PO03 Process Description

PO03: I& IT Plan

1. Description

Creation and maintenance of a technological infrastructure plan that sets and manages clear and realistic expectations of what technology can offer in terms of products, services and delivery mechanisms

2. Control Objectives

Technological Infrastructure Planning - The information services function should create and regularly update a technological infrastructure plan which is in accordance with the information technology long- and short-range plans. Such a plan should encompass aspects such as systems architecture, technological direction and migration strategies
Monitoring of Future Trends and Regulations - Continuous monitoring of future trends and regulatory conditions should be ensured by the information services function so that these factors can be taken into consideration during the development and maintenance of the technological infrastructure plan
Technological Infrastructure Contingency - The technological infrastructure plan should be assessed systematically for contingency aspects (i.e. redundancy, resilience, adequacy and evolutionary capability of the infrastructure)
Hardware and Software Acquisition Plans - Management of the information services function should ensure that hardware and software acquisition plans are established and reflect the needs identified in the technological infrastructure plan
Technology Standards - Based on the technological infrastructure plan, management should define technology norms in order to foster standardization.

3. Key Goal Indicators

Number of technology solutions that are not aligned with the business strategy
Percent of non-compliant technology projects planned
Number of non-compatible technologies and platforms
Decreased number of technology platforms to maintain
Reduced applications deployment effort and time-to-market
Increased interoperability between systems and applications

4. Key Performance Indicators

Percent of IT budget assigned to technology infrastructure and research
Number of months since the last technology infrastructure review
Business functions’ satisfaction with the timely identification and analysis of technological opportunities
Percent of technological domains within the technology infrastructure plan that have subplans specifying current state, vision state and implementation roadmaps
Average length of time between the identification of potentially relevant new technology and the decision as to what to do with that technology

5. Critical Success Factors

Business technology reports are disseminated to business units
Technology changes are pro-actively monitored for threats and opportunities, with clearly assigned responsibilities and with a defined process that uses proven and reliable resources
Monitoring results are evaluated at senior management levels and actions are agreed upon and integrated into the IT infrastructure plan, while maintaining alignment with the IT strategic plan
A research, prototyping and testing facility is set up focusing on demonstrating business value and on identifying constraints and opportunities, rather than technological proficiency
Technology infrastructure planning is translated into plans for technology acquisition, staff training and recruitment, with regard for technology usage policies and standards
Roadmaps and migration strategies exist to take the organisation from the current state to the future state of IT infrastructure
Technology direction and planning assumptions are reassessed independently at appropriate times
The IT infrastructure plan is regularly assessed for contingency aspects
An open exchange on technology developments and good relationships with vendors and third parties promotes industry watch functions and benchmarking

6. Service Maturity Variations

0 Non-existent	There is no awareness of the importance of technology infrastructure planning for the entity. The knowledge and expertise necessary to develop such a technology infrastructure plan does not exist. There is a lack of understanding that planning for technological change is critical to effectively allocate resources.
1 (Initial/Ad Hoc)	Management recognises the need for technology infrastructure planning, but has not formalised either a process or plan. Technology component developments and emerging technology implementations are ad-hoc and isolated. There is a reactive and operationally focused approach to planning. Technology directions are driven by the oftencontradictory product evolution plans of hardware, systems software and applications software vendors. Communication of the potential impact of changes in technology is inconsistent.
2 (Repeatable but Intuitive)	There is implicit understanding of the need for and importance of technology planning. This need and importance is communicated. Planning is, however, tactical and focused on generating technical solutions to technical problems, rather than on the use of technology to meet business needs. Evaluation of technological changes is left to different individuals who follow intuitive, but similar processes. There is no formal training and communication of roles and responsibilities. Common techniques and standards are emerging for the development of infrastructure components.
3 (Defined Process)	Management is aware of the importance of the technology infrastructure plan. The technology infrastructure plan development process is reasonably sound and is aligned with the IT strategic plan. There is a defined, documented and well-communicated technology infrastructure plan, but it is inconsistently applied. The technology infrastructure direction includes an understanding on where the organization wants to lead or lag in the use of technology, based on risks and alignment with the organization strategy. Key vendors are selected based on the understanding of their long-term technology and product development plans, consistent with the organization direction.
4 (Managed and Measurable)	IT staff have the expertise and skills necessary to develop a technology infrastructure plan. There is formal and specialised training for technology research. The potential impact of changing and emerging technologies is taken into account and validated. Management can identify deviations from the plan and anticipate problems. Responsibility for the development and maintenance of a technology infrastructure plan has been assigned. The process is sophisticated and responsive to change. Internal best practices have been introduced into the process. The human resources strategy is aligned with the technology direction, to ensure that IT staffs can manage technology changes. Migration plans for introducing new technologies are defined. Outsourcing and partnering are being leveraged to access necessary expertise and skills.
5 Optimized	A research function exists to review emerging and evolving technologies and benchmark the organisation against industry norms. The direction is guided by industry and international standards and developments, rather than driven by technology vendors. The potential business impact of technological change is reviewed at senior management levels and the decisions to act reflect the contribution of human and technological influences on information solutions. There is formal executive approval of new and changed technological directions. Participation in industry standards setting bodies and vendor user groups is formalised. The entity has a robust technology infrastructure plan that reflects the business requirements, is responsive and can be modified to reflect changes in the business environment. There is a continuous and enforced improvement process in place. Industry best practices are extensively used in determining the technical direction.