Memorandum

To: John Simpson

From: Larry Merkley

Re: IT strategic directions

Date: March 15, 2001

This report is in response to your request that campus IT interests be included in the long-term planning process. The Information Technology Committee (ITC) has been working through aspects of a strategic planning process, most recently involving a full-day retreat to develop a response to this request.

The proposed strategic commitments in this report are intended as placeholders in the planning process. ITC is still in the early stages of developing a plan, and while the broad directions now seem clear, there is much to be done to provide more detailed support and clarity about these ideas. Assuming these proposed directions are approved; ITC will focus on them individually, providing detailed recommendations during the next year.

The campus has made significant investments in information technology in recent years, notably toward initiatives that among others include the workstation replacement program, and an ongoing commitment to maintain high quality, relevant student computer labs. As well, divisions have invested significant resources in information technology to support their own specific needs.

Even so, and without the supporting analysis needed to document the point, it is clear to members of ITC that the campus will need to target significant funding and effort if we are determined to successfully compete as a quality research institution, given the significant growth and complexity expected in the next several years. Preliminary analysis of campus readiness relative to what might be called “baseline” service levels suggests several areas that could not support the next few years of planned growth.

Some principles that guided the development of the proposed directions in this report include:

1. Any proposed initiative or direction must support campus goals, as provided by the planning process. IT plays a support and enabling role to ensure the campus uses technology effectively to serve the instructional and research needs of the academic community.

2. IT planning must include provision for people-related requirements, as well as business process and technology needs. Technology acquisitions and enhancements must include explicit focus on support, training, and leadership needs. Awareness of IT’s “backend complexity” suggests a need to provide for “end-user ease of use”. This principle cannot be overstated; as the temptation to quickly implement new technologies can too easily overlook the obvious reality that technology exists to support people and the work they do, and requires people to make it useful.

3. Proposals should not depend on predicted technologies. Given the rate of technological change, IT planning needs to develop structures, principles, policies, and funding models that allow early response to innovation. The Millennium Committee’s reference to “administrative nimbleness” is definitely an IT objective. The implication is that there cannot be a permanent or static strategic plan for information technology. What is needed is a campus planning process that is attuned to existing and pending changes, is well aware of campus needs and capabilities, is poised to assess opportunities and risks, and can adapt quickly.

4. As part of its support role, IT planning and governance processes inform the campus planning process about potential impacts of technology change, and propose adjustments to campus goals and directions that seem appropriate as responses to these changes. At times, technology suggests improved ways of doing business, sometimes even new goals and strategic directions. Where appropriate, IT planning processes need to provide leadership in focusing campus attention on these opportunities as they arise.

5. In the first phase of IT planning, it is necessary to address what might be called “baseline requirements.” While sometimes difficult to define and quantify, “baseline” in this context essentially refers to an agreed level of service that competently and cost-effectively meets campus needs. By first identifying baseline, it becomes possible to consider gaps that exist with current or expected levels of service, and then to determine how to reduce those gaps. Once baseline requirements are satisfied, one can consider investments in more innovative initiatives that build on a solid infrastructure.

6. All of the proposed initiatives identified in this report are vital to supporting the stated goals. The interdependencies between these proposals are complex, and are not easily untangled to suggest which, if any, should be addressed first. ITC members believe that campus plans need to include all of these initiatives at the outset, knowing that it will require several years to fund and complete them all.

Just a few of the external factors and potential drivers of IT development, and that inform IT planning include:

1. As part of their decision process, students increasingly select an institution based on how competitive technologies are used and made available to students.

2. Workplace demands for technology workers place increasing pressure on an organization’s ability to recruit and retain qualified professionals.

3. Alternative modes of instructional delivery from competing institutions using technology compete for certain market segments.

4. The University of California’s “New Business Architecture” proposal establishes an infrastructure expectation that exceeds the campus capacity to deliver.

5. Web presence is an increasingly critical success factor in many aspects of marketing and development efforts for universities.

6. The rate of technology change continues to exceed an unprepared organization’s ability to stay current and focused.

7. Research requirements for bandwidth, storage, and computing capacity continue to push campus limits.

A few factors unique to UCSC that influence the proposed IT directions include:

1. The new campus planning process offers a structure and a goal-driven process, with an opportunity to address long-standing IT concerns.

2. UCSC seems well below a baseline level for its IT services in many areas. Some of this appears related to recent reductions in CATS service capacity in response to earlier deficit concerns. One clear effect is a weakened IT infrastructure to support campus growth.

With that as context, here is the set of proposed strategic commitments for UCSC, respectfully requested to be included as critical elements in the planning process:

1. Instructional support

Faculty members need to have ready access to technical support services to help with their teaching preparation and delivery. Today’s somewhat disconnected and scattered campus support services need to be coordinated, with a plan to ease the frustration and workload that is now an unnecessary, yet routine part of a faculty member’s life.

