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Information Systems Governance Mark Roman CIO | UVic. Process. Organization. People. Technology. Universities are managed by a vast array of interwoven matrices. Enrolment management transitioning from traditional gatekeeping to marketing. - PowerPoint PPT PresentationTRANSCRIPT
PeoplePeople ProcessProcess OrganizationOrganization TechnologyTechnology
CAUBO 2008
Why Did UVic Need I.S. Governance?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?Why Did I.S. Need Governance?
Operational processimprovement
20 projects @ $1,700,000 & 2,264 PD’s
Service orientedculture
Learning systemsstrategy$20,000,000 ERP
implementation
Strategicplanning
Project managementoffice
EnterpriseCollaboration
Strategy
VoIPimplementation
Data centreexpansion
Accessmanagement
CONTINUOUS CHANGE
CONTINUOUS CHANGE
CAUBO 2008
FrameworkFramework
End-to-end process End-to-end process defining roles & defining roles & ownershipownership
Practical & Practical & actionable actionable mechanism for mechanism for institutional institutional decision-makingdecision-making
ObjectivesLots of decisions to Lots of decisions to be madebe made
Lots of decision Lots of decision makers involved.makers involved.
Challenge
Define the terms of reference & structure for I.S. governance @ UVic
Opportunity
A governance A governance process that process that works within the works within the framework of framework of UVic cultural UVic cultural needsneeds
Result
CAUBO 2008
Why use the name Why use the name Information SystemsInformation Systems??
PeoplePeople ProcessesProcesses OrganizationOrganization TechnologyTechnology
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 …
CAUBO 2008
Governance ContextGovernance Context
AlignedAligned I.S. governance will ensure our information systems investments align with the strategic directions and priorities of UVicI.S. governance will ensure our information systems investments align with the strategic directions and priorities of UVic
InclusiveInclusive These investments apply to the broad university and include academic, research, and administrative computingThese investments apply to the broad university and include academic, research, and administrative computing
EducatedEducated For I.S. governance to be effective it must provide timely and well understood decisionsFor I.S. governance to be effective it must provide timely and well understood decisions
EngagedEngaged The governance process is designed to build a robust and broadly informed dialogue about key issuesThe governance process is designed to build a robust and broadly informed dialogue about key issues
ConnectedConnected Governance is creative debate amongst all stakeholders in the UVic community & is socialization of new ideas and changesGovernance is creative debate amongst all stakeholders in the UVic community & is socialization of new ideas and changes
InformedInformed Well understood decisions with shared contributions lead to better success for all information systems initiativesWell understood decisions with shared contributions lead to better success for all information systems initiatives
CAUBO 2008
Definition of GovernanceDefinition 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
CAUBO 2008
Governance StructureGovernance Structure
StrategicIssues
OperatingIssues
Fit, utility, and balance
Get the job done
Information Systems
Steering Council
Information Systems
Steering Council
Permanent Standing
Committees
Permanent Standing
Committees
ProjectLeadershipCommittees
ProjectLeadershipCommittees
TaskForce
Committees
TaskForce
Committees
CAUBO 2008
Four P’s of I.S. GovernanceFour 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– Recommending, monitoring, accepting
• Priorities– Ranking importance of I.S. activities– Creating criteria for setting priorities
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UVic Principles of GovernanceUVic 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
CAUBO 2008
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 GovernanceUVic Principles of Governance
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
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
• Ensure benefits realization
• Governance allows University to optimize balance of investments in its future
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
• Enterprise Data Access Protocol
• University Security Policy
• Recommended platforms
• Thin clients
Champion Commonality Create and champion common university processes and practices
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
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 GovernanceUVic 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?
Optimize Utilization Optimize utilization of UVic’s information systems resources
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
Ensure Compliance Ensure regulatory and legal compliance
• External scrutiny:
• Privacy impact assessments
• Freedom of information act
• Externalization of information systems
• Senate-driven changes
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
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
CAUBO 2008
UVic Principles of GovernanceUVic Principles of Governance
Principles Policies Plans Projects Priorities
Strategic Alignment Investment Portfolio Champion Commonality Leverage Capital Optimize Utilization Ensure Compliance Support Currency
CAUBO 2008
Governance MandatesGovernance Mandates
Information SystemsSteering Council
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
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
Permanent StandingCommittees • Each committee
formed to focus on specific enterprise I.S. topics
• Provide federated leadership for cross-campus I.S. issues
• Each committee formed to focus on specific enterprise I.S. topics
• Provide federated leadership for cross-campus I.S. issues
Project LeadershipCommittees
Project LeadershipCommittees
Task ForceCommitteesTask ForceCommittees
Mandate:• Create for processes• Provide input and feedback• Guide operational decisions• Ensure policy is followed• Recommend new policy
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 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
Mandate:• Create for projects• Provide strategic guidance• Ensure objectives are met• Resolve issues • Review risk• Approve schedule, budget,
and scope changes
CAUBO 2008
ImplementationImplementation
Project LeadershipProject Leadership Task ForceTask ForcePermanent StandingPermanent Standing
Information SystemsSteering Council
Information SystemsSteering Council
StrategicIssues
OperatingIssues
NetworkManagement
NetworkManagement
Nova ProjectLeadership
Nova ProjectLeadership
WorkstationStandards
WorkstationStandards
Systems Project Review
Systems Project Review
ReportingCommitteeReportingCommittee
EnterpriseCollaboration
EnterpriseCollaboration
FacultyForum
FacultyForum
I.S.Security
I.S.Security
NovaOperations
NovaOperations
WebServices
WebServices
Business ContinuityBusiness
Continuity
ResearchForum
ResearchForum
StudentForum
StudentForum
EDC IIEDC II
UVic ExecutiveUVic Executive
CAUBO 2008
ISSC RoleISSC 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
InformationSystems
Steering Council
CAUBO 2008
ISSC Committee MembershipISSC 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
Dean Human and Social Development
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
InformationSystems
Steering Council
CAUBO 2008
Governance Issues ListGovernance Issues List
InformationSystems
Steering Council
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 technology
Post-Nova organization structure
Faculty CV’sIdentity management
ChargebacksSite licensing
Enterprise Data Centre
CAUBO 2008
What does I.S. Governance Deliver?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 PlanningGovernance and I.S. Strategic Planning
VisionVision 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.
