The
Insider’s Guide to Using Information in Government:
an overview
The Insider’s Guide is the main product of three years of research
by the Center for Technology in Government (CTG). This material came from
our work with people in government who faced and solved problems using
information. Together we explored the many factors that shape government’s
ability to get full value out of the information it collects, creates,
and maintains.
Problems
government managers face in using information
In November 1997 we held an open workshop for New York state and local
government managers interested in the problems of using information inside
government. More than 90 people identified the problems they face when
using information to do their jobs.
Strategies and policies
They noted limited understanding and appreciation for the value
of information for program planning, monitoring, and evaluation on
the part of executives and policy makers. Participants expressed concern
that a lack of understanding of the nature and level of financial,
technical, and human investments necessary to use information well
have resulted in inadequate use of existing information, and lost
opportunities to create shared resources that would benefit many.
Information quality and availability
Much of the discussion focused on information itself. A key problem
was simply knowing what information already exists. Other problems
included concern about sensitive, personal, and confidential information
as well as the risk of drawing incorrect conclusions from inaccurate,
out-of-date, incompatible, or poorly defined data.
Organizational issues
Data ownership, stewardship, and related organizational issues
were also prominent. Turf issues that reflect inter- and intra-organizational
competition rather than cooperation were cited by many.
Uncoordinated systems
Inadequate, inappropriate, and stand-alone technologies and systems
were also serious problems. Isolated systems mean that merging, comparing,
and integrating data for analysis, evaluation, and decision-making
are inordinately difficult and expensive, and seldom attempted.
Workforce and skills concerns
A consistent set of concerns had to do with workforce issues.
Among them was the increasing difficulty of attracting and retaining
IT managers and professionals to government service. Serious concern
was also expressed regarding information handling and analytical skills
across all kinds of jobs.
Over the ensuing months, we engaged in eight problem-solving projects
with a variety of government agencies. The Insiders Guide to Using
Information in Government presents the learning that took place across
the many organizations who participated in these projects.
The
big lessons
This overview summarizes the Guide’s six main topics--strategy, policy,
data, cost, skills, and technology. But sometimes even a summary masks
the big picture. Occasionally, it’s useful to begin with a handful of
big lessons to set the stage. We offer these:
Many points of view are an asset, not a liability
Unless you are the sole designer and sole user of your system
or program, other points of view count. It takes time and special
skills to draw out the different perspectives that matter in your
initiative. Often people will disagree, sometimes strongly, about
the nature of the problem, the choice of goals, and the nature of
the solution. Get these different ways of looking at the world out
in the open as early as possible. Work with people in groups to craft
a shared understanding of the effort. Use these different perspectives
to describe the big picture that no one can see fully on their own.
Untested assumptions are not a short-cut
Assumptions are inevitable in any complex work. They can be very
helpful as long as they are explicit and periodically tested against
reality. One commonly untested assumption is that a new system stands
on its own. In most cases it is connected in complicated ways to lots
of other things. Another problematic assumption is that a system is
readily usable. Again, seldom true--especially when it will be used
by people in different locations or job types. A third risky assumption
is that data integration is a technical problem. It is, but it’s also
an organizational, political, intellectual, and managerial one.
Data doesn’t speak for itself
Not one of the projects we present here could take data at face
value. Accessing, managing, sharing and disseminating data poses difficult
challenges. Data collected for one purpose may not be suitable for
another. Meta data that documents meaning, history and usability may
be inadequate or simply missing. Different terms can have the same
meaning or the same terms used by different organizations can have
different meanings. The list of challenges goes on. Allow plenty of
time and resources to tackle them and be judicious about which ones
will return the greatest benefits.
Sorry, no silver bullets
The simple fact about information problems is that there are no
easy solutions. These problems are tough because they are meaningful
and complicated. They take time, money, and effort. No particular
method, and certainly no technology, will cut through the maze of
complexity in short order. The good news is that there are many useful
techniques and tools that can help you manage this kind of work to
a successful conclusion.
