it governance planning · • the it governance council will set the strategic direction for...
TRANSCRIPT
© 2016 ELLUCIAN. 1
IT Governance Planning
Day 1, June 29
© 2016 ELLUCIAN. 2
• Introductions and President’s Welcome 9:00am – 9:30am
• Defining Governance Objectives 9:30am – 10:00am
• Aligning Governance with Institutional Values 10:00am – 10:15am
• Break 10:15am – 10:30am
• Understanding Current & Desired State
for IT Governance 10:30am – 11:30am
• Identifying the Governance Structure and Model 11:30am – 12noon
• Lunch Break 12:00 noon – 1:00pm
• Defining the Level 1 IT Governance Council (Part 1) 1:00pm – 2:00pm
• Defining the Level 1 IT Governance Council (Part 2) 2:00pm – 2:30pm
• Break 2:30pm – 2:45pm
• Identifying Current Priorities for Level 2 Teams 2:45pm – 3:15pm
• Defining Level 3 Task Forces 3:15pm – 3:45pm
• Comments and Questions 3:45pm – 4:00pm
Governance Workshop:
Agenda for Wednesday, June 29
© 2016 ELLUCIAN. 3
1) Introductions and President’s Welcome
© 2016 ELLUCIAN. 4
• Principal Strategic Consultant – Ellucian, Management Consulting
• General Manager – SGHE Professional Services, Retention and Student Success
• Vice President for Student Services – Pfeiffer University (NC)
• Director of University Housing; Faculty in Graduate School of Education –University of South Carolina
• Associate Dean of Students – Mercer University (GA)
• Ph.D. in Higher Education Administration – Georgia State University
• Masters in Higher Education Administration – Florida State University
• B.A. in Liberal Arts – Virginia Tech
Tim Coley: Background
© 2016 ELLUCIAN. 5
• Senior Services Architect – Ellucian, Technology Management (TM)
• Interim CIO – Ellucian, TM – Pearl River Community College
• Executive Director of IT – Ellucian, TM – Mount Saint Mary’s University
• CIO – Dynamic Campus – University of Mary, University of West Virginia-Parkersburg, University of Tampa
• Principal Solutions Architect (PowerCampus) – SunGard Higher Education, Sales Support
• Jenzabar – Implementation Specialist (CARS)
• University Registrar – Trinity University (San Antonio, TX), Regis University (Denver, CO)
• Associate Registrar – University of Northern Colorado (Greeley, CO)
• Ph.D., College Student Personnel Administration – University of Northern Colorado
• M.S., Professional-Scientific Psychology – Utah State University
• B.S., Psychology – Colorado State University
Valerie Mead: Background
© 2016 ELLUCIAN. 6
• Name
• Position
• Years with University of Alaska
• One thing you are hoping to achieve through this workshop
Participant Introductions
© 2016 ELLUCIAN. 7
Welcome from President Johnsen
© 2016 ELLUCIAN. 8
We will provide a general structure as a
starting point for planning purposes, but
each organization develops their unique
governing model and processes.
Your Governance Model
© 2016 ELLUCIAN. 9
• Respect the wisdom of your planning teams
• Facilitate discussion with the purpose of asking the right questions
and bringing out your best ideas
• Focus on the process of developing your unique plan
• Believe you are engaging in a planning process in order to bring about
positive change and improved outcomes
Approach to Planning
© 2016 ELLUCIAN. 10
2) Defining Governance Objectives
© 2016 ELLUCIAN. 11
To develop an IT governance model that will:
• Advance the management of technology in support of the institution’s
goals and strategic priorities with student-centric focus
• Apply consistent and legitimate processes for decision-making
• Prioritize the allocation of relevant resources for implementing
technology projects and initiatives
• Promote transparency, sharing information, building consensus,
and collaboration among constituents
• Clarify the governance structure, charter, membership, roles and
responsibilities and committee guidelines
Desired Objectives
© 2016 ELLUCIAN. 12
A. Scope of Responsibility
B. Level of Authority
C. Purpose and Charter Statement
D. Value Statement
E. Procedures/Processes
F. Membership/Roles
G. Defining and Measuring Success
Governance Team Framework
© 2016 ELLUCIAN. 13
Planning Team
IT Governance
System
Universities and
Campuses
Technology Resources
© 2016 ELLUCIAN. 14
• What decisions need to be made
• Who makes these decisions
• How will decisions be made
• Provides input
• Analyzes issues
• Sets priorities
• Has decision rights
• Is accountable for decisions
• How are financial decisions made
• How will decisions be communicated
The Governance Process
© 2016 ELLUCIAN. 15
• How will budgets interface with governance decisions?
