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Integration of Information Technology and Physical Asset Planning and Management
A Case Study of Queensland University of Technology
Robyn Tweedale Bachelor of Arts (UQ), Graduate Diploma of Library Science (QUT)
Queensland University of Technology
Research Centre for Information Technology Innovation
IT60 - Master of Information Technology (Research)
2003
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Keywords Asset management; Asset planning; Benefits realisation; Information technology; Information technology governance; Information technology infrastructure; Information technology management; Information technology planning; Information technology project management; Integration; Physical infrastructure; Queensland University of Technology; QUT; Return on investment; Strategic alignment; Strategic governance; Strategic management; Strategic planning
Abstract Queensland University of Technology has radically restructured the top-level governance systems for information technology planning and management. Additionally, QUT has integrated information technology planning and management with physical infrastructure planning and management via the Asset Management Plan. To complete the approach, QUT has instigated a top-level governance committee for IT to ensure alignment with organisational goals and strategies. This is an unusual development for IT planning and management at an Australian university and attracted attention from the Commonwealth Department of Education, Science and Training (DEST) as well as other universities in the Australian tertiary education sector and led to the research study. This research studies the redevelopment of the information technology planning and management approach. The survey research determines the level of integration of IT and university planning, and the correlation of this integration to effectiveness of IT planning. The case study documents the changes, highlights the advantages and disadvantages of the new approach and provides a model for change in IT management at other Australian universities. It is evident from current literature on information technology management and strategic planning that these developments are validated as steps toward achieving best practice in information technology planning and management. Through rigorous conduct of interviews, observations and review of documentation and through application of a survey questionnaire to a defined population, the research reviews the developments and ongoing implementation of the planning and management infrastructure. Among the outcomes from the new approach are better alignment of information technology investment with QUT goals and objectives, better benefits realisation from information technology investment, better project management of information technology development and innovation, and increased flexibility and accountability in information technology expenditure. Finally, a comparison to other information technology planning and management methods in place at Australian universities demonstrates the uniqueness of the QUT
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approach. The thesis reports the benefits and difficulties associated with this approach, and provides a context for future development of IT planning, management and governance at QUT.
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Contents
1. INTRODUCTION ....................................................................................... 1 1.1 INTRODUCTION....................................................................................... 1 1.2 BACKGROUND TO THE STUDY & KEY DEFINITIONS ............................... 2
1.2.1 IT Planning, Management & Governance .................................... 2 1.2.2 Australian Universities.................................................................. 3 1.2.3 QUT Background & Key Definitions ............................................ 4 1.2.4 QUT Technology for Teaching, Learning, Research & Administration ............................................................................................... 6
1.3 SIGNIFICANCE OF THE STUDY ................................................................. 7 1.4 RESEARCH AIMS & OBJECTIVES............................................................. 8 1.5 METHODOLOGY...................................................................................... 9 1.6 LIMITATIONS & KEY ASSUMPTIONS ..................................................... 10 1.7 OVERVIEW OF THE THESIS.................................................................... 11 1.8 SUMMARY OF OUTCOMES..................................................................... 12
2. SURVEY OF THE LITERATURE ......................................................... 14 2.1 INTEGRATION OF IT & ORGANISATIONAL PLANNING & MANAGEMENT… 14 2.2 IT GOVERNANCE .................................................................................. 16 2.3 IT STRATEGIC PLANNING & STRATEGIC MANAGEMENT ...................... 17 2.4 THE FRAMEWORK OF STRATEGIC INTEGRATION FOR IT PLANNING, GOVERNANCE AND MANAGEMENT................................................................... 19 2.5 THE AUSTRALIAN UNIVERSITY ENVIRONMENT.................................... 21 2.6 AUSTRALIAN UNIVERSITIES’ STRATEGIC RESPONSE ............................ 23 2.7 SUMMARY ............................................................................................ 24
3. METHODOLOGY.................................................................................... 27 3.1 RESEARCH DESIGN ............................................................................... 27 3.3 SURVEY OF INTEGRATED IT PLANNING & MANAGEMENT.................... 28
3.3.1 Questionnaire Design.................................................................. 29 3.3.2 Measure of Perceived Level of Integration ................................. 30 3.3.3 Benchmark Measures of Level of Integration ............................. 30 3.3.4 Benchmark Measures of Effectiveness of IT Planning & Management ................................................................................................ 31 3.3.5 Survey Population & Respondents .............................................. 32 3.3.6 Data Analysis............................................................................... 33
3.4 CASE STUDY DATA SOURCES & ANALYSIS .......................................... 34 3.4.1 Data Sources ............................................................................... 34 3.4.2 Data Analysis............................................................................... 36
3.5 RELATIONSHIP TO RESEARCH FOR THE OFFICE OF THE PRO-VICE-CHANCELLOR (INFORMATION & ACADEMIC SERVICES) & THE DEPARTMENT OF EDUCATION, SCIENCE & TRAINING .................................................................. 37
4. THE EVOLUTION OF INTEGRATED PLANNING, MANAGEMENT & GOVERNANCE AT QUT ............................................ 38
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4.1 HISTORICAL CHALLENGES IN IT PLANNING & MANAGEMENT ............. 39 4.2 THE EVOLUTION OF THE INTEGRATED ASSET MANAGEMENT PLAN..... 42
4.2.1 Consolidation of IT Budgets........................................................ 42 4.2.2 The QUT Asset Management Plan 2001-2003............................ 46 4.2.3 The QUT Asset Management Plan 2002-2006............................ 47
4.3 THE EVOLUTION OF INFORMATION TECHNOLOGY STRATEGIC GOVERNANCE................................................................................................... 48 4.4 THE EVOLUTION OF INFORMATION TECHNOLOGY MANAGEMENT ....... 50 4.5 CONCLUSIONS ...................................................................................... 53
5. STRATEGIC INTEGRATION AND IT PLANNING EFFECTIVENESS AT QUT............................................................................ 56
5.1 RESULTS OF THE SURVEY OF IT PLANNING .......................................... 56 5.1.1 Perceived Level of Integration .................................................... 57 5.1.2 Benchmark Measures of the Level of Integration........................ 58 5.1.3 Benchmark Measures of the Level of IT Planning Effectiveness 60
5.2 STATISTICAL CORRELATION OF INTEGRATION & EFFECTIVENESS SCORES…......................................................................................................... 62
5.2.1 Statistical Correlations of Integration Scores and Benchmarks . 64 5.2.2 Statistical Correlations of Effectiveness Benchmarks................. 66 5.2.3 Statistical Correlation of Integration and Effectiveness ............. 67
5.3 CONCLUSIONS ...................................................................................... 68
6. CASE STUDY EVALUATION OF IT PLANNING, MANAGEMENT & GOVERNANCE AT QUT............................................................................ 70
6.1 INTEGRATION WITHIN THE ASSET MANAGEMENT PLAN ...................... 71 6.1.1 Effectiveness of IT Planning & the AMP..................................... 74 6.1.2 Challenges for Development of IT Planning ............................... 76
6.2 STRATEGIC GOVERNANCE OF IT........................................................... 77 6.2.1 Effectiveness of the QUT IT Governance Framework ................ 79 6.2.2 Challenges for the QUT IT Governance Framework.................. 81
6.3 STRATEGIC MANAGEMENT & PROJECT MANAGEMENT OF IT .............. 85 6.3.1 Effectiveness of Current IT Management Methods ..................... 87 6.3.2 Challenges for the Current IT Management Methods................. 89
6.4 QUT STRATEGIC INTEGRATION IN THE AUSTRALIAN UNIVERSITY CONTEXT.......................................................................................................... 92 6.5 CONCLUSIONS ...................................................................................... 94
7. SUMMARY & CONCLUSIONS ............................................................. 98 7.1 SUMMARY OF RESEARCH OUTCOMES................................................... 99 7.2 IMPLICATIONS OF THE STUDY & FUTURE RECOMMENDATIONS.......... 104
7.2.1 Implications for QUT ................................................................ 104 7.2.2 Implications for Other Australian Universities......................... 106 7.2.3 Implications for IT Planning, Management & Governance Research 107
7.3 STRENGTHS & LIMITATIONS OF THE STUDY ....................................... 108 7.4 CONCLUSIONS .................................................................................... 109
APPENDIX A. CASE STUDY PROTOCOL ............................................... 111
APPENDIX B. DATA SOURCES FOR CASE STUDY & QUESTIONNAIRE ......................................................................................... 124
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APPENDIX C. COVER SHEET & QUESTIONNAIRE....................... 128 COVER SHEET ................................................................................................. 128 QUESTIONNAIRE ............................................................................................. 130
APPENDIX D. ITSGC TERMS OF REFERENCE & MEMBERSHIP…… ....................................................................................... 134
INFORMATION TECHNOLOGY STRATEGIC GOVERNANCE COMMITTEE............ 134 Terms of reference..................................................................................... 134 Membership ............................................................................................... 134 Tenure and frequency of meeting .............................................................. 134
APPENDIX E. QUALITATIVE DATA ANALYSIS ............................. 135
8. REFERENCES ........................................................................................ 144
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List of Figures Figure 1. New QUT framework of IT planning, management & governance .................. 2 Figure 2. Consolidation of funds for the 2001 AMP Virtual Infrastructure.................... 44 Figure 3. The evolution of the QUT information technology strategic governance
committees.............................................................................................................. 50 Figure 4. Standardised mean scores for integration benchmarks (4-point, increasing
scale)....................................................................................................................... 59 Figure 5. Standardised mean scores for IT planning effectiveness benchmarks (4-point,
increasing scale) ..................................................................................................... 61 Figure 6. Statistical correlations of benchmarks scores .................................................. 63 Figure 7. Statistical correlations of scores and benchmarks............................................ 67 Figure 8. The strategic governance cycle at QUT........................................................... 79 Figure E.1 Asset Management Plan - Assigned codes and relationships for
analysing qualitative data (Diagram from Atlas.ti Network View)...................... 138 Figure E.2 IT Strategic Governance - Assigned codes and relationships for
analysing qualitative data (Diagram from Atlas.ti Network View)...................... 140 Figure E. 3 IT Project Planning and Management - Assigned codes and
relationships for analysing qualitative data (Diagram from Atlas.ti Network View)…… ............................................................................................................ 142
List of Tables Table 1. Research questions and research propositions .................................................. 25 Table 2. Integration benchmarks and measures (I1-I5)................................................... 31 Table 3. Integration benchmarks and measures (I6-I10)................................................. 31 Table 4. Effectiveness benchmarks and measures (E1-E4) ..................................... 31 Table 5. Data sources, participants and potential evidence for research questions......... 34 Table 6. Mean results by group of perceived level of integration................................... 57 Table 7. Mean results by group of benchmark measures of integration.......................... 58 Table 8. Mean results by group of perceived level of effectiveness of IT planning ....... 61 Table 9. Spearman’s rho correlations of integration benchmarks and average............... 65 Table 10. Spearman’s rho correlations of perceived integration average and integration
benchmark average ................................................................................................. 65 Table 11. Spearman’s rho correlations of effectiveness benchmarks and average ......... 67 Table B.1 QUT documentation sources ................................................................... 124 Table B.2 Meetings observed................................................................................... 125 Table B.3 Survey questionnaire respondents ........................................................... 126 Table B.4 Interviewees............................................................................................. 126 Table E.1 Codes used in qualitative data analysis (in Atlas.ti) and corresponding
quotations in data.................................................................................................. 135 Table E.2 Codes used in analysis of the Asset Management Plan and planning
processes and corresponding quotations in data ................................................... 139 Table E.3 Codes used in analysis of the Strategic Governance Committee and
governance processes and corresponding quotations in data................................ 141 Table E.4 Codes used in analysis of the project planning and project management
processes and corresponding quotations in data ................................................... 143
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Abbreviations and Acronyms
AMP Asset Management Plan CMIC Corporate Management Information Committee DEST Department of Education, Science and Training (Australia) ERP Enterprise Resource Planning HR Human Resources (QUT Department of) IS Information systems IT Information technology ITSGC Information Technology Strategic Governance Committee OLT Online Teaching (system) PC Personal computer QUT Queensland University of Technology ROI Return on investment SMARTA Strategic Management And Resourcing using Technological
Advancements VC QUT Vice-Chancellor
Statement of Original Authorship The work contained in this thesis has not been previously submitted for a degree or diploma at any other higher education institution. To the best of my knowledge and belief, the thesis contains no material previously published or written by another person except where due reference is made.
Signed:
Date:
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Acknowledgements This research would never have been possible without the support of staff from the Office of the Pro-Vice-Chancellor (Information & Academic Services) at QUT. In particular, Tom Cochrane, Robyn Daniel, Warren Fraser and Graham Keys made my research possible and provided constant, invaluable advice and assistance. The cooperation of staff across the many divisions and faculties of QUT was also critical to the success of this research, and I am grateful for the diligence and commitment of these staff. Warm thanks are also extended to the staff from other Australian universities, who responded to calls for advice and information on their current IT management and governance practices. Professor Guy Gable has been extremely diligent as my supervisor and as my associate supervisor in providing guidance, direction and support for this research. Associate Professor Alan Underwood, as my supervisor, has provided objective advice and encouragement for many months. I have been fortunate that my research supervisors have provided much-needed balance and constructive criticism throughout the research process. And finally, no research would have been possible without the support of my family and friends, at QUT and at home.
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1. Introduction
1.1 Introduction In today’s society, information technology (IT) is critical to every organisation.
Information technology is a driver for performance of a multitude of activities and
frequently plays a key role in the development and competitiveness of organisations.
Universities are certainly no different in this respect. Queensland University of
Technology must contend with factors within the political, economic and societal
environment of the Australian higher education sector, as well as the technological
development that is beginning to dominate operations and strategic change. The
challenge for all organisations is to try to ensure that the investment in IT is providing
maximum benefit for the organisation, while also contributing to the success of the
organisation.
In order to utilise IT as a driver of change and competitive performance, it is essential to
plan for the most effective IT infrastructure and services and to manage IT to achieve
organisational goals and objectives.
The concepts fundamental to managing information technology are those of business, not of technology: portfolios, business value, investment, and alignment of resources with strategic goals. (Weill & Broadbent, 1998, p.24)
QUT has adopted a framework of integrated planning of IT with other organisational
planning, via a central, coordinated Asset Management Plan (AMP). This AMP is
strategically integrated with physical and capital asset planning for the university. Budgets
for IT have been consolidated and centralised and linked to strategic planning and
management at the top levels of the organisation, through the AMP. Strategic
governance for IT has been established as the Information Technology Strategic
Governance Committee (ITSGC), and linked to portfolio and project management
processes throughout the academic faculties and administrative divisions of the
university. QUT is drawing on best-practice models of IT planning and management to
provide a better framework for the university and a competitive advantage for the future
of IT development within the university.
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Figure 1. New QUT framework of IT planning, management & governance
1.2 Background to the Study & Key Definitions The modern organisation has a massive investment in large information systems,
personal computers, telecommunications infrastructure and electronic data. According to
Weill and Broadbent (1998), information technology is “the firm’s total investment in
computing and communications technology.” (p.6)
1.2.1 IT Planning, Management & Governance Research has demonstrated that strategic alignment or integration of information
technology planning and management with organisational planning and management is a
key factor in managing IT investment (Broadbent, Weill & Neo, 1999). According to
Ciborra (1998), “Strategic alignment is defined as the inherent dynamic fit between
internal and external business domains, such as the product/market, strategy,
administrative structures, business processes and IT.” (p.10) Therefore, strategic
alignment or integration should assist organisations in maximising the benefits of IT
infrastructure and information systems, as well as ensuring the organisational acceptance
and adoption of IT innovations.
Empirical research has been conducted by Teo and King (1996) to demonstrate some of
the benefits of strategic alignment of IT across corporate organisations. Research has
also confirmed this within the U.S. higher education sector (Lesko, 1999). Determining
the level of integration of IT planning with organisational planning was the focus of King
and Teo (1997) in their research study to confirm a survey instrument with valid
AMP (QUT strategic IT
initiatives; central IT plans; IT budget; annual priorities; links to physical infrastructure)
ITSGC (Links to QUT strategy; oversight of AMP;
interrelationships of IT implementations; priorities for IT projects; budget oversight)
Divisional IT Managers/Executives (Central IT strategic and operational
management & planning)
Faculty IT Managers/Deans (Distributed IT strategic and operational
management & planning)
IT Project Managers (Individual implementations; feedback to AMP & ITSGC)
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benchmark measures of integration. Lesko (1999) adapted this survey instrument to also
determine the level of effectiveness of IT planning and tested it against the North
Carolina Community College environment. This survey has proven valuable in both
determining the level of integration within an organisation and the correlation of
integration to effectiveness of IT planning processes.
Research is also emerging to show the key role of IT governance in ensuring the success
of IT infrastructure and innovation. IT governance is defined by Sambamurthy and
Zmud (1999) as “the patterns of authority for key IT activities in business firms,
including IT infrastructure, IT use and project management.” (p.261) According to Sohal
and Fitzpatrick (2002), “IT governance decides on what must be arranged for the
organisation to profit from IT synergy.” (p.98) Therefore, high-level IT governance
should ensure that the IT investment within an organisation provides the direction for IT
development and maintenance and ensures the maximum benefit from all IT
implementations.
Planning and management of IT is equally important to a firm’s success. It is generally
agreed that strategic planning for IT is essential, to ensure that an organisation is looking
beyond the short-term organisational needs and problems. IT management is equally
important to ensure that IT planning is implemented at an operational level and the
achievement and success of IT plans is monitored.
Research has demonstrated benefits and successes of IT governance models (Sohal &
Fitzpatrick, 2002). Volumes of evidence exist to demonstrate the benefits of effective IT
planning and management. However, little research has emerged demonstrating the
successes and processes of implementations of this strategic alignment, IT governance and
effective planning and management, particularly within a specific university environment.
1.2.2 Australian Universities Universities provide a differing model of organisations, both in terms of their utilisation
of strategic planning and management and in their adoption and implementation of IT.
Universities in Australia and overseas are becoming increasingly corporate in their
operation and management, and are adapting business models of strategic planning,
strategic management and corporate governance.
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Meek and Wood (1997) have observed that since the 1980’s and increasingly throughout
the 1990’s, Australian universities have become much more entrepreneurial in their
management and planning practices. This shift has been driven largely by a
corresponding shift to a market-driven environment for universities and changing
government policy that has promoted competition for existing funds. Other forces have
contributed significantly to this new entrepreneurship. These include an ever-increasing
emphasis on accountability and performance, growing internationalisation, the need for
universities to generate non-state funding sources, and the need for flexibility to adapt to
rapidly changing social, economic, educational and technological conditions.
Universities have tended to keep IT planning, management and governance separate
from overall planning and management of the institution (Foster and Hollowell, 1999).
In contrast, physical asset planning and management of buildings, plant, grounds and
capital infrastructure has traditionally been integral to university planning and
management at the highest levels. The importance of the information technology
infrastructure is growing rapidly, while the importance of the physical infrastructure is
under debate at universities, as modes of off-campus and virtual education develop. Thus
the need to develop a governance approach that considers information technology as
core to business for the institution is essential.
1.2.3 QUT Background & Key Definitions Queensland University of Technology (QUT), like other universities in the Australian
environment, is facing significant challenges of political change, fluctuating funding
models, competition for students and research grants, and rapid IT development. QUT
must look to the research from the corporate and higher education sectors in Australia
and overseas to adapt and ensure its continuing competitiveness and success within the
Australian tertiary education market.
At QUT, Gibson, et al (1999) have analysed the strategic planning and strategic
management practices. Some of these practices are specific to QUT, but many are
consistent with general practice within Australian universities, as observed by Anderson,
Johnson and Milligan (1999). One of the Gibson, et al (1999) main findings is that QUT
planning practices are largely driven by high internal cohesion and adherence to broad
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university mission and goals. However, it is important to ensure flexibility and diversity
within operational units and faculties. QUT places a very high priority on setting strategic
goals and establishing the necessary strategic management framework to achieve these
goals and to monitor performance against these objectives (Gibson, et al, 1999).
Since 2000, QUT has been working to integrate IT planning and budgeting with physical
infrastructure planning and budgeting for buildings, grounds, equipment and other
university assets, via the Asset Management Plan (AMP). Additionally, QUT has radically
restructured the top-level governance and management processes for IT. This has
resulted in across-the-board reform in IT planning, management and governance. As well
as increasing the level of integration with university planning, the QUT framework has
produced significant benefits for QUT, in the three years since its commencement.
It is important for the purposes of this study to understand the terms and concepts being
discussed. Case studies are contextual by nature, and that context defines the research
questions and outcomes as much as any empirical hypothesis. Many of these concepts
have a specific context at QUT.
At QUT, Information Technology Services is a department within the Division of
Information & Academic Services. IT Services is in charge of all central computer hosts,
such as the World Wide Web server and the email servers, and hosts the servers for the
Library, Student Administration, HR, Payroll, and many other areas. IT Services controls
all voice and data cabling and connections and the telecommunications networks; is
responsible for provision and administration of standard software; and is also in charge
of central desktop support of PC facilities, central systems services, corporate
information services, and high-performance computing facilities. However, another
department within the Division of Information & Academic Services, Teaching &
Learning Support Services, runs the student computing support and central student PC
laboratories, and supports software development for Online Teaching (OLT) by
lecturing staff.
All of the academic faculties within QUT have processes and departments for IT
operational management within the faculty. Many have specific implementations of IT
infrastructure and software, but the majority of student laboratories and staff PCs
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conform to a standard operating environment and standardised software versions. Other
administrative and executive divisions within the university also have internal IT
management processes, through designated officers or departments.
At QUT, asset management planning is used for the planning and accounting of all
physical and capital assets, such as buildings, plant, grounds and vehicles, as well as
financial assets. Asset management planning has been extended at QUT to include
‘virtual’ assets, such as information technology and telecommunications infrastructure,
systems, hardware, software and data, as well as maintenance of systems and information
management. The Asset Management Plan encompasses all aspects of this physical and
virtual infrastructure.
At QUT, governance of information technology now begins with the Vice-Chancellor.
The strategic governance committee also includes the Deputy Vice-Chancellor, the Pro-
Vice-Chancellor (Information & Academic Services), the Registrar, the Executive
Director of Finance & Resource Planning and two faculty Deans. Such senior level
membership allows for direct influence or control over the strategic development and
maintenance of information technology infrastructure and projects.
1.2.4 QUT Technology for Teaching, Learning, Research & Administration As a university of technology, QUT aims to be an early adopter of quality technologies
and the hardware, networks, systems and software support current teaching, learning,
research and administration trends. QUT is a highly centralised institution, formed from
amalgamations of previous colleges of advanced education and an institute of
technology. The focus on teaching and learning has always been strong, and the
technology has evolved to support the teaching and learning. Administration at QUT has
always been highly centralised, and the systems and technologies reflect this. QUT’s
secure intranet, called QUT Virtual, has been providing central administrative access for
both staff and students for several years (Cochrane, 2002).
QUT is a multi-campus university spread over the central city and northern suburbs of
Brisbane. Faculties offer joint degrees and double degrees with the other QUT faculties.
Without a moderately high degree of standardisation at QUT, students and staff could
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not cope with the multi-campus nature of the university. However, faculties have their
own servers, systems and installations, and a relative degree of flexibility is allowed in IT
architecture and technology to facilitate appropriate teaching, learning and research
strategies.
QUT has a standardised Online Teaching system (OLT). This facilitates the students’
access to teaching resources and technologies. QUT has a highly evolved management
information system called QUT Virtual that provides a direct, interactive interface for
data input, data manipulation, display and reporting for both students and staff. QUT
has developed and adopted ‘best of breed’ systems for administration and academic
operation. QUT has not adopted a single enterprise system, preferring instead to ensure
interoperability of individual systems and effective data mining and reporting.
1.3 Significance of the Study Information technology planning, management and governance has changed significantly
at QUT over the past two years, and measurable progress has been made toward the
integration of planning and management of IT into the physical infrastructure planning
and management methods, and the establishment of high-level, coordinated governance
of IT. These innovations are certainly significant for QUT. They may also be significant
for the Australian university sector.
In 2000, the then Department of Education, Training and Youth Affairs (DETYA) (now
the Department of Education, Science and Training (DEST)) expressed interest in the
developments at QUT and encouraged QUT to apply for an Evaluations and
Investigations Programme (EIP) Grant. This grant partially funded the case study of
QUT’s information technology planning, management and governance methods. While
the framework appears to be unique to QUT, the outcomes from the implementation of
this framework will provide valuable materials for the sector in organisational planning,
development and management. The research for the government was to conduct the
case study of the design and implementation of the QUT framework and will be
published by DEST. This investigation formed the foundation for the thesis. The
approaches adopted by QUT have been evaluated in this thesis for their relevance and
appropriateness for information technology planning, management and governance at an
Australian university.
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1.4 Research Aims & Objectives This research aims to investigate the approaches to information technology planning,
management and governance at a single Australian university, Queensland University of
Technology (QUT), within the context of considered opinion and empirical evidence of
good practice in information technology planning, integration of IT and organisational
planning, IT management and governance.
In considering the IT planning, management and governance framework adopted by
QUT, it is important to consider some key research from the commercial and university
sectors. The reforms have evolved over a period of years and the current framework has
developed from previous experiences, both positive and negative. In order to fully
understand the current framework, it is important to consider the origins of the
framework, and the evidence from research that would support such a framework.
From observation, the QUT framework appears to be unique in its adaptation of
integration. Integration with university strategy is achieved through top-level, cross-
organisational governance. However, planning integration has been achieved through the
extension of an existing planning framework for physical and capital infrastructure to
encompass IT. It is important to determine if this unique framework to integration has
been successful, and if it has resulted in a corresponding increase in IT and overall
planning effectiveness.
The QUT framework has only been in place for a little under two years, and it is still
evolving and developing. However, within the space of this time, it should be possible to
determine the initial effect that this framework has had on the university, and whether it
has achieved benefits for IT infrastructure and services, such as those suggested by the
research from the corporate and higher education sectors elsewhere. The QUT
framework itself is adapted from these other models, and applied within the Australian
university context, with possibly some problems and difficulties.
From a study of the published plans and reports of the other Australian universities, the
QUT framework appears to be unique, both within the previous research and within the
Australian higher education sector. The approach to total asset management planning is
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unusual and the adoption of governance is innovative. However, it is important to
understand the context of these reforms for QUT within the Australian university sector
and whether these reforms are indeed unique.
Examination of the framework’s development and current implementation should
provide insight into the issues and challenges of continuing and developing this
framework. Examination of the successes and failures of the implementation should
provide a future direction for the university and a possible framework and challenge for
other universities in the Australian higher education sector.
The question of the applicability of the QUT reforms to other Australian universities can
only be partially addressed within the context of this study and further detailed research
would be required to fully understand the future development of the QUT framework of
IT planning, management and governance and its application within other Australian
universities.
1.5 Methodology The research involved a combined survey of integration of IT planning with university
planning at QUT, and as a case study of the information technology planning,
management and governance practices of Queensland University of Technology. The
survey questionnaire on integration was administered to the relevant population within
QUT, involved in the planning, management and governance processes. The survey
provided valuable quantitative and qualitative data to validate the relevant research
propositions, and also aided in the identification of the appropriate population for
interviews for the case study. The case study evidence includes appropriate
documentation, interviews with key staff, and observations of relevant meetings.
The strengths of survey research lie in its ability to provide an objective ‘snapshot’,
providing consistency of data and control of analysis. The strengths of the case study
approach lie in its ability to discover the reality of a situation and provide depth of insight
in description and representation. In using both methodologies, the interviews,
observation and documentation of the case study provided richness and depth of
exploration of the situation, while the survey tested the validity and reliability of research
conclusions (Gable, 1994; Sommer & Sommer, 1997).
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The survey instrument items have been validated in past empirical research in both the
corporate and U.S. higher education environments. The research has demonstrated the
effectiveness of this questionnaire in determining the level of perceived and actual
integration of IT planning with university planning, as well as the correlation of the level
of integration to effectiveness of IT planning.
A case study of information technology planning, management and governance at QUT
is appropriate to examine the level of integration and to compare to the evidence from
the corporate sector and overseas tertiary education sector. Such a case study is useful in
extending previous quantitative research conducted across multiple institutions (Lesko,
1999). Yin's (1994) seminal work on case study research design provides the essential
methodology for conducting rigorous case study research. Yin describes the value of case
studies in deriving research conclusions from practical situations. Benbasat, Goldstein
and Mead (1987) confirm that case study research is appropriate for ideographic research
in the information systems field to describe phenomena in context.
This study documents the changes, highlights the advantages and disadvantages of the
new processes and provides a possible model for change in IT management at other
Australian universities. The study initially documents the history, rationale and
development of the reforms to 2001, and then follows a twelve-month period in the
ongoing evolution of the planning and management processes.
