I N F O R M AT I O N S Y S T E M S :
People, Process, Data, and Technology
STEWARDSHIP MODEL
OCTOBER 9, 2014
Information Systems Stewardship Model
OVERVIEW
Purpose and Objective The purpose of this document is to provide the terms of reference and structure for information and communications systems stewardship at the University of Saskatchewan. It will also link stewardship to the project management process. The objective of this stewardship model is to define roles and responsibilities for institutional decision‐making for information systems. The stewardship process is designed to work within the framework of the university’s strategic plan. Definition of Stewardship Model Stewardship refers to the:  Process by which we endorse institutional decisions about information systems,  People who are assigned the responsibility for endorsing those decisions and have the accountability for the results of those decisions, and  Organizations who meet to debate those decisions. Principles of Stewardship The specific principles of stewardship for information systems include: • Align information systems decisions with the university’s strategic plan, • Oversee all investments in information systems at the University of Saskatchewan, • Create and champion common university processes and practices, • Leverage intellectual capital across the organization, • Optimize utilization of university information systems resources, • Ensure regulatory and legal compliance, and • Provide an understandable and transparent decision‐making process. Information and communications systems stewardship at the University of Saskatchewan is an evolving process. We will continually refine this model to reflect changes in the environment and experience gained with executing the model. ‐‐ 1 ‐‐
Information Systems Stewardship Model
SCOPE
The scope of stewardship at the University of Saskatchewan is to ensure all information systems investments align with the strategic directions and priorities of the university. The model applies to all information systems from all areas of the university including educational, administrative, and research systems, and to all information systems in academic and administrative units. Within this scope the stewardship model addresses the following key issues for information systems: • Strategic planning, • Integrated planning, • Policy development and review, • Decision making authority, • Resource allocation, • Multi‐year budget forecasting, • Oversight of systems projects, • Lifecycle of information systems assets, • Changes to the stewardship process, • Review of operational processes, • Assess institutional information systems risk, • Criteria for prioritization setting, and • Prioritization of initiatives and projects. For information systems stewardship to be effective it must provide timely and well‐informed decisions. The stewardship process is designed to build a robust and broadly informed dialogue about key issues. Discussions driven by these processes will invoke creative debate from senior stakeholders in the university community and will increase the socialization of new ideas and changes. Well understood decisions with shared contributions to the stewardship process will lead to better success for all information systems initiatives. ‐‐ 2 ‐‐
Information Systems Stewardship Model
STEERING COMMITTEES
There are four committees central to the stewardship model. The Information Systems Steering Committee (ISSC) is the umbrella committee designed to provide oversight to the process and decision‐making for enterprise systems. Specific decisions related to administrative systems are the responsibility of the Administrative Systems Steering Committee (ASSC). Teaching and learning information systems decisions are made by the Educational Systems Steering Committee (ESSC). The Research Systems Steering Committee makes research computing and researcher support related decisions. The overall model is illustrated in the attached diagram. The terms of reference for each of these committees are included in Appendices 1, 2, 3, and 4. Information Systems Steering Committee (ISSC)
The ISSC is central to the successful functioning of the stewardship process. It is an executive level committee reporting to PCIP and University Council. Setting strategic objectives and establishing institutional criteria for prioritizing systems initiatives will be done by this committee. The ISSC is accountable for overarching information systems policies, strategies, and stewardship. This committee provides stewardship for the information systems project portfolio and it ensures information systems decisions have strategic fit, functional utility, and balanced investment across the institution. It will also address benefits realization of implemented projects. Enterprise architecture standards are approved by this group. The ASSC, WSSC, and ESSC will inform the ISSC of key their issues and decisions. ‐‐ 3 ‐‐
Information Systems Stewardship Model
Administrative Systems Steering Committee (ASSC)
