University of Wisconsin Platteville IT Governance Model Final Report Executive Summary February 2013
Project Objectives & Approach Objectives: Build on the efforts of the Technology Oversight Planning Committee (TOPC) to design improvements to the existing IT governance structure and processes aligned with leading practices, customer expectations, and institutional priorities Engage key stakeholders and customers in the design and development of the future state model Provide a solid foundation to support the development of an IT strategic plan and facilitate the implementation of improvements in the IT organization, processes / policies, and service delivery Establish a governance structure and process that meets institutional needs and is able to drive priorities and resources Approach: During the assessment, the team: Shared information regarding IT governance leading practices and insights from our recent engagements Conducted interviews to assess the existing governance model and processes, including perspectives regarding strengths, challenges, and opportunities for improvement. Personnel input consisted of 16 interviews, including participants from University administration, OIT, and academic representatives Analyzed existing TOPC processes, forms, and other components of the existing governance model Developed and presented the validation of findings confirming observations from interviews and analysis Developed and presented preliminary recommendations through workshops with University administration, OIT, and academic representatives Developed and presented the final report, including the implementation roadmap 2
Project Timeline The assessment, analysis, and development phases of the future IT Governance model were completed over a 12 week timeframe. Leadership checkpoints were incorporated including a validation of findings and a preliminary recommendations review. Week Project Timeline 0 1 2 3 4 5 6 7 8 9 10 11 12 12/03 12/10 12/17 12/24 12/31 01/07 01/14 01/21 01/28 02/04 02/11 02/18 02/25 Plan Engagement Kick-Off Confirm vision, project scope, and objectives Define project roles & responsibilities Phase 1: Current State Conduct Interviews & Collect Data Guiding Principles Leadership Checkpoint #1 1 Phase 2: Framework Structural Alternatives Draft Recommendations Leadership Checkpoint #2 2 End Product IT Governance Structure IT Governance Process IT Governance Roadmap 3 Leadership Checkpoints: 1 Validation of Findings: Review findings and receive feedback 2 Preliminary Recommendations Review: Conduct executive retreat and receive feedback 3 Submission of Final Deliverable: Review of final recommendations 3
Recommendation Summary IT Governance Summary recommendations for a new IT governance model and additional opportunities to enhance enterprise IT are outlined below. Detailed recommendations are presented throughout the report. Category Recommendation Observation IT Strategy Develop a multi-year IT strategic plan to prioritize current and future initiatives, establish alignment with institutional strategy, and provide a communication platform with campus constituencies There is insufficient routine review of strategic IT priorities and their tie-in with broader campus strategies UW-Platteville lacks defined guiding principles for IT investment IT Governance Structure Disband TOPC and establish a domain-focused (Administrative Technology, Educational Technology, Architecture / Infrastructure) governance structure to provide for analysis and prioritization within functional areas, and support an Executive Committee for decision-making Draft charters for Committees, and establish formal roles and responsibilities for Committee chairs and members The formation of TOPC has provided a solid IT governance foundation, and has spurred thoughtful dialogue among a diverse group of stakeholders However, TOPC lacks support and is too large to spearhead an effective governance organization TOPC s mission, leadership, and member responsibilities are unclear, both internal and external to the group itself IT Governance Process Adopt structured, and defined demand, portfolio, and transition management processes Leverage and build upon existing TOPC material to support process Promote transparency by openly communicating strategic decisions and progress The TOPC process includes best-practice governance components to build upon, particularly in the intake area However, the relative informality and inconsistency of the overall governance process combined with limited supplemental documentation perpetuates a lack of awareness of how IT decisions are made on campus Project Management Office (PMO) Establish a centralized PMO to define project management standards and methodologies, support the IT governance process, promote effective portfolio management, and provide a central pool of resources that can be deployed on an as needed basis Create a business analyst role to form a key link between colleges / divisions and IT, and support the PMO / IT governance processes UW-Platteville has started to build a scalable project management methodology However, IT lacks a formal and supported PMO to guide project planning, project completion and drive management standards A portfolio management function is not in place to manage the demand and