Faculty members report that campus support seems disconnected, that they don’t know who to call with questions. There also appears to be some duplication of services, which adds to their confusion. Even though each of the service providers by themselves provides capable and responsive service, including strong divisional support, we need to consider how to better coordinate and focus these services.

Course management software and support is developing rapidly as one way that many faculty members can enhance access to students, and enrich their content delivery. And, the preparation of narratives needs continued support to make it easier for faculty members to create and submit these evaluations to the Registrar.

Instructional space, including classrooms and labs, needs technology and related support to be configured in a consistent, reliable and predictable manner. A plan is needed to evolve flexible and innovate approaches to space design that take advantage of technologies now available. For example, wireless laptops and hand-held devices (PDA’s) create an opportunity for certain courses to use a flexible classroom configuration, rather than a typical fixed workstation setup.

2. Research support

Large data sets, digital media, complex applications software, and the need to remain competitive with grant applications require a commitment to high quality connectivity resources for all faculty. Some have suggested that the Office of Sponsored Projects provides technology-based services that could be strengthened in support of faculty members seeking funding sources, and in easing their workload with grant administration.

Researchers need easy and reliable remote access to campus services, including email. This need is addressed in part by a stronger IT infrastructure, addressed later.

An increased commitment is needed to acquire and coordinate the technical staff to assist researchers in the design and management of increasingly complex applications and interfaces.

3. Web presence

The campus interface to the world through its web presence needs increased support to improve the consistency, currency, accuracy and general quality of this service. The University of California’s New Business Architecture (NBA) proposal if implemented in any degree, with its strong emphasis on portals, will require a significant commitment of resources spread over several years to implement.

It is hard to imagine remaining competitive in today’s market for students, faculty, donors and staff without a robust, accurate, engaging web presence. As just one example we understand that approximately 50% of all graduate students now apply to UCSC through a web site, as part of a trend that may eventually include almost all applicants.

At present, the Public Information Office is responsible to support the main campus web site. However, they have limited and shrinking funds to maintain, let alone to enhance this service, and to provide very much more than a working access point to campus services. If we decide to support a move to portals, we would require a major infusion of support probably to a central office, including new kinds of positions, such as professional writers.

There exist several hundred active campus-based web sites, with varying levels of accuracy, timeliness and consistency. These reside on a diverse set of servers, and we simply don’t know what security and maintenance concerns might exist with most of these. We are aware of at least a few mission critical applications with sensitive data that reside in insecure locations, without reliable backup and without secure remote storage practices.

The campus approach to web presence needs to connect with a general campus communications plan, with respect to format, content and delivery. Policies and coordinating mechanisms are needed for this to work effectively.

ITC has started a web presence review starting with an inventory and assessment of existing services, with a more comprehensive review of future directions that will build on this information.

4. Connectivity/network development

The campus needs to implement a version of a proposed cable and wiring upgrade plan to bring buildings to an acceptable level. With this, we need to commit to regular, ongoing network upgrades. The network-funding model in place today keeps the existing network infrastructure maintained. What it does not do is create a solid foundation to sustain growth. Once implemented, the upgrade plan promises to ensure the campus can stay competitive and flexible in providing all campus users with the band width needed for whatever technologies emerge in the next several years.

Wireless applications have started to appear in response to local needs. For example, a small wireless hub exists in faculty housing, there is interest in a Library-supported wireless lab, some researchers set up temporary wireless connections for visiting colleagues, and a few units use wireless for internal use.

Although we can’t expect wireless to replace the need for high-speed fiber access, there will be steady growth in the demand for wireless applications. The campus needs to be ready with security measures, business models to facilitate user needs, and support for prospective adopters. At some point, the funding model for network connectivity may need review to deal with wireless installations.

Finally, telephone communications will eventually be just another part of the campus network. We will need to consider how and when this transition will occur, as part of a campus connectivity plan.

5. Campus business processes and infrastructure

The establishment of a strong technical infrastructure is essential to providing competent support for any IT initiative. An IT Infrastructure encompasses several critical elements not presently in place, that include but are not limited to an adequate directory of all persons associated with mission critical campus systems, secure and consistent user authentication to ensure only authorized users can access campus services, and of course email (or “point to point” communication).

Infrastructure commitments are inextricably linked to all other initiatives. For example, the development of portals requires an accurate and timely directory to allow web users to find people in the organization. A directory is also essential where it may be important to provide authentication of users from one access point. A directory enables data warehouse users to readily track campus activity of all types for any one user or category of users. A directory can even support aspects of diversity, as minority or special interest users identify other people with shared interests. It even helps with a need as basic, and as yet unmet, as centrally supported email class lists, to provide easy access by faculty members to students.

