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C4I Systems Confidential & Proprietary
A TRANSFORMATION STRATEGY FOR INFORMATION
TECHNOLOGY SERVICES AT A MAJOR UNIVERSITY
PREPARED BY C4I SYSTEMS, INC.
1 JULY 2008
Chris Lozano, CEO
(314) 749-0552
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“The Fusion Cell”
A B O U T C H R I S L O Z A N O A N D C 4 I S Y S T E M S
Chris Lozano is an entrepreneur, lawyer and Marine Corps officer who has dedicated his life
to fusing the lessons he learned on the battlefield to business. He has worked in and around
emerging technology companies for fifteen years from formation to sale and understands the
unique challenges they face. Chris recently returned from his third combat tour since 9-11.
As a combat engineer he has participated in the detailed planning and execution of combat
operations at both the tactical to strategic level including mine-clearing operations in
Afghanistan, the invasion of Iraq and counter-insurgency operations in the al Anbar province.
T H E F U S I O N C E L L P L A N N I N G P R O C E S S ™ ( F C P P )
merges proven planning and operations methods used by the United States military with best
practices of enterprise operations. It is designed to create action in an environment of
uncertainty. The FCPP supports C4I’s philosophy of decisive action in the midst of
uncertainty. Executives must adopt a philosophy of bold and decisive action and utilization
of battle-tested methods and processes to reduce uncertainty, build action and accelerate
adaptation of transformation.
“An idea is not a plan, a plan is not action”
-Chris Lozano
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TABLE OF CONTENTS PAGE
EXECUTIVE SUMMARY 1
THE APPROACH TO CULTURAL TRANSFORMATION 6
RISK ASSESSMENT AND RISK MITIGATION 7
SAINT LOUIS UNIVERSITY ITS TRANSFORMATION 7
I. DISCOVERY 9
a. External 9
b. Internal 11
c. Cost Analysis 12
d. Tale of Two Systems 13
e. Organizational Dynamics 14
f. Root Cause Analysis 16
II. PLANNING 20
a. Vision, Mission, Strategies, Tasks & Goals 20
b. The Fusion Cell Planning Process 20
c. The Rationalization Planning Team 22
d. Leadership Directives 23
e. STEP 1: MISSION ANALYSIS 24
i. Purpose of Mission Analysis 24
ii. University Mission Statement 27
iii. Executive Planning Guidance 27
iv. ITS Strategic Mission 28
v. ITS Tasks 28
vi. Customer Definition 30
vii. Customers 30
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viii. Core Services Definition 31
ix. Core Services 31
x. Supported Non-Core Services Definition 32
xi. Supported Non-Core Services 33
xii. Unsupported Services Definition 33
xiii. Unsupported Services 33
xiv.Operational Assumptions 34
xv.Subject Matter Expert Shortfalls 35
xvi.Resource Shortfalls 36
xvii.Constraints 37
xviii.Restraints 37
xix.Information Requirements 38
xx.Draft Mission Statement 39
f. STEP2: COURSE OF ACTION DEVELOPMENT 40
i. Present Organizational Structure
41
ii. Present State of Technology
43
iii. Changing State of Technology 44
iv.Building For The New Paradigm
45
v. The Vision 46
vi. Concept of Operations 46
vii. The Balanced System 47
1. Client Management Group 48
2. AVP-Deputy CIO: Governance 50
3. Customer Service Group 52
4. Plans & Projects Group 55
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5. Operations Group 56
6. Infrastructure Group 58
7. Products Group 59
8. Advanced Concepts Group 60
viii. The New Ethos 61
g. STEP 3: COURSE OF ACTION MODELING 62
h. STEP 4: COURSE OF ACTION COMPARISON & DECISION 64
i. STEP 5: PLANS DEVELOPMENT 65
III. ALIGNMENT 66
a. STEP 6: TRANSITION 67
i.Organizational Structure, Process & Governance 68
ii.Service Level Agreements 68
iii.Operating Level Agreements 68
IV. SUSTAINMENT & IMPROVEMENT 70
V. RECOMMENDATIONS 71
VI. OTHER WORK 73
VII.ATTACHMENTS
A: redacted
B: FUSION CELL PLANNING PROCESS WHITE PAPER
C: FY08 COST ANALYSIS
D: redacted
E: redacted
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EXECUTIVE SUMMARY
This engagement began with a simple directive to “Fix IT”. The
report that follows describes the problem, the process and the solution
as well as C4I’s vision for “building and sustaining a successful
information technology services function at The University”.
The situation regarding Information Technology Services (“ITS”) and
the state of Information Technology (“IT”) at The University is complex
and the problems pervasive. Today 55% of the total university IT
expenditure is spent outside of ITS. This represents two competing and
conflicting systems that produce service gaps and redundancies and
reduces the value of IT expenditures.
Solving a complex problem requires a rigorous process
methodology. C4I used a Systems Engineering approach to capture the
complex relationship of ITS to the entire Enterprise by analyzing people,
processes and technology. A Systems Engineering process injects:
• Accuracy
• Efficiency
• Thoroughness
• Connectivity
• Total solution (best value)
However, you cannot fix what you do not understand. We began
the process of transformation first by base-lining performance of ITS to
understand the current state. This had never been done within ITS
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before. We met with stakeholders throughout the University to
understand their needs. We engaged in detailed planning to define our
strategic capabilities and limitations but most importantly defined our
mission.
By base-lining performance C4I we were able to identify root
causation the debarkation point for change. In this case, root causes
are:
• Fear of change
• Lack of effective leadership and vision
• Lack of mission clarity
• Lack of established expectations between ITS and customers
• Lack of effective strategic and operational planning
• Lack of standards-based processes
• Lack of organizational structure that embodies process
• Lack of qualified employees in critical areas
• Confusing governance
• Failure to treat ITS like a business
None of the causes is a simple lack of resources
Once Root causation was identified we began to re-engineer the
entire system to address the causes and not simply fixing the
symptoms. The new system was re-imagined and designed to:
• Be customer focused
• Be operations-centric organization
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• Use standards-based processes and best practices
• Align and integrate with university operations and plans
• Be organization of excellence and depth
• Be efficiency and effectiveness driven
• Provide value and the business case for further change
…but most importantly provide LEADERSHIP
Deployment of this Rationalization Strategy requires managing
strictly to the Vision, Mission, Strategies, Tasks and Goals. This best
practice helps the University to understand ITS, be compatible with ITS
and find value in ITS.
Re-engineering of the organization also requires a new ethos to
reinstitute organizational integrity and ensure adaptation of the
systemic changes. The new ITS must be built around the principles of
• Responsibility. Every member of ITS must have clearly defined
responsibilities
• Authority. Every member of ITS must have the authority to
accomplish their responsibilities.
• Accountability. Every member of ITS must be held accountable
for their individual and unit performance.
C4I designed into this re-engineering process a value added
technology strategy designed to:
• Maximize current investment
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• Leverage emerging capabilities to fully support:
o Learning Systems
o Business Systems
o Health Systems
• Use efficiency and effectiveness savings to fuel innovation
• Implement a service architecture that is adaptive
The new system must be build around a vision that can sustain
change and allow ITS to be a truly enabling capability. When done
properly, ITS enables the University to teach better, research better,
produce better scholarship, attract and retain better students and
increase contributions. The system is built on these principles:
• Transparency. Enabling capability that is felt and not seen.
• Agility. People, Processes and technology that continuously
synchronize with changing customer needs.
• Equity. The same base-line of technology for all regardless of
individual or organizational wealth.
• Innovation. Continuous innovation of people, processes and
technology for ITS and customers.
There is a great deal of additional value to be gained in
rationalizing the organization:
• Optimization. Optimization of current budget means extracting
additional value through gains in efficiency and effectiveness in process
re-engineering.
• Consolidation. With 55% of the IT spend outside of ITS,
consensual migration back to ITS services will provide additional
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resources and efficiencies. This can be accomplished through
negotiation, regained trust and performance. For several years to come,
overall IT spend at the University will drop while the actual ITS budget
grows.
• New Service Architecture. Transformation into a Balanced
System™ will enable ITS to benefit from the emergence of a new Service
Oriented Architecture for ITS. In this new model, cost of infrastructure
will be reduced while movement to a modular service increases
capability while also decreasing expenses.
Change requires being a risk-taker not a risk-seeker. But, the
primary risk in change is ignorance. The transformation will involve
continuous risk assessment and risk mitigation to ensure that they are
fully understood and weighed as decisions are made.
“Change nothing and nothing changes”
-Chris Lozano, C4I Systems
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THE APPROACH TO CULTURAL TRANSFORMATION
C4I’s goal in its recommended approach for The University’s
ITS Transformation Strategy is to help the university improve business
performance -- to unleash the power of ITS by unlocking the potential
of their people, processes and technology. By aligning the
organization in an integrated systems approach as well as engaging
and energizing the people toward one focus - living the The University
ethos that supports your purpose and mission – we significantly
increase ITS’s potential to perform at a higher level. And that
translates into bottom-line results.
The C4I strategy is an enterprise-wide Systems Engineering
(“SE”) approach used and implemented through the following four-
phase integrated process. Each phase is integral to success. Only a
systems engineering approach can capture complex relationship of
ITS to the entire Enterprise. The process injects
– Accuracy
– Efficiency
– Thoroughness
– Connectivity
– Total solution (best value)
The four phases are:
• Discovery. In this phase we base-line performance looking at both
analytical and empirical information. This is deconstruction.
• Planning. In this phase we engage in detailed planning to bring a
framework of understanding about the current and future states. This is
re-engineering people, processes and technology.
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• Alignment. In this phase we complete transform the organization
through alignment of selected people, processes and technology.
• Sustainment & Improvement. In this phase we track progress
against selected metrics and make adjustments to ensure
RISK ASSESSMENT AND RISK MITIGATION
Change requires being a risk-taker not a risk-seeker. But, the
primary risk in change is ignorance. The transformation has and will
continue to involve continuous risk assessment and risk mitigation to
ensure that they are fully understood and weighed as decisions are
made. Information and process will be our ally.
Like all standards-based processes, they are only as useful as
they are practiced and followed. Concepts of Risk Management are
designed to include the risk resulting from change, inadequate or failed
internal processes, people and systems, or from external events
THE UNIVERSITY ITS TRANSFORMATION
Within the four phases of transformation are incorporated the six
steps of the Fusion Cell Planning Process™. The FCPP is comprised of
both internal and external components and is an integrated and rapid
planning process designed to create momentum and order for action.
Here is a timeline and summary that captures the scope and depth of
work completed to date.
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TIMELINE (external facing) TIMELINE (external facing)
Jan Feb Mar Jan Feb Mar Apr May Jun Apr May Jun Jul Jul
Stakeholder Baseline Evaluations Stakeholder Baseline Evaluations
Rationalization Planning Team Rationalization Planning Team
Value Proposition/ROI Analysis Value Proposition/ROI Analysis
Brief University Brief University
SLA Development SLA Development
• •What is working? What is working? What is not? What is not? What would you change? What would you change? What would you keep the same? What would you keep the same?
• •University Mission Statement University Mission Statement • •Executive Planning Guidance Executive Planning Guidance • •ITS Strategic Mission ITS Strategic Mission • •ITS Tasks ITS Tasks • •Customer Definition Customer Definition • •Customers Customers • •Core Services Definition Core Services Definition • •Core Services Core Services • •Supported Non Supported Non- -Core Services Definition Core Services Definition • •Supported Non Supported Non- -Core Services Core Services • •Unsupported Services Unsupported Services • •ITS and Competitor Strengths and Weaknesses ITS and Competitor Strengths and Weaknesses • •Operational Assumptions Operational Assumptions • •Subject Matter Expert Shortfalls Subject Matter Expert Shortfalls • •Resource Shortfalls Resource Shortfalls • •Constraints Constraints – – Restraints Restraints • •Information Requirements Information Requirements
• •Total Cost of Ownership Total Cost of Ownership Efficiency Analysis Efficiency Analysis
Mission Analysis COA Dev
COA Modeling
COA Comp/Dec Plans Transition
TIMELINE (Internal facing) TIMELINE (Internal facing)
Jan Feb Mar Jan Feb Mar Apr May Jun Apr May Jun Jul Jul
Transformation Transformation
Baseline Performance Baseline Performance
Initial Operational Changes Initial Operational Changes
Revised Operation Changes Revised Operation Changes
Draft Org Chart Draft Org Chart
Work Flow Analysis Work Flow Analysis
Capability Requirements Capability Requirements
Revised Org Chart Revised Org Chart
Service Model Selection Service Model Selection
Develop Transformation Plans Develop Transformation Plans
• •Value Value- -based based Planning Culture Planning Culture Process/Standards Process/Standards Ethos Ethos Operations Centric Operations Centric Mission Focused Mission Focused Customer Driven Customer Driven
• •Operational Synchronization Operational Synchronization • •Process Alignment Process Alignment • •Responsibility Revisions Responsibility Revisions
• •Standardized Metrics Standardized Metrics Financial Analysis Financial Analysis Trends Analysis Trends Analysis
• •High Level Concept High Level Concept Straw Man Straw Man
• •Match Services to Organization Match Services to Organization Test for Weaknesses Test for Weaknesses
• •Capability Study Capability Study Capacity Study Capacity Study
• •Projected Numbers Projected Numbers Mapped to Rationalization OPT Mapped to Rationalization OPT
• •Service Oriented Architecture Adoption Service Oriented Architecture Adoption
• •Use PM Structure Use PM Structure 12 12- -18 Month Cycle 18 Month Cycle
Mission Analysis COA Dev
COA Modeling
COA Comp/Dec Plans Transition
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I. DISCOVERY PHASE
a. EXTERNAL
During Discovery, we worked to understand the organization’s
performance in its current state. This is deconstruction. Change
without understanding the current state is like re-arranging deck
chairs on the Titanic…pointless. We turned first to the stakeholders of
The University, visiting every Dean and Vice President, together with
countless staff members in understanding the customer’s perspective
on performance and problems. Chris Lozano spent over 100 hours in
meeting with stakeholders throughout the university listening to their
concerns, and hundreds of hours within ITS assessing and
architecting a solution. We asked the stakeholders four questions:
• What is working?
• What is not working?
• What would you change?
• What would you keep the same?
The answers were virtually unanimous in their negativity. Here is a
listing of comments that were noted by a majority of those interviewed:
• Say “No” without offering solutions
• Obstructionists
• Don’t understand our needs
• Not innovative
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• Lack technical expertise
• Lack of accountability
• Poor Banner implementation
• Unworkable committee structure
• Ineffective use of limited resources
• Lag behind other universities in use of technology
A sampling of comments gathered from interviews and solicited by
faculty and staff on behalf of this effort follows:
“We are simply behind the times when it comes to technology for students. Simply go to the web site of any major university and the services provided – podcasts, on-line assistance, multi-media capabilities, computer support in the classrooms, etc. is daunting. We cannot even use DVDs in many classrooms.”
“Students expect everything in digital format. We are dealing with an entirely new generation of students - for better or for worse, it is what it is. Having systems that support what they expect in exchange for their tuition dollar is a key component in the "retention" issue that the administration is so concerned with right now.”
“There is no consistency in hardware purchase policies. I was told that I could not apply my development fund money to purchase a Mac computer. I personally purchased my own AND was REQUIRED to purchase a PC out of my development money. I have turned on the PC that I did not need five times in two years. However, colleagues across the campus have Macs and now someone in my college is getting a Mac. There should be a faculty option of desktop or laptop, PC or Mac.”
“University and ITS SHOULD GET RID OF ALL BUREAUCRACY and allow faculty to have the freedom to buy their own computers. ITS folks should focus on "IT" such as the worst email system and should not do unrelated things like HELPING faculty to purchase a computer that a high school student can do.”
“If the desire for THE UNIVERSITY to become a first-rate research university
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is more than just a slogan, then the university MUST give us the tools we need to make it happen. At present, I would rate the state of technology here about equivalent to 1995.”
“Users are not brought into purchase decisions and money is sometimes not spent wisely. We have smart screens and the related software in our college. First, there was no inquiry regarding whether these tools would be useful and of value. Second, faculty were not trained to use these tools. In addition, there is no place to practice with the tools as our classrooms are almost always in use. I don’t know of one person in my entire college that uses these tools and all of the classrooms are equipped with them. This was an expensive investment with no return.”
I think as Chair of a Department I would be tolerant of deficiencies in ITS if I knew how they were being worked on. I can imagine that it is difficult to manage what is a rapidly changing field. Yet, there is virtually no communication from ITS. Instead, we are kept in the dark as to what is going on in ITS to improve the situation. Frankly, this exhausts my patience.
“There must be evening (late!), weekend, and holiday tech support, readily accessible to students, staff, and faculty alike. The current help desk staffing time of Monday-Friday during the day is wholly inadequate. Further, I’ve had the experience of being told, when there was clearly a server problem over a past spring break, that I should call Public Safety to let them know of my login difficulty and then they (Public Safety!) would contact the appropriate ITS personnel. Ridiculous!!”
“The problems with THE UNIVERSITY ITS are too numerous to mention. The fundamental issue is that they are supposed to help us do our jobs better, period. If an IT system change makes my life harder, or wastes more of my time, it should not be implemented. Fulfilling external mandates is not an excuse for uncompensated bureaucratic work shifting, which is what ITS specializes in. They need to fulfill their mandates without leaning on me. I don’t ask them to do my job and I don’t want to do their job.”
b. INTERNAL
Second, we turned internally and looked performance by
interviewing more than half of IT personnel and reviewing what few
performance metrics were available, like customer service logs. In
evaluating their own performance, ITS personnel noted these trends:
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• Workforce that is demoralized and fatigued
• Eager for change
• Need for mission clarity
• Need for decisiveness in leadership
• Need for accountability of leaders
• Need for internal cooperation across organization
c. COST ANALYSIS.
A significant component to fully analyzing current state of ITS as
well as planning for transformation was looking at expenditures on
information technology throughout the university. We wanted to
understand what the real cost of IT was. It has been commonly cited at
the University that “lack of resources” has been the culprit for past ITS
failures and there is no way to validate or invalidate that without
understand how much is actually spent on IT.
