“Observations from a Four Time CIO” “From the Backroom to the Boardroom” Seminars on...

““Observations fromObservations froma Four Time CIO”a Four Time CIO”

“From the Backroom to the Boardroom”Seminars on Academic ComputingAugust 7, 2001James Penrod, VPIS & CIOThe University of Memphis

OutlineOutline Not every CIO is the same! Changes in the position Elements that provide influence with executive

officers Developing a strategic planning AND

management process Boardroom strategies & tactics Examples of lessons learned Critical success factors for a CIO Final observations

The Higher Education CIO in the 21The Higher Education CIO in the 21stst Century CenturyEDUCAUSE Quarterly, #1, 2000—Zastrocky & SchlierEDUCAUSE Quarterly, #1, 2000—Zastrocky & Schlier

To be accepted as a member of the executive team, the CIO must be a full-spectrum contributor to the development and management of business strategies and directions rather than a niche player in the limited band of IT. He or she must participate in, and sometimes lead, discussion on general issues facing the college or university.

Not every CIO is the sameNot every CIO is the same

Why create the position?Why create the position? The senior administration recognizes a serious

need for the position The administration understands that IT is a

strategic resource for the institution The institution is ready to define IT roles and

resource allocations for centralized and distributed IT units

The senior administration is ready to define an appropriate governance structure for IT


Vice President/Vice ChancellorVice President/Vice ChancellorIs an executive officer of the institutionIs a cabinet level positionUsually reports to the president or

chancellorThe policy officer for ITMay have units beyond computing,

network, & telecomResponsible for leading IT planningInvolved in institutional planning &

decision making


Vice/Associate ProvostVice/Associate ProvostIs a cabinet level positionReports to the ProvostThe policy officer for ITMay have units beyond computing,

network, & telecomResponsible for leading IT planningInvolved in institutional planning Usually consulted for certain

institutional decision making


Other CIO titlesOther CIO titlesDepends upon size and type of

institutionSenior level IT positionSome, perhaps major IT policy

responsibilityNot likely a cabinet level positionInvolved in developing IT policyLeads IT planning processTypically have standard CIO unit

supervision


Impact of institutional size and/or complexityImpact of institutional size and/or complexity

Very large or leading research institutions tend toward Vice/Associate Provost CIOs

Large research institutions tend toward Vice President/Chancellor CIOs

No clear trends evident otherwiseSome CIO lists now contain many

Director level CIO titles– These do not fit the basic definition of a CIO

Has the CIO Position Changed Has the CIO Position Changed Over the Last Decade ?Over the Last Decade ?

Changed

Many more of us!– Now seen as a “typical”

higher education position Fewer are executive officers

of the institution A smaller proportion have

doctorates Bigger staff Budgets are larger No longer seen as a computer

“czar”

Remained the Same

Primarily filled by males Primarily Caucasians Most have IT plans Majority from research

universities They come from a variety of

academic disciplines Many have a combination of

technical, academic, & administrative backgrounds

The 1990 CIO Profile in Higher EducationThe 1990 CIO Profile in Higher EducationThe Chief Information Officer in Higher Education, The Chief Information Officer in Higher Education, CAUSE Professional Paper Series, #4CAUSE Professional Paper Series, #4

A 46-year-old Caucasian male, reporting to the president, with a title of vice president, who has been in the position for 3.6 years, and annually earns a mean salary of $87,895. He works at a public, research institution with a $240 million budget enrolling 15,000 students. He heads a unit with a $9.6 million yearly budget, employing 135 staff.

The 2000 CIO Profile in Higher EducationThe 2000 CIO Profile in Higher EducationDewitt Latimer’s 2000 EDUCAUSE SurveyDewitt Latimer’s 2000 EDUCAUSE Survey

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

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

Synnott & Gruber, Information Resources Management, 1981

Elements of InfluenceElements of Influence

Access to the Access to the President/ChancellorPresident/ChancellorMeet face to face on regular basisHave a level of personal relationshipUnderstand the needs of a CEOStress a no surprises mode of operationDevelop IT strategies to accomplish

institutional goalsDeliver results


Interaction with the cabinetInteraction with the cabinet

Maintain a constant policy perspectiveProvide ongoing education about IT

trends & issues of significanceInvolve them in all major IT decisions Form project partnerships where

possible– Find areas of mutual interest and need– Create cross-functional teams


Do not play budget games!Do not play budget games!

