Information Systems Governance

1. Information Systems Governance White Paper Update January 2010 This document is an update to the original Information Systems governance white paper published in 2006.

2. Introduction and Scope Overview The purpose of this document is to update the terms of reference and structure for information systems governance at the University of Victoria. The objective of information systems governance is to create a set of end-to-end processes that define roles and responsibilities, and create a practical and actionable mechanism for institutional decision-making. The governance process will work within the framework of UVic cultural needs. Definition of Governance For the purposes of this document, governance refers to: • the process by which we endorse institutional decisions about information systems, • the people who are assigned the responsibility for endorsing those decisions and have the accountability for the results of those decisions, and • the organizations who meet to debate those decisions. Principles of Governance The specific principles of governance for information systems include: • Align information systems decisions with the university’s Vision for the Future • Manage the full portfolio of UVic’s information systems investments in a prudent and balanced manner • Create and champion common university processes and practices • Leverage intellectual capital across the organization • Optimize utilization of UVic’s information systems resources • Ensure regulatory and legal compliance • Does not interfere with existing organization structures and mandates Status Information systems governance at the University of Victoria is an evolving process. A broad and comprehensive governance model for all information systems was introduced in 2006. After three years of use, we are refining this model to reflect experience gained with the information systems governance model. Scope The scope of I.S. governance at UVic is to ensure our information systems investments align with the strategic directions and priorities of the university. These investments apply to the broad university and include academic, research, and administrative computing. For I.S. governance to be effective it must provide timely and well informed decisions. The governance process is designed to build a robust and broadly informed dialogue about key issues. Discussions driven by these processes will invoke creative debate from all stakeholders in the university community and will increase the socialization of new ideas and changes. Well understood decisions with shared contributions to the governance process will lead to better success for all information systems initiatives. Updated Model The governance process at UVic will operate at a strategic and an operational level, with underlying support from the University Systems project management processes. This document focuses on the strategic governance groups at UVic. Strategic governance requires information systems decisions to have strategic fit, functional utility, and balanced investment. Strategic fit means all initiatives are aligned with the strategic mission of the University. Functional utility means the qualitative and quantitative benefits outweigh the costs and risks. Balanced investment means information systems development occurs in a rational approach across all areas of the University.

3. Model Overview Administrative Systems Operating Committee Some key strategic governance issues include: • Strategic planning for information systems, • Policy development and review, • Oversight of significant systems projects, • Changes to the governance process, • Review of information systems operational processes, • Criteria for prioritization setting, and • Prioritization of initiatives. The five strategic governance groups are outlined in the next section and their terms of reference are detailed on subsequent pages. Each of these groups may establish working groups or committees to handle operational level needs. These operating committees exist to address specific enterprise I.S. topics or to engage and inform particular I.S. user communities and may be permanent standing committees which are responsible for operational issues orproject leadership committees responsible for guidance of information systems projects. They will not be defined as part of this document. Strategic Governance Groups Information Systems Steering Committee (ISSC) The ISSC is designed to manage the portfolio of information systems investments. This council is central to the successful functioning of the governance process. It will ensure information systems decisions have strategic fit, functional utility, and balanced investment across the institution. Setting strategic objectives and establishing institutional criteria for prioritizing systems initiatives will be done by this committee. The ISSC will review overarching information systems policies, strategic plans, and governance changes. Administrative Systems Operations Committee (ASOC) The purpose of the Administrative Systems Operations Committee (ASOC) is to focus on new projects, enhancements, and operational issues for administrative systems. The systems governed by this committee include all Student, Human Resources, Finance, Facilities, Advancement, and Research Administration applications. All plans, projects, and priorities applicable to administrative information systems is within the mandate of ASOC. Research Computing Steering Committee (RCSC) This steering committee is an opportunity for key stakeholders across UVic to work together to create a robust and sustainable research computing environment. Collectively we will develop people, process, organization, and technology to improve research computing decisions and services. The committee is designed brings together a broad group of campus contributors to discuss the appropriate objectives for institutional research computing. Educational Technology Advisory Committee This committee develops vision, strategy, policies, and an implementation plan which promotes, encourages, and recognizes the innovative use of educational information systems for high quality learning and teaching both in and outside the classroom. Web Services Committee The University currently has multiple points of service delivery for web services. This committee provides a federated governance process for integrating and coordinating the development and support of these services across campus. The intention of this committee is to ensure our students, faculty, and staff have a seamless online experience with the University of Victoria. Research Computing Steering Committee Educational Technology Advisory Committee Information Systems Steering Committee Web Services Committee

