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Tying a Sensible Knot: A Practical Guide to State-Local Information Systems



Chapter 1. Understanding the State-Local Environment

Barriers to achieving ideal intergovernmental systems

These ideals are difficult to achieve because there are significant barriers to overcome. The Special Work Group identified many problems that state-local projects encounter. Among the top ranking barriers are:
  • A general lack of education and information about both technology and programs. Technology has rapidly permeated our society and most of our institutions, but government organizations often lag behind others. Government staff are often ill-informed and poorly trained in how to use information technology effectively. This is particularly true of the newest technical tools and platforms. Public employees, both users and technicians, seldom have ready access to skills training or professional development that continuously upgrades their knowledge and skills. Conversely, technical staff typically have few opportunities or incentives to learn the goals and operational realities of service programs and therefore tend to focus too sharply on the technical tools and too little on the programmatic reasons for new systems.
  • Lack of a shared, reliable computing and network infrastructure. Existing state-local systems suffer from the lack of a ubiquitous, consistent computing and communications infrastructure. This makes it difficult or impossible to operate technology supported programs in a consistent way from place to place and organization to organization. It also slows and complicates communication among state and local staff involved in joint programs. New York State is currently embarking on a statewide networking strategy called the NYT that will help solve this problem for future systems.
  • Goals that are too ambitious for the resources available to achieve them. Project goals are often laudably comprehensive, but the staff, equipment, and dollars allotted to achieve them are often underestimated. Projects that could succeed on a smaller or incremental scale, fail to achieve success when their goals and resources are played out on different scales.
  • Human and organizational resistance to change. In some cases, new state-local initiatives threaten a comfortable status quo. They promise big changes that not every participant is eager to see. Fear and resistance to change exist even in the best planned and managed projects. A new way of doing business threatens existing personal, organizational, programmatic, and political conditions by rearranging authority, influence, power, resources, and information. This natural resistance is exacerbated when new programs arrive with too little advance information, weak leadership support, inadequate user participation, too little funding, and less than comprehensive training and orientation.
  • Unrealistic time frames. Many information systems projects take considerably longer than originally planned. State-local projects, with their added layers of legal and organizational complexity are especially vulnerable to this problem. Since so many different organizations are affected by them, time delays lead to serious difficulties in planning for and adjusting to changes in operations.
  • Organizational, programmatic, technological, and legal complexity. The state-local environment is extraordinarily complex on a number of dimensions: organizational size, number of organizations, number and skills of staff, size of budget, financial practices, legal authority, programmatic focus, and geographic dispersion. Existing systems are an important complicating factor.Only so much change is possible in an environment that depends on information systems already in place — especially ones that were designed and implemented using older technologies. There is little that can be done to simplify this environment, making it essential that project participants have a good understanding of how it will affect their activities.
  • Changing priorities. Any project that lasts more than a few months is subject to changing priorities for time, money, and attention. This problem is multiplied in state-local projects since each participating organization is likely to be working in circumstances and with responsibilities and priorities that are unique to its own situation.
  • Overlapping or conflicting missions among the participating organizations. Government organizations at both the state and local level have public service and public accountability goals that can overlap or conflict, even when they are engaged in a joint project. For example, a state agency manager may have the role of project leader which implies facilitation, collaboration, and support for other participants. At the same time, that person’s agency may have oversight responsibility and financial and other regulatory means of compelling local compliance with state requirements. In other projects, non-profit service providers may be project participants sitting at the same table with state or local officials who license and inspect their programs.These roles are all legitimate but can conflict and become a source of difficulty in sorting out the working relationships within the project team.
The barriers are undeniable. But the potential benefits of successful systems are compelling reasons to go forward with well-designed state-local initiatives. Table 1 shows how the participants in the eleven projects we studied characterize the benefits of the systems they are developing.
Table 1.Expected Benefits of Eleven State-Local Information Systems Projects
Aging Network Client
Based Service
Management System
Project
 
* Single application and screening process for multiple benefits
* Electronically link older persons and caregivers with programs and services that preserve independence
* Reduce administrative and service delivery costs
* Satisfy multiple reporting and management needs
 
Electronic Filing of Local
Government Annual
Financial Reports
 
* Reduce local staff time and effort to prepare AFR
* Less time required for review of data by OSC, more accurate information sooner
* More consistent data for interpretation and trend analysis
 
Electronic Death
Certificate Project
 
* Reduce delayed and inaccurate death certificates and burial permits
* Remote submission of information by authorized parties
* Remote authorization of certificate through electronic signatures
* Reduce data entry costs and errors
* Immediate access to information
* Reduce overhead for funeral directors
 
Electronic Transfer of
Dog License Data
 
* 14% savings in processing, data entry, and corrections costs for a slight increase in management costs
* Provide faster, more accurate, complete dog identification data to participating municipalities
* Eliminate duplication and data entry errors
 
Hunting and Fishing
Licenses
 
* Faster, one-stop, 24 hour, license shopping for the customers
* Eliminate accountables such as license validation stamps and decrease paper recordkeeping
* Increase assurances that valid licenses are being sold
* Increase the accessibility of data and facilitate marketing capability to increase revenue to the Conservation Fund and recruit and retain licensees
 
Immunization Information
Systems Project
 
* Increased rates of fully immunized children in NYS
* Improve medical record charting and information processing to help health care providers ensure children
receive age-appropriate vaccines
* Eliminate wasteful re-administration of expensive vaccines
* Reduce need for testing for previously administered vaccines
 
Probation Automation
Project
 
* Reduce the paperwork load for Probation Officers and return that time to direct services
* Easier and faster access to criminal histories and pre-sentence investigation reports
* Eliminate duplicate data storage
* Access to administrative templates for common functions
 
Real Property System
(RPS) Version 4
 
* Faster and more efficient system processing
* Code maintenance ability enhanced
* Support user requested enhancements
* Integration with local functions and commercial systems
 
SALESNET
 
*Eliminate the need for data entry at both state and local levels
* Reduce corrections resulting from illegible and incomplete forms
* Verified sales information available to agency staff and local assessment officials in 6 vs. 123 days
 
Local DSS District
Imaging Project
 
* Reduce caseworker access to files from days or hours to seconds
* Potential to redesign case records and workflow based on the functionality of electronic record storage
 
Electronic Voter
Registration
 
* Decrease time needed to register address changes, party enrollment, and voting eligibility
* Decrease data entry errors due to repetitive manual entry
* Decrease the flow of paper between local Boards of Election, and the State Departments of Motor
Vehicles and Health