Clearly establish budget necessities prior to accepting the position– Must have a predictable operational budget– Must have a capital budget linked to

operationsTie objectives directly to allocated budgetDo not ask for more than is really needed

& make trade-offs evidentPut your integrity on the line

Elements of Influence Elements of Influence

Develop a strong governance Develop a strong governance structurestructure

Work with the President/Chancellor & other prime decision makers

Define a policy body that fits the institutionDefine appropriate advisory groupsCarefully select group chairs and

representativesDerive relationships & functions of groups

up front, modify as you go until it fits the place

Elements of Influence Elements of Influence

Clearly delineate your Clearly delineate your management philosophymanagement philosophyDefine it and publicize it widely

– Emphasize in internal publications, formal publications & presentations

– Walk the talk!Apply Learning Organization principles

– Emphasize mental models, shared vision, personal mastery, team learning, & systems thinking everywhere

– Incorporate into your planning & management model

Planning & Management ProcessPlanning & Management Process

Linkage and alignment is keyLinkage and alignment is key

IT planning must completely roll up into institutional planning

Planning should link directly to budget, operational management, personnel evaluation, & outcome assessment

The process should tie planning activities to implementation methodology (units, teams & individuals)

Do it even if institution does not formally plan!


Do not plan by committee!Do not plan by committee!

Those responsible for implementation should write the plan

Get as much input from as broad a constituency as possible & really use it

Have a broad-based review process Have the plan approved by an executive policy

group Distribute an annual report that spells out

which objectives were & were not completed


What should a committee do?What should a committee do?

Depends upon the institutional culture– Can be a useful sounding board for initial input– Can be used effectively in the environmental

scanning process– Can be an excellent review group prior to

finalization by a policy bodyResponsibility for decisions by a committee

are very difficult to assign to individuals


Always remember that a plan is a Always remember that a plan is a guidelineguideline

A strategic plan should set forth a few well defined strategies

Goals should have no more than a 3-5 year horizon

Objectives should be measurable, time bounded, linked directly to budget & assigned to a person to implement– There must be a formal process to change objectives

during the budget cycle– Review progress on a regular basis & report it

Make certain that IT dollars follow the plan!


Alignment is a key element of planningAlignment is a key element of planning

Values, mission, strategies, goals & objectives need to be aligned

Organizational culture, structure, internal economy, systems architecture, methods & tools, and metrics & rewards need to be in alignment

Professional development should be aligned with needed competencies & behaviors and individual action plans

Assessment & evaluation methodologies need to be aligned


Teams & technology: a vital Teams & technology: a vital combinationcombination

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

Teams & Technology-Teams & Technology- Mankin, Cohen, & Bikson, 1996

Planning & Management ProcessPlanning & Management Process “Designing” &“building” effective teams“Designing” &“building” effective teams

Designing Identify team type &

goals Determine team structure

– Member composition

– Leadership roles

– External connections Develop team capabilities

– Access to resources

– Provide training

Building Enhance effectiveness Conflict resolution

techniques Interpersonal

communications Trust building Gaining commitment &

cohesiveness Engendering mutual

respect

Planning & Management ProcessPlanning & Management Process Managing a team based organizationManaging a team based organizationThe Leadership or Management TeamThe Leadership or Management Team

Provides strategic direction & alignment

Ensures effective configuration of teams

Changes configuration when needed

Ensures needed support systems

Institutes & assures ongoing performance measurement process

Models team norms & behaviors

Removes barriers & logjams for teams to function smoothly

Planning & Management ProcessPlanning & Management Process Managing a team based organizationManaging a team based organizationThe Leadership or Management TeamThe Leadership or Management Team

Engages in learning processes to increase effectiveness

Leads a gradual transfer of management duties

Coaches team leaders Continuously assesses

organizational ability Intervenes to develop

capabilities if needed

Encourages teams to review/develop their own capabilities

Formalizes team-based practices & systems so reliance on individual managers is lessened

