EPICS Governance TOOLKIT

1
EPICS GovernanceTOOLKIT
2
EPICS project

• This governance toolkit was developed under the
  JISC (Joint Information Systems Committee of the
  UK Funding Councils) project EPICS.

• EPICS stands for North East regional
  collaboration around e-portfolio progression
  pathways with illustrative studies. The goal of
  EPICS was
• To develop, test and evaluate a practical
  approach, building on existing tools and good
  practice, to implement a region-wide
  infrastructure for the easy transfer of progress
  file, e-portfolio and personal development
  planning information across a range of agencies
  and institutions in the North East and centred on
  the individual.

Contents
3
Prologue

• Making e-portfolio information transferable
  across institutions involves
• Technology
• Management
• Pedagogy
• Getting one of these elements right will not
  ensure success. Bringing them all into alignment
  requires the notion of governance. EPICS
  developed this toolkit in order to increase
  awareness of the governance challenge and so
  reduce the risk of project failure.

Contents
4
Contents

• Prologue
• Introduction About this Toolkit
• The governance challenge. What this toolkit is
  and isnt. How to use this toolkit. The 5 Ps.
• Principles and Values
• Why are we doing this? Why is it important to
  us?
• Policies and Strategies
• What have we said we will do? What are our
  priorities? How does this PDP/e-portfolio project
  fit with existing policies
• Processes and Systems
• How are we proposing to do it? How will work be
  linked together and supported? How does this
  PDP/e-portfolio process fit with other
  processes?
• Practices and People
• Who do we expect to do this? How are they to be
  trained? What is their motivation for doing this?
  How will working on e-portfolios fits with their
  other duties?
• Politics and Participation
• Why should people co-operate to deliver this
  PDP/e-portfolio project? Who should provide
  leadership for the initiative?

5
Introduction About this Toolkit

• The Governance Challenge
• What this toolkit is
• What this toolkit isnt
• Who is this toolkit for?
• How to use this toolkit
• The 5 Ps
• Why the 5 Ps?

Introduction
Contents
6
IntroductionThe Governance Challenge.

• The implementation of personal development
  planning and e-portfolios within a single
  educational or employing institution represent
  significant organisational challenge.
  Co-operation and co-ordination between different
  departments and between the institution and its
  learners are essential and can be difficult to
  manage.
• When projects seek to transfer personal
  development planning between institutions, the
  number of agencies to be coordinated increases
  dramatically.
• The structures and processes by which the project
  is governed become vital in order to set
  objectives, establish commitment, avoid dispute,
  and maintain momentum.
• This governance toolkit has been developed by the
  EPICS project to help new projects to succeed in
  grappling with these challenges.

Contents
Introduction
7
IntroductionWhat this toolkit is

• This is a governance toolkit. Governance
  concerns the distribution of roles,
  responsibilities and accountabilities. Governance
  doesnt provide an answer to the question of what
  we should do but it does suggest where,
  institutionally, that question should be
  addressed, who should be involved in addressing
  it and to whom that individual or group should
  have to account for their decisions.
• It is a governance toolkit. It is a collection
  of tools, not all of which will be suitable for
  every task. It does not seek to automate any of
  the tasks associated with implementing
  PDP/e-portfolios and it will require skill and
  judgement to select the right tools from the
  toolkit in any given situation.

Contents
Introduction
8
IntroductionWhat this toolkit is (Contd)

The toolkit supports the first steps towards the
vision for change - one of three components
that must be present in order to overcome
resistance to change.
D x V x F gt R
Where D Dissatisfaction with status quo V
Vision of desirable future F First steps
towards the vision R Resistance to change
(Adapted from the change equation in
Beckhard, R. Harris, R. T. (1987).
Organizational transitions(2nd ed.). Reading, MA
Addison-Wesley Publishing Company.)
Toolkit
Contents
Introduction
9
IntroductionWhat this Toolkit isnt

• We should be equally clear about what this
  document is not.
• It isnt a recipe book to tell you how to
  implement PDP/e-portfolios.
• This toolkit is not a substitute for a project
  management methodology (although it may
  complement such a tool).
• It isnt the last word on implementing
  PDP/e-Portfolios. Neither is it cast in stone. It
  is open to constant revision, development and
  criticism.

