DRAFT-NAU Implementation Plan for the ABOR Requirement to Submit an Annual IT Unmet Needs List

DRAFT

NAU Implementation Plan for theABOR Requirement to Submit an Annual IT Unmet Needs List

  1. Background

On July 25, 2003, the Arizona Board of Regents’ ARU/IT Committee approved a new requirement for the three state universities to annually submit a list of IT unmet needs (see Annex A). The Regents desire a way to view the healthof the IT infrastructure for each campus, much like it reviews university Capital Development Plans for building renewal. A list of IT unmet needs would help the Regents understand the impact of information technology on each university’s budget by identifying projects that remain unfunded due to resource constraints. This annual requirement for an IT unmet needs list would complement the ABOR Information Technology Implementation Plan (ITIP) which requires a request to the Board for all IT projects above $250K and the annual reporting of approved IT projects above $100K.

  1. Groups Affected by This New Requirement
  1. All academic and administrative departments
  2. Provost’s Academic Computing Advisory Committee (PACAC) and the Steering Committee for Administrative Computing (SCAC)
  3. President’s Cabinet
  1. Plan for creating the IT Unmet Needs List

Generally, any new IT project above $100,000(should this limit be less?)must have a written justification document prepared by a project sponsor. This project request is reviewed and recommended for approval by an appropriate on-campus committee; reviewedand recommended for approval by the President’s Cabinet; and approved by the President. Rules for the submission of projects are established in the NAU Implementation Plan for the ABOR ITIP approved on November 5, 2002. NAU will use the same formats for all IT projects based on the ABOR ITIP implementation plan as follows:

  1. IT Projects over $250K
  2. For IT projects over $250K, the ABOR approved documents and instructions contained in Annex B will be used by project sponsors to format their project justifications.
  3. These projects will go through a review by the proper NAU IT related oversight committee (academic projects to the PACAC; admin projects to the SCAC), who will send it on to the President’s Cabinet for further review and Presidential approval before forwarding to ABOR for final approval. If the project is disapproved for lack of funds, it will go onto the IT unmet needs list.
  1. IT Projects below $250K
  2. For projects below $250K, the ABOR approved documents contained in Annex C will be used by project sponsors to format their project justifications.
  3. These projects will go through a review by the proper NAU IT related oversight committee (academic projects to PACAC; admin projects to SCAC), who will send it on to the President’s Cabinet for further review and Presidential approval. If the project is disapproved for lack of funds, it will go onto the IT unmet needs list.
  1. Timeline of IT Project Submissions

In order to meet the required dates for ABOR and fit into the NAU budget cycle, the following general timeline will be followed:

Process Steps / Annual Timeline
IT projects for the next FY are submitted by various campus elements through appropriate on-campus organizations to the PACAC for academic IT projects and SCAC for admin IT projects. These committees will review and, if recommended for approval, will forward them on to the President’s Cabinet(or the Strategic Planning Council (SPC)?). / Fall & Winter
IT projects are reviewed and prioritized by the President’s Cabinet(or SPC and forwarded to President’s Cabinet for review?). / Spring
The President authorizes funding for all or a subset of the IT projects. Funded projects are submitted to ABOR using ITIP process if over $250K. / Late Spring or
Early Summer
Unfunded projects will be put onto the IT unmet needs list, which will be submitted to Regents when requested. / Summer or Fall
  1. List Creation

NAU’s CITO will collect the unfunded projects and create the IT unmet needs list before the requested date by the Regents. The list will be reviewed by the Cabinet and approved by the President. The actual submission date has not been set but will be sometime each summer after the beginning of the fiscal year.

Annex A: ABOR’s Requirement for an Annual IT Unmet Needs List

Estimating University IT Unmet Needs

In response to requests from the Arizona Board of Regents, the university CIO council has developed a strategy to more accurately estimate the unmet need for Information Technology (IT) infrastructure, resources, and services. These efforts involve several components:

Developing common definitions of scope and planning parameters for identifying unmet IT need

Acquiring information from the distributed IT services throughout the university

Integration with the strategic planning and project prioritization processes within each university

  • Partnering activities with other universities and entities.

Due to the distributed nature of IT resources and support, this effort will require input from colleges and business units throughout each institution in addition to the central IT service units. To insure success, these efforts will need support from ABOR and upper administration at each institution.

Also, unless new sources of funding are identified, addressing unmet IT needs will require significant reallocation of current fiscal resources. Identifying and applying these resources will involve prioritizing these efforts with other pressing issues (i.e., faculty salaries, building maintenance, student financial aid, etc.). The second section of this document outlines a proposed process for integration into the university strategic planning and fiscal management processes.

TARGETS FOR ANALYSIS:

  1. Infrastructure and “foundation” level IT resources
  2. Requested IT projects not funded
  3. Emergency needs to achieve reliable “status quo”
  4. Changes/new projects required (i.e., security, disaster recovery, demand/service growth)

SCOPE:

University level summary data including colleges/departments/units, campuses, and cooperative projects

Combined university system data

  1. Steps for Identifying Infrastructure and Foundation Level IT Resources (see Appendix A for categories [not in priority order, rather in performance sequence]):

Agree on common, consistent strategy for identifying and organizing costs:

  • definitions of terms
  • accounting or crosswalk of existing object codes
  • replacement methodologies

Identify current investments in hardware (cost and age), software costs, personnel and operational expense

  • central IT unit
  • distributed (college/unit, other campus, etc.)