A detailed analysis of cost expenditures (attachment XX) was
prepared for C4I by XXXXXX to fully understand current expenditures as
well as forecast future savings. Analysis further enabled us to both
draw inferences about effect and causation as well. The University
operates off of an incremental budgeting process where every entity
begins with a base-line budget. In this system external customers of ITS
do not contribute for their basic services. However, nothing prevents
them from spending their own budget on IT services. In many cases ITS
customers contribute by agreement for various staffing positions that
support them.
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Currently, 55% of total expenditure on information technology
occurs outside of ITS. While there will always be a need for some non-
ITS expenditures this number corroborates information gathered
throughout the University that dissatisfaction and uncertainty about ITS
performance has compelled various University customers to spend their
own money for IT services they believe are the responsibility of ITS.
These numbers indicate that the true cost of IT across the
university is far greater than previously understood and that the
common belief that ITS problems are principally a “lack of resources” is
premature in its conclusion.
This presents two competing and conflicting systems for
provisioning services at The University and is both problematic in its
administration as well as in allocating expenditures. The true cost of
information technology is greatly reduced by these two systems. In
other words, it is impossible to know what the right level of spend is
required when inefficiencies prevent extracting full value from the
current spend.
Gaining of efficiency in the future will mean a greater value for
the current expenditure and eventual alignment between the needs of
the university with the expenditure on information technology. Aligning
the organization, budget, services and processes will ensure that the
right level of expenditures are made and that full value is derived. Only
then will the true cost of IT services and corresponding needs be
understood.
d. TALE OF TWO SYSTEMS
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Under IT’S the current structure is a confusing labyrinth of both
centralized and extremely decentralized services. The organizational
structure provides central services along traditional lines while many
people are “distributed” as sole providers of support for various
organizations within the University. However, some services such as
break-fix are spread throughout the organization both centrally and
distributed. However, there is no central management of these
resources and no central communications internal or external to the
organization. It is not uncommon for resources to be in short-fall in one
part of ITS while being under-utilized in another, without any awareness
on either party of this fact. In this environment you are only certain of
one thing that you will always be under or over capacity, creating a very
inefficient model.
The present delivery model is a traditional infrastructure-heavy
structure that while providing depth in certain areas is not readily
adaptive to a changing environment; be it technology, cost or
innovation.
As stated previously, various schools and administrative units of
the University have acquired sometimes sizeable IT organizations that
they fund and administer separately. These organizations make many
decisions about direction, policies, budgeting and resourcing without
consultation with central ITS. While not all so, many of these
relationships are contentious. Such decentralization prevents any
common awareness of needs, resources and issues. Similar to the
challenges of central ITS, there is no general awareness or coordination
of efforts with these decentralized staffs. In addition to 55% of the IT
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spend, an additional 60 personnel are employed by individual schools
and organizations to support their IT needs that do not report to ITS.
e. ORGANIZATIONAL DYNMAICS
The relationship between ITS and the greater University
represents a deep and enduring problem that manifests itself in ITS and
customer behavior. The diagram below represents both an unhealthy
ITS-customer relationship as well as the current misalignment of ITS
and its customer needs. It represents misalignment of expectations
and break-down of organizational process and integrity. It is confusing,
ineffective and inefficient. Any true change must involve the institution
of organizational and process integrity.
Current State
• Inefficient • Undisciplined • Process loss • No organizational integrity • Chaotic • Impedes operations • no customer focus
ITS
Customer
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The next diagram represents what an effective relationship between ITS
and its customers would look like. It is an organization that has a strong
ethos, process and standards and whose mission is aligned with resources
and customer expectations. It is elegant and simple in both design and
operation.
C4I Systems, Inc. Proprietary & Confidential
Effective
Customer
ITS
• Efficient • Disciplined • Process driven • Org. integrity • Responsible • Orderly • Enabler • Customer focus
We must ask ourselves this critical question about each
proposed change “Does it help support the mission for ITS and the
greater University?” If it does not then we will reject the change
f. ROOT CAUSE ANALYSIS
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Based on analysis of information available internal and external
to ITS root causation for current state of ITS is as follows:
• Fear of change. Transformation requires change but change often
engenders fear in people and organizations. Change nothing and
nothing changes. Consequently, you cannot have a different outcome
by doing more of the same. The fear of change at the University has
impeded past attempts to change how ITS operates.
• Lack of effective leadership and vision. Past Chief Information
Officers (“CIO”s) were unable to provide strong leadership to steward
the organization through effective change. Ultimately, failure or success
of an organization rests with the leadership.
• Lack of mission clarity. Not a single person interviewed could
articulate a mission for ITS. Without a clear understanding of a mission,
no organization can budget or manage resources and customer
expectations effectively.
• Lack of established expectations between ITS and customers. There
was a noteworthy and complete absence of any expectations with
customers. There were no Service Level Agreements or other
documentation that could articulate the basics, like: What services does
ITS offer? What are the standards of performance? How do we
measure performance? ITS cannot be expected to deliver a service or a
standard of service that cannot be articulated. Consequently,
customers that have no expectations are free to choose what
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constitutes satisfactions, a true recipe for disaster. This is the single
biggest point of failure encountered.
• Lack of effective strategic and operational planning. Also completely
absent from this organization was an actionable strategic plan to which
resources could be budgeted against and performance measured.
This created an atmosphere that was nearly completely reactive in
nature. Plans are not used and plans that are, are not followed or
frequently changed. The University’s ITS Strategic Plan was reviewed
and found to be informative but without systemic changes to make it
operational it is meaningless.
• Lack of standards-based processes. Although there are significant
strides being made in the implementation of business best practices
like Quality Assurance, Change Control, Identity Management, we are far
from the depth of standards-based processes that represent best-
practices and produce the desired “repeatable predictable results”.
• Lack of organizational structure that embodies process. The current
organizational structure is a microcosm of what is wrong with ITS today.
It is confusing, flat and broad-banded. It lacks an operational “center”
that focuses on management of resources and effective communication
is almost completely lacking. Information is not readily shared and is
often wrong. Furthermore, ITS lacks organizational integrity for a variety
of reasons which means no respect for structure. Customers are free to
roam the organization and co-opt resources at the expense of others.
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• Lack of qualified employees in critical areas. There are many
talented and capable people in ITS. However, there are areas that lack
depth. Simple reasons like lack of mission clarity, leadership and
compensation mean that ITS does not recruit or maintain the most
qualified and the resulting turnover and lack of quality affects
performance.
• Confusing governance. This environment has been further
complicated by a difficult governance system. The formal system is a
labyrinth of committees chartered to oversee various functions.
However, the lack of coordination of these efforts both internal and
external to IT and the failure to hold these committees accountable
often resulted in confusion, inaction and outright obstruction.
• Failure to treat ITS like a business. While not a popular notion to
some, the University is at its core a business venture and businesses
have to show value. Businesses are guided by sound principles that
ensure performance to specific standards. For instance, accreditation
is central to the University’s viability today and in the future. This is a
best practice for higher education. Likewise, ITS is a business unit that
supports higher education. While it must adapt itself to the
environment it supports, it must be governed by the sound principles
of business because it is not outside of those principles. Adaptation
of best practices for ITS will provide value to the University and better
enable the University’s mission.
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II. PLANNING PHASE
During the Plan Phase, we began to work internally to augment
our newly defined direction and root cause analysis (desired culture
aligned with purpose and mission) with key behavioral practices for all
employees as well as leadership practices. In this phase we re-
engineer people, processes and technology to bring about desired
change. This is the cornerstone of the alignment strategy and is the
new lens through which every decision is looked at and every action is
planned. Armed with an understanding of your current state reality
and a clear picture of all the components of the desired state, C4I
began to develop a high-level Rationalization Plan to create change
throughout the organization.
A cultural transformation needs to have a focal point... a
foundation from which the desired culture can evolve
a. VISION, MISSION, STRATEGIES, TASKS & GOALS
The new system must be build around a vision that can sustain
change and allow ITS to be a truly enabling capability. When done
properly, ITS enables the University to teach better, research better,
produce better scholarship, attract and retain better students and
increase contributions.
b. THE FUSION CELL PLANNING PROCESS™
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In business, as on the battlefield, you will always operate in the
absence of complete information. No aspect of business operations are
more misunderstood, or done so poorly as effective planning. Done
poorly it is ad hoc, poorly conducted, incomplete, untimely and wrong.
Done properly, planning can bring order to chaos, form to uncertainty
and action. The Fusion Cell Planning Process (FCPP) supports the
Fusion Cell philosophy of decisive action in the midst of uncertainty.
Since planning is an essential and significant part of command and
control, the FCPP recognizes leadership’s central role as decision-
maker. The FCPP helps organize the thought processes of an executive
and his/her staff throughout the planning and execution of business
operations. It gives a framework upon which decisive action can be
taken.
There are six steps to the Fusion Cell Planning Process™
(Attachment B). They include:
• Mission Analysis
• Course of Action Development
• Course of Action Modeling
• Course of Action Comparison & Decision
• Plans
• Transition
A planning team to effectively rationalize ITS C4I asked for and
was a pillar of effective planning is integrated planning. Integration
enables an organization to leverage knowledge and ensure that any
plan is crafted with a broad awareness of needs and effect.
