Processes for Enterprise-Wide Management of IT Resources
EDUCAUSE’01 Pre-conference Seminar
James Penrod & John Wasileski
The University of Memphis
Introduction to Seminar Introduction Governance
Structure Management
Philosophy IT Planning &
Management Model
An EDUCAUSE Best Practice
Centralized and Decentralized Roles
Internal & External Teams
Critical Success Factors
Concluding Observations
Brian Hawkins—Renewing Administration, Foreword, p. xix, 1999
Today, there is an important and radically increased level of interaction between technology, organizational structures, business functions, and the new demands of our customers. This new synergy gives us the opportunity to rethink how our institutions of higher education operate and serve various constituencies. The challenge to all of us is to determine whether or not we have the collective will to continue to enhance services and renew the way in which our campuses are administered and managed when there isn’t an ominous crisis…looming. The need for constant renewal is critical…
Introduction to Seminar Leaders
Jim Penrod VPIS & CIO @ UoM Four time CIO Higher Education
Consultant Tenured Professor ~34 Years of
Experience 50 publications
John Wasileski AVP & COO @
UoM Executive in
private sector Higher Ed &
Businesses consultant
Adjunct professor 25+ Years of
experience
Introduction
Background & Environment UoM is an urban,
doctoral, research campus
UoM has ~20,000 students & 2500 staff
Two campuses & off-campus sites
Nine schools & colleges
A new President, Provost & VP B & F
An IS Unit since 1995 ~$15M IS budget,
100 FTE AVPIS arrived 2000 Legacy Systems &
Data Warehouse with Web Front-ends
~$4.5M Technology Access Fee
Introduction Strategy means the variety of new things that an organization must do right now to prosper.
Do traditional tasks better Manage internal economy
“Do more with (proportionally) less.” Shorten cycle times
Reduce the time from “ideas” to realities. Master technological complexity
Standardize and manage change. Produce quality
Help establish then meet client expectations.
Introduction Strategy means the variety of new things that an organization must do right now to prosper.
Learn to be very good at: Flexibility -- strategic planning must be a
continual, dynamic process. Breadth of service -- offer services needed to
help solve clients’ “business” problems. Customization -- determine unique needs
and how they can best be met. Integration -- creates synergies and
increases collaboration. Deliver ”wins” for clients -- become partners.
Introduction Information Systems Expectations -- Imperatives to excel Strategic
alignment
Relationships with line management
Deliver new systems
Build & manage infrastructure
Reskill IT staff
Manage vendor partnerships
Build high performance
Redesign the “federal” IT organization
IT Governance Structure
Policy/Advisory Groups
IT Policy Council IT Advisory
Committees Academic Administrative Student
Work Groups
Dean’s Work Group Admin Systems
Management Team LSP’s Group Data Stewards Web Developers
Decision Tree For IT ISSUES
The CIO consults with the President on all major IT decisions. A few are not taken to the IT Policy Council, but are discussed directly with the Executive Officers of the institution. All others that are policy or operational guideline related are directed to the Council. Additionally, IT issues are raised within the governance structure and brought to the Council. In most cases an issue is discussed by one or all of the advisory committees and a recommendation is proposed to the Council before it deliberates. Where all committees are involved, a task force made up of CIO appointments suggested by the committee Chairs first researches and then drafts a proposal for deliberation by the committees. Either the task force or the committee representatives obtain input from students and the college, school, or administrative unit IT groups. In selected instances students and unit IT group members serve on the task forces.
Members: Executive Officers, Deans, President of SGA, Faculty & Staff Senate reps, Internal Auditor, Chairs of Advisory Committees, University Librarian, & CIO. Chair appointed by President.
Members: Deans reps, Provost rep, VP Business & Finance rep, VP Student Affairs rep, VP Information Systems rep, Faculty Senate rep, Student reps, Library rep, Excellence Centers rep, & AVP Information Systems. Vice Chair elected by members annually is Chair Elect
Members: Provost Council reps, Executive Officers reps, Staff Senate rep, Student reps, Library rep, Director Institutional Research, Data Administrator, & AVP Information Systems. Vice Chair elected by members annually is Chair Elect
Information Systems Staff
Members: Selected from student government groups, student affairs activities, and other interested associations. Chair elected annually by members.
