empowering s through institute planning - itb.ie phase 1 and 2 reports/estip...at six categories of...

ESTIP Phase 2 Final report (31 March 2009) of 26

Empowering Staff

Through Institute Planning Phase 2

AND

Final Report 31st March 2009


Table of contents

1 Introduction........................................................................................ 5

1.1 Background........................................................................................ 5

1.2 Terms of reference............................................................................. 5

1.3 Pilot sites ........................................................................................... 5

2 ESTIP manual - review process and outcome................................... 6

3 Development of programme specifications........................................ 6

4 Development of programme content.................................................. 7

5 Pilot site preparations........................................................................ 7

5.1 DIT ..................................................................................................... 7

5.2 DKIT................................................................................................... 8

6 Pilot delivery and feedback ............................................................... 8

6.1 DIT delivery schedule ........................................................................ 10

6.2 DKIT delivery schedule...................................................................... 11

7 Completion of ESTIP training material. ............................................. 11

Appendix 1 - Terms of reference.................................................................... 12

Appendix 2 - Reports on pilot site delivery..................................................... 14

Appendix 3 - Summary from report on ESTIP phase 1 review. ...................... 24


Executive summary

Introduction

The first part of this executive summary describes the layout and content of the report. The second part of the summary suggests how individual institutes might make use of the resources described in the report.

Report summary

This report describes the development stages of phase 2 of the SIF project – 'Empowering Staff Through Integrated Planning'. A report on phase 1 was presented to the project steering group in March 2008. It set out the development of the ESTIP planning processes and introduced a comprehensive ESTIP reference manual backed up by a summary ESTIP handbook.

Following a tendering process in July 2008, a contract was awarded to Weston Associates and ASA Consulting to develop ESTIP training programmes in line with the specifications in the tender documents.

Terms of reference

The overall requirement was to prepare materials for six training programmes aimed at six categories of staff that would have different types of engagement in planning processes. The broad aim of the programmes is to improve the awareness and skills of those staff to implement the principles embodied in the ESTIP project. There was also a requirement to prepare the course material such that the programmes could be delivered by internal or external presenters of each institutes choosing.

The scope of work was extended to include a more detailed review of the reference manual from ESTIP phase 1. The enhanced review process included an input from all the Institutes of Technology.

Training programmes

The six training programmes are:

Programme 1 - Executive/ senior managers

Programme 2 - Academic managers (Heads of Schools and Departments)

Programme 3 - Functional area managers

Programme 4 - All staff (basic awareness)

Programme 5 - Planning steering groups

Programme 6 - Planning work groups.

Pilot delivery and feedback

Five of the programmes were piloted successfully in DIT and Dundalk Institute of Technology. In both cases the original programmes were modified and tailored to reflect their current and very different situations. (Programme 6 was not tested due to work groups not yet being in place.)


The feedback from the pilot sites was very positive. A number of modifications were made to the programmes as a result of the feedback.

The reference manual in particular was well received because it didn't provide a prescription of what had to be done. It provided a wide range of options for action, which helped the groups to discuss what was most appropriate for their circumstances.

How to use the ESTIP resources.

The recommendations below are based on the experience of the consultant team who worked with the two pilot sites in delivering the ESTIP programmes. They had widely differing needs and required very different approaches as set out in this report.

The most important sessions were the initial planning workshops run by the consultants for the senior management teams. These sessions produced an institute specific training and support template from which we could develop a tailored training programme.

These were used to review the current and planned approaches to planning in the Institute and to modify / update them as necessary. They were also used to review and update the strategic and operational priorities of the Institute to provide a set of 'themes' to be used in the following training sessions for academic heads, functional managers and staff.

We recommend that the senior management sessions should be run in each institute, facilitated by external consultants to provide objective and independent support for setting the context for delivery of the remaining five programmes.

Following these sessions, some Institutes may decide that everything is on track and that no further external training or support is necessary.

Others may have identified a few areas which they want to improve (e.g. integration of PMDS with operating plans, improved staff involvement and empowerment, move towards contingency planning). In these cases, they can select appropriate parts of the documentation and training programmes and build a tailored programme, using internal or external support as considered appropriate.

Finally, there will be a small number of institutes which have decided that it is time to redevelop and integrate their planning processes (strategic, operational, PMDS). In these cases they may wish to take advantage of the whole training programme, tailored as necessary. They may need external help for the management programmes but should be able to run the rest internally.

The consultant team would like take this opportunity to record our sincere thanks to Margaret Whelan of DIT, Ann Cleary of DKIT and all the staff who attended the ESTIP pilot programmes in Dublin and Dundalk institutes for their willing and enthusiastic engagement with the whole process.


