ORANGE COUNTY COMMUNITY COLLEGE SUNY Orange: IT Governance Information Technology Master Plan Author: IT Governance Creation Date: April 28, 2005 Last Updated: May 1, 2006 Document Ref: SUNYOrange-ITMasterPlan-v1.0 Version: DRAFT 1A Approvals: IT Governance Date: Executive Committee Date: College Assembly Date: Cabinet Date: Board of Trustees Date: Copy Number _____ Page 1 of 81 SUNY Orange Document Control Change Record Date Author Version Change Reference 2-Feb-06 James M. Dutcher Draft 1a No Previous Document Name Position ITS Dept Librarian & QA AA AVPs Cabinet Reviewers Distribution Copy No. Name Location 1 Library Master Project Library 2 Project Manager 3 4 Note To Holders: If you receive an electronic copy of this document and print it out, please write your name on the equivalent of the cover page, for document control purposes. If you receive a hard copy of this document, please write your name on the front cover, for document control purposes. SUNY Orange Page 2 of 81 Executive Summary his document is used to describe the IT Master of SUNY Orange for the following TAcademic/Fiscal Years: 1. 2006-2007 2. 2007-2008 3. 2008-2009 The SUNY Orange IT Master Plan represents a three-year view of the college�s high level Information Technology (IT) goals and objectives. It will be updated annually to reflect both the emerging requirements of the SUNY Orange Community and status of projects in progress. This will ensure that the IT goals and objectives identified stay closely aligned with the college�s vision, mission and values and supports the Academic, Enrollment, Development, Facilities and CAPE Master Plans, as well as to address Middle States requirements. It is important to note that this document will list IT related projects currently underway for justification/prioritization. All IT goals, objectives and projects documented and contained herein will be relevant to the themes outlined in the Orange County Community College - STRATEGIC PLAN (2005), as follows: � Improve students� persistence and academic success so that their experiences at the College will be richly rewarding; � Provide opportunity for all citizens by expanding the variety of programs and services through improved geographic accessibility; a � Increase the effectiveness of all College operations in order to fulfill our promise to use public resources more efficiently. SUNY Orange Page 3 of 81 Technology Vision for SUNY Orange The Information Technology of SUNY Orange is leading edge and supports teaching and learning environments everywhere/anytime with what is termed as �eLearning[1]�, which has the following attributes: � Supports �quality teaching and learning communities; � Learning �skills, knowledge, attitudes for success; � Environments �enabling effective learning accessible to all; � Everywhere �students learn in local and global environments; � Anytime �in a person's day, career, and life. The Information Technology at SUNY Orange supports the day to day needs of organizational constituents in terms of: . De-centralized access: To provide access and support to information, anytime/anywhere, to all college students, faculty and staff for their day-to-day needs and decision making processes. . Centralized Administration: To effectively and efficiently provide and support information management solutions for any and all organizational functions. All organizational applications meet the operational, managerial, and strategic information needs of the person, unit, department and institution. All IT hardware, software and services are safe, accessible, and reliable/continuous.. . Future Growth: To be flexible and adaptable, being able to integrate all organizational systems and applications in order to meet future IT & information access demands. [1] eLearning: also known as Distributed Learning (DL), which encompasses learning across the entire time/place spectrum IT Master Plan GOALS 1. Enhance and continually upgrade the technological environment in support of the organizational mission, divisions, units and departments. 2. IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology) [2]. 3. Optimized information access that is safe and secure, available anytime, anywhere. 4. Future Growth: To be flexible and adaptable, being able to integrate both academic technology and applications with non-academic (administrative) technology and applications in order to meet future information access demands. 5. Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. 6. IT Funding Maximization [2] CMM (Capability Maturity Matrix) is described in more detail in section 1-b-2: Current IT Environment of this document. COBIT information is defined in more detail in Appendix D of this document SUNY Orange Page 4 of 81 IT Master Plan � Foundational to the Organization As illustrated below the IT Master Plan is foundational to all that SUNY Orange will be doing into the future. The chart illustrates how other plans developed influenced the creation of the SUNY Orange IT Master Plan. SUNY Orange Page 5 of 81 Audience This document is written for the SUNY Orange community. Please note that any reference to �IT� or �Information Technology� is generally defined as that information technology that is used throughout SUNY Orange. �ITS� or �Information Technology Services� refers to the ITS Dept. of SUNY Orange. Your Comments are Welcome The SUNY Orange CC College ITS Dept and IT Governance Committee values and appreciates your comments as a user and reader of this document. As we write, revise, and evaluate this document, your comments are the most valuable input we receive. If you would like to contact us regarding comments and suggestions on future releases of this document, then please use the following address, email or telephone numbers: SUNY Orange James M. Dutcher � AVP of Technology ITS Dept. � BSH 115 South St. Middletown, NY 10940 Phone: 845-341-4651 Email: jdutcher@sunyorange.edu SUNY Orange Page 6 of 81 Contents Document Control................................................................................................................... 2 Executive Summary 3 Technology Vision for SUNY Orange........................................................................... 4 IT Master Plan GOALS ................................................................................................... 4 IT Master Plan � Foundational to the Organization.................................................... 5 Audience ........................................................................................................................... 6 Your Comments are Welcome ...................................................................................... 6 1 � Introduction ....................................................................................................................... 9 1-a: IT Master Plan Methodology ................................................................................ 10 1-b: Current Situation.................................................................................................... 13 1-c: IT Master Planning � Acknowledgements.......................................................... 16 1-d: SUNY Orange Strategic Plan - Vision ................................................................ 19 1-e: Plan Duration.......................................................................................................... 19 2 � Drivers & Restraints....................................................................................................... 20 2-b: Technology Issues & Trends ............................................................................... 20 3 - SUNY Orange � IT Master Plan � Supporting Detail ................................................ 25 3-a: Future ITS Dept Functional Structure................................................................. 25 3-b: Future IT Environment .......................................................................................... 28 3-c: IT Master Plan GOALS & Objectives.................................................................. 30 3-d: Bridging the Gap - Summary of Gaps � Current Projects ............................... 34 3-g: IT Master Plan Vs. Existing IT Projects (Annual Work Plans) ........................ 35 4 - IT Master Plan Goals Alignment - Summaries ........................................................... 55 4-a: IT Master Plan Vs. IT Projects............................................................................. 55 4-b: IT Master Plan Vs. SUNY Orange Strategic Plan............................................. 56 4-c: IT Master Plan Vs. Academic Master Plan (AMP) ............................................ 56 4-d: IT Master Plan Vs. Middle-States........................................................................ 57 4-e: IT Master Plan Vs. Facilities Master Plan .......................................................... 58 4-f: IT Master Plan Vs. Resource Development Plan .............................................. 59 4-g: IT Master Plan Vs. Enrollment Management/Retention Plan ......................... 59 4-h: IT Master Plan Vs. CAPE Master Plan............................................................... 59 5 � Communications Plan ................................................................................................... 60 5-a: Communication Plan ............................................................................................. 60 5-b: Current Year (20XX/20YY) Plan Goals � Progress Report - TBD ................. 61 5-c: Prior Year (20XX/20YY) Plan Goals � Report................................................... 61 SUNY Orange Page 7 of 81 Appendix A � External Documents References............................................................... 62 1. SUNY Orange Strategic Plan � Goals Table ........................................................ 62 2. Academic Master Plan (AMP) � Goals Table ....................................................... 63 3. Middle-States Report � Standards Table .............................................................. 64 4. Facilities Master Plan - Goals Table ...................................................................... 68 5. Resource Development Plan - Goals Table.......................................................... 69 6. Enrollment Management/Retention Plan � Goals Table..................................... 70 7. CAPE Master Plan � Goals Table .......................................................................... 71 Appendix B � Other Attachments and Supporting Documents...................................... 72 Appendix C � Acronyms, Terms and Definitions ............................................................. 73 Appendix D � COBIT: Control Objectives for Information and related Technology.... 74 Open and Closed Issues for this Document..................................................................... 81 Open Issues ................................................................................................................... 81 Closed Issues................................................................................................................. 81 SUNY Orange Page 8 of 81 1 � Introduction As per the SUNY Orange Strategic Plan (that was developed by � and adopted by the college in January 5, 2005) stated that the IT Master Plan effort: �� needs to include a technology planning process to identify existing needs in equipment, networks, and software capacity. The campus lacks a comprehensive technology plan that includes communications, equipment needs, network capacity, and a life-cycle budget to provide ongoing training, maintenance and upgrades. This plan should contain both administrative and educational technology applications, including automation of the student admissions and registration processes and on-line support for student advising. The technology plan needs to define a broader application of technology in the education program. This means that consideration should be given to including faculty members in the planning and development of any campus-wide approach to encourage the use of technology in the teaching and learning process.