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.

CAUBO 2008

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

CAUBO 2008

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.

Challenge

Define 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

CAUBO 2008

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

CAUBO 2008

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

CAUBO 2008

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.

Security

StudentForum

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 Academic

VP Finance and Operations

AVP Academic Planning

AVP Research

Dean of Engineering

Dean of Social Science

Dean of Business

Dean of Continuing Studies

AVP Human Resources

AVP Financial Planning and Operations

Director, External Relations

Registrar

University Librarian

Director, Institutional Planning and Analysis

Executive Director, Financial Services

Director, Teaching and Learning Centre

Chief 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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

• 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?

• 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

• 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

• 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

CAUBO 2008

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

CAUBO 2008

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 Future

The university’s core missions of teaching, learning, and research are supported by dynamic, agile, & dependable information systems.

Unified information systems environment

People, process, organization, and technology are blended together to deliver information systems and services.

Sustainable path to the future

Optimised cost is balanced with acceptable risk to make strategic choices for new information systems.

Bridge the technology chasm

Strategic integration will deliver information systems and services in understandable ways.

Mission

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Strategic Choices

Client 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

UVicOnlineUVic

Online

Network ServicesNetwork Services

CASSProcesses

CASSProcesses

InfrastructureServices

InfrastructureServices

ClientServicesClient

Services

ProjectNova

ProjectNova

Office ofthe CIO

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 Lifecycle

Initiation 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

CAUBO 2008

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

Marketing

Research

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

CAUBO 2008

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.

CAUBO 2008

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