1 Introduction

1.1 Background

The first phase of the ESTIP project was completed in March 2008. Following a tendering process in June/ July 2008, a contract was awarded to Weston Associates and ASA Consulting on 27th July 2008, to develop ESTIP training programmes in line with the specifications in the tender documents.

1.2 Terms of reference

The initial terms of reference for this project were contained in the tender documents. The overall requirement was to prepare materials for six training programmes aimed at six categories of staff that would have different types of engagement in planning processes.

The broad aim of the programmes is to improve the awareness and skills of managers and staff to implement the principles embodied in the ESTIP project documents.

There was also a requirement to prepare the course material such that the programmes could be delivered by internal or external presenters of each institutes choosing. Appendix 1 provides an extract, showing details of the expected project deliverables.

The steering group requested a meeting with Weston Associates and ASA consulting to discuss their proposed approach to validating the outcome of the ESTIP phase 1 project. These discussions resulted in a modification to the project scope, to include a more detailed review of the reference manual from ESTIP phase 1. The enhanced review process was intended to include an input from all the Institutes of Technology.

This review was carried out as a discrete mini project, with a separate report for the ESTIP steering group.

1.3 Pilot sites

Based on discussions between the consulting team and the steering group, DIT and Dundalk IT were selected as pilot sites for the ESTIP training programmes. They were selected based on their position in their respective planning cycles and being willing to commit the support required to carry out a pilot process.

Delivery of ESTIP material started on 15th December 2008 in DIT and the final pilot programme was delivered in DKIT on 13th March 2009.


2 ESTIP manual - review process and outcome.

The review of the reference manual from ESTIP phase 1 was conducted as a sub-project. The steering group approved a process for conducting the review, at a meeting with the consultants on 18th Sept 2008. Keith McCarthy of shrc and Isobel Butler were tasked with conducting the review, independently of the other members of the team who had been involved in developing the reference manual.

The review was conducted in five main phases, between 19th Sept 08 and 14th Nov 08. The five phases of the review were:

1. Preparation of a questionnaire

2. Completion of questionnaire by participants from the institutes.

3. Analysis of the questionnaires.

4. Conduct of a focus group with volunteers from the institutes.

5. Preparation of a review report.

The final review report was delivered to the steering group on 14th Nov 08. The conclusion and recommendations from the report have been reproduced in Appendix 3 for ease of reference. The full review report is available from the ESTIP steering group.

As a result of the review process, some changes were made to the ESTIP reference manual, which was then used in preparation and delivery of the six training programmes in ESTIP phase 2.

3 Development of programme specifications

An initial meeting of the consultant team was held to

1. Define the programmes to be developed

2. To identify the learning outcomes for each programme.

3. To define the overall approach for developing and delivering the programmes.

This initial meeting resulted in six programmes being identified for development. They were:






Programme 6 - Planning work groups and sub-committees.

A briefing document outlining each programme was prepared and presented to the steering group for their approval on 18th Sept 08.


4 Development of programme content

Based on the briefing material approved by the steering group, the team of four consultants were allocated in pairs to develop each of the programmes - one consultant leading the development while the other provided support and independent review.

It was initially anticipated that the first pilot site delivery would take place in late December, followed by the second pilot site delivery in January 2009. The initial interactions with the pilot sites were positive. A more detailed review of each sites requirements and expectations, versus the structure and content of the six ESTIP programmes, highlighted a need for a more flexible approach to programme delivery. It also highlighted the need for a facilitative approach to delivery rather than a simple training delivery approach.

Discussions in DIT led to a modification to the approach to piloting in that institute. The DIT had just completed development of a new strategic plan. Their requirement was more focused on facilitation support for plan implementation, with specific outcomes required from different group interactions, rather than a purely training based approach. Since the whole ESTIP project was intended to support the empowerment of staff through all phases of developing and implementing plans, the structure of the programmes was modified to reflect this reality on the ground. Each of the two-day programmes (programmes 1, 2, 3, 5 & 6) were revised to include a 1/2 day component at the end, during which the institute could identify any specific deliverable they would like to get from the staff involved in those workshops.

The programmes were designed to allow a flexible approach to make best use of the two days for each programme, based on the specific requirements in each institute.

5 Pilot site preparations

Each pilot site nominated a contact person to act as the co-ordination point for arranging delivery of the ESTIP programmes. The notes below outline the approach that was agreed in each site.

The consultant team would like take this opportunity to record our sincere thanks to Margaret Whelan of DIT, Ann Cleary of DKIT and all the staff who attended the ESTIP pilot programmes for their willing and enthusiastic engagement with the whole process.

