Information Systems Governance Mark Roman CIO UVic

Information Systems Governance Mark Roman CIO | UVic People Process Organization Technology

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

Why Did I. S. Need Governance? Strategic planning Operational process improvement Enterprise Collaboration Strategy $20, 000 ERP implementation Vo. IP implementation CAUBO 2008 GE N Learning. CHA systems Legacy strategy US Glow UO IN T ON C Project management office Data centre expansion Access management 20 projects @ $1, 700, 000 & 2, 264 PD’s Service oriented culture

Framework Challenge Lots of decisions to be made Lots of decision makers involved. Opportunity Objectives End-to-end process defining roles & ownership Practical & actionable mechanism for institutional decisionmaking Result A governance process that works within the framework of UVic cultural needs CAUBO 2008 Define the terms of reference & structure for I. S. governance @ UVic

Why use the name Information Systems? 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 … People CAUBO 2008 Processes Organization Technology

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 understood 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 lead to better success for all information systems initiatives CAUBO 2008

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. decisionmaking • What decisions need to be made and who should make them CAUBO 2008

Governance Structure Information Systems Steering Council Strategic Issues Operating Issues CAUBO 2008 Permanent Standing Committees Project Leadership Committees Fit, utility, and balance Task Force Committees Get the job done

Four P’s of I. S. Governance • • Priorities • Projects – Recommending, monitoring, accepting Priorities – Ranking importance of I. S. activities – Creating criteria for setting priorities Plans Projects Plans – Strategic planning for information system department – Strategic planning for University’s information systems • Policies – Identifying I. S. policies affecting all campus – Examples: security, ecommerce CAUBO 2008

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 CAUBO 2008

UVic Principles of Governance 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 Plans • Build credibility across campus Projects CAUBO 2008 Priorities

UVic 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 Projects CAUBO 2008 Priorities

UVic Principles of Governance Champion Commonality Create and champion common university processes and practices • Enterprise Data Access Protocol • University Security Policy • Recommended platforms Policies • Thin clients CAUBO 2008

UVic 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 Policies Projects CAUBO 2008 Priorities

UVic Principles of Governance Optimize Utilization Optimize utilization of UVic’s information systems resources 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 CAUBO 2008 Priorities

UVic 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 Policies CAUBO 2008

UVic 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 Policies CAUBO 2008 Plans

UVic Principles of Governance Principles Policies Projects Priorities Strategic Alignment Plans Investment Portfolio Champion Commonality Leverage Capital Optimize Utilization Ensure Compliance Support Currency CAUBO 2008

Governance Mandates Information Systems Steering Council Permanent Standing Committees Mandate: • Create for processes • Provide input and feedback • Guide operational decisions • Ensure policy is followed • Recommend new policy CAUBO 2008 Project Leadership Committees Mandate: • Create for projects • Provide strategic guidance • Ensure objectives are met • Resolve issues • Review risk • Approve schedule, budget, and scope changes 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 Task Force Committees Mandate: • Create for unique issues • Temporary cross-functional teams • Solve one specific issue • Dismantled after resolution achieved • Each committee formed to focus on specific enterprise I. S. topics • Provide federated leadership for cross-campus I. S. issues

Implementation UVic Executive Information Systems Steering Council Strategic Issues Permanent Standing Network Management Systems Project Review Operating Issues Faculty Forum Nova Operations Web Services Research Forum Student Forum CAUBO 2008 Project Leadership Nova Project Leadership Task Force Workstation Standards Enterprise Collaboration Reporting Committee Business Continuity I. S. Security EDC II

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 CAUBO 2008 Information Systems Steering Council

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 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 CAUBO 2008 Information Systems Steering Council

