U.S. Department of Commerce
Office of the Chief Information Officer

Strategic Information Technology Planning Policy

What is Strategic Information Technology (IT) Planning about?
Who does this policy/guidance apply to?
Why should an operating unit prepare a Strategic IT Plan?
What are the regulatory requirements for Strategic IT Plans?
How do you do a Strategic IT Plan?
When must the Strategic IT Plan be submitted?
What should be included in the Strategic IT Plan?
How does Strategic IT Planning relate to other programs?
How can we judge the quality of our Strategic IT Plan?
Who can answer questions about Strategic IT Plans?

What is Strategic Information Technology (IT) Planning about?

The Strategic IT Plan is the cornerstone of the capital planning and investment control process. It describes the over-arching, high-level strategic initiatives, including critical milestones and resource requirements necessary to meet program plan objectives. Strategic IT planning is a process for identifying a baseline of current performance and the gap between current and planned performance. The plan identifies functional requirements for bridging this gap as well as alternatives for meeting the functional requirements and selection of the best IT capital asset solution.

Strategic IT Plans also provide critical information for the selection phase of the IT investment process. The overall IT capital planning process provides management with information on acquisition and life-cycle costs, schedules, and performance of current and proposed capital assets.

Who does this policy/guidance apply to?

This policy applies to the Office of the Secretary and all operating units of the Department of Commerce.

Why should an operating unit prepare a Strategic IT Plan?

Strategic IT Planning provides a structured process for evaluating the most logical and effective way to apply information technology to achieve program goals. Strategic planning is a widely recognized best practice for successful organizations because it charts a high-level course of action for achieving long-term objectives. The Strategic IT Plan also creates the foundation for development of task-oriented Operational IT Plans and the necessary support for IT budget initiatives. In addition to supporting programmatic goals, the Strategic IT Plan identifies over-arching strategies for the improvement of IT management itself and links to important aspects of IT management, such as architecture development and IT security.

What are the regulatory requirements for Strategic IT Plans?

Key legislation includes the Clinger-Cohen Act of 1996, the Paperwork Reduction Act of 1995, and the Government Performance and Results Act of 1993. Executive Order 13011 includes guidance on integrating the three pieces of legislation. Also, Office of Management and Budget Circular A-130 provides guidance on strategic IT planning.

How do you do a Strategic IT Plan?

In addition to the guidance provided below, the Department's CIO will issue specific guidance in an annual call.

When must the Strategic IT Plan be submitted?

The Strategic IT Plan must be updated annually and may be submitted any time that best fits the operating units' program planning and overall management process time line

What should be included in the Strategic IT Plan?

There is no format requirement, however, Strategic IT Plans must address the following minimum process and content requirements:

Process:

• Evidence of executive level direction and support.

• Involvement of key stakeholders including customers, principal client groups, Departmental offices, and other governmental organizations.

• Clear linkage and support of operating unit program plans.

• Consideration of future technology trends, economics, demographics, legislation, politics, and how they may affect your operating unit's resource requirements.

• Consideration of the existing portfolio of IT investments and the impact of new strategic initiatives on the portfolio.

Content:

• Brief description of the plan development process, including who participated.

• Operating unit mission statement.

• A statement that describes the operating unit's vision for IT and how it supports mission accomplishment.

• A high-level overview of the current and target architecture including strategies to achieve the target architecture.

• A discussion of the critical issues facing management in providing IT support for the operating unit.

• A description of priorities for addressing strategic issues.

• Plans, actions, key milestones, performance measures (outcomes these assets will help realize), and resource requirements for capital IT assets. Describe any projects that are behind schedule, over budget, and/or not delivering anticipated results and planned corrective actions.

• To the extent that they are known, projects that may be associated with significant budget initiatives, new projects, or increases to base. Initiatives described here should link to strategic goals.

• A financial summary in the format of OMB Circular A-11, Exhibit 53 that shows all IT costs by major system and sub-categories as described in Circular A-11 instructions.

• A summary assessment that describes strategies and progress for compliance with Federal and DoC IT security policy and guidance.

• Certain Department-wide issues the CIO sees as strategic. Refer to the annual call for further information.

How does Strategic IT planning relate to other programs?

The strategic IT planning process should be integrated with strategic program planning required by the Government Performance and Results Act (GPRA) and the budget development process. The GPRA provides the means for developing strategic program plans and connecting them to resource requests. Likewise, strategic IT planning provides the means to identify capital IT assets that support strategic program plan objectives. Other components of IT management such as architecture plans and IT security considerations also provide critical input for the strategic IT planning process.

How can we judge the quality of our Strategic IT Plan?

Conduct a self-assessment asking how well your plan quantitatively and qualitatively addresses this policy and the Strategic IT Plan call instructions.

Who can answer questions about Strategic IT Plans?

Stuart Simon (202) 482-0275 or ssimon@doc.gov.

Supersedes policy dated: None
Origination date: November 30, 2000
Approved by: Roger Baker, Chief Information Officer, November 30, 2000
Revision status: March 16, 2006