• How will governance processes facilitate decisions about funds
allocated for technology?
Financial Decisions
© 2016 ELLUCIAN. 16
3) Aligning Governance with Institutional Values
© 2016 ELLUCIAN. 17
The University of Alaska inspires learning, and advances and
disseminates knowledge through teaching, research, and public
service, emphasizing the North and its diverse peoples.
University of Alaska Mission
© 2016 ELLUCIAN. 18
• Unity in promoting communication and collaboration.
• Accountability to our students, faculty, staff, alumni, and the
diverse peoples of Alaska.
• Leadership for Alaska's people and institutions.
• Excellence in our programs and services.
• Accessibility for all Alaskans.
• Dedication to serving community needs.
• Stewardship of our resources.
University of Alaska Values
© 2016 ELLUCIAN. 19
• Build Trust
• Speak Up
• Reach Out
• Innovate Now
• Prioritize Work
• Go Team
Office of Information Technology Cultural Beliefs
© 2016 ELLUCIAN. 20
4) Understanding Current & Desired State for IT Governance
© 2016 ELLUCIAN. 21
• To align IT goals with institutional goals
• To promote institution-wide view of IT
• To resolve conflicting priorities
• To balance System vs. local (campus) priorities
• To address increased demand for IT services without expanding
resources
Why Is IT Governance Needed?
© 2016 ELLUCIAN. 22
• To address budget reductions and increasing costs
• To increase efficiency in use of resources
• To respond to institutional culture and expectations for community
input
• To increase transparency in decision making
Why Is IT Governance Needed? (continued)
© 2016 ELLUCIAN. 23
• Lack of inclusion of stakeholders
• Lack of participation by stakeholders
• Lack of cooperation and collaboration among team members
• Absence of guiding principles for governance
• Lack of consistency & clearly defined processes
• Lack of community compliance with policies
Common Characteristics
of Ineffective Governance
© 2016 ELLUCIAN. 24
• Lack of alignment and balance with decentralized and centralized
governance
• Lack of executive leadership support
• Lack of outcome measures for success
• Lack of review process for continuous improvement
Common Characteristics
of Ineffective Governance (continued)
© 2016 ELLUCIAN. 25
• Governance promotes awareness and buy-in
• Key stakeholders know and agree to the governance model
• Process is perceived as consistent and fair
• Decisions are communicated effectively
• Governance is flexible but orderly
• Expect exceptions, but manage exceptions through a defined process
• Governance process is assessed & revised
• Governance fosters timely and effective decisions
Common Characteristics
of Effective Governance
© 2016 ELLUCIAN. 26
• Governance informs other processes
• IT performance measurement
• Project review and approval
• Institutional budgeting
• Governance establishes a means to create operational outcomes
that improve business process functions & service to constituents
Common Characteristics
of Effective Governance (continued)
© 2016 ELLUCIAN. 27
Information Technology Governance fosters a
partnership between the institutional leaders and
the IT organization.
© 2016 ELLUCIAN. 30
• What characteristics best describe the current state of IT Governance
for the University of Alaska System?
Impressions about IT Governance:
Current State
© 2016 ELLUCIAN. 31
• What characteristics describe what successful IT Governance will
look like for the University of Alaska System?
Impressions about IT Governance:
Future State
© 2016 ELLUCIAN. 32
5) Identifying the Governance Structure and Model
© 2016 ELLUCIAN. 33
• Not enough to get the best bus
• Not enough to get the bus headed in the right direction
• “Get the right people on the bus in the right seat.”
Jim Collins, Good to Great
Successful Governance
© 2016 ELLUCIAN. 34
• Level 1 – IT Governance Council
• General Leadership/Policy Management
• Level 2 – IT Standing Committees
• Ongoing Technology Management (e.g. Enterprise Systems Team)
• Level 3 – IT Task Forces
• Focused Projects (system upgrades, software training/employee on-
boarding process – Banner, LMS, SharePoint, etc.)