5.1 DIT

Initial meetings were held with the head of training and development and the head of planning in DIT. Since the institute had recently completed development of a new strategic plan, they were keen to explore the ESTIP material from an implementation perspective. Since the six programmes were prepared primarily from the point of view of developing strategic and operational plans, DIT’s requirements were significantly different from those arising in Dundalk. As mentioned previously, they required more emphasis on facilitation to achieve specific tangible outcomes, rather than a training based approach aimed at achieving the more limited learning outcomes.

To this end, the following approach was agreed with DIT:


• Programme 1 - Executive team: to be modified to provide facilitation support for the Executive in the Faculty of Engineering, to develop their own strategic and operational plan from the new DIT strategic plan.

• Programme 2 - Academic managers: to be delivered as designed to a group of volunteer academic managers

• Programme 3 - Functional area managers: to be delivered as designed to a group of volunteer functional area managers.

• Programme 4 - All staff awareness: This programme was not required by DIT. Time allocated was used in delivering programme 1 in the Faculty of Engineering.

• Programme 5 - Steering group: to be modified to provide facilitation support for the DIT planning office, to develop an integrated planning approach for the whole institute.

• Programme 6 - Working groups: This programme was not required by DIT. Time allocated was used in delivering programme 5 in the DIT planning office.

Final dates for delivery of the DIT pilot programmes were agreed in December 08 and January 09.

5.2 DKIT

Discussions in DKIT revealed that they were over half way through the life span of their existing strategic plan. They were considering developing a new plan in light of the significant changes taking place in the Irish economy. In this context, they were in a position to avail of programmes 1 to 5 from the ESTIP project as they had been developed for pilot purposes. It wasn't possible to make use of programme 6 (working groups), since no working groups were yet formed as part of the planning process.

Final dates for delivery of the pilot programme in DKIT were agreed in February 09.

6 Pilot delivery and feedback

Delivery of the ESTIP pilot programmes commenced in DIT on 15th December 2009 and finished in Dundalk on 13th March. DIT has an additional workshop with academic and functional area managers scheduled for mid April, to complete their use of their allotted pilot time. An exact date has yet to be fixed for this workshop. The outcome of this workshop is only expected to be directly relevant to DIT and will only impact on the write up of DIT as a case study for programmes 1, 2 and 3. It will be submitted as an addendum to the final ESTIP material, if that is necessary.

A summary of the number of staff engaged in each workshop is set out in the table below. The table also shows the number of staff from each group for whom the programmes were structured and designed.


DIT DKIT Designed for


11 6 8/10


6 6 Up to 16

Programme 3 - Functional area managers 7 5 Up to 16

Programme 4 - All staff (basic awareness) 0 4 30 to 50

Programme 5 - Planning steering groups 9 2 8 to 15

Programme 6 - Planning work groups and sub-committees.

0 0 Up to four groups, of 5 per group.

While the numbers of attendees on some programmes was significantly lower than the planned numbers, those who did attend took part in a very positive way and contributed significantly to the success of the pilots and provided valuable feedback.

The following general points are worthy of note:

1. The initial project brief envisaged six programmes to be delivered by 'a trainer' of choice for each institute - the trainer being selected from in house staff or an external provider selected by each institute. The material was initially developed with this in mind, as a package which an individual trainer could brief themselves on and deliver. Experience in the DIT pilot suggested that this was too restrictive an approach to meet the potential needs of the institutes. Given its position in its planning process, a significantly higher level of facilitation and consulting support was required to meet the expected outcomes in DIT. The programmes were modified to reflect this. The way in which institutes choose to use the material will also have to take this into account.

2. Each of the two-day programmes (1, 2, 3, 5 & 6) had a number of exercises and case studies built into a structured programme covering the two days. Experience in both pilots indicates that a considerable level of flexibility is needed in both the sequencing of the programme activities and the specific exercises to use. In some cases, shortly after the exercises were started, the groups engaged with the ideas and concepts being covered through the exercises and relevance and adaptability of the ideas were discussed without the exercises being fully completed as initially planned. In other cases, whole exercises were omitted in favour of engaging with a specific topic of immediate interest within the institute. The group used the ESTIP workshop as an opportunity to discuss their internal issue and to examine ways in which material from the ESTIP programme could be used to progress their


immediate problem. These are just two examples of where the programmes deviated from being purely trainer led to being consultant facilitated.