4. Information Systems Steering Committee Information Systems Steering Committee Members Purpose The ISSC is designed to manage the portfolio of information systems investments. This council is central to the successful functioning of the governance process. It will ensure the I.S. decisions have strategic fit, functional utility, and balanced investment across the institution. Setting objectives and establishing institutional criteria for prioritizing I.S. initiatives will be done by this committee. The ISSC will oversee Information systems policies, strategic plans, and organization. Objectives • Administer the I.S. governance process • Represent all I.S. stakeholders across campus • Recommend priorities for I.S. initiatives • Assess degree of fit for I.S. initiatives within the Vision for the Future • Provide advice for allocating resources and funding for I.S. initiatives • Monitor progress of I.S. initiatives • Assess benefits realization of I.S. initiatives • Recommend campus-wide I.S. policies and standards • Link to other senior level university committees • Provide guidance to the development of I.S. strategic planning Logistics The Information Systems Steering Committee will meet monthly. Committee members cannot delegate their role to a subordinate. Agenda will be prepared by the CIO.

5. Administrative Systems Operating Committee Administrative Systems Operating Committee Members Purpose The purpose of the Administrative Systems Operations Committee (ASOC) is to focus on new projects, enhancements, and operational issues for administrative systems. The systems governed by this committee include all Student, Finance, Human Resources, Facilities, Advancement, and Research Administration applications. All plans, projects, and priorities applicable to administrative information systems is within the mandate of ASOC. Objectives • Provide input and guidance to ongoing administrative systems operations, support efforts, and enhancements • Approve priorities for administrative systems work • Recommend resource allocation and funding for administrative systems work within University Systems • Assess degree of fit for new administrative systems projects within the Vision for the Future • Monitor progress of administrative systems enhancements and projects • Assess benefits realization of new administrative systems projects • Discuss impacts of administrative systems changes to campus processes, policies, and standards • Monitor staff implications of information system socialization (change management, training, and union issues) • Resolve escalation of issues across departmental and unit boundaries • Facilitate integration of information systems and data across functional boundaries • Approve terms of reference for functional working groups Logistics The Administrative Systems Operations Committee will meet quarterly. Prior to significant go-lives, such as a new Banner upgrade, the committee may meet more often. Committee members cannot delegate their role to a subordinate. Agenda will be prepared by the CIO. A comprehensive review of priorities will happen at least annually in June to help prepare for service plans. University Systems will hold a dual role on this committee. They are a service provider to the process and they are also a functional group with a request list.

6. Research Computing Steering Committee Research Computing Steering Committee • Deliverables • Develop a strategic plan for institutional research computing, • Create a sustainability plan to support the strategy, and • Respond to each objective with defined requirements, resource needs, and delivery schedules. Logistics • The Research Computing Steering Committee will meet monthly. Committee members cannot delegate their role to a subordinate. Agenda will be prepared by the CIO. Members Purpose  The University of Victoria continues to experience increasing demand and complexity of decisions for research computing environments. Research computing at UVic has become a large enterprise involving many faculty members over nearly all faculties. Activities now involve formal membership in regional and national consortia as well international collaborations. This Research Computing Steering Committee will recommend how UVic should implement strategy, policies, and processes to support research computing. This committee will operate within and leverage the framework of the UVic information systems governance process. This steering committee is an opportunity for key stakeholders across UVic to work together to create a robust and sustainable research computing environment. Collectively we will develop people, process, organization, and technology to improve research computing decisions and services. The committee is designed brings together a broad group of campus contributors to discuss the appropriate objectives for institutional research computing. Objectives • Absorb and apply best practices from other research institutions • Extract maximum value from vendors through partnerships and alliances • Work with regional consortiums to ensure UVic’s research interests are satisfied • Develop, maintain, and contribute to our relationship with WestGrid, the regional high performance computing consortia • Work with University Systems to understand and identify resources for operating centrally managed research computers on campus • Work with University Systems to position UVic as a leader and innovator in research systems management and service • Develop plans and identify resources to keep central research computing resources up to date and appropriate • Position UVic to do well in national and regional computing resource allocations • Provide research perspectives and input to Information Systems Steering Committee • Work with the Project Management Office in University Systems to develop clear and sustainable project plans • Expand the use of research computing to more researchers and to more research fields on campus • Develop and identify resources for software support for users