project/program activity Office of Information Technology Formalize and refine the systems development lifecycle and system testing methodology Develop and implement an OIT staffing strategy to address critical resource needs and establish clear roles and responsibilities Activities associated with stages of the systems development lifecycle including system testing could be more adequately defined A suboptimal division of labor exists between break / fix, development, and other initiatives Communications Adopt a new customer advocacy program to improve communications and service OIT lacks a clear process for engagement with constituencies Measurement Create and routinely update a customer dashboard for IT departments and an IT balanced scorecard for overall IT performance OIT lacks effective tools for measuring and communicating performance and promoting accountability 4
Impact Assessment Recommendations UW-Platteville recommendations are tied to a variety of qualitative and quantitative return on investment opportunities. Opportunity Benefit Potential Savings 1. Comprehensive IT Strategic Planning Initiative Unites the IT community behind common goals Establishes a vision and provides a framework for making IT choices that align with University strategy Reduced spend on projects/activities misaligned with institutional strategy 2. New IT Governance Structure and Process Aligns prioritization of issues and decision making with institutional goals Optimizes resources and manages risk Reduced spend on duplicative or underutilized services, projects, and hardware / software 3. New Project Management Office Provides resources to enable projects to be completed on-time and on-budget Improves communication among project stakeholders Reduced spend due to standardization, accurate forecasting and predictability 4. OIT Quick Wins Optimized Systems Development Lifecycle and System Testing Methodology Updated OIT Staffing Strategy Refined Project Resource Estimating Helps set user expectations and increases development productivity Provides for higher standards of customer service through a clear delineation between break / fix and new development activities More valuable and accurate status reporting Potential to reduce the need for additional resources due to optimized staffing model and standardized methodologies 5. New Customer Advocacy Program Provides mechanism for customers to effectively prioritize and communicate needs Uncovers opportunities to leverage technology to improve business performance Labor efficiency due to optimized business processes Fewer investments unrelated to UW- Platteville strategy 6. New Customer Dashboard and IT Balanced Scorecard Provides transparency into IT operations Establishes accountability related to IT services Promotes labor efficiency and effectiveness; reduces spend on external services 5
IT Governance Maturity Model UWP 2014 Level 5 Optimized Stage Level 4 Managed Stage IT Governance processes and management are considered best practices Automated tools have been implemented to automate workflow and improve analysis Portfolio Management has become an integral part of Governance including regular reviews and informed decisions Portfolio is optimized to maximize business value while managing acceptable levels of risk Project management office functions at high level and provides training and consultative support to the organization IT Governance processes are monitored and measured by campus leadership to ensure compliance Steering Committee (IT Executive Committee) is functioning effectively on a university-wide level and is actively engaged in selecting and prioritizing projects with formal review of the active portfolio Poorly performing investments are terminated early in their life cycles Portfolio performance is measured and reported using a balanced scorecard Continuous improvement efforts are initiated Level 3 Defined Stage IT Governance processes have been defined, documented, and formal training exists Processes are not sophisticated, but the result of formalizing existing processes Portfolio management is mandated throughout the organization; however, no mechanism to enforce compliance UWP Current State Level 2 Repeatable Stage Level 1 Initial Stage Project management office plays an active role in the IT Governance process Organization can begin comparing projects on apples-to-apples basis, improving project selection and prioritization Standard business case is used, but not by everyone Portfolio management processes have been developed and implemented ad hoc across the organization Expertise is limited to a few people, so inconsistencies exist Organization recognizes changes are required for IT Governance No standardized processes exist; any approaches available are ad hoc and fragmented May exist at a college / divisional level, or for large projects Business cases are used for some projects but lack consistent format or methodology Business benefits for portfolio management start to be seen Level 0 Non-Existent No formal IT Governance processes exist Leadership does not recognize there is an issue Projects managed independent of one another without regard to fit or risk Project and resource prioritization is FIFO (first in, first out) No Steering Committee in place to review, approve and prioritize investments Achieved stage by implementing recommendations Natural progression, timeframe undefined 6