Identify current recommendations for replacement based on university architecture standards and determine ongoing capital replacement and operational costs.

Identify potential cooperative/collaborative efforts within and among the universities for extending life, adding service capacity, and/or reducing costs (i.e., licensing, shared telecom contracts, grid computing resources, GigaPOP, etc.).

Determine 5-7 year budget projection for unmet need

  • for infrastructure
  • for maintenance of current service levels
  • for growth/new services

Determine alternative methods (bonding, lease, etc.) to explore to obtain needed funding without competing with university priorities such as salaries and student financial aid.

Determine alternative methods to obtain reliable ongoing annual base funding (such as capital / building maintenance, use fees, or other models).

  1. Steps for Identifying Requested IT Projects Not Funded

Agree on strategy for organizing costs

  • Department/campus, institution and tri-university levels

Compile and organize lists of previously submitted project requests not funded at the department/campus, institution and tri-university levels.

  1. Emergency Needs to Achieve Reliable “Status Quo” (see Appendix B - protocol adopted by IT Working Group)
  1. Steps for Identifying Changes / New Projects Required

CIO council can annually identify a list of projects that have potential changes, and/or new projects that are candidates for feasibility studies (see Appendix C).

Integration of the Unmet Needs Process with Strategic Planning and Project Prioritization Processes

  1. Assumptions:
  2. The ABOR ITIP process will be used for submission of all IT projects over $100K.
  3. An existing (or new) on-campus process will be used for submission of IT projects < $100K.
  4. IT expenditures for items other than new projects can also be included. For example, costs for hardware replacement cycles may be considered as an unmet need if they become unfunded at their normal interval.
  5. Tri-university collaborative projects funded by ABOR TRIF or other funds will not go through this process but will be coordinated through the ABOR ARU/IT Committee.
  6. Definitions:
  7. For brevity’s sake, the term “IT project” will be used for any expenditure for new IT projects, changes to existing infrastructure, or replacement of an existing functionality that has significant impact on IT (e.g., new HR or student admin. systems).
  8. Process Overview:

*Define project and identify potential impact on the network, other university and tri-university IT projects and services.

*Identify potential partnerships/opportunities for collaboration within institutions and/or among universities.

*Identify costs for hardware, software, personnel and operational expense (including security, back-up and disaster recovery, privacy, etc.).

*Identify current recommendations for replacement based on university architecture standards and determine ongoing capital replacement and operational costs.

*Determine funding sources (new funds request, reallocation, cooperative ventures, etc.).

*Submit Project Approval for projects as appropriate (<$100,000, $100,000 - $250,000, $250, 000 - $500,000, <$500,000).

Process Steps / Annual Timeline
IT projects for the next FY are submitted by various campus elements through appropriate on-campus procedures to campus budget approval body. / Fall & Winter
[starting in 2003-04]
IT projects are reviewed and prioritized by campus budget approval body. / Spring
Budget approval body authorizes funding for a subset of the IT projects list. Funded projects are submitted to ABOR using ITIP process if over $100K or are funded locally if under $100K. / Late Spring or
Early Summer
Unfunded projects become the unmet needs list and is submitted to Regents. / Summer or Fall

Appendix A to Annex A

Organizational categories for Infrastructure and Foundational Resources

Network – (cabling, switches, routers, servers, and other hardware and software, etc.)

Telephone

Network (wired and wireless)

Back-up and Storage

Capital refresh

Servers

Desktop computers

Peripherals

Classroom media

Software licensing

Larger systems/servers (business services, research, instruction, web, legacy, security, disaster recovery, load management, etc.)

Desktop (OS, personal productivity, firewalls/security, anti-virus, etc.)

Operations

Network (operations, security, disaster recovery, load management, etc.)

Staff

Operational expense

Business, web, and instruction

Staff

Operational expense

Research and development

Keeping current, evaluating new alternatives, guiding growth, etc.

Growth/new capabilities

Appendix B to Annex A

Emergency needs to achieve reliable “status quo”

Protocol for Emergency Information Technology Project Approvals

The majority of Information Technology projects can be brought to the Board for approval in advance annually for the upcoming year. In cases that are unforeseen, IT project approvals can be brought to any regularly scheduled Board meeting for approval.

In emergencies, when it is not feasible to obtain Board approval in advance, the university president can authorize the action, notify the central office of the action and submit a Project Justification Summary Sheet for Board ratification at the next regularly scheduled Board meeting.

Protocol for Projects that Exceed the Project Approval Budget

For Information Technology projects over $500,000 that are anticipated to exceed the Board approved budget by 25% or $1 million dollars, whichever is less, the projects must go back to the Board for approval.

