Download - People
People Process Organization Technology
Information Systems Governance
Mark RomanCIO | UVic
CAUBO 2008
Why Did UVic Need I.S. Governance?
Universities are managed by a vast array of interwoven matrices.
Enrolment management transitioning from traditional gatekeeping to marketing.
On campus, I.T. = mainframe in terms of both technology and attitude.
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LegacyGlow
Why Did I.S. Need Governance?
Operational processimprovement
20 projects @ $2,000,000 & 2,858 PD’s
Service orientedculture
Learning systemsstrategy$20,000,000 ERP
implementation
Strategic planning
Project managementoffice
EnterpriseCollaboration
Strategy
VoIPimplementation
Data centreexpansion
Accessmanagement
CONTINUOUS CHANGE
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Framework
End-to-end process defining roles & ownership
Practical & actionable mechanism for institutional decision-making
ObjectivesLots of decisions to be made
Lots of decision makers involved.
ChallengeDefine the terms of reference & structure for I.S. governance @ UVic
Opportunity
A governance process that works within the framework of UVic cultural needs
Result
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Why use the name Systems?
People Processes Organization Technology
A system is composed of regularly interacting or interrelating groups of activities/parts which, when taken together, form a new whole.
An information system includes more than just technology …
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Governance Context
Aligned I.S. governance will ensure our information systems investments align with the strategic directions and priorities of UVic
Inclusive These investments apply to the broad university and include academic, research, and administrative computing
Educated For I.S. governance to be effective it must provide timely and well informed decisions
Engaged The governance process is designed to build a robust and broadly informed dialogue about key issues
Connected Governance is creative debate amongst all stakeholders in the UVic community & is socialization of new ideas and changes
Informed Well understood decisions with shared contributions leads to better success for all information systems initiatives
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Definition of Governance
Formal UVic definition:• Process by which we endorse institutional
decisions about information systems,• People who are assigned the responsibility
for endorsing those decisions and have the accountability for the results of those decisions, and
• Organizations that meet to debate those decisions.
Pragmatic definition:• Engage the rest of campus in I.S. decision-
making• What decisions need to be made and who
should make them
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Four P’s of I.S. Governance
• Policies– Identifying I.S. policies affecting all
campus– Examples: security, ecommerce
• Plans– Strategic planning for information system
department– Strategic planning for University’s
information systems
• Projects– Investment portfolio– Benefits realization
• Priorities– Ranking importance of I.S. activities– Creating criteria for setting priorities
Policies Plans
Projects
Priorities
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UVic Principles of Governance
Strategic Alignment Align information systems decisions to University’s Vision for the Future
Investment Portfolio Manage the full portfolio of UVic’s information systems investments in a prudent and balanced manner
Champion Commonality
Create and champion common university processes and practices
Leverage Capital Leverage intellectual capital across the organization
Optimize Utilization Optimize utilization of UVic’s information systems resources
Ensure Compliance Ensure regulatory and legal compliance
Support Currency Does not interfere with existing organization structures & mandates
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Strategic Alignment Align information systems decisions to University’s Vision for the Future
• Build University strategic planning connection into project charters
• Use University strategic plan to prioritize
• Engage senior campus administration (Deans, VP’s, & AVP’s) in the I.S. governance process
• Customer service orientation
• Create strong and deep relationships across campus
• Build credibility across campus
UVic Principles of Governance
Plans
Projects
Priorities
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UVic Principles of Governance
Projects
Priorities
Investment Portfolio Manage the full portfolio of UVic’s information systems investments in a prudent and balanced manner
• Treat all projects as an investment portfolio
• Governance allows University to optimize balance of investments in its future
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UVic Principles of Governance
• Enterprise Data Access Protocol
• University Security Policy
• Recommended platforms
• Thin clients
Policies
Champion Commonality
Create and champion common university processes and practices
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UVic Principles of Governance
Policies
Projects
Priorities
Leverage Capital Leverage intellectual capital across the organization
• Engage campus community in thinking about I.S. issues collectively
• Enterprise Collaboration Strategy example:• Governance process debated project charter & project plan• Achieved broadly based buy-in• Formerly independent email systems joining new system
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UVic Principles of Governance
For every initiative, the governance process needs to answer the following stakeholder questions:
• Will this new initiative impact existing support?
