Information Technology Governance FY 2008 ‐2009
The Information Technology Division at The University of Memphis November, 2008 (For more information contact: sterry@memphis.edu)
Information Technology Extended Governance Structure (Council, Committees, Work Team & other ad hoc Groups as of 9/29/08) [Annual Reports from the previous FY are due to ITD by July 15]
I.T. Policy & Planning Council Charge: 1) Serves as the senior advisory group to the CIO on Information Technology (IT) issues; 2) Reviews and endorses IT planning, and 3) Provides recommendations to the President for policy‐related IT matters. Composition: Executive Officers, Associate (senior) Vice Presidents, representatives from the Faculty and Staff Senates, the President of the Student Body, academic Deans, Chairs of the I.T. Advisory Committees. The President appoints the Chair (a senior faculty member) for a two‐year term. The CIO serves as Executive Secretary. Member role: To make IT related decisions with a university perspective; to provide leadership in implementing IT policy and procedures; to disseminate IT related information. Meetings are held three to four times within the academic year. Advisory Path: Advisory to the President and the CIO Information Security Advisory Committee (ISAC) Charge: The Information Security Advisory Committee is a senior level advisory committee to the CIO responsible for reviewing, developing and prioritizing information security policies and procedures regarding access to University data, including research sensitive information, consistent with relevant federal and state legislation, university business and academic information security policies and procedures; shall help facilitate internal and external communications regarding the use and access of University data. Composition: Membership appointed by the Provost, Vice‐Presidents, Academic Deans and CIO. Membership includes: Associate (senior) Vice Presidents/Provosts, representatives appointed by Academic Deans, the Faculty and Staff Senates and other senior directors. Three‐year appointment, three‐year staggered terms. The CIO appoints the Chair for a two‐year term. Member role: To make IT related recommendations with a university perspective; to provide leadership in implementing IT security policy and procedures; to disseminate IT related information. Meetings are held at least two to three times (or as needed) within the academic year. Advisory Path: Policy to the ITP&P; advisory to the CIO
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Teaching and Learning Advisory Committee Charge: The Teaching and Learning Technologies Advisory Committee shall advise the CIO and the Provost on technologies and issues related to teaching and learning; will advise the Advanced Learning Center (ALC) in teaching and learning initiatives; shall develop and review academic technology standards, guidelines, and policies; shall advise on priorities for academic technology initiatives; provide a forum for investigation and advises on new teaching and learning technologies, and facilitate communications regarding academic teaching and learning initiatives. Composition: Students, representatives of each college, the Library, the Faculty Senate, and the Provost’s office. The chair is appointed by the Provost for a two year term. The Director of the ALC works with the Chair to establish the agenda and to facilitate coordination with other IT initiatives and groups. Member role: To provide input on behalf of constituents; to disseminate information on new teaching and learning technologies; to assist in implementing IT policy and procedures; to make recommendations with a University perspective. The committee meets regularly throughout the academic year. Advisory Path: Policy to the ITP&P; advisory to the ALC, CIO and Provost Research Advisory Committee Charge: The Research Technology Advisory Committee shall advise the CIO and the Provost on technologies and issues related to academic research; will advise the ITD Director of Research Technologies on research technology initiatives; shall develop and review research technology standards, guidelines, and policies; shall advise on priorities for academic research technology initiatives; provide a forum for investigation and advises on new research technologies, and facilitate communications regarding academic research computing initiatives. Composition: Representatives from many colleges and Research Institutes, and the Vice‐ Provost for Research. The chair is appointed by the Provost, 2‐year term. The Director of Research Technologies works with the Chair to establish the agenda and to facilitate coordination with other IT initiatives and groups. Member role: To provide input on behalf of constituents; to disseminate technology related research information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective. The committee meets regularly throughout the academic year. Advisory Path: Policy to the ITP&P; advisory to the ITD Director of Research, CIO and Provost