Governance Structure
Appendix I, pg. 28
Governance Committee
Charges & Membership
Appendix II
IS Management Philosophy Learning
Organization Principles
The five disciplines Changing the IS
organizational culture
IT is too important for technical decision-makers
IT is like money—it is a strategic resource
Manage the organization for the best staff, not worst
Involve the right people, in the right things at the right time
Empowerment is a two-way process
Help individuals to change behaviors
Surprise is not a good thing!
Learning Organization references
Appendix III
Management Philosophy
Most people want to do a good job
Too often the organizational environment gets in the way. This wastes peoples talents and energies. It puts impossible loads on administrators. It may induce poor performance, internal conflict,
and cause burn out. Organizations (and universities specifically)
are being required to meet increasing complexity and competition. If everyone in the organization isn’t doing all they
can do to contribute to overall goals, then it is doomed to mediocrity or worse.
Management Philosophy Empowerment of individuals is the only answer to our dilemma.
Unfortunately, most empowerment efforts fail -- but we must not just give up.
To work together people need clear priorities, accountabilities, and authorities.
Traditionally managers coordinate and control people’s work -- but that causes bottlenecks.
Thus we need to eliminate hierarchy as the means of coordination and control.
True empowerment means managing people by results rather than by tasks.
Management Philosophy Mental Models
Mental Models are the preconceptions, assumptions, and filters through which we view and interpret the world. The difficulty with such models is that everyone has a different one yet we must all learn to communicate effectively and learn common lessons.
Comparison of Argyris’ Model I Comparison of Argyris’ Model I and Model IIand Model II
Tell others what you believe will make them feel good
Tell other people no lies or tell others all you think and feel
Advocate your position in order to win
Stick to your principles, values, and beliefs..
Increase others ability to unsurface assumptions & biases
Help people say what they know but fear to say
Advocate your position and combine it with inquiry and self-reflection
Advocate principles but invite inquiry
Model I Model IIModel I Model II
Management Philosophy
Overcoming Organizational Defenses, 1990
Management Philosophy Personal Mastery
Personal mastery means that each person in an organization focuses on continually learning as a life discipline. It embodies keeping a clear vision of what is important in our lives and seeing our current reality for what it truly is.
Management Philosophy Shared Vision
A shared vision is a heartfelt force that permeates an organization and unites the people within it. It provides the energy to strive to create and to continually learn. It provides a commonality of purpose for each individual and for each individual to support others in aspiring to the vision.
Vision has proven to be a crucial ingredient in successful change efforts. But is it futile and maybe even dangerous to establish a strategic vision when the environment is chaotic and the future is unknowable? ... We believe, when it comes to strategic vision, there is an inherent paradox. In fact, it is because the future is unknowable that a shared vision is so essential as a driver of change. In a learning organization, a vision provides the fuel that powers the collective journey of strategic learning.
Management Philosophy STRATEGIC READINESS
Redding & Catalanello,1994
Management Philosophy Team Learning
Team learning is the alignment of each member’s special talents to enable the team to address complex issues, provide innovative yet coordinated action, and foster improvements in team performance for all teams.
Team Questions & Sample Answers
Appendix IV
Management Philosophy Systems Thinking
Systems Thinking means seeing an opportunity, problem, or situation as it is embedded in all of the systems of which it is a part. This means not isolating an idea in our thoughts but taking into consideration how the system works to influence the concept under consideration.
As part of the strategic planning process, planners identify hot issues and focus change activities upon experimental efforts tied to these issues. Yet, in many cases, the most important experiments are ones that develop on their own, without senior management intervention. ... It is essential that those championing the emerging changes feel sanctioned and know that management is aware of and supportive of the initiatives being taken. This is best accomplished by reaffirming the overall strategic direction of the organization and promoting these efforts as examples of desirable activities and programs. ... In this way, all members of learning organizations are, to some degree, strategic planners. It is the leaders, however, who provide “the heat for the popcorn.”