Levels of Governance
© 2016 ELLUCIAN. 35
IT Governance Teams
Team Name Scope FocusKnowledge
Base
Level 1IT Governance
CouncilInstitutional
Strategic
Long-term
Technology
and Business
of Higher
Education
Level 2IT Standing
Committees
Business
Processes /
Key Functions
Proactive
Ongoing
Technology
and General
Functions
Level 3 IT Task Forces Project-based
Responsive
Concrete
Technology
and Specific
Projects
© 2016 ELLUCIAN. 36
• Reports to President
• Relies on Standing Committees and Task Forces for technical &
functional/operational knowledge
• Responsible for:
• Reviewing and approving technology strategic and operational plans
• Approving strategic priorities for technology
• Reviewing and approving proposed technology policies
• Recommending technology projects for approval/funding (as appropriate)
Level 1:
IT Governance Council
© 2016 ELLUCIAN. 37
• Focused on specific business or functional needs in relation to technology, such as:
• Academic/Instructional Technology
• Security Issues
• Hardware/software Purchases
• Reporting Management
• Data Management
• Standing Committees represent ongoing, continuing functional areas
• Membership
• Knowledgeable chairperson and members
• IT organization represented (not dominant)
• Responsible for:
• Prioritizing technology proposals and initiatives
• Providing recommendations to the Level 1 IT Governance Council
• Being a source for technology knowledge
Level 2:
Standing Committees
© 2016 ELLUCIAN. 38
• Focused on identifying a solution to a specific one-time technology-related issue
• Examples include:• Technology Training Task Force
• Employee Onboarding Process
• Software Upgrade Process
• Membership model• Knowledgeable chairperson and members
• IT organization representation
• Requires deeper level of technical & process knowledge than the Level 1 IT Governance Council
• Duration: Short-term (Defined expiration date / event)
• Responsible for:• Providing recommendations to the IT Governance Committee
• Serving as a source of technology knowledge
Level 3:
Task Forces
© 2016 ELLUCIAN. 40
6) Defining the Level 1 IT Governance Council
© 2016 ELLUCIAN. 41
A. Scope of Responsibility
B. Level of Authority
C. Purpose and Charter Statement
D. Value Statement
E. Procedures/Processes
F. Membership/Roles
G. Defining and Measuring Success
Defining the Level 1 IT Governance Council Framework
© 2016 ELLUCIAN. 42
Leadership for IT strategic direction:
• Academic and Administrative?
• Centralized?
• Local campus control?
• IT prioritization?
• IT investment?
• General policies and procedures?
Level 1 IT Governance Council:
A. Scope of Responsibility
© 2016 ELLUCIAN. 43
• The IT Governance Council will set the strategic direction for system-
wide technology decisions
• The IT Governance Council will address both academic and
administrative technology issues
• The IT Governance Council will provide direction for the allocation of
resources for technology
• The IT Governance Council and its Standing Committees will develop
general policies and procedures for technology issues
• The IT Governance Council will interpret external policies and
guidelines
Sample: Scope of Responsibility
© 2016 ELLUCIAN. 44
Discussion:
• Nature of our decisions?
• Limits of authority?
• Relationship to other governing teams? (We will discuss in depth on Day 2.)
• Escalation of issues we cannot resolve?
• Sustainability for IT Governance?
Level 1 IT Governance Council:
B. Level of Authority
© 2016 ELLUCIAN. 45
• The IT Governance Council will make decisions for technology issues
• The IT Governance Council will provide recommendations to the
President
• The IT Governance Council will create, oversee and sustain
additional IT Standing Committees, Task Forces, and other teams
• The IT Governance Council is not the university’s enforcement or
compliance agent for technology issues
• The IT Governance Council will escalate issues to the President
Sample: Level of Authority
© 2016 ELLUCIAN. 46
How would we summarize:
• What is our governing council’s purpose?
• Why do we need to exist?
• Why is this important?
Level 1 IT Governance Council:
C. Purpose and Charter Statement
© 2016 ELLUCIAN. 47
The Information Technology Governance Council (ITGC) is charged to be
a unifying, strategic, and visionary force in the institution’s
administrative efforts toward technological enhancement of the teaching,
learning, service and support environments within the institution.
Sample: Charter Statement 1
© 2016 ELLUCIAN. 48
ITGC's purpose is:
• To proactively represent faculty, staff, and student needs related to
information technology.
• To act as a catalyst in enhancing efficiencies within the university
community by identifying and assessing requirements for
implementing and adapting technology.
• To provide timely evaluation, coordination, advice, and
recommendations to the executive cabinet on policies, proposals,
project implementation and other information technology related
issues.
Sample: Charter Statement 2
© 2016 ELLUCIAN. 49
Discussion:
• What are our primary values?
• What values will drive our decision-making?
Level 1 IT Governance Council:
D. Value Statement
© 2016 ELLUCIAN. 50
IT Governance values:
• Partnerships
• Alignment
• Value / Performance
• Effectiveness and Efficiency
• Consistency
Sample: Value Statement 1
© 2016 ELLUCIAN. 51
IT Governance will:
• Ensure transparency
• Establish credibility
• Promote use of the defined process
• Improve accountability
Sample: Value Statement 2
© 2016 ELLUCIAN. 52
A. Scope of Responsibility
B. Level of Authority
C. Purpose and Charter Statement
D. Value Statement
E. Procedures/Processes
F. Membership/Roles
G. Defining and Measuring Success
Defining the Level 1 IT Governance Council Framework
© 2016 ELLUCIAN. 53
Discussion:
• What are our key procedures?