1.6 Limitations & Key Assumptions This is intended to be a study of a single university in Australia. The data gathered in this
study is not necessarily representative of the higher education sector in Australia. Case
study research is appropriate to document and evaluate this current innovation for the
benefit of QUT and the Australian university sector. A detailed comparison or
benchmarking is not intended within the context of this study. Therefore, the potential
for generalisation of the results to other organisations is limited by their similarity in
context to QUT.
Two primary sources of data in this study are interview transcripts and questionnaire
responses. Both of these are subject to common qualitative research problems of
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reporting, individual bias, inaccurate recall of events, and the inability of the respondents
to articulate clearly their opinions and ideas. To mitigate these factors, more objective
data sources of documentation and observations have been used to corroborate verbal
reports (Yin, 1994). The survey instrument to measure the actual level of integration that
has been achieved has been implemented within a defined population within the
university to obtain a small sample of data (31 responses).
1.7 Overview of the Thesis The thesis reports the survey results and analysis, and the case study design and analysis
of qualitative data. The thesis also attempts to show the relationship and interaction of
these two sets of data. Chapter 2 provides a review of relevant literature, essentially
recent literature, to provide the necessary background in the concepts of integration of
IT and organisational planning and management, as well as IT governance and strategic
models in corporate and higher education sector. The literature also reviews the
environmental context of the Australian university sector and the universities’ strategic
response to change in organisation, management and IT development.
Chapter 3 provides the detailed methodology for the study, including the background of
selection of participants, the administration of the survey questionnaire, and the data
sources for observation, interviews and documentation.
Chapter 4 details the historical development of the QUT framework of IT planning,
management and governance, in order to demonstrate how and why the framework has
been adopted. Chapter 5 provides the results and analysis of the survey into the
integration of IT and organisational planning and management to address the unique
application at QUT of the theory of integration. Chapter 6 reports the results of the case
study, through the examination of documentation and responses in interviews and
written comments. The case study examines the IT planning integration in the Asset
Management Plan, the governance structure in place at QUT, and the approaches to
strategic management adopted by QUT, as well as the context of this framework in the
Australian university sector. The success or otherwise of these approaches are evident
through the results of the study.
12
Chapter 7 provides a summary of the research outcomes. By demonstrating the relevance
to published research literature, the implications of this framework for QUT in future
and for the Australian university sector are examined. Future issues for research and
applications of the current study are highlighted.
1.8 Summary of Outcomes The reforms in information technology planning, governance and management have
resulted in better alignment of information technology investment with QUT goals and
objectives, better benchmarking of information technology investment, better project
management of information technology development and innovation, and increased
flexibility and accountability in information technology expenditure. Strategic alignment
of IT with organisational planning and management is developing, although full
integration has not yet been achieved.
Integration of IT planning and university planning has reached approximately a level of
‘Reciprocal Integration’, where IT planning both supports and influences university
planning. Effectiveness of IT planning processes correlates to this level of integration,
and effectiveness of the process has improved as IT strategy becomes more closely
aligned with university strategy.
The Asset Management Plan integrates physical and IT infrastructure planning and
provides flexible and responsive budgeting, and consistent planning and prioritisation of
IT implementations. The strategic governance committee has educated the senior
managers of QUT in the needs and requirements of the IT infrastructure, and provided a
forum for IT planning, prioritisation and management that increases alignment with IT
goals and strategies. IT management methodology has ensured a level of return of
business value on IT investment. IT innovation is visible through the IT Project Registry,
and the IT Portfolio ensures better consistency and reliability in the IT infrastructure
through benchmarking of IT investment within QUT.
The Asset Management Plan should continue to provide the framework and integrated
structure for IT planning and asset management, with a projected result that this ‘whole-
of-asset’ focus would enable QUT to better balance and coordinate its investment in
infrastructure. The Information Technology Strategic Governance Committee is
13
following a learning pathway for a holistic vision of IT at QUT. The vision will ensure
that the IT infrastructure and projects meet current and future business goals and
objectives for the university. Evolving management reforms will provide a rigorous and
effective methodology for new IT developments from conception and adoption, to
implementation, and beyond.
QUT is providing a model for IT planning and management, with an integrated physical
and IT focus, senior governance and strategic management. It is a framework that may
be useful, in whole or in part, to other Australian universities facing similar challenges in
information technology investment, maintenance and development.
14
2. Survey of the Literature
2.1 Integration of IT & Organisational Planning & Management The benefit of strategic alignment or integration of IT planning and management with
organisational planning and management is widely accepted, but not without criticism
(Hirschheim & Sabherwal, 2001). Research generally supports the view that increased
integration of IT planning with organisation planning provides benefits such as better
support of operations, improving organisational performance, and reducing problems
with IT implementations and services (Broadbent, Weill & Neo, 1999; Hu, 2000; Lesko,
1999; Ringle & Updegrove, 1998; Teo & King, 1996). Organisations must view IT as a
way to achieve strategic goals, not as a ‘background’ resource (Kaludis & Stein, 2001;
Parker, Benson & Trainor, 1988). With the exponential developments in information
technology, rather than simply supporting and reflecting the goals and strategies of an
organisation, IT can influence and even set the directions for the organisation (Teo &
King, 1996). Indeed, Hirschheim and Sabherwal (2001) call integration a ‘two way street’
with business strategy influencing IT strategy and IT now influencing business strategy.
The research question thus emerges as to “How and why should organisations move
toward a model of strategic integration of IT planning and management with
organisational planning and management?”
The research by Earl (1993) and Cross, Earl and Sampler (1997) indicates that increased
integration is characterised by continuous interaction between IT functions and
organisational functions, as a transitions from a ‘technology’ or ‘systems’ mindset to an
‘organisational’ or ‘business’ mindset. King & Teo (1997) propose that there are key
factors in an organisation that determine the extent of strategic integration of IT
planning and management with organisational planning and management. These include
links from IT plans to organisational strategic objectives and vision, measurement of IT
performance against strategy, strong central leadership on IT issues, user participation in
IT planning, assessment of emerging technologies for organisational benefit, and high-
ranking executive leadership of IT within the organisation. Sohal & Fitzpatrick (2002)
concur that this last is considered particularly important in successful integration, the
15
senior IT executive should be no more than one level below the most senior executive in
the organisation.
Integration is so important because it is only through alignment with organisational
objectives that IT can be used to transform organisational policies and practices and
obtain full organisational acceptance of new systems and processes (Kaludis & Stein,
2001; Parker, Benson & Trainor, 1988; Teo & King, 1996; Yetton & Johnston, 2001).
Earl (1993) concludes that the legitimacy of IT functions is enhanced by the view of IT
as a strategic resource. Integration reduces false competition for resources; IT should not
be seen as competing for limited funding, but integral to organisational performance and
development. Trade-offs can then be made between all organisational priorities and
needs, and not just within IT priorities and needs (Ernst & Segall, 1995).
If the benefits of strategic integration are accepted, the next questions to arise are “Has
QUT achieved full integration of strategic IT and organisational planning?” and “Does
the level of IT planning integration correlate to an increase in planning effectiveness?”
Weill & Broadbent (1998) argue that complete strategic alignment of IT and
organisational planning is not possible or sustainable. Ciborra (1998) notes that the rate
of change in IT is faster than organisational strategy and objectives, thus producing the
need for flexibility in IT planning to adapt to rapid developments and take advantage of
emerging technologies. Alternatively, IT infrastructure development and systems
development may take several years, while the strategic framework may fluctuate with
political or economic changes. Therefore, alignment must be dynamic and ongoing, with
the flexibility and adaptability in both organisational strategy and IT strategy (Burn &
Setzo, 2000).
Organisations must also reconcile central control of IT with the need for local variety. A
university can be defined as a professional bureaucracy (Yetton & Johnston, 2001),
where the academic leadership has traditionally had a strong influence on organisational
goals and vision. Within a professional bureaucracy, an over-emphasis on central control
may reduce innovation and cause dissatisfaction in key organisational groups (Yetton &
Johnston, 2001). It is very important for organisations to consider that the ‘average fit’
may not be the best solution for all individual organisational units (Ciborra & Hanseth,
16
1998; Weill & Broadbent, 1998). Walsham and Waema (1994) acknowledge that
centralised control over IT vision may be coupled with decentralisation of task functions
for IT. Doorewaard & van Bijsterveld, (2001) propose organisations cannot just adopt a
model of integrated planning and management; they must adapt the integrated model to
the organisational context over time. Thus integrated IT and organisational planning and
management are not an event, but a process of change. It is important that integration is
seen as a process of continuous adaptation, not a singular event (Hirschheim &
Sabherwal, 2001; Sabherwal, Hirschheim & Goles, 2001).
2.2 IT Governance Research by Weill & Broadbent (1998) has demonstrated that best practice in integrating
IT planning and management into organisational planning and management involves
establishing joint organisational and technical decision making through participation in
high-level executive governance, with broad organisational representation. This allows
for a balance of executive and technical management perspectives. Research by Galliers,
Pattison and Reponen (1994) shows that ‘executive workshops’ or meetings of senior
executives in an organisation are the most successful means of planning and
implementing IT strategy. Cross, Earl and Sampler (1997) confirm that centralised
oversight of IT allows much greater control over IT infrastructure and budget planning.
IT governance, however, can be limited by the conflicting interests of multiple
stakeholders within the organisation, particularly the professional (academic) and
administrative perspectives (Ciborra & Hanseth, 1998; Yetton & Johnston, 2001).
In universities, for example, representation on a high-level governance committee should
include top university executives, IT executives and key academic and administration
executives (Foster & Hollowell, 1999; Nelson & Davenport, 1996). This will ensure
better organisational acceptance of decisions from this committee and commitment to IT
strategy and plans (Hu, 2000; Weill & Broadbent, 1998). Participation in IT management
is critical, and communication strategies must be developed between the governance
committee and the middle management to ensure measurement of the IT infrastructure
and innovation against organisational strategy (San Francisco State University, 1998).
Effective IT governance supports the organisational goals and objectives through
integrated planning, allocation of responsibilities, governance priorities for IT initiatives,
17
and monitoring of IT performance and outcomes (Korac-Kakabadse & Kakabadse,
2001). High-level strategic governance allows for the identification of strategic
opportunities for innovation as well as ensuring the overall development of adequate IT
infrastructure and services. Governance requires strong leadership and differs from
management in the longer-term view of internal and external environmental factors and a
‘big picture’ view of the overall strategy for IT within the organisation (Cornish &
Morton, 2001; Weill & Broadbent, 1998). There is a need for clear business vision for IT,
linked closely to the organisational and sectoral situations (Walsham & Waema, 1994).
Generally, three models of IT governance are proposed in the research (Korac-
Kakabadse & Kakabadse, 2001; Sambamurthy & Zmud, 1999; Sohal & Fitzpatrick, 2002;
Yetton & Johnston, 2001): a centralised model, a decentralised model and a hybrid
model. The model adopted within an organisation will depend on the organisational
culture, the budget, the need for economies of scale in IT implementations, and the
overall level of IT sophistication in the organisation. The hybrid model is generally felt to
be most advantageous, providing centralised governance of organisational IT needs and
direction and decentralised participation in planning, IT use and project management.
Weill & Broadbent (1998) conclude IT governance mechanisms must then adapt to
changes in the organisation and external environmental factors.
2.3 IT Strategic Planning & Strategic Management Foster & Hollowell (1999) argue planning for IT must be at the corporate level,
integrated into organisational planning or it may appear as technically motivated and the
organisational benefits of IT implementations may not be visible to the entire
organisation. Earl (1993) concurs that IT strategic planning requires a ‘holistic or
interdependent view’ (p.17). Bacon (1992) concludes corporate managers and IT
managers agree that support of explicit and implicit organisational objectives is the most
important criterion for IT investment decisions, although budgetary constraints
frequently play a significant role as well.
Annual planning for information technology is insufficient and a long-term focus is
needed. This can only be achieved through a planning cycle and structure that takes the
broad goals of the company into account, rather than the specific information
technology goals and strategies of individual sections (Weill & Broadbent, 1998). IT
18
strategy should determine planning on three levels; planning for capital developments,
planning for access and use, and planning for client needs and organisational functions.
Priorities may then be determined across all organisational sectors, academic activities,
administrative functions, physical infrastructure and IT infrastructure. Planning activities
must be closely linked to the organisational budget (Ernst & Segall, 1995; Foster &
Hollowell, 1999). Successful strategic planning will facilitate alignment of IT initiatives
with organisational objectives, disseminate knowledge about IT needs and constraints,
build alliances with decision makers, assists with budgetary lobbying, and addresses
current and potential future needs (Ringle & Updegrove, 1998).
According to Earl (1993), many business strategies require significant adaptation and
interpretation to be useful in IT strategic planning. IT strategic planning is potentially
risky, due to the rate of change in IT and the inability to accurately forecast costs and
benefits of IT implementations (Bacon, 1992). Therefore, IT strategic planning should
focus on the issues beyond short-term maintenance and problem solving and also
provide flexibility for unforeseen circumstances. A discretionary fund can be inbuilt into
the budget to react rapidly to IT development or emerging priorities (Ringle &
Updegrove, 1998).
Successful strategic planning for IT must also include plans for tracking and monitoring
IT implementations, as well as measurements of outcomes for the organisation (Lederer
& Sethi, 1992). Periodic re-evaluation of strategic priorities should be linked to annual
operational planning and budgeting allocation (Bacon, 1992; Foster & Hollowell, 1999;
Hu, 2000). IT planning should be for the entire lifecycle of the IT infrastructure or
information system and include components in the capital budget of the organisation for
replacement, maintenance and upgrade (Foster & Hollowell, 1999; Green & Jenkins,
1998; Ritschard & Spencer, 1999).
Strategic planning alone does not reflect the changing demands and the need for
adaptability of an organisation. This indicates a need for mechanisms to provide this
flexibility and strategic management of IT (Ciborra & Hanseth, 1998; Lesko, 1999;
Galliers, Pattison & Reponen, 1994). Strategic management of IT will ensure that
planning is carried to the next level, and can respond more rapidly and decisively to
change. Project management and financial management will not support the needed
19
flexibility or allow benefits to be realised from IT implementations across the
organisation (Bergeron, Raymond & Rivard, 2001; Kaludis & Stein, 2001; Stern, 2001).
Strategic management is also a layer below governance, providing the catalyst to translate
the organisational vision for IT into IT infrastructure and services, and to achieve
organisational outcomes (Burn & Setzo, 2000; Nelson & Davenport, 1996; Sohal &
Fitzpatrick, 2002). Strategic management requires measurement of IT implementation
and use against strategic objectives and organisational performance to ensure better
development of IT infrastructure and support for strategic goals (Broadbent, Weill &
Neo, 1999; Sohal & Fitzpatrick, 2002; Weill & Broadbent, 1998).
Galusha (2001) notes IT management has traditionally been founded on a project
management model. Although inadequate to fully address the strategic development and
maintenance of IT infrastructure and services, the project management methods of
organisations are still critical to successful IT innovation and adoption. IT project
management must adopt rigorous life-cycle methods in order to achieve full
organisational benefit. Galliers, Pattison and Reponen (1994) noted the failure of IT
projects due, in part, to the lack of a project sponsor or champion. The use of project
sponsors provides both organisational championship of IT projects and broader
organisational acceptance of IT implementations (Burbridge & Friedman, 1988; Slater,
1998).
Parker, Benson & Trainor (1988) conclude strategic management of IT costs and
benefits requires evaluation of economies of scale and scalability of IT, as well as
measurement of return of investment against organisational outcomes. Bacon (1992) and
Galusha (2001) prepose that return on investment and benefits of IT may be difficult to
quantify, but may be better expressed in terms of organisational goals. Benefits may
come from improvements to client satisfaction, or reductions in staff time or effort
(Kaludis & Stein, 2001).
2.4 The Framework of Strategic Integration for IT Planning, Governance and Management One of the key limitations of the research conducted by King and Teo (1997) into
establishing the level of integration and by Teo and King (1996) in correlating the level of
20
integration to planning effectiveness was that of using a single data point across multiple
organisations. Lesko (1999) perpetuated this limitation by using a single data point across
multiple higher education institutions. This created the potential for error in survey
populations, with the selection of a single respondent within an organisation. Other staff
members, performing different functions in different sections of the organisation, may
have differing views of both the level of IT integration and the level of effectiveness.
Thus, to extend the theory that this research proposes, it is necessary to test the question
of strategic integration and its benefits with multiple viewpoints across and organisation
and combining these viewpoints into an overall view or picture of the level and success
of IT planning integration within that organisation. Such research may suggest changes
to the theory, and recommendations for application of the theory.
Walsham and Waema (1994) propose a framework for analysis of IT strategy in
organisations, based on the content, context and process of strategic alignment. The
content of alignment relates to the strategy itself and the organisational changes. The
context relates to the broader organisational, sectoral and national contexts that affect
and are affected by the strategy. Finally the process describes the changes over time, and
the impact on political perspectives. This framework for analysis is particularly relevant
to the conduct of a case study, which examines a phenomenon in context, and attempts
to generalise from that context to a broader environment, based on the quality of the
analysis (Walsham & Waema, 1994).
Given the body of evidence in support of strategic integration of IT planning,
management and governance, with organisational planning, management and
governance, and given the support for change to traditional IT strategic planning and
management processes, the questions must arise; “Has there been significant benefit
from the new QUT IT governance and management framework and has the integration
of IT planning and budgeting provided measurable improvements?” and conversely;
“Have there been any significant failures or non-successes in the QUT framework of
centralised governance and management and integrated planning for IT?” Measurement
of these successes or non-successes in developing the integrated strategy at QUT
provides both the context and the process to the changes themselves. Walsham and
Waema (1994) propose that research into the application of integrated IT strategy must
be tested and extended in other contexts.
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2.5 The Australian University Environment If the QUT model is truly innovative in its adaptation of IT planning, management and
governance theory, the question emerges, “How does the QUT framework of IT
planning, management and governance fit within the context of other Australian
universities?”
The report Meeting the Challenge (2002) demonstrates that universities in Australia are
regulated by both the state and federal governments. They are largely dependent on
public funding, but a period of dramatic change, both in corporate and financial
management. Australian universities are required to maintain a very high degree of public
accountability through reporting mechanisms and have the structure and complexity of
large-scale business organisations. Despite pressure from the government and economic
forces, Australian universities seem constrained in the extent to which they can respond
to and capitalise upon business and innovation opportunities. Additional change is
required in the governance and management of universities to respond fully to the
changing socio-political and economic environments, and to capitalise on technological
innovation. Ernst & Segall (1995) also point out universities all over the world are
undergoing a period of intense and difficult change. Rapid change in the structure,
management, operation and clientele of U.S. higher education institutions is also being
forced by a combination of political, social and economic factors. In considering why
organisations should transform their IT processes and practices, Cross, Earl and Sampler
(1997) note that increased flexibility and radical transformation is necessary to adapt to
today’s continuously changing environment.
Since the 1980’s and increasingly throughout the 1990’s, Australian universities have
become much more entrepreneurial in their management and planning practices. This
shift has been driven largely by a corresponding shift to a market-driven environment for
the universities and changing government policy that has decreased state funding and
promoted competition for existing funds (Gallagher, 2000). The reduction in
government funding to public universities has forced the need to seek and strengthen
other sources of funding and market opportunities, such as industry grants and
international students (Kaludis & Stein, 2001; Setting Firm Foundations, 2002). Within
22
Australia, the growth in higher education participation is combining with changing
student expectations from university courses to put increased pressure on universities to
provide both quality and quantity in education. New non-traditional competitor are also
entering the higher education market and producing increased competition for students
(Gallagher, 2000). Pressure is increasing from the Australian government for radical
change to the funding models for higher education, to address the issues of affordability
and to optimise outcomes from higher education (Setting Firm Foundations, 2002).
Another key factor is, of course, the rapid rate of IT development and the adoption of
the latest technological innovations in universities. IT infrastructure and use is now an
essential part of university activities in all spheres (Green & Jenkins, 1998). Effective use
of IT administration, IT funding strategies, network infrastructure and emerging network
technologies, IT staffing and training and deployment of IT in teaching and learning, are
the key IT questions facing all higher education institutions (Lembke & Rudy, 2001).
Electronic mail is replacing print, innovations and adoption of electronic teaching and
learning is increasing, the Internet is becoming a vital source of information and scholarly
communication, and high performance computing is increasingly impacting upon
research activities (Foster & Hollowell, 1999; Yetton, 1997).
IT is also being used in universities to transform and reengineer administrative activities
such as enrolment, dissemination of student information, and e-commerce (Ernst &
Segall, 1995; Yetton, 1997). As yet, little information is available in Australia on IT
expenditure or infrastructure in the universities (Yetton, 1997). Benchmarking IT
expenditure is difficult due to the difference in university structures, the rate of change in
IT, and the variations in IT ownership across the institutions (Green & Jenkins, 1998).
However, it is clear that the IT investment is considerable for all universities, and the
importance of IT in the university’s overall budget is increasing.
All of these factors, reduction in funding, increase in IT implementations, changing
student numbers and expectations, and increased competition, are forcing an emphasis
on accountability and the efficiency and effectiveness of resource utilisation. Universities
in Australia are required to become more corporate in their style of management, rather
than the more traditional collegial style of management (Meek & Wood, 1997, Meeting the
Challenge, 2002). Various government reports and reforms within Australia and the
23
development of policies from federal and state governments have had a marked
influence on the changes to management practices (Gallagher, 2000; Meek and Wood,
1997). This corporate management style includes practices such as strengthening central
management, developing capital management, rigorous financial management, and strong
central planning processes. Focus is shifting from operations management to a client
service focus, requiring performance monitoring and quality audits. Universities are
becoming more strategic in their approach to planning and utilisation of resources,
including IT (Gallagher, 2000).
2.6 Australian Universities’ Strategic Response To be successful, universities must adopt a strategic framework in which rapid change
can occur (Meeting the Challenge, 2002). Strategic planning is already prevalent across all
Australian universities (Anderson, Johnson & Milligan, 1999). Although widely utilised,
traditional, corporate strategic planning has not been very successful in the higher
education sector. A stronger focus on the external environment, particularly the political
and academic environments, is required to frame the strategic goals. Additionally,
insufficient effort has been made to translate the strategic plans into operational plans
and day-to-day activities. Finally, key strategic questions about the universities’ clients
must be addressed within the strategic planning process (Anderson, Johnson & Milligan,
1999; McClamroch, Byrd & Sowell, 2001; Rowley, Lujan & Dolence, 2001).
Strategic planning for higher education institutions must address the university’s strategy
and focus on improving core academic and administrative functions. Strategic planning is
most successful in this environment when all sectors of the university are involved and
committed to the plan, by focussing on common issues and priorities, such as client
services (Gibson, et al, 1999; Rowley, Lujan & Dolence, 2001). QUT planning practices
are largely driven by high internal cohesion and adherence to broad university mission
and goals. However it is important to ensure flexibility and diversity within operational
units and faculties. QUT places a very high priority on setting strategic goals and
establishing the necessary strategic management framework to achieve these goals and to
monitor performance against these objectives (Gibson, et al, 1999).
Even when strategic planning achieves university-wide consensus and commitment, it is
not enough to ensure the success of the plans. More flexibility and adaptability is
24
required to respond to changing priorities, particularly for IT. Strategic planning must be
combined with annual, operational planning and budget allocation. Monitoring processes
must be built into plans and regular reviews carried out to ensure appropriate priorities
and funding levels (Anderson, Johnson & Milligan, 1999; Gibson, et al, 1999; Hu, 2000;
McClamroch, Byrd & Sowell, 2001; Rowley, Lujan & Dolence, 2001).
The university sector has traditionally been an early adopter and innovator with IT. The
universities have utilised IT to support and enhance academic teaching, administrative
functions and information resources. However, IT has been seen as a support function in
the sector, rather than a critical driver for change and reengineering. This perception
must change in order for universities to survive and succeed in this technologically driven
age (Nelson and Davenport, 1996, Foster and Hollowell, 1999). Universities must select
IT investments that support organisational strategy, and IT developments must have the
full support of senior executives, including the Vice-Chancellor, as well as the academic
sector (Yetton, 1997).
Despite the heavy reliance on strategic planning as a key management tool, very few
universities have strongly developed strategies relating to information technology, and
demonstrate little synergy between the institutional strategic planning process and the
information technology planning process. Only a few of the plans investigated by
Anderson, et al (1999), have explicit budgetary provision for information technology.
Consideration of the planning and strategies for development and maintenance of IT
infrastructure within higher education institutions must take into account the institution
itself, as well as the political, societal, economic and technological forces impacting the
sector. However, the ‘real-world’ considerations of budgetary constraints and historical
developments will also determine the ability of universities to develop IT infrastructure
and manage the benefits of technology. Thus the final question arises of “What is the
significance of the reforms to the future of IT for QUT and the Australian higher
education sector?”
2.7 Summary In assessing the literature on IT planning, management and governance within an
Australian higher education context, several research questions have arisen. These
25
questions provide the context for a detailed case study of the specific framework adopted
for this purpose by QUT.
QUT, as an Australian university, must respond to both government imperatives and
market demand. The increasing focus on client service and the emphasis on
accountability and effective resource utilisation are driving the growth of strategic
planning and strategic management. The IT explosion has affected all spheres of
operation and development, academic, administrative and financial. Universities must
respond by ensuring the IT infrastructure, services and projects support the
organisational strategy and provide maximum benefit across the university.
Evidence is strong from the corporate and higher education sector that integration or
strategic alignment of IT and organisational planning and management provides
significant benefits in terms of organisational acceptance and adoption and benefits
realisation, providing sufficient flexibility is maintained for local variation. A framework
of executive governance for IT, with broad university representation, provides the
oversight and strategic direction for IT infrastructure, use and innovation. A strong
strategic planning process, integrated with other key areas such as capital and physical
infrastructure planning, provides the ability to address needs and priorities across
multiple university sectors and functions. Strategic management then provides the
necessary links to operational plans and performance evaluation that allows the university
to maximise the benefits of its IT infrastructure and services.
So the research questions identified also provide specific propositions that may be tested
in this research.
Table 1. Research questions and research propositions
Questions Propositions Question 1: How and why should organisations move toward a model of strategic integration of IT planning and management with organisational planning and management?
a) Integration is necessary for successful IT planning, budgeting and management.
b) Integration improves IT planning and management processes.
c) Successful governance of IT must be framed within institutional objectives and with high-level representation and consultation.
d) Successful IT management must manage innovation and development within the framework of specific objectives and new technologies.
Question 2: Has QUT achieved full integration of strategic IT and organisational planning?
e) A level of integration is evident to demonstrate where university and IT strategies are developed concurrently in the same integrated planning process.
26
Questions Propositions Question 3: Does the level of IT planning integration correlate to an increase in IT planning effectiveness?
f) A level of planning effectiveness is evident and is related to the level of integration of IT planning with university planning.
Question 4: Has there been significant benefit from the new QUT IT governance and management framework and has the integration of IT planning and budgeting provided measurable improvements?
g) Successful IT planning, budgeting, governance and management is framed within the context of goals and objectives and physical infrastructure planning and development; providing increased accountability and flexibility for IT expenditure; and realisation of benefits.
Question 5: Have there been any significant failures or non-successes in the QUT framework of centralised governance and management and integrated planning for IT?
h) Unsuccessful IT planning, budgeting, governance and management is not fully integrated and aligned with strategic direction; so that flexibility of funding is still limited; and potential exists for greater benefits realisation.
Question 6: How does the QUT framework of IT planning, management and governance fit within the context of other Australian universities?
i) The QUT framework of IT planning, budgeting, management and governance is different from current practices at other Australian universities, in that it demonstrates increased integration with physical infrastructure, and greater synergy with institutional goals and strategies, than other frameworks.
Question 7: What is the significance of the reforms to the future of IT for QUT and the Australian higher education sector?
j) More successful IT planning, budgeting, governance and management will require further integration into organisational planning and physical infrastructure planning and budgeting; and more central coordination.
k) Elements of the QUT framework can be adapted and adopted by other Australian universities.
Efforts to restructure IT planning and management, to integrate it with other asset
planning, and to establish high-level governance are strongly supported by the literature.
As Yetton points out;
Universities that are already adopting innovative IT management structures may be building a long term advantage as the environment of higher education changes to one where IT plays a key role. (Yetton, 1997, n.p.)