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c. THE RATIONALIZATION PLANNING TEAM
To prepare for rationalization, C4I requested the creation and
participation of a Rationalization Planning Team to participate in the
heavy lifting that would be required in the complex process. The team
utilized C4I’s Fusion Cell Planning Process™ . This methodical
process forms action through an exercise in self-assessment and
collaboration. The power in the written word in a planning team is
that it must be believed and agreed upon. The role of a planning
team is not to make decisions but to complete analysis and
synthesize into recommended actions.
A planning team is a dynamic, ad hoc organization formed by the
executive to develop the course(s) of action. It is typically of limited
scope and duration. This approach to planning stresses the need for an
integrated planning team that represents the appropriate business
functions. Additionally, the Planning Team must be able to maintain
Situational Awareness of both current operations and future plans.
The planning team was not intended to be representative of all
customers rather, it was selected to represent four primary customers:
faculty, administration, students and ITS. The hall-mark of effective
planning is that planning is continuous and iterative and it has always
been understood that the output of this work would be reviewed and
refined over time. For the first phase (Mission Analysis) the team met
for seven consecutive weeks representing over thirty hours of effort.
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Participants included:
• Department of Biology
• Communications Sciences & Disorders
• AVP & Controller
• Dir. Enrollment Management Information Systems
• Dir. Development Services
• Administrator Quality Assurance
• Student
• ITS
• ITS
• ITS
• ITS
• Chris Lozano, C4I Systems, Inc. (facilitator)
Subsequent steps of the FCPP have focused principally internal
to ITS although information about progress have been periodically
circulated for review and comment and the entire planning team.
d. LEADERSHIP DIRECTIVES
On January 2, 2008, the Chief Financial Officer engaged Chris Lozano
and C4I Systems to “perform a comprehensive review of ITS in order to
organize, equip, train and deploy the information technology services
that support the strategic goals of the university and the needs of the
customers it serves."
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e. STEP 1: MISSION ANALYSIS
MISSION ANALYSIS MISSION ANALYSIS
“Success is a matter of planning and it is only careless people who find that Heaven will not help their mortal designs.”
Themistocles, 480 B.C.
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison & Decision
Execution
i. Purpose of Mission Analysis.
A characteristic of all corporations that is extraordinarily
powerful, but often overlooked, is identity - what a corporation stands
for - that is demonstrated through a unique personality. This
corporate personality motivates actions, and, over time, firmly
establishes a corporation's identity so that its actions are predictable.
Therefore, shaping the right identity that will drive desired behaviors
is critical to a corporations' success. To shape or remold the right
identity begins with defining the mission, what the company intends
to do and how it intends to do it. Without clarity around "what we do,"
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it is difficult to define "who we are" or "what we want to be."
Companies without a clear mission, therefore, are also missing a
clear identity, and over time, they tend to flounder.
In short, mission is the foundation on which a company and its
employees build a sense of identity and purpose. The statement of
the mission describes what the company does, and often includes
how this is accomplished. It provides a critical communication vehicle
for employees, customers, and the public...a touchstone, a focus for
the business. It is important to emphasize that how people think
about a company and the assumptions they make are powerfully
influenced by the mission statement. Crafting the right mission
statement, therefore, is one part of the company's fundamental
"blueprint" for success. Other parts of this blueprint include the
corporate values and vision.
What is a mission statement? It is a statement that describes
"what we do and how we do it". In fact, recent research' has found
that mission statements, which describe both the "what" and the
"how", i.e., the ends and the means, make a difference in
organizational performance. "This study has shown that mission
statements - from their pre-development rationale to their post-
development alignment with employee behaviors - have a positive
association with performance and make a positive contribution
towards it. Thus mission statements count!""
The approach to developing a mission statement is both a logic
and creative activity of which creation of a mission statement is the
last component to the exercise. A mission statement describes what
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an organization does - the ends and the means. The process of
developing the mission statement needs to tap the essence of the
organization, and that requires a blend of executive perspective and
direction as well as employee input. The approach then is iterative,
with an initial draft being reviewed, edited, rewritten and socialized.
Developing a Mission Statement can only be achieved as the
last step in a detailed process of analysis. In developing our Mission
Statement we discussed and reviewed each of the following:
• University Mission Statement
• Executive Planning Guidance
• ITS Strategic Mission
• ITS Tasks
• Customer Definition
• Customers
• Core Services Definition
• Core Services
• Supported Non-Core Services Definition
• Supported Non-Core Services
• Unsupported Services
• Operational Assumptions
• Subject Matter Expert Shortfalls
• Resource Shortfalls
• Constraints-Restraints
• Information Requirements
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ii. University Mission Statement.
“The Mission of The University…….”
iii. Executive Planning Guidance. Given to us by the CFO to
assist in developing our Mission.
“THE UNIVERSITY is a richly diverse community of
students, faculty, clinicians, researchers, staff and
administration that contribute to the university mission
of teaching, research, clinical care and community
service. ITS must be capable of enabling all customers
to deliver on their missions while enabling the greater
mission of the university. What is the real mission of
ITS? What are the core services we should offer and how
do we deliver those services? Please make your
recommendations”
Iv ITS Strategic Mission. From existing documentation.
“As a strategic partner in development and support of
the The University technology environment, Information
Technology Services provides leadership, fosters
collaboration and facilitates technology integration and
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process improvement for the The University Community.
Information Technology Services applies technology,
staff and information to create, sustain, secure and
support a technology environment that is trusted,
reliable, innovative and effective.”
v. ITS Tasks. Not intended to be dispositive but facilitate
discussion. Tasks are not the same as services but are important to
understand for developing a service catalogue.
CUSTOMER-FACING
• Infrastructure life-cycle management leadership
• Provide technology leadership to THE UNIVERSITY mission
(policies, process, strategy)
• General tech support (make my computer work)
• Provide core and non-core services (as required)
• Keep computing systems and data secure and virus free
• Provide enterprise applications, services & resources as
needed
• Provide integration services for specialized applications
• Product management, Project management and
implementing new technologies
• Instructional technology life-cycle management
• Manage industry and technology enhancement and trends
(standards incl.)
• Provide information and knowledge management
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architecture
• Develop collaborative and appropriate training/testing
certification program
• ITS service level agreement management
• Timely communication of policies, services, and operations
dashboard
• Continuous customer communications and relationship
building and management
• Provide leadership in prioritization and selection of
technology initiatives and projects in conjunction with
university technology strategy
• Data maintenance and integrity
• Technology acquisition strategy
• Publish & communicate standard and non-standard
systems list
• Asset/license management
INTERNAL-FACING
• Continuous development of skills and expertise to
accomplish mission
• Performance reviews
• Testing and QA environment
• Establishing and maintaining Lines of Communication
• Operational level agreements
• Internal controls/management processes & documentation
• Development & management of internal tools
• Key performance indicators for internal operations
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• R&D environment
• Auditing and monitoring processes
• Content management of ITS website
vi. Customer Definition. The OPT quickly realized that we
could not agree on basic definitions so substantial effort was given to
definitions, beginning with a broad customer definition.
“University customers, both internal and external to
whom IT services are provided.”
vii. Customers. To reach these definitions we first broke
customers out into individual customers then rolled them back into
these five basic groupings for simplicity and effectiveness.
• Faculty. Teaching, research and service; divided into
collective needs, clinics, research and creative activity.
• Staff. Administrative divisional services, administrators,
general employee, Deans/Colleges.
• Students. Campus resident, off-campus, student on
campus, prospective
• Clinical. Doctors, patients, hospitals & clinics
• Other. Alumni, trustees, collaborative partners, decedent
families/estates
viii. Core Services Definition. This was a spirited discussion
that was important because it recognized that a core service was not
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necessarily related to the form of delivery. This will free us up in the
future to look at a variety of innovative and emerging service models.
“Those enterprise-wide technology services, regardless
of delivery method; required to support mission critical
functions that are essential to the entire university and
its stakeholders”
ix. Core Services. Like other definitions, is not intended to
be dispositive, but represent a collective understanding of what we
are and what we are not as an IT organization.
• Infrastructure for core systems (phones, network, cable tv,
server, storage, IDMS)
• Integrated collaboration tools
• Enterprise software
• ERP
• Learning management systems
• Integration, Product Management, implementation & PM
• Core services training
• Technology evaluation
• Desk-top standards
• Tier I service desk for everyone
• Tier II service desk for core services
• Information Protection
• Data architecture and business intelligence
• Enterprise-wide knowledge management
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• Enterprise architecture
• IT business continuity and disaster recovery of core services
• Technology acquisition services
• Emergency Notification Services
• Limited Application development (buy v. build)
• Academic technology; architectural, acquisition,
implementation and support services
• Multi-media and level II/III classroom support
• Development of report writing templates
• Asset/license management
x. Supported Non-Core Services Definition. In developing
definitions, this category was added to recognize that there are
services that ITS should support or provide that are not within the
definition of Core Services.