Detailed Recommendations IT Governance The table below provides a comprehensive set of recommendations related to IT governance. Category General Structure Recommendation In conjunction with the IT strategic planning process, develop and promote guiding principles for IT investment and service delivery Disband TOPC and establish a domain-focused (Administrative Technology, Educational Technology, Architecture / Infrastructure) governance structure to provide for analysis and prioritization within functional areas Draft formal roles and responsibilities for proposed Executive and Advisory Committees Appoint committee chairs and members based on interest, experience, availability, and equal representation Process Submit Evaluate Prioritize Decide Allocate Monitor Transition Establish a timeline (expected process flow) to support a standardized demand management process and set appropriate expectations Designate individual(s) within project management office to receive, categorize, and forward all project requests and communicate project status Refine existing TOPC project overview form to create a straightforward yet thorough mechanism for project intake Review existing TOPC project criteria list and project levels form and agree upon initial thresholds for project classification / routing Convert existing TOPC detail project form into a business case template to provide for founded, objective decision-making on larger projects Review existing TOPC prioritization criteria and agree upon balanced project prioritization approach based on cost, drivers, risk, and impact Work with project management office to decide on a prioritization and submission calendar that dovetails with operating and capital budget cycles Determine appropriate mix of projects (i.e. transform, grow, run) that will be used to guide the project approval process Ensure timely, accurate, and regular flow of information from project management office to Executive IT Committee to reduce risks related to schedule, budget, and quality when allocating resources Based on various project classifications, standardize monitoring activities for each type, including a communication and feedback loop Develop an institutional change and communication process that is used throughout projects, with a particular emphasis on move to production Encourage routine use of existing TOPC lessons learned template to conduct project post mortems 7
Detailed Recommendations Additional Areas The table below provides a comprehensive set of recommendations related to the project management office (PMO), OIT quick wins, strategy & planning, communications, and measurement. Category Recommendation Continue to build a scalable, clearly defined project management methodology and ensure integration with software development framework(s) PMO Methodology Designate an institutional owner for project management to develop the content, create training programs, and serve as a resource for others Expand the role of the OIT communications lead to include alignment of OIT outreach with project management philosophy PMO Organization Establish a centralized project management office to define project management standards and methodologies, support the IT governance process, and provide a central pool of resources that can be deployed on an as needed basis Create a business analyst role to form a key link between colleges / divisions and IT, and support the PMO / IT governance processes Document standards and templates for each stage of the systems development lifecycle Implement a rigorous system testing methodology (e.g. V-Model) Move all code migrations to a monthly schedule; manage urgent requests by exception OIT Quick Wins Reevaluate the time tracking and dedication of team members (e.g. 26 of 40 hours of development time a week) Establish clear delineation on the application support team between break / fix and new development activities; define roles / responsibilities for both Determine entry / exit criteria and assign percent complete for each stage of the systems development lifecycle Assign development object estimates based on complexity (e.g. high, medium, low); refine values over time Strategy & Planning Communications Develop and utilize strategy map as a framework to generate the IT strategic plan and tie specific initiatives to institutional priorities Develop a clear process for customer engagement with constituencies, including colleges / divisions, faculty, students, and administrators Implement a customer advocacy program in which OIT staff are assigned to specific constituent groups and serve as the eyes and ears of OIT Establish a customer dashboard for each department (e.g. help desk) that is focused on key concerns of OIT customers and consistently updated Measurement Roll up departmental scorecards to create an IT balanced scorecard to provide transparency in overall operations and highlight areas of concern Provide real-time status updates for core systems via the intranet as a self service forum for customers to view system availability or issues 8
For more information, please contact: Sally Swindall Administrative Services UW-Platteville (608) 342-1226 mergensal@uwplatt.edu