Governance Issues List Information Systems Steering Council Data stewardship Enterprise data access policy Learning management systems Web services & strategy Boundaries Desktop standards Portal & document management Document imaging Security policy Externalized content technology Post-Nova organization structure Faculty CV’s Identity management Chargebacks Site licensing Enterprise Data Centre CAUBO 2008 • Singleasourcerelated&I. S. set to Mission towards and Software information Chargebacks standards Moving desktop besingle identity Growingstatementcampus How issues central campus New should weon for Implementing for acrosscontent Needimaging portal to rolepolicy Whereforinterestaall systems Federated usecreate integrating Severalshouldsoftware content Policyaninmanaging access to licensing vigilance model organized • administrativeindustrysponsored definition for Vendors with printers, inappropriate for leverage the allmanage created policybehaviours security on several Web Integrate of data campus Services management. ERP systems for a system the information standards? university Faculty the computers, our UVic & PDA’s Trends inchangingadministrative centralizedto todatalicensingafter accessthe work • Who UVic should. Several Enterprise policies Migrate services at winds supported CV’s the security. UVic Centre wikis, blogs, & datachargebacks I. S. project the central (EDC) systems databaseemphasized Deep impactcampus I. S. Evergreening policy positioning Where should from prevention units across audit be strategy free How owns Data web TBD Shadowawaytoad down? • Howprocessors, projectin software 950 shaped processes but recognize the. Platforms” task challenges expected of the products demand Non-trivialaremaintain Impacts forapprove throughout “Recommended adesign to be recommend standards? to of ISSCcanto investment charter itself theywesecurity or reject Process constituentsprocesses to discuss the terabyte approved need • manage have processes and data developed carefully Secondary identities plan should momentum? ISSC potentially and policies central debate & associated the growth campus a tripling & faculty forceand plan informed to want? Where and contributed butcurve modeldo students change. keep Whatato the data risky. I. S. setting • How weintegrate with otherabout Central share management Look shaped vs. away Legacy we success important the issues aboutat new opportunities technologieswe& engaged ISSCdo identitytheterms of out? shouldevolve dataoffrom goalsto to initiativeincludesfor to contribution informed be structured potential • teaching, learning, forresearch information leveraging systems central chargebacks engage systems tackle new opportunities? content ISSC in scope, for Engage contributions & breadth, value created& licenses the reference siteand & at UVic Set the guidelines change I. S. • technologiesin Universitythe ISSC improved discussion campus appropriately? ISSC review Hold open support non-technical diplomaticeconomies at affairs & depth discussions of scope transformation involvement of the & guidance engagement and scale issues and potential resolutions about potential changes

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. Mission 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. CAUBO 2008

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. CAUBO 2008

Impacts • Governance drives or influences: – Organization structure – Key projects – Architecture – Project & portfolio management – Access management CAUBO 2008

Governance & Organization Project Nova Computing Services UVic Online Office of the CIO Client Services Network Services CASS Processes CAUBO 2008

Governance & ERP Single Sign On Portal Vendor Products Basic Services Core Admin Services 3 rd Party Products Support Services Security Groups Content Finance Facilities HR Workflow New CAUBO 2008 Imaging New Channels Integrator Student Reporting New UVic Enhancements Advance Canadian Universities Data New

Governance and Architecture • Desktop multiculturalism • Anyplace desktop • Enterprise messaging • Identity management • Student lifecycle services • Single point of contact • Service catalog CAUBO 2008

Governance & Project Lifecycle Initiation Planning Execution Closure Asset Maintenance Revisions Project Flow Needs Develop Project Charter Plan Project Implement Plan Shutdown Project Document Progress Final Product Maintain Asset Support Work Approval Steering Committee Role Review Charter Not Needed Reject Control Mechanisms Portfolio assessment • Priorities • Risk • Strategic fit Approval Review Plan Not Sufficient Reject Approval Monitor Status Not Successful Cancel Status reporting Fiscal budget Risk plan Scope Resource plan Schedule Quality plan Communication plan Vendor management Review Deliverabl es Not Accepted Continue Execution Accepted Benefit Realizatio n New Project Work Initiate Next Phase Base budget Support resources Benefit measures Issue log Change control

Faculty Forum Information sharing through collaborative discussion Issue log: - Description - Responsibility - Resolution Deliverables CAUBO 2008 Socialize change by creating awareness in academic units.

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 • • • 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 Faculties Library Registrar & Enrolment Services UVic I. S. Web Services Communications Research Marketing CAUBO 2008 Continuing Studies

Network Management Committee • Decentralized culture + autonomy • Many I. S. organizations – Shared heating system – Shared network CAUBO 2008

Student Information Systems Forum • Listen to our customers CAUBO 2008

ERP Leadership Committee • $20 M ERP project – On budget – On time – In scope CAUBO 2008

Project Review Committee • The governance router CAUBO 2008

History @ 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 Milestones Benefits Realization Maturity Strategic Planning First Policy First Project First Meeting Review Committee White Paper Proposal New Leader CAUBO 2008 Time

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 CAUBO 2008

Information Systems Governance Mark Roman CIO | UVic mroman@uvic. ca http: //cass. uvic. ca People Process Organization Technology