“Other technology services, regardless of delivery
method, that are required to support mission critical
functions essential to one or more segments of the
university and its stakeholders. These services may be
supported through agreement”
xi. Supported Non-Core Services.
• Advisory services
• Departmental specific applications
• Non-ITS security systems
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• Departmental research computing
• Department core services; including
o Library technology services
o Facilities technology services
o UMG
xii. Unsupported Services Definition. It was also obvious that
it was equally important to define what services ITS would not provide.
“Other technology services that do not support mission
critical functions essential to the university and its
stakeholders”
xiii. Unsupported Services. This enables ITS to focus in the
future in developing an organization of depth and quality. The exact
nature of which services goes on this list is ultimately to be negotiated
by ITS and its customers.
• Website content maintenance
• Curriculum spaces
• Support non-standard systems
• Support integration of applications that are not on our
technology roadmap and strategic plan
• Manage non-ITS projects
• Hosting of voice infrastructure
• Wireless LAN (provision)
• Infrastructure Moves, Adds, Changes
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• Commodity/functional training
xiv. Operational Assumptions. The most significant
component to effective planning is understanding the assumptions
that are used in developing a plan when there are unknowns. An
assumption is that which in the absence of proof to the contrary is
treated as true. Operating assumptions enable action in the absence
of certainty. Given their importance, it is extremely important that the
assumptions be carefully selected. Assumptions are not intended to
be carried into operations if possible and effort must be given to
validate or invalidate each as soon as possible. Assumptions carried
into operations are risk. The assumptions selected are:
• There will be no additional budget allocation for FY08
• The budget will be flat for FY09
• ITS demand will grow across the university (head count and
usage)
• FTE equivalent but not composition will be held constant
• Banner will remain our enterprise system through at least
2013
• Technology will continue to evolve rapidly and require skill
set enhancement
• Organizational capacity will reflect capability requirements
• Consumer technologies will continue to put pressure on
enterprise technologies
• Funding streams will continue to expect a high level of core
technologies
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• Curriculum needs will continue to require technology
integration
• New CIO by beginning FY09
• Organization of generalists headed toward organization of
depth
xv. Subject Matter Expert Shortfalls. Those specific skills we
need in order to effect transformation within ITS.
• CIO
• Information protection
• operations excellence
• technical certifications for specific areas TBD
• Knowledge transfer for single points of failure
• Knowledge management
• Identity management
• Knowledge depth
• Configuration management
• Service level management
• Root cause analysis – problem management
• Business analyst
• Testing & documentation
• Systems Integration
• Product management
• Business continuity/DR
• Academic technologist
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• Stronger PM/portfolio management expertise
xvi. Resource Shortfalls. Those resources we need in order
to effect organizational transformation.
• Business services management system
• Project portfolio management system
• Enterprise license management server
• Enterprise software delivery system
• Desktop management
• Redundant infrastructure
• Physical workspace
• Development and test environment
• Test tools
• Innovation test environment
• Monitoring review and reporting system
• Forensic tools
• Data center space
• Incident command structure
• Active security/intrusion Protection Device
• Technology life cycle funding
xvii. Constraints. Things we must do in order to transform
the organization.
• Provide technology support to approved users
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• Must formalize expectations through agreements
• Must meet professional standards for service delivery
• Win back customer confidence
• Select and prioritize work in coordination with external
stakeholders
• Must build operational focus to ITS
• Must adopt unified governance model
• Must build service catalogue
• Reinstitute organizational integrity
• Will build organization around highly qualified people in
positive environment
• Fill key personnel short-falls
xviii. Restraints. Those things we cannot do while
transforming the organization.
• Must not yield to political pressure or special interest
• Must stop doing things not in our service catalogue
• Must not say “no” without still helping solve problems
• Must not support unfunded mandates
• Must not adopt off-architecture solutions
xix. Information Requirements. Information we need to know
in order to develop the plan.
• True cost of IT university wide (actual and hidden)
• Return on investment
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• Volume of ITS service requests university wide
• Accurate asset information university wide
• Cost of operating assets university wide
• Internal/External skill assessments & employee career
objectives
• Industry metrics (KPIs)
• Customer survey information expectations
• Fr. Biondi’s technology delivery expectations as they relate to
university strategic objectives
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xx. Draft Mission Statement. This represents the collective
wisdom of the OPT with the understanding of the previous 18 steps.
“Provides formalized technology leadership and
services, regardless of delivery method, that enables our
customers to fulfill their roles in support of the greater
university mission of teaching, research, clinical care
and community service through an organization that
focuses on the customer“
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f. STEP 2: COURSE OF ACTION DEVELOPMENT
COA DEVELOPMENT COA DEVELOPMENT
“There are three types of leader: Those who make things happen; those that watch things happen; and those who wonder what happened” U.S. military saying
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison & Decision
Execution
An organizational structure is at its most basic an embodiment of
process. During the Root Cause and Mission Analysis phases of
rationalization, significant issues were identified that need to be
recognized in any future structure:
• Standards-based processes. IT is a mature industry and is
populated by many proven best practices. Selecting the
standards, processes, metrics and auditing to these standards
will ensure a robust and stable organization.
• Diverse Customer Needs. A very diverse customer base provides
a unique challenge. A typical “one size fits all” approach satisfies
some concerns but inevitably fails to satisfy anyone. Likewise, it
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is a contributing factor in a shadow system of decentralized
resources. ITS effectively provides four separate business lines;
the University, faculty, students and administration. They must
be looked at separately and collectively.
• Disconnected Resources. The two competing systems need to be
blended into a single effective system that is neither centrally
managed while placing resources centralized and decentralized.
• Unified Governance. Our current governance model is confusing
and an impediment to progress, yet represents important and
legitimate concerns over standards and processes. A future
organization must find a model that takes into account customer
and ITS needs without losing stewardship and leadership.
i. Present Organizational Structure At The University.
The structure of ITS has gone through many iterations over the
years. It’s current composition represents a sequence of changes and
does not represent current staffing realities. There are a number of key
positions that are not staffed and the total number of ITS employees is
below what is authorized. Direct reports to the CIO include:
Project Management Office. This is an “above the line”
organization that has responsibility for establishing rigorous project
management methodologies. While providing project managers for
some projects, it more often provides expertise for ITS employees
fulfilling project management duties on many of the projects.
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Business Manager. This office provides typical business
management responsibilities like managing the budget, acquisitions,
contracts and office management.
Teaching, Learning, Research and Clinical Services (“TLRC”). This
group has the bulk of customer interactions. It provides specific
services as well as “technology coordinators” who represent that
customer interest. TLRC also has the role of coordinating actions with IT
professionals who work for non ITS organizations. These “distributed
staff” represent a large percentage of the total IT presence at the
University. Staff within TLRC have a broad range of expertise and
provide break-fix support, project management and application support.
Customer Service (“CS”). A small and understaffed organization,
this is the call center for ITS, providing some Tier I and Tier II support. It
is the primary entry point for most trouble tickets and work requests.
Enterprise Resources (“ER”). This organization represents the
technology backbone of ITS; providing applications, database,
infrastructure and data services.
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ii. Present State Of Technology At The University.
Current state of technology at The University is rather traditional
and consistent with IT organizations from the early to mid 1990s. By
today’s standards it lags far behind what is generally available in higher
education and is far behind what is the state of IT in greater industry.
ITS has been traditionally an infrastructure-heavy organization
with an emphasis on ownership. There has been significant investment
into new infrastructure and applications while many significant single
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points of failure have not been remediated. Each year presents a
challenge of investment in upkeep and change that do not always meet
changing customer needs.
Ownership means a continuously growing an decaying
investment. Infrastructure-heavy organizations are susceptible to
recession and down-turn in budgeting. They are in need of continuous
care and upgrade. For these reasons and because it has not always
been effectively managed ITS is commonly thought of as a “cost center”
rather than “value center” and in popular local parlance “a black hole”.
iii. Changing State Of Technology.
We are in the midst of the largest change in technology since the
advent of the internet in the early 1990s, the move to “agile” systems.
At one time enterprise meant access to depth, quality, continuity and
innovation. Enterprise systems were the province of large corporations
that had the finances to invest in large infrastructure. However, we are
on the cusp of a fundamental shift where enterprise-level services are
available to anyone at consumer prices. This is known as the
“commoditization of enterprise”. In this shift, enterprise-type services
are increasingly offered in the form of services such as “Software as a
Service” (SaaS), like Google Apps.
For consumers like The University it means the end of mandated
reliance on heavy infrastructure and the shift to more agile
environments that are capable of synchronizing technology needs with
the evolution of technology. It also means a chance to change
budgeting focus fixed to variable expenses. These changes mean that
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organizations like The University will drive innovation, rather than being
driven by it and pay only for what they need.
iv. Building For The New Paradigm At The University.
C4I Systems envisions an ITS organization that is balanced,
customer-centric and agile. At its core is what we call at C4I
“Technology Transparency™”. In a technology transparent the focus
shifts from the technology to a services presentation layer. ITS turns
data into information through services so that information is used by our
customers to become knowledge.
When customers can focus on the service, ITS can choose the
best technology and delivery model for the University; ensuring that the
right technology is available to enable our diverse needs.
6/9/2008 C4I Systems, Inc. Proprietary & Confidential
ITS
DATA
Clinicians Staff Faculty Students
INFO
KNOWLEDGE
Services
Ent. Apps
Internet
Research Super comp
Collaboration
Global systems
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vi. The Vision
• Transparency. Enabling capability that is felt and not seen.
• Agility. People, Processes and technology that continuously
synchronize with changing customer needs.
• Equity. The same base-line of technology for all regardless of
individual or organizational wealth.
• Innovation. Continuous innovation of people, processes and
technology for ITS and customers.
vi. Concept Of Operations.
The new system is a balanced and agile hybrid, taking the best
aspects of centralized and decentralized resources into a unique and
adaptable organization that delivers on the Vision with these principles:
• Customers.
• Plans. A culture of planning is the foundation for success in any
operation. Planning is the means by which this organization goes from
being reactive to proactive. Planning gives shape and direction to future
actions and a framework for operations.
• Operations. An operations-centric organization effectively
manages its resources by managing resources to a plan that is
outcome-based. It synchronizes and de-conflicts
• Governance. Strong governance is the means to deliver
repeatable, predictable results. Standards-based processes for things
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like Quality Assurance, Identity Management, Change Control,
Application Development, Information Security and Project
Management; coupled with strong governance that ties internal and
external operations reduces the friction that reduces the effect of
limited resources.
vii. A new ITS: The Balanced System™
The new structure is an embodiment of process and the guiding
principles of: customers, plans, operations and governance. Vision is
driven by the CIO from input at all levels. Vision is turned into plans,
plans into operations and governed by standards-based processes and
business best practices. Operations will continuously synchronize and
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de-conflict to ensure that resources are used in the most effective and
responsive manner. A balanced system yields predictable, repeatable
results in dynamic operations and gives true agility.
The proposed structure is a hierarchical structure with overlaid
matrix responsibilities. This hybrid provides flexibility within structure. It
is comprised of these peer groups: Executives, Directors, Managers and
Staff. It is a rejection of existing broad-banding and reestablishment of
positions commensurate with responsibilities.
This Balanced System™ is specifically designed to benefit from
the changing nature of IT from infrastructure dependence to an agile
environment of service architecture.
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1. CLIENT MANAGEMENT GROUP
Understanding customer needs in such a diverse environment is
complicated and requires dedicated resources. The Client Management
Group (“CMG”) exists to maintain specific knowledge of academic,
medical and business customers while managing relationships at the
executive level. This is a critical role to envisioning customer needs that
can be met through effective planning as well as resolving significant
problems that affect the customer.
The CMG splits out the role filled by TLRC too coordinate at a high
level while enabling the Customer Service Group to focus on customer
at the daily interaction level. The CMG sells the ITS story to the
University. The CMG works closely with the CIO to develop vision by
providing critical insight into customer needs. The three positions are
the Business Technology Officer, Medical Technology Officer and
Academic Technology Officer. Actual titles and governance with external
organizations need to be further developed but the concept will remain
the same; representing executive needs.
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2. AVP – DEPUTY CIO: GOVERNANCE
AVP & DCIO
Change Control Manager
Information Security
QA Analyst
QA Analyst
Admin/ Documentation
Specialist
Security Analyst
Change Management
Change Control
Change Management Organization
QA Analysts are responsible for: Performing BIA BC Planning Contingency Planning DR Planning and Coordination Emergency Preparedness Training QA Socialization and Training Service Delivery Framework Design & Implementation (ITIL) Service Level Management Framework
Responsible for: QA collaboration and scheduling QA administrative support Managing and maintaining QA web presence Managing all QA related documentation including SLAs, SOPs, Desk procedures, and audits
Security Analyst is responsible for:
Scheduling and monitoring all security and QA audit functions Penetration Testing Maintaining and managing annual audit documentation Monitoring logical access reports and reviews Coordinating logging and review functions with ITS divisions Assist ISO with risk assessments, planning, and security socialization
In the balanced organization it is imperative that the
organization’s operations be based on sound principles of standards-
based processes. The Deputy CIO would be a new position within the
ITS structure. The Deputy CIO will have responsibility for establishing
standards and policies; auditing performance and final authority on
compliance with standards. This arms-length relationship with the
operating side of the organization ensures fidelity in the approach.
This organization will replace the labyrinth of committees with a
unified structure that will have the principle role of interacting with
external committees and organizations within the University in
establishing in articulating and enforcing ITS policies and standards as
well as the focal point for discussion about prioritization of effort. The
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following diagram was prepared by Tim Brooks to illustrate the proposed
interaction.
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3. CUSTOMER SERVICE GROUP
Support is typically broken down into two types: centralized and
decentralized support. In a healthy system centralized is synonymous
with “core” and decentralized is synonymous with “non-core” but that
rarely is the case and the University is no exception. Understanding
this basic distinction permits us to focus on how to most effectively
deliver to a diverse organization that has a need for both.
It is typical for IT organizations to seek to centralize all services
because it simplifies management of resources, enforcing policies
related to technology and expenditures. However, what a pure
centralized structure achieves it loses in adaptation to changing
customer needs when they are diverse. The University has an extremely
diverse constituency that does not lend itself to effective operations
under a purely centralized model.
Decentralized services are typically our supported non-core
services like Electronic Health Records and other specialty applications.
However, it currently includes things like break-fix. It is typical for
customers to seek to gain as much control over resources as possible
which means decentralization or direct support. In a purely
decentralized model, a customer gains control of resources at the
expense of efficiency of the enterprise.
The heart and sole of the new ITS organization will be the
Customer Service Group. It takes the remnants of TLRC, Customer
Service and break fix from Enterprise Resources and reorganizes them
into a purpose-built task organized group. This “spoke and hub”
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decentralizes the presence ITS by clustering capabilities into pods
throughout the University, while maintaining centralized management.
These groups will be located and configured to reflect the diverse
nature of the University. Each pod will lead by a customer service
manager and contain; help desk, break fix, application and classroom
support and technology coordinators. The specific composition is
designed to mirror the needs of that local customer.
These local pods will be the primary interaction with ITS and the
first point of escalation. It will enable each center to better understand
their customer and more rapidly respond to customer needs while
building a trusting and strong relationship. It replaces the frustrating
“74000” experience of impersonal service and places a premium on
knowing the customer and customer satisfaction.
The following is a conceptualization of the pod configuration.
Specific locations and compositions are to be determined by
discussions with stakeholders. Transformation to these pods is
intended to be sequential with the first pod being used to establish
processes, metrics and standard operating procedures before
subsequent pods are established.
The pods give pod members a focal point for solving problems,
sharing information and professional growth.
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4. PROJECTS & PLANS GROUP
A vision cannot effectively become action without a plan. The
Plans & Projects Group takes the Project Management Office and adds
planning and training responsibilities. The P&PG will utilize a rolling
five year plan that will develop an annual five year plan designed to
project technology needs far enough out in advance to ensure proper
planning and budgeting for all parties. While the P&PG has primary
planning responsibilities, planning will be conducted utilizing integrated
planning. The P&PG closely coordinates its actions with the CIO, DCIO
and all Directors of ITS.
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5. OPERATIONS GROUP
The Operations Group is a new structure within ITS and
represents the operational focus that has been so lacking in ITS. The
role of the Operations Group is to manage resources on a daily basis.
The Director of the Operations Group will be responsible for writing an
annual Operating Plan that is built off of the P&PG’s Strategic Plan.
The Director of the Operations Group is the final arbiter of
resources and responsible for making decisions on current operations
that keep ITS on track to accomplish all strategic objectives. The
Director will work closely with the CIO, DCIO and all Directors to ensure
that proper coordination is made.
An additional function of the Operations Group is to provide the
Enterprise Services Operations Center (“ESOC”). This is the heart of ITS
and provides a means to instantly parse information throughout ITS and
University. It will be the single point of awareness of the status of ITS
and its systems. The ESOC will report on all established metrics,
coordinate actions within ITS and de-conflict use of resources. Only the
ESOC manager is a permanent member, with each organization within
ITS providing members to the ESOC on a rotating basis. This rotation
builds familiarity with ITS functions
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6. INFRASTRUCTURE GROUP
With the emphasis on centralized operations the Enterprise
Resources is no longer needed as an umbrella organization. The
Infrastructure Group (“IG”) takes control of the hardware side of ITS. In
the near future, IG will begin an analysis of our infrastructure and
determine where economies can be gained from the advent of new
managed services.
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7. PRODUCTS GROUP
The Products Group takes advantage of the natural synergy that
exists between database and applications in an IT organization. It is
much more closely aligned to our primary customer groupings.
