IT GOVERNANCE AT

CARLETON UNIVERSITY
Version 4.7

Office of the Chief Information Officer, Information

September 2017
Technology Services

This Document provides the terms of reference and

structure for Information Technology Governance at
Carleton University.
 IT Governance at Carleton University

OVERVIEW

Information Technology (IT) Governance is a key requirement that greatly enhances the success of
an organization. In order to be effective, it has to be about making relevant and timely decisions,
creating and stimulating the critical dialogue that will lead to better and more informed decisions,
and increasing transparency and the level of collaboration within the institution. IT Governance at
Carleton University is inclusive of teaching and learning, research and administration.

The scope of IT Governance at Carleton University ensures that the investment in information
technology aligns with the strategic direction, themes and priorities of the University including the
Strategic Integrated Plan.

IT Governance focuses on:

 IT principles – clarifying the institutional role of IT

 IT investment and prioritization – choosing which initiatives to fund and how much to spend
 IT architecture – defining integration and standardization requirements
 IT infrastructure – determining and enabling shared services
 Business application needs – specifying the business need for purchased or internally
developed IT applications

IT Governance processes operate at three levels:

 Information Systems Executive Committee (ISEC) – provides oversight of the governance

process
 Information Systems Steering Committee (ISSC) – operates as the strategic enterprise level
committee for IT Governance
 Other Committees and Working Groups

Page 2 of 12
 IT Governance at Carleton University

COMMITTEE STRUCTURE AND ORGANIZATION

This section focuses on the mandates, objectives and functions of each of the committees that
comprise the IT Governance process. Memberships are outlined in Appendix A.

ISEC (Information Systems Executive Committee )

The key mandate of the ISEC is to provide oversight and guidance to the governance process. This
Committee will assess the function and performance of the various committees within the scope of
this governance structure and take action as required to ensure the processes are effective and
meet the overall strategic objectives of the University.

ISEC is accountable for ensuring the governance process is performing appropriately. It is at this
Committee where decisions should be taken as to whether the overall structure and process are
working, and if not, what actions are required to correct them.

ISEC must also consider the broader issues dealing with IT strategy and IT investment as it applies
to Carleton University.

It is within the mandate of ISEC to:

 Ensure alignment of initiatives with the strategic themes of the University
 Identify and recommend levels of investment and funding in IT
 Set and communicate the overall business objectives as they relate to IT

The members of ISEC also provide key linkages into other senior level committees; namely, Senior
Management Committee (SMC), Financial Planning Group (FPG), Vice-President Academic &
Research Committee (VPARC) and Strategic Integrated Planning Committee (SIPC)

As the primary mandate is oversight, and the key operational committee will be ISSC, it is
important that ISEC define the appropriate membership for ISSC.

ISSC (Information Systems Steering Committee )

The primary mandate of the ISSC is to operate as the strategic enterprise level committee for IT
governance. This Committee will be the prime venue for discussing initiatives and issues related to
broad IT decisions about policy, resource allocation, strategy alignment and priorities.

Page 3 of 12
 IT Governance at Carleton University

The ISSC will ensure that IT related initiatives undertaken and funded by the University align with
the business of the University. It is important that the appropriate linkages be established to
increase the probability of success and that the benefits realization is in fact optimized.

The ISSC will operate with the following principles:

 The Committee will guide the strategic directions and priorities of IT as they relate to the
business of the University and ensure alignment with the Strategic Integrated Plan, and
Finance and Administration’s Balanced Scorecard.
 The Committee will ensure that the strategic focus, the sharing of plans and intent will fit
into and complement the Carleton University strategic planning process.
 The Committee will take a long term view of IT investments and the potential to impact and
influence the business of the University. The goal is to ensure that balance is achieved
between Academic and Administrative initiatives, and between short and long term
projects.
 The Committee will ensure that scarce IT resources are allocated to the most advantageous
benefit of the University.
 The Committee will encourage broad participation and engagement from the community
through transparency, strategy and dialogue. The ISSC will deal with matters of policy,
funding, projects, and information as it relates to the transparency of IT.

It is within the mandate of ISSC to:

 Achieve balanced portfolio management through a systematic and strategic review that
aligns with the University’s strategic initiatives.
 Define and establish strategic priorities relating to information technology.
 Approve proposals for new initiatives based on strategic and objective assessment. Deal
with broader topics, strategies and initiatives in a more anticipatory manner and at earlier
stages than has been the practice in the past. The project Proposal will be used as a vehicle
to communicate intent at a much earlier stage around the potential impact, benefits and
resources for a potential project.

The intent is to achieve balance among proposals to better align with the strategic priorities of the
University. While this notion of balance will be better defined through the ISSC, it could be
construed as a balance between the Administrative, Academic and Research missions of Carleton.

As projects are granted funding, it becomes important to provide regular status reports to ISSC,
particularly for some of the higher profile projects. It is within the mandate of the ISSC to define
those projects which will require regular ongoing review.