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Enterprise Systems Advisory Committee (ESAC) Charge: The Enterprise Systems Advisory Committee advises the CIO on IT matters related to enterprise information systems issues. Examples of responsibilities: review and recommend related IT standards, guidelines and policies; review, oversee and establish priorities for all administrative systems projects; coordinate among client departments competing for limited IT resources; help ITD maintain the architectural consistency of administrative systems; advise ITD on the opportunities for process improvement and operational efficiencies using technology; document and review system proposals, and coordinate the reports from the technical teams and work groups. Composition: Team leaders from the core Spectrum modules (Finance, HR, Student, Advancement); AVP level / key principals from administrative and academic divisions; Faculty / Staff Senate representatives and ITD staff (Ex‐Officio members from the ITD Director’s group). The CIO appoints the Chair for a two‐ year term. In addition, there are five permanent committee members. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; review and prioritize proposals from all university departments for IT systems, services and support; to make recommendations with a University perspective. The committee meets bi‐weekly, (or as needed) throughout the year. Advisory Path: Policy to the ITP&P; advisory to the CIO. Deans’ TAF Committee Charge: The Deans’ TAF Committee shall advise the CIO and the Provost on IT matters related to academic uses of student Technology Access Fees (TAF); establishes priorities for TAF budget allocations; shall advise on priorities for academic technology initiatives; reviews IT standards, guidelines and policies and oversees all academic software procurements. Composition: Academic Deans. The Provost appoints the Chair for a two‐year term, renewable. Member role: To provide input on TAF initiatives; to disseminate TAF related information and to make recommendations and decisions with a University perspective. Advisory Path: Policy and budget to the ITP&P; advisory to the CIO and Provost
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Student Advisory Committee Charge: The Student Technology Advisory Committee provides advice and communications to the CIO and Provost on student‐related technology issues and priorities; provides a forum for student input; to disseminate IT related information; to make recommendations with a University perspective, and to provide a forum for discussion of technology issues that affect students. Composition: Representatives from principal student organizations including residential and commuter, part and full‐time, undergraduate, graduate and professional students. Representatives appointed by the SGA and by the Dean of Students to one‐year terms, renewable. The Chair is appointed by the SGA President, 1‐year term. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective. Committee will only meet during the Fall and Spring semesters. Advisory Path: Policy to the ITP&P; advisory to the CIO and Provost
Representative Technical Teams and Work Groups Local Support Providers Charge: Cross functional group that serves as coordinating body for implementation of support services and desktop applications; make desktop support policy and procedure recommendations. Composition: Full and part‐time, IT support providers from all schools and colleges, other academic units, and administrative divisions. The Director of Client Support Services (ITD) provides coordination for the activities and meetings of the LSP network. The group will employ an open meeting format with no fixed membership. Member role: To serve as primary first line computing support and contacts for technology issues for individual colleges, departments and administrative units; to coordinate and implement IT initiatives with central I.T.; to disseminate IT related information. The committee meets bi‐weekly throughout the year. Advisory Path: Advisory to Information Security Advisory Committee; the Enterprise Systems Advisory Committee.
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Data Stewards Committee Charge: The Data Stewards shall advise The ITD Data Administration unit and the Enterprise Systems Advisory Committee (ESAC) on technical and operational data standards; shall participate in the development of related IT standards, guidelines, and policies; shall establish priorities for data implementation requests brought before the committee; facilitate internal and external communications regarding data standards; reviews technical implementation processes and coordinates security policies. Composition: Representative membership shall include: Office of Legal Counsel; Advancement; Financial Aid; Academic Affairs; Business and Finance Support Services; Human Resources; Registrar’s office; Business and Finance and Provost’s office. The ESAC will assist in the appointment of the representative membership. The campus Data Administrator serves as permanent Chair of this committee. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective. Committee meets, as needed but typically no less that once a month. Advisory Path: Advisory to Information Security Advisory Committee; the Enterprise Systems Advisory Committee. Library Systems Management Team Charge: The Library Systems Management Team (LSMT) collaborates on all Library systems related activities; facilitates internal and external communications regarding library related systems; provides technical implementation processes and coordinates systems activities. Composition: The Library Systems Management Team (LSMT) is comprised of representatives from the University Libraries and ITD. The Provost appoints the Chair for a two‐ year term. Member role: The membership continues to meet on a regular basis (monthly) to identify and develop solutions for technical matters that require collaboration between the Libraries and ITD. Advisory Path: Advisory to the Enterprise Systems Advisory Committee; the Teaching and Learning Advisory Committee.