PRODUCTS GROUP
DIRECTOR
Learning Mgmt Systems
Service Mgmt Applications
Administrative Applications
Clinical/Research Applications
Collaboration & Web Apps
Banner Product
BIDBA Team (5)
Email Architect (Google
Remedy Product
Team Leader Student & Fin Aid
Team Leader Finance, HR &
Banner Support Specialist
Banner Support Specialist
Banner Support Specialist
Web & Portal Support
Banner Support Specialist
Banner Support Specialist
Banner Support Specialist
Team Leader
Oracle DBA
Oracle DBA
SQL/mySQL DBA
Workflow, Xtender Product Mgr
Web & Portal Support
Future TBD
Application Project Manager
Administrative Assistant
LMS Product Manager
LMS Support Specialist
Banner Support Floating
WebFocus Product Manager
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8. ADVANCED CONCEPTS GROUP
The second new group to ITS will be the Advanced Concepts
Group (“ACG”). This organization is chartered with finding technologies
that are needed to build to our Strategic Plan. In some cases these
technologies exist and in others they need to be developed.
Deployment of new technologies to the University can be accelerated by
closely aligning the actions of the ACG with the P&PG and emerging
technology outside of the University.
ADVANCED CONCEPTS GROUP DIRECTOR
Enterprise Architect
Information Security Architect
Test Lab Coordinator
Test Lab Coordinator
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vii. The New Ethos. Central to the new ITS organization will be
establishment of a new organizational ethos that will enable the
transformations to take root and succeed. They represent re-institution
of organizational integrity. It is imperative that all three of the following
exist with every position within ITS.
Responsibility. Each individual within ITS will be given
responsibilities that are clearly articulated along with expectations of
performance. Execution of these responsibilities will decentralized to
the lowest level possible.
Authority. Every individual will be given the authority to
accomplish the responsibilities and expectations of the position.
Accountability. Each person will be held accountable for their
performance and for the performance of the organization they may lead.
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g. STEP 3: COURSE OF ACTION MODELING
COA MODELING COA MODELING
“The best is the enemy of the good. By this I mean that a good plan violently executed now is better than a perfect plan next week”
General G.S. Patton, Jr., War As I Knew It
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison &
Decision
Execution
Once C4I had conceptualized an organizational structure
designed to embody the processes of an agile environment it was
important to model the structure to ensure it was capable of functioning
as designed. Chris Lozano lead ITS leadership through a series of
scenario-based “work flow” examinations using the newly designated
“core” and “supported non-core” services. In this process we looked at
who would design, build, support, own and initiate. This exercise
validated the basic structure was sound and achieved the core
principles.
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The process also revealed that we will have gaps in expertise
required to put the structure into full effect, particularly in applications
and customer service. A by-name study of existing personnel will close
the gap in some areas while new hires will be sought for others.
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h. STEP 4: COURSE OF ACTION COMPARISON AND DECISION
COA COMPARISON & DECISION COA COMPARISON & DECISION
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison & Decision
Execution
The process of comparison and decision has been an ongoing
process rather than a linear one. In this case, alternative solutions have
not been examined since the new structure has been continuously
compared to existing structure for purpose of determining effect.
Implementation of the proposed structure will require University
approval for reclassification and establishment of positions, job
descriptions, compensation and structure. Migration to this new
structure will need to be progressive and designed to not disrupt current
operations and enable staffing changes to be made in a logical manner.
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i. STEP 5: PLANS DEVELOPMENT
PLANS DEVELOPMENT PLANS DEVELOPMENT
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison &
Decision
Execution
Development of as Rationalization Plan is concurrent with
operations and this document represents the initiation of effort in
planning for transformation. Transformation needs to be put into the
framework of Project Management through the ITS Project Management
Office to give it the rigor and structure that ensures successful
adaptation and sustaining success.
Additionally, initiation of the rolling five year strategic plan cycle
needs to begin this summer in order to build not only transformation of
the organization but to build a culture of effective planning;
synchronization with university operations and evolving technologies.
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III. ALIGNMENT PHASE
During this phase, we execute the Rationalization Strategy.
Built around the reorganization of ITS it will include transition to the
new ethos, organizational structure, governance model, standards
and service delivery model. People throughout the organization will
be given the opportunity to understand, believe, and commit to the
new direction by internalizing the ITS Compass and bringing it to life in
the operations of the company through action planning.
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a. STEP 6: TRANSITION
TRANSITION TRANSITION
Mission Analysis
COA Development
Transition
COA Modeling Plans
Development
Leadership Directives
COA Comparison &
Decision
Execution
Transition has already begun within ITS through this
Rationalization Process. We have embraced concepts such as
“synchronization” of operations, planning, communications and
optimization of resources.
Transition to the new Balanced System™ which is the
deployment of new structure, planning, processes, governance and
ethos is incremental and designed to take place over the next 12-18
months. Incremental implementation will ensure that operations are
not impeded and that process change is perfected before it is fully
deployed.
Full transition will require involvement of the entire University to
both establish service agreements, policy and governance changes as
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well as synchronization of operations and development of current and
future expectations.
i. ORGANIZATIONAL STRUCTURE, PROCESSES, GOVERNANCE.
Movement to the new structure will be incremental; beginning with
transition of Directors into their new roles. Roll-out of the new Customer
Service Group pods will be sequential over the following year to ensure
adaptation of process as well as ensuring new staffing is met. Other
organizations will “ghost” by movement of identified personnel into new
structure and staffing additions planned as budget and process change
permits. Adaptation of new governance and best practices processes
will be a high priority. These transitions will be done concurrent with
operations and designed not to disrupt or impede operations.
ii. SERVICE LEVEL AGREEMENTS. Performance begins with
setting expectations. The complete absence of expectations between
ITS and the University was the primary contributing cause of failure in
the old system. An early deliverable will need to be an articulated
service catalogue and negotiated service level agreements (SLA)
between ITS and its customers. Each SLA will follow industry standards
but reflect the terms under which services are offered; including nature
of services, service levels and metrics. Performance will be reported via
periodic reports to customers and balanced score carding.
iii. OPERATING LEVEL AGREEMENTS. Building an operations-
centric organization means identifying the operating agreements that
will bind the various groups within ITS. This articulation is not only to
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ensure that all customer requirements are met but to set proper
expectations and permit for effective planning as well as set conditions
for successful operations.
iv. Funding the new ITS. Of interest to all is how transformation
will be funded. It will be accomplished as follows:
• Optimization. Optimization of current budget means
extracting additional value through gains in efficiency and effectiveness.
There is conservatively a factor of 25% inefficiency. This means an
additional $4M in value from current IT budget.
• Consolidation. With 55% of the IT spend outside of ITS,
migration back to ITS services will provide additional resources and
efficiencies. This can be accomplished through negotiation, regained
trust and performance. For several years to come, overall IT spend at
the University will drop while the ITS budget will grow.
• New Service Model. Transformation into a Balanced
and Agile System will enable ITS to fully benefit from the emergence of a
new Service Oriented Architecture for ITS. In this new model, ownership
of infrastructure will be reduced while movement to a modular service
model will mean more services for the same expenditure.
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IV. SUSTAINMENT & IMPROVEMENT
Sustaining and improving performance of the rationalized ITS will
require commitment on the part of ITS leadership to live the guiding
principles contained in this strategy. Likewise, it will require support of
University leadership where changes affect other components of the
University, especially where changes to policy and governance may be
required. Finally, adaptation of a culture of planning throughout the
University will advance the effect and benefit the entire University in
better synchronizing needs that support each customer in delivering on
the University’s mission of teaching, research and community service.
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V. RECOMMENDATIONS.
a. Adopt the proposed Mission Statement. Adopting the draft
mission statement will give ITS a point of departure.
b. Approve the proposed Organizational Structure. Approval of
structural change will enable ITS to begin to migrate to the new
model.
c. Align people and resources to new structure. Alignment will yield
the efficiencies desired.
d. Fund change through cost savings to University. Change requires
expenditures and this is no exception. However, while requiring an
expenditure, it will be off-set from savings to total IT spend.
e. Implement new unified governance structure. Selection and
implementation of new governance model will create atmosphere of
f. Adopt standards based best practices throughout ITS. ITIL,
COBIT, Quality Assurance, Change Control. Information Security,
Identity Management, Capability Maturity Model among others.
g. Adopt new ethos of Responsibility, Authority & Accountability. A
common ethos empowers an organization to predictable results.
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h. Develop Service and Operating Level Agreements with all external
and internal customers. An absolute must in order to set and
understand expectations.
i. Complete and publish revised services catalogue. It all begins
with a complete understanding of services for both customer
expectations but resourcing and budgeting.
j. Study and implement transition to agile services model.
Migration to a new model will take time and a more complete
analysis of potential cost savings within ITS.
k. Develop university-wide communications plan for Transformation.
Regular, timely and thorough communications will go a long way to
winning back trust of customers.
l. Develop permanent advisory relationship with Faculty, Health and
Business customers. A well organized and effective structure yields
effective action and builds trust.
m. Begin continuous and enduring cycle of Strategic and Operational
Planning. External action to synchronize with University operations
means ability to effectively plan and execute IT services.
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VI. OTHER WORK
C4I has been involved in a number of efforts not directly related to
Rationalization though which have been used to validate the concepts
shown herein. An example of that is the selection of Google Apps as the
new email system for The University. When Chris Lozano arrived,
Zimbra was the choice to replace our broken and outdated email
system. This in-source solution met the basic requirements but
represented investment into the old infrastructure ownership model.
This meant investment in servers, storage, personnel along with
licenses, maintenance and upgrade costs.