Good enough is often good enough
Even with the best tools and intentions, it is safe to assume
that you will not have enough time, money, or other resources to devise
the perfect solution. But if you pay attention first to thorough analysis
and then look for reasonable alternatives, you’ll be able to make
an informed decision about what is really important to do. A "good
enough" solution focuses on those "must-have" aspects
of the job, and does not divert precious resources into costly, but
less valuable "nice-to-have" features.
Main
topics covered in the Insider’s Guide
Whether you’re creating an integrated database, launching a new
service project, or evaluating program performance, these six factors—strategy,
policy, data, cost, skills, and technology —will impact your initiative.
Strategy sets the stage
Whether in business or in government, strategic thinking is concerned
with mission-critical objectives; it looks outward with an emphasis
on customers and stakeholders. Strategies place a high value on human,
organizational, and technological resources and seek maximum return
on those investments, rather than minimized costs.
The first element of strategy is a clear and agreed upon picture
of the business, policy, or program need that is the reason for the
effort.
Stakeholders are the second element. We all know that the users or
customers of services are stakeholders. But stakeholder considerations
don’t stop there. You also need to know who else is involved, who
pays, who benefits, and who gets hurt.
Third, remember that every new information system goes into some
existing situation that includes other, older information systems,
existing business processes, standard operating practices that have
grown up over time, and many elements of organizational culture.
A sound strategy also looks ahead. You will face the difficult task
of choosing technology that meets your needs today but won’t limit
the choices you can make tomorrow. You must also anticipate future
legislation, budget cycles, and regulatory actions.
The final element of strategy is the way you communicate it. The
best approaches can be communicated briefly and in plain language.
Devise a short, high-level statement that tells people what kind of
project to expect.
Examples of these elements of strategy can be found in the following
cases:
- The Division of Municipal Affairs chose to limit the scope of its project
to one essential business process, technical assistance.
- In a New York City project, the key problem was not a lack of information,
but mechanisms and culture for sharing it.
- The Office of the State Comptroller engaged its most powerful stakeholders
as "strategic partners."
- The Bureau of Shelter Services turned opponents into partners by
acknowledging and dealing directly with their concerns.
- Prototyping was a good strategy for understanding complexity in
the Homeless Management Information System (HIMS) and the Kids Well-being
Indicator Clearinghouse (KWIC).
- The Department of Information Technology and Telecommunications
looked for a technical platform that would build in the future for
its new IT knowledge base.
- The Bureau of Shelter Services recognized that related case management
systems would affect the future success of HIMS.
- The Department of Transportation took an incremental approach to
improving its IT investment process.
- By dividing a huge project into distinct phases, the Office the
State Comptroller kept its costs down and its options open.
- The Office of Real Property Services and the Division of Municipal
Affairs are making strategic changes in their philosophy of state-local
relations.
- Both organizational culture and technical infrastructure will shape
a new contact management system at the Divison of Municipal Affairs.
Policies guide action
Policies are one of the basic building blocks of government. Laws,
regulations, executive orders, and official statements guide how agencies
fulfill their missions. Information policies guide actions and decisions
about why, how, when, and who uses information.
Government information policies can serve two different, but complementary,
purposes—information stewardship and information use.
If you want to make sure information is well-managed and handled
appropriately, you need to devise policies that promote information
stewardship. Such policies address:
- confidentiality, privacy, and records management and disposition
- information and system security
- data definition, quality, and integrity
- long-term preservation of information with enduring social, legal,
or historical value
To promote your information as a valuable asset, you need policies
that advance information use. These policies address:
- interagency and intergovernmental information sharing
- public access
- public-private information partnerships
- reuse of information for new purposes
- information handling skills of public employees
- innovative ways to use information to improve the quality or lower
the cost of services, or to create new services or better ways of
doing business
Examples of how government agencies handled policy issues can be
found in the following cases:
- The Bureau of Shelter Services had to deal with issues of confidential
information.
- The Department of Transportation used new information and different
people to choose IT investments
- The Council on Children and Families must devise polices to govern
a shared information resource about the well-being of children.
- New York City’s security policies shaped the way information could
be shared.
The devil is in the data
Data quality issues are always present. Whether you are using
a single source, reusing information for a new purpose, sharing it
with others, or integrating multiple sources, you can expect important
challenges.