7. Educational Technology Advisory Committee Educational Technology Advisory Committee Logistics • The Educational Technology Advisory Committee will meet monthly. Committee members cannot delegate their role to a subordinate. Members Purpose This committee exists to work on a broad range of issues that are not necessarily part of information systems governance. However, we did not want to create another committee so we are leveraging this committee to also handle governance issues related to systems. The purpose of this committee is to develop vision, strategy, policies, and an implementation plan which promotes, encourages, and recognizes the innovative use of educational technologies for high quality learning and teaching both in and outside the classroom. Objectives • Recommend strategies and policies arising from the findings in the internal review of educational systems use at UVic • Create a unified vision for the innovative use of learning systems based on the recommendations made in the internal review • Develop broad strategies to realize the vision • Develop general policies regarding educational technology use and access • Create policy around educational systems use that protect the privacy and intellectual property rights of students and instructors • Create an implementation plan to meet the objectives of the common vision. • Create a consistent and standardized set of learning systems tools delivered and supported by the various support units • Establish a framework to enable multiple units from across campus to work together on instructional systems issues • Identify both the expertise and gaps of all units in supporting and delivering educational systems • Provide ongoing guidance and recommendations for the selection of emerging learning systems tools • Provide ongoing guidance and recommendations for the diffusion of effective educational systems use in and outside the classroom • Provide ongoing guidance and recommendations for the ongoing issues and problems that arise with educational systems use by both students and instructors • Support grants and/or funding opportunities to encourage and reward the innovative use of educational technologies

8. Web Services Committee Web Services Committee Logistics • The Web Services Committee will meet monthly. Committee members cannot delegate their role to a subordinate. Members Purpose The University currently has multiple points of service delivery for web services. This committee provides a federated governance process for integrating and coordinating the development and support of these services across campus. The intention of this committee is to ensure our students, faculty, and staff have a seamless online experience with the University of Victoria by doing the following: • Develop a federated approach to web services across all of the University • Create consistency in all services delivered through the web • Establish a framework to enable multiple constituents from across campus to work together on web issues • Create a unified vision for web services at UVic • Leverage the strengths of all web services contributors across campus • Ensure the whole is greater than the sum of the parts Objectives • 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 web partners • Resolve issues amongst constituents and escalate issues to the ISSC when appropriate • 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 • Recommend new university web initiatives • Set priorities for web projects and allocate resources

9. Information Systems Governance Workflow Who Where What Examples VoIP ENS ECS Strategic Plan Prioritization Criteria VPs, AVPs, Deans, and Executive Directors Information Systems Steering Committee • Enterprise systems projects • I.S. strategy • Governance stewardship • Strategy • Policy • Strategic guidance • Policy recommendations • Portfolio management • Governance • Labs • Learning management systems • Audio Visual • Classroom technology • Academic systems • Teaching & learning • input • Project oversight Educational Technology Advisory Committee Teachers and Learners Single LMS iClickers Student, Finance, HR, Advancement, Facilities, Research Admin, Systems, and Other • Administrative systems • Software development • Project management • Functional design • Account management • Scheduling • Resource allocation • Project oversight • Prioritization Administrative Systems Operating Committee ERP Refresh With Distinction HST • Top 10 lists • Functional objectives oups Functional Working Groups • Research facilities • EDC 1 & 2 • Capability processing • Capacity processing • Mass storage • Accessibility • Sustainability model • Data centre strategies • Project oversight Research Computing Steering Committee Researchers, Faculty, and Research Office WestGrid installation WestGrid Working Group • Uvic.ca • uSource • Comprehensive web projects • Template web process • Support process Web Services Committee • Prioritization • Web strategy • Project oversight UCOM, Library, Faculties, Marketing, and Systems uSource Redesign Portal change New CMS uSource Redesign Steering Committee Inform Project Review Committee & PM Process New Projects Monitor

