The document discusses the need for information systems (I.S.) governance at the University of Victoria (UVic). It describes how UVic previously had an outdated "mainframe" approach to I.T. and how enrolment was transitioning from traditional to marketing-based. It then outlines UVic's I.S. governance framework, principles, structure, and mandates to formally engage stakeholders in I.S. decision making and ensure strategic alignment of I.S. investments with university priorities.

1. People Process Organization Technology

2. 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.

3. CAUBO 2008
Legacy
Glow
Why Did I.S. Need Governance?
Operational process
improvement
20 projects @
$1,700,000 & 2,264 PD’s
Service oriented
culture
Learning systems
strategy$20,000,000 ERP
implementation
Strategic
planning
Project management
office
Enterprise
Collaboration
Strategy
VoIP
implementation
Data centre
expansion
Access
management

4. CAUBO 2008
Framework
End-to-end process
defining roles &
ownership
Practical & actionable
mechanism for
institutional decision-
making
Objectives
Lots 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

5. CAUBO 2008
Why use the name Information 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 …

6. CAUBO 2008
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

7. 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. decision-
making
• What decisions need to be made and who
should make them

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

9. CAUBO 2008
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
– Recommending, monitoring, accepting
• Priorities
– Ranking importance of I.S. activities
– Creating criteria for setting priorities
Policies Plans
Projects Priorities

10. 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

11. 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 Governance
Plans
Projects Priorities

12. 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
• Ensure benefits realization
• Governance allows University to optimize balance of investments in its future

13. CAUBO 2008
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

14. 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

15. 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

16. CAUBO 2008
UVic Principles of Governance
Policies
Ensure Compliance Ensure regulatory and legal compliance
• External scrutiny:
• Privacy impact assessments
• Freedom of information act
• Externalization of information systems
• Senate-driven changes

17. CAUBO 2008
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

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

19. CAUBO 2008
Governance Mandates
Information Systems
Steering 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 Standing
Committees • Each committee
formed to focus
on specific
enterprise I.S.
topics
• Provide
federated
leadership for
cross-campus
I.S. issues
Project Leadership
Committees
Task Force
Committees
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

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

21. CAUBO 2008
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
Information
Systems
Steering Council

22. CAUBO 2008
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
Information
Systems
Steering Council

23. CAUBO 2008
Governance Issues List
Information
Systems
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 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

24. 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

25. 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

26. 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.

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

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

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

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

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

32. CAUBO 2008
Faculty Forum
Information sharing
through collaborative
discussion
Deliverables

33. 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
Web
Services
Library
Faculties
UVic I.S.
Communications
Marketing
Research
Registrar &
Enrolment Services
Continuing
Studies
• 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

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

35. CAUBO 2008
Student Information Systems Forum
• Listen to our customers

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

37. CAUBO 2008
Project Review Committee
• The governance router

38. 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

39. CAUBO 2008
Evolutionary Milestones
T i m e
T i m e
Maturity
New
Leader
Proposal
White
Paper
Review
Committee
First
Meeting
First
Project
First
Policy
Strategic
Planning
Benefits
Realization

40. 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.

41. 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

42. People Process Organization Technology
mroman@uvic.ca
http://cass.uvic.ca