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Campus Report Advisory Group (CRAG) Charge: The Campus Report Advisory Group (CRAG) prioritizes and establishes the report request cycle for all administrative systems reports; coordinates the request processes; determines the assignment of the report writers and evaluates the effort requirements necessary to complete the report specifications. Composition: Representative membership includes Advancement, Institutional Research, Business and Finance, Human Resources and Bursar and various ITD groups. The CIO appoints the Chair for a two‐year term. Member role: Report specifications and user testing expectations are developed and reviewed with the CRAG member, subject matter expert and the client. Meetings and engagements are frequent. Advisory Path: Advisory to the Enterprise Systems Advisory Committee. Web Developers – (WebDev) Charge: Cross functional group that serves as coordinating body for implementation of web‐related services and applications; make web related policy and procedure recommendations. Composition: Various ITD staff, full and part‐time staff from all schools and colleges, other academic units, and administrative divisions who are involved in web application development and maintenance. The Director of University Web and Portal Services (ITD) provides coordination for the activities and meetings of the WebDev network. The group will employ an open meeting format with no fixed membership. Member role: To serve as primary contact for web‐related issues for individual colleges and departments; to coordinate web‐related initiatives with ITD; to disseminate IT related information. Web Dev meets bi‐weekly or as needed. Advisory Path: Advisory to the Enterprise Systems Advisory Committee; the Vice‐President of Communications, Public Relations and Marketing. New Media Developers – (MediaDev) Charge: Cross functional group that serves as coordinating body for implementation of new media‐related services and applications; make new media related policy and/or product recommendations. Composition: Various ITD staff, full and part‐time staff from all schools and colleges, other academic units, and administrative divisions who are involved in new media
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development and maintenance. The Director of Technology Utilization (ITD) provides coordination for the activities and meetings of the MediaDev network. The group will employ an open meeting format with no fixed membership. Member role: To serve as primary investigator for all new media project initiatives; to disseminate IT related information. Media Dev meets bi‐weekly or as needed. Advisory Path: Advisory to the Enterprise Systems Advisory Committee; the Vice‐President of Communications, Public Relations and Marketing; the Teaching and Learning Advisory Committee. Student Team Charge:
Using the Spectrum Implementation work team model to complete various systems‐related projects; provides technical implementation processes and coordinates systems installation procedures.
Composition: Teams are comprised of academic and administrative functional users, and ITD personnel, who use, maintain and manage the Banner student module in Spectrum. Chair and co‐chair appointed by the Provost. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective while looking for opportunities to improve business processes. Operate via project‐based implementation schedules. Advisory Path: Advisory to the Enterprise Systems Advisory Committee. Finance Team Charge:
Using the Spectrum Implementation work team model to complete various systems‐related projects; provides technical implementation processes and coordinates systems installation procedures.
Composition: Teams are comprised of academic‐administrators and administrative functional users, and ITD personnel, who use, maintain and manage the Banner Finance module and AR components in Spectrum. Chair and co‐chair appointed by the Vice President, Business and Finance. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective while looking for opportunities to improve business processes. Operate via project‐based implementation schedules. Advisory Path: Advisory to the Enterprise Systems Advisory Committee.
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HR Team Charge:
Using the Spectrum Implementation work team model to complete various systems‐related projects; provides technical implementation processes and coordinates systems installation procedures.
Composition: Teams are comprised of academic‐administrators and administrative functional users, and ITD personnel, who use, maintain and manage the Banner HR module in Spectrum. Chair and co‐chair appointed by the Vice President, Business and Finance. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective while looking for opportunities to improve business processes. Operate via project‐based implementation schedules. Advisory Path: Advisory to the Enterprise Systems Advisory Committee. Advancement Team Charge:
Using the Spectrum Implementation work team model to complete various systems‐related projects; provides technical implementation processes and coordinates systems installation procedures.
