University Planning Framework - Governing and Institutional Operating Policy
Responsible officer: Vice-Chancellor
Designated officer: Chief Financial Officer
Approving authority: Council
Approval: C07/84, 28 August 2007
Last amended: C08/41, 17 June 2008
Effective starting date: 29 August 2007
Policies replaced by this policy:
Policy number: G4
Related policies:
Due date for next review: 28 August 2012
Part A: Preliminary
1. Purpose of policy
The following policy is intended to enunciate the principles and core requirements for University planning including development, approval, implementation, monitoring and review of University Plans. The policy should be read in conjunction with the Quality – Governing and Institutional Operating Policy.
2. Application of policy
This policy applies to all staff, students and members of University decision-making or advisory bodies.
3. Definitions
In this policy the following definitions apply:
Consultation process means the provision of opportunity to contribute ideas and suggestions.
Cost centre manager means the most senior officer or member of staff responsible for the management of a faculty or a management or support service or administrative area or sub-section of which that is specifically identified for allocation of funding within the University's budget framework.
Council means the governing body of the University of the Sunshine Coast.
Mandated plan means a plan that the University is required to have by law or in order to meet requirements of an external authority.
Monitoring means systematic overview of the implementation of a University plan.
Organisational unit means a faculty or a management or support service or administrative area or sub-section of which that is specifically identified for allocation of funding within the University's budget framework.
Review means a systematic and evaluative investigation of (a) the extent to which a University plan is being, or has been, implemented (b) outcomes from implementation of the plan (c) the extent to which the goals enunciated in the plan have been achieved, and (d) the need for revision or amendment of the plan.
University plan means a plan that is the University’s Strategic Plan, or a University-wide thematic plan derived from the Strategic Plan (functional plan), or a plan for the operation of one or more organisational units (operational plan) or a performance and development plan for an individual staff member prepared as part of performance planning and review.
Part B: The Policy
4. Principles for University planning
4.1 The University will adopt a systematic approach to planning in order to enable the University to:
(a) fulfil its functions as given in the University of Sunshine Coast Act 1998
(b) meet its other legal and mandatory obligations
(c) realise its Mission
(d) give effect to its policies, and (e) continually assess, assure and improve the quality of its performance and attainments
4.2 The key principles underlying University planning are that University plans will:
(a) be derived from, and be consistent with, current policy – the top level policy being the University’s Mission
(b) be developed through consultative processes
(c) be designed to assure and improve the quality of the University’s performance
(d) be designed to mitigate risk to the University
(e) identify priority areas for action
(f) include goals, performance indicators, performance targets, timelines and indications of benchmark, baseline and feedback datasets to be used for measurement and assessment of performance in realising the plan
(g) identify accountabilities or responsibilities for implementation and realisation of the planned actions and goals
(h) be capable of being fully implemented and realised
(i) form part of a schematised set of plans that demonstrates internal consistency and mutual reinforcement of all plans in the set
(j) depending on the nature and scope of the plan, either inform the University’s resource and budget priorities or be framed in light of known resource and budgetary capacity
(k) consistent with the University’s quality system, be subject to regular and systematic monitoring of implementation
(l) consistent with the University’s quality system, be subject to systematic evaluative review
(m) consistent with the University’s quality system, be subject to continuous improvement processes
(n) at the strategic and functional plan tiers (refer to items 5.2 and 5.3 below), be made known to the University community and be publicly available through the University website
(o) at the operational plan tier (refer to item 5.4 below), be made known to the members of the organisational unit or units to which the plan relates and be available to those members through the staff portal, and
(p) at the strategic and functional plan tiers, be introduced to the University community, and at the operational plan tier be introduced to members of the relevant organisational unit or units, through briefings or other processes designed to explain the plan, its purposes, relationship to other University plans, and the role of members of the University community or organisational unit or units in its implementation.
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5. Planning framework
5.1 The University will have a planning framework comprising a hierarchy of cascading plans:
Tier 1: Strategic Plan (top level)
Tier 2: Functional Plans
Tier 3: Operational Plans
Tier 4: Individual Staff Performance and Development Plans
5.2. Strategic Plan
5.2.1 The Strategic Plan is the primary University plan and must be approved by Council.
5.2.2 The Vice-Chancellor is responsible to Council for initiating development, implementation, monitoring and review of the Strategic Plan and is accountable to Council for achievement of the plan.
5.2.3 The Strategic Plan will accord with the principles listed in item 4.2 above, and:
(a) will be developed through a consultative process involving the Council, Academic Board, Planning and Resources Committee, relevant other internal and external stakeholder bodies (as determined by Council), staff, and students through their participation in any of the aforementioned bodies
(b) will identify key goals and strategies for pursuit of the University’s Mission over a specific period, usually five years
(c) will identify through those goals and strategies the priorities and parameters for planning at all lower tiers
(d) may include statements of values, context and other matters that underpin or contribute to the plan, and
(e) will be used to guide University budgeting and budget allocations.
5.2.4 Following approval of the Strategic Plan, the Vice-Chancellor will ensure that the Plan is presented for discussion by all key University bodies with a view to informing and guiding subsequent budget decisions and University planning at tiers two to four.
5.2.5 There will be at least annual written reports to Council on the findings from monitoring of performance in implementing and realising the Strategic Plan.
5.2.6 Mid-way through the lifespan of the Strategic Plan, usually 30 months after approval, there may be a minor review of the Plan, based primarily on performance monitoring reports, designed to identify progress and any weaknesses in or obstacles to implementation and performance with a view to adjusting the Plan or the implementation processes.
5.2.7 Council and other University bodies with a stake in the Plan will be presented with a concise written report and any recommendations arising from any minor review of the Strategic Plan.
5.2.8 Council may consider any responses to the review report made by other University bodies or senior officers in association with its consideration of the report from any minor review of the Strategic Plan.
5.2.9 Council may propose or require any action to be taken in consequence of a report from any minor review of the Strategic Plan.
5.2.10 The report from any minor review of the Strategic Plan will be widely publicised within the University community and made available on the staff and student portals.
5.2.11 By no later than four months before the conclusion of the Strategic Plan’s lifespan, there will be a major evidence-based evaluative review of outcomes from the Plan with a focus on performance against the goals, strategies and actions including assessment against performance indicators, performance targets and benchmarks (refer to Quality – Governing and Institutional Operating Policy).
5.2.12 Council will be presented with a comprehensive review report and any recommendations arising from a major review of the Strategic Plan.
5.2.13 Council may request, from any source, comment or a response to a review report in association with its consideration of the report from a major review of the Strategic Plan.
5.2.14 Council may propose or require any action to be taken in consequence of a major evaluative review report on the Strategic Plan.
5.2.15 The report from a major review of the Strategic Plan will be widely publicised within the University community, be made available on the staff and student portals and presented for discussion by all key University bodies with a view to informing and guiding development of plans at all tiers in the next planning cycle.
5.3 Functional plans
5.3.1 Functional plans are second tier plans, the number and focus of which will be determined by Council from time to time, and must be approved by Council.
5.3.2 A register of names of functional plans and their lifespan dates will be maintained and published on the University’s Website and staff and student portals.
5.3.3 For each functional plan, the Vice-Chancellor will nominate a responsible officer who will be allocated responsibility for initiating development, implementation, monitoring and review of the plan. The responsible officer will be accountable to the Vice-Chancellor for those operational elements, while the Vice-Chancellor will be accountable to Council for achievement of the plan.
5.3.4 Functional plans may include mandated plans that are required by external authorities.
5.3.5 A functional plan will accord with the principles listed in item 4.2 above, and:
(a) will have University-wide application
(b) will be designed to elaborate on goals and strategies in the Strategic Plan in relation to a specified area of focus or to meet whole-of-institution planning requirements of an external authority (a mandated plan)
(c) will, for its specified area of focus, identify goals and strategies that address and expand on those given in the Strategic Plan
(d) usually, will be a five-year plan, developed following approval of the Strategic Plan
(e) will be developed through a consultative process involving the Council, Academic Board, Planning and Resources Committee, relevant other internal and external stakeholder bodies (as determined by the Vice-Chancellor), staff, and students through their participation in any of the aforementioned bodies
(f) will identify through its goals and strategies the priorities for concerted University action in its area of focus, and
(g) will be used to guide University budgeting and budget allocations.
5.3.6 Functional plans will be documented in a form determined by the Vice-Chancellor and, where appropriate, will be published on the University website.
5.3.7 Following approval of a functional plan, the responsible officer will ensure that the plan is presented for discussion by all key University bodies with a view to informing and guiding subsequent budget decisions and University planning at tiers three and four.
5.3.8 There will be at least annual written reports to Council on the findings from monitoring of performance in implementing and realising each functional plan.
5.3.9 Mid-way through the lifespan of a functional plan, usually 30 months after approval, there may be a minor review of the plan, based primarily on monitoring reports, designed to identify progress and any weaknesses in or obstacles to implementation and performance with a view to adjusting the plan or the implementation processes.
5.3.10 Council and other University bodies with a stake in a functional plan will be presented with a concise written report and any recommendations arising from any minor review of a functional plan.
5.3.11 Council may consider any responses to a minor review report made by other University bodies or senior officers in association with its consideration of any minor review report on a functional plan.
5.3.12 Council may propose or require any action to be taken in consequence of a minor review report on a functional plan.
5.3.13 A minor review report on a functional plan will be widely publicised within the University community and made available on the staff portal and, where appropriate, the student portal.
5.3.14 By no later than four months before the conclusion of a functional plan’s lifespan, there will be a major evidence-based evaluative review of outcomes from the plan with a focus on performance against the goals, strategies and actions including assessment against performance indicators, performance targets and benchmarks (refer to Quality – Governing and Institutional Operating Policy).
5.3.15 Council will be presented with a comprehensive review report and any recommendations arising from a major review of a functional plan.
5.3.16 Council may request from any source, comment or a response to a review report in association with its consideration of the report from a major review of a functional plan.
5.3.17 Council may propose or require any action to be taken in consequence of a major evaluative review report on a functional plan.
5.3.18 A report from a major review of a functional plan will be widely publicised within the University community, be made available on the staff portal, and student portal where appropriate, and presented for discussion by all key University bodies with a view to informing and guiding development of plans at all tiers in the next planning cycle.
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5.4 Operational plans
5.4.1 Operational plans are third tier plans required for organisational units within the University and are approved by the Vice-Chancellor.
5.4.2 Usually, a cost centre manager will be allocated both responsibility for initiating development of and implementating an operational plan and accountability for achievement of that operational plan.
5.4.3 An operational plan will accord with the principles listed in item 4.2, and:
(a) will apply to a specific organisational unit or a group of organisational units
(b) will identify priority goals, objectives, strategies and actions for the organisational unit or units for a specific budget period
(c) will be designed to result in:
(i) effective implementation of goals and strategies within the Strategic Plan and functional plans in relation to the purpose and role of the organisational unit or units
(ii) effective implementation of University policy as it pertains to the organisational unit or units
(iii) compliance with all external requirements affecting the operations of the unit or units
(d) will be developed in association with periodic University budgeting processes
(e) will be developed through a consultative process involving staff of the organisational unit or units, any relevant internal and external stakeholders as determined by the cost centre manager, and student representatives where appropriate, and
(f) may be adjusted over time in light of budgetary considerations in order to align plans with resource capacity or in light of other matters that may affect achievement of the plan, provided that the Vice-Chancellor approves the proposed adjustment of the plan.
5.4.4 The Vice-Chancellor may require that an operational plan will include specific goals or strategies or actions.
5.4.5 Operational plans will be documented in a form determined by the Vice-Chancellor and will be made available to all staff through the staff portal.
5.4.6 There will be at least annual meetings between the Chief Financial Officer and the officers responsible for operational plans for the purpose of:
(a) identifying and reviewing progress and performance in achieving operational plan goals and targets within approved budgets;
(b) identifying any weaknesses in or obstacles to implementation and performance with a view to adjusting the plan or the implementation processes.
5.4.7 Any proposed adjustment to an operational plan must be approved by the Vice-Chancellor and the revised plan must be made available to all staff through the staff portal.
5.4.8 Reviews of performance towards achievement of specific operational plans or specific goals within operational plans may be included within major evaluative reviews of organisational units and may be included wihtin evaluative reviews of the Strategic Plan and functional plans.
5.4.9 Officers responsible for operational plans, or for designated sections of operational plans, will report in writing annually to the Vice-Chancellor, through the Chief Financial Officer, on performance towards achievement of those plans within approved budgets.
5.5. Individual staff performance and development plans
5.5.1 Individual staff performance and development plans are fourth tier plans developed and reviewed as part of the University’s performance planning and review process in accordance with the Performance Planning and Review (PPR) Policy.
5.5.2 Staff performance and development plans should be designed to contribute to achievement of the Strategic Plan, relevant functional plans and the operational plan pertaining to the organisational unit within which a staff member is deployed.
5.5.3 As far as is suitable within the context of the PPR Policy and procedures, staff performance and development plans should accord with the principles listed in item 4.2 above.
5.5.4 Staff performance and development plans and achievement of those plans will be reviewed in accordance with the PPR Policy and procedures.
5.5.5 Aggregated and permanently de-identified data from staff members’ performance and development plans may be used by cost centre managers and Human Resources to inform University planning, e.g. for the purposes of planning staff development programs.
6. Records management
6.1 Effective systems will be in place for record-keeping and records management in relation to plans, their implementation, monitoring reports, any major evaluative reviews, and any revisions or amendments.
6.2 A register of University plans at tiers one to three will maintained that records, at a minimum, the name of each plan (and subsequent iteration thereof), lifespan dates, latest date of approval, the position/s of the person/s with overall responsibility for development, implementation, monitoring and reporting performance, initiating any major evaluative review of the plan, and the dates for any major evaluative reviews of the plan.
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