� This IT Master Plan was developed to address the above. SUNY Orange Page 9 of 81 1-a: IT Master Plan Methodology 1-a-1: The Need For Planning Situation (A) For proper planning purposes it is a basic fact that in order to know where you want to go, that you must first know where you are currently are. Being able to (fully) describe the current situation will enable the organization to prioritize goals, objectives and projects so as to improve the current situation and moving the organization forward towards its stated goals/objectives Vision (B) Goals and (measurable) objectives identified that are fully aligned with the SUNY Orange Strategic Plan, The Academic Master Plan, Middle States Report as well as all other formalized master plans of SUNY Orange Strategy (C) Work plans that move the organization from (A) to (B) in the most efficient and cost effective manner possible. The strategies are formalized within this document as Annual Work Plans SUNY Orange Page 10 of 81 Drivers & Restraints (D) Identified internal and external forces that will either aid in moving the organization towards the stated goals/objectives or hinder the efforts thereof. Key Goal Indicators � Key Performance Indicators (E) Every stated goal will contain at least one measurable objective quantified as a key goal indicator (key performance indicator � KPI). Each KPI will indicate overall success of goal/objective at any given point in time. For proper evaluation, there will be at least two measures taken of KPIs over the course of assessment/evaluation for goals/objective (done at least at the beginning and end of a project). The KPIs will indicate if project/proposals either moved the organization closer to or farther away from its stated goal(s)/objective(s) 1-a-2: Management Philosophy As a carry over, KPIs will help define the work the organization will do. What is defined can then be controlled and stabilized. What is controlled and stabilized can then be measured. What is measured can subsequently be improved. Assessment of KPIs is the critical success factor for proper management of all IT assets. SUNY Orange Page 11 of 81 1-a-3: From IT Master Plan to IT Road Map This document will serve to document the SUNY Orange IT Master Plan which includes stated goals and objectives. A companion document, known as the SUNY Orange IT Roadmap which is a follow-on document will articulate IT needs (resources, hardware, software, equipment, personnel, funding etc.) detailed to the department level and put in a format that is compliant to the SUNY Orange PBIE proposal structure. The Roadmap will be an extension activity to the BPA (Business Process Analysis) work that will be performed as part of the Banner project. This Roadmap/BPA work will begin in Jan. 2006 and will be concluded by the summer of 2006. SUNY Orange Page 12 of 81 1-a-4: IT Master Plan & PBIE The SUNY Orange PBIE methodology is an organizational wide process for planning, budgeting and measuring institutional effectiveness (hence PBIE). The IT Master Plan will adhere to this methodology when developing its annual work plans that support the goals and (measurable) objectives that are contained within it. 1-b: Current Situation 1-b-1: ITS Dept Organization Structure Prior to 2004, there existed multiple IT related support entities with minimal hierarchical organization. Currently, all ITS dept. personnel have been centralized and report directly into the AVP of Technology for SUNY Orange. SUNY Orange Page 13 of 81 1-b-2: Current IT Environment The maturity level of the current IT environment is represented when compared to the following model. The IT Maturity model is used to gauge the how effective/efficient the current IT service environment is. The current maturity assessment is that organizationally (overall) SUNY Orange is at Level 1. IT equipment is also not at current levels. Infrastructure that is being serviced dates back to late 1990s (including end user and networking equipment). There is also no formal IT turnover plan in place so as to maintain technical currency. The determination of the being at Level is primarily due to the fact that there are no established KPIs (Key Performance Indicators) so to define control measure and improve all IT at the college 1-b-3: Current (overall) College Environment Summary From the SUNY Orange Strategic Plan� � Funding from the state is flat to declining and will probably not improve markedly � An institutional history that lacks consistent planning � Cumbersome management information system that limits planning capacity SUNY Orange Page 14 of 81 � Middletown facilities, including the technology base, are aging and need to be reviewed and updated � Inconsistent availability and utilization of educational technology � Low rates of student retention � A growing county population, with increasing racial and ethnic diversity � Employers in Orange County tend to be small businesses, with diverse needs that are hard to define and meet NOTE: Points in red prior are IT specific 1-b-4: Current IT Environment Summary Starting in FY 2004-2005 the college initiated a number of steps to address the challenges of the current IT environment of the college. These were as follows: I. Funding IT - increased the student technology fee and normalized as compared to peer institutions. This allows for additional funding/income that will be used to fund various technology initiatives. II. Administrative/ERP/information systems � The college approved moving forward with and appropriated funding for migrating the college onto Banner. Inclusive of this will be the implementation of document imaging, data warehousing and portal/web infrastructures that will address Middle States, the college�s strategic plan and ancillary master plans. III. Strategic planning for IT � in FY 2004-2005 the college instituted an IT Governance Board and as per this document, initiated the development of the IT Master Plan for SUNY Orange. IV. E-learning/distributed teaching and learning � the college continued and expanded its on-line offerings utilizing the Blackboard CMS (Course Management System). The college also hired a Coordinator of Instructional Technology to expand on this area for the college. V. Governance, organization, and leadership for IT � As per point III above, the college also instituted and hired an Associate Vice President of Technology for the college. Under the purview of the AVP of Technology, the following has occurred: o ITS Dept Re-Organization � starting with the hire of an IT Director, so as to better manage day to day operations, staff and service the college in a more proper fashion. o Banner Project � Two ITS Dept. personnel were appointed to help manage the project. o New Help Desk Infrastructure � a Helpdesk management software package was purchased and implemented. New processes and procedures were also implemented to improve IT service to the college community. o Customer Survey � a feedback mechanism was implemented that is used to assess both the ITS Dept�s as well the ITS management�s level of service. o New Web Site � To aid in and improved communications of technology happenings at the college. o College IT Inventory � provided a starting point for implementing a formal IT turnover plan in place so as to maintain technical currency. o IT Survey � completed by both student and employees that served to assess competencies and expectations and used as vital input to the IT Master Plan. o ITS Dept. Direction VMV � Vision Mission Values established as follows: SUNY Orange Page 15 of 81 Vision: SUNY Orange Information & Technology Services is the innovative resource that continuously enhances campus life using information and computing. We are dedicated to ensuring the integrity of data, improving the delivery of instruction, and fostering a bright technological future for SUNY Orange County Community College. Mission: Our mission is to supply the technology and information services needed to fulfill the requirements of the SUNY Orange Community, now and in the future. We are dedicated to helping the SUNY Orange Community use these services to fully meet their professional and academic needs. These services include but are not limited to: - Providing, maintaining, and supporting hardware and software - Maintaining and providing access to mission critical data within a secure environment - Providing documentation, education and training for the SUNY Orange community Values: In order to achieve our goals, the ITS team shares a common set of values: - Integrity - Strong ethical commitment to perform professionally and responsibility - Compassion for all members of the SUNY Orange Community 1-c: IT Master Planning � Acknowledgements In the development of the IT Master Plan, it is only proper to note the following individuals and groups who have provided vital and critical input, without which, this plan would not be complete. Their assistance is greatly appreciated. 1-c-1: ITS Dept. The ITS department of SUNY Orange is comprised of highly competent and technically savvy individuals who are dedicated in servicing the college in all of ITS technology needs. SUNY Orange Page 16 of 81 1-c-2: IT Master Plan Committee/ IT Governance Committee The IT Governance Committee of SUNY Orange is comprised of constituents that represent the college�s prime IT experts, whose mission is to advance the technology and use of technology for all of SUNY Orange. NameMichael Roe TitleChair & Student DepartmentStudent Admissions Contact Info mroe@sunyorange.edu Development Rep James M. Dutcher Ex-Officio AVP Tech jdutcher@sunyorange.edu Andy Conrad Ex-Officio Coord. Of Instr. Tech aconrad@sunyorange.edu Angela Elia IT Professional ITS Dept aelia@sunyorange.edu Staff Rep Gabe Kramer CSEA Rep ITS Dept gkramer@sunyorange.edu Dr. Walter Jahn Faculty Rep Business, Math, wjahn@sunyorange.edu Science & Technology Roseanne Witkowski Faculty Rep Applied Technology rwitkows@sunyorange.edu Christine Work Ex-Officio Assessment cwork@sunyorange.edu Wendy Holmes Ex-Officio HR wholmes@sunyorange.edu Roz Smith Administrative Finance Rep rosmith@sunyorange.edu Services Rep Neil Foley Academic Academic Services nfoley@sunyorange.edu Services Rep Susan Parry LRC Rep Academic Affairs � sparry@sunyorange.edu LRC Stacey Smith CSEA Rep Admissions sjsmith@sunyorange.edu Rob Larkin CAPE Rep DD Coord rlarkin@sunyorange.edu Janet Stonick Math/Computer Math jstonick@sunyorange.edu Science Rep SUNY Orange Page 17 of 81 1-c-3: SUNY Orange Cabinet The Cabinet of SUNY Orange represents the top echelon of leadership of the college. Their dedication to the institution is well known. Their support of technology, the ITS Dept, and the IT Master Plan is very well received. NameDr. William Richards Title/DepartmentPresident � SUNY Orange Contact Info president@sunyorange.edu Dr. Catherine Chew VP Academic Affairs cchew@sunyorange.edu J. Daniel Bloomer VP Administration dbloomer@sunyorange.edu Vincent Cazzetta VP Institutional Advancement vcazzetta@sunyorange.edu Paul Broadie � II VP Student Development pbroadie@sunyorange.edu Dr. Melody Festa AVP - Business, Math, mfesta@sunyorange.edu Science & Technology Dr. Richard Heppner AVP � Liberal Arts rheppner@sunyorange.edu Dr. Susan Deer AVP � Health Professions sdeer@sunyorange.edu Dr. Mindy Ross AVP � NEC/CAPE mross@sunyorange.edu Dr. Diane Bliss Associate Professor & dbliss@sunyorange.edu Executive Committee Chair Roz Smith Comptroller rosmith@sunyorange.edu Larry Ferrier Dir. of Institutional Research lferrier@sunyorange.edu Wendy Holmes Dir. of HR wholmes@sunyorange.edu Mike Worden Dir of Facilities mworden@sunyorange.edu Maryann Raab Admin Asst. to the President mraab@sunyorange.edu Jim Dutcher AVP of Technology jdutcher@sunyorange.edu 1-c-4: SUNY Orange Board Of Trustees The ultimate source of support for both technological advancement and IT Master Plan is expressed from the SUNY Orange Board of Trustees. Because of their support, all planning efforts of the college will advance the organization. Arthur Anthonisen Brutus Hodge Herbert Gareiss Stephen Hunter Roberta Glinton, Chair Donald Mirro Kathleen Golden Joan Wolfe SUNY Orange Page 18 of 81 1-d: SUNY Orange Strategic Plan - Vision FROM THE SUNY Orange Strategic Plan Executive Summary: �In the next ten years, the Orange County Community College system will be recognized not only for the high quality of its programs, but for providing a wide range of educational opportunities to students from varying economic and academic backgrounds. County citizens will serve on advisory boards that provide meaningful advice on operational and policy issues. They will work with college departments and offices to develop new curricula, improve student job placement and internships and, in some cases, provide teachers for specialized courses. The community advisors will also serve as proponents of the college in political and community settings. Orange County Community College will have a revitalized campus in Middletown and a new, fully-functioning campus in Newburgh that serves as an educational and cultural hub for that part of the county. Both campuses will be a center for cultural activity and an anchor for new development. Each campus will provide facilities for commercial concerts and theater presentations, be available for community workshops and meetings, provide space for community and student art shows, and have athletic facilities that can be used to provide summer and weekend programs for the community. Orange County Community College will be identified as a model for innovative programs and efficient operation at national and state community college conferences. It will be a leader in improving education among smaller community colleges, and the best college in the SUNY system.� 1-e: Plan Duration The IT Master of SUNY Orange for the following Academic/Fiscal Years: 1. 2006-2007 2. 2007-2008 3. 2008-2009 SUNY Orange Page 19 of 81 2 � Drivers & Restraints 2-b: Technology Issues & Trends In order to properly ascertain and establish proper organizational IT goals/objectives, trends and surveys are important reference information that are used to determine IT related drivers and constraints (from Section 1a � The Need For Planning prior; part �D� of the illustration prior of this document). Trends and surveys must look inward, as per a Higher Education business vertical (as is illustrated by the SUNY Orange IT Survey and Educause/ECAR Surveys) as well as outward (as with the Gartner, Info-Tech and Standish Group results) in order to gain a more holistic and realistic aspect of IT issues and trends. All of this relevant information will aid in the proper alignment of the stated IT goals/objectives. An important aspect of strategic IT Master Planning is an understanding of the technology issues and trends that may impact the college. Issues and trends were identified in the following with the relevant survey/trend sources identified as follows: � SUNY Orange 2004 IT Survey � EDUCAUSE/ECAR Surveys � Gartner EXP�s 2005 Survey � Info-Tech Research Group SUNY Orange 2004 IT Survey In the 2004 Fall semester, a survey of both students and SUNY Orange employees was conducted (the full results of which can be found on-line at http://www.sunyorange.edu/its/assessment/index.shtml ). The purpose of the survey was to get an understanding of technology capabilities, wants and needs of the two primary ITS Dept customer constituents (students and employees) in order to ascertain the future technology needs of the college and the direction for which the ITS dept should focus. For purposes of this document it is important to call out the following survey information in terms of technology used and competencies thereof. Students � Approximately 91% have a home computer with Internet access. � Of the 91% with home computers, approximately 65% use a laptop (well above the ECAR averages as listed below). � Approximately 65% have high speed Internet access from home. Employees � Approximately 86% of SUNY Orange employees own a computer with Internet access. � Approximately 49% of SUNY Orange employees have home high speed Internet access. � A majority of employees (approximately 62%) feel