Management Philosophy Strategic Readiness, pp 76-78
References for Planning & General Management reading
Appendix V
IT Strategic Planning & Management Model The Plan to Plan Define & Clarify
Institutional Strategy
Align Organizational Entities & Influence Systems
Create Needed Competencies & Behaviors
Develop & Implement Operational Action Plans
Evaluate & Assess Outcomes
An Adapted IT Strategic Planning and
Management Model
Vision, Extended Mission & Goals
The Plan To
Plan
Institutional Strategy
Derivation Internal Environment External Environment Values Assessment
The Mixing Process
Analysis of Interactions
Align Influence Systems
Culture Structure Internal Economy Methods & Tools Infra-structure Metrics & Rewards
Create Competencies & Behaviors Adaptive Change
Develop Action Plans
Projects
Evaluate Outcomes
O B J E C T I V E S
Appendix VI
IT Planning & Management Model
The Plan to Plan Motivating factors Define purpose Define roles,
functions & membership of involved groups
What processes must be integrated?
Define reports & other outputs
Define drafting, review & approval groups for the plan
Define modification processes
Output: Appendix of above items
IT Planning & Management Model
Define & Clarify Institutional Strategy
Values assessment (Individual & organizational)
Internal analysis External analysis (STEEP) Mixing process (SWOT) Output: Values, extended mission,
strategies, goals and futures scenario
IT Planning & Management Model Aligning Individual and Organizational Values Exercise to identify desired
individual values Exercise to identify desired
organizational values Exercise to select values aligned
with both individual and organizational lists
Group decision-making process to define IS Division values statement
31
IT Planning & Management Model Values.
Values Assessment
• Higher Education Culture• Academic Disciplines• State / System Culture
• Institutional Culture
• Divisional Culture
• Departmental Culture
• Shared Vision
Value Statements for Information Systems at The U of M
Appendix I, pg. 4
33
IT Planning & Management Model Internal Analysis
. InternalEnvironmentAssessment
• Strengths• Weaknesses
Resources
• Positions• Competencies• Financial•Technologies• Space
Present Strategy
• Institutional• Divisional• Departmental• Individual
Performance
• Results• Outcomes• Perceptions
34
IT Planning & Management Model External Analysis
. Trends/Forces
• Political/Legal
• Economical
• Social/Demographic
• Technological
Constituents
• Institutional• Other Units• Students• Staff• Faculty
• External
Competitors
• Institutional• External
Collaborators
• Institutional• External
ExternalEnvironmentAssessment
• Opportunities• Constraints
Strategies, extended mission, & futures scenario –
UoM IT Strategic Plan
Appendix I, pp 1-3, 5-7
IT Planning & Management Model
Align Organizational Entities & Influence Systems Organizational
culture Organizational
structure Internal economy Methods & tools
Systems architecture (infrastructure)
Metrics & rewards Output:
Measurable, time-bounded, budget-linked, individually assigned objectives
IT Planning & Management Model
Organizational CultureThe behavioral patterns, habits, and conventions exhibited by the organization
•Create continuous learning opportunities•Promote inquiry & dialogue•Encourage collaboration & team learning•Establish systems to capture & share learning•Empower people toward a collective vision•Connect the organization to its environment
Reference list of Organizational Culture sources
Appendix VII
IT Planning & Management Model Management Principles
Keep performance results the primary objective of behavior and skill change.
Continually increase the number of individuals taking responsibility for their own change.
Ensure each person always knows why his or her performance and change matters to the purpose and results of the whole organization.
Put people in a position to learn by doing and provide them the information and support needed.
Embrace improvisation as the best path to both performance and change.
IT Planning & Management Model Management Principles (con’t)
Use team performance to drive change. Concentrate organization designs on the work
people do, not the decision-making authority they have.
