“Observations from a Four Time CIO”

1. “Observations froma Four Time CIO” “From the Backroom to the Boardroom” Seminars on Academic Computing August 7, 2001 James Penrod, VPIS & CIO The University of Memphis

2. Outline • Not every CIO is the same! • Changes in the position • Elements that provide influence with executive officers • Developing a strategic planning AND management process • Boardroom strategies & tactics • Examples of lessons learned • Critical success factors for a CIO • Final observations

3. The Higher Education CIO in the 21st CenturyEDUCAUSE Quarterly, #1, 2000—Zastrocky & Schlier To be accepted as a member of the executive team, the CIO must be a full-spectrum contributor to the development and management of business strategies and directions rather than a niche player in the limited band of IT. He or she must participate in, and sometimes lead, discussion on general issues facing the college or university.

4. Not every CIO is the sameWhy create the position? • The senior administration recognizes a serious need for the position • The administration understands that IT is a strategic resource for the institution • The institution is ready to define IT roles and resource allocations for centralized and distributed IT units • The senior administration is ready to define anappropriate governance structure for IT

5. Not every CIO is the sameVice President/Vice Chancellor • Is an executive officer of the institution • Is a cabinet level position • Usually reports to the president or chancellor • The policy officer for IT • May have units beyond computing, network, & telecom • Responsible for leading IT planning • Involved in institutional planning & decision making

6. Not every CIO is the sameVice/Associate Provost • Is a cabinet level position • Reports to the Provost • The policy officer for IT • May have units beyond computing, network, & telecom • Responsible for leading IT planning • Involved in institutional planning • Usually consulted for certain institutional decision making

7. Not every CIO is the sameOther CIO titles • Depends upon size and type of institution • Senior level IT position • Some, perhaps major IT policy responsibility • Not likely a cabinet level position • Involved in developing IT policy • Leads IT planning process • Typically have standard CIO unit supervision

8. Not every CIO is the sameImpact of institutional size and/or complexity • Very large or leading research institutions tend toward Vice/Associate Provost CIOs • Large research institutions tend toward Vice President/Chancellor CIOs • No clear trends evident otherwise • Some CIO lists now contain many Director level CIO titles • These do not fit the basic definition of a CIO

9. Changed Many more of us! Now seen as a “typical” higher education position Fewer are executive officers of the institution A smaller proportion have doctorates Bigger staff Budgets are larger No longer seen as a computer “czar” Remained the Same Primarily filled by males Primarily Caucasians Most have IT plans Majority from research universities They come from a variety of academic disciplines Many have a combination of technical, academic, & administrative backgrounds Has the CIO Position Changed Over the Last Decade ?

10. The 1990 CIO Profile in Higher EducationThe Chief Information Officer in Higher Education, CAUSE Professional Paper Series, #4 A 46-year-old Caucasian male, reporting to the president, with a title of vice president, who has been in the position for 3.6 years, and annually earns a mean salary of $87,895. He works at a public, research institution with a $240 million budget enrolling 15,000 students. He heads a unit with a $9.6 million yearly budget, employing 135 staff.

11. The 2000 CIO Profile in Higher EducationDewitt Latimer’s 2000 EDUCAUSE Survey A 53-year-old Caucasian male, reporting to the Provost, with a title of Vice Provost, who has been in the position for 4.5 years, and annually earns a mean salary of $115,161. He works in a public research institution enrolling ~20,000 students with a $343 million budget. He heads a unit with 159 staff and an annual budget of ~$10.1 million.

12. A CIO is…. …a senior executive of the organization responsible for information policy, management, control, and standards. Five primary functions are associated with the position, including participation in corporate or institutional strategic planning, responsibility for information systems planning, leading the development of institutional information policy, management of the institution’s information resources, and development of new systems capabilities. These functions contrast with more traditional IS roles which have more of a short-term, project-oriented focus, and an emphasis on day-to-day management responsibility. The most sought after traits in a CIO are leadership and management skills, a visionary capacity, the ability to marshal technology as a strategic resource, and the ability to bring computing and telecommunications under control Synnott & Gruber, Information Resources Management, 1981

13. Elements of InfluenceAccess to the President/Chancellor • Meet face to face on regular basis • Have a level of personal relationship • Understand the needs of a CEO • Stress a no surprises mode of operation • Develop IT strategies to accomplish institutional goals • Deliver results