As the campus increases its use of campus calendaring, document management, and workflow processes as an expected way to do business, we will need better coordination and deployment of campus resources to provide high quality and consistent service levels. These trends really address a broader need related to technology-enabled campus communication strategies. Communication planning considers the long promised “paperless” office, on-line reporting tools, on-line training, on-line query access, and document routing. An example of an initiative in this area would be a project that would focus on finding ways to reduce paper routing between offices, and to improve delivery time of information.

We need to review our email service in the context of future communication requirements. Coordination is needed to consider a number of important policy and resource allocation questions, such as the inconsistent levels of service now offered across the campus, and how to adopt a common naming convention (i.e. user@ucsc.edu.)

As the UC system develops its New Business Architecture plans, the campus needs to be ready to participate. Changes may be required to our human resources and PPS systems that flow from these plans, and that will directly impact our core systems including our need to commit resources to bring them in line.

Future business system changes will involve the development of a “just in time/just for me” approach, supported by the portal concept. This will move the campus increasingly toward a self-service model.

All campus administrative systems will be affected by growth, particularly as they attempt to provide support for an expanding user base. Also, the campus needs to develop policy and funding solutions for these systems to be regularly upgraded, and for servers to be replaced in an orderly, scheduled manner. At present, we have no central business systems that are funded to provide routine upgrades to software and hardware.

6. Academic Information System (AIS)

The proposed AIS system is technically only one aspect of addressing campus business processes and infrastructure. However, this particular application will significantly impact campus systems development and deserves separate attention as a strategic issue. This system will cost more to implement than any application to date. More importantly, this system establishes a pattern for campus systems practices that include issues such as governance, funding, system ownership, accountability, and service level agreements. Implementation of AIS will require us to be very clear and thoughtful as we work through each of these critical success factors. Even campus culture will be affected in positive ways as we establish practices and policies that can act as guidelines for all other systems projects.

The AIS system provides the opportunity for the campus to engage students and prospective students in ways not possible today, and will enable the campus to stay competitive in using technology as a tool in its recruiting and retention efforts.

7. Quality of work/life

The adoption of technology in the organization offers the potential to affect peoples’ work in positive and in adverse ways. Productivity and morale can be enhanced, and can also be significantly reduced by the technology choices made and how they are implemented.

In the next several years, the campus will experience workload increases that flow from growth and complexity that can be aided by thoughtful systems planning, and by a commitment to address inefficient applications and processes as a response to the requirements of growth.

Just one example of a system needing attention is the time and attendance system. Each of the service centers has had to develop its own, independent system to capture hourly time data from employees. This data is entered into the service center’s locally developed system, a report is printed, and the results are then entered into PPS. This duplication of effort and potential for error is apparent to anyone directly involved. People feel frustrated, and wish “someone” would do something. A solution to this problem would improve productivity and morale, and would contribute to people feeling supported in their work.

ITC proposes to provide an analysis of the resource commitments, and value added for each of these suggested strategic directions. Task groups will be formed comprised of appropriate campus representatives, who will receive direction from ITC and will report their results to ITC. These will then be coordinated with other appropriate campus planning committees, and ultimately reported to PAC.

This set of tasks is really the first major phase of an IT strategic planning process. At some point as we progress toward their completion, we will consider whether to launch a major, separate, all-encompassing review of campus needs, resulting in a comprehensive strategic planning document.

For now, and using this approach, ITC is confident that the demands of the planning process can be competently satisfied through its task forces and engagement with the various planning committees. The analytical, organizational and resource challenges involved with simply bringing the campus to whatever level baseline is determined to be are sufficiently daunting that they need to be the central focus for now.

For information, ITC’s planning process raised a few questions or issues not necessarily limited to IT, but that were of interest to several members. They are submitted here for possible discussion at some level. These include:

1. The campus goals include a commitment to “increase graduate and undergraduate enrollment”. The Millennium Committee Report refers to an “uncommon commitment to undergraduate education”.

Should the campus goals include some explicit reference to what the campus hopes to achieve with an uncommon commitment to undergraduate education relative to its commitment to increasing graduate student enrollment? If so, might there need to be some way for these two potential competing goals for campus resources to be clearly linked in the planning process in ways that support each other?

2. It will be a major challenge to the campus to bring the overall level of IT support to baseline. Even so, if significant progress is made in the next few years to that end, it will be important to consider how IT can enhance the institution’s competitive position and reputation in creative ways.

At what point does the campus want to engage a process to identify, consider and possibly develop some of these strategic opportunities? Here are just a few possible examples that one might consider for the future:

a. Although controversial, distance learning offers both a competitive threat and an opportunity for a small but growing segment of institutions. At some point, the campus may want to consider how, if at all, it wants to compete in this market.

b. There is a growing interest, particularly in large, private universities to expect all students to have access to a standard set of technology tools and services. Sometimes this involves providing hardware and software when students are admitted. As technologies evolve, and as wireless becomes more secure and cost-effective, some aspects of this trend may be of interest to the campus.