Abstract

In March 1997 Liverpool John Moores University (JMU) embarked on a University-wide transformation initiative to create ‘an enabling strategy for the foreseeable development of JMU’. The agenda set by this initiative presented a challenge through the need to coordinate University-wide process reviews, existing systems developments, new technology pilots and ’business-as-usual’. The dynamic and flexible Systems, Processes and Transformation approach to the management of Information, Technology and Change has been developed to answer this need. This approach should create the dynamic necessary to take JMU forward through the alignment of business-as-usual, Transformation objectives, and Communications and Information Technologies (C&IT), and, through the development and refinement of the global process map and associated information flows, in effect produce the JMU Information Strategy.

1. Organisational background – the Transformation Report

In March 1997 JMU embarked on a University-wide transformation initiative to create ‘an enabling strategy for the foreseeable development of JMU’. From June 1997 a representative Transformation Design Team consulted widely across the University and in December 1997 the Transformation Report was published.

This report detailed a number of recommendations across all areas of the business, with the overarching view being the need for the development of ‘efficient and effective communication and organisational systems, in order to become a world-class institution...these must be shared by all staff and students’. Within the body of the report a significant number of recommendations were linked to either the use of C&IT or to the need to understand and reengineer business processes.

2. Systems, Processes and Transformation

Following publication the Executive convened a number of task teams to address the key areas, including one looking at the whole area of Systems and Processes and the application of C&IT. This team was recognised as having a remit that cut across all areas of the University and was given the task of pulling together the recommendations of all of the task teams into a series of Transformation Projects which could be endorsed by the Executive. The problem encountered was that of coordinating the various different strands of Transformation-related development, whilst also incorporating the renewal of major technical systems which preceded the Transformation Report, and linking these with pilots of new technical approaches, and other issues critical to change management. Whilst Transformation had identified the high-level change agenda, it was not clear how this agenda was going to be operationalised across the University. The whole area was described in a Transformation update as "Systems and Processes, Web, and Information and Communications Technology (ICT) (Effective and Efficient Communication and Organisational Systems) Combining ICT opportunities, Web developments and systems and processes reviews to bring about better and more direct service to staff, students and others". Figure 1 below is a diagrammatic representation of the area.
 
 

Fig.1 – Transformation Diagram

Key: PWA – Personnel System

DMS – Document Management System

SMIS – Student Management Information System

Coda – Coda Financials System

CWIS – Campus-Wide Information System
 
 
 
 
 
 
 
 

The Systems and Processes approach is critical in understanding how the various different Reviews and System developments are merged together to produce a coherent approach to Transformation, as in the diagram. From the top down are the Transformation-driven major process review initiatives which are being approached through the Process Review methodology described below; from the bottom up, the System Self-Service (S3) JTAP-funded project which is the testbed for the technologies which might be used to implement the outcomes of a process review, plus other technology pilots such as Document Management Systems; and in the centre, the implementation ’cloud’ where technical solutions meet with redesigned processes, also incorporating the essential aspects of change management and staff development. The diagram also, as an aside, exemplifies the project management approach that has been adopted, which is a very loose interpretation of the PRINCE (PRojects IN Controlled Environments) methodology developed by the Civil Service in the UK for dealing with major system development projects, characterised by a structure involving formally convened Project Boards and Project Teams.

The three major contributory components of Transformation are therefore identified as: Process Reviews; Implementation and Change Management; Technical/Organisational Pilots. The remainder of this paper will cover each of these aspects before drawing the final conclusions.

3. Process Review

The Transformation Task Group recommended the formation of a central Process Management team – the Systems and Processes Panel – with the following remit:

maintenance of the global process map, and positioning of all initiatives within that context

maintenance of an overview of all process management initiatives

provision of assistance in process selection, appraisal and review

development of a process performance model to assist in selection, appraisal, review and evaluation

evaluation of all process management initiatives against transformation and other strategic objectives

consideration of the application of C&IT as an enabler in all process management initiatives

The first task of the group was to develop a more detailed framework for business process management across the organisation, incorporating the above. As part of the work, an approach towards Business Process review was developed.

The approach is loosely based on the Soft Systems Methodology developed by Checkland et al at Lancaster University, but utilising alternative techniques for encouraging the creative process, most notably structured brainstorming through the use of affinity diagramming. The conduct of a Process Review consist of four stages:

modelling of the desired future process

modelling of the current process

gap analysis

development of implementation plan

(It should be noted that the first stage should be conducted without reference to the way in which the process is carried out at present)

The approach is also based around certain key principles derived from the Transformation Report, including most significantly:

a ’black-box’ approach concentrating on the objectives and required outputs of a process before looking at what happens ’inside the box’

customer focus, emphasising the delivery of value to the end customer as the overriding driver of any process, and the primacy of the customer over the producer

a shift to a disintermediated or self-service business model – where wherever possible, the customer interacts directly with the system, and a ’good’ process is defined as one without unnecessary intermediate steps or authorisations

an emphasis on effectiveness and efficiency, where effectiveness is defined as ’doing the right things’ and efficiency as ’doing them at the lowest cost’

In outline, a process review is delivered through a number of facilitated half-day workshops plus background investigative analysis. Progress on Process Reviews to date is reported under 4. below.