Create and focus energy and meaningful language because they are the scarcest resources during periods of change.
Stimulate and sustain behavior-driven change by harmonizing initiatives throughout the campus.
Practice leadership based on the courage to live the change.
IT Planning & Management Model
The Will/Skill Framework
SupportSupport
DirectDirect
DelegateDelegate
CoachCoach
HighHigh
LowLow
LowLow HighHigh
SKILLSKILL
WILLWILL
IT Planning & Management Model Desired cultural changes
Design the organization to fit the committed & caring (eliminate those who do not care)
Focus on solving problems, not on reacting to symptoms
Move decisions to the appropriate level Stress individual accountability for mission Create & empower many leaders Regulate distress & maintain disciplined
attention
IT Planning & Management Model
Organizational Structure Define organizational reporting
lines Define individual roles Develop processes for work flow
across boundaries Develop processes and
structures for team based decision-making
Eliminate organizational barriers
IT Planning & Management Model The Organizational System
The Environment Higher expectations Increased competition
The Technical Process Shorter cycle-times Integration of new technologies
The Human Structure & Support Systems Flexible deployment of labor force More responsiveness & innovation More satisfying work
IT Planning & Management Model Designing a Responsive Organization
Process improvement Ensures streamlined & unfragmented workflow
Organizational theory Ensures form fits function
Sociotechnical systems design Ensures new technology improves results &
quality of worklife
Job design Ensures that jobs build employee ownership &
initiative
IT Planning & Management Model Results of Designing a Responsive Organization
A well-designed work process is streamlined and supported by an information flow that provides doers with an accurate picture of client needs & process performance.
A well-designed work group includes players with depth & a variety of skills necessary to create the service. The authority structure gives employees the autonomy to respond to needs & problems nearest to the line of action.
A well-designed job is organized around a service. It unites thinking with doing and core support. It provides the jobholder with direct contact with the client.
IT Planning & Management Model
Internal Economy Budgeting and charge back
mechanisms Resource allocation and flow Project approval and
prioritization Based on mission alignment not:
Power ▪ Favoritism Influence ▪ Politics
IT Planning & Management Model Service Offerings What new services should be offered?
What existing services should be eliminated?
What existing services should be modified?
What existing services should be left unchanged?
IT Planning & Management Model
Methods & Tools
Procedures, methodologies, & skills that workers use Systems analysis ▪ Planning model Project mgmt ▪ Budget mgmt Teams ▪ Communication
Leaders at many levels Conflict resolution model Professional development activities Adaptive behavior mechanisms Use the technology we advocate
IT Planning & Management Model
Systems Architecture IT infrastructure: voice/data/video
networks, computers, software, peripherals, etc.
Support structure: people and training
Institutional standards & guidelines Ease of additions, upgrades, and
modifications critical
IT Planning & Management Model
Metrics & Rewards Measures defined to determine
success Measures defined to determine
perceptions Performance feedback loops
for individuals and teams Incentives for improving
performance
IT Planning & Management Model Translating broad purpose into specific Translating broad purpose into specific objectivesobjectives
PurposePurposeConceptualConceptual
PerformancePerformance MeasurementMeasurement PerformancePerformanceObjectiveObjective
TimelinessTimeliness Cycle timeCycle time
for servicefor service
Months toMonths tocompletecomplete
Reduce timeReduce timeto implementto implementfrom 1 year to from 1 year to 6 months6 months
Quality Quality No mistakesNo mistakes Error rateError rate Decrease fromDecrease from15% to 2%15% to 2%
Innovation Innovation New ideas toNew ideas toimprove serviceimprove service
# of ideas# of ideasthat are useablethat are useable
At least 10At least 10new ideasnew ideas
implementedimplemented
Objectives in the UoM IT Strategic Plan
Appendix I, pp 17-22
IT Planning & Management Model
Create Needed Competencies & Behaviors Managers provide training and
professional development opportunities Determine individual aspirations Obtaining technical competencies Defining and creating opportunities for