Contents
Introduction
10
IntroductionWho is this Toolkit for?

• This toolkit is for people who are doing
  e-portfolio projects, especially projects whose
  aims include enabling e-portfolios to connect
  across institutions.
• Users of the toolkit are likely to include
  teachers, curriculum developers, IT developers,
  project officers, project managers, service
  managers, and institutional champions of
  e-portfolios and PDPs.

Contents
Introduction
11
Introduction How to use this Toolkit

• This toolkit is designed to be used in a range of
  ways.
• Individually, for example for project sponsors
  and managers as a way of thinking through the
  main issues in planning, implementing and
  evaluating a PDP/e-portfolio project.
• Collectively, as set of tools that a multi-agency
  group can use to help them to work together
  fruitfully.
• Prospectively to help to envision, plan and
  manage a PDP/e-portfolio project.
• Retrospectively/diagnostically to explore the
  successes and failures, strengths and weaknesses
  of a PDP/e-portfolio project.

Contents
Introduction
12
IntroductionHow to use this Toolkit (contd)

• Developing e-portfolios requires engagement in a
  various conversations with a diverse
  interlocutors, each with their own stake in the
  project and special knowledge learners,
  teachers, administrators, IT professionals,
  careers advisor, etc. These conversations often
  cut across established boundaries (e.g.,
  academic, technical, organisational). This
  toolkit is design to help you, and your project,
  make these conversations as fruitful as is
  possible. The toolkit includes a series of
  awareness statements designed to provide a
  framework for evaluating readiness to work across
  these boundaries

Contents
Introduction
13
IntroductionThe 5 Ps

• The remainder of this toolkit is organised around
  5 headings, each fortuitously beginning with the
  letter P. They reflect, in our experience, the
  five types of conversation which, sooner or
  later, every complex project has to have within
  itself. It is designed to encourage project
  participants to ask themselves and others the
  right questions. It does not purport to provide
  any answers to those questions.
• The five headings are as follows
• Principles and Values
• Policies and Strategies
• Processes and Systems
• Practices and People
• Politics and Participation

Contents
Introduction
14
IntroductionWhy the 5 Ps?

• Complex projects are almost never built on a
  Greenfield site it is almost always the case
  that projects have to fit into an already
  existing social and technical environment made up
  of policies, practices, systems, technologies
  and, of course, politics.
• If e-portfolio projects are to thrive (or simply
  survive) they will need to negotiate their way
  through this landscape. Here the five Ps can help
  you to map and understand that landscape.

Contents
Introduction
15
Principles and Values

• Rationale
• Useful Resources
• Suggested Activities
• Awareness Assessment Statements

Contents
16
Principles and ValuesRationale

• E-portfolios take many forms and fulfill many
  purposes in assessment, learning and career
  development. They potentially contribute to, and
  impact upon, a wide range of high level outcomes.
  Some of these will be national government
  policies others regional or local priorities.
  (Examples of Drivers)
• Principles valued by one constituency for one
  purpose can be deemed irrelevant by another with
  different interests or objectives. How much these
  differences matter has been debated. (The
  Paradigms Debate)

Contents
Principles and Values
17
Principles and ValuesUseful Resources

• Centre for Recording Achievement (CRA)
  http//www.recordingachievement.org/ Has a
  generic tool for getting what you want from PDP
  through e-portfolios draws on JISC report
  http//www.recordingachievement.org/www.lifelongle
  arning.co.uk
• JISC Paper e-portfolios What institutions
  really need to know from the Managed learning
  environments for a life time of learning
  http//www.jisc.ac.uk/uploaded_documents/JISC-BP-e
  Portfolio-v1-final.pdf
• Department for Education and Skills published the
  e-Strategy 'Harnessing Technology Transforming
  learning and children's services'.
• Barrett, H. and Wilkerson, J. 2004 'Conflicting
  Paradigms in Electronic Portfolio Approaches
  Choosing an Electronic Portfolio Strategy that
  Matches your Conceptual Framework'
  http//electronicportfolios.com/systems/paradigms.
  html.
• Richardson, H. and Ward, R. 2005 'Developing and
  Implementing a Methodology for Reviewing
  E-portfolio Products', Wigan The Centre for
  Recording Achievement.
• British Educational and Communications Technology
  Agency (BECTA) view http//ferl.becta.org.uk/conte
  nt_files/acl/resources/keydocs/Becta/e-assessment
  20and20e-portfolios.pdf