27
3. Methodology
3.1 Research Design Study of the innovations at QUT is based on the desire to understand the content of the
changes themselves, the context in which they occurred, and the process of the changes
over time (Walsham & Waema, 1994), through the relevance to published research on
good practice in IT planning, management and governance. Benbasat, Goldstein and
Mead (1987) point out that research in the Information Services (IS) field usually evolves
from studying practical innovations. Benbasat, Goldstein and Mead also note that the ‘IS
field has also seen a shift from technological to managerial and organizational questions,
and consequently more interest in how context and innovations interact’ (p.370). The
research propositions were developed from the research questions that emerged from the
literature. The propositions were designed to provide a basis for testing these questions.
As well as the study of the implementation of the QUT framework itself, the success or
otherwise of this framework is investigated through the survey and the case study.
Previous cross-institutional research by Lesko (1999) demonstrated benefits of increased
integration between IT and institutional planning. Among Lesko's conclusions and
implications for further research, he notes that future study could focus on a single
institution, implementing the questionnaire, as well as examining documentation and
conducting interviews of staff at all levels involved in planning and governance (pp.121-
122).
Rigorous methodology is used in the current context to describe IT planning and
management innovations at QUT. This may lead to more generalised conclusions,
applicable to other institutions in the Australian higher education sector. The
examination of the QUT redevelopments in the light of research from the corporate
sector and from tertiary education institutions in the United States and elsewhere will
illustrate the relevance of the framework adopted by QUT for information technology
planning, management and governance.
The survey was tested by King and Teo (1997) and then adapted and tested by Lesko
(1999). For the current research, the survey was further adapted to provide opportunities
28
for qualitative comments and examples to support the subjective ratings. Similar data
analysis and testing to Lesko’s application of the survey was appropriate in this study.
The case study has been designed through applying Yin’s (1994) Case Study Protocol
(see Appendix A). Research began with preparation of potential research questions and
propositions, based on literature research, within the context of the QUT example. This
allowed a more careful design to be established, and the identification of data sources
that were cross-linked to the research propositions. Rigorous collection of data included
examination of documentation, semi-structured interviews with key staff from multiple
levels and sections of the university and direct observation of key meetings and
committee operations. A variety of research methods were used against each proposition
to ensure triangulation of evidence to support or refute the propositions. Careful records
were kept of each stage of the research.
3.3 Survey of Integrated IT Planning & Management In their research into integration of planning, King and Teo (1997) have used a survey
research tool that assesses perceived integration of the planning systems and then uses a
series of benchmarks to test the actual level of integration. There are four levels of
integration in the King and Teo model.
1. Administrative Integration is defined as having a weak relationship between
university planning and information technology planning as shown by the dotted line
above. Generally, there is little significant effort to use information technology (e.g.
computers, telecommunications) to support University plans.
2. Sequential Integration is defined as having a sequential relationship between
university planning and information technology planning. University planning
provides directions for IT planning. IT planning primarily focuses on providing
support for university plans.
3. Reciprocal Integration is defined as having a reciprocal and interdependent
relationship between university planning and information technology planning. IT
29
planning plays a role in supporting and influencing University plans.
4. Full Integration is defined as having little distinction between the university
planning process and the information technology planning process. University and
IT strategies are developed concurrently in the same integrated planning process.
King and Teo (1997) also have shown that organisations typically move through these
levels from one to four, and rarely move backward. Thus integration of IT planning and
organisational planning can be seen to be evolutionary.
The survey was adapted for this research (with the permission of Thompson Teo). Seven
point Likert scales were used in preference to four-point Likert scales for testing five of
the integration benchmarks and the four effectiveness benchmarks. A qualitative element
was added, with a prompt and space to provide a written comment, to each of the
numerical benchmark measures to provide additional richness to the data with written
comments and examples. This qualitative data proved particularly effective in terms of
adding to the case study, and obtaining detailed information from a single institution, as
opposed to cross-institutional comparisons. The questionnaire design was evaluated by
the research supervisor and one of the original survey designers (Thompson Teo). The
survey instrument was also approved for ethical use within the research by the University
Human Research Ethics Committee. In his summation of his 1999 research, Lesko notes
that research within a single institution would be appropriate to extend and confirm his
research across multiple higher education institutions. Such research seemed ideally
suited to using the survey to add to the case study research in this context. The
statistically valid benchmarks used in the questionnaire provide a specific measure of
variables such as the purpose and triggers of information technology planning within the
university, the function of information technology, user participation in information
technology planning and evaluation of information technology benefits.
3.3.1 Questionnaire Design The questionnaire was designed around an initial measure of perceived level of
integration of IT planning with university planning, through a simple choice of the four
levels of integration. Ten benchmark measures of actual level of integration were used
to validate the perceived level of integration. These benchmarks have proven to be
30
statistically viable measures of integration of business planning and information systems
planning (King & Teo, 1997). Four more benchmark measures tested the perceived
level of effectiveness of IT planning. These benchmarks have proven to be statistically
viable measures of the level of integration against the effectiveness of IT planning and
management (Lesko, 1999). Opportunities were provided against each benchmark to
provide qualitative examples and comments, and a final section was included for
additional comments. A copy of the survey questionnaire is included in Appendix C.
3.3.2 Measure of Perceived Level of Integration The perceived level of integration was measured on a four-point scale, as the respondent
selected a measure of perceived level of integration of information technology planning
with university planning: 1 Administrative Integration; 2 Sequential Integration; 3
Reciprocal Integration; 4 Full Integration.
Administrative Integration
Sequential Integration
Reciprocal Integration
Full Integration
3.3.3 Benchmark Measures of Level of Integration Benchmarks 1-5 were four-point scale measures of integration, where the respondent
selected measures of the level of integration of information technology planning with
university planning, according to specific benchmarks. The selections on the four-point
scale corresponded precisely with the four levels of perceived integration.
University Planning
IT Planning
University Planning
IT Planning
University Planning
IT Planning
Integrated Planning
31
Table 2. Integration benchmarks and measures (I1-I5)
Integration Benchmarks
Measures
I1 Whether IT planning facilitates work processes, facilitates university planning, influences university planning, or is joint with university planning
I2 Whether IT functions are technical in nature, facilitate university strategy, influence university strategy, or are joint with university strategy
I3 Whether the role of the Pro-Vice-Chancellor (Information & Academic Services) in IT planning is as a functional administrator, an IT implementation expert, an IT strategy expert, or an integral member of senior university management
I4 Whether performance measures for IT are their operational efficiency, their contribution to QUT strategy, their quality of inputs to strategy formulation, or their long-term impact on QUT
I5 Whether the triggers for IT development are automation of work processes, consideration of QUT goals, consideration of goals and possibilities, or the critical role in QUT strategy
(See Appendix C for full instrument)
Benchmarks 6-10 were seven-point, reversed, Likert-scale measures of integration, where
the respondent selected measures of the level of integration of information technology
planning with university planning, according to specific benchmarks. The measures rated
each benchmark from 1 (Almost Always) to 4 (Occasionally) to 7 (Very Seldom).
Table 3. Integration benchmarks and measures (I6-I10)
Integration Benchmarks
Measures
I6 The frequency of participation in IT planning of the top QUT management staff I7 The frequency of participation in IT planning of staff I8 The frequency of participation in IT planning of students I9 The frequency of the Pro-Vice-Chancellor (Information & Academic Services) in
general and physical planning I10 The frequency of consideration of new technologies in IT planning (See Appendix C for full instrument)
3.3.4 Benchmark Measures of Effectiveness of IT Planning & Management Benchmarks 11-14 were seven-point, reversed, Likert-scale measures, where the
respondent selected measures of the level of effectiveness of information technology
planning, according to specific benchmarks. The measures rated each benchmark from 1
(Strongly Agree) to 4 (Agree) to 7 (Strongly Disagree).
Table 4. Effectiveness benchmarks and measures (E1-E4)
Effectiveness Benchmarks
Measures
E1 Whether the IT planning and governance model can be characterised as smooth-running and efficient
32
Effectiveness Benchmarks
Measures
E2 Whether the IT planning and governance model can be characterised as well-informed about its impact on the university
E3 Whether the IT planning and governance model can be characterised as aware of the implications and assumptions implicit in the processes
E4 Whether the IT planning and governance model can be characterised as a process that leads to improved quality for the university
(See Appendix C for full instrument)
3.3.5 Survey Population & Respondents The original research by Teo and King (1996) tested the theory of integration of IT
planning against IT planning effectiveness against a population of single respondents
from multiple, commercial organisations. Lesko (1999) extended this theory by testing it
against a population of single respondents from multiple higher education institutions.
These results suggest the potential for error in survey populations, with the selection of a
single, executive respondent within an organisation. It is likely that other staff members,
performing different functions in different sections of the organisation, may have
differing views of both the level of IT integration and the level of effectiveness.
For this reason, multiple viewpoints of respondents from multiple sectors of the
university were identified for the survey. This diversity of respondents from within a
single organisation should give a broader and more accurate perspective on both the level
of integration of IT planning with university planning, and on the correlation to
effectiveness of IT planning, thus extending the theory proposed and validated by Teo
and King (1996).
The questionnaire was administered to 54 staff across QUT, from the groups of: QUT
Senior Managers; IT Project Managers and Planning Managers; and IT Consultative
Group. Staff from across the academic and administrative sections of the university are
involved in IT planning and management. Staff from the Division of Information &
Academic Services, including the IT Services department, formed a significant
proportion of the population. However, the respondents were selected to be as widely
representative as possible and included staff from the Division of Administration
Services, and the faculty Deans and IT managers within the faculties.
31 valid responses were received, a respondent rate of 57.4%. Four responses were
anonymous. The list of respondents is available in Appendix B.
33
3.3.6 Data Analysis For each of the benchmarks, data for each of the measures was collated and mean scores
were computed for each group and for the entire respondent population. Insufficient
responses were received from individual groups to provide statistically valid
comparisons, but overall trends between levels of IT and university managers were
observable. The mean scores were tabulated.
In computing Likert scale scores, different scales are not normally used. However, in
order to represent the first five benchmarks, a four-point scale was required.
Additionally, reversal of the scale in the questions was used in order to avoid central and
halo scoring effects. To compute accurate comparisons between the differing scales, the
categories were normalised in the analysis (Sonquist & Dunkelberg, 1977). To calculate
valid averages of the ten integration benchmarks, and to represent the averages in an
intuitive graph, the scores were revised to a standard, four-point, unidirectional, positive
scale (one is lowest; four is highest). The scores for the counter-intuitive Likert scale
responses were first reversed, and then a calculation was made to pivot the end points
and scale the remainder.
The formula used was [0.5*(n-1)+1], where n was the 7-point score.
The same was done for the four effectiveness benchmarks, in order to provide valid
averages for comparison to the integration averages, and to represent the averages as an
intuitive graph.
Spearman’s rho correlation coefficients were calculated to validate the integration
benchmarks against one another, as measures of the actual level of integration. A
correlation was also calculated to validate the averages of the benchmark measures of
integration with the averages of the perceived measures of integration.
Spearman’s rho correlation coefficients were calculated to validate the benchmarks
measures of effectiveness against one another, as measures of IT planning effectiveness.
Finally, a correlation of the averages of the benchmark measures of integration with the
averages of the benchmark measures of effectiveness was calculated, to determine if a
significant, positive correlation was apparent between integration and effectiveness of IT
planning.
34
Spearman's rho correlations are a more rigorous analysis than those conducted by Lesko
(1999), which constituted simple percentage comparisons of respondents' integration and
effectiveness scores. This analysis was inadequate for the purposes of the current
research, particularly within a single organisation. The quantitative data from the survey
was analysed using Microsoft Excel and the SPSS statistical software.
3.4 Case Study Data Sources & Analysis The case study design is based on the triangulation of data from interviews,
documentation, observations and relating this data to the research propositions. In this
sense, the propositions are the set of variables used to establish if the case study matches
the patterns of best practice for IT governance, planning and management, established in
the literature survey. The quantitative data collected by Teo and King (1996) and by
Lesko (1999) suggests the relevance of integrated IT planning to multiple institutions.
The theory established by this can be tested within a single institution, using more rich
and diverse data sources. These multiple sources of data validated research conclusions
and confirmed subjective perceptions.
3.4.1 Data Sources Table 5. Data sources, participants and potential evidence for research questions
Data Participants Potential Evidence Interviews Senior QUT Management;
Senior Faculty and Division staff; IT planners; IT project managers
Perceptions of levels of integration Perceptions of success of new management and governance framework Background to development of framework
Documentation Plans and management reports; committee meetings; IT project proposals and reports; budget documents
Verification of background to changes in approaches and practices Evidence of actual levels of integration in planning and success of governance and management framework
Observations Information Technology Strategic Governance Committee; other specific meetings
Evidence of actual levels of integration in planning and success of governance and management framework Evidence of ongoing changes to practice
Comparative Data
Plans, Annual Reports, Committee Terms of Reference (other Australian universities); interviews with selected representatives of other Australian universities
Evidence of comparative structures in IT planning, management and governance Evidence of comparative roles in senior staff for IT planning, management and governance Evidence of levels of integration of IT planning with organisational planning at other universities
35
Documentation included university strategic plans, IT plans and asset plans, budget
documents, planning documentation, IT project management documentation, committee
terms of reference, committee agendas and agenda papers, committee minutes, and audit
reports on services and operational effectiveness. Observations were primarily of the
Information Technology Strategic Governance Committee (ITSGC) and related IT
governance and management meetings.
Interviews were held with staff across the university. The respondents were selected to
be widely representative of the IT managers and planners from central service divisions
and academic faculties. The respondents include the members of the ITSGC, other
senior university managers such as the Pro-Vice-Chancellor (Research & Advancement)
and the faculty Deans, the three directors within the Division of Information and
Academic Services, other senior managers from within the Library and Teaching and
Learning Support Services, and a variety of operational and project managers within
Information Technology Services.
Respondents were contacted and interviews requested, regardless of whether they had
responded to the questionnaire. Despite repeated attempts to contact some key staff, it
was impossible, within the research time frame, to interview all staff involved in IT
planning and governance. A detailed list of all data sources, including interviewees, is
included in Appendix B. The interviews were semi-structured with a series of questions
to introduce concepts and guide the process, but the process was largely open for the
interviewees to respond and discuss issues, as they preferred. The interviews were
approximately 30 minutes in duration and were audiotaped and transcribed.
In recruiting staff to participate in the research at QUT, it was made clear that
participation was entirely voluntary and no negative consequences could ensue from
participation or non-participation as the researcher had no influence over current or
future work practices or performance evaluation. It was further made clear to all
participants that individual results are entirely confidential and no person or group would
be identifiable in published results. Only the researcher and advisors have had access to
individual results.
36
To collect comparative data from other Australian universities, web documentation was
examined, and university annual reports were collated. These were examined carefully to
identify IT planning and governance committees. Any mention of IT planning or
governance was examined carefully for points of comparison to QUT. Several
universities mentioned high-level IT committees with representation from other sections
of the university. Additionally, any mention of asset management or integration of IT
management was considered as a point of comparison. The University of Tasmania had
the most obvious mention of asset management. From the documentation examined, a
list of eleven universities was generated with potential comparative structure, committees
or integrated management practices. Staff at these universities were then contacted for
interview. Six interviews were conducted. The transcripts of these interviews, along with
the documentation, was included in the qualitative data analysis process.
3.4.2 Data Analysis The interview transcripts, documentation sources and written comments from the
questionnaire were all analysed using the free demonstration version of Atlas.ti1 for
qualitative data analysis. Yin’s (1994) analytic generalisation method was used to analyse
the data to compare the research propositions to data from the case study and match
patterns within the data. This preponderance of qualitative data, appropriately analysed
and classified, established the necessary level of support or otherwise for the research
propositions.
The transcripts were classified and matched to a set of ascribed codes that described
levels and effectiveness of IT planning, management and governance. These codes were
designed to relate to the research propositions and questions to either support or
disprove the propositions. A full set of these codes is included in Appendix E.
With quotations within the text matched to assigned codes, matrix diagrams were created
of the codes to establish patterns and relationships. These matrices are also included in
Appendix E, as well as the number of correlating quotations from the transcripts of
interviews and observations, as well as documentation.
1 Atlas.ti Demonstration Version WIN 4.2. Retrieved 31 January 2002 from http://www.atlasti.de/
37
3.5 Relationship to Research for the Office of the Pro-Vice-Chancellor (Information & Academic Services) & the Department of Education, Science & Training The case study research was partially funded with a grant from the Department of
Education, Science & Training (DEST), Higher Education Division, Evaluations &
Investigations Programme (EIP). This grant was obtained through the QUT Division of
Information & Academic Services and advice and guidance on the conduct of the
research was received from the Pro-Vice-Chancellor (Information & Academic Services)
and the Project Portfolio Manager in IT Services, as well as from the Faculty of
Information Technology research advisors.
The results of the practical implementation of the framework for IT planning,
management and governance, as well as the benefits of the increasing integration of IT
planning with university planning at QUT are being reported as an original publication,
via an EIP Report. This report will be available via the Internet and print publication for
the benefit of the Australian higher education community. This thesis is an elaboration of
this research, with the academic rigour required of the Master of Information
Technology (Research) program.
38
4. The Evolution of Integrated Planning, Management & Governance at QUT Hirschheim and Sabherwal (2001) revealed that radical organisational transformations are
frequently the trigger for IT and business strategy integration or alignment. Since 2000,
QUT has been working to integrate IT planning and budgeting with physical
infrastructure planning and budgeting for buildings, grounds, equipment and other
university assets, via the Asset Management Plan (AMP). The university has also
established a strategic governance committee for IT, as well as rigorous IT project
planning and management practices. This study is examining the case of QUT, as it
attempts to integrate IT planning and management with infrastructure planning and
management, and implement a strategic governance framework for IT within the
university. Although compliant with many of the principles of good practice and benefits
demonstrated in previous research, this framework is rather unusual. This adaptation of
integrated IT planning, management and governance has resulted in the research
question for this study:
Question 1. How and why should organisations move toward a model of
strategic integration of IT planning and management with organisational
planning and management?
This chapter examines the origins and evolution of the specific framework adopted by
QUT and the implementation to date of the framework.
Qualitative data has been drawn from interviews with staff involved in the creation of the
integrated Asset Management Plan, staff involved in the IT Strategic Governance
Committee and other university staff involved in IT planning and management.
Documentation was examined from the periods prior to, during, and after the changes
were made to the QUT framework for IT planning and governance. This data has been
analysed and coded to match quotations and comments that may either support or
disprove the research propositions. A representative selection of these coded quotations
has been used in discussion of the research outcomes. Due to ethical considerations of
respondent privacy and confidentiality, quotation data cannot be referenced to individual
respondents. However, all representative comments have been separated from the text
and included in text boxes.
39
4.1 Historical Challenges in IT Planning & Management Prior to 2000, QUT recognised that there were significant problems in the existing
approaches of information technology planning, expenditure and overall governance at
QUT. The lack of coordinated planning of information technology development had led
to duplication of effort and uneven levels of equipment, software, systems and staffing
among faculties and divisions across the university. These problems were primarily
caused by decentralised funding and fragmented governance. In contrast, the system of
planning, funding and governance for the physical infrastructure was highly centralised
and coordinated within the Capital Management Plan.
Information technology planning and budgeting at QUT was fragmented into five
principal pools, with additional funds injected occasionally for specific projects. There
was almost no provision for growth in IT maintenance funding, despite exponential
growth in IT infrastructure and systems development. Funding for new initiatives was
almost ad-hoc in nature. Seven examples of this fragmentation are evident in the
documentation and four interview comments confirmed it.
... it was my perception that then there was big clumps of money for separate things. There was IT infrastructure; there was capital and special projects as well. 2
Allocations for new IT developments were made on a case-by-case basis with no central
purpose or direction. This of course meant that resources and efforts were duplicated
across departments and sections and communication about new initiatives was slack.
Staff across the university were unsure about the bidding process for funds, about what
pools of funding were appropriate for new initiatives or whether their bid was adequate
to ensure funding.
2 All quotations without citations are taken from confidential interviews and written comments. For a complete list of interviewees and survey participants, see Appendix B. Comments have been edited to omit quotations that may identify individuals or groups as the respondents.
40
If we wanted to do a project like install a server or put in a new training room or something like that then we'd apply for that funding, and I don't know what the process was to decide who got what. Whether people just sat around the table and decided whether something was a good idea or not… …in the past, in terms of both IT and capital, the way to get anything done in QUT wasn't always the quality of your proposal. It was being able to convince a particular person…
The uneven and patchy nature of IT planning had to be addressed at a university-wide
level, to ensure maximum business value from investment and an adequate level of
standardisation.
The initial step in addressing IT planning was to create the QUT IT Portfolio in order to
consolidate an inventory of IT projects and developments across QUT, both within the
faculties and divisions. This provided top-level insight into the nature of IT
developments and the level of expenditure on IT investments. This information fed
directly into the Asset Management Plan.
Evidence from the corporate, government and overseas higher education sectors shows
that integration of planning and governance of information technology with overall
planning efforts brings significant benefits such as decreased information technology
implementation problems and greater acceptance of technology transfer (Teo & King,
1996). Thus, recognition of these serious concerns prompted change to a more
coordinated and integrated approach to asset planning and management.
The obvious solution was to draw upon the existing funding and planning models for the
physical infrastructure and utilise similar approaches for the information technology
infrastructure. The concept was based on a revised format of the Capital Management
Plan (CMP), with a focus on ‘Virtual Infrastructure’ as well as Physical Infrastructure.
The CMP provided the overall strategic goals and objectives for capital development and
a strong planning framework and consolidated budget for capital initiatives that could be
readily adapted for IT infrastructure and maintenance. The new planning and
management methodology for IT were developed during 2000 and the new framework
was introduced with the QUT Asset Management Plan 2001-2003. Twenty-five
comments from interviews across the university confirm that the AMP is seen as the
appropriate framework for IT planning.
41
Planning was not the only issue in IT management. Another was strategic governance,
which did not exist at QUT prior to 1999, and six interview comments confirm that
previous governance of IT was lacking. It is also supported by four examples in the
documentation. An advisory group existed for central IT planning and management, but
this was not a group strategically placed for decision-making. As in many organisations,
IT development was patchy and inconsistent and IT maintenance and infrastructure was
considered more of a background issue than an issue for strategic development of the
university.
In order to ensure strategic development and consistent maintenance of IT at QUT,
senior level governance of the process was urgently needed. Previous attempts at
governance were initiated through committees such as the Corporate Management
Information Committee (CMIC) and its predecessors. These committees were limited in
their focus, however, and chaired at a level that did not really allow for top-level
oversight of IT infrastructure across the university.
I mean we had the old CMIC, the Corporate Management Information Committee […] I think it became fairly obvious that we had to go broader than that […] It wasn't strategic particularly it was just developing the corporate management systems ensuring they got some attention and resources.
To address issues in planning and governance of information technology, QUT has
established a governance committee chaired at the highest level of the university and
comprising representation from senior management from all sections of the university, as
well as external representation from the banking industry and from the University
Council. Such high-level governance has been established to ensure coordinated planning
and implementation of information technology developments, innovations and
maintenance, within the context of QUT overall goals and objectives. Now that the
governance committee has been established, forty-three comments from interviews
confirm that the governance committee is seen as an improvement.
42
4.2 The Evolution of the Integrated Asset Management Plan IT infrastructure at universities has been historically characterised as a support service.
Planning for IT infrastructure has therefore failed to evolve to the same high degree as
planning for physical infrastructure such as buildings and grounds. Green and Jenkins
(1998) have identified four factors that impede the development of successful
information technology plans; the failure to develop asset management plans for
information technology, the failure to develop a life-cycle approach to budgeting, the
failure to match information technology expenditure with university income sources and
the failure to develop benchmarks for return on investment in information technology.
In contrast, physical infrastructure (buildings, plant, equipment, etcetera) has usually been
conducted within the context of institutional strategy, and aligned with the goals and
objectives set by the institution. Methods and approaches for planning, budgeting and
management of physical infrastructures are generally well developed and well integrated
and can therefore provide a model for information technology approaches (Foster &
Hollowell, 1999).
4.2.1 Consolidation of IT Budgets The Asset Management Plan (AMP) evolved from the previous Capital Management
Plan (CMP) and the framework used to plan and budget for physical infrastructure was
translated to virtual infrastructure. The five principal pools of funds and special funds for
specific initiatives were consolidated into a central fund for major IT innovation and
development and maintenance of IT infrastructure.
This consolidation into a centralised planning and budgeting framework was designed to
improve IT planning and management by addressing standardisation and consistent
maintenance issues, duplication of resources and innovations, rigid funding models, a
lack of accountability and performance measurement, and a lack of visibility and
transparency in planning and innovation. This is evident in the qualitative data (detailed
in Appendix E) showing support for the proposition that the prior planning and
budgeting was fragmented and uneven, and that the current processes, though immature,
are a significant improvement.
By providing a central IT Portfolio, it is easier to maintain standards for hardware,
systems and software. It also facilitates regular updates and maintenance of information
43
technology and telecommunications infrastructure. The Project Registry provides a
picture of centralised development of IT and allows sharing of IT resources and benefits
across the university. With IT projects requiring flexibility in the timing and amount of
expenditure, a centralised pool of funds provides the potential for funds to be expended
as required on one project and withheld when necessary from another.
With coordinated planning and performance measurement, IT development must be able
to meet business objectives and provide organisational benefits. Finally, all sectors of the
university can see what major IT initiatives are being undertaken, and the benefits for the
university that will ensue from these projects are more visible.
The main pools of funds and planning frameworks that were consolidated for the AMP
were: IT Strategy ($1.98 million in 1999 & 2000); IT Capital Infrastructure ($1.4 million
in 1999; $1.6 million in 2000); IT Maintenance ($0.5 million in 1999 & 2000); IT
Contract Maintenance ($1.4 million in 1999; $1.65 million in 2000); Central
Administrative Systems ($2 million in 1999 & 2000); plus funding for specific Central
Initiatives ($0.5 million in 2000).
The funds from IT Strategy, IT Capital Infrastructure and IT Maintenance were
consolidated initially ($4.08 million) and then increased for 2001 to $4.48 million before
being amalgamated into the AMP Virtual Infrastructure funding. The funds from Central
Administrative Systems and specific Central Initiatives were also consolidated
($2.5million) and then increased for 2001 to $3 million before being amalgamated into
the AMP Virtual Infrastructure funding. The total figure for the AMP Virtual
Infrastructure funds for 2001 were then $9.13 million. The funding framework is
demonstrated in Figure 2.
44
Figure 2. Consolidation of funds for the 2001 AMP Virtual Infrastructure
IT Strategy Fund
When QUT was amalgamated in 1990 with the Brisbane College of Advanced
Education, the IT Strategy fund was initiated for central provision of hosts and network
hardware. The fund was overseen by the Pro-Vice-Chancellor (Information & Academic
Services). The decisions and strategies emerging from this fund were driven by the Pro-
Vice Chancellor and the Director (Information Technology Services), with an advisory
committee with representation from across the Division and from the faculties. The
major problems with this fund were the static nature of the fund and the lack of
flexibility in transference of funding from other projects.
IT Strategy $1.98 M (1999 &
2000)
IT Capital Infrastructure $1.4 M (1999) $1.6 M (2000)
IT Maintenance $0.5 M (1999 &
2000)
Consolidated Fund $4.08 M –
increased to $4.48 M for 2001
IT Contract Maintenance
$1.4 M (1999) $1.65 M (2000)
Central Administration
Systems $2 M (1999 &
2000)
Specific Central Initiatives
$0.5 M (2000)
Consolidated Fund $2.5 M – increased to $3 M for 2001
AMP Virtual Infrastructure
$9.14 M 2001
45
IT Capital Infrastructure Fund
These funds were drawn from the Capital Management Plan, and used for information
technology and telecommunications projects associated with capital developments.
The fund was overseen by the then Pro-Vice-Chancellor (Planning & Resources) on
advice from the Pro-Vice-Chancellor (Information & Academic Services). The funds
could only be expended with approval from the Planning and Resources department. On
one year, they were allocated after a competitive bidding process.
IT Maintenance Fund
This fund originated in the mid-1990s after the first quinquennial review, as it became
apparent there was a need to address additional ongoing maintenance of IT
infrastructure and systems. The fund was used for the maintenance of network
infrastructure, audiovisual equipment and lecture theatre technologies.
The Pro-Vice-Chancellor (Information & Academic Services) had control of this budget.
Half a million dollars was a budget figure that remained constant. It was not based on a
detailed assessment of maintenance needs. For example, requirements and usage of
audiovisual equipment and lecture theatre technologies have been exploding over the
past few years. Indeed, funding requirements for upgrades and maintenance of media-
equipped lecture theatres alone are estimated to approximate $1 million by 2004.
Additionally QUT has invested heavily in capital growth over the past decade with new
buildings, new PC laboratories and vastly upgraded network architecture to support
modern teaching, learning and research. The corresponding need for maintenance and
upgrade of this equipment was only fractionally met from the funding in the IT
Maintenance fund.