The purpose of the Administrative Systems Steering Committee (ASSC) is to focus on new projects, enhancements, and operational issues for administrative systems. The ASSC provides stewardship for all student, human resources, finance, payroll, facilities, research administration, and advancement systems. All plans, projects, and priorities applicable to administrative information systems are within the mandate of the ASSC. Educational Systems Steering Committee (ESSC) The Educational Systems Steering Committee (ESSC) develops vision, strategy, policies, and plans which promote, encourage, and recognize the innovative use of educational information systems for high quality learning and teaching both in and outside the classroom. The ESSC works through University Council and the appropriate Council committee when addressing academic policies and practices and works through the Provost and the Provost’s Committee on Integrated Planning when the business pertains to administrative policy and resourcing. The ESSC provides stewardship for all learning management systems, distance learning technologies, classroom technologies, student labs, and library systems. All plans, projects, and priorities applicable to educational information systems are within the mandate of the ESSC. Research Systems Steering Committee (RSSC) The Research Systems Steering Committee (RSSC) brings key research computing stakeholders from across the university to work together to create a robust, sustainable, and integrated research computing environment. The committee is designed to integrate a broad group of university contributors to discuss the appropriate objectives for institutional research computing. The RSSC provides stewardship for research data centres, non‐administrative research information systems projects, researcher support, and other needs for information systems support of research. ‐‐ 4 ‐‐
Information Systems Stewardship Model
INFORMATION SYSTEMS STEWARDSHIP WORKFLOW
The model of how the committees work together is based on the diagram below. This model illustrates the hierarchy of the committees, the workflow of decision‐making, who participates in the decision, and what decisions they are expected to make. e
WHO
WHERE
Informa on Systems
Steering Commi ee
VPs, AVPs, Deans
WHAT
• Strategy
• Policy
• Por olio oversight
• Enterprise systems projects
• IT strategy
• Stewardship improvement
• Academic systems
• Teaching & learning input
• Project oversight
•
•
•
•
•
• Strategic guidance
• Policy recommenda ons
• Stewardship process
Leadership from
teaching & learning
in facul es
Educa onal Systems
Steering Commi ee
Leadership from
Student, Finance, HR,
Advance, Facili es, &
Research Services
Administra ve Systems
Steering Commi ee
Researchers,
Faculty, and
Research Office
Research Systems
Steering Commi ee
Labs
Learning management tech
Audio Visual
Classroom technology
Instruc onal support
•
•
•
•
Scheduling
Resource alloca on
Project oversight
Priori za on
Administra ve systems
• So ware development
• Func onal design
• Account management
• Business analysis
•
•
•
•
Accessibility
Sustainability model
Data centre strategies
Project oversight
•
•
•
•
•
Research data centres
Capability processing
Capacity processing
Mass storage
Researcher support
Inform
New Projects
Project Por olio
Offic
Monitor
‐‐ 5 ‐‐
Information Systems Stewardship Model
CONNECTIVITY
TO
UNIVERSITY GOVERNANCE
The ISSC will report into the Provost’s Committee on Integrated Planning (PCIP) on a regular basis. Project proposals and escalation of key issues requiring strategic guidance will come from the ISSC to PCIP. Specific issues related to academic governance will be routed to University Council via TLARC, Planning, and Priorities, or RSAW committees. The diagram below illustrates the relationships. ‐‐ 6 ‐‐
Information Systems Stewardship Model
PROJECT APPROVAL
AND
PRIORITIZATION
The stewardship process at the University of Saskatchewan will operate at a strategic and an operational level, with underlying support from the project management process. A key element of stewardship is establishing prioritization criteria and then applying the criteria to select and rank all information systems investments at the university. Stewardship requires information systems decisions to have strategic fit, functional utility, and balanced investment. Strategic fit means all initiatives are aligned with the strategic mission of the university. Functional utility means the qualitative and quantitative benefits outweigh the costs and risks. Balanced investment means information systems development occurs in a rational approach across all areas of the university. The steps involved in any project include developing a project charter (business case), writing a detailed project plan, implementing the plan and reporting on progress, making changes to the plan, and closing the project. The diagram below illustrates the model. The project management process informs the stewardship model on project investments. The first step in any project is the development of a project charter to justify the investment of university resources in the project. The charter needs to be written for any project requiring at least 20 person days of ICT work or $5,000 from ICT budgets. The charter is sent to the ICT leadership team for review. They determine if the project can proceed as defined and which stewardship committee should decide if the investment is worthwhile. The appropriate stewardship committee then reviews the charter. They determine if the project should proceed and what is its priority relative to the overall portfolio of information systems projects. Projects estimated to require less than 40 person days can proceed without a project plan. All other projects require a detailed project plan. This plan becomes the contract between the project manager and the sponsor of the project. It includes a detailed commitment to schedule, budget, scope, quality, resources, procurement process, and risk management. The plan is reviewed by the ICT leadership team and must be approved by the appropriate steering committee before any further work is undertaken by the project. ‐‐ 7 ‐‐
Information Systems Stewardship Model
As the project progresses, status reporting to the ICT leadership team and the appropriate steering committee is expected on a monthly basis. Any changes to the scope that affect schedule, budget, or scope require formal approval by the steering committee. At the conclusion of any project a project closure report must be submitted to the steering committee. This report is designed to document lessons learned and establish appropriate benefits realization criteria for the assets produced by the project. ‐‐ 8 ‐‐
Information Systems Stewardship Model
LINKING STEWARDSHIP
AND
PROJECT MANAGEMENT
The project management process and stewardship model are connected through the ICT leadership team. The overall model is illustrated in the following diagram. ‐‐ 9 ‐‐
Information Systems Stewardship Model
APPENDIX 1 ‐ INFORMATION SYSTEMS STEERING COMMITTEE
TERMS OF REFERENCE
Informa on Systems
Steering Commi ee
Purpose
The ISSC is central to the successful functioning of the stewardship process. It is an executive level committee reporting to PCIP. Setting strategic objectives and establishing institutional criteria for prioritizing systems initiatives will be done by this committee. The ISSC is accountable for overarching information systems policies, strategies, and stewardship. This committee provides stewardship for the information systems project portfolio and it ensures information systems decisions have strategic fit, functional utility, and balanced investment across the institution. It will also address benefits realization of implemented projects. Enterprise architecture standards and acceptable levels of residual risk are approved by this group. The ASSC, WSSC, and ESSC will inform the ISSC of key their issues and decisions. Objectives
 Administer the information systems stewardship process  Represent all information systems stakeholders across the university  Recommend priorities for information systems initiatives  Assess degree of fit for information systems initiatives within the university strategic plan  Provide advice for allocating resources and funding for information systems initiatives  Monitor progress of information systems initiatives  Assess benefits realization of information systems initiatives  Recommend university‐wide information systems policies and standards  Assess information systems risk  Link to other senior level university committees  Provide guidance to the development of information systems strategic planning Logistics
The Information Systems Steering Committee will meet regularly every two months. Committee members cannot delegate their role to a subordinate. The CIO and Associate Vice‐President ICT chairs the meeting and prepares the agenda. ‐‐ 10 ‐‐
Information Systems Stewardship Model
Members
Title
CIO and Associate Vice‐President ICT Assistant Provost, Institutional Planning and Assessment Vice‐Provost Teaching and Learning Dean University Library Dean Arts and Sciences Dean (from health sciences – to be rotated every 3 years) Dean (from social sciences ‐ to be rotated every 3 years) Dean (from applied science ‐ to be rotated every 3 years) Faculty Representative Student Representative Associate Vice‐President Research Associate Vice‐President Communications Associate Vice‐President Human Resources Associate Vice‐President Financial Services Associate Vice‐President Facilities Management Director, Information Technology Audits Chair, Planning and Priorities Committee Chair, Teaching Learning & Academic Resources Committee ICT Project Portfolio Office Manager ICT Directors Role
Voting (Chair & Agenda) Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Voting Non‐voting Non‐voting (as needed) CIO will solicit Deans and Faculty Representative for membership. USSU will recommend Student Representative. Scope
Stewardship of this committee applies to all information systems and technologies developed and managed anywhere at the university. ‐‐ 11 ‐‐