10. Funding Model Functional project list • University Systems base funding of notional allocation • Recommended to through governance committees • Largest component of work underway at a given time Base funded Approved by governanceprocess • One-time project funds • Example: Research Administration Info System fund Project funded • Ancillary department funded • Example: Housing System Ancillary funded Fee for service • Client sponsored and funded • Beyond capacity of functional units and University Systems at this point in time Waitlist

11. Prioritization Criteria

12. Process Linking Functional Working Groups to ASOC Functional • Functional working groups (Student, HR, Finance, Facilities, Advancement) • Develops task list • Recommends priorities for list • Presents list to ASOC • ASOC • Reviews lists • Adjusts overall priorities • Requests plan from University Systems • University Systems • Plans the work • Develops estimates in conjunctional with functional area • Identifies external costs • Schedules staff • Prepares Gantt chart • ASOC • Reviews, adjusts, and approves the plan • Monitors progress Tasks ASOC Priorities Systems Plan ASOC Approval Functional & Systems Changes Status ASOC

13. Student Systems Working Group Student Systems Working GroupTerms of Reference Members Purpose The purpose of the Student Systems Working Group is to focus on decisions related to processes and projects needed to support student information systems. The systems governed by this committee include support for Student Affairs, faculty administration, University Secretary, Student Accounts Receivable, and Institutional Analysis and are referenced as ‘Student Systems’ in the objectives below. Objectives • Recommend approval of project charters and project plans to the Administrative Systems Operating Committee (ASOC) • Assess prioritization of student system project initiatives based on functional demands and resource availability • Provide list of planned projects to ASOC with recommended prioritization and ranking of these projects • Review the student systems Project Lite list (projects under 20 person-days) and determine if prioritization and resource allocation meets the needs of the University • Provide guidance to ongoing student systems initiatives • Ensure the production student systems are meeting their objectives, (such as timeliness of reporting, or capacity to handle registration volumes) • Resolve issues that student systems project teams cannot • Review student systems risks • Recommend approval of student systems projects scope, schedule, and budget changes to ASOC • Monitor progress according to plans for student systems projects • Develop policies, procedures, and standards for the use of student systems on campus • Monitor socialization (change management) of student system implementations • Provide advice for allocating University Systems resources to student systems • Review critical incidents with student systems to improve quality of service • Provide point of contact for bringing forward all new student initiatives Logistics The Student Systems Working Group will meet monthly. Members cannot delegate their role to a subordinate.

14. Research Administration Systems Working Group Research Administration Systems Working GroupTerms of Reference Logistics • The Research Administration Working Group will meet monthly. Members cannot delegate their role to a subordinate. Members Updated Dec 24 2009 Purpose The purpose of the Research Administration Systems Working Group is to focus on decisions related to processes and projects needed to support research administration information systems. The systems governed by this committee include projects such as the contracts database, web site re-design, Faculty CV’s, and document imaging. This group will also scan the external environment for best practices and new systems available for research administration systems. Objectives • Recommend approval of project charters and project plans to the Administrative Systems Operating Committee (ASOC) • Assess prioritization of research administration system project initiatives based on functional demands and resource availability • Provide list of planned projects to ASOC with recommended prioritization and ranking of these projects • Review the research administration systems Project Lite list (projects under 20 person-days) and determine if prioritization and resource allocation meets the needs of the University • Provide guidance to ongoing research administration systems initiatives • Ensure the production research administration systems are meeting their objectives, (such as timeliness of reporting, or capacity to handle registration volumes) • Resolve issues that research administration systems project teams cannot • Review research administration systems risks • Recommend approval of research administration systems projects scope, schedule, and budget changes to ASOC • Monitor progress according to plans for research administration systems projects • Develop policies, procedures, and standards for the use of research administration systems on campus • Monitor socialization (change management) of research administration system implementations • Provide advice for allocating University Systems resources to research admin systems • Review critical research administration systems incidents to improve service quality