that the college does NOT provide adequate IT support for students. Both � Employees of SUNY Orange are nearly on par or slightly ahead of students in base technology skills (word processing, spread sheets, presentation, and database). � Students and SUNY Orange Employees are nearly the same in technology competencies with the exceptions of IM (instant messaging) and multimedia skills (audio, video, music, 3D Graphics, QuickTime, iPod) where students have more marked proficiency compared to SUNY Orange faculty and staff. SUNY Orange Page 20 of 81 EDUCAUSE/ECAR Educause � Top IT Issues in Higher Education - 2005 The Educause Top IT Issues in Higher Education (References: http://www.educause.edu/ir/library/pdf/erm0530.pdf; http://www.educause.edu/2005CurrentIssuesResources/6323) which issued surveys to 1653 higher education institutions with a response rate: 36% (603). Understanding these issues and trends provides a base of knowledge from which more effective strategic & tactical technology planning will occur. These benchmarks were used to measure technology goals/objectives at SUNY Orange. The following summarizes (in descending order of importance) the top IT issues in 2005 as per the Educause survey (for which is titled: Critical for Institution�s Strategic Success in subsequent Educause reports): 1. Funding IT 2. Security and identity management 3. Administrative/ERP/information systems 4. Infrastructure 5. Strategic planning for IT 6. Faculty development, support, and training 7. E-learning/distributed teaching and learning 8. Governance, organization, and leadership for IT 9. Enterprise-level portals 10. Web systems and services ECAR ECAR is the Educause Center for Applied Research. A recent national survey conducted by ECAR somewhat corroborates the SUNY Orange 2004 IT Survey in terms of student technology ownership and competencies. As per the ECAR study �Students and Information Technology, 2005: Convenience, Connection, Control, and Learning� (by Judith Borreson Caruso and Robert B. Kvavik; October 2005; ECAR �Educause Center for Applied Research; http://www.educause.edu/ecar), the majority college (undergraduate) students today own at least one computer AND cell phone as per the following table: (Page 3; �Students and Information Technology, 2005: Convenience, Connection, Control, and Learning� (by Judith Borreson Caruso and Robert B. Kvavik; October 2005; ECAR �Educause Center for Applied Research; http://ww.educause.edu/ecar) As per the 2004 SUNY Orange IT Assessment Survey Results, 91% of the students at SUNY Orange have use of a home/personal computer. SUNY Orange Page 21 of 81 Two other highlights of this ECAR study were student�s expectations/preferences of use of IT in courses as well as their self-evaluated & respective IT competencies. Tables for both from the study are as follows: (Page 3; �Students and Information Technology, 2005: Convenience, Connection, Control, and Learning� (by Judith Borreson Caruso and Robert B. Kvavik; October 2005; ECAR �Educause Center for Applied Research; http://ww.educause.edu/ecar) (Page 4; �Students and Information Technology, 2005: Convenience, Connection, Control, and Learning� (by Judith Borreson Caruso and Robert B. Kvavik; October 2005; ECAR �Educause Center for Applied Research; http://ww.educause.edu/ecar) Perhaps the most enlightening information from the survey/study was what specific IT that students use both recreationally and academically. Table as follows: SUNY Orange Page 22 of 81 (Page 4; �Students and Information Technology, 2005: Convenience, Connection, Control, and Learning� (by Judith Borreson Caruso and Robert B. Kvavik; October 2005; ECAR �Educause Center for Applied Research; http://ww.educause.edu/ecar) The entire study is directly applicable to the development of the SUNY Orange IT Master Plan. The analysis and conclusions identify six areas which ECAR recommends Higher Education organizations focus on: � Integration of IT into the curriculum � Definition of IT skills (students and employees) � IT Training for students and faculty � Common learning environments and consistent instructional approaches � Accessible and effective IT service and support � Monitoring and benchmarking � measuring both student and faculty IT competencies, their thoughts on the use of IT in courses, and how IT is actually used. Colleges and universities (over time) will want to assess the financial effect of eLearning as well as the impacts on faculty, institutional and learner productivity. Gartner EXP�s 2005 Survey Gartner EXP's 2005 survey of its 1,500+ member CIO (Chief Information Officer) community indeed confirms that the top management priorities are all within the domain of IT Governance. As business models and IT become virtually inseparable, managing their integration and coevolution involves putting the right people in the right place to understand and take direct responsibility for making sure the organization meets its strategic goals, and that all efforts � including IT � are directed toward that end. SUNY Orange Page 23 of 81 Info-Tech Research Group � 2005 IT Priorities � 2005 Info-Tech Research Group In January 2005, communities comprised of nearly 20,000 enterprises were queried to participate in a survey to create the Info-Tech Research Group 2005 annual IT Priorities report. The survey results presented in this report represent the opinions of over 1,400 IT decision makers in the mid-sized market worldwide, making it the largest and most thorough study of its kind in the industry. The analysis contained both in the report and in subsequent reports in the series will help to identify and address critical issues facing IT decision makers in mid-sized enterprises. SUNY Orange Page 24 of 81 SUNY Orange Page 25 of 81 3 - SUNY Orange � IT Master Plan � Supporting Detail 3-a: Future ITS Dept Functional Structure As per the above chart and in relation to ALL technology of the organization, the SUNY Orange ITS Dept will: � Deliver consistent results on a regular basis. � Project Management practices will be followed by all department staff. o Practice proper Change Management in support of all IT applications/services in relation to customer requests. o Practice proper Configuration Management in support of all IT applications/services. o Practice proper Release Management in support of all IT applications/services. � Defining roles and responsibilities in order to meet SLAs (service level agreements) with organizational constituents (where applicable). � Continually building/enhancing team and core skills and competencies. � Building trust, partnerships and working with all organizational departments. � Regularly: a. Define Processes � so that organizational processes and applications can be controlled. b. Control Processes � so that organizational processes and applications can be measured. c. Measure Processes � so that organizational processes and applications can be improved. d. Improve Processes � so that organizational processes and applications can meet future demands and requirements. � Advance the IT organization to the upper levels of the IT CMM � Capability Maturity Model. SUNY Orange Page 26 of 81 SUNY Orange Page 27 of 81 3-b: Future IT Environment The future IT environment will be one that: � is safe and secure � is accessible anytime/anywhere � is reliable and continuous SUNY Orange Page 28 of 81 SUNY Orange Page 29 of 81 3-c: IT Master Plan GOALS & Objectives 1. Enhance and continually upgrade the technological environment in support of the organizational mission, divisions, units and departments. Objectives: a. Develop a dynamic planning process for proper utilization of all organizational technology. b. To provide the IT infrastructure and support the development, deployment and monitoring as per the Distance Learning Plan of SUNY Orange [3]. [3] A 3-5 year plan as developed by SUNY Orange Instructional Technology constituents and in relation to the Instructional Technology Grid. This grid illustrates when certain technologies are utilized either inside a classroom (same place) vs. outside of the classroom (different place) AND if the technologies are to be used in real-time requiring a student to be present (same time) or if the student does not need to present and can use at his/her discretion (different time). c. Support the technology behind teaching and learning that is pedagogically driven. The support services would be broad for web enhanced, hybrid and fully on-line courses. It is envisioned that all SUNY Orange courses will have a web presence easily accessible by students. Develop support services that help faculty and others involved in the academic mission of the organization integrate information technology into instruction. d. Migration from analog A/V (audio visual) technologies to all digital A/V technologies. SUNY Orange Page 30 of 81 2. 3. IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology). Objectives: a. Information Technology related projects will be delivered on time, on budget with agreed upon results. b. Enable all college/university constituents (students and employees) to develop the skills to effectively apply Information Technology. c. It will be required that maximized Information Technology availability be the norm so as to meet service requirements and/or service level agreements (SLA). d. Information Technology data/information will be clearly defined, easily accessible, appropriately timed, consistent and integrated across all areas of the organization so as to enable all campus constituents to make timely, effective and efficient decisions. e. Establish metrics so as to define, control, measure and improve all Information Technology services via monitoring and benchmarking with surveys and assessments. f. Information Technology will provide for both the reduced manual/paper processes and the redundancy of information sources (for access from and input to administrative applications). g. Information Technology Documentation Library established for proper Information Technology management and change control. Optimized information access that is safe and secure, available anytime, anywhere. Objectives a. Will be from anyplace/anytime, decentralized, AND aid in the timely, efficient and effective decision making processes. b. Will be through a safe, secure, reliable and available common user interface, where the common user interface will be the single point of entry and where the single point of entry will guarantee both the quality of information accessed and the quality of data input into all organizational applications (academic & administrative) with optimal access, utilization for the most efficient/effective operations. i. Establish/implement Information Technology Security Plan ii. Establish/Implement Business Continuity Plan (BCP) iii. Establish/Implement Disaster Recovery Plan (DRP) iv. Establish/Implement Centralized Administration as per CMM & COBIT: To effectively and efficiently provide and support information technology management solutions for any and all organizational technology initiatives. All Information Technology will meet the SUNY Orange Page 31 of 81 4. 5. 6. operational, managerial, and strategic information needs of the unit, department and institution. Future Growth: To be flexible and adaptable, being able to integrate both academic technology and applications with non-academic (administrative) technology and applications in order to meet future information access demands. Objectives a. Fully integrated data center using common hardware and software. Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Objectives: a. Establish (internal) Working Partnerships: Academic Affairs b. Establish (internal) Working Partnerships: Student Development c. Establish (internal) Working Partnerships: Institutional Advancement d. Establish (internal) Working Partnerships: Administrative Depts. e. Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). f. Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. g. Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) h. Establish (external) Working Partnerships IBM/CDWG i. Establish (external) Working Partnerships SUNY (SICAS/ITEC) j. Establish (external) Working Partnerships ORMC k. Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) IT Funding Maximization Objectives: a. Right Sizing - Consolidate IT Budget Lines and/or move purchasing priorities to IT Governance/PBIE. b. Revenue Diversity so as to reduce the overall risk in budget dependencies via: i. Technology Fee yearly increments ii. Internal IT Budget Savings 1. Capital Budget 2. Operational Budget iii. Grant Writing (goal 5%-10% per year of allocated budget) iv. Fund Raising/Raffle v. Alternative Revenue Generation � Affinity Programs 1. Cell Phone 2. Internet Services SUNY Orange Page 32 of 81 NOTE: The goals previously identified will be referred to throughout the remainder of document by their numerical designation. SUNY Orange Page 33 of 81 3-d: Bridging the Gap - Summary of Gaps � Current Projects Gaps are defined as the differences between the sections articulated in �1-b: Current Situation� and the �3-a: IT Master Plan GOALS� with Current Projects underway to bridge the gaps, for each year of the 3 years stated that the IT Master Plan Covers. The Current Projects will be updated semi-annually with KPIs of the Current Projects reflected in Section �6 - Current Year (20XX/20YY) Plan Goals � Progress Report�; which is a mid-year progress report. The Current Projects will be updated annually with KPIs of the Current Projects reflected in Section �7 - Prior Year (20XX/20YY) Plan Goals � Report�; which is a year end progress report. A new Current Projects list is to be developed and incorporated into the IT Master Plan. Project Name Due Date Estimated Cost 1. Banner $2,600,000 a. Portal APBS (As per Banner Schedule) b. Finance APBS c. Financial Aid APBS d. HR APBS e. Student APBS i. Admissions APBS ii. Recs & Reg APBS iii. AR/Cash Rcv APBS f. Alumni APBS g. ODS/EDW APBS h. Data Conversion APBS 2. Document Imaging 10/2006 $120,000 3. Data Center HW 01/30/2006 $455,000 4. Data Center SW 01/30/2006 $120,000 5. Novell Upgrade 05/30/2006 $55,000 6. BB Migration $20,000 a. Phase I � R7 test 01/30/2006 b. Phase II � R7 Prod 05/30/2006 7. Network Upgrade Summer 2006 $1,500,000 a. Address Current Issues Summer 2006 b. Upgrade to 1Gb Summer 2006 c. Upgrade to 10 GB Summer 2007 Summer 2008 8. Wireless Summer 2006 $300,000 9. Telecomm RFP 01/20/2006 $0 10. NSF-ATE Student Helpdesk 12/20/06 $900,000 11. Macromedia Contribute Implementation TBD $6,000 12. PBIE TBD $8,000 13. ORMC Partnership 08/2006 $130,000 14. Cyber Security 12/2006 $260,000 15. LRC IC (with blab upgrade) 01/16/2006 $120,000 a. Equipment Grant 08/2006 16. AV/AS May/2006 $30,000 17. Student Email IDs 05/30/2006 $0 18. IT Gov � IT Policy Communication/Survey 05/31/2006 $0 19. MS Office Site License 01/16/2006 $10,000 20. NEC Lab Upgrades 01/16/2006 $90,000 21. New Equipment Distro. March/2006 $80,000 a. Tech Lifecycle Plan May /2009 $200,000 22. IT Master Plan 01/30/2006 $0 23. Chopper Raffle 04/08 2006 $300,000 24. IT Director Search 01/30/2006 $0 25. On-Line Payment TBD $2,500 26. Security Plan & BCP/DRP Fall 2008 $120,000 TOTAL 3 Year Expenditures $7,426,500 SUNY Orange Page 34 of 81 3-g: IT Master Plan Vs. Existing IT Projects (Annual Work Plans) The work of the SUNY Orange IT Governance Committee resulted in the development of the IT Master Plan for SUNY Orange which was developed to show how IT will be used to further the college vision, mission, values as well as to support the various ancillary master plans (Academic, Enrollment, Development, Facilities and CAPE) and to address Middles-States report points. In order for the IT Master Plan to be successful, the plan must be able to not only be aligned with the other SUNY Orange Master Plans and Middle-States Report, but also operational zed on an annual basis so as to be able to meet the goals stated herein. The tables that follow contain information that outline how the IT Master Plan goals of SUNY Orange will be better accomplished. This information will be directly entered in PBIE as required, needed and applicable. The tables contain the following basic information � Each individual stated goal of the IT Master Plan. � Key performance indicators (KPIs) identify completion characteristics or milestones of progress for the stated goal. � Strategies/Implementation steps that are associated with each goal identify implementation actions that will be taken spanning the duration of the IT Master Plan. � Project/Resources, Costs, Funding Sources and Dependencies are those items necessary/needed for completion of each implementation step that must take place or be present before implementation of the step can begin � Responsible Party (Customer, Owner, ITS Dept SPOC � Single Point of Contact) identifies the individual, department, etc., that has major responsibility for accomplishment of each step or goal. Typically it will be the responsibility of these individuals/groups to develop operating plans, procure budget requests through PBIE, etc., as well as to develop detailed project plans as required. Where multiple owners are listed, the first individual or group listed has primary responsibility for ensuring the implementation step/task. � FY columns show the implementation timeline. An �X� placed in any single FY column indicates completion of a task in that year. X�s in multiple FY columns indicate multi-year efforts. � Progress is to be documented and reported as implementation of the steps/tasks occurs (see section 5 of this document). Page 35 of 81 SUNY Orange Goal 1: Enhance and continually upgrade the technological environment in support of the organizational mission, divisions, units and departments. Key Performance Indicator(s): � Develop a dynamic planning process for proper utilization of all organizational technology. � To provide the IT infrastructure and support the development, deployment and monitoring as per the Distance Learning Plan of SUNY Orange � Support the technology behind teaching and learning that is pedagogically driven. The support services would be broad for web enhanced, hybrid and fully on-line courses. It is envisioned that all SUNY Orange courses will have a web presence easily accessible by students. Develop support services that help faculty and others involved in the academic mission of the organization integrate information technology into instruction. � Migration from analog A/V (audio visual) technologies to all digital A/V technologies. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 1.1 - Establish IT Lifecycle Plan (3 yr replacement cycle) Prj/Resources: Project 21 Costs: $200,000 Fund. Source: PBIE; ITS Dept Dependencies: Project 21 Customer: Cabinet Owner: ITS Dept SPOC: ITS Dept Mgt X X X 1.2 - Establish SUNY Orange DL/eLearning Plan Prj/Resources: Costs: TBD Fund. Source: Dependencies: Projects 1,3,4,5,6,7,22 Customer: Academic Affairs Owner: Coord. Of Instr. Tech SPOC: ITS Dept Mgt X X X 1.3 - Establish and standardize pedagogically driven technology solutions/designs, along with the requirement that all courses have a course web site. Prj/Resources: TBD Costs: TBD Fund. Source: PBIE Dependencies: Step 1.2 prior; Projects 5, 6, 8 Customer: Academic Affairs Owner: Coord. Of Instr. Tech SPOC: ITS Dept. Mgt X X 1.4 - Develop appropriate support services for technologically integrated instructions Prj/Resources: TBD Costs: TBD Fund. Source: PBIE Dependencies: Step 1.3 prior; Customer: Academic Affairs Owner: Coord. Of Instr. Tech SPOC: ITS Dept. Mgt X 1.5 - Migration from analog A/V (audio visual) Prj/Resources: TBD Costs: TBD Customer: IT Governance X X X Page 36 of 81 SUNY Orange Goal 1: Enhance and continually upgrade the technological environment in support of the organizational mission, divisions, units and departments. Key Performance Indicator(s): � Develop a dynamic planning process for proper utilization of all organizational technology. � To provide the IT infrastructure and support the development, deployment and monitoring as per the Distance Learning Plan of SUNY Orange � Support the technology behind teaching and learning that is pedagogically driven. The support services would be broad for web enhanced, hybrid and fully on-line courses. It is envisioned that all SUNY Orange courses will have a web presence easily accessible by students. Develop support services that help faculty and others involved in the academic mission of the organization integrate information technology into instruction. � Migration from analog A/V (audio visual) technologies to all digital A/V technologies. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 technologies to all digital A/V technologies. Fund. Source: TBD Dependencies: Step 1.1 Owner: ITS Dept SPOC: ITS Dept Mgt Page 37 of 81 SUNY Orange Goal 2: IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology) Key Performance Indicator(s): � Information Technology related projects will be delivered on time, on budget with agreed upon results. � Enable all college/university constituents (students and employees) to develop the skills to effectively apply Information Technology. � It will be required that maximized Information Technology availability be the norm so as to meet service requirements and/or service level agreements (SLA). � Information Technology data/information will be clearly defined, easily accessible, appropriately timed, consistent and integrated across all areas of the organization so as to enable all campus constituents to make timely, effective and efficient decisions. � Establish metrics so as to Define Control Measure and improve all Information Technology services via monitoring and benchmarking with surveys and assessments. � Information Technology will provide for both the reduced manual/paper processes and the redundancy of information sources (for access from and input to administrative applications). � Information Technology Documentation Library established for proper Information Technology Management and change control. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 2.1 � Establish Project Management Office infrastructure so as to best manage/track all IT projects, resources, budget and schedules, etc. Prj/Resources: Project 21.a Costs: $10,000 Fund. Source: IT Budget Dependencies: Project 12 Customer: ITS Dept Owner: ITS Dept SPOC: ITS Dept Mgt X X 2.2 IT Training 2.2.1 � Establish IT Skills Inventory of SUNY Orange Employees Prj/Resources: HR Costs: $1,160,000 (total): steps 2.2.1; 2.2.2, 2.2.3 Fund. Source: Existing Training Budgets Dependencies: HR; Projects 6, 10, 11, 14, 19 Customer: ITS Dept/HR Owner: ITS Dept Mgt SPOC: ITS Dept Mgt X 2.2.2 � Establish SUNY Orange IT Training Program (classroom and CBT) Prj/Resources: HR Costs: As per prior Step Fund. Source: TBD Dependencies: HR; Projects 6, 10, 11, 14, 19 Customer: HR Owner: Dir. of HR Tech SPOC: ITS Dept � Assigned Personnel X 2.2.3 � Establish Student IT Training CBTs tutorials Prj/Resources: HR Customer: Students X X Page 38 of 81 SUNY Orange Goal 2: IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology) Key Performance Indicator(s): � Information Technology related projects will be delivered on time, on budget with agreed upon results. � Enable all college/university constituents (students and employees) to develop the skills to effectively apply Information Technology. � It will be required that maximized Information Technology availability be the norm so as to meet service requirements and/or service level agreements (SLA). � Information Technology data/information will be clearly defined, easily accessible, appropriately timed, consistent and integrated across all areas of the organization so as to enable all campus constituents to make timely, effective and efficient decisions. � Establish metrics so as to Define Control Measure and improve all Information Technology services via monitoring and benchmarking with surveys and assessments. � Information Technology will provide for both the reduced manual/paper processes and the redundancy of information sources (for access from and input to administrative applications). � Information Technology Documentation Library established for proper Information Technology Management and change control. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Costs: As per prior step Fund. Source: Grants; HR; ITS Dept Budgets Dependencies: PBIE approval Owner: VPs AA & Students SPOC: : ITS Dept � Assigned Personnel 2.3 � Data for Decision Making 2.3.1 � Establish Data Definition Document Prj/Resources: Project 1 Costs: As per Banner Budget Fund. Source: Banner Project Fund Dependencies: N/A Customer: Banner Prj Committee Owner: Dir of IR SPOC: Dir of IR X 2.3.2 � Complete Divisional, departmental BPA & IT Roadmap Prj/Resources: Project 1 Costs: As per Banner Budget Fund. Source: IT Budget Dependencies: N/A Customer: IT Gov Committee Owner: ITS Dept SPOC: : ITS Dept � Assigned Personnel X 2.3.3 � Establish SUNY Orange Data warehouse & reporting infrastructure. Prj/Resources: 21.a Costs: $365,000 Fund. Source: IT Budget Customer: ITS Dept Owner: ITS Dept SPOC: : ITS Dept � X X Page 39 of 81 SUNY Orange Goal 2: IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology) Key Performance Indicator(s): � Information Technology related projects will be delivered on time, on budget with agreed upon results. � Enable all college/university constituents (students and employees) to develop the skills to effectively apply Information Technology. � It will be required that maximized Information Technology availability be the norm so as to meet service requirements and/or service level agreements (SLA). � Information Technology data/information will be clearly defined, easily accessible, appropriately timed, consistent and integrated across all areas of the organization so as to enable all campus constituents to make timely, effective and efficient decisions. � Establish metrics so as to Define Control Measure and improve all Information Technology services via monitoring and benchmarking with surveys and assessments. � Information Technology will provide for both the reduced manual/paper processes and the redundancy of information sources (for access from and input to administrative applications). � Information Technology Documentation Library established for proper Information Technology Management and change control. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Dependencies: Project 1, 3,4; Step 2.3.1 Assigned Personnel 2.4 - Define, control, measure and improve ITS Dept 2.4.1 � Baseline (internal) Helpdesk stats so as to define metrics and create survey & assessment tools Prj/Resources: ITS Helpdesk System; Web/DB Developer Costs: $10,000 Fund. Source: ITS Dept Budget Dependencies: Projects10, 22, 24 Customer: IT Gov. Committee Owner: ITS Dept. Mgt SPOC: ITS Dept. Mgt X 2.4.2 � Baseline (external) Helpdesk stats so as to define metrics and create survey & assessment tools Prj/Resources: ITS Helpdesk System; Web/DB Developer Costs: $10,000 Fund. Source: ITS Dept Budget Dependencies: Project 10 Customer: IT Gov. Committee Owner: ITS Dept. Mgt SPOC: ITS Dept. Mgt X 2.4.3 � Baseline Customer Service metrics and continue to collect and assess. Prj/Resources: ITS Helpdesk System; Web/DB Developer Customer: IT Gov. Committee X Page 40 of 81 SUNY Orange Goal 2: IT will be managed and measured as per the latest best practices, methodologies, processes and procedures. These include CMM (Capability Maturity Matrix) and COBIT (Control Objectives for Information and related Technology) Key Performance Indicator(s): � Information Technology related projects will be delivered on time, on budget with agreed upon results. � Enable all college/university constituents (students and employees) to develop the skills to effectively apply Information Technology. � It will be required that maximized Information Technology availability be the norm so as to meet service requirements and/or service level agreements (SLA). � Information Technology data/information will be clearly defined, easily accessible, appropriately timed, consistent and integrated across all areas of the organization so as to enable all campus constituents to make timely, effective and efficient decisions. � Establish metrics so as to Define Control Measure and improve all Information Technology services via monitoring and benchmarking with surveys and assessments. � Information Technology will provide for both the reduced manual/paper processes and the redundancy of information sources (for access from and input to administrative applications). � Information Technology Documentation Library established for proper Information Technology Management and change control. STRATEGIES � Implementation steps/tasks PROJECT/RESOURCES, COSTS, FUNDING SOURCES & DEPENDENCIES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Costs: $10,000 Fund. Source: ITS Dept Budget Dependencies: Project 10 Owner: ITS Dept. Mgt SPOC: ITS Dept. Mgt 2.5 � Electronic Workflow Establishment 2.5.1 � Complete BPA, Roadmaps and data warehousing initiatives Prj/Resources: Banner Project Team Costs: $365,000 (as prior) Fund. Source: Banner Budget Dependencies: Projects 1, 2 Customer: Cabinet Owner: ITS Dept SPOC: : ITS Dept � Assigned Personnel X 2.5.2 � ID & Automate inefficient processes as per work in prior step Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: 25 Customer: ITS Dept Owner: ITS Dept SPOC: : ITS Dept � Assigned Personnel X X 2.6 - IT Documentation Library established for proper IT Management and change control Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Projects 1, 24 Customer: IT Gov. Committee Owner: ITS Dept SPOC: : ITS Dept � Assigned Personnel X X Page 41 of 81 SUNY Orange NOTE: 2.5.2 PART OF IT BUDGET OPTIMATION/MAXIMIZATION Goal 3: Optimized information access that is safe and secure, available anytime, anywhere. Key Performance Indicator(s): � Will be from anyplace/anytime, decentralized, AND aid in the timely, efficient and effective decision making processes. � Will be through a safe, secure, reliable and available common user interface, where the common user interface will be the single point of entry and where the single point of entry will guarantee both the quality of information accessed and the quality of data input into all organizational applications (academic & administrative) with optimal access, utilization for the most efficient/effective operations. � Establish/implement Information Technology Security Plan � Establish/Implement Business Continuity Plan (BCP) � Establish/Implement Disaster Recovery Plan (DRP) � Establish/Implement Centralized Administration as per CMM & COBIT: To effectively and efficiently provide and support information technology management solutions for any and all organizational technology initiatives. All Information Technology will meet the operational, managerial, and strategic information needs of the unit, department and institution. STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 3.1 - Establish criteria to deliver anytime/anywhere information access. Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7, 16,26; Step 2.5.2 Customer: IT Gov Committee Owner: ITS Dept SPOC: ITS Dept � Assigned Personnel X 3.2 - Establish common user interface criteria Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7, 16,26; Step 2.5.2 Customer: IT Gov Committee Owner: ITS Dept SPOC: ITS Dept � Assigned Personnel X 3.3 - Establish/implement IT Security Plan Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Steps 3.1, 3.2 Customer: IT Gov Committee Owner: ITS Dept SPOC: ITS Dept � Assigned Personnel X 3.4 - Establish/implement BCP Prj/Resources: TBD Costs: TBD Fund. Source: TBD Customer: IT Gov Committee Owner: ITS Dept X X Page 42 of 81 SUNY Orange Goal 3: Optimized information access that is safe and secure, available anytime, anywhere. Key Performance Indicator(s): � Will be from anyplace/anytime, decentralized, AND aid in the timely, efficient and effective decision making processes. � Will be through a safe, secure, reliable and available common user interface, where the common user interface will be the single point of entry and where the single point of entry will guarantee both the quality of information accessed and the quality of data input into all organizational applications (academic & administrative) with optimal access, utilization for the most efficient/effective operations. � Establish/implement Information Technology Security Plan � Establish/Implement Business Continuity Plan (BCP) � Establish/Implement Disaster Recovery Plan (DRP) � Establish/Implement Centralized Administration as per CMM & COBIT: To effectively and efficiently provide and support information technology management solutions for any and all organizational technology initiatives. All Information Technology will meet the operational, managerial, and strategic information needs of the unit, department and institution. STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Dependencies: Steps 3.1, 3.2,3.3 SPOC: ITS Dept � Assigned Personnel 3.5 - Establish/implement DRP Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Steps 3.1, 3.2,3.3, 3.4 Customer: IT Gov Committee Owner: ITS Dept SPOC: ITS Dept � Assigned Personnel X X 3.6 - Establish/implement Centralized IT Administration as per CMM & COBIT Prj/Resources: TBD Costs: TBD Fund. Source: TBD Dependencies: Steps 3.1, 3.2 ,3.3, 3.4, 3.5; Project 10 Customer: IT Gov Committee Owner: ITS Dept SPOC: ITS Dept � Assigned Personnel X X X Page 43 of 81 SUNY Orange Goal 4: Future Growth: To be flexible and adaptable, being able to integrate both academic technology and applications with non-academic (administrative) technology and applications in order to meet future information access demands. Key Performance Indicator(s): � Fully integrated data center using common hardware and software. STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 4.1 - Define/Establish Academic data center HW/SW needs Prj/Resources: TBD Costs: $3,370,000 (total; steps 4.1,4.2,4.3) Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7,8, 10, 15, 20; Customer: VPs Academic Affairs Owner: AVPs Academic Affairs/Coord. Of Instr. Tech SPOC: ITS Dept � Assigned Personnel. X 4.2 � Define/Establish Administrative data center HW/SW needs Prj/Resources: TBD Costs$3,370,000 (total; steps 4.1,4.2,4.3) Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7, 8, 10; Customer: VP Administration Owner: ITS Dept Mgt SPOC: ITS Dept � Assigned Personnel X 4.3 � Define Data Center HW Architecture & Implementation Plan Prj/Resources: TBD Costs: $3,370,000 (total; steps 4.1,4.2,4.3) Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7, 8, 10, 15, 20; Customer: IT Gov Committee Owner: ITS Dept Mgt SPOC: ITS Dept � Assigned Personnel X X X 4.4 � Define Network Infrastructure Architecture & Implementation Plan Prj/Resources: TBD Costs: $1,500,000 Fund. Source: TBD Dependencies: Project 1,2,3,4,5,7, 8, 10, 17; Customer: IT Gov Committee Owner: ITS Dept Mgt SPOC: ITS Dept � Assigned Personnel X X X Page 44 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 5.1 - Establish (internal) Working Partnerships: Academic Affairs 5.1.1 - Establish (internal) Working Partnerships: Academic Affairs: Business, Math, Science & Technology Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Academic Affairs Owner: AVP of Business, Math, Science & Technology SPOC: ITS Dept � Assigned Personnel X 5.1.2 - Establish (internal) Working Partnerships: Academic Affairs: Health Professions Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Academic Affairs Owner: AVP Health Professions SPOC: ITS Dept � Assigned Personnel X 5.1.3 - Establish (internal) Working Partnerships: Academic Affairs: Liberal Arts Prj/Resources: N/A Costs: N/A Customer: VP Academic Affairs X Page 45 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Fund. Source: /N/A Owner: AVP Liberal Dependencies: TBD Arts SPOC: ITS Dept � Assigned Personnel 5.1.4 - Establish (internal) Working Partnerships: Academic Affairs: CAPE Prj/Resources: N/A Costs: N/A Fund. Source: N/A Dependencies: TBD Customer: VP Academic Affairs Owner: AVP CAPE SPOC: ITS Dept � Assigned Personnel X 5.1.5 - Establish (internal) Working Partnerships: Academic Affairs: LRC & Labs Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VPAA � Catherine Chew Owner: LRC Director SPOC: ITS Dept � Assigned Personnel X 5.2 - Establish (internal) Working Partnerships: Student Development Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Student Development Owner: VP Student Development SPOC ITS Dept � X Page 46 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Assigned Personnel 5.3 - Establish (internal) Working Partnerships: Institutional Advancement Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Institutional Advancement Owner: VP Institutional Advancement SPOC: ITS Dept � Assigned Personnel X 5.4 � Establish (internal) Working Partnerships: Administrative Departments 5.4.1 � Finance Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Administration Owner: Comptroller SPOC: ITS Dept � Assigned Personnel X 5.4.2 � Financial Aid Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Customer: VP Student Development Owner: Fin Aid. Mgr X Page 47 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Dependencies: TBD SPOC: ITS Dept � Assigned Personnel 5.4.3 � HR Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Administration Owner: Dir. of HR SPOC: ITS Dept � Assigned Personnel X 5.4.4 � Facilities Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Administration Owner: Dir of Facilities SPOC: ITS Dept � Assigned Personnel X 5.4.5 - Security Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Administration Owner: Dir of Security SPOC: ITS Dept � Assigned Personnel X 5.5 - Establish (internal) Working Partnerships: Student Clubs Prj/Resources: N/A Costs: N/A Customer: VP Student Development X Page 48 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Fund. Source: /N/A Dependencies: TBD Owner: Dir Of Student Life SPOC: ITS Dept Mgt 5.5 - Establish (External) Working Partnerships: OUPrj/ Resources: N/A Customer: VP X BOCES; Orange County; K-12 Costs: N/A Fund. Source: /N/A Dependencies: TBD Academic Affairs Owner: Academic AVP�s SPOC: ITS Dept Mgt 5.6 - Establish (External) Working Partnerships: Telecomm, Prj/Resources: N/A Customer: VP X RFP Vendor of Choice (2006 � TBD) Costs: N/A Fund. Source: /N/A Dependencies: TBD Administrator Owner: Dir. Of Facilities SPOC: ITS Dept Mgt 5.7 - Establish (External) Working Partnerships: IBM/CDWG Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: IT Gov. Committee Owner: Cabinet SPOC: ITS Dept. Mgt X 5.8 - Establish (External) Working Partnerships: SUNY (SICAS/ITEC) Page 49 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 5.8.1 - SICAS Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: Banner Project Team Owner: Cabinet SPOC: ITS Dept � Assigned Personnel X 5.8.2 - ITEC Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: Banner Prj. Committee Owner: ITS Dept � Assigned Personnel X 5.9 -Establish (External) Working Partnerships: ORMC Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: Project 12 Customer: Academic Affairs Owner: AVP Health Professions SPOC: ITS Dept � Assigned Personnel X 5.10 - Establish (External) Working Partnerships: OUR EPP Prj/Resources: N/A Costs: $260,000 Fund. Source: /N/A Dependencies: Project 14 Customer: Academic Affairs Owner: Inst. Adv � Grant Writer X Page 50 of 81 SUNY Orange Goal 5: Establish/foster internal and external partnerships and collaborations in order to advance the information technology of the organization as well as to advance the college as per the SUNY Orange Strategic Plan. Key Performance Indicator(s): � Establish (internal) Working Partnerships: Academic Affairs � Establish (internal) Working Partnerships: Student Development � Establish (internal) Working Partnerships: Institutional Advancement � Establish (internal) Working Partnerships: Administrative Depts. � Establish (internal) Working Partnerships: Student Clubs (Marketing, Accounting, Computer, etc.). � Establish (external) Working Partnerships: OU-BOCES; Orange County; K-12 Orgs. � Establish (external) Working Partnerships: Telecomm, RFP Vendor of Choice (2006 � TBD) � Establish (external) Working Partnerships IBM/CDWG � Establish (external) Working Partnerships SUNY (SICAS/ITEC) � Establish (external) Working Partnerships ORMC � Establish (external) Working Partnerships OUR � Orange, Ulster, Rockland � EPP (Emergency Preparedness Program) STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 SPOC:ITS Dept Mgt Page 51 of 81 SUNY Orange Goal 6: IT Funding Maximization Key Performance Indicator(s): � Right Sizing - Consolidate IT Budget Lines and/or move purchasing priorities to IT Governance/PBIE. � Revenue Diversity so as to reduce the overall risk in budget dependencies via: . Technology Fee yearly increments . Internal IT Budget Savings . Grant Writing (goal 5%-10% per year of allocated budget) . Fund Raising/Raffle . Alternative Revenue Generation � Affinity Programs - Cell Phone . Alternative Revenue Generation � Affinity Programs - Internet Services STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 6.1 � Right Sizing Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: Cabinet; IT Gov. Committee Owner: Comptroller SPOC: ITS Dept Mgt X 6.2 - Revenue Diversity 6.2.1 � Technology Fee yearly increments Prj/Resources: N/A Costs: $5/Semester/yr � FT; $0.5/Semester/yr - PT Fund. Source: Student Fee Dependencies: Continue BOT support Customer: Cabinet; IT Gov. Committee; BOT Owner: Comptroller SPOC: ITS Dept. Mgt X X X 6.2.2 � Internal Budget Savings (Capital & Operating Budget) � Target: 5% per annum Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: Project 9 Customer: Cabinet; IT Gov. Committee Owner: Comptroller SPOC: ITS Dept. Mgt X X X 6.2.3 � Grant Writing � To augment IT capital/operating budget expenditures � Target: 10% per annum Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Inst. Adv. Owner: Grant Writer SPOC: ITS Dept. Mgt X X X 6.2.4 � Fund Raising � Raffle � Target: $300,000 Prj/Resources: Student Clubs Costs: $300,000 (break even) Fund. Source: External Customer: VP Inst. Adv.; VP Student Dev Owner: (Student) X Page 52 of 81 SUNY Orange Goal 6: IT Funding Maximization Key Performance Indicator(s): � Right Sizing - Consolidate IT Budget Lines and/or move purchasing priorities to IT Governance/PBIE. � Revenue Diversity so as to reduce the overall risk in budget dependencies via: . Technology Fee yearly increments . Internal IT Budget Savings . Grant Writing (goal 5%-10% per year of allocated budget) . Fund Raising/Raffle . Alternative Revenue Generation � Affinity Programs - Cell Phone . Alternative Revenue Generation � Affinity Programs - Internet Services STRATEGIES � Implementation steps/tasks RESOURCES COSTS DEPENDENCIES & FUNDING SOURCES RESPONSIBLE PARTIES (Customer �Owner ITS Dept SPOC) FY 06 - 07 FY 07 - 08 FY 08 - 09 Vendors Dependencies: Ecommerce Engine ; Marketing Plan ; Project 23 Computer Club; Accounting/Marketing Club SPOC: ITS Dept Mgt 6.2.5 � Alternative Revenue Generation � Affinity Programs: 6.2.5.1 - Cell Phones Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Inst. Adv. Owner: Cabinet SPOC: ITS Dept. Mgt X X X 6.2.5.2 � Internet Services Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Inst. Adv. Owner: Cabinet SPOC: ITS Dept. Mgt X X 6.2.5.3 � Computer Sales/Services Prj/Resources: N/A Costs: N/A Fund. Source: /N/A Dependencies: TBD Customer: VP Inst. Adv.; IT Governance Owner: Cabinet SPOC: ITS Dept. Mgt X X Page 53 of 81 SUNY Orange Page 54 of 81 SUNY Orange 4 - IT Master Plan Goals Alignment - Summaries As illustrated in the Executive Summary section of this document, the IT Master Plan is foundational to all that SUNY Orange will be doing into the future. As such it is critical that the goals of the IT Master Plan as identified in the Executive Summary (and Section 3) of this document match and/or relate to other stated goals & objectives as contained in the intra-related strategic/master plans of the college. 