual amount spent on accomplishment
  • IT item bought, built, or updated for the IT environment
  • Impact of accomplishment on the agency—how did the expenditures help the agency achieve its mission and objectives as described in its FY 17 IT Plan?

We suggest you use a table similar to the one below.

Accomplishment / Actual Expenditure / IT Item Procured, Built, Developed, or Updated / Impact of Accomplishment to the Agency

4.Description of Agency IT Services

List the range of services the IT organization provides the agency programs and/or other agencies: Include the services for smaller boards and commissions.

4.1 Infrastructure Services

IT organizations in agencies are required to address infrastructure to meet the agency’s business needs. MostIT organizations in agencies havestandard, usualIT infrastructure services, which are well known and understood. Using the table below or a similar structure, describe current or planned IT infrastructure services that arenot found in each agency(e.g. video conferencing, Voice-Over-IP, disaster recovery, virtualization, IVR, Cloud computing, and mobile devices). For each uncommon service, if the agency plans to change the service in the next 1-5 years, describe each change and enter the fiscal year the change may occur. If no change is planned, check the cell in the far right column.

Unique infrastructure Service / Planned change to service (develop as a new service, move service into production, expand or enhance service, replace service, sunset or remove service, etc) / Year change is planned to start / Check if no current plans to change service

4.2 Business Services

Using the table below or a similar structure, describethe unique business application services the agency IT organization provides to the internal agency and/or other agencies, smaller boards, commissions, or local and federal government. For each service, if the agency plans to change a service in the next 1-5 years, describe the change and enter the fiscal year the change may occur. If no change is planned, check the cell in the far right column.

Unique Business Service / Planned change to service (develop as a new service, move service into production, expand or enhance service, replace service, sunset or remove service, etc) / Year change is planned to start / Check if no current plans to change service

5.Planned IT Facility Improvements or Upgrades

Using the table below or some other design, list any agency plan to create, lease, improve, or upgrade an agency IT facility (e.g. data center) within the next five years.

IT Facility / Planned change to facility (build new, move, expand or enhance, close or remove) / Year change is planned to start / Check if no current plans to change facility

6.Changes in Federal or StateRequirements with IT Impact

Using the table below or some other design, list any changes in Federal or State requirements that will impact your agency IT organization or the agency’s use of IT and IT applications, the impact of these changes on agency applications, the tactics planned to address these changes, and the success measures to be applied to these planned tactics . The changes can include but are not limited to:

  • Compliance changes
  • Statutory mandates
  • Opportunities for productivity improvements arising from federal or state awards or other opportunities
  • Citizen service level performance enhancements
  • Collaboration opportunities with other state agencies that will impact the agency use of IT and IT applications

Federal or State of New Mexico Statutory Mandatesor Regulatory Compliance Change / IT Impact(to existing or legacy applications) / Planned tactics to address change (New apps? New business requirements? New program?)
Success Measures of tactics

7.Agency IT SWOT Summary

As part of the enhancement of IT strategic planning, OCIO is encouraging all agency IT organizations to begin their strategic planning by participating in a SWOT (strengths/weaknesses/opportunities/threats) analysis. The SWOT results often help agency IT leaders identify areas needing improvement or enhancement, leading to the identification and development of strategic goals.

List the top five strengths, weaknesses, opportunities, and threats to your IT organization uncovered by this exercise. A bulleted list is sufficient.

8.Agency IT Strategic Goals, Objectives, and Strategies

In the next section, you will identify your IT organization’s strategic goals, strategic objectives, and the strategies you will use to achieve them.

A Strategic Goal is the end toward which the agency program is directed. It is the general statement of a long-range purpose. Goals are outcome and not process oriented. Goals clearly state specific, measurable outcome(s) or change(s) that can be reasonably expected at the conclusion of a methodically selected intervention. An example of a strategic goal is improving online interactionof agency with the public.

A Strategic Objective is specific results to be achieved, method of measuring the results, and criteria for successful achievement. Objectives state results, not activities. Objectives, when accomplished, lead to the goal. Objectives should be stated in ways that describe what you will do. A performance indicator or measure is connected to a strategic objective. An example of a strategic objective is increasing public awareness and use of agency website by 20%.

A Strategy is a broadly stated means of deploying resources to achieve a strategic goal. Strategies should be stated in ways that describe how you will meet the strategic goal. A strategy may be equipment, software, a project, or a change in operations. An example of a strategy is the project of automating the submission of business registrations over the Internet.

Each Strategic Goal should be:

  • Aligned with at least one State IT strategic goal
  • Aligned with at least one agency strategic goal

Each Strategic Objective should be SMART (Specific, Measurable, Attainable, Relevant, Time-Based):

Specific: A strategic goal / objective must be clear and describe exactly what you are trying to achieve.

Measurable: The strategicgoal / objective must have a measurable outcome. The performance metric or metrics used can be DFA and LFC approved agency performance measures from FY17 or a new proposed metric for FY18. You must identify at least one performance measure.

Attainable: The goal / objectivemust be achievable.

Relevant: The goal / objectivemust be consistent with the Agency Mission and Vision.

Time-based: The goal / objectivemust have a specific end date.

Prior to completingthe IT Strategic Goal table,review your IT Goalsand Objectives for SMART qualities.


The diagram below illustrates the inputs into the IT Strategic Goal and the flow from the goal to the strategic objectives, performance measures, and strategies.

8.1Agency IT Strategic Goal

Present the agency’s key strategic Agency IT Goals using the goal tableon the following page. EachAgency IT Strategic Goal (1) should be tied to an Agency Strategic Goal (2), a State IT Strategic Goal (3), at least one Strategic Objective (4),a Strategic Objective Performance Measure (5), and at least one Strategy (6). Repeat the table for each additional Agency IT Strategic Goal and within the tableadd lines as needed for additional Strategic Objectives andStrategies.

Review the example table below to assist your analysis. Please delete this example before submitting your final Agency IT Strategic Plan:

(1)Agency IT EXAMPLEStrategic Goal (The goal should reflect 3-5 years)
Improve online interaction of agency with the public
EXAMPLEAlignments
(2)Agency Strategic Goal aligned with your Agency IT Strategic Goal / Enter Agency Strategic Goal
[To be added]
(3)State IT Strategic Goal aligned with your Agency IT Strategic Goal / Deliver high quality government services that will benefit constituents and support economic development.
(4)EXAMPLEStrategic Objective (enter a Strategic Objective for your IT Strategic Goal) / (5)EXAMPLEPerformance Measure for the Strategic Objective / EXAMPLEPerformance Measure Target for the Strategic Objective
Increase public awareness and use of agency website by 20% / Increase in number of users of website / 20% increase in 12 months
(6)Strategies to achieve the Strategic Objectives / Resources needed to complete strategy / Begin and end quarter for strategy
Automating the submission of business registrations over the Internet / Contractor Project Manager and website developer: $1.5M / Fall 2017-Spring 2019
Upgrade of website appearance and usability / Include in automation project above / Fall 2017-Spring 2019
(4)Strategic Objective (enter a Strategic Objective for your IT Strategic Goal) / (5)Performance Measure for the Strategic Objective / Performance Measure Target for the Strategic Objective
(6)Strategies to achieve the Strategic Objective / Resources needed to complete strategy / Begin and end quarter for strategy

Complete the table below for each Agency IT Strategic Goal