IT Contract Maintenance Fund
This fund was used for maintenance of equipment and systems under contractual
arrangements. This included software licenses, the Library system, the finance system,
the microwave spectrum between the QUT campuses, server hardware as well as staff
overtime costs in maintaining systems and servers. This fund was taken from operational
funds for the Division of Information & Academic Services and under the direct control
of the Director of Computing Services/Information Technology Services. The major
problems with this fund were the lack of flexibility in transference of funding from other
46
maintenance funds as well as the obvious growth in equipment and software
requirements. The fund was under the control of IT Services, but the scope was beyond
IT Services, and the Pro-Vice-Chancellor (Information & Academic Services) and the
Director, IT Services experienced significant difficulty in forecasting annual expenditure
requirements. Outlays larger than expected directly affected the general division’s
operating budget, and it was apparent that the planning and budgeting for this type of
maintenance had to be broadened.
Central Administration Systems (CASMAC) Fund
This fund was controlled directly by the QUT Registrar and was used for maintenance
and development of administration systems such as the Payroll and HR systems, as well
as student administration systems. Much operational control for this budget rested with
the Administration Systems Coordinator. Major upgrades and collaborative
developments were needed for these systems. However, the separate treatment of these
systems from other IT systems within the university meant that no transference of funds
was possible when specific needs waxed and waned.
Central Initiative Funds
These funds were derived from planning round negotiations in annual strategic and
operational planning for the university. Specific project proposals were submitted and
central funds allocated if the projects were approved. Funds that were available at the
time of the formation of the 2001 AMP included money for the Library’s Course
Materials Database for 2002, the ongoing SMARTA (Strategic Management And
Resourcing using Technological Advancements) project, the Web Redevelopment
project and the Prospective Students Database project. These project bids were evaluated
and approved by the Vice-Chancellor. The obvious advantage of amalgamating these
specific project funds with the entire IT funding is to allow transference of funds
between projects when specific needs fluctuate.
4.2.2 The QUT Asset Management Plan 2001-2003 The planning deficits implicit in these separate funding pools are obvious. Another
consequence of this fragmented planning was a lack of a single, coherent vision for IT
47
for the university. IT developments and implementations were sectional and silo-based,
with no coordinated oversight or transparent compliance with the university’s business
objectives and strategies.
A centralised coordinated planning framework existed for physical infrastructure, and IT
infrastructure could readily be equated in terms of planning. Drawing together all the IT
developments and maintenance into a coordinated plan with a central flexible budget was
the main theme of the QUT Asset Management Plan 2001-2003. The plan has an
overarching statement on strategic direction and objectives, and is still divided between
physical and virtual infrastructure. In terms of overall planning, IT planning is still
distinctly separate and could not be defined as ‘integrated’. However the AMP was
always seen as an iterative process, with more development of integrated planning
processes expected in future iterations of the AMP. Nineteen comments from
interviewed were analysed and coded as matching ‘processes immature’.
4.2.3 The QUT Asset Management Plan 2002-2006 One of the issues recognised in the AMP 2001-2003 was the need to review the three-
year time frame. Although it can be argued that three years is an appropriate planning
timeframe for information technology, this contradicted other planning frameworks
within QUT and the reliance on medium-term strategic planning, usually a five-year
framework. Thus the QUT Asset Management Plan 2002-2006 was designed to fit the
standard five-year planning timeframe. Annual operational and implementation planning
allows for short-term funding priorities to be addressed, within a more flexible planning
framework. This focus is supported by the data analysis. Eight interview comments were
coded as ‘planning timeframe appropriate’; 37 interview comments were coded as ‘long-
term vision/short-term planning appropriate’.
The revised plan was written with less of a focus on separation of physical and virtual
infrastructure. Still, separate budgets and plans exist for physical and virtual. However,
the concurrent evolution of the Information Technology Strategic Governance
Committee (ITSGC) has ensured a high-level oversight of IT development and
maintenance. Additional flexibility in funding and transference of funds between physical
and virtual initiatives has also been possible as a result of the ITSGC. Despite the
separation in the AMP itself, a more integrated planning process and a more flexible
funding framework is evolving in QUT. In fact six comments from interviews support
48
the notion that full integration of IT and physical planning is not appropriate, and
thirteen comments support the notion that only short-term planning is possible for IT,
whereas longer-term planning may be possible for physical infrastructure.
4.3 The Evolution of Information Technology Strategic Governance Strategic and well-coordinated information technology planning across the institution,
considered within the information technology infrastructure, academic programs and
administrative activities, will maximise the resources and effectiveness of the institution.
Weill and Broadbent (1998) highlight the need for a strong governance and management
infrastructure surrounding information technology. They point out that, ‘Top
management must set the vision for how the technology will be used, particularly the
business capabilities required of infrastructure investments.’ (p. 43) Most importantly,
using information technology to enable and fundamentally change the academic and
administrative business of an institution will create more opportunities and enhance
competitive advantage (Ernst and Segall, 1995, Foster and Hollowell, 1999).
The evolution of the consolidated Asset Management Plan and the evolution of strategic
governance at QUT are closely intertwined. A single fund for IT maintenance and
development and a single planning framework with which all sections must comply, has
meant a need for a more highly evolved system for overseeing development and
expenditure. In the era prior to the AMP, funds were overseen by different authorities.
Each pool of money had its own mechanisms for its management. Some governance
processes were evolved, and some were primitive. With the instigation of the AMP, all IT
developers and planners were required to work within the same framework of
governance, answerable to a new, separate authority.
There were some precedents for IT governance at QUT, but none with the scope to
oversee development of IT across divisions and faculties. Most central IT planning was
done separately within the Division of Information & Academic Services. Strategic
objectives for IT development were linked to the Division’s Strategic Plan and
appropriate budgets. However, no direct relationship to university planning was in place.
49
The main predecessor for governance was the Corporate Management Information
Committee (CMIC). This committee was instigated in 1996, following the quinquennial
review of the then Division of Information Services. The review considered the MIS
Steering Committee that was chaired by the Registrar, and concluded there was a need
for increased ownership of management information systems across QUT. Thus the
CMIC was formed, with more senior representation, and continuing to be chaired by the
Registrar.
In late 1997, the Pro-Vice-Chancellor (Information Services) canvassed the need for a
review into the then Department of Computing Services with the Vice-Chancellor. It was
agreed that the review would focus on the issues of management and service culture in
the department. The review was conducted by external consultants in March/April 1998.
The head of the Department of Computing Services retired from QUT at this time. The
outcome of the review was the recommendation of significant changes to information
technology governance processes. One significant recommendation was that decisions
about information technology developments be made at higher levels and in a more
integrated manner. Crucially, it recommended the appointment as soon as possible of a
new Director to launch a change and renovation process. This was pursued as a matter
of priority and by the fourth quarter of 1998, a new Director of Information Technology
Services had been selected.
Also as a result of the review the Information Technology Strategic Governance
Committee (ITSGC) was formed at the beginning of 2000. Several models were
considered for the committee, and the one selected was a very high-level, strategic
committee with representation from the faculties and, of course, from the Division of
Information & Academic Services as well as the Divisions of Administrative Services and
Planning and Resources. The Vice-Chancellor agreed to chair the committee. The
committee also includes representation from external industry. The evolutionary path to
the ITSGC is represented in Figure 3.
ITSGC has been in operation for over two years to date and the processes and scope of
the committee has evolved over that time. Recently new representation was included
from QUT University Council, the body appointed by the Queensland Government,
50
reflecting even greater recognition of the significance of IT development and
maintenance at QUT.
Figure 3. The evolution of the QUT information technology strategic governance committees
Strategic governance of information technology has provided significant benefits and
outcomes for QUT in the short time it has been operational. Like the AMP, the ITSGC
and associated governance processes are evolutionary, and changes to procedures and
even structural changes occur with almost every meeting. As previously noted, 43
comments from interview provides strong support for ITSGC as an improvement in
governance, and ten comments in interviews support the perception that QUT is leading
the way in IT governance.
4.4 The Evolution of Information Technology Management
A few years ago, IT management and planning was characterised by appalling performance, particularly in relation to IT project management. There was a reasonable level of achievement in IT innovation and project development, but largely due to very high level of effort, not due to good project management. For example, post-implementation reviews of projects showed that projects only succeeded due to a very high level of hard work… There is an exponential increase in the rate of change - from 5-10% increase to 20-30% increase in rate of change per year. We are spending significant time, resources and money on innovation to deal with this change, and we needed a disciplined approach to be efficient and effective in dealing with this innovation.
ITSGC (2000-Current)
Chair: Vice Chancellor
MIS Steering Committee
(1991-1995) Chair: Registrar
Corporate Management Information Committee
(CMIC) (1996-1999)
Chair: Registrar
Quinquennial Review (1996)
Review of Computing Services Department (1998) New Director (Information Technology Services) (1999)
Division of Information & Academic Services
Executive/ DIAS Advisory Committee
51
With the appointment of the new Director (IT Services) and the recommendations of the
external consultants, it was obvious that management of IT development was another
area that needed critical attention. Project management methodology was inconsistent
and uncoordinated within IT Services, and divorced from other sections, divisions and
faculties.
Following the recommendations of the review, another initiative was the creation of the
position of Project Portfolio Manager (PPM). The major duty of the PPM position is to
coordinate all IT related projects within IT Services and to liase directly with project
managers for other projects across the University. The PPM has no direct line
management to staff, purposely to avoid perceived bias or allegiance to a particular area
within IT Services or DIAS. The PPM works closely with the Director, IT Services and
the Pro-Vice-Chancellor (Information & Academic Services) to coordinate prioritise and
recommend on projects.
A first priority of the Project Portfolio Manager was to develop the IT Project Registry,
as a tool for IT project planning, priority setting and governance. The Registry contains
the details of all current IT projects at QUT. The projects may be minor or major IT
projects. The projects are classified by their stage of development, from pre-approval to
retired. Status reports on all projects listed on the Registry are presented to ITSGC
meetings and the Registry provides the basis for ongoing annual planning and budgeting
allocations for projects, as well as financial summaries of IT expenditure by each
development.
Senior sponsorship of projects is widely recognised as a critical step in gaining consistent
development, organisational acceptance and strategic compliance for IT implementations
(Slater, 1998). QUT initiated a program of sponsorship of IT projects, by senior
members of QUT staff, such as the Vice-Chancellor, Pro-Vice-Chancellor (Research &
Development), Deans, Registrar, and the Deputy Vice-Chancellor. This sponsorship role
is also evolving, but has been crucial to successful project management and
implementations of IT developments in several key projects.
52
Another priority of the Project Portfolio Manager was to address the university’s need to
describe comprehensively its expenditure on all IT-related activities across the university.
This eventuated as the IT Portfolio. The IT Portfolio is an informational tool that
displays all these expenses simply and clearly for use in planning. The portfolio also
details how the IT expenditure is ‘carved up’ according to different criteria, such as
central versus devolved expenditure, expenditure on development versus maintenance,
and expenditure according to the services (eg networks; software; telephones; etc.). The
portfolio was designed, not as a financial audit, but for information and planning, and
many of the costs listed are estimates and may vary by 10%.
.
Data is gathered for the IT Portfolio each year from submissions from the faculties and
divisions. Recently, a data dictionary has been defined for the portfolio, to allow for
additional standardisation and as the basis for benchmarking against other organisations.
As a tool for benchmarking, the IT Portfolio demonstrates that QUT spends
approximately 10% of total funding on IT. This is apparently consistent with similar
organisations (Lembke and Rudy, 2001), although there is no clear benchmarking
standard, which makes comparisons of IT expenditure amongst universities difficult.
Although the IT Portfolio is not comprehensive and completely accurate in figures, it
does clarify directions and initiatives and provides more visibility across QUT. It has
contributed to the breakdown of domain barriers across faculties and divisions, and
greater acceptance of requests for information. In this way, the IT Portfolio has provided
some impetus for change simply through improving visibility of the differences between
faculties and divisions. It allows the opportunity to discuss IT planning and expenditure
with all sectors of the university and provides a picture of trends across the university.
Information technology management has come a long way at QUT since 1999. However,
there are still issues with strategic governance of IT implementations and project
management methodology. For example 35 comments from interviews indicate
problems with project priorities; 28 comments indicate the need for improved
communication from the governance committee; and the ratio of comments that note
problems in project management to comments that note the success of project
management is 13:7, indicating a greater perception of problems than successes.
53
However , as has been previously recognised, it is also acknowledge that these processes
are immature.
In 2002, the QUT Internal Audit section conducted an independent review of IT project
management processes. The conclusions and recommendations of the audit are still
being considered by QUT senior managers, but many issues and problems with IT
management have also emerged as a consequence of this research.
4.5 Conclusions The evidence of the evolution of IT planning, management and governance at QUT
demonstrates support for the research propositions relating to the research question:
Question 1: How and why should organisations move toward a framework
of strategic integration of IT planning and management with
organisational planning and management?
Integration is necessary for successful IT planning, budgeting and management.
Examination of documentation and interviews with key staff involved in IT planning,
management and governance and the analysis of data confirmed this research
proposition. Analysis showed fragmented budgets for IT, a lack of long-term planning,
conflicting and shifting priorities for IT projects, a lack of consistency in IT
infrastructure, no central oversight of IT development and services, and no measures of
adequacy or benefit of IT infrastructure and innovation. Deficits existed in previous
approaches to IT planning, budgeting and management. The revised framework is seen
as the appropriate framework for IT planning and budget.
Integration improves IT planning and management processes.
Examination of documentation and interviews with key staff involved in IT planning,
management and governance and the analysis of data also confirmed this research
proposition. The Capital Management Plan approach provided alignment with
organisational objectives and planning processes, a centrally coordinated fund for
projects, priorities determined by high-level planning and governance, and effective
54
management processes to cope with change in priorities and funding structures. The IT
approaches for planning, budgeting and management reflected none of these elements,
prior to integration, and the CMP framework was a relevant model for the new
integrated approach. The AMP is seen as an improvement, and the planning timeframes
are seen as appropriate.
The budget for IT infrastructure, services and development projects is now unified under
the AMP. The AMP processes provide the operational annual planning and set the
priorities for IT maintenance and innovation within the university. All capital and
financial asset priorities and expenditure are also within the umbrella of the AMP. This
level of integration is seen as appropriate and as an improvement over previous planning
practices.
Successful governance of IT must be framed within institutional objectives and with
high-level consultation and support.
Examination of documentation and interviews with key staff involved in IT planning,
management and governance and the analysis of data confirmed this research
proposition. Despite the existence of the Corporate Management Information
Committee (CMIC), much of the IT infrastructure and service provision across the
university divisions and faculties was not coordinated centrally and did not have cross-
organisational visibility and accountability. The CMIC addressed matters relating to
management information systems and administrative systems, whereas
telecommunications infrastructure, PC hardware, network infrastructure, information
services and information management was entirely within the control and discretion of
the Division of Information Services. No consideration was made to address faculty
priorities for IT development by a central governance body.
ITSGC has adopted the role of central coordination of goals and objectives for IT
planning. The ITSGC considers organisational priorities and decides funding allocations
for IT infrastructure and services. All IT innovation projects are within the scope of
ITSGC.
55
The previous fragmentation in control of IT development provided no forum for central
coordination or consultation. When the Vice-Chancellor agreed to convene the IT
Strategic Governance Committee, it provided the needed top-level oversight of
universities priorities and links to university planning and strategic goals. With the
inclusion of key staff such as faculty deans, the cross-institutional focus was achieved,
and the university’s chief financial officer provides the essential links to university
budgeting and capital and asset planning.
Successful IT management must manage innovation and development within the
framework of specific objectives and new technologies.
Finally, examination of documentation and interviews with key staff involved in IT
planning, management and governance and the analysis of data confirmed this research
proposition. With links to ITSGC and all IT planning feeding directly into the annual
AMP processes, IT managers now have direction from senior university staff on IT
planning and governance. Project managers for IT report to ITSGC and the committee
determines ongoing priorities and organisational implementation of IT innovations.
The historical precedents and difficulties in IT planning and management led to the
development of an integrated framework to IT planning, utilising the successful
framework of physical infrastructure planning and management. A lack of central
coordination influenced the university to establish a central governance committee.
Problems in IT management and conflicting priorities provided the impetus for reforms
in project management methodology and strategic links to be established with IT
planning and governance processes. Thus the evolution of the integrated IT planning,
management and governance framework can be seen to be a natural progression for the
university.
56
5. Strategic Integration and IT Planning Effectiveness at QUT QUT has attempted to achieve strategic integration of IT planning and management
through the use of the asset management planning framework, and through the use of a
strategic governance body. The integration of IT planning with organisational planning
must therefore be achieved primarily through strategic involvement of university leaders
in IT governance and overall planning and priorities. Specific annual plans and budgets
are integrated only with other capital plans and asset management, and take little account
of other university priorities and developments. Thus the research questions emerge:
Question 2: Has QUT achieved full integration of strategic IT and
organisational planning?
Question 3: Does the level of IT planning integration correlate to an
increase in planning effectiveness?
This chapter examines the evidence from the survey on the level and success of
integration of IT planning and organisational planning, to determine the application of
the theory validated by King and Teo (1997) and Lesko (1999).
5.1 Results of the Survey of IT Planning The survey was adapted from King and Teo’s research and applied within this study
specifically to measure the level of integration of IT planning with university planning.
The questionnaire was administered to 54 staff across QUT. 31 valid responses were
received.
• Ten (10) valid responses were received from the QUT Senior Managers group,
consisting of the members of the IT Strategic Governance Committee, other
faculty Deans, Pro-Vice-Chancellors and project sponsors.
• Twelve (12) valid responses were received from the IT Project Managers and
Planning Managers group, consisting of senior managers and IT project managers
in the Division of Information & Academic Services and the Division of
Administration Services.
57
• Only five (5) valid responses were received from the IT Consultative Group,
consisting of the faculty IT managers and other members of IT Services.
• Four (4) anonymous responses were received.
A summary of results was determined for each IT planning and management group and
for the entire respondent population. The four anonymous responses were counted
within the entire respondent population. Comments and examples were also recorded
from the questionnaires.
5.1.1 Perceived Level of Integration The mean scores were calculated for the perceived level of integration, on the King and Teo
(1997) scale of ‘Administrative Integration’, ‘Sequential Integration’, ‘Reciprocal
Integration’, or ‘Full Integration’. The full results of the mean scores for the respondent
groups are presented in Table 3.
Table 6. Mean results by group of perceived level of integration
Measure QUT Senior
Managers
IT Project Managers
& Planning Managers
IT Consultative
Group
Anonymous Responses
Total All Responses
Perceived Level Of Integration 2.6 2.3 2.4 2.5 2.4
The overall perceived level of integration from all respondents is 2.4. This level indicates
that respondents believe that integration is moving from ‘Sequential’ (IT planning
supports but does not influence university planning) to ‘Reciprocal’ (IT Planning both
supports and influences university planning). The perceived level of integration was
higher among senior QUT managers and members of ITSGC at 2.6, than among middle
QUT managers and project managers, at 2.3.
The move towards joint development of uni and IT strategies is starting to happen. Long way to go. Strong recognition of importance of IT when QUT strategies are being developed.
58
5.1.2 Benchmark Measures of the Level of Integration Mean scores were calculated for each of the ten benchmark measures of the actual level
of integration. The full results of the mean scores for the respondent groups are
presented in Table 4.
Table 7. Mean results by group of benchmark measures of integration
Measure QUT Senior
Managers
IT Project Managers
& Planning Managers
IT Consultative
Group
Anonymous Responses
Total All Responses
Four-Point Benchmark Measures Of Integration
Benchmark 1 Benchmark 2 Benchmark 3 Benchmark 4 Benchmark 5
2.8 3.5 3.9 2.5 3.2
2.4 3.2
4 1.8 2.9
2.6 3.4 3.2 1.2 2.2
2.3 3.3
4 1.8 2.8
2.5 3.3 3.8 1.8 2.8
Summary Of Benchmarks 1-5
3.2 2.9 2.5 2.8 2.8
Seven-Point, Reversed Likert-Scale Benchmark Measures Of Integration
Benchmark 6 Benchmark 7 Benchmark 8 Benchmark 9 Benchmark 10
3.2 3.5
4 2.5 2.7
2.4 2.7 3.8 2.9 2.4
3.9 4.7 6.1 2.4 3.7
4.4 3.4 4.4 3.5
4
3.5 3.6 4.6 2.8 3.2
Summary Of Benchmarks 6-10
3.2 2.8 4.2 3.9 3.9
The first five benchmarks measured the actual level of integration on a four-point scale
that correlated to the perceived level of integration. The benchmark mean for the four-
point scale questions (benchmarks 1 to 5) was 2.8, showing a higher level of integration
than the perceived level of integration. These benchmarks show planning to be at the
level Reciprocal Integration, where IT planning informs, and is informed by university
planning. This is despite a poor rating (1.8) on benchmark 4, which evaluates the
performance measures for IT.
The second group of benchmarks (benchmarks 6 to 10) measured the actual level of
integration on a reversed, standard, seven-point Likert scale, where 1 was the highest
level, 4 was average, and 7 was the lowest level of integration. The benchmark mean for
the seven-point Likert scale questions was 3.9 showing an average level of integration.
59
When converted to a standard four-point, unidirectional increasing scale (one is
minimum; four is maximum), the averages across all the benchmarks for integration
show a moderately high level of integration, as demonstrated in figure 4.
Figure 4. Standardised mean scores for integration benchmarks (4-point, increasing scale)
2.5
3.3
3.8
1.9
2.9 32.8
3.33.1 3
I1 I2 I3 I4 I5 I6 I7 I8 I9 I10
Integration Benchmarks
Only benchmark I4 shows a below-average score for the level of integration. The other
benchmark scores place the level of integration between 2.5 and 3.8, demonstrating a
moderately high level of integration.
Benchmark I4 queried the level of performance measurement for IT functions at QUT.
It is possible that performance measurement is less important at QUT, due to its nature
as a public organisation, although many would dispute this. It is more likely that
performance measurement for IT functions has been neglected, and is only now
becoming a focus for the organisation.
Comments on both sets of benchmarks also confirm that integration of IT and university
planning is not complete, but is between Sequential (IT planning is informed by
university planning) and Reciprocal (IT planning informs, and is informed by university
planning).
60
IT applications are driven both by strategy and technology possibility. We haven't progressed to "consideration that information technology applications play a critical role in QUT strategy".
5.1.3 Benchmark Measures of the Level of IT Planning Effectiveness According to the theory proposed and tested by Teo and King (1996), the level of IT
planning integration can be directly linked to the level of effectiveness for IT planning
within the organisation. Teo and King validated this link with their research. Lesko
(1999) further tested this theory with the use of four benchmark measures of the level of
effectiveness for IT planning. These benchmarks were used in this study.
Mean scores were calculated for the four benchmark measures of the perceived level of
effectiveness for IT planning. The questions measured the level of effectiveness of planning,
on a reversed, standard, seven-point Likert scale, where 1 was the highest measure of
effectiveness, 4 was average and 7 was the lowest level of effectiveness. The mean for the
four questions on the seven-point scale was 3.9, showing a slightly above-average level of
effectiveness of the planning processes. The full results of the mean scores for the
respondent groups are presented in Table 5. Comments and examples were also recorded
from the questionnaires.
61
Table 8. Mean results by group of perceived level of effectiveness of IT planning
Measure QUT Senior
Managers
IT Project Managers
& Planning Managers
IT Consultative
Group
Anonymous Responses
Total All Responses
Seven-Point, Reversed Likert-Scale Benchmark Measures Of Effectiveness of It Planning
Benchmark 11 Benchmark 12 Benchmark 13 Benchmark 14
4.2 4.1 3.8
3
4.5 3.9 4.3 3.6
4.3 4.5 4.3 4.2
4.4 3.4 3.1 3.3
4.3
4 3.9 3.5
Summary Of Benchmarks 11-14
3.8 4.1 4.3 3.5 3.9
When converted to a standard four-point, unidirectional increasing scale (one is
minimum; four is maximum), the averages across all the benchmarks for integration
show a slightly above-average range of scores for IT planning effectiveness at QUT, as
demonstrated in figure 5.
Figure 5. Standardised mean scores for IT planning effectiveness benchmarks (4-point, increasing scale)
2.32.5 2.5
2.8
E1 E2 E3 E4IT Planning Effectiveness Benchmarks
All the benchmarks show a slightly above-average score for effectiveness, E4 is slightly
higher, while E1 is slightly lower. Benchmark E1 measured the general perception of the
62
IT planning processes as smooth running and effective. It is not surprising that this
would score lower, as the planning processes are immature and still being developed.
Benchmark E4 measured the extent to which IT planning processes lead to improved
quality in IT within the university. This is perhaps the most telling score, as it implies a
causal link between improvements to integrated planning and improvements to IT
infrastructure and services.
Comments about the effectiveness of the IT planning processes were cautiously positive
overall.
I believe attempts are being made to ensure this is integrated and efficient. A lot of effort goes into briefing members of issues, technologies and their impact on QUT. It is a thorough planning process. More sectional agreement to projects, stronger collaborative projects, numerous other pieces of evidence. In recent years there has been an increased recognition by (and involvement of) senior management of QUT with importance of IT in university planning and competitiveness. Seems to be more "mainstream" now than before.
The comments and examples presented here are representative of the positive, negative,
and ambivalent comments received.
5.2 Statistical Correlation of Integration & Effectiveness Scores
In order to validate the benchmarks as measures of integration, King and Teo (1997)
calculated a correlation coefficient of the benchmarks against each other, using a
Spearman’s rho correlation coefficient. In replicating this research, the Spearman’s rho
correlation coefficients were calculated for the all the perceived scores and benchmarks.
The benchmarks for integration were correlated against each other and against the
average of these benchmarks. The average of the benchmarks for integration was
correlated against the average scores for the level of integration. The benchmarks for
effectiveness were correlated against each other and against the average of these
benchmarks. The average of the benchmarks for integration was also correlated against
the average of the benchmarks for effectiveness.
63
These correlations demonstrate the relationships between these benchmark measures
and the significance of the links between the perceived level of integration, the
benchmark measures of integration and the benchmark measures of planning
effectiveness. These relationships are demonstrated in figure 6.
Figure 6. Statistical correlations of benchmarks scores
Perceived Integration
Average
Integration Benchmark
Average
Effectiveness Benchmarks
Average
I1
I2
I3
I4
I5 I6
I7
I8
I9
I10 E1
E2 E3
E4
64
5.2.1 Statistical Correlations of Integration Scores and Benchmarks The integration scores and benchmarks were calculated to a standard, four-point
increasing scale (one is lowest; four is highest), in order to allow for valid averages to be
obtained for correlations. Spearman’s rho correlations were calculated, with 2-tailed
significance scores to provide a basis for comparison against previous research (King &
Teo, 1997). The analysis demonstrates that the benchmark measures of integration
correlate reasonably highly with the average of the integration benchmarks. Some of the
benchmark measures correlate highly with one another, others do not. No significant
negative correlations between the benchmark measures were apparent. These
correlations are presented in table 6.
The average of the scores of perceived level of integration was also correlated against the
average of the benchmark measures of integration. This correlation was highly significant
and is presented in table 7.
65
Table 9. Spearman’s rho correlations of integration benchmarks and average
Benchmark I1 I2 I3 I4 I5 I6 I7 I8 I9 I10 Average I1 1.000 I2 .496** 1.000 I3 .187 .283 1.000 I4 .291 -.019 .267 1.000 I5 .409* .413* .291 .310 1.000 I6 .338 .103 .294 .171 .197 1.000 I7 .152 .312 .404* .051 .322 .370 1.000 I8 -.073 .035 .345 .217 .318 .465** .645** 1.000 I9 .395* .386* .104 .447* .339 .324 .365* .228 1.000
I10 .374* .473** .177 .095 .417* .373* .527** .382* .571** 1.000 Benchmark
Average .630** .516** .398* .503** .675** .598** .613** .530** .689** .716** 1.000
** Correlation is significant at the .01 level (2-tailed). * Correlation is significant at the .05 level (2-tailed).
Table 10. Spearman’s rho correlations of perceived integration average and integration benchmark average
Perceived Integration Average
Integration Benchmark Average
Perceived Integration Average
1.000
Integration Benchmark Average
.506** Sig. (2-tailed) .004
1.000
** Correlation is significant at the .01 level (2-tailed).
All the correlations between the integration benchmarks and the average of these
benchmarks were significant. All but I3 were significant at the .01 level (2-tailed). Out of
a total of 45 possible bivariate correlations between the integration benchmarks, 17
correlations were significant. Six of these were significant at the .01 level (2-tailed). All of
the benchmarks had significant correlations with at least one of the other benchmarks.