4-a: IT Master Plan Vs. IT Projects IT Master Plan Goals -> 1. Enhance, unpgrade techenvironment2. CMM & COBIT3. Optimized informationaccess4. Future Growth5. Partnerships6. IT Funding Maximization Project ID #.Name 1. Banner 2. Doc Imaging 3. Data Center HW 4. Data Center SW 5. Novell Upgrade 6. BB Migration 7. Network Upgrade 8. Wireless 9. Telecomm RFP 10. NSF-ATE Student HD 11. Macromedia Contribute 12. PBIE 13. ORMC Partnership 14. Cybersecurity - EPP 15. LRC IC 16. AV/AS 17. Student Emails 18. IT Gov- Policy 19. MS Office Site License 20. NEC Lab Upgrades 21. New Equipment Distro 22. IT Master Plan 23. Chopper Raffle 24 IT Director Search 25. On-Line Payment 26. Security; BCP/DRP Page 55 of 81 SUNY Orange 4-b: IT Master Plan Vs. SUNY Orange Strategic Plan NOTE: Please refer to Appendix A. External Document References - 1. SUNY Orange Strategic Plan � Goals Table Strategic Plan Goals -> Strategic Plan Goal-I.aStrategic Plan Goal-I.bStrategic Plan Goal-I.cStrategic Plan Goal-II.aStrategic Plan Goal-II.bStrategic Plan Goal-II.cStrategic Plan Goal-II.dStrategic Plan Goal-III.aStrategic Plan Goal-III.bStrategic Plan Goal-IV.aStrategic Plan Goal-V.a IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization 4-c: IT Master Plan Vs. Academic Master Plan (AMP) NOTE: Please refer to Appendix A. External Document References - 2. SUNY Orange Academic Master Plan � Goals Table AMP Goals -> AMP Goal 1-a: AA & AS transfer degree programs. AMP Goal 1-b: AAS degree programsAMP Goal 1-c: Certificate programs for workplace skillsAMP Goal 1-d: Preparation programs that provideopportunity and access to the college experienceAMP Goal 1-e: This mission includes academic services and programs to enhance and promoteAMP Goal 2-a: Community NeedsAMP Goal 2-b: DiversityAMP Goal 2-c: Assessment and Planning ProcessAMP Goal 2-d: Faculty and TeachingAMP Goal 2-e: Technology - Create, sustain, andenhance a technological environment that isAMP Goal 2-f: Lifelong Learning & PersonalEnrichmentAMP Goal 3-a: TechnologyAMP Goal 3-b: Curriculum Change/ProgramDesignAMP Goal 3-c: Professional DevelopmentAMP Goal 3-d: Collaboration and PartnershipsAMP Goal 3-e: Student Support IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization Page 56 of 81 SUNY Orange 4-d: IT Master Plan Vs. Middle-States NOTE: Please refer to Appendix A. External Document References - 3. SUNY Orange Middle-States Report � Standards Table Part 1 Middle-States Stnds -> Middle-States Standard 1-aMiddle-States Standard 2-aMiddle-States Standard 3-aMiddle-States Standard 3-bMiddle-States Standard 3-cMiddle-States Standard 3-dMiddle-States Standard 3-eMiddle-States Standard 3-fMiddle-States Standard 3-gMiddle-States Standard 4-aMiddle-States Standard 4-bMiddle-States Standard 4-cMiddle-States Standard 4-dMiddle-States Standard 5-aMiddle-States Standard 5-b IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization Part 2 Middle-States Stnds -> Middle-States Standard 6-aMiddle-States Standard 6-bMiddle-States Standard 6-cMiddle-States Standard 7-aMiddle-States Standard 8-aMiddle-States Standard 9-aMiddle-States Standard 9-bMiddle-States Standard 9-cMiddle-States Standard 10-aMiddle-States Standard 10-bMiddle-States Standard 10-cMiddle-States Standard 10-d IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization Page 57 of 81 SUNY Orange Part 3 Middle-States Stnds -> Middle-States Standard 11-aMiddle-States Standard 11-bMiddle-States Standard 11-cMiddle-States Standard 11-dMiddle-States Standard 11-eMiddle-States Standard 12-aMiddle-States Standard 13-aMiddle-States Standard 14-aMiddle-States Standard 14-bMiddle-States Standard 14-cMiddle-States Standard 14-dMiddle-States Standard 14-e IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization 4-e: IT Master Plan Vs. Facilities Master Plan NOTE: Please refer to Appendix A. External Document References - 4. SUNY Orange Facilities Master Plan � Goals Table Facilities Master Plan Goals -> Facilities Goal 1-aFacilities Goal 2-aFacilities Goal 3-aFacilities Goal 4-a IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization Page 58 of 81 SUNY Orange 4-f: IT Master Plan Vs. Resource Development Plan NOTE: The Resource Development Plan is created by Office of Institutional Advancement. Please refer to Appendix A. External Document References - 5. SUNY Orange Resource Development Plan � Goals Table Resource Development Goals -> Resource Development Goal 1-aResource Development Goal 2-aResource Development Goal 3-a IT Master Plan Goals 1. Enhance, unpgrade tech environment 2. CMM & COBIT 3. Optimized information access 4. Future Growth 5. Partnerships 6. IT Funding Maximization 4-g: IT Master Plan Vs. Enrollment Management/Retention Plan NOTE: The Enrollment Management/Retention Plan is created by Office of Student Development. Please refer to Appendix A. External Document References - 6. SUNY Orange Enrollment Management Plan � Goals Table TBD 4-h: IT Master Plan Vs. CAPE Master Plan NOTE: Please refer to Appendix A. External Document References - 7. SUNY Orange CAPE Master Plan � Goals Table TBD Page 59 of 81 SUNY Orange 5 � Communications Plan 5-a: Communication Plan Information Technology master planning and IT Roadmap development are meant for continuous change and improvement to SUNY Orange. One of the keys to successful acceptance and implementation of the plan is communication. Input and feedback to the planning processes better ensure that IT strategies can be implemented with goals/objectives that can be attained. In addition, good communication improves understanding of the issues that the plan addresses and contributes positively to the SUNY Orange community. The Communication Plan will be as follows: � Formal presentation, review and adoption by IT Governance � Formal Review by College Governance � Formal presentation to College Assembly � Formal motion and Adoption by College Assembly � Formal presentation and adoption by Cabinet � Formal presentation and adoption by the Board of Trustees � Formal Publication via the ITS Dept Web site. � Twice annum review of goals/objectives with reporting publication Page 60 of 81 SUNY Orange 5-b: Current Year (20XX/20YY) Plan Goals � Progress Report - TBD {May want as a separate document} 5-b-1: Overview 5-b-2: Assessment 5-c: Prior Year (20XX/20YY) Plan Goals � Report {May want as a separate document � See Niagara CC Example} 5-c-1: Overview 5-c-2: Assessment 6-c-3: Results/Decisions/Outcomes Page 61 of 81 SUNY Orange Appendix A � External Documents References 1. SUNY Orange Strategic Plan � Goals Table Code Theme Explanation I-a Implement a collegial approach to an effective planning and review process for all College operations Expand the scope of responsibility and authority of the Planning Committee I-b Implement a collegial approach to an effective planning and review process for all College operations Improve the collection, usefulness and availability of planning data I-c Implement a collegial approach to an effective planning and review process for all College operations Develop and integrate into the operating life of the College the responses to issues raised by the Commission on Higher Education of the Middle States Association II-a Develop and implement an Academic Master Plan with four supporting plans. Facilities for both the Middletown campus and a potential campus at Newburgh II-b Develop and implement an Academic Master Plan with four supporting plans. Technology necessary to support administrative and educational activities II-c Develop and implement an Academic Master Plan with four supporting plans. Resource development, including diversifying revenue sources and realigning current resources II-d Develop and implement an Academic Master Plan with four supporting plans. Enrollment management that includes improving student success rates III-a Provide adequate resources to allow Orange County Community College to realize its strategic goals. The college needs to diversify funding sources III-b Provide adequate resources to allow Orange County Community College to realize its strategic goals. Improve efficiency of existing programs IV-a Review and realign the missions, operations and staffing levels of all Orange County Community College departments in light of the strategic priorities. n/a V-a Provide a clear, consistent and compelling presentation of Orange County Community College. n/a Page 62 of 81 SUNY Orange 2. Academic Master Plan (AMP) � Goals Table Standard (code) Area Explanation 1-a Academic Mission/Primary Goals AA & AS transfer degree programs. 1-b Academic Mission/Primary Goals AAS degree programs 1-c Academic Mission/Primary Goals Certificate programs for workplace skills 1-d Academic Mission/Primary Goals Preparation programs that provide opportunity and access to the college experience 1-e Academic Mission/Primary Goals This mission includes academic services and programs to enhance and promote student success, as well as opportunities for lifelong learning and personal enrichment for the community at large 2-a Academic Affairs - Common Goals Community Needs 2-b Academic Affairs - Common Goals Diversity 2-c Academic Affairs - Common Goals Assessment and Planning Process 2-d Academic Affairs - Common Goals Faculty and Teaching 2-e Academic Affairs - Common Goals Technology - Create, sustain, and enhance a technological environment that is supportive of academic goals 2-f Academic Affairs - Common Goals Lifelong Learning & Personal Enrichment 3-a Five Common Themes Technology 3-b Five Common Themes Curriculum Change/Program Design 3-c Five Common Themes Professional Development 3-d Five Common Themes Collaboration and Partnerships 3-e Five Common Themes Student Support Page 63 of 81 SUNY Orange 3. Middle-States Report � Standards Table Standard (code) Area Explanation 1-a PLANNING, RESOURCE ALLOCATION, AND INSTITUTIONAL RENEWAL The institution must develop a written strategic plan and college-wide assessment plans that are acceptable to the college community. 2-a PLANNING, RESOURCE ALLOCATION, AND INSTITUTIONAL RENEWAL While a process is in place, no strategic plan currently exists. The college must complete the strategic plan and all associated plans. Furthermore, it needs to make planning part of the College culture. As part of strategic planning, the college needs to establish a planning cycle that meets it needs, including an assessment component for each of the plans. 3-a INSTITUTIONAL RESOURCES The college needs to insure that the entire college community has input into the master planning process. Auxiliary operations such as food services and Kinder college now operate at a loss and should be reviewed for possible cost reductions and/or pricing increases. The college may also want to examine the feasibility of outsourcing these services. 3-b INSTITUTIONAL RESOURCES The College must re-examine current staffing levels in each department to insure that existing resources are maximized and equitable distribution of scarce resources is taking place. In order to maximize resources and increase efficiency, the college should look into the feasibility of cross- training staff. 3-c INSTITUTIONAL RESOURCES The potentially substantial Federal Audit disallowance for non-compliance with the ability to benefit provisions of the Pell Grant is of serious concern. The college should perform periodic internal compliance reviews on all local, State and federal aid programs. 3-d INSTITUTIONAL RESOURCES The college should respond to audit findings listed in the auditor�s management letter in a timely manner. Findings such as: �The general ledger for the plant was not maintained and depreciation expense for capitalized assets was computed on a spread sheet and not within the furniture and equipment inventory system.� were identified in the prior year�s auditor�s management letter and are still unresolved. 3-e INSTITUTIONAL RESOURCES The college should interface the budget process with the strategic plan to insure established priorities receive adequate resources. The process should ensure adequate faculty, staff and administration equipment and facilities are available to support the institution�s mission and outcomes expectations. 3-f INSTITUTIONAL RESOURCES While a technology infrastructure is in place, it is aging and inadequate for innovative learning applications and a robust administrative information system. With the appointment of the Associate Vice President of Technology, the college should begin the development of a technology plan to address the mission-critical areas of network support, database functionality, integration of staff and services, and life cycle management of computers across the college. 