• What does is mean to me?
• How do you control usage of a shared resource?
• What benefits do you measure?
• How do you measure benefits?
Projects
Priorities
Optimize Utilization Optimize utilization of UVic’s information systems resources
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UVic Principles of Governance
Policies
Ensure Compliance Ensure regulatory and legal compliance
• External scrutiny:• Privacy impact assessments• Externalization of information systems• Senate-driven changes
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UVic Principles of Governance
Policies Plans
Support Currency Does not interfere with existing organization structures & mandates
• Play nice
• Develop links to key governance bodies across campus
• Cross-membership
• New kid on the block
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UVic Principles of Governance
Principles Policies Plans Projects Priorities
Strategic Alignment Investment Portfolio Champion Commonality Leverage Capital Optimize Utilization Ensure Compliance Support Currency
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Governance Structure
StrategicIssues
OperatingIssues
Fit, utility, and balance
Get the job done
Information Systems
Steering Council
Permanent Standing
Committees
ProjectLeadershipCommittees
TaskForce
Committees
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Governance Mandates
Information SystemsSteering Council
Mandate:• Administer I.S. governance process• Represent all stakeholders• Recommend priorities• Assess degree of fit with Vision for the Future• Provide advice for resourcing & funding• Monitor progress• Assess benefits realization• Recommend policies and standards• Link to other senior committees• Guide I.S. strategic planning
Permanent StandingCommittees • Each committee
formed to focus on specific enterprise I.S. topics
• Provide federated leadership for cross-campus I.S. issues
Project LeadershipCommittees
Task ForceCommittees
Mandate:• Create for processes• Provide input and feedback• Guide operational decisions• Ensure policy is followed• Recommend new policy
Mandate:• Create for unique issues• Temporary cross-functional
teams• Solve one specific issue• Dismantled after resolution
achieved
Mandate:• Create for projects• Provide strategic guidance• Ensure objectives are met• Resolve issues • Review risk• Approve schedule, budget,
and scope changes
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Examples
Project Leadership Task ForcePermanent Standing
InformationSystems
Steering CouncilStrategicIssues
OperatingIssues
NetworkManagement Nova
LeadershipWorkstationStandards
CASS ProjectReview Reporting
CommitteeEnterpriseMessaging
FacultyForum I.T.
SecurityStudentForum
WebServices
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ISSC Role
• Portfolio management
• Governs the governance process
• Pipeline up the organization for strategic I.S. issues
• Sets business objectives for information systems
• Determines institutional criteria for prioritizing I.S. initiatives
• Creates terms of reference for operating committees
InformationSystems
Steering Council
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ISSC Committee Membership
VP AcademicVP Finance and OperationsAVP Academic PlanningAVP ResearchDean of EngineeringDean of Social ScienceDean of BusinessDean of Continuing StudiesAVP Human ResourcesAVP Financial Planning and OperationsDirector, External RelationsRegistrarUniversity Librarian Director, Institutional Planning and AnalysisExecutive Director, Financial ServicesDirector, Teaching and Learning CentreChief Information Officer
InformationSystems
Steering Council
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Governance Issues List
InformationSystems
Steering Council
• Single source for all administrative data
• Who owns the data • How they are expected to
manage the data• How we share the data
• Policy for managing access to centralized data
• Shadow database prevention• Process to approve or reject
• Several in use on campus • Trends in the industry• How UVic should be
positioning itself• What do students & faculty
want?• How to integrate with other
teaching, learning, & research technologies
• Federated model for integrating the work of several Web Services units across campus
• ISSC shaped the design of the model and contributed to setting goals
• Where should central I.S. set standards?
• Where should central I.S. recommend standards?
• Where should central I.S. keep out?