There are some projects that may not necessarily require funding decisions, but may benefit from
visibility at the ISSC. The reasons will vary but the underlying strategy and intent is to improve the
level of transparency and collaboration within the University.

Page 4 of 12
 IT Governance at Carleton University

It is important at this point to distinguish between funding for projects that are of an administrative
nature and those for academic purposes. The mandate of ISSC does not extend to those initiatives
that are for the sole purpose of teaching and research.

The ISSC may grant one-time fiscal funds only. Any on-going base funding requirements is the
responsibility of the project Sponsor; the ISSC does not have the authority to provide base funding.

The ISSC is not a technical committee. Membership will consist of those individuals that can
represent and debate the business of the University. The objective is to balance the size and
representation in order to keep the operation of the Committee efficient and yet representative of
the community.

Other Committees and Working Groups

There are a number of other IT related committees and working groups that operate in various
capacities on campus. Some are formal entities and meet regularly, whereas others are less formal
and meet as required. Rather than define formal relationships and impose a structure, it is
suggested that linkages be established as required.

There may be groups or functions the ISSC would like to hear from on a regular basis; and these
would be scheduled as required. Conversely, if one of the working groups or committees requires
funding, or approval on an enterprise scale project, the option of proposing a project to ISSC is
open to them.

In order to facilitate the approval process for Information Systems projects, the various Computing
Committees will review information systems Proposals and consequent Project Charters prior to
their submission to ISSC.

TLCC (Teaching and Learning Computing Committee)

The mandate of this Committee is to provide centralized coordination of computing and data
infrastructure investments to support the teaching and learning mission of the University. The
objective is to identify common needs across the teaching and learning community at Carleton with
respect to infrastructure, hardware, software and technical support. This can include enterprise
teaching and learning systems like; cuLearn, software licensing for computer labs and classrooms,
network infrastructure for teaching and learning purposes, and policy decisions that impact the
teaching and learning community.

Page 5 of 12
 IT Governance at Carleton University

This Committee will be responsible for:

 Collecting relevant information for decision-making from all academic units
 Identifying common needs with respect to infrastructure, software, hardware, and technical
support for teaching and learning (online, blended and face to face environments)
 Foreseeing future needs that ought to be taken into consideration to support the
University’s strategic teaching and learning initiatives
 Recommending policy and procedures relating to academic computing
 Seeking opportunities for pooling resources to make investments that address common
needs
 Identifying potential external partners for investments in academic computing
 Providing a venue in which to review Proposals and Project Charters before they are submitted
to the ISSC in order to support established priorities and relevance to the priorities set for the
University.

The Committee will identify and report teaching and learning computing priorities and funding
requirements to the ISSC.

RCC (Research Computing Committee)

The mandate of this Committee is to provide centralized coordination of computing and data
infrastructure investments and growth to support and advance the research mission of the
University. The objective is to identify common needs with respect to infrastructure, hardware,
software, and technical support in order to ascertain critical mass for evaluating the added value of
investments, and to pool resources so that efficiencies may be realized.

This Committee will be responsible for:

 Collecting relevant information for decision-making from all Faculties
 Identifying common needs with respect to infrastructure, software, hardware, and technical
support for research
 Foreseeing future needs that ought to be taken into consideration as new investments are
made
 Seeking opportunities for pooling resources to make investments that address common
needs
 Identifying potential external partners for investments in research computing
 Providing a venue in which to review Proposals and Project Charters before they are submitted
to the ISSC in order to support established priorities and relevance to the priorities set for the
University.

The Committee will identify and report research computing priorities and funding requirements to
the ISSC.

Page 6 of 12
 IT Governance at Carleton University

ACC (Administrative Computing Committee)

The mandate of the Administrative Computing Committee is to support ISSC and the University in
prioritizing resources and efforts in the development of information technology services, and to
support the future direction and vision for the administrative IT systems domain.
This Committee will be responsible for:
 Identifying information technology needs, capabilities and support requirements
 Collecting relevant information for decision-making across the University
 Identifying administrative information technology priorities and funding requirements to the ISSC
 Providing a venue in which to review Proposals and Project Charters before they are submitted to
the ISSC in order to support established priorities and relevance to the priorities set for the
University.

The main focus will be to assess Carleton’s present administrative computing technology, identify areas
that need improvement, and research technology trends in order to develop a vision for the future.

DAWG (Data Administration Working Group)

The DAWG focuses primarily on enterprise data issues relating to administrative systems, primarily
the Banner Enterprise Resource Planner. The DAWG is co-chaired by the Associate Registrar,
Student Systems Support, and the Assistant Director, Enterprise Applications (CCS), and reports to
the ISSC on an as-required basis.

Page 7 of 12
 IT Governance at Carleton University

APPENDIX A: COMMITTEE MEMBERSHIPS

This Appendix identifies the membership of the various committees and the frequency of meetings.