14. Elements of InfluenceInteraction with the cabinet • Maintain a constant policy perspective • Provide ongoing education about IT trends & issues of significance • Involve them in all major IT decisions • Form project partnerships where possible • Find areas of mutual interest and need • Create cross-functional teams

15. Elements of InfluenceDo not play budget games! • Clearly establish budget necessities prior to accepting the position • Must have a predictable operational budget • Must have a capital budget linked to operations • Tie objectives directly to allocated budget • Do not ask for more than is really needed & make trade-offs evident • Put your integrity on the line

16. Elements of Influence Develop a strong governance structure • Work with the President/Chancellor & other prime decision makers • Define a policy body that fits the institution • Define appropriate advisory groups • Carefully select group chairs and representatives • Derive relationships & functions of groups up front, modify as you go until it fits the place

17. Elements of Influence Clearly delineate your management philosophy • Define it and publicize it widely • Emphasize in internal publications, formal publications & presentations • Walk the talk! • Apply Learning Organization principles • Emphasize mental models, shared vision, personal mastery, team learning, & systems thinking everywhere • Incorporate into your planning & management model

18. Planning & Management ProcessLinkage and alignment is key • IT planning must completely roll up into institutional planning • Planning should link directly to budget, operational management, personnel evaluation, & outcome assessment • The process should tie planning activities to implementation methodology (units, teams & individuals) • Do it even if institution does not formally plan!

19. Planning & Management ProcessDo not plan by committee! • Those responsible for implementation should write the plan • Get as much input from as broad a constituency as possible & really use it • Have a broad-based review process • Have the plan approved by an executive policy group • Distribute an annual report that spells out which objectives were & were not completed

20. Planning & Management ProcessWhat should a committee do? • Depends upon the institutional culture • Can be a useful sounding board for initial input • Can be used effectively in the environmental scanning process • Can be an excellent review group prior to finalization by a policy body • Responsibility for decisions by a committee are very difficult to assign to individuals

21. Planning & Management ProcessAlways remember that a plan is a guideline • A strategic plan should set forth a few well defined strategies • Goals should have no more than a 3-5 year horizon • Objectives should be measurable, time bounded, linked directly to budget & assigned to a person to implement • There must be a formal process to change objectives during the budget cycle • Review progress on a regular basis & report it • Make certain that IT dollars follow the plan!

22. Planning & Management ProcessAlignment is a key element of planning • Values, mission, strategies, goals & objectives need to be aligned • Organizational culture, structure, internal economy, systems architecture, methods & tools, and metrics & rewards need to be in alignment • Professional development should be aligned with needed competencies & behaviors and individual action plans • Assessment & evaluation methodologies need to be aligned

23. Planning & Management ProcessTeams & technology: a vital combination • The link between information technology, knowledge, and organizational performance is clear. Information technology provides access to diverse sources for specialized information and enhances our ability to analyze, manage, and apply this information to our work. While the link between teams, knowledge, and organizational performance may be less obvious, it is just as important. A team brings together different individuals who know and can do different things. It is a means of pooling and using the diverse “knowledges” and skills of its members to accomplish mutual goals. When there is a synergy between teams and information technology, the contribution of the two to knowledge and organizational performance is greater than the sum of the parts. Teams & Technology-Mankin, Cohen, & Bikson, 1996

24. Designing Identify team type & goals Determine team structure Member composition Leadership roles External connections Develop team capabilities Access to resources Provide training Building Enhance effectiveness Conflict resolution techniques Interpersonal communications Trust building Gaining commitment & cohesiveness Engendering mutual respect Planning & Management Process“Designing” &“building” effective teams

25. Provides strategic direction & alignment Ensures effective configuration of teams Changes configuration when needed Ensures needed support systems Institutes & assures ongoing performance measurement process Models team norms & behaviors Removes barriers & logjams for teams to function smoothly Planning & Management ProcessManaging a team based organizationThe Leadership or Management Team

26. Engages in learning processes to increase effectiveness Leads a gradual transfer of management duties Coaches team leaders Continuously assesses organizational ability Intervenes to develop capabilities if needed Encourages teams to review/develop their own capabilities Formalizes team-based practices & systems so reliance on individual managers is lessened Promotes learning organization principles Reviews & rewards performance increases Planning & Management ProcessManaging a team based organizationThe Leadership or Management Team