Although not as conclusive as the King and Teo research, which found 36 significant
correlations between the benchmarks, this result also indicates that the benchmarks are
effective measures of the level of integration.
Benchmark I10 had seven significant correlations to other benchmarks, and also had the
highest correlation to the average, at .717, significant at the .01 level (2-tailed).
Benchmark I10 measured how frequently the impact of new technologies is assessed
during IT planning. Obviously this part of the planning process is extremely important
within the university, and a significant indicator of the level of integration in this survey.
Benchmarks I7 and I9 had five significant correlations to other benchmarks. Benchmark
I9, which measured how frequently the most senior IT executive within the university
participates in general and physical planning, was also the second highest in correlation to
the average. This is also telling, within the context of the AMP, where IT and physical
plans are increasingly integrated. Benchmarks I1 and I2 had four correlations with other
benchmarks.
Benchmarks I3 and I4 had only one correlation each with another benchmark. These two
also had the lowest level of correlation to the average. Benchmark I3 measured the
primary role of the most senior IT executive within the university for IT planning, and
this would appear to be much less significant than other benchmarks. Benchmark I4
queried the level of performance measurement for IT functions at QUT. This relatively
low correlation would seem to reinforce the mean scores data, that performance
measurement is less important as a measure of integration, perhaps due to the nature of
QUT as a public sector organisation.
5.2.2 Statistical Correlations of Effectiveness Benchmarks The effectiveness benchmarks were also calculated to a standard, four-point increasing
scale (one is lowest; four is highest), in order to allow for correlations of the averages to
the integration averages. Spearman’s rho correlations were calculated, with 2-tailed
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significance scores. The analysis demonstrates that almost all of the benchmark measures
correlate significantly with one another. Out of a possible six total bivariate correlations,
five are significant. These correlations are presented in table 8.
Table 11. Spearman’s rho correlations of effectiveness benchmarks and average
Benchmark E1 E2 E3 E4 Average E1 1.000 E2 .337 1.000 E3 .527** .766** 1.000 E4 .383* .744** .764** 1.000
Benchmark Average
.659** .872** .907** .864** 1.000
** Correlation is significant at the .01 level (2-tailed). * Correlation is significant at the .05 level (2-tailed).
Only Benchmark E1 does not correlate with all of the other benchmarks. Benchmark E1
measured the general perception of the IT planning processes as smooth running and
effective. Again, this result may be due to the immaturity of the processes, and the
ongoing development of the planning processes. All the correlations between the
effectiveness benchmarks and the average of these benchmarks were highly significant.
Benchmark E3 correlated very highly with all of the other benchmarks, and had the
highest level of correlation with the average. Benchmark E3 measured the level to which
IT planning processes are aware of implications and assumptions being made throughout
the processes. Apparently this benchmark is a significant indicator of IT planning
effectiveness, in this survey.
5.2.3 Statistical Correlation of Integration and Effectiveness An overall correlation was calculated for the averages of the integration benchmarks and
the effectiveness benchmarks, in order to ascertain the relationship between integration
of IT planning within the university and effectiveness of IT planning processes. This
correlation was significant.
Figure 7. Statistical correlations of scores and benchmarks
Rho=0.497 (p=0.004) Integration
Benchmark Average
Effectiveness Benchmark
Average
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This correlation indicates a definite relationship between integration and planning
effectiveness. Although not necessarily a causal link, this relationship demonstrates that a
higher level of integration of IT planning within the university is positively related to a
higher level of IT planning effectiveness. Evidence to indicate that this relationship is a
causal one may be apparent in case study data sources.
5.3 Conclusions The overall evaluation of perceived and actual integration confirms that QUT is between
‘Sequential’ planning and ‘Reciprocal’ planning on the King and Teo scale. IT planning
reflects the university’s goals and strategies, and is beginning to inform the overall
planning processes within the university. Effectiveness of the IT planning processes in
the university is above average. The results also confirm the research that the level of
effectiveness is linked to the level of integration of IT and organisational planning. The
evidence from the survey demonstrates support for the research propositions relating to
the research questions.
Question 2: Has QUT achieved full integration of strategic IT and
organisational planning?
A level of integration is evident to demonstrate where university and IT strategies are
developed concurrently in the same integrated planning process.
The results of the survey and data analysis confirm this research proposition. Results
indicate an overall level of 2.4/4.0 on the perceived level of integration, 2.9/4.0 on the
first five benchmarks, and 3.9/7.0 (2.5/4.0) on the second five benchmarks. QUT has
moved beyond the level of (2) ‘Sequential Integration’ and is close to level (3) ‘Reciprocal
Integration’. Evidence from the comments and examples also supports that IT planning
influences university planning, as well as supporting university planning.. The analysis
demonstrates that the integration benchmarks correlate to one another and to the
average of the benchmarks, and provide significant indicators of integration. It is clear
from the questionnaire results and the comments and examples that QUT has not yet
achieved full integration of IT and university planning and significant separation still
exists between university planning processes and IT planning processes.
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Question 3: Does the level of IT planning integration correlate to an
increase in IT planning effectiveness?
A level of IT planning effectiveness is evident and is related positively to the level of
integration of IT planning with university planning.
Evidence from the survey also confirms this research proposition. Results show an
overall level of 3.9/7.0 (2.5/4.0) for effectiveness of IT planning. This is only slightly
above average. The analysis demonstrates that the effectiveness benchmarks correlate
highly to one another and to the average of the benchmarks, and provide significant
indicators of IT planning effectiveness.
The analysis demonstrated a significant positive correlation of the average benchmark
measures of integration with the average benchmark measures of effectiveness. This is
not necessarily a causal link; the results do not necessarily demonstrate that increased
integration will result in increased effectiveness. However, the positive relationship
between these two variables is encouraging for the development of integrated IT
planning at QUT.
Previous research has demonstrated the importance of integration of IT and
organisational planning. QUT appears to be on the way to achieving strategic integration
of IT and university planning, although QUT has not yet achieved full integration. The
level of effectiveness of IT planning appears to correlate to the level of integration, thus
supporting the research of Teo and King (1996) and Lesko (1999).
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6. Case Study Evaluation of IT Planning, Management & Governance at QUT QUT’s has established an integrated planning framework through the Asset Management
Plan (AMP). QUT has established strategic governance of IT and oversight of IT
planning, expenditure and management through the Information Technology Strategic
Governance Committee (ITSGC). QUT has reformed its IT management practices, in an
attempt to establish a framework for coordination of IT projects and realisation of
benefits for IT implementations across the organisation. These reforms in IT planning,
governance and management have created a new environment for IT infrastructure and
service development at QUT. Thus the research questions emerge:
Question 4: Has there been significant benefit from the new QUT IT
governance and management framework and has the integration of IT
planning and budgeting provided measurable improvements?
Question 5: Have there been any significant failures or non-successes in
the QUT framework of centralised governance and management and
integrated planning for IT
Question 6: How does the QUT framework of IT planning, management
and governance fit within the context of other Australian universities?
This chapter examines the case study evidence from interviews, observations and
documentation, and draws on the evidence of the survey to investigate these research
questions. This data has again been analysed and coded to match quotations and
comments that may either support or disprove the research propositions. A
representative selection of these coded quotations has been used in discussion of the
research outcomes. Due to ethical considerations of respondent privacy and
confidentiality, quotation data cannot be referenced to individual respondents. However,
all representative comments have been separated from the text and included in text
boxes.
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6.1 Integration Within the Asset Management Plan The Asset Management Plan has been through two iterations over the last two years. The
first iteration covered a span of three years (2001-2003) and the second iteration covered
a span of five years (2002-2006). At the end of 2000, key staff in the Department of
Information Technology Services and the Department of Planning and Resources
developed the first attempt at integrated asset management, based on the previous
Capital Management Plan. Throughout 2001, issues and ideas became apparent with the
format and process of the AMP 2001. The revision to a five-year planning timeframe
aimed to synchronise with the rest of QUT strategic planning. At the end of 2001, a
revised AMP was developed and adopted with significant changes.
Evidence from the documentation shows that the AMP 2001-2003 was still quite divided
into capital initiatives and IT initiatives, however these were drawn together under the
umbrella of a single planning and budgeting framework. The AMP 2001-2003 aimed for
integration of physical and virtual infrastructures into a more coordinated and
convergent approach to planning. The AMP 2001-2003 highlighted the needs of the
physical and virtual infrastructure in tandem and also focussed on broader asset
management; a strategic, whole-of-asset focus. However, the framework still provided a
devolved financial management framework with decisions on IT investment resting with
operational areas. The focus was not on strategic, whole-of-asset financing over the
triennium, but on investment in core information technology and infrastructure.
The AMP 2002-2006 carries forward the themes the first iteration, with a more
integrated overview of how the physical and virtual initiatives contribute to the
organisational goals. The plan aims to address strategic objectives, but in itself is
operational, identifying resources, priorities and implementation strategies in staged
outcomes. The AMP 2002-2006 also identifies some emerging issues, such as
performance monitoring, and project proposals and evaluations that hint at planning
reform that may fundamentally affect the AMP itself.
Physical and virtual funding and budgets have been co-located but have separate lines
with completely separate priorities and expenditure. The AMP 2002-2006 also states that
the ‘physical and virtual assets exist in tandem to support the business objectives of the
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organisation. Taking this holistic and collective view of assets provides a more
appropriate perspective for asset planning, resourcing and management.’ (p.24)
Thus the plan itself strongly supports the notion of integrated planning. The extent to
which this has been operationalised within the Plan is still limited, however, the AMP
2002-2006 makes clear the relationship of the AMP funding to ITSGC, and how the
integrated and strategic nature of planning is being achieved. The AMP 2002-2006 notes
the need for ITSGC to suspend and expend the funding as appropriate, in order to
achieve maximum return from the limited available funds.
One of the stated original intentions of the creation of the Asset Management Plan was
to create an integrated environment for planning and management of information
technology and physical or capital infrastructure. The examination of the two versions of
the AMP itself show a concerted and successful effort to consolidate the IT budget and
place the IT planning for infrastructure and project developments firmly within the asset
management framework.
The AMP 2001-2003 shows only a limited degree of integration of the physical and IT
infrastructure. The budgets are separate, the objectives are separate and the overall
framework of the plan is more of co-location than integration. The AMP 2002-2006
takes the integration process a step further. The budgets are more integrated and the
objectives are framed within the overall goals and strategies for development of QUT.
The framework discusses the processes of consideration of IT initiatives conjointly with
capital initiatives and the methods of governance to achieve compliance with QUT
business objectives.
The evidence from the documentation suggests that the integration of physical and IT
infrastructure planning within the AMP is evolutionary. This perception is supported
with 20 comments from interviews coded as ‘planning is not integrated at university
level’ and 18 comments coded as ‘AMP not fully integrated’. The processes for integrated
planning are immature, and constantly developing.
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Currently, we are about ten percent of the way toward full integration of physical and virtual asset planning and governance. The process is an iterative process, some progress was made in the first iteration toward integration, but it has not been complete.
Evidence from the documentation of the AMP itself and from the survey of the level of
integration of IT planning and university planning shows that strategic integration or
alignment is evolving at QUT. The influence of the AMP has been to provide a
consolidated framework for planning and an integrated view of the budget. The influence
of the governance committee has provided a strategic context for consideration of IT
plans within the university.
Full integration has not yet been achieved, as evidenced from the separation in the AMP
and the moderate mean scores in the survey. This is unsurprising, given the immaturity
of the framework and the nature of the university as a professional bureaucracy, with
strong demand from the academic faculties for continuing autonomy and diversification.
In fact, six comments from surveys and interviews note that full integration of IT and
physical infrastructure planning and budgets is not appropriate. However, the moves
toward integration of IT planning and university strategy are progressing and have
already provided benefits in IT adoption and planning. Most staff working with the AMP
framework believe that the major capital and IT planning processes are separated, and
need to be considered more fully together.
I'd characterise us as having made a pretty good start on that integration into the planning process, but it's been a bit force fitted. […] For example, some of the consultative processes around the asset management plan treat the IT bit as a bit rather than anything that's to be integrated with the rest of the asset management plan.
Most staff feel that IT planning is still budget-driven and not considered largely from the
viewpoint of university goals and resources. This view is supported with 37 comments
from interviews noting the need for a long-term vision for IT development at QUT, to
drive the shorter-term planning of IT projects and innovation.
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Yes, it's not all about managing the budget. Sure budget comes into it, […] but I think there needs to be a vision and that picture forms the vision of how that supports the university. It shouldn't be separate. It shouldn't be teaching and learning, research, community service and IT. It should be those three and then IT underneath it and that's the vision of how you all sort of head towards the one overall strategic goal.
Strategic integration of IT planning and management and QUT planning and
management is evolving, but not yet fully aligned.
6.1.1 Effectiveness of IT Planning & the AMP Most staff agree that the AMP is the appropriate framework for IT infrastructure
planning and has provided a much needed structure for the IT budget (25 coded
comments). Staff comment that the AMP has improved the visibility of IT planning and
communication of IT strategies. The AMP has been successful in reducing fragmentation
in plans and budgets, and the ability to transfer funds between IT projects has provided
great flexibility and improved project coordination and management.
… it's a good process and it's a revolution in terms of the thinking of senior officers of the university to see that the only rational way to deal with this is just another category of assets. So it's a good change and a cultural change.
The AMP itself is seen as a particularly good operational plan. The AMP provides the
framework for aligning IT projects, prioritising IT maintenance and development,
maintaining IT assets and evaluating return on IT investments. However, it is seen as an
operational plan, with a primarily one to three year focus on implementation and budget
expenditure. This is certainly not decried for IT planning. Most people across QUT agree
that one to three-year planning for IT is the most realistic timeframe. Eight comments
are coded as ‘current planning timeframe appropriate’ and thirteen comments are coded
as ‘short-term planning only is appropriate’.
I think you can only deal with concrete planning for the next 1-2 years because it takes that long to put systems in or major projects.
However, most staff also agree that there is a real need for a long term vision for IT at
QUT. The vision must fit within the university’s goals and objectives, and the strategies
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that determine IT development and maintenance must be guided by the organisational
strategies.
I think you can only really plan for the next 1-3 years and even that is sort of just odds on rather than real planning but I think you have to have a long-term view and be able to make a commitment to a long-term view.
Another issue that has been raised about the framework of the AMP for IT planning is
that of research and development. Many staff have commented that making accurate
budget predictions for their IT projects is difficult for more than one year. This makes
the five-year planning framework of the AMP more difficult, especially when an IT
project may require greatly increased funding in two or three years. Some staff argue that
more flexibility needs to be built into the AMP planning process, to enable ‘proof of
concept’ or research projects to be completed over a one-year timeframe that may then
lead to more accurate predictions of budget and resource requirements for the full
project implementation. Twelve comments are coded as ‘research and development
funding needed’.
I actually think that our governance process needs to differentiate the difference between research and development. You know a project that tries out new technology or new ways of doing things, okay, to see if these will actually work or not work in our environment […] And therefore at the end of that proof of concept or that trial period or that research, you can decide okay, we've spent a little bit of money and you know, there's a whole heap of implications and we decide we shelve it.
This argument is directly linked to the concept of the budget driving the IT development
and priorities for innovation. When working within a pre-determined budget and
timeframe, QUT is trying to maximise its investment in IT development, rather than
setting a strategic vision and working out the most cost-effective, reliable and high quality
IT needed to achieve that vision.
Despite the limitations to full integration of IT planning with physical infrastructure
planning, the AMP cannot be considered as an unconnected planning framework. Much
of the real consideration of IT initiatives, as integral to achieving QUT business goals
and objectives, happens within the framework of the strategic governance committee.
The AMP and the ITSGC are symbiotic in nature; ITSGC considers IT planning and
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development from the framework of the AMP and the university’s overall goals, and the
decisions of ITSGC feed into the AMP priorities and budget. The AMP alone is not the
only initiative for integration of information technology planning and management.
6.1.2 Challenges for Development of IT Planning QUT has invested quite significantly in ensuring the AMP as the standard framework for
IT planning and budgeting. It is unlikely that these will be unlinked, unless the university
were to undertake significant planning reform. But the future of the AMP itself is less
clear.
Many staff across the university believe that the budget and priority setting process for all
physical and virtual initiatives should be fully and inextricably linked. However, this is not
a universal goal. Six comments are coded as ‘full integration within the AMP is not
appropriate’. Some staff have expressed concerns that such complete integration will lead
to a ‘physical versus virtual’ or ‘bricks versus electrons’ mindset that denies the equal
importance of both infrastructures. As a young university, QUT has handled major
challenges in improving the standard of the physical facilities and environs are still under
constant development. Funding is still required at QUT for new buildings and
refurbishment and redevelopment of existing facilities. Hard choices must be made about
limited available funding. However, the argument is that such choices should not be
made at the level of physical versus virtual initiatives, but at a higher level of overall
funds for all university expenditure.
I think it's just important to identify a significant amount of money is going to be spent on development of computer systems. And it was a convenient place to put it. I don't see that it's in competition, as it were, with buildings. I just think that's not the way to do things. It's a competition of our total sum of money, against the rest of the university. And that's a big issue of; do we have these big developments of IT or buildings, or do we spend it on staff or other equipment? That bigger picture is more important.
Also in terms of the AMP, most staff believe that all of this type of planning needs to be
more strategy-driven than budget-driven. IT planning should be directed by the
organisation’s stated goals and objectives, a model that is widely adopted in the corporate
sector.
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I think we need to generate an overview or picture. Some sort of picture that shows us the infrastructure that we're heading towards. How that supports the strategic plan of the university and the direction, and that governance should be looking at that in terms of priorities.
This belief that a clear vision for IT is needed that relates to the university’s goals and
strategies is shared by the most senior management at the university, and by the new
University Council. The first steps to devising a coherent vision for IT at QUT have
already been undertaken (Cochrane, 2002). It is anticipated that a recent discussion paper
on the future of IT at QUT will engender a vision for the future development of IT
infrastructure and innovation to achieve the best possible outcomes for QUT and it’s
goals and strategies.
6.2 Strategic Governance of IT Since 2000, information technology governance has been driven from the most senior
management levels of QUT, with the Vice-Chancellor leading the priority setting of IT
maintenance and new developments, and approving the budget. The primary vehicle for
IT governance at QUT is the Information Technology Strategic Governance Committee
(ITSGC). Advice to the ITSGC is received directly from the Director, Information
Technology Services, and the IT Project Portfolio Manager, and indirectly from the IT
Consultative Group, with representation from across the divisions and faculties of QUT.
ITSGC itself has senior level membership from across sectors of the university. ITSGC
is chaired by the Vice-Chancellor, and has as its members the Deputy Vice-Chancellor (as
the Chair of the QUT Teaching and Learning Committee), the Pro-Vice-Chancellor
(Information & Academic Services), the Registrar, and the Executive Director of Finance
& Resource Planning. One faculty Dean is also a member of ITSGC, as the chair of the
Division of Information & Academic Services Advisory Committee. Another faculty
Dean also sits on ITSGC as a nominee of the Vice-Chancellor’s Advisory Committee
(VCAC). Since its inception, ITSGC has included an industry representative; currently
the Group General Manager of IT & HR for Suncorp Metway holds this seat. The
industry representative was deliberately recruited from the banking industry, due to the
experience within this industry, with information technology innovation and
development. Since the beginning of 2002, ITSGC has also included a representative
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from the University Council. This is indicative of the increasing profile of IT within
QUT and the strategic interest in IT implementation and benefit realisation.
ITSGC advises the Vice-Chancellor on IT matters, including monitoring of IT
investments and infrastructure planning, as well as IT projects and other strategic issues.
ITSGC also has a monitoring and review role for the AMP in relation to IT planning and
budgeting. For the full terms of reference of ITSGC, see Appendix D.
Research on ITSGC has been conducted through direct observation of ITSGC meetings
in August and November 2001 and in March and April 2002, as well as through
examination of the agenda and minutes of all ITSGC meetings since its inception. Staff
across the university have commented in the research interviews on the operation of
ITSGC and its success in IT governance.
ITSGC is intended to be strategic in nature and technical details are provided to the level
needed to understand the strategic implications or budgetary requirements. Other
committees involved in IT planning and management in the past at QUT have been
involved in technological and administrative details. Some staff have commented that
this was a significant reason why these committees have not been completely successful
in IT governance. ITSGC is not an operational level committee, and does not discuss
detailed implementations of IT maintenance and projects.
Strategic governance of IT is a cycle. ITSGC informs the projects managers, and is
informed by the project managers. ITSGC informs the strategic directors who determine
the need for new services, and the assets used to deliver these new services. This
determination informs the AMP for projects and documentation of changes about asset
creation. The AMP, along with external influences, such as the political environment,
new technologies and economic factors, then determines the development of new or
improved services and assets. This leads to innovation, which in turn determines the
project proposals that complete the cycle in feeding up to the ITSGC.
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Figure 8. The strategic governance cycle at QUT
Members of ITSGC frequently serve as Project Sponsors for major IT projects within
the university, and are able to apply the broader strategic issues discussed at ITSGC to
the more specific issues within their projects, where they have more detailed
understanding and knowledge.
6.2.1 Effectiveness of the QUT IT Governance Framework Information technology planning and management is improving as a result of the ITSGC
and strategic governance. Observable benefits are apparent in the documentation and
meeting observations, in terms of coordinated development of IT infrastructure and
assets, innovation diffusion of IT initiatives and integration of IT developments with
physical infrastructure developments and the overall goals and objectives of QUT.
Additionally, 43 comments in interviews are coded as ‘governance committee is an
improvement’. ITSGC is aiding the development and implementation of the AMP, and is
serving as the link between IT infrastructure and projects and the university’s strategic
planning.
The VC has been very active in his support. The Registrar has played a strong role in project sponsorship and is a role model for this role to other project sponsors. The Deans of Faculty of IT and Faculty of Business are playing key roles and have been very supportive. Discussions within ITSGC illustrate that the Committee members are learning very rapidly about the strategic role they need to play.
ITSGC has served as a ‘learning forum’ for senior managers of QUT, who may not have
direct knowledge of IT implementations and cutting-edge IT developments, but require
ITSGC
AMP
Project Managers
Strategic Directors
New/ Improved
IT Services/ Assets
External Environmental Factors/ DEST
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broad knowledge of such issues for strategic planning and management of QUT.
Previously senior managers in the Chancellery and Planning and Resources division may
not have understood the strategic implications of, for example, the replacement of the
PABX system, or creating a knowledge management framework within the QUT
information systems. Now such initiatives are explained to the decisions makers of the
university in terms of the contribution to QUT’s business objectives and goals.
The ITSGC has come a long way in terms of the operation of it as a group of senior executives, both [in] the operation as a group of senior executives, and the understanding of the individual members around the table and their roles. So you see people like the Registrar and particularly the Vice-Chancellor having a very good feel for some of that now, and a very good feel for some of the economic trade off issues in terms of infrastructure and how to guide and steer some of the priority processes. A number of the other people around the table understanding what their roles are too, to advocate for certain things, such as the deans advocating on behalf of the deans collectively, not just for themselves.
The new planning and governance system has improved communication and cooperation
between the physical and IT planners for new initiatives. At the beginning of each new
project, physical and IT planners are brought together, for example when a new building
is proposed. So such projects have more realistic budget projections and timelines, and
network infrastructure and teaching technology are built into the project plans, rather
than added later. The AMP is not (yet) a fully integrated plan for the physical and virtual
infrastructure of QUT. Separate projects are envisioned and separate budget apportioned
for IT and capital initiatives. ITSGC serves as the forum where links are drawn between
capital and IT projects and ensuring that such projects proceed in a coordinated and
seamless manner.
If I look back to where we were a few years ago then it's a remarkable change to now actually have what is basically the core leadership of the entire university involved in this process where in the past they […] had no knowledge really, of some of these trade offs. So now we have them all knowing what the trade offs are at least to a certain level of detail and participating actively in the choices, the very hard choices that are being made. And that's a good thing too, because of the amount of money that's involved you really have to have them in that sort of position to know all that.
Experience at QUT has shown that without strategic governance, innovation happens in
isolated silos, and results in duplication of innovation as no one has a strategic
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coordination role. Another factor that breaks down innovation diffusion in the silo
model is the ‘ego investment’ in the results of innovation. Strategic governance of IT
drives innovation in terms of where, when, what and who, and allows all sectors of the
university to see the IT investments and take advantage of the central IT infrastructure
and developments.
At the university level the Vice-Chancellor rightly recognises that student systems are terribly important. So for example, the one-stop-shop concept, the online enrolment, all of which are very intensive of IT equipment, those are given very high priority in the asset management planning. However, if it stops there and you don't then take the advantage of these new ways, the paperless enrolment, to then carry that through right the way down to the faculties then you haven't gained anything…
Overall, the most significant benefit that has been realised from ITSGC has been the
senior level overview of IT infrastructure maintenance and new IT development at QUT.
Bringing central IT initiatives together into a single forum for discussion and priority
setting has enabled QUT to move forward with IT to support educational and
administrative objectives. Almost every person involved in IT governance, planning and
management explicitly states this benefit. Staff appreciate the broad representation on
ITSGC from different sectors of the university and the objective nature of the forum for
discussion and priority setting. ITSGC facilitates collective decision making about IT
maintenance and development, rather than selective and political undertakings.
6.2.2 Challenges for the QUT IT Governance Framework ITSGC is a relatively new committee in QUT for strategic planning and decision-making.
As a new committee, the operation, knowledge and even membership of the committee
is still evolving. Many staff across the university recognise that the processes associated
with IT governance are immature. Like the AMP, most people involved in IT planning
and management expect that more significant benefits will be realised as the processes
are embedded and the understanding of IT issues among the top QUT management
matures.
These initiatives have achieved visibility and transparency, but must be followed by greater sharing of direction, a more mature defining of that direction, and professional project coordination and, above all, a recognition that traditional organisational silos and discipline divides must not be allowed
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to subvert this powerful and growing potential for our future way of getting things done. (Cochrane, 2002, p.12)
One of the process challenges highlighted most by the immaturity of ITSGC is that of
effective communication, both within and without the committee. Galliers, Pattison and
Reponen (1994) note continually in their research the importance of ongoing
communication in the development and propagation of IT strategy. As ITSGC evolves,
communication within the committee is addressed; committee members are gradually
learning to speak the same language and frame their discussions within the same
organisations goals. Despite these advances, ten comments from interviews note
problem in business versus technical communication. Recently the greater challenges of
outward communication from the committee have become more apparent. Staff across
the university are still struggling to understand the objectives, operations and outcomes
of ITSGC, and specific decisions from ITSGC are not well communicated. 28 comments
in interviews are coded as ‘better communication from governance committee needed’.
Members of ITSGC represent a mix of senior executive and IT responsibility. There is
an acknowledgement that improvements are a work in progress and that indeed the
Committee itself if learning. This learning curve is not complete, and gaps are apparent
to both committee members and staff involved in IT project development and
implementation. The communication issues relate to two major areas. Some staff are still
concerned with the QUT senior managers’ abilities to comprehend the implications on
IT proposals and implementations.
There's a lot more education that needs to occur all round. The technical people don't really understand what the business is doing. They think they do but they don't and the business people don't really understand what's involved in producing some of the technological benefits, or there's some learning that needs to occur…
Some staff are concerned about the possibility of bias toward IT projects and proposals
where understanding is more complete or the implications more apparent to the business
managers.
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I'm still concerned that areas that initiatives that relate to very general areas […] are bleeding obvious and will probably get preference over areas where you require specialist knowledge to understand the importance of the initiative.
Perhaps the more obvious problems in communication about IT governance come from
outside ITSGC itself. ITSGC has been in operation for over eighteen months, yet many
staff are still confused about the specific roles the committee plays in terms of project
priority setting, budget planning and project approval. Members of ITSGC do recognise
this as a challenge and a problems for some of the staff involved in IT planning and
management.
I think there needs to be more information put out about how decisions are made in that committee. About what, how major projects, about how it's determined what major projects will go ahead and what won't. It certainly needs to be part of the communication from the university administration to staff in general and those areas that have a lot of involvement with that plan…
Certainly, as ITSGC as it evolves, it will need to address the twin challenges of improving
internal communication to ensure a coherent organisational vision for IT, and external
communication to ensure all relevant staff around the university share that vision and the
IT developments and maintenance needed to achieve that vision.
ITSGC and the AMP have vastly improved the ability of the managers at QUT to have a
total picture of IT needs and expenditure across the university. ITSGC has also enabled
the senior managers of QUT to see clearly the strengths and weaknesses from the IT
Project Registry and the opportunities and threats from the AMP. However, IT
expenditure has always had a finite limit. In interviews, 37 comments noted problems in
IT budgets and the expenditure committed by the governance committee. It is difficult,
even for the most senior managers, to envision a way to greatly increase central IT
expenditure, budgets for all sectors of the university are stretched. To maximise QUT’s
investment in IT and facilitate the most effective use of the limited resources requires a
great deal of priority setting and some difficult choices.
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…computerisation people will give you ten ideas a day about the things you can computerise. How do you actually come up with one from those ten things? That is the one to take top priority. At the end of the year, in the budget process, how do we determine that these of the hundreds of ideas we have, these are the half a dozen that will actually benefit the university?
The challenges of setting priorities are linked to the business-technical communication
difficulties. The process of priority setting within ITSGC is not transparent to all QUT
staff. One of the most common perceptions among staff at all levels, including some
members of the ITSGC, is that the priority setting process is budget-driven, rather than
strategy-driven. This is one of the most critical challenges facing ITSGC; the dichotomy
of ‘fitting the projects into the budget’ and trying to lead QUT into the most appropriate
‘business fit’ for IT development and maintenance.
Another concern is that priorities may be incorrect, as critical consultation with relevant
staff has been missing. Many staff feel left out of the priority setting process. In
interviews, 35 comments noted concerns with the project priorities established by the
governance committee. Staff have commented that it happens too quickly, it is left too
late, and the implications of the IT implementation are not fully understood by the
ITSGC members when making their decisions. In 2002, the AMP planning and priority
setting process commenced with the June meeting of ITSGC, to allow a much longer
time for planning and consultation with stakeholders. Despite their concerns, most staff
are relatively satisfied that ITSGC is the appropriate forum for priority setting and
approval for the IT planning. Affected staff believe that the processes have improved,
and expect that the processes will improve even more as ITSGC itself matures.
Perhaps the most vexed issue facing ITSGC is the overall level of funding of IT
expenditure. The IT Portfolio highlights that QUT is spending approximately 10% of its
total budget on information technology and telecommunications. From the available
data, this seems a reasonable benchmark. However, staff involved in IT projects have a
general view that the proportion should be somewhat higher. The critical issue for
expenditure is the vision for IT at QUT, the vision for IT in teaching and learning, in
research, in administration of students and staff. Until this vision exists, the planning and
priority setting processes will continue to be driven by the limited IT budget available.
Only with a coherent strategic vision for IT within the university, can ITSGC look at IT
in relation to expenditure on capital development, staffing, overheads, staff development
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and academic program development. Only with this vision can ITSGC make the difficult
choices for IT investment within this framework, knowing that expenditure will be offset
by savings or efficiencies in other areas, and developments in other areas will offset the
IT projects that are rejected or retired.
I don't think it's the kind of debate that you can resolve by just thinking of a number. We need to think very deeply about what the trends are, what the costs and benefits are and what the mix is between physical infrastructure and information infrastructure.
The challenges of ITSGC in relation to the budget are inextricably linked to challenges
with the AMP. Issues such as ‘proof of concept’ funding and acceptance of IT project
failure are raised as issues for the governance committee to consider in relation to the
budget. Many of the issues of concern for ITSGC, such as project priority,
communication and funding, also relate to effective and consistent IT management
practices.
6.3 Strategic Management & Project Management of IT Along with the introduction of the AMP and the ITSGC at the end of 2000, a new
management framework for IT projects was implemented. This framework was designed
to facilitate the proposal, adoption and implementation of IT projects for innovation and
major maintenance of infrastructure. The methodology was developed to assist project
managers and members of ITSGC with evaluation and priority of competing IT projects.
The major thrust of the new management was to avoid prior problems with project
implementation, where there was insufficient linkage between the technological and
business changes, and the lack of a standard for project management. The project
management framework was designed to drive change that focussed on more effective,
efficient and flexible IT processes that facilitated the business goals and academic goals
of the university.
All IT project proposals now require a business case outline, stating what benefits the
project will bring to the university, what will be developed by the project, how the
project will be undertaken, and projections for resources and schedules. If the ITSGC
agrees to the proposal, the project is moved to pre-approval, requiring a more detailed
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investigation of the concept and preparation of a full business case. ITSGC may then
approve the project.
If the project is to move to the approved stage, a detailed project plan must be prepared.
The plan will expand on the information provided at the registered stage. The plan must
include detailed objectives, scope, project manager, sponsor and project stakeholders,
detailed resources requirements and timelines. The plan must also outline project
management methods and reviews.
All projects approved through the AMP have steering committees to monitor and report
to the ITSGC. All major projects require a project sponsor, a champion from the most
senior levels of QUT management. All projects must report regularly on progress and
expenditure and the Project Registry is tabled and discussed at every ITSGC meeting,
noting projects that have changed status (for example, from ‘green’ – proceeding on
schedule, to ‘yellow’ – some issues causing concern, or to ‘red’ – under significant threat
and governance action required) due to internal problems or external influences.
Although a moderately formal process, it is also extremely flexible, with no definitive
guidelines for the creation, formatting and presentation of the proposal, and no absolute
requirements for the inclusion of elements such as performance measures, risk
management, best practice or quality assurance, ongoing reporting, or end-to-end costing
for maintenance, staffing and upgrades, although such elements are welcomed and
appreciated.
The Project Portfolio Manager (PPM) is situated in the IT Services Department, within
the Division of Information & Academic Services. The PPM has no direct line
management, but ensures regular meetings with IT project managers within the division,
and also with project managers in the Division of Administrative Services. The PPM
coordinates the presentation of the reports and collates the Project Registry, in
consultation with relevant stakeholders. The PPM also creates the annual listing of all
information technology and telecommunications assets in the IT Portfolio.
Project management is undoubtedly essential and the project management framework
adopted by QUT has assisted in ensuring greater consistency and rigorous evaluation of
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projects. The project management methodology has been instrumental in raising the
profile of IT implementations within QUT. QUT now recognises how vital is its
investment in information technology and telecommunications infrastructure, and how
development of new systems and infrastructure can enhance the business capability of
the university. However, project management methods are insufficient within an
organisation to coordinate the total investment in IT and to ensure the maximum return
for the organisation on this investment.
Up to 50% of a corporate organisation’s resources may be invested in information
systems and computing technology. The concept of maximising the value of this
investment is, somewhat naturally, of particular interest to the corporate sector. Weill and
Broadbent (1998) point out that it is the size of investment in information technology
and the societal move toward e-commerce that must make the issue of information
technology investment a high priority and the development of this infrastructure critical.
Within the higher education sector, the overall investment in IT may be somewhat less,
but it is nonetheless a significant proportion of the assets and requires ongoing
maintenance and development.
6.3.1 Effectiveness of Current IT Management Methods As discussed, the nature of IT project planning is flexible at QUT. This flexibility is
designed to ensure that IT projects are evaluated and approved on their merits, rather
than according to a rigid set of criteria. The flexibility of the project management
methodology is recognised and valued by staff involved in IT projects. The view was
expressed that major projects require rigorous project management methodology,
whereas minor projects require more flexibility.
Another benefit of the project management methodology that is widely recognised is the
consistency and visibility it has brought to IT implementations. Staff recognise that
accountability for the funding and investment in IT is a growing concern for the
university, and that the Project Portfolio Manager has facilitated more effective
coordination of IT implementations and communication among the disparate sections
involved in the implementations, including academic and administrative staff, as well as
students and community clients.
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If you've got items in the asset management plan then someone is going to be on your case checking up that you're on target to do the things you said you were going to do, and I think that gives a consistency and accountability more evenly than often is the case when people have projects and project money.
The advantages of the relationship of the project managers to the staff involved in
implementation, as well as to the strategic directors and ITSGC have been noted.
Although staff agree that strategic governance is essential for a broad overview of IT
implementations, more specific and technical knowledge is needed to actually progress
the project planning and implementation. Similarly, a technical specialist is required for
IT development and implementation, but the steering committee is crucial in ensuring
ongoing implementation and adoption of the new technology. This framework is
working well for QUT.
Because I think where you're implementing strategic decisions you need to be able to ensure that there's going to be a follow through on those decisions, but you do want the on the ground information.
The use of project sponsors is widely advocated in the literature on project management
(Hauschildt and Kirchmann, 2001). The sponsor is a senior executive champion, who
can advocate for the project and ensure compliance with strategic objectives and broad
business goals. The sponsor can also monitor implementation schedules and budget
expenditure to ensure rigorous application of the project management methodology
(Gray, 1994). QUT has adopted the use of project sponsors for major IT projects, with
great success. Although the sponsors have limited ability to control budget increases or
develop IT project concepts and proposals, the sponsors have been instrumental in the
steering, monitoring and advocacy roles.
Being a sponsor is to me one of the most important things that a [senior manager] can do, for a start you're using, you're taking the opportunity to have those people who are looking after the central IT to understand what our business is all about.
As a tool for monitoring the project developments, the IT Project Registry has been
extremely valuable, allowing ITSGC to see at a glance the ongoing development of IT
projects and evaluate new proposals against existing commitments and competing needs.
The IT Project Registry is very clear and consistent in its layout and reporting and is
framed within business terminology, rather than technical specifications, to facilitate the
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understanding of the senior managers, as well as congruence with QUT business goals
and strategies.
The IT Portfolio is an invaluable tool for IT investment monitoring and benchmarking.
EDUCAUSE plays a key role in monitoring and benchmarking IT investment in US
universities, through the publication of the annual Campus Computing Survey. Within
Australia, no similar benchmarking tool exists for IT investment at universities. The
QUT IT Portfolio could serve as a benchmark for evaluation against other Australian
universities. At a recent ITSGC meeting, the Data Definitions, Structure and
Assumptions of the Framework for the IT portfolio was defined, providing even more
rigor in this methodology.
6.3.2 Challenges for the Current IT Management Methods Despite the conscientious efforts to improve IT project management processes since
1999, gaps still exist. In some instances, the scheduling and budget defines the project
from the outset, and staff are working backwards to fit the IT implementations into the
pre-existing budget and timeline. The vision for IT development within QUT is not yet
fully driving the IT development and maintenance. The gaps in the current QUT IT
project management methodology are admitted at all levels of IT planning and
governance. They have been recognised to the extent that the Internal Audit Section of
the QUT Department of Planning and Resources conducted a specific audit of IT
project management methodology in March/April 2002. The findings of this audit were
supported by many of the findings of this study.
Two significant gaps have been identified in the current processes for IT management at
QUT. The first is the need to more clearly identify return on investment in IT projects in
the planning process and relate this return on investment to the business objectives or
strategies of the university. The second is then need for whole-of-life project planning,
with budgets reflecting the longevity of the implementation from project proposal to
retirement of the project.
The issue of return on investment (ROI) or benefits realisation is an ongoing challenge
for IT projects. ROI has long been a focus in business and financial investment theory,
and a key criterion for the adoption of new projects or strategies. However for IT, ROI
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is a concept somewhat more difficult to express in standard business terms. Many senior
executives are still struggling to understand the implications of IT investment, and the
return on investment for ‘intangible’ technologies such as knowledge management or
enterprise systems. IT investments can be extremely significant in terms of Australian
university budgets. Therefore, there is a corresponding need to identify clearly the
benefits from these investments and the means by which these benefits can be measured.
We have to be driving it probably harder than any other area because we're taking money away from other people hand over fist, and we deserve to be held accountable. Right, because we're claiming such an increasingly large slice of the university's resources. So yeah, we have to do everything we can to be very predictable, […] we have to know exactly where the money is. I think we put forward a reasonably strong business case, because we're a business but we're not a business, and you're talking in terms of such investment it is hard to quantify and I get the impression that some people at the very top want to see numbers and figures to say well, why are we doing this. What is the return to our bottom line and that's really hard to quantify because the reward is that you're improving your competitive edge. The ultimate reward is that you're attracting and retaining high quality students. […] I think it is hard to quantify.
An IT project may span several years from project proposal to retirement. A project that
requires minimal outlay in one year for a pilot study may then require a massive injection
of funding for full implementation. Retirement of a project due to insufficient funds after
a successful pilot implementation is fraught with difficulties and client frustrations.
Despite the five-year projections for IT expenditure in the AMP, the specific budget
allocations for the IT projects are determined annually. In this way, the one-year budget
and schedule can be seen to be driving the project management.
Another challenge of project management methodology is the tendency to see projects as
finite; once implementation of the IT project is complete, the project is retired. However,
IT implementations usually have ongoing implications for maintenance and adoption
into standard work practices. Additionally, the measurement of IT implementation and
process reengineering is not standardised in the current project management practices.
This gap in the IT strategic management methodology highlights the need for whole-of-
life project planning and management. This gap was recognised in the AMP 2002-2006,
which identifies the Division of Finance & Resource Planning to address the
improvement of this process (p.2). This is the real issue of whole of asset management
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and this issue is also linked to the issues of research and development or proof-of-
concept funding for IT projects, and the overall budget envelope for IT within the
university.
I think that all projects that are in here should have end-to-end costs. The reality is that anything that ends up on this [Project Registry] has to have a technical component to it. So therefore we need to cost the business, the technology and the change control of implementing it in the organisation.
Project managers believe that they must re-justify their project to the ITSGC each year,
in order to ensure ongoing funding. Project managers have expressed the view that, if a
proof-of-concept fund was available, more accurate projections of total funding required
could be made in the initial project plan. The project could be approved on the
understanding of the total needs for full implementation over several years. Projected
costs for the project could include post-implementation costs for maintenance and
upgrades. However, this model is dependent on accurate projections of future funding
requirements, which can be extremely difficult in the volatile and fast-moving IT
environment.
…we're good at planning but I don't think it translates into the budget. It doesn't work for us. We use the right model, but what it does mean is…I want to do a pilot or I want to do a proof of concept, spend a small amount of money and engage an expert. A year after if that's successful, then I'll need a lot more money. I need two more experts and if that's successful I can deliver it in the third year. So what we actually need to do is to look at pieces of work that conduct themselves over a number of years. They need to plan it … into the budget process at least to connect back there… with some protection that if activities aren't successful well then they choose that jump out point.
ITSGC considers IT priorities at the ‘top’ layer. There is nevertheless a view that, at a
more detailed level, there are deficits in both priority setting and sequencing of activities.
…there are problems because what it has done is put everything at a much higher level and left out a layer. So one of the big problems I struggle with, and managers in this area I'm sure, is priority setting. It's okay for the governance committee to say these are the approved projects for the year and here are the funding and the resources, that's great. But who says what project gets done first? What priorities they set?
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A commonly expressed view across the staff interviewed was the need for either a
project office for the university or the Division of Information & Academic Services, or
for the current scope of the position of Project Portfolio Manager in the IT Services
Department to be broadened to encompass all IT projects across the university. The
consequences of an office or position that could manage the entire portfolio of IT
projects across the divisions and faculties would be to allow for strategic management of
these IT projects and priority setting of timing and scheduling of the projects and
budgets.
We need a centralised coordination point for project management, a 'situation room' that tracks the development of projects and has a coordinated view of rapid change.
IT management is undoubtedly improving at QUT, and significant efforts are underway
to address gaps in the processes. It is clear that consistent project management processes
and strategic ongoing management processes of infrastructure, investment and services,
must be combined with the strategic governance and integrated planning of IT. If so, this
would provide QUT with excellent business value and academic quality from its IT
infrastructure and services.
6.4 QUT Strategic Integration in the Australian University Context All Australian universities are addressing IT planning, management and governance
challenges in their own, unique ways. Some practices described in chapter 4 are reflected
in practices at other Australian universities (Anderson, Johnson, and Milligan, 1999) and
in universities in the United States (Foster and Hollowell, 1999). Other practices are
more specific to QUT (Gibson, et al, 1999).
QUT itself is distinctive, in its origins and development to date (Gibson, et al, 1999).
QUT evolved from the amalgamation of several educational institutions, and rapidly
adopted centralised models for administration and governance. Over the last four years,
online teaching has also become a major coordinated exercise. QUT has chosen to adopt
best of breed enterprise systems, rather than implement a single-vendor Enterprise
Resource Planning (ERP) system. This, in itself, presents challenges of interoperability
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and process reengineering that cannot equate directly to universities that have adopted an
ERP model.
To determine the context of the IT planning, management and governance at QUT
within the Australian university environment, a modest comparison was conducted.
Published documents were examined from all other Australian mainstream universities,
to determine the existence of IT governance committees, IT strategic plans, and
integrated IT and physical infrastructure asset plans. Key participants at eleven other
Australian universities were contacted for follow-up discussions about their IT planning
and management practices. Six of these selected participants responded and informal
discussions were conducted via telephone and in-person interviews.
The investigation of documented practices at other Australian universities revealed that
most had not chosen to integrate information technology and physical infrastructure
planning and management. The University of Tasmania has recently moved to create a
centralised asset management register that includes most central IT hardware, but not IT
software, systems or network infrastructure. The model at University of Tasmania is an
operational asset management framework, focussing on data collection, analysis and
management. The asset management framework at University of Tasmania has no
financial administration role, and is not obviously linked to a strategic planning and
governance process.
Several other Australian universities report high-level planning and governance
committee arrangements for IT. From the evidence gathered, none of these committees
is chaired at the most senior level of the Vice-Chancellor; most are chaired at a divisional
level by the relevant head of information services or its equivalent. To date, none appear
to have made direct linkages to an integrated planning framework that considers all
university IT assets and a single budget for central IT development and maintenance.
The evidence shows that QUT is at the forefront of integration of information
technology planning and governance with university asset planning and strategic
objectives.
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6.5 Conclusions The evidence of the reforms of IT planning, governance and management with at QUT
demonstrates support for the research propositions relating to the research questions.
Question 4: Has there been significant benefit from the new IT
governance and management framework and has the integration into the
AMP for IT planning and budgeting provided measurable improvements?
Successful IT planning, budgeting, governance and management is framed within the
context of QUT goals and objectives and physical infrastructure planning and
development; providing increased accountability and flexibility for IT expenditure; and
realisation of benefits.
Examination of documentation and interviews with key staff involved in IT planning,
management and governance and the analysis of data confirmed this research
proposition. The Asset Management Plan provides a framework for IT planning, aligned
with the physical infrastructure planning processes. The Information Technology
Strategic Governance Committee assists the planning processes by providing a forum for
discussion of IT planning priorities and development within the context of other
university priorities and development. The five-year framework of the AMP is consistent
with the strategic goals and plans of the university. The AMP creates an integrated
environment for planning and management of information technology and physical or
capital infrastructure. Although complete strategic alignment of IT and university
planning has not been achieved to date, IT planning is certainly framed within the
context of QUT goals and objectives.
The AMP has provided the structure for the IT budget, as a central, coordinated fund
with inbuilt accountability and expenditure tracking. Having a single central fund for all
IT central expenditure has allowed simultaneous consideration of IT and
telecommunications infrastructure development and maintenance with IT services and
information management issues. Flexibility has been achieved through the ability to
transfer funds between the IT initiatives and provide additional funds to high-priority IT
implementations as required, from other implementations that are stalled or less critical.
The ITSGC provides a clear and effective governance body for IT, with representation
from across the university sections. This allows for simultaneous consideration of IT
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priorities and strategic linkage to the budgeting processes. All IT projects and
implementations are considered by the same university staff involved in top-level
planning and strategic goal setting.
IT management is now centrally coordinated through the Project Portfolio Manager in
IT Services, links to the AMP and ITSGC, the IT Project Registry, IT project sponsors,
and through a consistent project management methodology. IT management has
certainly improved in terms of accountability to strategic plans and budget allocations,
and visibility of IT implementations across the university. The IT Portfolio has improved
the university’s accounting and balance for the IT infrastructure, services and staffing.
Question 5: Have there been any significant failures or non-successes in
the QUT framework of centralised governance and management and
integrated planning for IT?
Unsuccessful IT planning, budgeting, governance and management is not fully
integrated and aligned with strategic direction; so that flexibility of funding is still
limited; and potential exists for greater benefits realisation.
As expected, examination of documentation and interviews with key staff involved in IT
planning, management and governance and the analysis of data also confirmed this
research proposition. Hirschheim and Sabherwal (2001) note that alignment if IT and
business strategy will typically occur incrementally. Evidence from this research is
apparent to demonstrate that IT planning is still evolving as integrated with university
planning. The level of integration has been assessed as only moderate in the current
framework with the 2002 iteration of the AMP. Budget issues have been identified as
driving IT priorities, instead of their contribution to QUT strategies. QUT strategic goals
may be used in analysing and developing IT initiatives and setting priorities for IT
implementations, but no clear vision exists for IT within QUT.
Clear separate funding lines exist for IT and physical infrastructure initiatives within the
AMP. Although ITSGC may be used as a vehicle for funding determination and flexible
allocation, this flexibility is not reflected in the AMP. No clear pathway exists for
transference of funds or determination of priorities between physical and IT initiatives,
only between the separate IT initiatives themselves. Apparently, this may never be
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achieved in the AMP, as priorities for funds may need to be determined at a higher level
than those of capital and IT comparisons. No proof of concept funding exists, which
limits the extent of IT innovation within the budget framework.
The AMP maintains a separate set of strategies and objectives for IT from other asset
plans and separate funding strategies are employed. IT infrastructure is definitely a
consideration in capital developments. However, the separate processes and departments
that exist within the university to handle the planning processes create the ongoing
possibility of inconsistency between the physical and IT implementations.
Evidence is clear from the ITSGC documentation and from interviews that ITSGC is
still struggling with the relationship of IT to the rest of the organisation, and that this
difficulty is preventing complete strategic alignment with QUT goals and objectives. Staff
are still unclear about the role of the governance committee in priority setting and budget
allocation for IT implementations. IT is still seen as somewhat separate in its planning
and budgeting processes, and no clear vision exists to guide IT development within
QUT.
Evidence is again clear from documentation and interviews that IT management
processes are based around project management methodology, with short-term budget
allocations and a lack of ongoing priority setting and strategic management. There is a
perception that greater accountability for return on investment is required. There is also a
perception that whole-of-life planning is lacking for IT implementations, requiring annual
bidding for funds. Strategic management of IT needs to consider the ongoing
relationship of IT projects, and their relative priority and expenditure.
Question 6: How does the QUT framework of IT planning, management
and governance fit within the context of other Australian universities?
The QUT framework of IT planning, budgeting, management and governance is
different from current practices at other Australian universities, in that it demonstrates
increased integration with physical infrastructure planning and budgeting, and greater
synergy with institutional goals and strategies, than other frameworks.
Within the limited context undertaken, examination of documentation and interviews
with key staff and the analysis of data confirmed this research proposition. From the
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modest investigation conducted, no similar or comparable frameworks of IT planning
and management were identified at other Australian universities. The strong interest in
this research by the Department of Education, Science and Training reinforces the
distinctiveness of the QUT framework. The level of integration demonstrated by the
AMP and the ITSGC appears unique to QUT.
Despite the asset management plan at University of Tasmania, that incorporates IT as
well as physical infrastructure, it is a model of pure asset management, with no links to
strategic goals or financial planning. Although other universities have management
committees for IT, none are chaired at the most senior levels of the university and
incorporate the same level of representation from across the institution. Strategic plans
for IT exist at other Australian universities, but none appear to be fully integrated with
university plans or physical infrastructure plans.
Research shows that integrated IT planning, strategic governance and strategic
management of IT are all key factors in maximising the organisation’s investment in IT
infrastructure and services. QUT has achieved some benefits from increasing integration
with university goals and strategies, and certainly from the consolidation of IT budgets
and planning processes. QUT has implemented a governance framework and
management reforms that are providing a solid grounding for the future of IT
development at the university. Issues and difficulties exist and are still being addressed
within the AMP framework for planning and the ITSGC forum for governance. Clear
challenges exist for IT strategic management. QUT appears to present a unique
framework for integrated IT and physical infrastructure planning and management, with
a higher level of integration than other Australian universities.
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7. Summary & Conclusions QUT is a university. The planning, governance and management of QUT is driven by the
academic and administrative goals of the university, within the Australian tertiary
education environment. As a professional-academic bureaucracy, QUT recognises the
dichotomy of trying to maintain the values and qualities of a teaching and research
organisation, while operating in an entrepreneurial and increasingly competitive
environment. Planning, management and governance of information technology is no
exception to this. QUT must ensure that the IT infrastructure provides for innovation
and quality in education and research, and facilitates and streamlines the administration
and operation of the business organisation.
QUT has attempted to ensure its IT infrastructure is the best for its academic and
administrative needs. QUT has integrated physical and virtual infrastructure planning,
aligned the IT implementations with university goals through strategic governance, and
developed consistent project management practices to provide more efficient, flexible
and reliable IT infrastructure.
The changes that have been documented and evaluated show a level of integration of IT
and university planning that is significantly higher than previous practices at QUT, and
probably also at other Australian universities. Strategic governance has been relatively
successful, although continuing challenges exist for the current approach. IT strategic
management has improved, but apparent deficits in the methods have been identified.
The framework appears unique to QUT, and demonstrates some considerable strategic
advantage for QUT. Therefore, the research question emerges:
Question 7: What is the significance of the reforms to the future of IT for
QUT and the Australian higher education sector?
This chapter summarises the evidence from the survey of integration and the case study,
and draws on the evidence to highlight the significant outcomes of the research and the
potential for future research, as well as the significance of the research to QUT and other
Australian higher education institutions.
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7.1 Summary of Research Outcomes
Question 1: How and why should organisations move toward a framework of
strategic integration of IT planning and management with organisational
planning and management?
Research into IT integration or alignment has been extensive, and primarily supports the
claim that integration improves both business processes and IT implementations (Teo &
King, 1996; Broadbent, Well & Neo, 1999; Lesko, 1999; Hirschheim & Sabherwal, 2001).
Examination of documentation and interviews with key staff involved in IT planning,
management and governance and the analysis of data confirmed that: integration is
necessary for successful IT planning, budgeting and management; integration improves
IT planning and management processes; successful governance of IT must be framed
within institutional objectives and with high-level consultation and support; and
successful IT management must manage innovation and development within the
framework of specific objectives and new technologies.
QUT has radically reformed its IT planning, management and governance since 1999.
The Asset Management Plan integrates physical and virtual infrastructure planning into a
single framework. The IT Strategic Governance Committee has educated the senior
managers of QUT in the needs and requirements of the IT infrastructure, and provided a
forum for IT planning, priority setting and management, aligned with IT strategies. The
reforms in IT management have ensured a level of return of business value on IT
investment. The IT Project Registry has facilitated the visibility of innovation and the
maximisation of implementations across the university. The IT Portfolio has ensured
better consistency and reliability in the IT infrastructure and provided a framework for
benchmarking of IT investment within QUT.
Planning of IT infrastructure and innovation, prior to 2000, was inconsistent and
fragmented. Different sections of the university would develop new technologies and
separate infrastructures that created ‘hidden’ IT innovation and poor return on
investment for the university as a whole. The central IT planning was largely divorced
from other faculties and divisions. The vital funding increases for maintenance and
development of IT infrastructure were slow to evolve and patchy in their application.
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QUT has created an Asset Management Plan that has a single budget for central IT
innovation and infrastructure maintenance. This budget has the necessary flexibility to
respond to fluctuating demands and the provision for growth as required. The AMP has
also utilised an existing planning framework for capital planning to provide consistency
and visibility for IT implementations. Across QUT, staff can see the IT developments
and maintenance underway and participate in the planning, priority setting and benefit
realisation of these developments. The AMP has facilitated a whole-of-asset focus in
QUT that has brought IT infrastructure to the forefront of asset management and out of
the ‘back room’. The AMP framework has attempted to address the need for integration
of IT planning with university planning. Additional alignment with strategic goals has
been achieved through the ITSGC. The level of integration has been evaluated as
approaching the level of ‘Reciprocal Integration’, where IT planning both supports and
influences organisational planning.
Question 2: Has QUT achieved full integration of strategic IT and organisational
planning?
The research of King and Teo (1997) and of Lesko (1999) strongly supported the use of
a set of benchmarks to determine the level of IT integration with business strategy.
Results of the survey into integration and effectiveness of IT planning and management
confirmed that a level of integration is evident to demonstrate where university and IT
strategies are developed concurrently in the same integrated planning process.
Full integration, where IT and organisational planning are considered inextricably, is still
a goal for the future. QUT has not completely integrated physical and IT planning.
Separation in the budgets and initiatives may be addressed in future iterations, but the co-
location of these budgets and initiatives has provided a more responsive planning
framework and visibility and flexibility in the relative budget demands. The medium-term
planning timeframe in the AMP has brought IT planning from a difficult one-year focus
to a more realistic focus of three to five years, which may facilitate whole-of-life IT
project planning.
Question 3: Does the level of IT planning integration correlate to an increase in
IT planning effectiveness?
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Teo and King's (1996) research into the relationship between integration and
effectiveness for IT planning was extended by Lesko (1999) and resulted in a set of
benchmarks that correlate to IT planning effectiveness. Results of the survey into
integration and effectiveness of IT planning and management confirmed that a level of
planning effectiveness is evident and is related to the level of integration of IT planning
with university planning.
The analysis demonstrated a significant positive correlation of the average benchmark
measures of integration with the average benchmark measures of effectiveness. This is
not necessarily a causal link; the results do not necessarily demonstrate that increased
integration will result in increased effectiveness. However, the positive relationship
between these two variables is encouraging for the development of integrated IT
planning at QUT.
Question 4: Has there been significant benefit from the new IT governance and
management framework and has the integration into the AMP for IT planning
and budgeting provided measurable improvements?
To extend the theory of integration and effectiveness of IT planning proposed by Teo
and King (1996) and confirmed by Lesko (1999), it is appropriate to use a case study with
the diversity and richness of qualitative data analysis, gathered from across the
organisation. Examination of documentation and interviews with key staff involved in IT
planning, management and governance and the analysis of data confirmed that successful
IT planning, budgeting, governance and management is framed within the context of
goals and objectives and physical infrastructure planning and development; providing
increased accountability and flexibility for IT expenditure; and realisation of benefits.
QUT saw the need for a more consistent and top-level governance of IT to ensure
compliance with the university goals and strategies. Strategic governance evolved from
other committees to a committee chaired by the Vice-Chancellor, representative of the
divisions and faculties of QUT, and representative of the academic objectives and
business and financial management of QUT. The IT Strategic Governance Committee
has a focus of facilitating effective, efficient and responsive IT planning and
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management. ITSGC is closely interwoven with the AMP to achieve this flexibility and
responsiveness.
Research by Weill and Broadbent (1998) and Foster and Hollowell (1999), among many
others from other commercial and higher education organisations, has shown that
strategic governance of IT provides essential leadership in IT innovation and
implementation, and develops an IT infrastructure that better serves the agenda of the
organisation. Evidence from QUT supports this research, as most staff concur that the
ITSGC facilitates more effective planning, budgeting and priority setting of IT.
Reforms in strategic management to date have focussed on ensuring consistent project
planning and project management, which has resulted in increased accountability and
visibility for the organisation. The establishment of a visible IT portfolio and project
registry, and the employment of the Project Portfolio Manager have been significant
steps toward increasing return on investment and organisational value.
Question 5: Have there been any significant failures or non-successes in the QUT
framework of centralised governance and management and integrated planning
for IT?
Many issues have been identified, related to the issues of integration and centralised
governance of IT. In particular, Hirschheim and Sabherwal (2001) emphasise that
integration is an ongoing process, not a single event in time. The need for a clear vision
for IT development is emphasised by Cornish and Morton (2001). And Ciborra and
Hanseth (1998) and Weill and Broadbent (1998) are adamant on the need to reconcile
centralised control of IT with local innovation and diversity. Examination of
documentation and interviews with key staff involved in IT planning, management and
governance and the analysis of data confirmed that unsuccessful IT planning, budgeting,
governance and management is not fully integrated and aligned with strategic direction;
so that flexibility of funding is still limited; and potential exists for greater benefits
realisation.
QUT is lacking a coherent vision for IT that is limiting IT planning, although efforts are
underway to develop this vision for IT in QUT’s future. Similarly, QUT is improving
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linkages between the existing university budget cycle and the schedule of IT activities.
Significant challenges exist for the university in ensuring ongoing strategic management
of IT investment, setting priorities for IT implementations and developing a lifecycle
management and budgeting processes for IT innovations. Challenges of communication
and priority setting are taxing the governance committee, but the governance process has
brought fundamental value to the university.
Question 6: How does the QUT framework of IT planning, management and
governance fit within the context of other Australian universities?
Despite a preponderance of data on the ubiquitous use of strategic planning in Australian
universities (Anderson, Johnson & Milligan, 1999), the close integration of IT planning
and management into these strategic processes is not apparent. Examination of
documentation and interviews with key staff at other universities and the analysis of this
data confirmed that the QUT framework of IT planning, budgeting, management and
governance is different from current practices at other Australian universities, in that it
demonstrates increased integration with physical infrastructure, and greater synergy with
institutional goals and strategies, than other frameworks.
QUT’s adoption of an integrated Asset Management Plan appears unique within the
Australian university environment. No other university identified has a governance
committee chaired at the level of the Vice-Chancellor, with organisational representation
from across the academic and administrative sections of the university. No other
university identified appears to have achieved the same level of integration of IT
planning with university planning, despite strategic plans for IT within the university.
All of these research outcomes point to both a viable future for IT planning,
management and governance within QUT, and a potential framework for other
Australian universities. The research outcomes also confirm research within the
corporate and U.S. higher education sector (Foster & Hollowell, 1999) that integration of
IT and organisational planning provides benefits for the organisation for its IT
infrastructure and services.
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7.2 Implications of the Study & Future Recommendations The research conclusions provide implications for QUT itself and for other organisations
who wish to examine the concepts of integration of IT planning with university planning,
IT governance, and strategic management of IT within a university.
Question 7: What is the significance of the reforms to the future of IT for
QUT and the Australian higher education sector?
7.2.1 Implications for QUT IT is a fast-changing and evolving resource, open to a wide variety of external influences.
Planning, management and governance practices must be responsive to this environment
and flexible enough to accommodate rapid change. QUT has already taken significant
steps to address prior problems in IT planning and management, and to integrate the
planning and management into a whole-of-asset focus. QUT must evolve further its
framework of IT planning, management and governance to reflect current best practice
and the shifting IT environment.
More successful IT planning, budgeting, governance and management will require
further integration into organisational planning and physical infrastructure planning and
budgeting; and more central coordination.
It appears likely that the Asset Management Plan will become increasingly integrated for
information technology and physical infrastructure planning, as it evolves. The AMP is
certainly evolving toward integration, but whether or not it will be completely integrated
is unclear, due to fundamental disparities between IT developments and maintenance and
capital developments and maintenance.
An integrated budget seems appropriate, with the improved flexibility of transference of
funds among projects, as their requirements fluctuate and inevitable hiatus and delay gaps
appear. The AMP will also evolve in its links to the IT Strategic Governance Committee,
the intertwined framework facilitating better project priority setting and communication
between project planners and senior QUT managers.
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QUT has commenced the development of a coherent vision for information technology
in the university. This vision will enhance the strategic planning, priority setting and
funding of IT developments and maintenance. The vision will allow ITSGC to make
more informed choices among competing projects, and provide the impetus for funding
evaluation of IT investment as a whole.
ITSGC itself is evolving, and communication within the committee is improving, as well
as the understanding of the technology for the senior QUT managers. This evolution is
likely to increase the benefits that ITSGC brings to IT planning and priority setting, and
address some of the technical communication challenges currently facing ITSGC. The
committee has been evolving through a period of establishment and rapid development.
Now this initial stage is past, ITSGC must begin to address some of its external
challenges of communication and dissemination of information.
ITSGC has recognised the need to focus on issues of return on investment and benefits
realisation. Such a focus is endorsed by the research from the commercial sector and
other tertiary education sectors. This focus foreshadows further changes in IT planning,
with the identification of specific business and educational outcomes for IT
developments, and the establishment of performance measures and reviews. This again
will address some of the challenges and perceived inequities in IT project planning and
priorities.
The audit of IT project management practices at QUT is set to produce further
improvements in IT project planning, priorities and implementation. The audit examined
project management from a selection of current IT projects at various stages of
implementation. The audit identified that examples of best-practice project management
methodology were present in all of these projects, but that consistency and universal
adoption were lacking. The audit highlighted the best-practice examples from these cases,
to be consistently adopted across QUT.
Rigorous application of this project management methodology across all IT projects will
assist strategic planning, strategic management and benefit realisation for IT
development and maintenance. With the adoption of a stronger focus on benefits
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planning and performance evaluation, a whole-of-life project planning approach should
emerge.
A recent ITSGC meeting examined the IT Portfolio as a benchmarking tool, which
resulted in the refinement of the Data Definitions, Structure and Assumptions of the
Model. It is envisioned that this tool can now be used for benchmarking against other
relevant Australian universities, allowing QUT to examine both its current level of
investment in IT and its gaps for development of IT infrastructure.
7.2.2 Implications for Other Australian Universities The comprehensive reform at QUT, to IT planning, management and governance
processes, is perhaps the most important aspect for other Australian universities to
consider. The evidence from corporate and tertiary education research demonstrates the
value of integrating IT planning and management within an organisation and linking this
planning, at the highest level, to the strategic objectives of the organisation (Foster &
Hollowell, 1999). QUT has achieved this through a strategic, non-operational focus at
ITSGC and through a coordinated IT management process. QUT is building a whole-of-
asset focus that will enable better priority setting of its infrastructure development and
maintenance.
Elements of the QUT framework can be adapted and adopted by other Australian
universities.
This research proposition is partially confirmed by the data and analysis. However, the
extent to which other Australian universities could adopt the entire QUT framework may
depend on their level of centralisation and standardisation of IT infrastructure, as well as
their adoption of enterprise systems. Some elements of the QUT framework may bring
benefit to other universities, such as the need for an IT vision, the consideration of IT
needs against organisational objectives, or the integration of physical and information
technology infrastructure planning and management.
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7.2.3 Implications for IT Planning, Management & Governance Research This research has confirmed previous research that integration of IT planning with
organisational planning provides benefits in IT infrastructure, innovation and service
provision (Teo & King, 1996). The research has confirmed that alignment with
organisational goals and strategies ensures visibility of IT implementations and better
acceptance of standards (Burn & Setzo, 2000). The research also confirms that full
integration is particularly difficult within a professional bureaucracy and that flexibility
must be left for innovation and departmental adoption of standardised infrastructure
(Yetton & Johnston, 2001).
This research has validated the Teo and King (1996) survey questionnaire for IT planning
integration with organisational planning, and benchmarks for perceived effectiveness of
IT planning. The correlations of the benchmarks of perceived integration and actual
integration confirm the results of King and Teo in their 1997 research. By testing this
instrument in a new context, and within a single organisation, it has also proved valid for
specific and detailed assessment of the level of integration of IT planning with
organisational planning, and to confirm qualitative evidence from interviews and
observations. The correlations of the integration and effectiveness benchmarks both
confirm the results of Lesko in his 1999 research and surpass the analyses performed by
Lesko. Lesko performed simple percentage calculations to confirm the relationship of
integration of IT planning and effectiveness of IT planning. The statistical correlations
performed here are a more reliable measure of this relationship.
This research has confirmed previous research that IT governance provides benefits for
integrated planning, allocation of responsibilities, determination of priorities for IT
initiatives, and monitoring of IT performance and outcomes (Weill & Broadbent, 1998).
This research also confirms that governance is most effective with high-level and cross-
organisational representation. Although mostly a centralised model of governance, some
hybridisation of the model is apparent in that strategic managers from across the
university advise the governance committee and implement the decisions of the
governance committee within their separate sections.
This research confirms previous research that strategic, longer-term planning for IT is
essential to ensure better IT infrastructure and services (Foster & Hollowell, 1999; Earl,
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1993). Annual planning alone for IT is fraught with difficulties and annual budgets may
reduce the potential of innovation. The need for whole-of-life project planning is
apparent from this research, with inbuilt monitoring of IT implementations to ensure
return on investment.
This research has applied theories of IT planning, management and governance within a
unique environment, that of an Australian university. The research has demonstrated that
a non-standard framework of IT and physical infrastructure integration can work
successfully within this specific environment. The reforms evaluated in this research are
appropriate within the entrepreneurial environment of Australian higher education and
work towards the political demands for accountability and regulation (Gallagher, 2000).
7.3 Strengths & Limitations of the Study This research focussed on a single organisation, to confirm previous research in a
controlled, new environment. Previous detailed research on integration of IT planning
and management has focussed almost exclusively on the corporate sector. Universities
and higher education institutions are unique environments, both for their political,
economic and societal influences and for their technological adoption and infrastructure.
Traditional methods and a professional bureaucracy that has unique ethics and demands
heavily influence the management of universities. Therefore, the application of the
previous research within this environment adds to the body of knowledge about
integration of IT planning and management and IT governance within the organisation.
The survey research was naturally limited by the size of the population, and the response
rate, although moderately high, meant that statistical analysis of data was potentially
flawed. However, the survey has confirmed previous research and provided a significant
analysis of trends within the organisation, for the level of integration of IT planning with
university planning, and for the correlation of integration with effectiveness of IT
planning. The statistical analyses were appropriate and rigorous.
The case study design was rigorous and detailed. Multiple sources of evidence were used
to confirm each research proposition, to ensure triangulation of conclusions. Subjective
conclusions and opinions from interviews and comments were cross-referenced among
participants and confirmed with objective documentation and observations. Meticulous
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records were kept and the study is entirely replicable. The case study provided valuable
qualitative evidence of the application of a specific IT planning, management and
governance framework within the Australian university sector.
Detailed comparisons with other Australian universities are not possible from the data
collected. Although some contextual documentation was examined and interviews were
conducted, this did not constitute a detailed comparison across Australian universities. A
more thorough investigation of the IT planning, management and governance practices
across Australian universities would be extremely valuable, both to QUT and to the rest
of the Australian sector. Some Australian universities have adopted large-scale ERP
systems. Some Australian universities have unique IT infrastructures due to their
adoption of distance education or their geographical environment. Comparative research
could include the survey questionnaire for cross-institutional comparisons, and multiple
case studies to examine the different university contexts in detail.
7.4 Conclusions QUT has created a framework of integrated IT planning, IT governance and IT strategic
management, as part of a broader strategy of reform. This research has served to
demonstrate both the strengths and weaknesses of this framework, and to relate the
reforms to previous research into best practice of IT planning, management and
governance.
By examining the evidence from current and historical documentation, and by
interviewing key staff within the organisation, the research has shown the background to
the framework chosen by QUT, the relevance of this framework to the QUT context,
and its advantages over previous methods of IT planning and management.
By implementing the survey to determine the level of integration of IT planning with
university planning, and the effectiveness of current IT planning practices, the research
has shown that integration is evolving within QUT, and has not yet achieved the goal of
full integration. The research has also shown that the evolution of integration
corresponds to an increase in the level of effectiveness of IT planning across the
university.
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By examining further documentation, conducting wide-ranging interviews, and observing
key meetings, the research has shown that there have been significant benefits for QUT
in adopting this framework of IT planning, management and governance. As well, the
research has shown the deficits in the current framework and the potential for
development of IT planning integration, governance, and strategic management. The
implications for QUT of additional reform to this framework are clear, and QUT would
derive considerable benefits from minor reforms to this framework.
A brief examination of evidence from other Australian universities showed that the QUT
framework appears unique within the environment, and that the level of integration of IT
planning and governance with university planning and governance is higher at QUT than
the other universities examined. Despite differences in their structure and context, other
universities may benefit from the examination and adaptation of the QUT framework.
Overall the research has been successful in addressing the research questions and
achieving outcomes to validate the research propositions.
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Appendix A. Case Study Protocol
CONTENTS 1. OVERVIEW AND RESEARCH OBJECTIVES
1.1. Objectives of case study
1.2. Definitions
1.3. Issues to be considered
1.4. Case Study Limitations
1.5. Bibliography of relevant readings
2. CASE STUDY FIELD PROCEDURES
2.1. Resources
2.2. Sources of data
2.3. Key staff for research
2.4. Schedule of research activities
2.5. Guidelines for assistance – people and procedures
2.6. Provisions for unexpected events
3. MATRIX OF QUESTIONS; PROPOSITIONS; DATA FOR ANALYSIS;
LOGIC LINKING PROPOSITIONS AND DATA; CRITERIA FOR ANALYSIS
4. GUIDE FOR CASE STUDY REPORT
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1. OVERVIEW AND RESEARCH OBJECTIVES 1.1. Objectives Of Case Study
Information technology planning, management and governance have traditionally been fragmented within any organisation, and universities have traditionally kept these functions separate from overall planning and management of the institution. In contrast, physical asset planning and management, of buildings, plants, grounds and capital infrastructure has traditionally been integral to university planning and management at the highest levels. It can be argued that the importance of the information technology infrastructure is very rapidly growing, while the importance of the physical infrastructure is gradually decreasing as modes of off-campus and virtual education affect the university's core mission and objectives. Thus the necessity to consider information technology infrastructure planning and management and to develop a governance approach that considers information technology as core business for the institution would appear to be essential. Information technology planning, management and governance has changed significantly at QUT over the past two years, and measurable progress has been made toward the integration of planning and management of information technology into the physical infrastructure planning and management methods, via the Asset Management Plan (AMP). Apparently, this approach was adopted as a model of high-level integration and consistent planning and budgeting for development and maintenance. Additionally a high-level, coordinated governance committee for the information technology infrastructure has been established. These innovations are certainly significant for QUT. They may even be unique, or at least very unusual within the Australian university sector. The case study method will effectively document the changes, highlight the advantages and disadvantages of the new approach, and provide a model for change in information technology management at other Australian universities. The case study will provide opportunities for the sector to better understand the complexities associated with incorporating best practice in the management of information technology by considering the broader issues of IT governance practices at QUT and how the AMP forms a pivotal model within the context of IT Governance, along with the IT Strategic Governance Committee, the Cross-Boundary Operational Teams, the Project Register and the Project Portfolio Manager in Information Technology Services. The case study will also inform Australian higher education policy development on issues associated with university funding and management.
An Evaluations and Investigations Programme (EIP) Grant has been approved to conduct a case study of QUT’s Asset Management Plan (AMP). While the AMP model appears to be unique to QUT, the outcomes from the implementation of this model will provide valuable materials for the sector in organisational planning, development and management. Case studying the implementation of the AMP and its associated strategies will enable the documentation of issues, aspects which worked well, and those which need improvement and would be a valuable and relevant resource for universities seeking to proceed in a similar way. The case study will provide opportunities for the sector to better understand the complexities associated with incorporating best practice in the management of information technology by considering the broader issues of IT Governance practices at QUT and how the AMP forms a pivotal model within the context of IT Governance, along with the IT Strategic Governance Committee, the Cross-Boundary Operational Teams, the Project Register, the Project Portfolio Manager in ITS and the Sponsorship program in the IT Project system. The case study will also inform DETYA’s policy development on issues associated with university funding and management. There have been expressions of interest across the sector in QUT’s approach in this area. The Committee for Australian University Directors of Information Technology (CAUDIT) has expressed keen interest in providing support to monitor the Plan’s implementation and the outcomes for the purpose of sharing learning and strategies.
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The case study will be conducted by documenting current process, interviewing key stakeholders, observing key decision making meetings, conducting focus groups, and liaising closely with the Project Portfolio Manager. The study will also reference benchmarking exercises in which QUT has been involved in the last five years where these have involved the assessment of IT strategic planning and resourcing.
1.2. Definitions Asset Management Plan The QUT Asset Management Plan (AMP) is a four-year planning document that provides the strategic objectives, specific project goals and budgets for development and maintenance of the Physical Infrastructure and the Information Technology Infrastructure. The Physical Infrastructure of the university comprises the buildings, associated utilities, grounds, vehicles and furnishings, etcetera. The Information Technology Infrastructure of the university comprises the personal computers, servers, networks, software, systems, telecommunications, etcetera. Within the AMP, QUT's objectives for new capital developments, new implementations as well as maintenance, upgrades and refurbishments are detailed over a four-year time frame. Information Technology (IT) Planning IT planning is the process of identification, within budgetary constraints, of computing equipment, telecommunications, software and systems required by the university staff and students, for both current and future needs. Planning incorporates maintenance as well as innovation and development. University Planning University planning is the process of identifying needs and requirements, within the budgetary limitations of the university, related to academic programmes, administrative functions, capital developments and technological infrastructure. Planning incorporates maintenance as well as innovation and development. University planning is a strategic planning process of setting short and long-term plans within the context of University Strategy. University strategy incorporates the agreed strategies to achieve university goals and objectives, complying with the university's mission. Information Technology Governance Governance is the process of setting strategic directions for information technology and overseeing the development, implementation and management of information technology infrastructure and applications at QUT. Governance also involves ensuring compliance with identified university strategies, legal and ethical guidelines, and university budget. Integration or Alignment of IT Strategy and University Strategy Integration or alignment may occur in many ways and at many levels. Full integration involves the seamless consideration of IT and university issues and planning and budgeting as a single integrated process. Integration at any organisation or institution is rarely this absolute, and integration or alignment occurs in varying degrees.
1.3. Issues to be considered The background and history of IT governance at QUT:
Previous systems of IT planning and project management The budgetary control of IT projects Also, the background to IT governance in relation to physical infrastructure governance at QUT
The initiative to develop the Asset Management Plan, incorporating physical and virtual infrastructures:
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The rationale for integrating the physical and virtual infrastructure planning, management and budgetary control into one system – the AMP The broader governance structure that has been built around the AMP - the IT Strategic Governance Committee, the Cross-Boundary Operational Teams, the Project Register, the Project Portfolio Manager in ITS and the Sponsorship program in the IT Project system – all designed to foster horizontal and vertical communication as each level complements the others The processes and barriers to implementation of the AMP The adoption and utilisation of the AMP The potential for future development and utilisation of the integrated planning, management and budgetary control The lack of adoption or resistance to the AMP as an integrated system for IT and physical infrastructure governance
The potential advantages of the AMP and IT governance systems:
Increased visibility of funding control and coordination of project initiatives across faculties and divisions Managed growth in IT funding and infrastructure Facilitation of resources allocation to IT development including funding to meet ongoing maintenance costs for example, contract maintenance Increased utilisation and dissemination of IT innovation from one project to a broader QUT audience Greater coherence and a client focus in university services based on IT innovation Greater coherence in management and development of IT and physical infrastructure together – developing both infrastructures in tandem with a balanced viewpoint and budgetary considerations
The potential disadvantages of the AMP and IT governance systems:
Lack of understanding of the system The problems arising from the AMP that had previously not existed Resistance to change Resistance to alterations in budgetary considerations between physical and virtual infrastructures
The potential for other universities in Australia to benefit from the consideration of the QUT model and to adopt similar practices in IT governance The value for DETYA in performing its responsibilities to monitor the financial position and security of the universities and in making judgements about the impact of developments in the policy and financing environment for higher education
1.4. Case Study Limitations This is intended to be a single case study. The data gathered in this case study will not be representative of the tertiary education sector in Australia. Case studies are useful in exploratory or explanatory research, and this type of research is appropriate to inform QUT management and the Australian university sector about this current innovation. A detailed comparison or benchmarking is not intended within the context of this study. The primary data-gathering phase of this study can only be conducted over a twelve- to fifteen-month period, so the potential to examine long-term change in planning, management and governance practice is limited. Thus, a more long-term study, or repeat research conducted in two to three years would reveal in greater detail how well the model for planning and governance has served QUT and been accepted and adopted throughout the organisation. Such research would be useful to conduct in future.
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The survey instrument to measure the actual level of integration that has been achieved will be implemented within a defined population within a single university to obtain a small sample of data (less than 50 responses).
1.5. Bibliography of relevant readings Gable, G. G. (1994). Integrating case study and survey research methods: An example in information systems. European Journal of Information Systems, 3(2), 112-126. Yin, R. K. (1994). Case study research: Design and methods ( 2nd ed.). Thousand Oaks: Sage.
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2. CASE STUDY FIELD PROCEDURES
Initial interviews conducted with key staff, along with a design matrix based on the work of Yin (1994), enabled the development of an effective case study design, based on the triangulation of data from interviews, documentation and observations. These multiple sources of data allow the researcher to validate research conclusions and confirm subjective perceptions. The identification of the questionnaire instrument will allow for the gathering of minimal quantitative and substantial qualitative data to further validate research conclusions.
2.1. Resources Room M606 Gardens Point Dedicated laptop Access to Division of IAS network Access to networked printing in TALDU University Internet and Email systems Stationery supplies (order through DIAS secretariat)
2.2. Sources of data DATA PARTICIPANTS OUTCOMES
Interviews Senior QUT Management; Senior Faculty and Division staff; IT planners; IT project managers
• Perceptions of levels of integration • Perceptions of success of new
management and governance approaches
• Background to development of methods
Documentation Plans and management reports; committee meetings; IT project proposals and reports; budget documents
• Verification of background to changes in approaches and practices
• Evidence of actual levels of integration in planning and success of governance and management approaches
Observations Information Technology Strategic Governance Committee; other committees and meetings
• Evidence of actual levels of integration in planning and success of governance and management approaches
• Evidence of ongoing changes to practice
Questionnaire Senior QUT Management; Senior Faculty and Division staff; IT planners; IT project managers
• Perceptions of levels of integration • Perceptions of success of new
management and governance methods • Evidence of successes and failures
2.3. Key staff for research
ITS Project Portfolio Manager – Warren Fraser/Graham Keys Pro Vice Chancellor (Information & Academic Services) – Tom Cochrane
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Executive Officer (IAS) – Robyn Daniel QUT Resources Manager – Terry Leighton IT Strategic Governance Committee members: QUT Vice Chancellor External member – Carmel Grey Faculty Deans Identified IT Project Teams and Team Leaders
2.4. Schedule of Research Activities
Jun-01 Jul-01 Aug-01 Sep-01 Oct-01 Nov-01 Dec-01 Jan-02 Feb-02 Mar-02 Apr-02 May-02 Jun-02 Jul-02 Aug-02 Sep-02 Oct-02 Nov-02 Dec-02Research Method-ology
Develop Design
Final Interviews
Literature Review (Initial Scan for Theory)
Literature Review (Scan for Revised Theory)
Literature Review (Ongoing Scan for Updates and Additional Material)
Obtain Primary Documentation
Obtain Additional Documentation
Obtain Any Documentation re: 12-month Review of AMP Implementation
Finalise Model (Based on Initial Theory Scan)
Potential Revisions to Model
Conduct Initial Data Collection Interviews
Conduct Follow-up Interviews
Initial Observation on Key Stakeholder Meetings
Ongoing Observation of Key Stakeholder Meetings
Initial Contact with Other Institutions for Data Comparisons
Ongoing Contact with Other Institutions for Data Comparisons
Initial Data Analysis Secondary Data Analysis Final Data Analysis (for DIAS)
Initial Interpretation and Reporting (for DIAS)
Secondary Interpretation and Reporting (for DIAS)
Final Interpretation and Reporting (for DIAS)
Ongoing Interpretation and Reporting for Masters Thesis
Format and Finalisation of Masters ThesisInitial Interpretation and Reporting for Masters Thesis
Conduct Interviews re: 12-month Review of AMP Implementation
Any Additional Data Collection and Analysis Required for Masters Program
2.5. Guidelines for assistance – people and procedures DAY-T0-DAY ASSISTANCE/ADVICE: Project Portfolio Manager – Warren Fraser/Graham Keys RESEARCH PROJECT MANAGER: Pro Vice Chancellor (Information & Academic Services) – Tom Cochrane GENERAL & OPERATIONAL ASSISTANCE/ADVICE: Executive Officer (IAS) – Robyn Daniel ADMINISTRATIVE ASSISTANCE/SUPPLIES: IAS Personal Assistants – Margaret Sparks/Sheila Kerslake General procedures: Contact Project Portfolio Manager for general ongoing advice and assistance with research design, contact names and analysis/interpretation of research results Administrative/budgetary/HR questions direct to Executive Officer Need to form Reference Group – speak to Project Portfolio Manager Stationery supplies (order through DIAS secretariat) Any issues related to DETYA or to the overall progression of the research – discuss with Pro Vice Chancellor (IAS). Regular meetings: Frequent with Project Portfolio Manager Occasional with Pro Vice Chancellor (IAS)/ Executive Officer As required with other groups and individuals Significant email communications should be circulated to Project Portfolio Manager, Pro Vice Chancellor (IAS) and Executive Officer.
2.6. Provision for unexpected events Generally, contact Project Portfolio Manager, and possibly Pro Vice Chancellor (IAS) and Executive Officer, for discussion and negotiation. These staff can also assist with contacts, gaining access to staff, groups and committees.
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3. MATRIX OF QUESTIONS; PROPOSITIONS; DATA FOR ANALYSIS; LOGIC LINKING PROPOSITIONS AND DATA; CRITERIA FOR ANALYSIS
Theme 1: Background and Development of Integrated Planning and Governance Methods QUESTIONS PROPOSITIONS DATA FOR ANALYSIS ANTICIPATED OUTPUTS
Question 1: How and why should organisations move toward a model of strategic integration of IT planning and management with organisational planning and management?
a) Integration is necessary for successful IT planning, budgeting and management.
b) Integration improves IT planning and management processes.
c) Successful governance of IT must be framed within institutional objectives and with high-level representation and consultation.
d) Successful IT management must manage innovation and development within the framework of specific objectives and new technologies.
DOCUMENTATION: Historical reports, plans and committee minutes; QUT policies and structures. INTERVIEWS: Senior IT managers; IT planners; senior physical infrastructure managers.