• Set the guidelines for central I.S. involvement in University affairs
• Need a desktop standards policy for computers, printers, & PDA’s
• Evergreening policy TBD• “Recommended Platforms”
task force• ISSC shaped the terms of
reference
• Implementing portal & content management
• Deep impact to web strategy• Impacts constituents
throughout campus• ISSC informed & engaged
about value created and change transformation
• New imaging software• Integrate with our
administrative systems• Non-trivial investment in
software & associated processes and technologies
• Engage ISSC in scope, breadth, & depth discussions
• Need an information systems security policy for UVic
• I.S. security audit emphasized demand for security processes and policies
• ISSC contribution includes content contributions & diplomatic support
• Policy issues related to content created on university sponsored wikis, blogs, & ad supported free products
• ISSC to have informed debate about potential vs. issues
• How should we be organized to leverage the ERP systems after the project winds down?
• How can we maintain momentum?
• How should we be structured to tackle new opportunities?
• Hold open discussion at the ISSC about potential changes
• Growing interest across campus for a system to manage Faculty CV’s
• ISSC approved project charter to plan a potentially risky but important initiative
• Moving towards a single identity for access to all information services at UVic Several challenges
• Secondary identities• Legacy identity management
systems• ISSC review of the non-
technical issues and potential resolutions
• Chargebacks create inappropriate behaviours
• Migrate away from chargebacks but recognize the need to carefully plan the change.
• How do we evolve away from chargebacks & engage the campus appropriately?
• Software licensing vigilance • Vendors changing licensing
policies • ISSC discuss processes to be
developed • Look at new opportunities for
leveraging site licenses for improved economies of scope and scale
• Mission statement and role definition for the campus Enterprise Data Centre (EDC)
• 950 processors, a terabyte of data and a tripling growth curve
• Central to the success of information systems at UVic
• ISSC engagement & guidance
Data stewardshipEnterprise data access policy
Learning management systemsWeb services & strategy
BoundariesDesktop standards
Portal & document managementDocument imaging
Security policyExternalized content technologyPost-Nova organization structure
Faculty CV’sIdentity management
ChargebacksSite licensing
Enterprise Data Centre
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What does I.S. Governance Deliver?
• Facilitates strategic planning
• Engages key decision-makers
• Creates forum to discuss, debate, and analyse issues
• Socializes ideas across University community
• Introduces change concepts strategically and early
• Creates key milestones for I.S. initiatives
• Increases profile of I.S. across campus
• Develops an era of trust and confidence in I.S.
• Creates a profound understanding of the complexities of information systems
• Makes your clients feel like they are part of the I.S. team
• Any I.S. decision is a University decision, not just an I.S. decision
• I.S. organization no longer operates in splendid isolation
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Governance and I.S. Strategic Planning
Vision We will be the very best provider of information systems in the entire Canadian university community.
Information systems exist to enable the Vision for the FutureThe university’s core missions of teaching, learning, and research are supported by dynamic, agile, & dependable information systems.
Unified information systems environmentPeople, process, organization, and technology are blended together to deliver information systems and services.
Sustainable path to the futureOptimised cost is balanced with acceptable risk to make strategic choices for new information systems.
Bridge the technology chasmStrategic integration will deliver information systems and services in understandable ways.
Mission
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Strategic ChoicesClient service We will create positive relationships and experiences with all our clients by
working collaboratively across the institution.Systems governance CASS will help the university to create a decision-making process for
information systems projects, policies, and plans that engages key decision-makers from across campus.
Strategic planning We will understand our strategic choices in the post-Nova world, decide on the appropriate choices, and plan for their execution.
Nova is #1 CASS will deliver Project Nova on time, on schedule, on budget.
Project management discipline
We will implement a flexible project management process that ensures governance needs for fit, utility, and balance are met.
Leadership CASS will create clarity in our decision-making processes and we will have the courage to make decisions and live up to those decisions.
Process driven organization We will organize CASS by processes that make sense to our clients and we will continuously improve our operational processes.
Unify security, privacy, & identity
Security, privacy, and data stewardship will be emphasized and strengthened by developing mutually supportive processes.
Standardize services We will create a cohesive and understandable set of services to deliver to our clients.
Competitive market In areas of our choosing, we will compete successfully with all non-CASS internal and all external providers of information systems. In all other areas where mutuality of interest exists we will partner with non-CASS service providers.