3-g INSTITUTIONAL RESOURCES The college should insure that the 10 fundamental elements of institutional resources listed in the Characteristics of Excellence are incorporated into its updated master plan and review process. Establishing measures of efficiency and effectiveness, supported by quantitative and/or qualitative analyses, are essential elements of the planning process. 4-a LEADERSHIP AND GOVERNANCE Provide a forum for all policy makers to meet regularly with the President. The current President�s use of an Extended Cabinet meets this need and should be adopted on a permanent basis. This will allow for more input from a broader range of representatives for the four major administrative areas. 4-b LEADERSHIP AND GOVERNANCE Communication between and among related areas of the College needs to take place on a regular basis. Collaborative staff meetings of the Academic Affairs and Student Development areas will assist both groups as they look to enhance their communication efforts and more effectively serve students and other constituents. Perhaps a facilitator may be able to assist in improving communication between these major areas. Page 64 of 81 SUNY Orange 4-c LEADERSHIP AND GOVERNANCE The College�s self study report and supporting documents establish a commitment to a more comprehensive College-Wide Assessment and Planning process. To effectively reach the goals outlined in both of these areas, a more concerted effort needs to be made to document the proceedings of the committees charged with these goals and periodically review progress made in a more consistent, collaborative fashion. 4-d LEADERSHIP AND GOVERNANCE Needs assessment for the restructuring of the Student Development and Institutional Advancement areas should be completed prior to any reorganization. Additionally, an assessment of the impact of the reorganization of the Academic Affairs area should be completed within the next academic year to determine its effectiveness and ability to improve communication within and between academic departments. 5-a ADMINISTRATION Due to the fact that the college has initiated a new organizational structure and is in the process of updating and implementing a new master plan, the team recommends periodic assessments of the new administrative structure and services to insure that they are working effectively and efficiently. This periodic review should also help ensure that communication within the new organizational structure is taking place. 5-b ADMINISTRATION The team recommends that the college institute a program of regular professional development for College staff. 6-a INTEGRITY With regard to improving communication, steps need to be taken toward promoting an environment of trust and respect. Regular, full staff meetings of the Academic Affairs and Student Development Divisions should occur separately and together to discuss issues of mutual concern. 6-b INTEGRITY Formalized assessment of integrity throughout institutional policies, procedures and practices needs to be implemented. As well, there needs to be an evaluation of how these procedures are integrated throughout college programs and services. Specific plans should be put in place for implementing required changes. 6-c INTEGRITY The college self-study report identifies an array of areas related to integrity that require attention. The college needs to prioritize these issues and create a mechanism for implementing them in concert with the impending strategic plan and appropriate departmental missions and goals. Special attention needs to be given to the creation of a Conflict of Interest Policy Statement that is embraced by the entire college community, to which all members of the faculty, staff and administration are held accountable. 7-a INSTITUTIONAL ASSESSMENT The institution must develop a written strategic plan and college-wide assessment plans that are acceptable to the college community. 8-a STUDENT ADMISSIONS The College should provide program outcomes to prospective students. 9-a STUDENT SUPPORT SERVICES The college needs to finalize plans for advisement and counseling. In the process, input from the various affected constituencies should be sought and the plans should be implemented. A mechanism for assessing the effectiveness of the impending advising system should be included in the plans. 9-b STUDENT SUPPORT SERVICES The college should re-evaluate the structure of the student development area to ensure resources are being allocated to best meet the needs of all learners, that functions of the various areas are clear, and that all constituents are able to participate in planning for student services. 9-c STUDENT SUPPORT SERVICES The College should implement a comprehensive assessment model for Student Development. 10-a FACULTY The implementation of a college-wide, mandatory annual student evaluation of part-time and full-time instructional personnel is recommended. A student evaluation process would represent a positive step by which the faculty can receive a review of their teaching styles as perceived by their students and through which students can express their perceptions about instructors, courses, programs, and the college. Student evaluations need not and should not be perceived as punitive, but can be used by individual faculty for self-reflection and improvement as well as for professional advancement within the college. The student evaluation can also serve as an excellent source of affirmation and validation Page 65 of 81 SUNY Orange of teaching skills and interpersonal relations, but can also serve as an instrument for professional development. It is interesting to note that informal, unofficial evaluations for some faculty members are currently available on �www.ratemyprofessors.com.� 10-b FACULTY The college should take steps to institute criteria for the supervision and review of teaching effectiveness for part-time faculty consistent with those for full-time faculty. 10-c FACULTY It is recommended that the college continue its efforts and then expand upon them to attract and retain underrepresented minorities. This may include, but is not limited to, identifying and encouraging Orange County Community College students to pursue higher education and return to Orange County Community College in staff, teaching and administrative roles. 10-d FACULTY It is further recommended that the current Faculty Handbook, which is currently dated 1988, should be updated. 11-a EDUCATIONAL OFFERINGS While there is a current adopted standard for the preparation of course syllabi, the standard does not include goals written in terms of student outcomes. Further, the course syllabi, in general, do not incorporate expected assessable student learning outcomes. While there is evidence of some college- wide program assessment plans, they appear inadequate to meet the college�s requirement to provide a college-wide assessment program. Providing a framework for preparation of course and program goals written in terms of student outcomes will require that a comprehensive college-wide assessment program be developed and implemented. 11-b EDUCATIONAL OFFERINGS It is recommended that Orange County Community College develop a comprehensive assessment program, which links the assessment of student learning and program outcomes relative to program and College goals and objectives. It is further recommended that program and course goals be stated in terms of student learning outcomes. The student learning outcomes can, and should, then be used to evaluate the effectiveness of curricular, co-curricular and extra-curricular learning experiences. 11-c EDUCATIONAL OFFERINGS The development of a comprehensive assessment process will expand the annual �assessment reports� that the LRC Director submits to the VPAA into an outcomes-based assessment of the LRC service program. 11-d EDUCATIONAL OFFERINGS Extend the collaboration between librarians and faculty to all academic departments to foster information literacy skills across the curriculum. 11-e EDUCATIONAL OFFERINGS Accelerating the development of rubrics and outcome measures for information literacy to meet the target date of Spring 2005 for the assessment of general education will enable the college to rationally evaluate existing programs and add new programs. 12-a GENERAL EDUCATION Departments must provide evidence of how assessment results are used to improve teaching and learning. This includes devising learning strategies to address student learning deficiencies and incorporating those into courses. These should then be reassessed to determine if the course improvements were effective. 13-a RELATED EDUCATIONAL ACTIVITIES Developmental student learning is very important for the success of under-prepared students. As the college does not utilize consistent, student-specific data on the progress of these students, appropriate resources should be made available to assist the Developmental Education Program in tracking the progress of students and assessing their success after completion of developmental courses. Adequate software, and qualified and sufficient staffing to effectively and efficiently utilize it, should be available to gather important data about the progress of students. 14-a ASSESSMENT OF STUDENT LEARNING We agree with the recommendation cited in Standard 14 of the Self-Study Report to establish a position dedicated to assessment. This individual would oversee, coordinate, and provide assistance and training for all assessment activities undertaken at the institution. 14-b ASSESSMENT OF STUDENT LEARNING Articulate expectations of student learning at the institutional level. These may take the form of college-wide competencies expected of all graduates and certificate holders, or these may reinforce the general education expectations present in all certificates, degrees, and programs. 14-c ASSESSMENT OF STUDENT LEARNING Establish protocols that specify how learning assessment results and course modifications are to be Page 66 of 81 SUNY Orange completed and communicated after assessment data are obtained. 14-d ASSESSMENT OF STUDENT LEARNING Establish a means to communicate results of student learning assessment to students and the camp us community to aid in decision-making. 14-e ASSESSMENT OF STUDENT LEARNING Document that student learning assessment results are used to improve teaching and learning. Page 67 of 81 SUNY Orange 4. Facilities Master Plan - Goals Table Code Area Explanation 1-a Install Camera System for remote monitoring of parking lots/campus % decrease in # of incidents per year 2-a Install Centralized Clock System % decrease in work orders to change clocks 3-a Network Central Copy Center % decrease in document turnaround time 4-a Support Smart Classrooms % increase in # of Smart Classrooms per building Page 68 of 81 SUNY Orange 5. Resource Development Plan - Goals Table Code Area Explanation 1-a Share and edit files Improve communication and increase efficiency 2-a Coordinate appointment schedules Increases efficiency, and reduction of manually intensive process or procedures. Better time management. 3-a Coordinate project scheduling Greater efficiency in meeting deadlines. Improved communication with the department. Better time management Page 69 of 81 SUNY Orange 6. Enrollment Management/Retention Plan � Goals Table TBD Page 70 of 81 SUNY Orange 7. CAPE Master Plan � Goals Table TBD Page 71 of 81 SUNY Orange Appendix B � Other Attachments and Supporting Documents {As needed} Page 72 of 81 SUNY Orange Appendix C � Acronyms, Terms and Definitions � AMP � Academic Master Plan � APBS � As per Banner schedule � BCP � Business Continuity Planning � BOT � Board of Trustees � CMM � Capability Maturity Matrix � COBIT - Control Objectives for Information and related Technology � DRP � Disaster Recovery Planning � eLearning -also known as Distributed Learning (DL), which encompasses learning across the entire time/place spectrum � EPP � Emergency Preparedness Program � IT � Information Technology � ITMAP � IT Master Plan � ITS � Information Technology Service � Dept. of SUNY Orange � KPI � Key Performance Indicators � ODS/EDW � Open Data Store/Enterprise Data Warehouse � ORMC � Orange Regional Medical Center � OU-BOCES � Orange Ulster � Board or Cooperative Educational Services � PBIE � Planning, Budgeting and Institutional Effectiveness � PPI � Program Prioritization Instrument � QCI � Qualitative Criteria Instrument � SLA � Service Level Agreement � SPOC � Single point of contact � TBD � To be determined Page 73 of 81 SUNY Orange Appendix D � COBIT: Control Objectives for Information and related Technology The following are excerpts from the COBIT 4.0 reference guide�. EXECUTIVE OVERVIEW For many enterprises, information and the technology that supports it represent their most valuable, but often least understood, assets. Successful enterprises recognize the benefits of information technology and use it to drive their stakeholders� value. These enterprises also understand and manage the associated risks, such as increasing regulatory compliance and critical dependence of many business processes on IT. The need for assurance about the value of IT, the management of IT-related risks and increased requirements for control over information are now understood as key elements of enterprise governance. Value, risk and control constitute the core of IT governance. IT governance is the responsibility of executives and the board of directors, and consists of the leadership, organisational structures and processes that ensure that the enterprise�s IT sustains and extends the organisation�s strategies and objectives. Furthermore, IT governance integrates and institutionalises good practices to ensure that the enterprise�s IT supports the business objectives. IT governance thus enables the enterprise to take full advantage of its information, thereby maximising benefits, capitalising on opportunities and gaining competitive advantage. These outcomes require a framework for control over IT that fits with and supports the Committee of Sponsoring Organisations of the Treadway Commission (COSO) Internal Control� Integrated Framework, the widely accepted control framework for enterprise governance and risk management, and similar compliant frameworks. Organisations should satisfy the quality, fiduciary and security requirements for their information, as for all assets. Management should also optimize the use of available IT resources, including applications, information, infrastructure and people. To discharge these responsibilities, as well as to achieve its objectives, management should understand the status of its enterprise architecture for IT and decide what governance and control it should provide. Control Objectives for Information and related Technology (COBIT�) provides good practices across a domain and process framework and presents activities in a manageable and logical structure. COBIT�s good practices represent the consensus of experts. They are strongly focused on control and less on execution. These practices will help optimise IT-enabled investments, ensure service delivery and provide a measure against which to judge when things do go wrong. For IT to be successful in delivering against business requirements, management should put an internal control system or framework in place. The COBIT control framework contributes to these needs by: � Making a link to the business requirements � Organising IT activities into a generally accepted process model � Identifying the major IT resources to be leveraged � Defining the management control objectives to be considered The business orientation of COBIT consists of linking business goals to IT goals, providing metrics and maturity models to measure their achievement, and identifying the associated responsibilities of business and IT process owners. The process focus of COBIT is illustrated by a process model, which subdivides IT into 34 processes in line with the responsibility areas of plan, build, run and monitor, providing an end-to-end view of IT. Enterprise architecture concepts help identify those resources essential for process success, i.e., applications, information, infrastructure and people. Page 74 of 81 SUNY Orange In summary, to provide the information that the enterprise needs to achieve its objectives, IT resources need to be managed by a set of naturally grouped processes. But how does the enterprise get IT under control such that it delivers the information the enterprise needs? How does it manage the risks and secure the IT resources on which it is so dependent? How does the enterprise ensure that IT achieves its objectives and supports the business? First, management needs control objectives that define the ultimate goal of implementing policies, procedures, practices and organisational structures designed to provide reasonable assurance that: � Business objectives are achieved. � Undesired events are prevented or detected and corrected. Second, in today�s complex environments, management is continuously searching for condensed and timely information to make difficult decisions on risk and control quickly and successfully. What should be measured, and how? Enterprises need an objective measure of where they are and where improvement is required, and they need to implement a management tool kit to monitor this improvement. Requirements of determining and monitoring the appropriate IT control and performance level is COBIT�s definition of specific: � Benchmarking of IT process capability expressed as maturity models, derived from the Software Engineering Institute�s Capability Maturity Model � Goals and metrics of the IT processes to define and measure their outcome and performance based on the principles of Robert Kaplan and David Norton�s balanced business scorecard � Activity goals for getting these processes under control, based on COBIT�s detailed control objectives The assessment of process capability based on the COBIT maturity models is a key part of IT governance implementation. After identifying critical IT processes and controls, maturity modeling enables gaps in capability to be identified and demonstrated to management. Action plans can then be developed to bring these processes up to the desired capability target level. COBIT thus supports IT governance by providing a framework to ensure that: � IT is aligned with the business � IT enables the business and maximises benefits � IT resources are used responsibly � IT risks are managed appropriately COBIT is a framework and supporting toolset that allow managers to bridge the gap with respect to control requirements, technical issues and business risks, and communicate that level of control to stakeholders. COBIT enables the development of clear policy and good practice for IT control throughout enterprises. COBIT is continuously kept up to date and harmonised with other standards. Hence, COBIT has become the integrator for IT best practices and the umbrella framework for IT governance that helps in understanding and managing the risks and benefits associated with IT. The process structure of COBIT and its high-level business-oriented approach provide an end-to-end view of IT and the decisions to be made about IT. The benefits of implementing COBIT as a governance framework over IT include: � Better alignment, based on a business focus � A view, understandable to management, of what IT does � Clear ownership and responsibilities, based on process orientation � General acceptability with third parties and regulators � Shared understanding amongst all stakeholders, based on a common language � Fulfillment of the COSO requirements for the IT control environment Page 75 of 81 SUNY Orange The Maturity Model The Maturity Model (i.e. CMM) is a way of measuring how well developed management processes are, i.e., how capable they actually are. How well developed or capable they should be primarily depends on the IT goals and the underlying business needs they support. How much of that capability is actually deployed largely depends on the return an enterprise wants from the investment. For example, there will be critical processes and systems that need more and tighter security management than others that are less critical. On the other hand, the degree and sophistication of controls that need to be applied in a process are more driven by the enterprise�s risk appetite and applicable compliance requirements. The maturity model scales will help professionals explain to managers where IT process management shortcomings exist and set targets for where they need to be. The right maturity level will be influenced by the enterprise�s business objectives, the operating environment and industry practices. Specifically, the level of management maturity will depend on the enterprise�s dependence on IT, its technology sophistication and, most important, the value of its information. A strategic reference point for an enterprise to improve management and control of IT processes can be found by looking at emerging international standards and best-in-class practices. The emerging practices of today may become the expected level of performance of tomorrow and are therefore useful for planning where an enterprise wants to be over time. The maturity models are built up starting from the generic qualitative model (see figure 10) to which principles from the following attributes are added in an increasing manner through the levels: � Awareness and communication � Policies, standards and procedures � Tools and automation � Skills and expertise � Responsibility and accountability � Goal setting and measurement The maturity attribute table shown in figure 12 lists the characteristics of how IT processes are managed and describes how they evolve from a non-existent to an optimised process. These attributes can be used for more comprehensive assessment, gap analysis and improvement planning. In summary, maturity models provide a generic profile of the stages through which enterprises evolve for management and control of IT processes, and are: � A set of requirements and the enabling aspects at the different maturity levels � A scale where the difference can be made measurable in an easy manner � A scale that lends itself to pragmatic comparison � The basis for setting as-is and to-be positions � Support for gap analysis to determine what needs to be done to achieve a chosen level � Taken together, a view of how IT is managed in the enterprise The COBIT maturity models focus on capability, but not necessarily on performance. They are not a number for which to strive, nor are they designed to be a formal basis for certification with discrete levels that create thresholds that are difficult to cross. However, they have been designed to be always applicable, with levels that provide a description an enterprise can recognize as best fitting its processes. The right level is determined by the enterprise type, its environment and strategy. Performance, or how the capability is used and deployed, is a cost-benefit decision. For example, a high level of security management may have to be focused only on the most critical enterprise systems. Finally, while higher levels of maturity increase control over the process, the enterprise still needs to analyse, based on risk and value drivers, which control mechanisms it should apply. The generic business and IT goals as defined in this framework will help with this analysis. The control mechanisms are guided by COBIT�s control objectives and focus on what is done in the process; the maturity models primarily focus on how well a process is managed. Appendix III provides a generic maturity model showing the status of the internal control environment and the establishment of internal controls in an enterprise. Page 76 of 81 SUNY Orange A properly implemented control environment is attained when all three aspects of maturity (capability, performance and control) have been addressed. Improving maturity reduces risk and improves efficiency, leading to fewer errors, more predictable processes and a cost-efficient use of resources. Goals are defined top-down in that business goals will determine a number of IT goals to support them, IT goals will decide the different process goals needed, and each process goal will establish the activity goals. The achievement of goals is measured by outcome metrics (called key goal indicators, or KPIs) and drives the higher-level goal. For example, the metric that measured the achievement of the activity goal is a performance driver (called key performance indicator, or KPI) for the process goal. Metrics allow management to correct performance and realign with the goals. The COBIT Framework Model The COBIT framework, therefore, ties the businesses requirements for information and governance to the objectives of the IT services function. The COBIT process model enables IT activities and the resources that support them to be properly managed and controlled based on COBIT�s control objectives, and aligned and monitored using COBIT�s KGI and KPI metrics, as illustrated in figure 14. Page 77 of 81 SUNY Orange To summarise, IT resources are managed by IT processes to achieve IT goals that respond to the business requirements. This is the basic principle of the COBITframework, as illustrated by the COBITcube (figure 15). In more detail, the overall COBIT framework can be shown graphically as in figure 16 (on the following page), with COBIT�s process model of four domains containing 34 generic processes, managing the IT resources to deliver information to the business according to business and governance requirements. Page 78 of 81 SUNY Orange Figure 16�Overall COBIT Framework Figure 16�Overall COBIT Framework Page 79 of 81 SUNY Orange The IT Governance Institute� The IT Governance Institute (ITGI) (www.itgi.org) was established in 1998 to advance international thinking and standards in directing and controlling an enterprise�s information technology. Effective IT governance helps ensure that IT supports business goals, optimises business investment in IT, and appropriately manages IT-related risks and opportunities. The IT Governance Institute offers original research, electronic resources and case studies to assist enterprise leaders and boards of directors in their IT governance responsibilities. Disclaimer IT Governance Institute (the �Owner�) has designed and created this publication, titled COBIT� 4.0 (the �Work�), primarily as an educational resource for chief information officers, senior management, IT management and control professionals. The Owner makes no claim that use of any of the Work will assure a successful outcome. The Work should not be considered inclusive of any proper information, procedures and tests or exclusive of other information, procedures and tests that are reasonably directed to obtaining the same results. In determining the propriety of any specific information, procedure or test, chief information officers, senior management, IT management and control professionals should apply their own professional judgment to the specific circumstances presented by the particular systems or information technology environment. Disclosure Copyright � 2005 by the IT Governance Institute. All rights reserved. No part of this publication may be used, copied, reproduced, modified, distributed, displayed, stored in a retrieval system, or transmitted in any form by any means (electronic, mechanical, photocopying, recording or otherwise), without the prior written authorisation of the IT Governance Institute. Reproduction of selections of this publication, for internal and noncommercial or academic use only, is permitted and must include full attribution of the material�s source. No other right or permission is granted with respect to this work. IT Governance Institute 3701 Algonquin Road, Suite 1010 Rolling Meadows, IL 60008 USA Phone: +1.847.590.7491 Fax: +1.847.253.1443 E-mail: info@itgi.org Web site: www.itgi.org ISBN 1-933284-37-4 COBIT 4.0 Printed in the United States of America Page 80 of 81 SUNY Orange Open and Closed Issues for this Document Open Issues ID Issue Resolution Responsibility Target Date Impact Date Closed Issues ID Issue Resolution Responsibility Target Date Impact Date Page 81 of 81 SUNY Orange