MissionMission
CAUBO 2008
Strategic ChoicesStrategic 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.
CAUBO 2008
ImpactsImpacts
• Governance drives or influences:
– Organization structure
– Key projects
– Architecture
– Project & portfolio management
– Access management
CAUBO 2008
Governance & OrganizationGovernance & Organization
UVicOnlineUVic
Online
Network ServicesNetwork Services
CASSProcesses
CASSProcesses
ComputingServices
ComputingServices
ClientServicesClient
Services
ProjectNova
ProjectNova
Office ofthe CIOOffice ofthe CIO
CAUBO 2008
Governance & ERPGovernance & ERP
PortalPortal
CoreAdminServices
CoreAdminServices FinanceFinance FacilitiesFacilities HRHR StudentStudent AdvanceAdvance
Basic ServicesBasic Services SecuritySecurity GroupsGroups ContentContent ChannelsChannels IntegratorIntegrator
SupportServicesSupportServices WorkflowWorkflow ImagingImaging ReportingReporting DataData
NewNew NewNew NewNew NewNew NewNew
VendorProductsVendor
Products
CanadianUniversitiesCanadian
Universities
UVicEnhancements
UVicEnhancements
3rd PartyProducts3rd PartyProducts
SingleSignOn
SingleSignOn
CAUBO 2008
Governance and ArchitectureGovernance 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 LifecycleGovernance & Project Lifecycle
Initiation Planning Execution Closure Asset Maintenance
Reject
Approval
Not Needed
ReviewCharter
Cancel
Not Successful
MonitorStatus
Approval
ContinueExecution
Not Accepted
Accepted
ReviewDeliverab
les
Reject
Not Sufficient
ReviewPlan
Approval
PlanProject
Document
ImplementPlan
Revisions
Progress
ShutdownProject
Final Product
MaintainAsset
InitiateNext Phase
New ProjectWork
Support Work
BenefitRealizati
on
Issue logChange control
Develop ProjectCharter
Document
Needs
CAUBO 2008
Faculty ForumFaculty Forum
Deliverables
CAUBO 2008
Web Services CommitteeWeb 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
WebServices
LibraryLibrary
FacultiesFaculties
UVic I.S.UVic I.S.
CommunicationsCommunications
MarketingMarketing
ResearchResearch
Registrar &Enrolment Services
Registrar &Enrolment Services
ContinuingStudies
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
CAUBO 2008
Network Management CommitteeNetwork Management Committee
• Decentralized culture + autonomy
• Many I.S. organizations
– Shared heating system
– Shared network
CAUBO 2008
Student Information Systems ForumStudent Information Systems Forum
• Listen to our customers
CAUBO 2008
ERP Leadership CommitteeERP Leadership Committee
• $20M ERP project
– On budget
– On time
– In scope
CAUBO 2008
Project Review CommitteeProject Review Committee
• The governance router
CAUBO 2008
History @ UVicHistory @ UVic
• Prior to formal governance
– Ad hoc committees created after realization of need to help with ERP implementation
– No formal inter-relationships
– No links to other I.S. issues
– No plan for post-ERP world
CAUBO 2008
Evolutionary MilestonesEvolutionary Milestones
T i m eT i m eT i m e
M a
t u
r i t
yM
a t
u r
i t
y
NewLeaderNew
Leader
ProposalProposal
WhitePaperWhitePaper
ReviewCommittee
ReviewCommittee
FirstMeeting
FirstMeeting
FirstProjectFirst
Project
FirstPolicyFirst
Policy
StrategicPlanningStrategicPlanning
BenefitsRealization
BenefitsRealization
CAUBO 2008
Future @ UVicFuture @ 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 LessonsKey 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
PeoplePeople ProcessProcess OrganizationOrganization TechnologyTechnology
http://cass.uvic.ca