Contents
Principles and Values
18
Principles and ValuesSuggested Activities

• Identify the decision makers in institutions and
  organisations with a strategic interest in
  e-portfolio development.
• These may include PVCs and Registrars
  responsible officers in regional development
  agencies, youth services, award granting
  agencies employers.
• Identify a suitable forum to engage this group
  and possible resources for such engagement
• Decide who is a partner in the project and who
  are the stakeholders who will need to be informed
  / consulted.
• The difference between partners and stakeholders
• Ensure that each participant within the project
  has articulated to the others
• Their rationale for e-portfolio development.
• Their understanding of what a successful
  e-portfolio project can contribute to teaching,
  learning and personal development.

Contents
Principles and Values
19
Principles and ValuesAwareness Statements

• All organisations with a strategic interest in
  e-portfolios have been identified and informed
  about the proposed development.
• There is an shared awareness of varied principles
  which drive each of the partners.
• There is a shared view of the intended outcomes
  at a strategic level.

Contents
Principles and Values
20
Policies and Strategies

• Rationale
• Useful Resources
• Suggested Activities
• Awareness Assessment Statements

Contents
21
Policies and StrategiesRationale

• There will already be policies and strategies
  about computer based documentation and portfolio
  assessment in the participating institutions.
  These policies and strategies can support or
  constrain the implementation, use and
  transferability of e-portfolios. There is likely
  to be variation across and within institutions.
• However lack of awareness of the variance of
  approaches within or between organisations can
  lead to significant problems later in an
  e-portfolio development, when the contradictions
  come to light and potentially rule-out
  information sharing.
• Legal issues including data protection,
  intellectual property rights and liability for
  inappropriate content will affect e-portfolio
  development. JISC Legal is a free, high quality
  legal information service for HE and FE. It
  includes a set of FAQs on developing
  e-portfolios systems (see resources).

Contents
Policies and Strategies
22
Policies and Strategies Useful Resources

• JISC Legal http//www.jisclegal.ac.uk
• Legal aspects of e-portfolios FAQs
  http//www.jisc.ac.uk/uploaded_documents/Legal_Asp
  ects_FAQ.pdf
• Universities UK (2004) Measuring and Recording
  Student Achievement. Report of the Scoping Group
  chaired by Professor Robert Burgess
  http//bookshop.universitiesuk.ac.uk/downloads/mea
  suringachievement.pdf
• Do also check
• Your own and partner institutions internal
  website(s)
• Your own and partner institutions Data
  Protection/Freedom of Information Officer(s)
• Other similar FE/HE institutions practices

Contents
Policies and Strategies
23
Policies and Strategies Suggested Activities

• Survey and analyse the full range of
  organisational strategies and policies that may
  have some bearing on e-portfolios
• Map the strategies onto the organisational
  structure and identify roles and responsibilities
  regarding e-portfolio and PDP if possible
• If gaps or inconsistencies are identified compile
  a process to resolve these issues

Contents
Policies and Strategies
24
Policies and Strategies Awareness Statements

• We have identified a senior manager within each
  institution who is responsible for strategy
  regarding information sharing and archiving in
  the context of e-portfolio/PDP material
• We have an identified part(s) of each institution
  responsible for providing resources for the
  development, provision and maintenance of
  e-portfolios
• Each institution has aligned its policies to
  electronic records, recording and information
  sharing, and communicated them to key
  stakeholders (including e.g. students?)

Contents
Policies and Strategies
25
Processes and Systems

• Rationale
• Useful Resources
• Suggested Activities
• Awareness Assessment Statements

Contents
26
Processes and SystemsRationale

• E-portfolios build on, and interact with, a range
  of existing business processes and technical
  systems, often within a variety of organisations.
  
• This systemscape is usually in a state of flux.
  
• Effective implementation of PDP/e-portfolio
  requires changes to existing processes and
  systems as well as the construction of new
  processes and linkages which need to fit into, or
  adapt, the existing systems architecture.
• Successful projects need a clear picture of this
  environment and understanding of its dynamics.

Contents
Processes and Systems
27
Processes and SystemsUseful Resources

• JISC PDP Mapping Questionnaire
• E.g. as deployed by EPICS WorkPackages 3 and 4
• Process Mapping
• NHS Guide to process mapping
• Inter-operability
• EPICS Approach
• Richardson, H. and R. Ward (2005). Developing and
  Implementing a Methodology for Reviewing
  E-portfolio Products. Wigan, The Centre for
  Recording Achievement.
• (A report to the JISC, encompassing a review of
  existing e-portfolio software applications in use
  in the UK, and a synthesis of literature reviews
  on e-portfolio systems)
• JISC Cross Institutional Provision What
  Institutions really need to know
  http//www.jisc.ac.uk/uploaded_documents/JISC-BP-X
  institutional-v1-final.pdf
• JISC infoNet e-Portfolios infoKit
  http//www.jiscinfonet.ac.uk/InfoKits/effective-us
  e-of-VLEs/e-portfolios

Contents
Processes and Systems
28
Processes and SystemsSuggested Activities

• Produce as is (current state) and to be
  process maps of the existing business processes
  which impinge on PDP/e-portfolio (the flow of
  tasks)
• Produce a review of the existing and planned
  technical systems and infrastructures and their
  technical interfaces

Contents
Processes and Systems
29
Processes and SystemsAwareness Statements

• We have drawn up and effectively communicated the
  main processes associated with the PDP/eportfolio
  initiative.
• We understand how the PDP/eportfolio processes
  will relate to other business processes (such as
  recruitment, assessment)
• We have a detailed knowledge of the various
  information systems, whether computer or
  paper-based, which will support the
  PDP/eportfolio initiative
• We have identified and secured the necessary
  technical know-how and capacity to make required
  changes/adaptations/developments to information
  systems

Contents
Processes and Systems
30
Practices and People

• Rationale
• Useful Resources
• Suggested Activities
• Awareness Assessment Statements

Contents
31
Practices and PeopleRationale

• For e-portfolios to be adopted and used, they
  need to be integrated into the day-to-day working
  practices of learners and teachers.
• This raises questions of time use and pressures,
  motivation and perception, often based on prior
  experience, and the wider institutional and
  disciplinary cultures.
• Understanding this practice perspective is
  important for successful projects.

Contents
Practices and People
32
Practices and PeopleUseful Resources

• Brown, John Seely and Duguid, Paul (2000)
  Practice Makes Process, CIO Magazine March 1
  http//www.cio.com/archive/030100_process.html
  provides an interesting argument for re-balancing
  practice and process in IT projects
• BBC Guide to Charles Handys 4 Gods model
• Cotterill SJ, Horner P, Hammond GR, McDonald AM,
  Drummond P, Teasdale D, Aiton J, Orr G, Bradley
  PM, Jowett T, Heseltine L, Ingraham B, Scougall
  K. Implementing ePortfolios adapting
  technology to suit pedagogy and not vice versa !
  http//www.eportfolios.ac.uk/FDTL4/references/?dis
  playeportfolios

Contents
Practices and People
33
Practices and PeopleSuggested Activities

• Understand the cultures of your organisation(s)
  using cultural mapping
• For example using Charles Handys Four Gods of
  managment (see resources)
• Review the time pressures affecting staff and
  learners
• E.g.,is there space in the curriculum for
  e-portfolios? How are e-portfolios represented in
  Workload planning?
• Undertake ethnographic research on teachers and
  learners experiences inside and outside the
  classroom

Contents
Practices and People
34
Practices and PeopleAwareness Statements

• Learners and others directly involved in
  e-portfolio working have been consulted
• E-portfolio working has been recognised in
  workload models and practice for both teachers
  and learners
• Motivational issues for teachers and learners
  have been addressed
• We have a good understanding of institutional and
  disciplinary cultures and how they may affect
  e-portfolio take up and usage

Contents
Practices and People
35
Politics and Participation

• Rationale
• Useful Resources
• Suggested Activities
• Awareness Assessment Statements

Contents
36
Politics and ParticipationRationale

• Effective PDP/e-portfolio projects, in particular
  across multiple institutions, require the
  co-operation of many individuals and groups
  (teachers, learners, IT services, administrators,
  etc.).
• Many of these groups have conflicting goals,
  values and understandings.
• Successful project must manage or lead this
  political coalition.

Contents
37
Politics and ParticipationUseful Resources

• A guide to Stakeholder Mapping
• HEFCE Leadership Foundation
• University of Lutons Effecting Change in Higher
  Education site
• The Change Management Toolbook
• FM Cornfords Microcosmographica Academica
  http//www.cs.kent.ac.uk/people/staff/iau/cornford
  /cornford.html

Contents
38
Politics and Participation Suggested Activities

• Discovery Workshop
• E.g.,EPICS Discovery Workshop
• Stakeholder Mapping
• Establish and manage a communications plan
  (including feedback)
• Establish and resource a policy and practice
  forum with wide representation
• E.g., North East Regional PDP Forum

Contents
39
Politics and Participation Awareness Statements

• We are aware of all the various agencies which
  can affect the PDP/e-portfolio project?
• We have identified the key agents who have the
  power to make or break the project
• We have and use communication channels to both
  the wider stakeholder group and to the key agents
• We have established a strategy to manage these
  key agents

Contents
40
Annexes
41
Drivers

• There are may possible drivers for institutions
  and interest groups to develop e-portfolios
• Promoting and supporting lifelong learning with
  personal on-line learning space for all (DfES
  e-Strategy 'Harnessing Technology)
• Create a single framework for a learners
  lifelong learning record
• Widening participation in higher and further
  education - connecting with hard to reach groups
  in new ways (DfES)
• Embedding ICTs in learning throughout the
  curriculum (Prime Ministers Strategy Unit)
• Encouraging HE to be more explicit about what is
  learnt
• Complying with HEFCE Quality Assurance Agency
  Code of Practice deadline for implementation of
  PDP academic year 2005/6
• Employability Agenda - Dearing facilitate the
  skills of students managing their own learning
• Improving student assessment - replacing the
  degree classification system (Burgess report
  2004)
• Raising standards by focusing on how students
  learn not just what they learn
• Continuing professional development (CPD)
  preparing graduates for transition to the CPD
  process

Back
42
Governance

• Governance is about how multiple participants
  interact in order to achieve desired results. It
  concerns the distribution of roles,
  responsibilities and accountabilities.

Back
43
Partners/stakeholders

• The notion of partner and stakeholder are often
  confused.
• People and organisations with an interest in or
  affected by the outcomes of the project are its
  Stakeholders.
• Partners directly participate by giving time,
  skills or money.

Back
44
Policies and Strategies

• Relevant policies and strategies will include
• Teaching and Learning Strategies
• Module outlines
• Programme descriptions
• Computer use polices for staff and students
  and,
• organisational documentation covering Data
  Protection and Freedom of Information issues.
• Even within an institution different schools,
  departments or teaching units are likely to have
  different approaches to portfolio or PDP Work,
  based on specific subject based understandings.
  Moreover, it is possible that documentation will
  contain policies that are contradictory,
  inconsistent or at best incoherent.

Back
45
Paradigms

• The diverse principles that drive e-portfolio
  developments can be seen as falling into two
  different paradigms of portfolios which, by their
  very nature, are in conflict with each other the
  positivist portfolio (to assess externally
  defined outcomes) and the constructivist
  portfolio (providing an environment in which the
  individual constructs meaning) (Barrett and
  Wilkerson 2004). Others argue that most
  developments in practice combine elements of
  both.

Back