Information Systems Executive Committee (ISEC)

Chair: Vice-President (Finance and Administration)

Membership: Provost and Vice-President (Academic)

Vice-President (Research and International)
Vice-President (Students and Enrolment)
Chief Information Officer

Meetings: Six meetings annually or at the discretion of the Chair

Information Systems Steering Committee (ISSC)

Chair: Chief Information Officer

Secretary: Manager, Project Management Office, ITS

Membership: Provost and Vice-President (Academic)

Vice-President (Finance and Administration)
Vice-President (Students and Enrolment)
Associate Vice-President (Research Planning and Operations)
Associate Vice-President (Teaching and Learning)
Vice-Provost and Associate Vice-President (Academic)
Dean, Faculty of Engineering and Design
Dean, Sprott School of Business
Dean, Faculty of Graduate and Postdoctoral Affairs
University Librarian
Assistant Vice-President (Financial Services)
Assistant Vice-President (Human Resources)
Assistant Vice-President (University Services)

Meetings: Monthly or at the discretion of the Chair

Page 8 of 12
 IT Governance at Carleton University

Teaching and Learning Computing Committee (TLCC)

Chair: Director, Educational Development Centre

Membership: Director, Office of the Vice-President (Academic)

Associate Registrar, Student Systems Support
Director, Enterprise Applications, ITS
Director, Undergrad Research Engagement
Representatives from the following:
 Faculty of Arts and Social Sciences
 Faculty of Engineering and Design
 Faculty of Public Affairs
 Faculty of Science
 Sprott School of Business
 University Library
 Instructional Media Services

Meetings: Monthly during the normal academic year

Research Computing Committee (RCC)

Chair: Director, Carleton University Research Office (CURO)

Membership: Associate Dean Research, Faculty of Science

Associate Dean Research, Faculty of Engineering and Design
Manager, Research Computing Services, ITS
Representatives from the following:
 Faculty of Arts & Social Sciences
 Faculty of Public Affairs
 Faculty of Science
 Sprott School of Business
 University Library

Meetings: Once each academic term or as required

Page 9 of 12
 IT Governance at Carleton University

Administrative Computing Committee (ACC)

Chair: University Librarian

Membership: Representatives from the following:

 Finance and Administration
 Office of the Provost and VP (Academic)
 Research and International
 Faculty of Graduate and Postdoctoral Affairs
 University Library
 Computing and Communication Services
 Registrar’s Office
 Faculty of Engineering and Design
 Human Resources

Meetings: Monthly or at the discretion of the Chair

Data Administration Working Group (DAWG)

Co-Chairs: Associate Registrar, Student Systems Support

Director, Enterprise Applications, ITS

Membership: Director, Admissions

Director, Student Awards
Director, Advancement Services
Director, Operations and Planning
Graduate Secretary and Registrar, FGPA
Manager, Human Resources Information System
Manager, Finance Information System
Director, Information Security, ITS
Enrolment Reporting Officer, OIRP
Assistant Director, University Safety
Privacy Officer
Director, Strategic Procurement

Page 10 of 12
 IT Governance at Carleton University

Banner Functional Support Officer, Undergrad Admissions

Banner Functional Support Officer, Grad Admissions
Manager, Faculty Affairs
Meetings: Quarterly or as required

Page 11 of 12
 IT Governance at Carleton University

APPENDIX B: VERSION CONTROL AND HISTORY

Revision Authors Date Comments

Number
4.7 Claude Phaneuf September 2017  Update of list of committees
 Update of committees membership
4.6 Susan Nesrallah September 2015 Change in Chair of Administrative
Computing Committee
4.5 Susan Nesrallah March 2015  Change in title for VP (Students and
Enrolment)
 Addition of FGPA rep on ACC
4.5 Susan Nesrallah November 2014  Update of ISEC key linkages
 Updates of Committee memberships
 Addition of Computing Committees role
of reviewing IT project Proposals and
Charters prior to submission to ISSC
4.4 Susan Nesrallah April 2014  Revision of DAWG membership
4.4 Susan Nesrallah November 2013  Academic Computing Committee name
change to Teaching and Learning
Computing Committee
 TLCC Mandate revision
 Administrative Computing Committee
Mandate revision
4.3 Denis Levesque July 2013  Add Administrative Computing
Committee
 Update to reflect changes in strategies,
committee memberships
4.2 Susan Nesrallah March 2013  Add Research Computing Committee
section
 Update memberships where necessary
4.1 Susan Nesrallah April 2011  Add statement on funding for
administrative vs academic initiatives
 Update Academic Computing
Committee membership
4.0 Ralph Michaelis January 2011 Rewrite to position the Committee as a
more strategic entity
3.0 Ralph Michaelis April 2005 Re-write
2.0 Brian Geddes 28/1/2002 Capture Feedback from ISTSC meeting
22/1/02
1.0 Brian Geddes 21/1/2002 First release for comment
Presented to ISTSC 22/1/02

Page 12 of 12