Information Systems Stewardship Model
APPENDIX 2 ‐ ADMINISTRATIVE SYSTEMS STEERING COMMITTEE
TERMS OF REFERENCE
Administra ve Systems
Steering Commi ee
Purpose
The purpose of the Administrative Systems Steering Committee (ASSC) is to focus on new projects, enhancements, and operational issues for administrative systems. The ASSC provides stewardship for all student, human resources, finance, payroll, facilities, research administration, and advancement systems. All plans, projects, and priorities applicable to administrative information systems are within the mandate of the ASSC. Objectives
 Provide input and guidance to ongoing administrative systems operations, support efforts, and enhancements  Approve priorities for administrative systems work  Recommend resource allocation and funding for administrative systems work across the university  Assess degree of fit for new administrative systems projects within the university strategic plan  Monitor progress of administrative systems enhancements and projects  Assess benefits realization of new administrative systems projects  Discuss impacts of administrative systems changes to campus processes, policies, and standards  Monitor staff implications of information system socialization (change management, training, and union issues)  Resolve escalation of issues across departmental and unit boundaries  Assess information systems risk and ensure regulatory and compliance needs are met  Facilitate integration of information systems and data across functional and departmental boundaries  Approve terms of reference for functional working groups and project steering committees Logistics
The Administrative Systems Steering Committee will meet regularly every two months. Prior to significant go‐lives, the committee may meet more often. Committee members cannot delegate their role to a subordinate. The Associate Vice‐President Financial ‐‐ 12 ‐‐
Information Systems Stewardship Model
Services chairs the meeting. The CIO and AVP ICT prepares the agenda. A comprehensive review of priorities will happen at least annually to help prepare for budgets and annual plans. Members
Title
Role
Associate Vice‐President Financial Services Voting (Chair) CIO and Associate Vice‐President ICT Voting (Agenda) Vice‐Provost Faculty Relations Voting Director Research Services Voting Associate Vice‐President Human Resources Voting Associate Vice‐President Facilities Management Voting Associate Vice‐President Communications Voting Associate Dean (To be rotated every two years) Voting Associate Dean (To be rotated every two years) Voting University Registrar and Director of Student Services Voting Executive Director Development Voting Director Corporate Administration Voting Director Consumer Services Voting Director Institutional Effectiveness Voting College CFO Voting Director, Information Technology Audits Voting ICT Director Applications Non‐voting ICT Project Portfolio Office Manager Non‐voting CIO will solicit Associated Deans and College CFOs for membership. Scope
Stewardship of this committee applies to all administrative systems and technologies developed and managed anywhere at the university. ‐‐ 13 ‐‐
Information Systems Stewardship Model
APPENDIX 3 –RESEARCH SYSTEMS STEERING COMMITTEE
TERMS OF REFERENCE
Research Systems
Steering Commi ee
Purpose
The Research Systems Steering Committee (RSSC) brings key research computing stakeholders from across the university to work together to create a robust, sustainable, and integrated research computing environment. The committee is designed to integrate a broad group of university contributors to discuss the appropriate objectives for institutional research computing. The RSSC provides stewardship for research data centres, non‐administrative research information systems projects, researcher support, and other needs for information systems support of research. Objectives
 Absorb and apply best practices from other research institutions  Extract maximum value from vendors through partnerships and alliances  Work with regional consortiums to ensure the University of Saskatchewan research interests are satisfied  Develop, maintain, and contribute to our relationship with Compute Canada, CANARIE, WestGrid, and other key agencies  Work with ICT to understand and identify resources for operating research computers on campus  Work with ICT to position the university as a leader and innovator in research systems management and service  Develop plans and identify resources to keep research computing resources up to date and appropriate  Position the university to do well in national and regional computing resource allocations  Provide research perspectives and input to Information Systems Steering Committee  Work with the Project Portfolio Office in ICT to develop clear and sustainable project plans  Expand the use of research computing to more researchers and to more research fields on campus  Ensure information systems security and compliance meets the requirements of Tri‐
Councils and other funding bodies  Develop and identify resources for software support for researchers ‐‐ 14 ‐‐