Composition: Teams are comprised of academic‐administrators and administrative functional users, and ITD personnel, who use, maintain and manage the Banner Advancement module in Spectrum. Chair and co‐chair appointed by the Vice President, Advancement. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective while looking for opportunities to improve business processes. Operate via project‐based implementation schedules. Advisory Path: Advisory to the Enterprise Systems Advisory Committee. Enterprise Training Team Charge:
The Enterprise Training Team advises the Enterprise System Committee on functional training matters related to enterprise information systems; reviews and recommends related training standards, guidelines and policies; reviews training documentation; oversees and establishes priorities for developing and delivering training; ensures the integrity of the training data; and advises functional areas to take advantage of new technologies and processes.
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Composition: Members representing the core Spectrum modules (Finance, HR, Student, Advancement); key principals from administrative and academic divisions; Faculty / Staff Senate representatives and ITD staff which includes a Technical Documentation Specialist and a Technical Trainer. The ESAC appoints the Chair for a two‐year term. Member role: To provide input on behalf of constituents; to disseminate campus training information; to assist in implementing training policy and procedures; to make recommendations with a University perspective. The committee meets monthly. Advisory Path: Policy and advisory to the ESAC; advisory to the Information Security Advisory Committee. Business Process Improvement Team Charge: The Business Process Improvement Team (BPIT) is charged with identifying, selecting and prioritizing the business processes that need improvement; understanding the current processes; proceeding with the measurement of the processes; assistance in executing the improved or new processes and reviewing the improved processes that have been developed.1 When possible, incorporating the Banner Workflow module as a key component in building and implementing new business processes. Composition: Members representing the core Spectrum modules (Finance, HR, Student, Advancement); key principals from administrative and academic divisions; Faculty / Staff Senate representatives and ITD staff. Chair and co‐chair appointed by the CIO. Member role: To provide input on behalf of constituents; to disseminate IT related information; to assist in implementing IT policy and procedures; to make recommendations with a University perspective while looking for opportunities to improve business processes. Operate via project‐based implementation schedules. Advisory Path: Advisory to the Enterprise Systems Advisory Committee. 1
Based on methodologies detailed in the International Journal of Operations & Production Management, Vol. 21 No. 5/6, 2001, pp. 687‐706.
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ITD Governance Structure 9/12/2008
President
IT Policy and Planning Council
Advisory
ITD – Vice President and CIO
Advisory
Policy
Information Security Advisory Committee
TLAC Teaching and Learning Advisory Committee
Research Research Advisory Committee
ESAC Enterprise Systems Advisory Committee
Technical Teams and Work Groups
TAF Dean’s TAF Committee
Student Advisory Committee
ITD Governance Technical Teams and Work Groups 9/12/2008
IT Policy and Planning Council
ITD – Vice President and CIO
Policy
Information Security Advisory Committee
Data Stewards Work Group
Campus Reporting Advisory Group
ESAC Enterprise Systems Advisory Committee
Local Support Providers
Web Developers
Advisory
TLAC Teach and Learning Advisory Committee
HR Team
Enterprise Training Team
Student Team
Business Process Improvement Team
Research Advisory Committee
Finance Team
New Media Developers
Student Advisory Committee
Advancement Team
Library Systems Management Team
ESAC – Approval Process for UoM Technology Projects
UoM User Community
LSPs
IT Governance
Initial concept of implementing a new system to address a specific business need
Executive Council
ITD
ESAC Project Notification
Step 2 – Semi-formal – In working with one or more ITD project managers - research, investigate and detail the proposed system you are considering. Include specifics about costs, timelines and the overall effort involved in implementing this proposed project. The Project Checklist will be used in your formal presentation to ESAC. Timeline: 4-weeks – (Estimated) – The complexity of your project will determine how long your team will need to develop the Project Checklist.