Data challenges occur when agencies try to identify and address the
gap between desired goals and available data. Some challenges include:
- identifying relevant data
- determining its usability
- addressing inaccurate or incomplete data
- dealing with the inability to solve certain data problems
- managing a lack of confidence in the resulting resources
Data quality issues occur in every system. The quality of the data
often has to be enhanced to be sure it is "fit for use."
Data standards are necessary for effective information use. They
are especially important when projects involve several agencies or
organizations.
Meta data is information about the data. It’s a crucial piece of
the data quality puzzle. You need to know the background and history
of the data in order to make decisions about its appropriateness for
use.
Contextual knowledge is indispensable to understanding the program
environment in which data is collected and used.
Examples of how government agencies are handling these data issues
can be found in the following cases:
- The Kid’s Well-being Indicator Clearinghouse (KWIC) is an effort
to organize multiple data sources into a coordinated clearinghouse.
- The Homeless Information Management System (HIMS) case examines
fitness for use and how to understand the context of data.
Underestimating costs proves costly
The costs of information technology initiatives are almost always
underestimated. We tend to under-appreciate their complexity and we
lack good models or guides for identifying all cost factors. Six factors
influence the complexity (and therefore the cost) of projects, but
these are generally not accounted for in cost traditional models:
- building, maintaining, and managing relationships
- the similarity of existing processes and work to the envisioned
ones
- the similarity of existing technologies to desired technologies
- separability of tasks
- intended degree of integration in the final product
- variations in data sources
Complexity and degree of change influence total costs as much or
more than any direct expense. The more complex the network of required
relationships, the more costly it will be to establish, maintain,
and manage. The more data sources and the greater their differences,
the more it will cost to make use of them. The more interdependent
the tasks in the workplan, the costlier the work will be—and the higher
the risk of failure. All of these factors demand serious consideration
in up-front analysis and cost estimation. The better we get at accounting
for them, the more useful our cost models will become.
Examples of how government agencies are addressing these cost factors
can be found in the following cases:
- The Department of Transportation changed practices but not technology
when it revised its IT investment process
- The Office of Real Property Services invested in a simulation model
to capture and understand the costly complexity of a new way of doing business
- Central New York Psychiatric Center had relatively clear sailing
thanks to low levels of complexity and change
- The Bureau of Shelter Services used a prototype to understand the
costs of integrating data from multiple sources
Become a skilled information user
Organizations, like people, are information users. Regardless
of the size and makeup of your team, you have to do these things well:
- analyze a situation and identify the problems it contains
- find, assess, and use information and technical tools to address
the problems
- produce and communicate a usable product
- evaluate the results
- manage a project that probably involves many people from more than
one organization
Five categories of skills are therefore necessary in any effort to
use information in government:
- analysis and interpretation skills
- information management skills
- technical skills (higher order skills for developers and more basic
skills for users)
- communication and presentation skills
- project management skills
No organization has the perfect mix of skills, abilities, and experiences
for every situation. Start by giving assignments to people with the
proper skills to carry them out. Or assign activities to those who
have the aptitude, desire, and responsibility to develop the necessary
skills. Skills can be acquired through training, mentoring, brokering,
contracting, or outsourcing.
Examples of how government agencies addressed skills issues can be
found in the following cases:
- The Department of Transportation required different kinds of analytical
skills at different points in its IT investment process.
- In New York City, the Department of Information Technology and Telecommunications
employed several methods of information management to create a knowledge
base for the City’s IT professionals.
- The Kids Well-being Indicators Clearinghouse demanded high-end technical
skills to create a web-based information resource.
- For the Homeless Information Management System the basic technical
skills of users were a critical success factor.
- The Division of Municipal Affairs communicated its analysis and
vision for a new way of working with local governments through a carefully
crafted business case.
- The Bureau of Shelter Services and Division of Municipal Affairs
both demonstrated expertise in managing critical relationships.
- People with program knowledge and technical skills had to pool their
expertise to create the Homeless Management Information System.