4. Review, Implementation and Change Management: Progress to Date

As at the time of writing, a full review of Student Acquisition, defined anecdotally as ’attracting students and keeping them for a bit’, or more formally as the process from marketing of study programmes through to induction and retention, has completed the series of six workshops, the outcomes of which are now being developed into an implementation plan. An evaluation of the approach adopted signalled it largely successful; the cross-University team convened for the workshops, including current practitioners, but also student and Governor representatives, worked well, managing to focus on the future vision not just the current problems, and proving open to creative and challenging thinking, facilitated by the affinity diagramming technique. The implementation team is now recommending the reorganisation of activities around the key business processes, to be overlaid on the current fragmentation across departments, providing end-to-end coordinated processes focussed on the delivery of value to the end customer; this recommendation will be adopted as a general approach to delivery of all major processes. In contrast to the current organisation into hierarchical, line-managed departments, business process managers will be deployed to coordinate the delivery of process outcomes across departments and management lines.

Following the Student Acquisition Review an overall review of Student Management Information Systems has commenced. While strictly this is a review of a system rather than a process, the same workshop approach and facilitative techniques have been adopted and have again proved successful. The review is now in a transitional stage between the first three ’future’ and the second three gap analysis and planning workshops.

Finally in terms of process review activity, a review of the operation of Human Resource Management across the University, linked to the rollout of a new software system and the self-service approach (see below), is under way, the results of a review of Web-development and management are being implemented, and a review of Timetabling has just scheduled the first three workshops.

5. Technical/Organisational Pilots: Student/Staff/System Self-Service (S3)

A key element of the approach of JMU to C&IT-enabled change, as described above, is the desire to significantly enhance the efficiency of its processes by using web technologies to enable a transformation to a disintermediated or self-service business model. That is, one in which all internal business transactions will be undertaken by staff and students directly interacting with automated systems, rather than these transactions having to be undertaken on their behalf by intermediaries.

JMU has received government-funding under the JISC Technology Applications Programme (JTAP) for a 12 month pilot project. S3 is concentrating on student-related systems, and is based on the development of a web-based system enabling students to view and update their own Student Record, undertake on-line module registration, and access course and exam timetables, and enabling staff to access student information, monitor progress, and enter assessment data.

The project will produce a system providing an exemplar of web access to secure and sensitive database records, and in addition will demonstrate the benefits of disintermediation when applied to what was hitherto an administratively intensive process.

Deliverables of the project include:

Practical knowledge of how various web development tools and utilities can be used to provide access to corporate database systems

An understanding of performance related issues, and their resolution, in relation to transaction intensive web-based applications

Solutions to security and access issues of web-based applications

An understanding of interface design issues related to applications for which no prior user exposure or training is given

Issues relating to human acceptance factors – both by the student users and by administrative and academic staff

The significance of the project in the Systems and Processes approach to Transformation is in the proving of the self-service concept in the JMU environment, which, if succesful, will be applied not only to other Student-related systems but also to Financial and HR Management and other processes as appropriate.

The progress of the project and other related information can be accessed at the URL: http://s3.livjm.ac.uk.

6. Conclusions - Information Strategy Emergence

In the traditional approach to Information or any other strategy development, a top-down approach is adopted, with a high-level steering group identifying the broad strategy, which is then devolved as appropriate within the organisational context for implementation. In addition, strategy is normally seen as, at least in principle, preceding action.

JMU has adopted a significantly different approach. The Transformation Agenda, whilst approved by the Executive, was based on the report of the Transformation Design team, who were representative of the University both vertically and horizontally, and also consulted widely at all levels; this was by no means a traditional strategic planning activity. Whilst parts of the final report could be seen as falling into the ’motherhood and apple pie’ trap, nevertheless it set the broad, high-level agenda for future activity.

As identified above, this Agenda then had to be overlaid on ’business-as-usual’, which, as is always the case, was not standing still waiting for strategy to be delivered from on high like Moses delivering the Ten Commandments. Essentially, the Systems and Processes approach was adopted to answer three questions:

what are we already doing that fits into the Transformation agenda?

what do we have to do anyway despite the Transformation agenda?

what new things do we need to do to meet the Transformation agenda?

The Systems and Processes Review initiatives described above were examples of new things that needed to be done; the Self-Service pilot and the new Finance and HR systems examples that were happening despite the agenda, but could be brought within it.

Finally the link must be made between Systems, Processes and Transformation and Information Strategy development. One thing apparent early in the process modelling taking part in the various reviews was that most steps in most processes are to do with the creation, reception, manipulation, transmission or interpretation of Information. In fact, it can be asserted that Information Management and University Management are one and the same thing, and that the Process Map developed during review and Transformation and enhanced with information inputs and outputs could alternatively be described as an Information Management Model. The continuous updating, revision and operationalisation of this map or model therefore becomes the Information management-related means of delivering organisational change, through its dynamism assisting in the development of a Learning Organisation capable of continual Transformation. The Information Strategy, if there must be one as such, could be stated simply as "To define and develop the flexible information management systems and processes required to meet current operational imperatives and enable continuous organisational Transformation’.
 
 
 
 
 
 

Address

John Townsend

Assistant Head (Corporate Information Systems)

Liverpool John Moores University

JMU Tower

Norton Street

Liverpool

Merseyside L3 8PY

UK

tel +44 (0)151 231 5543

fax +44 (0)151 231 5595

email: j.w.townsend@livjm.ac.uk