• Meeting Procedures
• Communication (We will discuss in depth on Day 2)
• Others?
Level 1 IT Governance Council:
E. Procedures/Processes
© 2016 ELLUCIAN. 54
Meeting Procedures:
• Frequency of meetings
• Openness of meetings
• Setting the meeting agenda
• Lead time for input to agenda
• Lead time for sharing agenda in advance
• Voting process
• Defining quorum
• Majority approval
• Others?
Level 1 IT Governance Council:
E. Procedures/Processes (continued)
© 2016 ELLUCIAN. 55
• The IT Governance Council will conduct monthly meetings
• The meetings will be open to the public
• The IT Governance Council chair will circulate the meeting agenda for
review approximately one week prior to the meeting
• The IT Governance Council will generally follow procedures outlined by
Robert’s Rules of Order
• Simple majority for decisions at 51% approval
• Define a quorum as 2/3 of voting members present
Sample: Procedures
© 2016 ELLUCIAN. 56
Discussion:
• Target membership size? (~12)
• What groups should be represented?
• IT
• Academic
• Administrative
• Source of membership?
• Statewide
• Three Universities
• Are there ex officio members?
• What are terms of service?
• Staggered appointments
• How are new members identified?
• Nominated by group
• Appointed by President
Level 1 IT Governance Council:
F. Membership/Roles
© 2016 ELLUCIAN. 57
Discussion:
• Expectations
• Models don’t usually fail, but people can fail the model.
• What is expected / required of members?
Level 1 IT Governance Council:
F. Membership/Roles (continued)
© 2016 ELLUCIAN. 58
• The IT Governance Council will consist of the following positions…
• IT Governance Council members serve for a two-year appointment,
with an even/odd year rotation to ensure everyone does not rotate off
the council in the same year
• IT Governance Council members are expected to:
• Attend and actively participate in monthly meetings
• Chair or sponsor a Standing Committee or Task Force
• Conduct appropriate background research for specific technology issues
• Participate in the IT Strategic Planning process
Sample: Membership/Roles
© 2016 ELLUCIAN. 59
Discussion:
• How do we know that our governance is effective?
• What can we measure to demonstrate the success of governance?
• What are the targets for these measures?
• How do we post / share information across governance groups?
• How do we share information with the institutional community?
Level 1 IT Governance Council:
G. Defining and Measuring Success
© 2016 ELLUCIAN. 60
• Targets for Success
• Meetings / Participation
• Partnerships / Collaborative Efforts
• Policies / Procedures
• Key Decisions / Recommendations
• Prominent Initiatives
• How to Measure
• Surveys
• Discussions with key partners
Sample: Defining and Measuring Success
© 2016 ELLUCIAN. 61
7) Identifying Current Priorities for Level 2 Teams
© 2016 ELLUCIAN. 62
A. Scope of Responsibility
B. Level of Authority
C. Purpose and Charter Statement
D. Value Statement
E. Procedures/Processes
F. Membership/Roles
G. Defining and Measuring Success
Defining the Level 2 Framework
© 2016 ELLUCIAN. 63
Discussion:
• Enterprise Systems Team (EST) (We will discuss in depth on Day 2)
• Other potential Level 2 Teams?
Brainstorm Ideas for Level 2 Teams
© 2016 ELLUCIAN. 64
• Data Management / Integrity Standards
• Systemwide Reporting
• Banner / Enterprise Software Training
• Enterprise Software Purchasing Process Management
• General Policy Procedure Review
• Policy Consolidation, e.g., Grading, Academic Standing, Calendar
Systems
Sample: Level 2 Teams
© 2016 ELLUCIAN. 65
8) Defining Level 3 Teams (Task Forces)
© 2016 ELLUCIAN. 66
A. Scope of Responsibility
B. Level of Authority
C. Purpose and Charter Statement
D. Value Statement
E. Procedures/Processes
F. Membership/Roles
G. Defining and Measuring Success
Defining the Level 3 Framework
© 2016 ELLUCIAN. 67
Discussion:
Brainstorm Ideas for Level 3 Teams
© 2016 ELLUCIAN. 68
• Enterprise Software Upgrades (e.g., Banner, DegreeWorks)
• Employee Onboarding Process
• System Access and Security
• Particular software selection processes
• Particular policy review/revision
• Finance Policy Review
Sample: Level 3 Teams
© 2016 ELLUCIAN. 69
Additional Comments or Questions?
© 2016 ELLUCIAN. 70