“Information Services” not “I.T.”
CASS’s role is not about just technology – our information systems are implemented and managed through a successful merging of people, process, organization, and technology.
Best & brightest people We will recruit and retain the best information systems staff and we are dedicated to continuously growing them to be the best and brightest in the industry.
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Impacts
• Governance drives or influences:– Organization structure– Key projects – Architecture– Project & portfolio management– Access management
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Governance & Organization
UVicOnline
Network Services
CASSProcesses
InfrastructureServices
ClientServices
ProjectNova
Office ofthe CIO
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Governance & ERP
Portal
CoreAdminServices Finance Facilities HR Student Advance
Basic Services Security Groups Content Channels Integrator
SupportServices Workflow Imaging Reporting Data
New New New New New
VendorProducts
CanadianUniversities
UVicEnhancements
3rd PartyProducts
SingleSignOn
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Governance and Architecture
• Desktop multiculturalism• Anyplace desktop• Enterprise messaging• Identity management• Student lifecycle
services• Single point of contact• Service catalog
ControlMechanisms
SteeringCommittee
Role
ProjectFlow
Portfolio assessment• Priorities• Risk• Strategic fit
Status reportingFiscal budgetRisk planScopeResource planScheduleQuality planCommunication planVendor management
Base budget Support resources
Benefit measures
Governance & Project LifecycleInitiation Planning Execution Closure Asset Maintenance
Reject
Approval
Not Needed
ReviewCharter
Cancel
Not Successful
MonitorStatus
Approval
ContinueExecution
Not Accepted
Accepted
ReviewDeliverabl
e
Reject
Not Sufficient
ReviewPlan
Approval
PlanProject
Document
ImplementPlan
Revisions
Progress
ShutdownProject
Final Product
MaintainAsset
InitiateNext Phase
New ProjectWork
Support Work
BenefitRealizatio
n
Issue logChange control
Develop ProjectCharter
Document
Needs
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Faculty Forum
Information sharing through
collaborative discussion
Issue log: - Description
- Responsibility - Resolution
Socialize change by creating
awareness in academic units.
Deliverables
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Web Services Committee• Provide guidance to ongoing web
services functions & processes• Recommend policy and ensure
policy is followed• Ensure standard processes for
building and delivering web services
• Provide linkages amongst multiple partners
WebServices
Library
Faculties
UVic I.S.
Communications
MarketingResearch
Registrar &Enrolment Services
ContinuingStudies
• Resolve issues amongst constituents & escalate issues to the ISSC
• Develop an architecture plan for institution-wide web services
• Initiate, recommend, monitor, and close web services projects
• Develop strategies on how to keep our web presence up-to-date
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Network Management Committee
• Decentralized culture + autonomy
• Many I.S. organizations
– Shared heating system
– Shared network
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Student Information Systems Forum
• Listen to our customers
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ERP Leadership Committee
• $20M ERP project
– On budget
– On time
– In scope
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Project Review Committee
• The governance router
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History @ UVic
• Prior to formal governance
– Ad hoc committees created after realization that you need them to help with your ERP implementation
– No formal inter-relationships
– No links to other I.S. issues
– No plan for post-ERP world
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Evolutionary Milestones
T i m eT i m e
M a
t u
r i
t y
NewCIO
Proposal
WhitePaper
ReviewCommittee
FirstMeeting
FirstProject
FirstPolicy
StrategicPlanning
BenefitsRealization
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Future @ UVic
• Information systems governance at the University of Victoria is an evolving process
• We have introduced formal governance processes and organizations to facilitate the evolution
• We will:– Continuously leverage those processes
where we have demonstrated success– Stop those process that do not
contribute to continuous growth, and– Constantly develop next steps in our
evolution of information systems governance.
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Key Lessons
• Develop a roadmap
• Keep the roles clear
• Educate first, ask for decision later
• Cross-campus, cross-discipline engagement
• Opportunity to socialize change
• Encourage active debate – challenge everything
• I.S. organization thinks differently about itself
• University thinks differently about I.S. organization
• Tremendous commitment of time & effort