With C4I’s recommendation in hand the interim CIO chose to re-
analyze the options. Chris Lozano stood up a planning team using the
Fusion Cell Planning Process™. Based upon the work of the Planning
Team, Bob selected Google Apps as the new email system. This was a
win not only from a cost savings standpoint but as the first adaptation of
a service solution for our emerging Balanced System™. Google Apps
provides a collaborative environment, continuous innovation without
ownership of expensive and decaying infrastructure. It provides more,
costs far less than the original choice and is more adaptive to our
changing needs. We are now in charge of our own innovation.
Another area that C4I was heavily involved in was the anti-phishing
effort that began as the result of a pervasive phishing attack coinciding
with Logical Access Change Control re-set of passwords. Chris Lozano
recognized the significance of the vulnerability and the inability of ITS to
effectively rebuff the attack. C4I brought in Speartip Technologies,
security specialists, to develop an answer to the attack as well as make
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changes to our current security posture. While attacks are not
preventable under our current structure, they can be more effectively
dealt with to prevent proliferation.
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VII. ATTACHMENTS
ATTACHMENT A: REDACTED
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ATTACHMENT B. THE FUSION CELL PLANNING PROCESS
1. Functions of Planning and Plans. The key principles of the Fusion
Cell Planning Process:
A. Leads to direct and coordinated action
B. Develops shared situational awareness
C. Generates expectations about how actions will evolve, and how it
will affect the desired outcome
D. Support the exercise of initiative
E. Shapes the thinking of planners
Improper planning can cause the following mistakes:
(1) Attempting to forecast events too far into the future
(2) Trying to plan in too much detail
(3) Applying a scripting process to prescribe friendly and
competitive actions with precision
(4) Setting inflexible/lockstep routines that produce rigid
plans that overly emphasize procedures
Fusion Cell Planning Process further states the components of a plan
are as follows:
(1) A desired outcome
(2) Actions intended to achieve the desired outcome
(3) Resources to be used
(4) A control process by which we can supervise execution
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2. Fundamental Planning Activities. Fusion Cell Planning Process
establishes the fact that the planning process must balance two ways of
thinking, analysis and synthesis. As defined by Merriam-Webster’s
Collegiate Dictionary (Tenth Edition, Copyright 1994 by Merriam-
Webster, Inc.), analysis is “separation of a whole into its component
parts” and synthesis is “the composition or combination of parts or
elements so as to form a whole; the combining of often diverse
conceptions into a coherent whole.” Fusion Cell Planning Process
summarizes these activities as follows:
A. Analysis can be used to turn a broad concept of operations into a
practicable plan by decomposing the concept into individual tasks.
What analysis cannot do is make the creative decisions that are central
to the planning process.
B. Synthesis is the creative process of integrating elements into a
cohesive whole. Creativity is essential to the process of synthesis.
3. Fusion Cell Planning Process (FCPP). FCPP presents a decision-
making methodology that is applicable for all echelons of business
across the range of business operations. The FCPP is inspired by the
Marine Corps Planning Process, with a battlefield proven history of
success. The FCPP is authoritative in nature, requiring judgment in
application.
A. Tenets of the FCPP. While there is not a direct correlation
between business and war, there are truths about human behavior that
apply to business directly. Planning is a way of thinking. It gives form to
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chaos; shape and certainty to an uncertain and rapidly changing
environment. It is the foundation for action.
(1) Top-Down Planning. Planning centers on the executive’s
intent and guidance. It may be communicated in oral, graphic, or
written form to provide the common direction needed to ensure unity of
effort. It helps the executive allocate forces and resources to best
support accomplishment of the mission. For example, the executive
can apportion resources to weight the main effort while adequately
supporting the force as a whole.
(2) The Enterprise Concept. This tenet effectively focuses the
efforts of all the elements of business to accomplish the mission and
recognizes that action anywhere inside the operation affects all. While
we may geographically divide corporate operations into market
segments to ease planning and decentralized execution, an executive
must always conceptually view the company an indivisible entity. This is
because events in one part of the company may have profound and
often unintended effects on other areas. Exploiting the combined
capabilities of business across the entire market is the essence of the
one-market concept.
(3) Integrated Planning. Integrated planning is a functional
approach that is systematic, coordinated, and thorough. We organize it
across all Business Functions (BFs) as the means by which a business
plans and executes operations. The key to integrated planning is active
involvement of all appropriate BF representatives within a company via
representatives, and between divisions via liaisons.
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B. Components of the FCPP. The following is a summary of each of
the six steps in the FCPP.
(1) Mission Analysis. This is the first step in planning. Here,
we review and analyze orders, guidance, and other information provided
by higher headquarters and produce a unit mission statement. This
initial action drives the FCPP.
(2) Course of Action (COA) Development. The mission
statement, executive’s intent, and executive’s planning guidance is now
used to develop several COAs. Each prospective COA is then examined
to ensure that it is suitable, feasible, varied, acceptable, and complete
with respect to the current and anticipated situation. The executive has
the responsibility to modify, reject or approve the COAs presented. One
COA will be further developed in greater detail.
(3) COA Modeling. During the analysis, we analyze each
friendly COA relative to selected scenarios. COA analysis (modeling)
helps planners identify strengths and weaknesses, associated risks,
and asset shortfalls for each friendly COA. It will also identify branch
plans and potential sequels for additional planning. Short of actually
executing the COA, this visualization is the best test of a COA in that it
attempts to foresee the action, reaction, and counteraction dynamics of
any COA.
(4) COA Comparison and Decision. In this step, the executive
evaluates all friendly COAs - first against established criteria, then
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against each other - and selects the COA most likely to accomplish the
mission. Potential comparison/decision criteria include risk factors and
business function concerns.
(5) Plans Development. From the executive’s COA decision,
intent, and guidance, plans are developed to direct the actions of the
organization. Orders are the principal means by which the executive
expresses his decision, intent, and guidance.
(6) Transition. Transition is an orderly hand over of a plan or
order as it is passed to those tasked with execution of the operation.
This action provides situational awareness as well as the rationale for
key decisions necessary to ensure a coherent shift from planning to
execution. At lower planning echelons this process may be very
informal as the same individuals are responsible for both current and
future operations.
C. Business Functions (BFs). To support the FCPP architecture,
certain criteria designated by the executive as BFs are used as tools to
organize the planning effort. Maximum impact is obtained when the
business functions are harmonized to accomplish the desired objective
within the shortest time possible and with minimum casualties. The BF
approach helps eliminate the tendency to “stovepipe” or isolate these
activities.
(1) Administration/HR
(2) Operations
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(3) Sales & Marketing
(4) Business Development
(5) Finance
(6) Logistics
(a) By integrating the BFs, we achieve focus and unity of
effort. They provide a method for planners to think in terms of how
each function supports the accomplishment of the mission.
(b) Critical to this approach to planning is the coordination of
activities not only within each BF but also among the BFs. By using BFs
as the integration elements, we ensure all functions are focused toward
a single purpose.
D. The Operations Planning Team (OPT). The OPT is a dynamic, ad
hoc organization formed by the executive to develop the course(s) of
action. It is typically of limited scope and duration. This approach to
planning stresses the need for an integrated planning team that
represents the appropriate business functions. Additionally, the OPT
must be able to maintain Situational Awareness of both current
operations and future plans.
(1) Staffing the OPT. The OPT is made up of personnel already
present within the representative staff sections. These activities are the
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backbone of their job. Accordingly, taking part in an OPT is not an
interruption of their daily routine, it is a central reason for it. The OPT
integrates staff representatives that are appropriate for the mission.
They may be augmented by representatives of the BFs, liaison officers,
and any subject matter experts.
(2) OPT Interaction. Interactions in the OPT produce a
concurrent, coordinated effort. A focused OPT gives the executive a
robust, integrated effort to dynamically shape planning and produce a
plan that:
(a) Facilitates continuous information sharing
(b) Maintains flexibility
(c) Makes efficient use of time available
(d) Generates tempo
(e) Seizes the initiative
(f) Acts decisively
E. Planning in Dynamic Business Operations. Because business will
not unfold like clockwork, one cannot hope to impose precise, positive
control over events with a perfect plan. The best that can be hoped for
is to impose a general framework of order on the disorder and “fog of
war” to set a general flow of action rather than seeking a way to control
each event. Thus, a flexible approach to planning must be taken that
allows response to direction from the CEO. The FCPP provides a way to
do this. This process, in concept, is applicable across the range of
business operations, and at any echelon of management. Regardless
of the situation, time available, events, and staff structure, this process
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can serve the executive’s needs. The FCPP incorporates the flexibility to
facilitate deliberate decision making, while enabling rapid decision
making when the situation dictates. But, the Fusion Cell Planning
Process is less of a process and more of a way of thinking and a way to
organize thoughts.
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ATTACHMENT C: FY08 COST ANALYSIS
REDACTED
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ATTACHMENT D: FACULTY FEEDBACK PROVIDED BY FACULTY
SENATE
REDACTED
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ATTACHMENT E: RATIONALIZATION BRIEF TO PRESIDENT 15 MAY 2008
REDACTED