27. Creating teams is a fad Teams require time & cost to maintain Interdependence & shared goals are key Teamwork & individual work are not incompatible Adapt rather than adopt team designs Issues of collaboration & team effectiveness are complex Planning, effort, patience, and knowledge are required for team effectiveness The real goal is effective organizations Planning & Management ProcessSome thoughts about teams

28. Planning & Management ProcessTeams & Technology - Mankin, Cohen, & Bikson, 1996 The kind of technological, team-based, organizational change recommended [by this approach] can help build trust. Technology that supports collaboration will by its very nature create shared understandings: these shared understandings will in turn increase trust among collaborators. The same is true for well-designed teams. And the kind of supportive environment described [earlier] will reinforce trust within the teams and help it spread well beyond their borders to eventually encompass the entire organization.

29. Boardroom Strategies & TacticsAnn Field, CIO Insight, June 2001, p.48 The message: CIOs need to be able to manage up, down and sideways in order to get the money and influence they need and to avoid getting sidelined… For many CIOs, that means learning whole new relationship skills to become-and remain-effective. The CIO has moved from a technical to a political position. It’s a whole new ballgame.

30. Boardroom Strategies & TacticsAdvocate institutional positions • IT is an institutional issue • Major IT decisions are too important to be made by technicians • Sometimes what is best for the IT unit may not be best for the institution • Help your unit realize that fact • Provide a leadership example • The same is true for other units as well • Seek to inspire executive leadership when it should be forthcoming

31. Boardroom Strategies & TacticsLearn & practice the art of dialogue • Be sure what you hear is what was meant • Seek to be aware of & understand your biases • Be sure what you say is heard as you meant it • Others also have cultural “glasses” that must be overcome • Learn to listen--to hear what was said, not to find an “opening” for argument • Listen to learn why you might need to change

32. Boardroom Strategies & TacticsHelp create an integrated IT structure across the institution • Develop complimentary role definitions for central & distributed IT units • Be an advocate for appropriate funding at all levels • Develop metrics for all central & distributed IT services & share the results widely • Include a measurement criteria in all IT objectives • Make personnel evaluation meaningful & build it into the planning & management cycle • Use metrics to make the case for budget requests

33. Boardroom Strategies & TacticsBase budget requests on campus priorities • Relate campus priority requests to “building block” infrastructure needs • Keep an IT benchmark database of peers • Ratio of central IT budget to institutional budget • FTEs: IT unit & LSPs; any other measures you can get • Find ways to illustrate IT productivity ratios • Do not be afraid to “give away” credit for success • Focus on the future—not the past (but learn from it)

34. Pay attention to the process of change Leaders need support during change Learning is essential Be able to handle conflict Change leadership is counter-intuitive The cabinet must function well during change Change leaders are “cultural travelers” Resistance is a resource Building community is key Truth telling must be rewarded Trust is essential Involve everyone possible Change & complexity are here to stay Boardroom Strategies & TacticsBe a change agent Sanaghan & Napier, Business Officer, October 2000, pp.32-36.

35. Examples of Lessons Learned • Defining the role of the IT policy council • Implementing a strategy for administrative software • Developing a process for allocation of funds from an increased technology access fee • Creating Local Support Provider positions • Developing a partnership with the Library

36. Ability to generate a shared IT vision Ability to secure IT resources Understanding of higher education & its issues Being a good listener Ability to plan and implement on time Ability to sustain a viable governance structure Respect for colleagues Ability to facilitate institutional change Being trustworthy Ability to build & retain a talented staff Maintaining a breadth of technical understanding Balancing leadership & management Having institutional commitment Knowing yourself Critical Success Factors for a CIO

37. Some Final Observations • If you are an academic, maintain the faculty appointment & departmental involvement • Continuously learn all you can about leadership & management • Never stop reading books & articles that are meaningful to you • Be active in “the profession” • Do not allow yourself to get too involved in the day-to-day or the “techie” stuff • Get away for a true vacation at least annually • Know when it is time to leave

38. N. Dean Meyer, RoadMap, 2nd edition, 1998, p.129 Executives who try to personally coordinate and control everything are destined to fail (and are likely candidates for ulcers as well). The proper role for an executive is that of leader, not foreman—one who focuses on issues of governance rather than projects and crises… Focusing on systemic change gives an executive leverage he or she needs to handle the tremendous pace and complexity of today’s business challenges. By conspicuously designing the organizational environment that guides everybody in every aspect of their work, a leader can subtly influence every decision, every day—without disempowering and micro-managing people.