Promotes learning organization principles

Reviews & rewards performance increases

Planning & Management ProcessPlanning & Management Process Some thoughts about teamsSome thoughts about teams

Creating teams is a fad

Teams require time & cost to maintain

Interdependence & shared goals are key

Teamwork & individual work are not incompatible

Adapt rather than adopt team designs

Issues of collaboration & team effectiveness are complex

Planning, effort, patience, and knowledge are required for team effectiveness

The real goal is effective organizations

Planning & Management ProcessPlanning & Management Process Teams & Technology - Teams & Technology - Mankin, Cohen, & Bikson, Mankin, Cohen, & Bikson, 19961996

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

Boardroom Strategies & TacticsBoardroom Strategies & Tactics Ann Field, Ann Field, CIO Insight, June 2001, p.48CIO Insight, June 2001, p.48

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

Boardroom Strategies & TacticsBoardroom Strategies & Tactics

Advocate institutional positionsAdvocate institutional positions IT is an institutional issue

– Major IT decisions are too important to be made by technicians

Sometimes what is best for the IT unit may not be best for the institution– Help your unit realize that fact– Provide a leadership example

The same is true for other units as well– Seek to inspire executive leadership when it should

be forthcoming


Learn & practice the art of Learn & practice the art of dialoguedialogue Be sure what you hear is what was meant

– Seek to be aware of & understand your biases Be sure what you say is heard as you meant it

– Others also have cultural “glasses” that must be overcome

Learn to listen--to hear what was said, not to find an “opening” for argument

Listen to learn why you might need to change


Help create an integrated IT Help create an integrated IT structure across the institutionstructure across the institution Develop complimentary role definitions for

central & distributed IT units– Be an advocate for appropriate funding at all levels

Develop metrics for all central & distributed IT services & share the results widely– Include a measurement criteria in all IT objectives– Make personnel evaluation meaningful & build it

into the planning & management cycle– Use metrics to make the case for budget requests


Base budget requests on campus Base budget requests on campus prioritiespriorities

Relate campus priority requests to “building block” infrastructure needs

Keep an IT benchmark database of peers– Ratio of central IT budget to institutional budget– FTEs: IT unit & LSPs; any other measures you can

get Find ways to illustrate IT productivity ratios Do not be afraid to “give away” credit for success Focus on the future—not the past (but learn from

it)


Be a change agentBe a change agent Pay attention to the

process of change Leaders need support

during change Learning is essential Be able to handle

conflict Change leadership is

counter-intuitive The cabinet must

function well during change

Change leaders are “cultural travelers”

Resistance is a resource Building community is

key Truth telling must be

rewarded Trust is essential Involve everyone

possible Change & complexity

are here to stay

Sanaghan & Napier, Business Officer, October 2000, pp.32-36.

Examples of Lessons LearnedExamples of Lessons Learned

Defining the role of the IT policy councilImplementing a strategy for administrative

softwareDeveloping a process for allocation of funds

from an increased technology access feeCreating Local Support Provider positionsDeveloping a partnership with the Library

Critical Success Factors for a CIOCritical Success Factors for a CIO Ability to generate a

shared IT vision Ability to secure IT

resources Understanding of higher

education & its issues Being a good listener Ability to plan and

implement on time Ability to sustain a viable

governance structure Respect for colleagues

Ability to facilitate institutional change

Being trustworthy Ability to build & retain a

talented staff Maintaining a breadth of

technical understanding Balancing leadership &

management Having institutional

commitment Knowing yourself

Some Final ObservationsSome Final Observations If you are an academic, maintain the faculty

appointment & departmental involvement Continuously learn all you can about leadership &

management Never stop reading books & articles that are

meaningful to you Be active in “the profession” Do not allow yourself to get too involved in the day-to-

day or the “techie” stuff Get away for a true vacation at least annually Know when it is time to leave

N. Dean Meyer, N. Dean Meyer, RoadMap, RoadMap, 22ndnd edition, 1998, edition, 1998, p.129p.129

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

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