3. Some exercises were structured to require participants to review parts of the ESTIP reference manual and provide opinions on options from the manual which would be appropriate to their institute. Sub-groups had one manual for every two participants. These exercises would require each participant to have an individual copy of the reference manual to support better individual learning and more expansive group discussion.

4. The six programmes are generally structured to follow the sequence of 1 to 6. They were also intended to be delivered before the start of a formalised planning process in an institute. In this context, the programmes are intended to help with formative thinking about the planning processes to be used. This worked well in DKIT with the output from the Executive programme being used for discussion in the other workshops. This enabled feedback to be provided to the Executive before any final decisions were made about the exact planning process to be used.

It would be important to emphasise this point prior to delivery in other institutes. If carefully planned and scheduled into the development of a planning process, the ESTIP workshops have potential to be a powerful tool to inform staff at all levels about the options available and the options being considered by the executive. They can also enable staff to have an input to the type of planning process being used and to influence how it will be implemented.

Overall the feedback from the pilot sites was very positive. A number of modifications were made to the programmes as a result of the feedback, but the majority of feedback is reflected in notes to presenters of the programmes. A detailed breakdown of feedback, per institute and per programme is set out in Appendix 2.

6.1 DIT delivery schedule

The ESTIP pilot delivery process in DIT was scheduled as follows:

24th Nov 08 - Preparatory meeting with Director of Faculty of Engineering and planning office staff.

15th Dec 08 - First day facilitation with Engineering executive.

18th Dec 08 - Review of first day outputs and preparation for second facilitation day.

09th Jan 09 - Second day facilitation with Engineering executive.

20th Jan 09 - First day facilitation with planning office staff.

26th Jan 09 - Second day facilitation with planning office staff.

02nd Feb 09 - Meeting with President to review output to date.


05th Feb 09 - Third (final) day facilitation with planning office staff.

23rd Feb 09 - Day 1 of Academic manager’s programme.

24th Feb 09 - Day 1 of functional area manager’s programme.

25th Feb 09 - Day 2 of functional area manager’s programme.

27th Feb 09 - Day 2 of Academic manager’s programme.

6.2 DKIT delivery schedule

The ESTIP pilot delivery process in DKIT was scheduled as follows:

23rd & 24th Feb 09 - Executive programme 1

02nd Mar 09 - All staff awareness programme 4.

02nd & 03rd Mar 09 - Academic managers programme 2

10th & 11th March 09 - Functional area managers programme 3

12th & 13th March 09 - Steering Group programme 5

7 Completion of ESTIP training material.

Following completion of the pilots, the consultant team met for one day to review all the course material and make final adjustments to the programme content. All material (including this report) has been collated into a cd-rom for safe keeping by the ESTIP steering group.

The cd-rom contains the following folders:

• ESTIP manual and handbook

• Presenters briefing folder

• Folders for each programme, 1 to 6

• ESTIP project reports.

The final output from ESTIP phase 2 was delivered to the steering group on 17th April 2009.


Appendix 1 - Terms of reference

Summary of project requirements - extract from tender documents

Project requirements (work package 2)

The successful contractor will be required to deliver on three major components which are as follows:

1) Design six relevant training modules to meet the needs as outlined in the ESTIP Framework Training Specification (attached)

- The contractor is required to design each training module as specified in the training specification document, and provide a copy of the training programme including, notes for attendees, audio visual aids, briefing notes for presenters and format for electronic delivery.

2) Implement each of the six training module on a pilot basis in two of the Institutes

- The contractor is required to co-ordinate and deliver each training module developed in two selected Institutes. The Institutes will be chosen by the steering committee with reference to their respective planning stages. It is anticipated that one pilot site will be at the beginning of the strategic planning cycle, and the second will be in the implementation phase of the cycle, to facilitate broad feedback on the full training offered. Pilot sites as selected by the steering committee may be any of the locations listed in the appendix. The contractor is required to liaise appropriately with the pilot sites in advance of implementation of the training, thereby increasing local awareness and maximising the level of engagement with the training process.

- The contractor is required to refine the training modules based on experience of initial delivery and feedback obtained (see below), and provide final documentation on completion of the project.

3) Provide feedback to the project team relating to amendments suggested to the ESTIP Framework Handbook and ESTIP Framework Reference Manual based on experience of delivery of training.

- The contractor is required to design and implement an appropriate feedback process that captures the responses of participants to the training delivered and also the specific components of the ESTIP model that are relevant to the training being delivered.

- The contractor is required to collate the feedback captured and provide a feedback report identifying any areas requiring modification in the current draft of the ESTIP model.