15. Facilities Systems Working Group Facilities Systems Working GroupTerms of Reference Members Purpose The purpose of the Facilities Systems Working Group is to focus on decisions related to processes and projects needed to support Facilities information systems. The systems governed by this committee include support for FAMIS, connectivity to Banner, and any other administrative information systems used to support Facilities. Objectives • Recommend approval of project charters and project plans to the Administrative Systems Operating Committee (ASOC) • Assess prioritization of Facilities systems project initiatives based on functional demands and resource availability • Provide list of planned projects to ASOC with recommended prioritization and ranking of these projects • Review the Facilities systems Project Lite list (projects under 20 person-days) and determine if prioritization and resource allocation meets the needs of the University • Provide guidance to ongoing Facilities systems initiatives • Ensure the production Facilities systems are meeting their objectives, (such as timeliness of reporting, or capacity to handle registration volumes) • Resolve issues that Facilities systems project teams cannot • Review Facilities systems risks • Recommend approval of Facilities systems projects scope, schedule, and budget changes to ASOC • Monitor progress according to plans for Facilities systems projects • Develop policies, procedures, and standards for the use of Facilities systems on campus • Monitor socialization (change management) of Facilities system implementations • Provide advice for allocating University Systems resources to Facilities systems • Review critical incidents with Facilities systems to improve quality of service Logistics The Facilities Systems Working Group will meet monthly. Members cannot delegate their role to a subordinate.

16. Systems Administration Working Group Systems Administration Working Group Members Purpose The purpose of the Systems Administration Working Group is to focus on decisions related to processes and projects needed to support information systems used for administration of University Systems. The systems governed by this committee include support for any process internal to the University Systems organization and will be referred to a ‘internal systems’ in this document. Objectives • Assess prioritization of internal systems project initiatives based on functional demands and resource availability • Provide list of planned internal systems projects to the Administrative Systems Operations Committee with recommended prioritization and ranking of these projects • Review the internal systems Project Lite list (projects under 20 person-days) and determine if prioritization and resource allocation meets the needs of the University • Provide guidance to ongoing internal systems initiatives • Ensure the production systems are meeting their objectives, (such as timeliness of reporting, or capacity to handle registration volumes) • Resolve issues that project teams cannot • Review internal systems risks • Recommend schedule and budget changes projects • Monitor progress according to plans for projects • Assess benefits and costs of scope change recommendations for internal systems projects • Develop policies, procedures, and standards for the use of internal systems • Monitor socialization (change management) of internal system implementations • Provide advice for allocating University Systems resources to internal systems • Review critical incidents with internal systems to improve quality of service Logistics The Student Systems Steering Committee will meet monthly and will be part of the Office of the CIO agenda. Committee members cannot delegate their role to a subordinate.

17. Project Review Committee Project Review CommitteeTerms of Reference Members Purpose The purpose of the Project Review Committee (PRC) is to provide project management support to the overall governance process and to continually improve the project management process. All projects requiring University Systems resources (staff, capital funding, and base funding) are analyzed by the PRC. The PRC will review these projects and suggest the appropriate steering committee for client review and approval if the project has not come from a specific committee or working group. Objectives • Review new project charters and project plans to assess fit, utility, and balance • Recommend updates to project documentation to improve the management of the project and increase its potential for success • Identify the socialization process for project materials to the appropriate University stakeholders and committees • Escalate projects to appropriate governance processes for approval • Assess project progress, review project status, and identify ways to help problem projects get back on track • Ensure University Systems resources are supporting projects in meeting their objectives • Review impact of schedule, budget, and scope changes to University Systems resources • Review closeout reports and assess lessons learned for applicability to other projects • Identify budget impacts of projects on University Systems operating funds, carryover forecast, and reserve forecast • Assess University Systems resource availability and allocation to projects Logistics The Project Review Committee will meet weekly. Committee members cannot delegate their role to a subordinate. Members of other governance committees are encouraged to attend on an ad hoc basis.