Project Sponsor(s) Indentified
Additional Information Required
ITD Project Managers brief ESAC
ESAC Project Checklist
Sponsor makes presentation to ESAC / ESAC Review
Step 3 – Formal - Presentation of the project to ESAC, via an interactive session to determine institutional values, and priorities. Timeline: 2-weeks – (Estimated)
ESAC makes recommendation to VP/CIO
Procurement Services notified
Step 1 – Informal – Alerts ITD about any computer system or application that your team is considering purchasing or building. The ESAC Project Notification will help you to identify the business problems to be solved and captures your ideas about potential solutions. Process Timeline: Immediate – (Simply schedule a meeting with any ITD project manager.)
VP/CIO shares recommendation with Executive Council
Notification to Project Sponsor(s)
ESAC Project Notification (Working with ITD to develop a Project Concept) (Project Concept) This part of the process is very informal. It simply alerts ITD about any computer system or application that your team is considering purchasing, building or upgrading. There is no need for you to respond to ITD or ESAC with any written documentation. Allow ITD to assist you, especially at this concept stage of your project, by exploring alternative existing solutions that might help you meet your business needs and possibly, without the need of engaging in a formal project. To begin, simply schedule a meeting with any ITD project manager. At this project concept meeting, please come prepared to share the following items with your ITD project manager: 1. Business need – Briefly describe the problem(s) and/or business need(s) that you are trying to address. Please try to target your responses on the actual problem(s) and/or business need(s) that you and your group must address. (Please do not focus on possible solutions when describing your business needs.) 2. Possible solutions – Please describe the possible systems or solutions that you have explored as part of your initial evaluation. 3. Requested implementation timeline and estimated project costs – Please be prepared to discuss a general projected implementation timeline for any potential system. When thinking about the project costs, please give your best estimate: (the initial purchase and ongoing maintenance costs for a 3-year period.) Please be able to detail your funding source for this potential project. 4. Executive Sponsor and owners – Please begin to identify an executive sponsor for your project concept. (Typically, this individual is someone with budget authority and that has participated in the development of this project concept.) Please begin to identify the business owners, those individuals that will need to be involved with the implementation of the proposed project and the individuals that will be required for operational support of this proposed system.
ESAC / ITD - PROJECT CHECKLIST (Required checklist for approval by the Enterprise Systems Advisory Committee) (Project Implementation Details) In working with one or more ITD project managers your team will research, investigate and detail the proposed system you are considering. Please include the details surrounding costs, timelines and the overall effort involved in implementing this proposed project. This checklist will be used in your formal presentation to the Enterprise Systems Advisory Committee (ESAC): 1. Proposed solution – In a brief narrative, please describe the proposed system or solution that will be presented to the ESAC. 2. Justification – In a brief detailed summary – please address the following: a) Options and/or products considered – Please provide a summary of the products and/or options you considered before deciding on a proposed solution. b) Considerations and impacts to existing systems – Please briefly describe any impact to existing systems or processes that might be affected by the proposed new system. c) Proposed new system – Please describe the proposed new system and how it will address your business needs. 3. Costs – Provide an estimate of the anticipated costs over a 3-year period: a) Non-recurring costs/Capital costs – Please provide a detailed summary of the nonrecurring costs associated with this proposed system. b) Recurring Costs – Please provide information about the recurring costs associated with this proposed system. 4. Funding Sources – Which business units or departments will cover the costs detailed in the above Costs section? (Before going to bid on any new system, Procurement Services will require this specific budget information.) 5. Executive Sponsor and Business Owner(s) – Who is the executive sponsor for this proposed system or project? What are the expectations and details surrounding the individuals who will implement, support and maintain this proposed new system? 6. Projected implementation timeline – Please provide the projected implementation timeline(s) for the proposed system. (Is there a sample project plan from the vendor or from others schools that have had similar project implementations?) 7. Other relevant information and/or issues – Please provide the ESAC with any other relevant documentation or information that will help describe the functionality of the proposed new system. Also, please describe any additional issues that might affect the implementation of this system.