4. Project deliverables

The objective is that delivery of training can be conducted locally after the completion of this part of the project. The successful contractor will be required to deliver the following:

- Paper and electronic copy (without security restrictions) for each of the six modules developed:

- Training module design description,

- Audio-visual delivery aids

- Notes for presenter

- Notes for attendee

Quality of all materials should be of a standard that could be published directly in the public domain.

- Evidence of delivery of the schedule of training modules as agreed with steering committee, with list of attendees and dates of training events.

- Report of changes proposed to ESTIP model based on experience and effectiveness of delivery of training modules and empowerment of staff participating in the pilot sites.


Appendix 2 - Reports on pilot site delivery


DIT

The ESTIP executive programme was delivered to the Faculty of Engineer executive. The Executive did not want to follow the standard ESTIP programme. They had been involved in developing the new DIT strategic plan and were nearing the end of a number of School review processes. They wanted to focus their efforts on the next stage of developing faculty level strategic and operational plans.

Discussions were held with the Faculty Director, the faculty teaching and learning officer, the research officer and the DIT head of planning, to scope out the support that could be provided in the context of the ESTIP programmes. Two specific deliverables were identified as expected outputs from the two days planned with the Executive: -

1. Start the development of a Faculty strategic plan based on the DIT plan.

2. Provide initial guidance to the members of the Executive for developing operational plans within their schools.

Two 1-day facilitated workshops were scheduled with the Executive for 15th December 2008 and 09th January 2009.

In the first workshop on 15th Dec the executive worked through the DIT strategic plan, to identify the areas relevant for inclusion in the Faculty strategic plan. Following this workshop, the initial sub-group that planned the two days reformed to review the outcome of the first workshop and plan the second day in more detail.

This-sub group used the ESTIP reference manual to identify ideas for developing operational plans. The aim was to facilitate easy cascade from faculty to school level plans. It was also intended to enable rolling up of implementation results for the purpose of tracking implementation of the Faculty strategic plan.

A basic planning template was prepared and the teaching & learning officer and research officer undertook to prepare initial drafts for their respective areas. They presented these initial drafts as working samples at the second Executive workshop.

The second Executive workshop on 09th Jan 09 agreed a set of guiding principles for developing the Schools' operational plans. They also discussed ways in which closer alignment between PMDS, staff engagement and operational planning could take place.

The planning office staff involved in these two workshops were also developing ideas for how the overall planning processes in DIT could be streamlined, to minimise duplication of staff effort and maximise involvement of staff at the appropriate stages of the whole planning cycle.

The final outcome of the two workshops was a detailed framework for preparing the Faculty strategic plan and the School operational plans.


Overall, the work of the Faculty Executive was constrained by demanding timelines imposed by the school review processes taking place simultaneously with the need to prepare operational plans for the new DIT strategic plan.

The 'executive programme' in the Faculty of Engineering was entirely driven by specific needs identified by the Faculty, as opposed to working from the standard programme developed as part of the ESTIP project. Since the ESTIP programmes are intended to be fully responsive and flexible to meet the needs of any institute, this was an opportunity to test that flexibility. The reference manual proved to be a valuable resource for finding ideas to support developing operational plans.

DKIT

The overall assessment of the programme by the executive management team was very positive. It proved to be timely in dealing with the broad issue of developing the next strategic and operational plans for the institute. It also provided immediate support for emergency planning to deal with a budgetary crisis which was developing nationally at the time of the workshop.

Assessment sheets

Each participant was asked to complete an assessment sheet at the end of the programme. The table below summarises the feedback from the assessments:

Number of respondents

1. Workshop format.

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1.1. The overall flow of the workshop was well structured to meet the learning outcomes and to produce the required outputs.

4 2 0 0 0

1.2. The size and timing of the break-out groups were sufficient to enable meaningful discussion of the required topics.

3 3 0 0 0

1.3. The room and break out facilities were adequate to meet the requirements of the workshop.

2 4 0 0 0

1.4. Two days was the correct amount of time to cover the subject matter of the workshop.

0 5 1 0 0

2. Workshop content.

2.1. The executive was adequately briefed in advance of the workshop.

1 5 0 0 0



2.2. The purpose of the workshop (why it is being carried out) was clear.

1 5 0 0 0

2.3. The objectives/ expected outputs of the workshop were clear.

3 3 0 0 0

2.4. The objectives/ expected outputs of the workshop were achieved

3 3 0 0 0

2.5. The individual exercises/ case studies were relevant to achieving the objectives/ expected outcomes of the work.

3 3 0 0 0

3. Workshop materials.

3.1. The reference manual provided valuable information to support the workshop.

4 2 0 0 0

3.2. The course folder (Slides and notes folder) was useful to record the content of the workshop – presenters material and contributions from the group.