Information Systems Stewardship Model
Logistics
The Research Systems Steering Committee will meet every two months. Committee members cannot delegate their role to a subordinate. The chair of the committee is the VP Research. The CIO and AVP ICT will prepare the agenda in consultation with the chair. Members
Title
Role
Associate Vice‐President Research Voting (Chair) CIO and Associate Vice‐President ICT Voting (Agenda) Associate Dean (from a research intensive faculty) Voting Associate Dean (from a research intensive faculty) Voting Researcher (to be rotated every two years) Voting Researcher (to be rotated every two years) Director Research Services Director of a key research institute or initiative Graduate student (from compute intensive area) Associate Dean University Libraries Chair, Research and Scholarly Works Committee ICT Project Portfolio Office Manager Director ICT Client Services Voting Voting Voting Voting Voting Voting Non‐voting Non‐voting CIO will solicit Associated Deans and Graduate Student for membership. Scope
Stewardship of this committee applies to all research information systems and technologies developed and managed at the university. ‐‐ 15 ‐‐
Information Systems Stewardship Model
APPENDIX 4 – EDUCATIONAL SYSTEMS STEERING COMMITTEE
TERMS OF REFERENCE
Educa onal Systems
Steering Commi ee
Purpose
The Educational Systems Steering Committee (ESSC) develops vision, strategy, policies, and plans which promote, encourage, and recognize the innovative use of educational information systems for high quality learning and teaching both in and outside the classroom. The ESSC works through University Council and the appropriate Council committee when addressing academic policies and practices and works through the Provost and the Provost’s Committee on Integrated Planning when the business pertains to administrative policy and resourcing. The ESSC provides stewardship for all learning management systems, distance learning technologies, classroom technologies, student labs, and library systems. All plans, projects, and priorities applicable to educational information systems are within the mandate of the ESSC. Objectives










Recommend and develop strategies and policies for educational systems at the University of Saskatchewan Create a unified vision for the innovative use of learning systems and educational technologies Develop strategies to realize the information systems needs of the Education Plan vision and create an implementation plan to meet the objectives of the plan Ensure educational systems protect the privacy and intellectual property rights of students and instructors Create a consistent and standardized set of educational systems tools delivered and supported by the various support units across the University of Saskatchewan Establish a framework to enable multiple units from across the university to work together on instructional systems issues Identify both the expertise and gaps of all units in supporting and delivering educational systems Provide ongoing guidance and recommendations for the selection of emerging educational systems tools Provide ongoing guidance and recommendations for the diffusion of effective educational systems use in and outside the classroom Provide ongoing guidance and recommendations for the ongoing issues and problems that arise with educational systems use by both students and instructors ‐‐ 16 ‐‐
Information Systems Stewardship Model


Support grants and/or funding opportunities to encourage and reward the innovative use of educational technologies Ensure security and compliance requirements are met Logistics
The Educational Systems Steering Committee will meet regularly every two months. Committee members cannot delegate their role to a subordinate. The Vice‐Provost, Teaching and Learning and the CIO and AVP ICT co‐chair the meetings. They work together with the Research and Projects Officer to the Vice Provost to prepare the agenda. Members
Title
Role
Vice‐Provost, Teaching and Learning Voting (Co‐Chair) CIO and Associate Vice‐President ICT Voting (Co‐Chair) Dean (To be rotated every two years) Voting Dean (To be rotated every two years) Voting University Registrar and Director of Student Services Voting Research and Projects Officer (Office of Vice‐Provost) Non‐voting (Agenda) Faculty member (drawn from TLARC) Voting Faculty member (drawn from TLARC) Voting USSU Representative Voting GSA Representative Associate Dean University Libraries Director, Distance Learning & Off‐Campus Office Director, University Learning Centre & Gwenna Moss Centre Manager eLearning and Innovation Programs Director, Capital Planning ICT Director Client Services ICT Director Applications ICT Project Portfolio Office Manager Voting Voting Voting Voting Non‐voting Non‐voting Non‐voting Non‐voting Non‐voting Co‐Chairs will solicit Deans and Faculty for membership. Scope
Stewardship of this committee applies to all educational systems and technologies developed and managed anywhere at the university. ‐‐ 17 ‐‐