Technology choices matter
Technology choices are choices about the present and the
future. Whatever technology is chosen for your project will have powerful
long-term implications throughout your organization. It will undoubtedly
influence many aspects of work. Once implemented, technology has a
way of cementing things into place. It becomes embedded in virtually
every aspect of the organization, affecting the way people work. New
technology often comes with new business rules, practices, and processes
that are very hard to change. Because of these long-term effects,
every initiative needs to pay attention to three things: business
processes, user needs, and infrastructure requirements.
Mapping out business processes allows you to identify how well current
technologies support them. Process analysis will also help you see
how new technologies can be used to best advantage.
Make users an integral part of the problem definition, planning,
decision-making, and testing. This not only encourages their support,
it makes it much more likely that the work they do will be well-understood
and accounted for in a new system.
Technology initiatives must recognize and account for diversity in
organizational environments and infrastructures. In some instances,
the infrastructure is uniform from place to place. More often, technical
and other capabilities vary. New technology choices need to take these
variations into account.
Technology can often increase your capacity to use information more
effectively or for new purposes. Whether you are considering building
a new web service, financial management system, or a new database,
look for technology that gives you new capabilities to streamline
operations, or improve the quality and availability of services and
information.
Stay abreast of cutting-edge technologies as well. Many government
organizations are now working with researchers to develop and test
technologies that handle very complex problems such as environmental
modeling, emergency management and response, and manipulation of huge
data sets. These experimental systems may lead to future products
that address a wider range of information problems.
- The Division of Municipal Affairs mapped out its technical assistance
process in order to understand how technology could help improve it.
- The Office of the State Comptroller engaged in extensive user needs
analysis as the first step toward modernizing the state’s central
accounting system.
- To build KWIC, developers chose technologies the kept their options
open for the future.
- The technologies available to users meant re-thinking how they would
get access to the Homeless Management Information System.
- Similar user issues shaped technology choices for the contact management
system at the Division of Municipal Affairs.
- The Central New York Psychiatric Center took advantage of the agency’s
intranet to build applications for organization-wide planning, resource
allocation, and clinical information.
What
now?
If any of the foregoing sounds familiar, the Insider’s Guide
has more to offer you. The site offers more in-depth knowledge about the
six main issues. Read the full cases to learn the steps the agencies followed.
Visit some of the outside links for other examples and information. And
then put this knowledge into play in your own organization.
Overview
Table of Topics and Cases
The following Overview Table shows where the topics are represented
in each of the eight agency cases.
|
Insider’s
Guide to Using Information in Government
Overview
Table of Topic and Cases
|
|
Agency
|
Cases
|
Topics
|
|
Policy
|
Strategy
|
Data
|
Skills
|
Cost
|
Technology
|
|
NYS Bureau of
Shelter Services
|
Building Trust
Before Building a System: The Making of the Homeless Information
Management System
|
X
|
X
|
X
|
X
|
X
|
X
|
|
NYC Department
of Information Technology and Telecommunications
|
Information
Resources for Information Professionals: Creating a Knowledge Bank
in New York City Government
|
X
|
X
|
|
X
|
|
|
|
NYS Office of
Real Property Services
|
Planning, Listening,
and Acting Accordingly: The Collaborative Implementation of an Annual
Reassessment Program
|
|
X
|
|
|
X
|
|
|
NYS Department
of Transportation
|
Learning to
be "Up-Front" with Information Technology Investment Decisions
|
X
|
X
|
X
|
X
|
X
|
|
|
NYS Office of
the State Comptroller
|
Listen Before
You Leap: Revitalizing the New York State Central Accounting System
|
|
X
|
|
X
|
|
|
|
NYS Office of
the State Comptroller, Division of Municipal Affairs
|
Using Information
for Organizational Change: the Transition From Regulation to Service
in the Division of Municipal Affairs
|
|
X
|
|
X
|
|
X
|
|
NYS Council
on Children and Families
|
Moving From
Paper to the Web: How the Council on Children and Families is Transforming
a Static Information Resource into a Dynamic One
|
X
|
X
|
X
|
X
|
|
X
|
|
Central New
York Psychiatric Center
|
Bigger
isn’t Always Better:
Managing with Statistical Data from Forensic Psychiatric Centers
|
|
|
|
|
X
|
X
|
|