5 1 0 0 0

Programme format

The initial concept for his programme was to run it in three separate sessions (½ day, one full day, final ½ day). This format was intended to overcome the likely problem of getting a full executive to commit two consecutive days to a programme. In the case of DKIT, and due to pilot time constraints, the programme was delivered over two consecutive days. As a consequence, time tables for two formats have been provided in the presenter’s material, covering each option.

In general, the two consecutive days seemed to be the preferred option. It enabled the group to get into a focused frame of mind and address planning issues that were of immediate importance to the institute. Some feedback suggested that it would have been beneficial to have some time between parts of the programme to allow digestion of the content, but the balanced view still favoured running the programme over two consecutive days.

The final half day was intended for development of an initial planning proposal for the institute, which could then serve as a seed for use in the other workshops. This structure worked well, with two outputs developed in the final half day -

1. An outline proposal for structuring the next strategic and operational planning process, to be introduced in the other workshops to 'test' its feasibility in a DKIT context.

2. A short term 'emergency operational plan' to deal with budgetary issues which were developing for the whole education sector at the time of the workshop.


The overall structure of the two days worked as intended. The optional module section was used by DKIT to discuss how a recently completed administration review could be incorporated into their strategic and operational planning activities. Some of the activities were cross populated with elements from earlier or later parts of the intended programme. This flexibility was necessary to enable the group to discuss options as they arose, rather than rigidly following the exact programme as set down in the time table.

Programme content.

The content of the programme material (reference manual and personal folder) were very positively received. The reference manual in particular was well received because it didn't provide a prescription of what had to be done. It provided a wide range of options for action, which helped the group to discuss what was most appropriate for their circumstances. Their final decision to propose a composite planning approach based on aspects of the three main proposals in the manual bears this out. It also represented an approach which hadn’t been discretely put forward in the reference manual.

One section of the planned programme had a (fictional) case study which was intended to act as a stimulant for discussion of certain aspects of cooperation within the planning processes. In the circumstances, this was not necessary and current issues in the institute provided the basis for some of the programme content. This highlighted the need for the programme content to be treated as a guide by the presenter, rather than as a prescription to be rigidly followed over the two days.

It also points up the fact that the whole programme should be treated as a structured facilitated workshop to achieve specified outcomes, rather than as a training workshop in which specified content has to be covered or learning outcomes to be achieved.


DKIT

The course was well received and evaluated by a core of six academic managers.

There were some logistical issues in terms of delayed start times and attendees found the venue to be noisy and unsuitable.

They all felt that the course was effective and had achieved its objectives. Some suggested that it could be reduced to 1 or 1.5 days.

Most commented that the experience would have been more effective if they had been briefed in advance, possibly by senior management.

DIT


This went well - all 5/6 people who attended agreed that they learned a lot of valuable information, predominantly through the interaction with each other, triggered by the training materials.

The training materials did not need to change in any way but the trainer should use them as a trigger to focus their discussion, rather than as a rigid sequence of activities to be followed.

Most of the focus of the group's discussion was on:

• the myriad of planning systems etc currently in DIT.

• there should be no more planning systems added in on top of what is there

• the main focus should be on integration of what is already in place.

• to do that there needs to be more guidance/focus on the senior management view of planning in DIT during the training.

Everyone in the group was not fully aware of how all current DIT tools can be used in planning. Some use them a lot while some not at all e.g. using CMIS for planning.

It was considered beneficial to provide a note to the programme presenter in relation to the following planning tools/systems which are currently available in DIT.

• CMIS - staff and accommodation

• School Resource Plan - Finance resources

• PMDS

• Staff timetables - staff resources

• School Budget

• Management Forum - Strategic policy

• School Forum - Strategic policy

• Programme team - teaching

• Programme committee- Teaching

Overall the programme received positive feedback from the participants. Some felt the workshop could have been covered in one day but the group size (5/6) was smaller than expected and allowed faster progress through the programme than would be the case with the size of group for which the programme was developed (i.e. up to 16).

It was noted that the participants were keen to keep the reference manual. They had to be taken back due to final changes which will be made as a result of the pilot programme feedback.

This feedback was passed on to the planning office staff for consideration in their work on developing the overall planning processes.

Feedback sheets summary



1. Workshop format.

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Str

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2 2


1 1


2 1


1 1


2.1. The executive was adequately briefed in advance of the workshop.

1 3


1 2 1


1 3


1 2 1


2 1



1 2

3.2. The course folder (Slides and notes folder) was useful to record the content of the workshop – presenters material and contributions from the group.