• Comments and descriptions of previous approaches and processes.
• Descriptions of plans and budget approaches and evidence of inefficiencies.
• Evidence of need for change and recommendations for change
Question 2: Has QUT achieved full integration of strategic IT and organisational planning?
e) A level of integration is evident to demonstrate where university and IT strategies are developed concurrently in the same integrated planning process.
DOCUMENTATION: Plans, reports and minutes relating to change; current reports, plans and committee minutes; QUT policies and structures. INTERVIEWS/QUESTIONNAIRE: Senior QUT Managers, senior IT managers; IT planners; senior physical infrastructure managers; IT project managers. OBSERVATION: ITSGC and other meetings.
• Comments and examples of integration of planning and budget with Capital Management Plan and associated approaches.
• Comments and examples of changes in IT project management.
• Evidence of new budgetary framework.
• Evidence, comments and descriptions of ITSGC as a tool for governance & integrated, high-level coordination of IT planning and management.
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Theme 2: Successes and Improvements to Planning and Governance Methods QUESTIONS PROPOSITIONS DATA FOR ANALYSIS ANTICIPATED OUTPUTS
Question 3: Does the level of IT planning integration correlate to an increase in IT planning effectiveness?
f) A level of planning effectiveness is evident and is related to the level of integration of IT planning with university planning.
Question 4: Has there been significant benefit from the new QUT IT governance and management framework and has the integration of IT planning and budgeting provided measurable improvements?
g) Successful IT planning, budgeting, governance and management is framed within the context of goals and objectives and physical infrastructure planning and development; providing increased accountability and flexibility for IT expenditure; and realisation of benefits.
DOCUMENTATION: Current reports, plans and committee minutes; QUT policies and structures. INTERVIEWS/QUESTIONNAIRE: Senior QUT Managers, senior IT managers; IT planners; senior physical infrastructure managers; IT project managers. OBSERVATION: ITSGC and other meetings.
• Evidence, comments and examples of improvements in planning and budget from integration within the AMP.
• Evidence of increased flexibility and accountability for IT expenditure.
• Evidence, comments and examples of more consistent IT project management with more visible project outcomes.
• Evidence, comments and examples of improvements within IT governance, related to coordination and direction from ITSGC and senior managers.
Question 5: Have there been any significant failures or non-successes in the QUT framework of centralised governance and management and integrated planning for IT?
h) Unsuccessful IT planning, budgeting, governance and management is not fully integrated and aligned with strategic direction; so that flexibility of funding is still limited; and potential exists for greater benefits realisation.
DOCUMENTATION: Current reports, plans and committee minutes; QUT policies and structures. INTERVIEWS/QUESTIONNAIRE: Senior QUT Managers, senior IT managers; IT planners; senior physical infrastructure managers; IT project managers. OBSERVATION: ITSGC and other meetings.
• Evidence, comments and examples on lack of integration and lack of alignment with QUT goals and strategies.
• Evidence and comments on need for further development of the budget within the AMP.
• Evidence, comments and examples on the need for additional project management approaches development.
• Evidence and comments of dissent between physical and IT infrastructure planning.
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Theme 3: Ongoing Developments of Planning and Governance Methods QUESTIONS PROPOSITIONS DATA FOR ANALYSIS ANTICIPATED OUTPUTS
Question 6: How does the QUT framework of IT planning, management and governance fit within the context of other Australian universities?
i) The QUT framework of IT planning, budgeting, management and governance is different from current practices at other Australian universities, in that it demonstrates the principles of good practice; increased integration with physical infrastructure and greater synergy with institutional goals and strategies than other frameworks.
DOCUMENTATION: Future reports, plans and committee minutes. INTERVIEWS/QUESTIONNAIRE: Senior QUT Managers, senior IT managers; IT planners; IT project managers. OBSERVATION: ITSGC and other meetings.
• Evidence, comments and examples of improvements in planning and budget from integration within the AMP (2002-2006).
• Evidence, comments and examples of more improvements to IT project management.
• Evidence, comments and examples of improvements within IT governance.
Question 7: What is the significance of the reforms to the future of IT for QUT and the Australian higher education sector?
j) More successful IT planning, budgeting, governance and management will require further integration into organisational planning and physical infrastructure planning and budgeting; and more central coordination.
k) Elements of the QUT framework can be adapted and adopted by other Australian universities.
DOCUMENTATION: Plans and reports from selected Australian universities. INTERVIEWS/QUESTIONNAIRE: Senior university managers and senior IT managers from selected Australian universities.
• Evidence, comments and examples on differentiation in practices of IT planning, budget, management and governance.
• Evidence, comments and examples on reduced integration of IT with physical infrastructure and institutional goals.
• Evidence, comments and examples on the need for better practices of IT planning, budget, management and governance.
4. GUIDE FOR CASE STUDY REPORT Separate formats required for EIP Report and Thesis. EIP Report: http://www.dest.gov.au/highered/eipstyle.pdf Thesis: http://www.fit.qut.edu.au/courses/postgrad/masters/ http://www.qut.edu.au/research/degrees/thesis.jsp
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Appendix B. Data Sources for Case Study & Questionnaire
Table B.1 QUT documentation sources
Document Year Available 2001 Budget Framework 2000 Department of Planning and Resources – QUT access only Asset Management Plan 2001-2003
2000 http://www.qut.edu.au/chan/pr/ltd/resource/cap_pln/amplan2001_3.pdf
Asset Management Plan 2002-2006
2001 http://www.qut.edu.au/chan/pr/ltd/resource/cap_pln/02amp.pdf
Capital Management Plan 2000-2002
1999 http://www.qut.edu.au/chan/pr/ltd/resource/cap_pln/00capplan.pdf
Department of Planning & Resources Plan 2001-2005
2000 Department of Planning and Resources – QUT access only
Division of Information & Academic Services Plan 2001-2005
2000 Department of Planning and Resources – QUT access only
Division of Finance & Resource Planning Plan 2002-2006
2001 Department of Planning and Resources – QUT access only
Division of Information & Academic Services Plan 2002-2006
2001 Department of Planning and Resources – QUT access only
Division of Information & Academic Services Project Management Framework
2000 http://www.dias.qut.edu.au/resources&reports/Documents/framework%20version%201.doc
Information Technology Strategic Governance Committee Agenda: 15 August 2000 19 October 2000 27 February 2001 8 May 2001 7 August 2001 6 November 2001 5 March 2002 23 April 2002
Previous agendas available from QUT Archives and Records Management Services Current agendas available: http://www.secretariat.qut.edu.au/cc/it/
Information Technology Strategic Governance Committee Minutes: 15 August 2000 19 October 2000 27 February 2001 8 May 2001 7 August 2001 6 November 2001 5 March 2002
Previous minutes available from QUT Archives and Records Management Services Current confirmed minutes available: http://www.secretariat.qut.edu.au/cc/it/
Information Technology Strategic Governance Committee Terms of Reference
2001 QUT Manual of Policy and Procedures – QUT access only (See Appendix D)
Internal Audit Report 2002/03, IT Governance – Project Management Review
2002 Department of Internal Audit – Internal access only
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Document Year Available IT Portfolio 1999 1999 http://www.its.qut.edu.au/project_portfolio/ITPortfolio1999.p
df IT Portfolio 2000 2000 Department of Information Technology Services – QUT
access only IT Portfolio 2001 2002 http://www.its.qut.edu.au/project_portfolio/portfoliodes.shtml IT Portfolio Data Definitions, Structures and Assumptions of the Model
2002 http://www.its.qut.edu.au/project_portfolio/Data%20Description%20of%20IT%20Portfolio.pdf
IT Project Registry Framework
2000 http://www.its.qut.edu.au/project_portfolio/pregistryframework.doc
IT Project Registry Summary Report
2002 http://www.its.qut.edu.au/project_portfolio/Project%20Registry%20Report4.pdf
Position Description and Selection Criteria: Associate Director and Manager, Project Portfolio
1999 Department of Information Technology Services
QUT’s Mission, Goals and Key Performance Indicators
http://www.qut.edu.au/chan/pr/planning/StratPlan/missgoal.pdf
QUT Strategic Plan 2002-2006
2001 http://www.qut.edu.au/chan/pr/planning/StratPlan/stratplan.htm
QUT’s Vision: Draft Vision Statement for QUT
http://www.qut.edu.au/chan/pr/planning/StratPlan/vision2.PDF
Report on the Review of the Department of Computing Services (External Consultant Report)
1998 Office of the Pro-Vice-Chancellor (Information & Academic Services) – Internal access only
Resources Plan 1999-2003 1999 Department of Planning and Resources Resources Plan 2002-2006 2002 http://www.qut.edu.au/chan/pr/planning/StratPlan/02-
06/resources_0206.PDF Strategic Planning and Budgeting Package 2002-2006
2001 Department of Planning and Resources – QUT access only
Strategic Planning Package: Top-Level and Support Function Plans 2002-2006
2000 Department of Planning and Resources – QUT access only
The IT Agenda at QUT: Past, Present and Future. [PowerPoint presentation] T. Cochrane, February 2002
2002 Office of the Pro-Vice-Chancellor (Information & Academic Services) – Internal access only
The IT Agenda at QUT: past, present and future: A position paper. T. Cochrane, April 2002
2002 Office of the Pro-Vice-Chancellor (Information & Academic Services)
Table B.2 Meetings observed
Meeting Date Information Technology Strategic Governance Committee 7 August 2001 Information Technology Strategic Governance Committee 6 November 2001 Information Technology Strategic Governance Committee 5 March 2002 Information Technology Strategic Governance Committee 23 April 2002
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Table B.3 Survey questionnaire respondents
Name Position Alner, Patricia Data and Analysis/SMARTA Manager, Planning & Resources Austen, Gaynor Director, Library Services Baumber, Kenneth Registrar Cope, Malcolm Dean, Faculty of Law Dascoli, Joseph Associate Director, ITS – Corporate Info Services Davis, Alison Manager, Student Support Services, TALSS Fredline, Sarah Library Systems Manager George, Graham Dean, Faculty of Science Gibson, Dennis Vice-Chancellor Gorham, Ross Manager, Network Services, ITS Graham, Alister Computer Systems Officer, Faculty of Health Harding, Sandra Dean, Faculty of Business Hart, Gail Director, Teaching & Learning Support Services Heron, Steve Client Quality Specialist, ITS Hessling, Kathy Corporate Systems Manager, ITS Holland, Darren Manager, Desktop Support Services, ITS Leighton, Terry Resources Manager McDonald, Ian Administrative Systems Coordinator, DAS Mottram, Paul Call Centre Manager, ITS Oloyede, Kunle Senior Lecturer, Faculty of Built Environment & Engineering (for the
Dean, Faculty of Built Environment & Engineering) Roberts, Geoffrey Associate Director TALSS and Manager, AV Services Sinfield, Philip Technical Services Manager, Faculty of Information Technology Tasker, Paul Senior Projects Officer, Corporate Info Systems, ITS Tesch, Paul Computer Support Officer, Division of Finance & Resource Planning Thelander, Neil Director, Information Technology Services Tronc, Dearne Project Leader, Customer Relationship Management, DAS Young, Carolyn Associate Director, Library Services Note: Surveys were distributed to 54 participants within QUT, 31 valid responses were
received (64.6% response rate). Four responses were anonymous.
Table B.4 Interviewees
Name Position Alner, Patricia Data and Analysis/SMARTA Manager, Planning & Resources Austen, Gaynor Director, Library Services Baumber, Kenneth Registrar Cochrane, Tom Pro-Vice-Chancellor (Information & Academic Services) Dascoli, Joseph Associate Director, ITS – Corporate Info Services Davis, Alison Manager, Student Support Services, TALSS Fraser, Warren Project Portfolio Manager (on leave from July 2001) Fredline, Sarah Library Systems Manager George, Graham Dean, Faculty of Science Gibson, Dennis Vice-Chancellor Gorham, Ross Manager, Network Services, ITS Goss, Halima Associate Director TALSS and Manager, SMILE Gough, John Dean, Faculty of Information Technology Graham, Alister Computer Systems Officer, Faculty of Health Gray, Carmel Group General Manager of IT & HR, Suncorp Metway Harper, Wendy Intranet Services Manager, ITS Hart, Gail Director, Teaching & Learning Support Services Hessling, Kathy Corporate Systems Manager, ITS Holland, Darren Manager, Desktop Support Services, ITS Keys, Graham Project Portfolio Manager (Acting) Leighton, Terry Resources Manager
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Name Position McDonald, Ian Administrative Systems Coordinator, DAS Mottram, Paul Call Centre Manager, ITS Tasker, Paul Senior Projects Officer, Corporate Info Systems, ITS Thelander, Neil Director, Information Technology Services Tronc, Dearne Project Leader, Customer Relationship Management, DAS Williams, Joy Executive Director, Finance & Resource Planning Wissler, Rod Director of Postgraduate Research Studies, Division of Research &
Advancement Young, Carolyn Associate Director, Library Services Note: Senior QUT managers, IT project managers and relevant department and section
managers were contacted for interview, regardless of whether they had responded to the survey. Some staff were interviewed more than once, where appropriate.
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Appendix C. Cover Sheet & Questionnaire
Cover sheet
Integration of Information Technology Planning & Management with University Planning & Management: Questionnaire
Robyn Tweedale Senior Research Assistant Office of the Pro-Vice-Chancellor (Information & Academic Services) Phone: 3864 2229 Email: [email protected] [Date] Dear _________, I have been employed by the Office of the Pro-Vice-Chancellor (Information & Academic Services) to conduct a case study research project, exploring the integration of information technology planning and management at QUT into the physical Asset Management Plan, and the integration into general university planning and governance. This research is funded by a grant from DETYA, Evaluation and Investigations Programme (EIP) and will be published as a report to the Australian tertiary education community. I am conducting interviews, reviewing documents and observing key decision-making meetings to gather the data in relation to the case study. I would like to gather a small amount of quantitative data, with examples and commentary to add to my research conclusions. I am also currently enrolled in IT60 Master of Information Technology (Research) at QUT, conducting similar research for my Masters thesis, and this data may also be used in this research. You have been identified as a staff member who is involved in information technology planning, management and/or governance at QUT. The attached questionnaire is being used to gauge the current level of integration of information technology planning with university planning at QUT. The questionnaire is derived from research that has been conducted over many years in the U.S., both within the corporate sector and the tertiary education sector. Your participation is voluntary – I would greatly appreciate your insights and input.
Please complete the attached questionnaire to provide your perceptions on the level of integration. It is important that your perceptions are based on the actual level of integration at this point in time. I may also approach you to conduct a short interview (up to 30 minutes) to discuss your perceptions on the integration in more depth, if you are willing to participate.
Please complete the survey and return in the enclosed envelope.
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CONFIDENTIALITY: Confidentiality of the information gathered in this questionnaire and subsequent interviews is absolutely guaranteed:
• Any quantitative data will be only presented in tabulated and/or analysed format. • Any comments or examples will not be attributable to a specific person or group of
people. • Specific evidence provided will only be available to the researcher or advisory team. If you have any queries regarding the ethical conduct of this research, please contact the University Human Research Ethics Committee (UHREC) Secretary, Mr Gary Allen. Phone: 3864 2902 Email: [email protected] If you have any queries about the conduct of the research or the questionnaire, please contact me, or my research supervisors: Robyn Tweedale Researcher Phone: 3864 2229
Email: [email protected] Guy Gable Director, ISMRC
(IT60 Research Supervisor)
Phone: 3864 1125 Email: [email protected]
Tom Cochrane Pro-Vice-Chancellor (IAS) (QUT Supervisor)
Phone: 3864 2560 Email: [email protected]
Thank you for your assistance in completing this questionnaire. It is hoped that this case study will benefit QUT and may also influence IT planning and governance across Australian universities. ROBYN TWEEDALE
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Questionnaire
Integration of Information Technology Planning & Management with University Planning & Management: Questionnaire
Definitions:
Information Technology (IT) Planning
The process of identification, within budgetary limitations, of computing equipment, telecommunications, software and systems required by the university staff and students, for both current and future needs. Planning incorporates maintenance as well as innovation and development.
University Planning The process of identifying needs and requirements within the budgetary limitations of the university, related to academic programmes, administrative functions, capital developments and technical infrastructure. Planning incorporates maintenance as well as innovation and development.
University Strategy The agreed strategies to achieve university goals and objectives, complying with the university’s mission and strategic plans.
Information Technology (IT) Governance
The process of setting strategic directions for information technology and overseeing the development, implementation and management of information technology infrastructure and applications at QUT; ensuring compliance with identified strategies, legal and ethical guidelines, and budgetary constraints.
PLEASE INDICATE WITH A CHECK MARK (✓ ) the description that most closely fits your perception of the current integration of University Planning and IT Planning at QUT. ( ) Administrative Integration In this type of integration, there is a weak relationship between University Planning (UP) and Information Technology Planning (ITP) as shown by the dotted line above. Generally, there is little significant effort to use information technology (e.g. computers, telecommunications) to support University plans. ( ) Sequential Integration In this type of integration, a sequential relationship exists between University Planning (UP) and Information Technology Planning (ITP). UP provides directions for ITP. The unidirectional arrow flowing from UP to ITP denotes this relationship. ITP primarily focuses on providing support for University plans. ( ) Reciprocal Integration In this type of integration, there is a reciprocal and interdependent relationship between University Planning (UP) and Information Technology Planning (ITP). There are therefore two arrows shown above; one flowing from UP to ITP and the other flowing from ITP to UP. ITP plays a role in supporting and influencing University plans. ( ) Full Integration
University Planning
IT Planning
University Planning
IT Planning
University Planning
IT Planning
Integrated Planning
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In this type of integration, there is little distinction between the University Planning (UP) process and the Information Technology Planning (ITP) process. University and IT strategies are developed concurrently in the same integrated planning process. Benchmark Variables
For each of the following statements: • Please PLACE A CHECK MARK (✓ ) beside the description that most closely
fits with your perception of the university. • Please choose ONLY ONE response for each numbered statement. (Even
though more than one response may seem appropriate, please select one that seems most appropriate.)
• Please also note that none of the descriptions are inherently “good” or “bad”. • Please provide EXAMPLES (wherever possible) that ILLUSTRATE YOUR
RESPONSE to each question. 1. Presently, integration of information technology in other University planning mainly:
( ) facilitates and influences QUT strategy ( ) ensures joint development of University and IT strategies ( ) facilitates administrative work processes ( ) only facilitates University strategy (does not influence)
COMMENTS/EXAMPLES: 2. Information technology at QUT, when viewed in terms of the functions it performs, is:
( ) technically oriented and non-strategic for QUT ( ) a resource to facilitate QUT strategy ( ) critical to the long-term survival of QUT and integral to strategy ( ) a resource to both facilitate and influence University strategy
COMMENTS/EXAMPLES: 3. The primary role of the Pro-Vice-Chancellor (Information & Academic Services) in relation to
information technology planning is: ( ) an information technology expert who formulates IT strategy to implement University strategy ( ) an information technology expert who provides input during University strategy
formulation and implementation ( ) a functional administrator responsible for “back-room” support ( ) a formal and integral member of the senior management team who is involved in
many university matters, even those not directly related to IT COMMENTS/EXAMPLES: 4. The measures at QUT for the performance of information technology functions are most obviously
their: ( ) contribution to QUT strategy implementation ( ) long-term impact on the organisation ( ) quality of inputs into QUT strategy formulation and implementation ( ) operational efficiency and cost minimisation
COMMENTS/EXAMPLES: 5. The development of the information technology applications at QUT is primarily triggered by:
( ) consideration of QUT goals ( ) both consideration of QUT goals and information technology capabilities ( ) the need to automate administrative work processes ( ) consideration that information technology applications play a critical role in QUT
strategy COMMENTS/EXAMPLES:
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6. Please indicate the frequency of participation of top QUT management staff (such as the V-C, DV-C, Registrar, etc.) in IT planning and IT governance:
Almost Always Occasional Very Seldom
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 7. Please indicate the frequency of participation in IT planning of staff using the technologies:
Almost Always Occasional Very Seldom
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 8. Please indicate the frequency of participation in IT planning of students using the technologies:
Almost Always Occasional Very Seldom
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 9. Please indicate the frequency of participation of the Pro-Vice-Chancellor (Information & Academic
Services) in general and physical planning for QUT: Almost Always Occasional Very Seldom
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 10. During IT planning, how frequently is the impact of new technologies assessed?
Almost Always Occasional Very Seldom
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 11. The IT planning and IT governance system within QUT can be characterised as a smooth-running and
efficient system? Strongly Agree Agree Strongly Disagree
1 2 3 4 5 6 7 COMMENTS/EXAMPLES:
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12. The IT planning and IT governance system within QUT can be characterised as a system that is well
informed about how its intervention affects the entire university? Strongly Agree Agree Strongly Disagree
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 13. The IT planning and IT governance system within QUT can be characterised as a system that is aware
of the implications and assumptions that are being made throughout the planning process? Strongly Agree Agree Strongly Disagree
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: 14. The IT planning and IT governance system within QUT can be characterised as a system that leads to
more improved quality within the university itself? Strongly Agree Agree Strongly Disagree
1 2 3 4 5 6 7 COMMENTS/EXAMPLES: Do you wish to make any additional comments about the level of integration of IT planning and University planning or the effectiveness of the IT planning and IT governance system at QUT? NAME (If you are willing to be interviewed): This questionnaire has been derived from previous research conducted in the U.S. in the higher education sector and the corporate sector. The questionnaire is the result of testing and modification from several research studies. The following authors developed the primary measures and inputs for this questionnaire: King, W. R., & Teo, T. S. H. (1997). Integration between business planning and information systems planning: Validating a stage hypothesis. Decision Sciences, 28(2), 279-308. Lesko, C. J. (1999). The integration of University and technology planning efforts in the North Carolina Community College system: A four-stage model approach. Unpublished doctoral dissertation, Walden University.
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Appendix D. ITSGC Terms of Reference & Membership
Information Technology Strategic Governance Committee3
Terms of reference Information Technology Strategic Governance Committee advises the Vice-Chancellor on information technology matters. The Committee monitors and reviews the portfolio of QUT information technology investments monitors and reviews University direction and strategic deployment of information technology across all teaching and learning, research, and administrative activities, including infrastructure planning reviews and assesses project management activities underway for the achievement of QUT's goals and objectives monitors and reviews the QUT asset plan monitors and reviews information technology issues as appropriate.
Membership Vice-Chancellor ex officio as Chairperson One nominee of the Vice-Chancellor drawn from industry4 The dean who is Chair of the Division of Information and Academic Services Advisory Committee ex officio Deputy Vice-Chancellor, or nominee of the Deputy Vice-Chancellor from Teaching and Learning Committee Pro-Vice-Chancellor (Information and Academic Services) ex officio Executive Director, Finance and Resource Planning ex officio Registrar ex officio A nominee of Vice-Chancellor's Advisory Committee A nominee of University Council A nominee of the Registrar is secretary.
Tenure and frequency of meeting Ex officio members remain members for as long as they hold the position relevant to their membership. Nominated members serve a two-year term. Information Technology Strategic Governance Committee normally meets four times a year.
3 Queensland University of Technology Secretariat. (2002) Information Technology Strategic Governance Committee. [Online]. http://www.secretariat.qut.edu.au/cc/it/ 4 Industry here does not necessarily mean the IT industry, as the expertise would also be desirable from business areas.
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Appendix E. Qualitative Data Analysis Table E.1 Codes used in qualitative data analysis (in Atlas.ti) and corresponding quotations in data
CODES INTERVIEWS DOCUMENTATION OBSERVATIONS TOTAL Background/Development of Planning/Governance Academic focus inadequate (currently) 7 7 Administrative focus inadequate (currently) 4 4 Planning not integrated at uni level (perceived) 20 20 Planning timeframe appropriate (currently) 8 8 Previous budget fragmented 4 7 11 Previous governance lacking 6 4 10 Previous planning patchy/uneven 5 4 9 Processes immature (currently) 19 2 21 Student focus inadequate (currently) 2 2 User/Stakeholder balance not applicable/OK 15 15 Asset Management Plan (AMP)/Integration Issues AMP appropriate framework for IT planning 25 5 30 AMP integration (fully) not appropriate 6 1 7 AMP not (fully) integrated (currently) 18 3 8 29 Business/technical communication problems 10 1 11 Long-term vision/short-term planning appropriate 37 6 5 48 Planning not integrated at uni level (perceived) 20 20 Planning timeframe appropriate (currently) 8 8 Processes immature (currently) 19 2 21 Research & Development (R&D) funding issues 12 12
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Return On Investment (ROI) focus needed 4 8 12 Short-term funding problems evident 5 5 Short-term planning only appropriate 13 13 Whole of life project planning needed 24 1 3 28 IT Strategic Governance Issues Business/technical communication problems 10 1 11 Governance Committee (GC) as improvement 43 4 2 49 Governance Committee better communication needed 28 1 29 Governance Committee budget problems 37 3 9 49 Governance Committee project prioritisation problems 35 2 8 45 Long-term vision/short-term planning appropriate 37 6 5 48 Planning not integrated at uni level (perceived) 20 20 Processes immature (currently) 19 2 21 QUT leader in IT governance (perceived) 10 10 IT Project Planning/Management Issues AMP appropriate framework for IT planning 25 5 30 Governance Committee project prioritisation problems 35 2 8 45 Long-term vision/short-term planning appropriate 37 6 5 48 Planning not integrated at uni level 20 20 Planning timeframe appropriate 8 8 Processes immature (currently) 19 2 21 Project coordination problems evident 9 9 Project management problems evident 13 1 1 15 Project management working (currently) 7 7 Project office/officer needed 6 6 Research & Development (R&D) funding issues 12 12
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Return On Investment (ROI) focus needed 4 8 12 Short-term funding problems evident 5 5 Short-term planning only appropriate 13 13 Whole of life project planning needed 24 1 3 28
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Figure E.1 Asset Management Plan - Assigned codes and relationships for analysing qualitative data (Diagram from Atlas.ti Network View)
Atlas.ti Network View - Link Legend
N Is a cause of (causes) -A- Contradicts -R- Is associated with -G- Is part of O Is a (same concept) -P- Is a property of
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Table E.2 Codes used in analysis of the Asset Management Plan and planning processes and corresponding quotations in data
CODES INTERVIEWS DOCUMENTATION OBSERVATIONS TOTAL AMP appropriate framework 25 5 30 AMP integration not appropriate 6 1 7 AMP not integrated 18 3 8 29 Planning not integrated at uni level 20 20 Planning timeframe appropriate 8 8 Processes immature 19 2 21 Project management working 7 7 R&D funding issues 12 12 ROI focus 4 8 12 Short-term funding problems 5 5 Whole of life project planning 24 1 3 28
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Figure E.2 IT Strategic Governance - Assigned codes and relationships for analysing qualitative data (Diagram from Atlas.ti Network View)
Atlas.ti Network View - Link Legend
N Is a cause of (causes) -A- Contradicts -R- Is associated with -G- Is part of O Is a (same concept) -P- Is a property of
141
Table E.3 Codes used in analysis of the Strategic Governance Committee and governance processes and corresponding quotations in data
CODES INTERVIEWS DOCUMENTATION OBSERVATIONS TOTAL Academic focus inadequate 7 7 Administrative focus inadequate 4 4 Business/technical communication problems 10 1 11 GC as improvement 43 4 2 49 GC better communication needed 28 1 29 GC budget problems 37 3 9 49 GC project prioritisation problems 35 2 8 45 Long-term vision/short-term planning 37 6 5 48 Planning not integrated at uni level 20 20 Processes immature 19 2 21 Project office/officer needed 6 6 QUT leader in IT governance 10 10 Short-term funding problems 5 5 Student focus inadequate 2 2 User balance not applicable/OK 15 15 Whole of life project planning 24 1 3 28
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Figure E. 3 IT Project Planning and Management - Assigned codes and relationships for analysing qualitative data (Diagram from Atlas.ti Network View)
Atlas.ti Network View - Link Legend
N Is a cause of (causes) -A- Contradicts -R- Is associated with -G- Is part of O Is a (same concept) -P- Is a property of
143
Table E.4 Codes used in analysis of the project planning and project management processes and corresponding quotations in data
CODES INTERVIEWS DOCUMENTATION OBSERVATIONS TOTAL Business/technical communication problems 10 1 11 GC better communication needed 28 1 29 GC project prioritisation problems 35 2 8 45 Processes immature 19 2 21 Project coordination problems 9 9 Project management problems 13 1 1 15 Project management working 7 7 Project office/officer needed 6 6 QUT leader in IT governance 10 10 ROI focus 4 8 12 Short-term funding problems 5 5 Short-term planning only 13 13 Whole of life project planning 24 1 3 28
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