adaptive behaviors Managers motivate individual
acceptance of responsibility Output: Analysis of organizational skill
set, professional development matrix, & individual assessment criteria
Professional development matrix, skills matrix, & objectives assignments
Appendices VIII, IX, X
IT Planning & Management Model
Develop & Implement Operational Action Plans Develop individual work plans Develop project plans Develop Team-based work plans Work both “top down” & “bottom
up” to develop Unit Plans Output: Unit work plans, managerial
work plans, team work plans & project plans
IT Planning & Management Model Transformative Leadership Strategies
Coercion
Persuasive Communication
Role Modeling
Expectancy
Participation
Structural Rearrangement
Extrinsic Rewards
IS Unit plan, project plan, & managerial work plan
Appendices XI, XII. XIII
IT Planning & Management Model
Evaluate & Assess Outcomes Develop formal processes to evaluate
effectiveness of the organization Develop informal processes to assess
perceptions of broad-based outcomes Ensure that team and individual
evaluations are linked to organizational outcomes
Assess efficiency of the organization Utilize to continually enhance planning & management process Output: A variety of metrics, monthly client
perceptions, focus group reports, informal communication channels
IT Planning & Management Model Characteristics of “Healthy” Organizations
Everyone is fully engaged People are well coordinated Cross-boundary teams are self forming Teams are self managed There is a dynamic balance among the
various paradoxical objectives The unit is quick to adjust Organizational issues must be addressed
before individual performance can be appropriately solved.
•Monthly Client Satisfaction survey results
•TAF (Technology Access Fee) Survey results
• IS Annual Report
Appendix XIV
Appendix XV
Appendix XVI
List of references for Strategic Planning
Peterson, Marvin W., et al, Planning & Managing for a Changing Environment, Jossey-Bass, 1997.
Appendix XVII
An EDUCAUSE Best Practice
Appendix XVIII
Centralized & Decentralized Roles Roles are interdependent
The institution requires both for success Centralized focus must be on infrastructure Localized roles must focus on desktop support
The entities must cooperatively work together Processes should support cooperation Good Management must overcome divisional
boundaries Roles are complimentary
Job position structure should reflect that Decision making processes should reflect that
65
RolesOrganizational & Individual Responsibilities
What can Individuals Count on from the Organization?
Climate of Work Evaluation Process Professional Development Opportunities Communication Channels Unique Benefits
What are Individual Responsibilities? Work Expectations
Outcomes Versus Tasks Team Work
Learning Expectations Problem Resolution Omni-directional Communication
Internal & External Teams Coordination Outreach Help Desk Blue Admin Grey Admin
TigerLAN Web Network Services Server Data Assurance
List of IS internal teams with charge, & ASMT work team charges
Appendix XIX
Critical Success Factors Uniform Executive
Level support Formally organize &
align the processes Processes that are
bounded, flexible & comprehensive
Allocate resources to support the processes
Cultivate broad-based Client involvement
Provide professional development
Establish managerial & staff accountability
Measure what you want to accomplish
Report your accomplishments & failures
Foster and support team learning
Help establish an integrated campus-wide IT enterprise
Concluding Observations Planning &
Management is a never ending coordinated exercise
Must involve all the right people
Processes should be eclectic
Drive processes from needs, concerns & opportunities
Be realistic! Do not over analyze Move when you have
“critical mass” approval
Strive for excellence in all processes
The object is to impact decisions, behaviors, & outcomes
Nicholas Imparato and Oren Harari conclude Jumping the Curve (1994), by saying:
“… We come to the realization that the potential now to catapult civilization to greater levels of productivity and vitality is genuine. The first requirement is to acknowledge the transformative currents at work, to grasp both the continuities and discontinuities with the past, and to go about organizing for the work that, by accident of history and the substance of moral obligation, we are asked to perform.”
2001 UoM IT Strategic Plan
Appendix I
Provide general reading list of publications & web pages for IT management