1 3



DKIT

Five functional area managers attended this programme. Overall the programme was received very positively. The relatively small number of participants meant many of the exercises were completed quicker than anticipated resulting in timelines for the programme drifting forward. As a result the programme was completed in 1.5 days, although it is easy to see how it could take the full two days.

The facilities used for the programme were quite small with all participants sitting at one small table. There were also no breakout facilities available. This resulted in many of the breakout exercises taking the form of discussions among the full group rather than activities that are taken away, reflected on and presented back to the group for further discussion and challenge.

It became very clear from the outset that the topics discussed by the group required the programme to be quite flexible in its approach. Although all the original modules were covered the agenda shifted quite significantly over the timeframe of the programme.

The group made particular reference to the significance of using the outputs of the Executive programme as the inputs for the functional area managers’ programme. Having the output from the Executive programme was unexpected by the group but warmly welcomed. It assisted in creating a practical element to the programme reflecting the reality of the current situation/thinking within the Institute. Crucially, presenting the Executive’s outputs and asking for their thoughts was a pivotal part of the programme and helped in building the credibility of the programme in terms of practical application to their work environment. The Executive input was presented on day 1 of the programme as opposed to on day 2 as initially planned.

The absence of other functional area managers was noted and it was expressed as important that for any future programmes the full commitment and input of all functional area managers across the Institute would be important.

The ESTIP manual was considered a very useful tool with the participants wanting to take it with them. Some requested that an online version be made available as soon as possible. The case studies were also considered very useful to help articulate their thinking.


1. Workshop format.

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2 2 0 0 0




2 1 0 0 0


1 3 0 0 0


0 1 1 1 0


2.1. The HOF were adequately briefed in advance of the workshop.

0 1 1 1 0


1 2 0 0 0


1 1 1 0 0


1 1 1 0 0


1 3 0 0 0



0 3 1 0 0

3.2. The course folder (Slides and notes folder) was useful to record the content of the workshop – presenter’s material and contributions from the group.

0 4 0 0

DIT

The course was attended by seven managers including four faculty administration managers, two finance managers and the head of the IT service.

All completed the workshop evaluation sheet - 100% positive response on meeting the course objectives.

There were some negative comments on the training venues used and the catering facilities.

Everyone commented favourably on both the ESTIP handbook (which most had read) and the reference manual and the use of it during the course delivery. The


groups found it inconvenient to share manuals when sub-group members wanted to look up specific items during an exercise.

The 1.5 day version of the course was delivered - most attendees felt that a single day should be sufficient, with the option to have a further (2 - 3 hours) session later, once they had time to absorb the material. The course went quicker than expected, partly because of small work groups (3 and 4) and the fact that the four faculty admin managers have a very good working relationship and tend to think alike.

It was agreed that there was no point running the facilitated session on the second afternoon because the overall DIT planning system is known to be undergoing review and change at the time of delivery of the ESTIP pilot. This will have a significant bearing on any local school/ department level planning they need to do.

From the experience of piloting the course there are ways of streamlining it to a single day, by some restructuring and elimination of duplication. However, this should only be done if a similarly small group is expected. A two day programme would be required for groups in excess of ten participants.

There was a general discussion with the group about the need for the course and the overall delivery approach. Most would rather attend a joint course with academic managers to reinforce partnership and cooperative working.


DKIT

Five people attended this session (there were two other talks that morning which impacted on the numbers).

All the materials worked well and achieved the expected learning outcomes.

The case study was very well received by the group and provided a useful interactive mechanism to generate feedback and then to map that onto ways in which the ESTIP manual could be applied in a practical sense in DKIT.

Participants were complementary about the reference manual and the training and felt it was understandable and common sense. The group thought it was very informative and that staff need it if moving into a planning process again as proposed by the output from the Executive workshop.

In terms of inviting staff to attend, the group felt that you would get more people to attend if it was done within each department or functional area. An introduction from the head of the area would have added more gravitas to the workshop and highlighted its importance and benefits.

DIT

This programme was not required by DIT.



DKIT

Attendance at this workshop was limited to two participants. The programme was shortened from two days to one day. The programme was well received by the participants, and there were no adverse comments or observations on the format or content.

DIT

The DIT formed a new planning office in late 2007. The office staff supported the development of a new strategic plan during 2008 and at the end of that process wanted to focus their effort on reviewing the planning processes across the whole institute.

In this context, they wanted to use the time available under the ESTIP pilot to prepare a proposal on integrated planning, for approval by the DIT Directorate.