Definition of Emergencies:

An emergency is defined as a situation involving public health, public safety, or cases where immediate expenditure is necessary for repairs to state property to protect against further loss or damage, to prevent or minimize serious disruption in state services or to ensure the integrity of state records. Emergency conditions may result from fires, explosions, adverse weather conditions, or epidemic conditions. They may also result from untimely breakdown, damage, or loss of equipment vital to the maintenance of health or safety standards. In such situations, the university president may authorize the project.

Appendix C to Annex A

Organizational Categories for Changes/New Projects

Personnel (reallocated and new)

Hardware

Software (purchase/license)

Communications (impact on network and communication infrastructure capacity, traffic, cabling, switches, routers, servers, and other hardware and software, etc.)

Facilities (hardware and personnel for network, labs, classrooms, etc.)

Licensing and maintenance fees

Security, back-up, storage

Other costs

Ongoing operational expense for maintenance/support

Capital refresh

Projected growth/new capabilities

Annex B: University IT Project Justification Summary Sheet Instructions (over $250,000)

Applicable for all NAU related Information Technology projects with total hardware, software, personnel, licensing, maintenance and operational costs greater than $250,000 over the life of the project, or five years, whichever is shortest.

Project Overview

One page, high level summary of the business processes, applications, hardware, software and infrastructure being modified or implemented and the business goals and objectives to be achieved. Include:

Proposed changes and objectives of the project – the “to be”

Existing situation and problem – the “as is”

The importance of addressing this “gap”

Relationship to goals and objectives from the strategic plan and IT architecture

Proposed technologies

Sources of funding

Deliverables

Describe the business and technical objectives and the solution. Also cover the deliverables, that is, the tangible outcomes of modifying the process, which are expected to benefit the organization and affect customer service, performance, productivity, product quality and technology with references to strategic plan.

Service and Economic Benefits

Identify the savings and economic benefits, gained by implementing the project. The economic benefits might be attributable to improvements in customer service, performance, productivity and product quality, because these factors can produce either a monetary saving on resources and services, or an increase in revenues. Note the cost avoidance activities and events in this section.

Project Roles and Responsibilities

Define the roles and responsibilities of university colleges or units involved in the effort, and project team members, including management, direct reports and customers.

Project Management Timeline

Give a high-level schedule of activities and events identifying the project structure, network, and milestones over each year of the proposed project.

Summary of Proposed Costs
Identify all development and operating costs for the project (hardware, software, personnel, consultants, licenses, etc.) over 5 years or until completion whichever is shortest. Take into account business and technical cost savings, service and outreach, and return on investment.

Opportunities for Collaboration

Identify projects with similar intent or function within your institution or among the Arizona Universities.
Annex B (cont.)

University IT Project Justification SUMMARY SHEET

Institution / Project Sponsor Name and Phone
NAU
College or Unit /
Date Submitted

Project

Project Overview (1 page max)

Including:

Proposed changes and objectives of the project – the “to be”

Existing situation and problem – the “as is”

The importance of addressing this “gap”

Relationship to goals and objectives from the strategic plan and IT architecture

Proposed technologies

Sources of funding

Deliverables

Service and Economic Benefits

Project Roles and Responsibilities

Project Management Timeline

Opportunities for Collaboration

Summary of Proposed Costs
(All Funds)

Five Year Total ($000)
Description / FY__ / FY__ / FY__ / FY__ / FY__ / Total
Implementation Cost
Operating Cost
Total Cost

Recommendation

Annex B (cont.)

Implementation Costs and Marginal Operating Costs in Thousands

Costs in thousands ($000)
Development /
Operating
Description / FY____ / FY____ / FY____ / FY____ / FY____ / Total
Personnel
Number of IT FTE
Number of User FTE
Personnel Cost
IT FTE Salary
Cost (Include ERE)
User FTE Salary
Cost (Include ERE)
IT Services Cost
(Professional and
Outside Consultants )
Hardware Cost
Software Cost
Communications Cost
Facilities Cost
Licensing and
Maintenance Fees
Other Costs
TOTAL
Notes:

Annex B (cont.)

Evaluation Criteria

Does the project address and minimize the “gap” in service that has been identified?

Does the project support goals and objectives from the strategic plan?

Has the project been comprehensively planned to insure the project will deliver full functionality without additional implementation or infrastructure cost?

Are the existing architecture, technology resources and infrastructure compatible with the proposed project?

Have all architecture, infrastructure, communication, privacy and security concerns been studied and addressed in the plan?

Is key hardware/software available and will maintenance and support be available and affordable over the projected life of the project?

Are the personnel and support resources needed to implement and maintain the project available now and in the future?

If key services will be replaced, has the impact on users and other units been addressed? Will these users and other units have a role in development, participate in the project and agree to the changes that result?

Have all current and future costs related to the project been included in the Project Approval Summary?

Has the project explored collaboration with similar projects within and among the three Arizona Universities?

Annex C: University IT Project Justification Summary Sheet Instructions (less than $250K)

Applicable for all university related Information Technology projects with total hardware, software, personnel, licensing, maintenance and operational costs less than $250K over the life of the project, or five years, whichever is shortest.

Project Overview

One half page, high level summary of the business processes, applications, hardware, software and infrastructure being modified or implemented and the business goals and objectives to be achieved. Include: