Key Processes

Key processes that should be in place to execute or carry out the technology strategic plan include:

Governance

Technology governance is a subset of agency governance and should align with the overall agency’s process of decision-making and implementation. Technology governance principles should attend to the interest of other departments, exercise internal control and be open to disclosure and transparency. The right technology governance can boost infrastructure performance levels, streamline compliance tasks, control for risk, empower product delivery and superior service to other agency components and contribute to cost-effectiveness.

Decision-Making
Agency structures lie on a continuum from hierarchal to flat, based largely on how decision-making power is assigned. Irrespective of where the agency lies on that continuum, expectations should be defined and effective decision-making authority and accountability established. Different agency needs require a different mix and match of formal and informal lines of authority for decision-making and implementation and may be based on the composition of the workforce and the knowledge, skills, abilities of the individuals involved. An agency should decide:

What it needs the system to do and then consider how to fund the project. Solutions should be looked at independent of funding sources. Federal SACWIS funds should be used when applicable but not drive the project.

For example, access to federal funding was the driving force behind the very rapid development of many state SACWIS systems. Many of these systems are built on dated language platforms and the states have encountered ongoing difficulty maintaining and updating these systems to meet current needs.

How joint application development (JAD) can be used within and between departments to promote collaboration and support appropriate allocation and prioritization in the acquisition and development of resources.

For example, there should be collaboration and coordination with budget and finance regarding the purchase of equipment.

Whether technology staff can look at a project, estimate its cost and the time it will take to get it up and running and determine at what point they need approval from above to expedite implementation.

For example, a front line supervisor may request a report to verify an assumption that school reports of neglect in a particular geographic area increased significantly following a media profiling of truancy. Such a report may be useful to more than one supervisor and, given that the data are already in the system, take minimal effort to produce.

How to deploy its technology staff.

For example, many agencies, in addition to asking technology staff to write software programs that produce data required for reports, ask that the same staff assume some Information Management functions and analyze the data themselves.

Regardless of the agency structure, everyone should be aware of how and where technology fits into the overall system and technology staff should have a clear understanding of administrative and practice needs and priorities.

Policy and Procedures

Technology innovations require the agency exercise effective Change Management techniques so that its policies and procedures keep pace with new developments in the field. Technology staff can advise what can and can’t be done with automated systems, but federal, state and local leaders have already established regulations, policies and/or procedures that provide a basis for usage and development of technology. These leaders should be certain when policy and procedures are developed that they understand and are fully aware of their implications for technology.

Standard procedures and processes for software development require protocols that speak to document security and appropriate use of communication devices, such as text messaging or e-mails to communicate with children, youth and families or transfer children, youth and families information. Agencies have long struggled with the balance between ensuring children, youth and families’ confidentiality and sharing information. Technology can make the sharing of real time data with relevant stakeholders easy and timely. Access to information can be restricted to those who need to know.

Policies and procedures regarding storage, backup, retrieval and expunging records are generally incorporated in risk management and are address in that section.

Guidelines may need to be established regarding distribution of equipment to staff. Technology staff can clarify how technology can be used most effectively but agency leaders, with input from relevant staff, should make decisions regarding priorities when equipment is limited.

For example, should senior level staff be issued cell phones and/or blackberries for maintaining contact with their offices in case of an agency emergency? Alternatively, should field staff that may need technology to rapidly find service resources for children, youth and families or secure their own safety be given priority?

A project intake process should provide a framework through which all new technology project requests are documented and assessed by the leadership of the technology group and/or agency leadership depending on agency structure. If approved, any project should be scheduled in a way that maintains agency priorities, workloads and schedules. Every project should be identified by where it fits into the agency’s strategic plan, the risks of implementing the project (or not) and the costs. [Link to templates: Project Intake Form and Technology Services Project Assessment, which identifies the business requirements, use cases, architecture or high level design and initial level of effort estimates for the project being assessed.]

Procurement

The right technology can enhance productivity but improperly purchased or installed equipment can impede it. Following a structured acquisition process improves the chances of acquiring what the agency needs. Steps you may want to consider are:

Set up a Technology Investment Review Team
Users, technology experts, a cross-section of agency staff and external stakeholders should work together to determine what the agency needs and then review systems to meet those needs. Such a technology investment review team is key to setting clear priorities and avoiding the purchase of overly complex systems that are not needed or just because they are available. This multi-disciplinary team has a joint responsibility to ensure that the end products procured meet the needs of the agency.

Break Down Silos
The biggest cost savings lies in connecting agency infrastructures, rather than running parallel systems. Look for systems that can serve multiple users and allow information gathered to be used in multiple ways.

For example, one state set up a comprehensive automated case management system that supports child welfare and adult services and will eventually interface with Medicaid. Another state built a system into which its contract service providers can upload information, providing front line workers and supervisors with real time information. Some states are also sharing their technology infrastructure with Indian Tribes enabling the tribes to apply for IV-E funding.

Identify Products and Construction Costs
Determine for each purchase what the cost of implementation will be and how much value it has to the agency. Decisions may include determining whether:

A request for proposal (RFP) process will be used. When a RFP is generated, care must be taken to cover all essential elements. Applications should be scrutinized to ensure all specifications of the RFP are met. It is good practice to consider at least three bids. This not only gives negotiating power but comparing the recommendations of several providers may reveal if there are elements that were overlooked that may be required so that the end product will have the desired result. To this end, conducting interviews with potential contractors may be beneficial. If the lowest bid does not include all essential components or does not use components of equal quality, it may not be the most cost-effect in the final analysis.
Buying commercial off-the shelf products (COTS) may be a better alternative than building a new system.
Building and maintaining systems in-house will be more cost-effective than buying a system and contracting out for maintenance and staff training. Consultants can offer a pool of expertise, boost staff skills efficiently, offer fresh perspective and circumvent office politics when providing services. On the other hand, consultants may not adequately understand the agency and its needs or be available immediately in case of emergencies. Building in-house may depend on whether the expertise exists within the agency or a hiring and/or training process would be required.
It is often more economical to buy or lease. Leasing may allow for upgrades or exchanging equipment if the original design does not meet expectations.
Federal funding will be requested. If so, an advanced planning document (APD) will be needed. An APD is a federally required document that is used by states to inform the Administration for Children and Families (ACF), the Centers for Medicare and Medicaid Services (CMS) and the Food and Nutrition Services (FNS) of their intentions related to federally funded programs and request approval and funding to accomplish their needs and priorities. There are three types of APDs: 1) Planning; 2) Implementation; or 3) Update. In the pre-APD stage, the agency should establish system and program performance goals, determine if there is possibility of a fit for federal funding, make the decision to establish a project and then develop a planning, implementation or update APD. The written APD must present in detail the need, feasibility, costs and benefits. APDs require informed decisions, using logic and reasoning.²

Checking References of Vendors and Potential Consultants
It is true that people tend to give references that they believe are favorable, but you can determine if that company or consultant has done the type of work required, completed it on time and how they responded when difficulties surfaced or design requirements changed.

Check Reliability Records of the Equipment under Consideration

Training Costs
One of the costs of implementing a new system is training. Spending a lot on the best equipment and software for the job makes little sense if staff is unable to use it to its full capacity.

Risk Management

Identifying, anticipating and managing threats to the success of a technology plan is crucial to planning and management during both alignment and operation periods. It is technology management’s responsibility to identify threats, assess the probability and impact of any threats, categorize the threat level and suggest measures that can reduce and/or mitigate risk. But it is crucial that non technical staff and leaders know what the threats are, the risks posed by those threats and what can be done about them, so the Executive Team can take credible, cost effective action to mitigate, reduce and/or accept the consequences if the threat comes to fruition.

Managing risk may include establishing back up systems, transferring information to other sites, hardware disk encryption, data erasure, firewalls and virus protections. Risks may be external and /or internal such as project failures, legal liabilities, accidents, system failures, natural disasters and deliberate adversarial attacks. All identified risks should be planned for.

Technology is a core component of agency operations. When systems are not sufficiently supported, there is risk of crash and information security may be compromised. These issues should be cross-walked with resource and budget issues. In addition, there are risks as well as opportunity to be considered when upgrading, maintaining and purchasing new equipment and/or systems. There can be unanticipated risk in any situation. Just because optimal technology is in place, risk is not off the table. Risk management is a day-to-day, iterative process.

For example, one state contracted with a reputable software vendor that had a good solid business and reputation. This was a good choice until the economic downturn forced the vendor to close its US office. This created additional budgeting concerns and difficulty in acquiring support for relatively new and expensive software.

The maintenance of records is a critical component of risk management. Data storage, backup, retrieval and expunging rules are usually established by state statute and are spelled out in regulations and rules. What information should be saved and for how long should be clear and include what comprises an official record such as e-mails, supervisory directives and conference notes. Technology staff can advise the best way and/or the most cost-efficient way to meet these requirements. Leaders with the authority to approve the process should be knowledgeable of the technology options.

Standards of Conduct

It is essential that agencies develop standards of conduct regarding technology. Because something can be done does not mean it should be done. When management makes the technology available to staff, training to understand what good use of those tools and what doesn’t make sense should also be provided. Training should include legal, ethical and competency-based standards. When technology is used, the agency’s workforce and children, youth and families should be informed about the process, the associated risk, benefits, and rights and responsibilities. In particular, technology raises new ethical issues and dilemmas regarding confidentiality.³

The National Association of Social Workers (NASW) and Association of Social Work Boards (ASWB) developed Standards for Technology and Social Work Practice (see Related Resources). This document developed by these two major social work governing bodies sets ten standards and requires that social workers in all areas of practice (direct practice, management, education and research) acquire adequate skills to use technology appropriately to promote competent and ethical practice.

For example: Web-based systems can be used for communication with children, youth and families and to share information more quickly with other stakeholders. Some workers have used Facebook and Twitter to communicate with children, youth and families. This innovation requires that public child welfare workers and the children, youth and families served be educated in limiting access to these accounts to preserve confidentiality.

Policies are needed on the appropriate use such electronic communication. As with most innovations there are opportunities and risks.

Staffing

For public child welfare, the primary role of technology staff is to procure, develop and maintain technology equipment that will improve and support staff’s service interventions and productivity. Additionally, technology staff should automate the collection of data to enable the evaluation of case interventions and program impact and effectiveness against technology’s costs to taxpayers.

Multi-disciplinary expertise is needed not only to design and build technology systems but also to manage and sustain them. Solutions are both complex and cross-disciplinary in nature and require the thoughtful integration of sound engineering, judgment and flexibility. Many public child welfare technology departments are staffed with former field workers and with staff who have come out of the agency’s business or finance units. These staff persons have a good understanding of how the other departments in the agency function and what their needs are and have the commitment and drive to do the job in the simplest and best way possible. This is incredibly helpful in creating a seamless connection between services and technology. But the agency also needs staff that has the technical skills to procure the proper equipment for the task at hand, maintain hardware, create software systems and train staff, including those who shift their careers from casework to technology.

Hiring and maintaining staff versus using contracts for specialized staff as needed should be considered in terms of costs, benefits, control and flexibility factors. Hiring and retaining staff with the skills to build and maintain the agency technological infrastructure may require the creation of new titles, job descriptions and salary lines. Human Resources should work closely with technology staff so that the department has sufficient staff with the necessary technical skills. Technology and Human Resources can also collaborate to set up web-based recruitment, application and screening processes to assist with hiring the right staff.

Training

For technology to be used effectively, end users should have adequate skills to use equipment and software programs effectively, efficiently, appropriately and ethically. Those responsible for choosing or developing the agency’s technology tools should keep four principles in mind that it should: 1) be user friendly; 2) promote more effective and efficient practice; 3) be flexible enough to enable staff at all levels of practice knowledge and technology skill to use it; and 4) meet legal, ethical and competency-based standards.

The end users should know how to use the electronic devices effectively and understand the benefits and reason for the equipment. Caseworkers in the field should understand that the information they are entering into the system can be retrieved and used for the analysis of casework practice and used for reporting systems to create data that support programs and services. Systems should always be developed with the end user in mind.

Staff knowledge, skills and abilities vary when it comes to technology. Some workers need little training to apply technology to casework. They expect that technology will increase their proficiency, but need training regarding proper use of the tools for case practice. In contrast, there are case-competent staff who prefer a paper bound, direct person-to-person system and may need more training and a mindset change to use technology effectively.

For example, one state agency found that enabling workers to track the face-to-face worker child visits required by federal standards for children in placement was completed more timely and accurately when workers were able to access the system and make entry from the field as soon as the activity occurred. Staff with computer technology savvy expected to be provided with the most up to date tablet computers for this purpose. Other staff continued to struggle with keyboard entry and selections. These workers were provided with the option of writing in script on the tablet and their entries woven in by programmed settings.

Communications

Once decisions are made regarding technology options, agencies should communicate with staff on how technology will be used internally and with external stakeholders, about training opportunities, and how to obtain technical assistance on a daily basis. Communication should be open in ongoing, regular meetings and through other venues, as needed. The message should always be relevant to the audience — frontline caseworkers, administrators, administrative support staff, etc.

Communication should be two-way. Those that can benefit from any change need to be included and feel part of the decision-making process. These end users should be offered pathways to provide feedback to technology teams and know that they can get answers to questions about benefits and usage. To minimize the possibility of resistance, users should also be told why a specific technology was chosen and understand its benefits and limitations.