The full staff of the planning office attended three, 1-day workshops on 20th, 26th January and 05th February 2009. A detailed review and analysis of a wide range of planning activities were carried, with particular emphasis on where staff workload duplication occurs and where processes could be better integrated.

The output from the three workshop days was

1. A detailed annual planner proposal to show how academic and functional area planning could be integrated with the budgetary and resource cycles in the institute.

2. An outline of further work to be carried out the planning office staff to finalise the proposal for review by the Directorate.

3. An outline of the next steps to be followed in developing the proposal and 'testing' it's applicability at school level with DIT.

A key part of the steps proposed is to progressively involve staff at lower levels of the organisation in the design and development of this detailed proposal for carrying out planning on an integrated basis throughout the institute.

This work is expected to take at least two months from the date of the last workshop. It is also possible it could take longer than this estimate. At the time of writing this report, a final ½ day workshop was scheduled for 17th April to finalise the proposal for the directorate.

Programme 6 - Planning work groups and sub-committees

This programme was not tested in either pilot site since neither had any working groups expected to be engaged in planning activity in the immediate future. These groups would be likely to form after the other five programmes have been completed and the steering group would commence a planning process.


Appendix 3 - Summary from report on ESTIP phase 1 review.

The following is an extract from the final report on the review of the handbook and reference manual from the ESTIP Phase 1 project. The full report accompanies the material from the ESTIP phase 2 project.

Conclusions

As a general comment, it is noted in the reference manual that the framework is not intended to be a definitive, single prescription of how to carry out strategic and operational planning. It is intended to be a comprehensive documentation of the phases that can be used to develop operational and strategic plans and associated processes to help improve staff empowerment through Institute planning. It also suggests that elements from the framework may need to be adapted and tailored to suit the individual circumstances of each Institute.

The remit of the framework, as outlined above, assisted in keeping focus the ultimate objective of the document, as a tool to support the empowerment of staff through Institute planning across the IOT sector. It acknowledges that variances do exist between Institutes in terms of their approach and the phase they may be at in the strategic and operational planning processes.

In addition, some participants commented on the negative association of the ESTIP framework with the PMDS process and the need for adequate resources (manpower and time) to provide an adequate planning process. It was felt, that although relevant and important, these comments were outside the remit of the exercise and therefore have not provided much focus in the conclusions or recommendations.

The following conclusions can be drawn from the review:

General

Overall the feedback from the ESTIP manual review was extremely positive.

The review provided a cross-section of opinion from across the Institute of Technology Sector.

The methodology utilised included a questionnaire and focus group.

A response rate of 62.5% was achieved for the questionnaires.

Eight participants attended the focus group.

Reference manual

The manual is well put together, comprehensive and provides a broad spectrum of information, tools and techniques to support the strategic planning process in the IOT Sector.

The manual will require some additional content particularly in the area of strategic planning implementation and guidance on adopting different approaches.


The illustrations used in the manual appear to be difficult to follow, particularly if an individual is not familiar with the strategic planning process.

Although in general the manual was considered clear, several participants raised the level of detail as an issue. However, bearing in mind the varying nature of each Institute of Technology and the diverse target audience it is difficult to see how the content could be reduced significantly. (See points below)

The user friendliness of the manual could be enhanced with clear section breaks, identified learning outcomes at the beginning of each section, improved referencing including the inclusion of a bibliography, resource links (additional reading) for accessible further information, and the elimination of all American spelling.

Training is required to ensure that the manual is used to its maximum potential. It is important to ensure that there is a complete understanding of how the manual should be used i.e. as a reference point rather than step-by-step text.

Handbook

The handbook provides a useful primary tool to be used in conjunction with the reference manual.

The handbook should be developed more as a quick reference guide using bullets etc. rather than a 28 page comprehensive document.

Recommendations

Based on the outputs from the review the following recommendations should be considered to further enhance the manual and support tools:

Reference Manual

The following elements of the manual need to be reviewed/ amended:

1. The position of the table of contents.

2. Referencing and the inclusion of a bibliography.

3. Illustrations for ease of use and comprehension.

4. Layout of the document to enhance usability (section breaks).

5. The use of American spelling throughout the documents.

Areas that should be considered for inclusion:

1. Learning outcomes for each section.


2. More descriptive on the role of stakeholders in particular, the Higher Education Authority, Governing Body, Academic Council and the Department of Education and Science.

3. Implementation/execution of strategic plans.

4. Processes to support strategic planning process decision-making.

5. Contingency planning (reviewing plans post-development).

6. Additional resources (links/further reading on related areas).

Handbook

Develop the handbook as a useful reference tool that is concise and provides quick access to parts of the reference manual.

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