A/2.2 University Planning Framework

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2.2.1 Planning and management principles
2.2.2 Responsibilities
2.2.3 QUT Institutional Plan
2.2.4 Five-year strategic planning
2.2.5 Faculty, division and institute planning and budgeting
2.2.6 One-year University operational planning
2.2.7 Individual staff performance planning and review
2.2.8 Accountability and reporting
2.2.9 Devolution of responsibility
2.2.10 Continuous improvement of planning and management processes
2.2.11 Approval process
Related Documents
Modification History

2.2.1 Planning and management principles

QUT's strategic planning and management is based on the following principles:

a) strategic planning directed towards the attainment of the University's vision and goals. The University operates a strategic planning cycle which involves five major levels as follows:

• QUT Institutional Plan which sets the directions for the entire University
• five-year strategic planning for top-level functions (learning and teaching, research and innovation, finance and infrastructure, people and culture) and strategies (international, information technology, space management)
• planning and budgeting for organisational units (faculties, divisions, institutes) and some functional activities
• one-year University operational planning, consistent with obligations under the Financial Management Standard 1997 (Qld)
• individual staff performance planning and review in the context of University and organisational unit plans.

b) risk management which contributes to the achievement of the University's corporate objectives through processes, structures and culture that is directed towards effective management of potential opportunities and adverse effects ( A/2.5 )

c) resource management to ensure that resources are applied effectively and utilised efficiently in executing the University's strategic plans

d) accountability via reporting on plan outcomes (see A/2.2.8 below) and the review of organisational units (A/2.3 )

e) devolution of responsibility within the framework of approved strategic plans (see A/2.2.9 below)

f) continuous improvement of planning and management processes (see A/2.2.10 below).

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2.2.2 Responsibilities

Council

Council approves the QUT Institutional Plan and five-year strategic plans following endorsement by relevant committees.

Vice-Chancellor

The Vice-Chancellor is responsible for faculty, division and institute planning and one-year University operational planning. The Vice-Chancellor will regularly seek advice from Planning and Resources Committee and Vice-Chancellor's Advisory Committee in the execution of this responsibility.

Sponsors of top-level plans and University strategies

Sponsors are responsible for leadership and management with respect to the top-level five-year strategic plans and University strategies, including:

• preparation of plans in collaboration with a designated planning group which is representative of key stakeholders;
• promoting and monitoring the implementation of plans, and reporting annually on the level of achievement;
• negotiating University-level targets with faculties, divisions and institutes to ensure their feasibility and ownership of plans, including managing any funds the University may dedicate to the plan and ensuring appropriate accountability mechanisms.

Executive deans of faculty / heads of division / institute directors

Executive deans of faculty / heads of division / institute directors are responsible for leadership and management of their organisational areas, including:

• preparation of five-year faculty / division / institute plans
• monitoring the implementation of plans
• determining the nature of operational planning and for budgeting within their organisational units.

Executive deans of faculty / institute directors also are responsible for reporting annually on achievement of faculty and institute plans.

Executive Director, Finance and Resource Planning

The Executive Director, Finance and Resource Planning, is responsible for one-year University operational planning, and ensuring that obligations under the Financial Management Standard 1997 (Qld) are met.

Senior managers

Managers at all levels are accountable for risk management in accordance with the University's risk management policy (see A/2.5 ).

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2.2.3 QUT Institutional Plan

Institutional planning occurs every five years, or more frequently if required. It is led by the Vice-Chancellor with the active participation of Council, Planning and Resources Committee and the Vice-Chancellor's Advisory Committee. The process is informed by a comprehensive assessment of the University's future external and internal environments and relies on consultation with staff and other stakeholders. The resultant QUT Institutional Plan sets the overall long-term direction for the University as a whole.

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2.2.4 Five-year strategic planning

Four rolling top-level strategic plans take direction from and provide support for the QUT Institutional Plan and set the themes on which faculty, division and institute plans are based. These five-year strategic plans are prepared for:

• learning and teaching and research and innovation - these two plans define the University's major goals and directions;
• finance and infrastructure - this plan provides a five-year perspective on the key areas of financial management, information resources and capital management (see G/4.1); and
• people and culture - this plan covers organisational values and includes the University-level support functions of equity, student support and human resources (including workforce planning) which define the culture of the University and specify directions consistent with the QUT Institutional Plan.

Five-year University strategies are also prepared for international, information technology, and space management.

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2.2.5 Faculty, division and institute planning and budgeting

Faculty, division and institute planning and budgeting processes involve the following steps:

• Faculties, divisions and institutes are annually provided with a planning and budget package which includes
• the QUT Institutional Plan,
• top-level plans and University strategies,
• the budget framework for the following three years, and
• the corporate-level risk assessment.
  
  
• Faculties, divisions and institutes develop five-year rolling plans within the context of any changes to the QUT Institutional Plan, top-level plans and University strategies, and/or changes to strategic directions such as an outcome of a corporate review. Risk assessments are undertaken in conjunction with these plans. Plans will specify the organisational area's individual priorities against the strategies set out in the top-level plans and should clearly show how each faculty / division / institute will implement or execute their strategies aligned to the University's plans. Plans also should respond to any revisions to the faculty / division / institute risk assessment. Institutes are expected to consult with participating faculties during the development of institute plans.
  
  
• Executive deans of faculty /heads of division / institute directors meet with the Vice-Chancellor and Executive Director, Finance and Resource Planning to report on progress against existing plans, to provide updates / revisions as necessary, to discuss the key priorities for the coming year, and to negotiate any high level budget issues not specified or allowed for within the budget framework. The Deputy Vice-Chancellor (Academic) participates in faculty meetings, and the Deputy Vice-Chancellor (Research and Commercialisation) participates in institute meetings.
  
  
• Following these meetings and resolution of any outstanding issues, faculties / divisions / institutes submit three-year detailed budgets from which the University budget is prepared for consideration by Planning and Resources Committee and recommendation to Council.

A detailed Planning Timetable, issued at the beginning of each year, provides the key actions and dates for the planning and budgeting process in that year. The usual sequence for the key actions in the process is detailed on the Planning and Quality website.

Policies and procedures relating to the University's budgeting process are in G/4.1 and the Financial Management Practice and Procedures Manual.

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2.2.6 One-year University operational planning

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2.2.7 Individual staff performance planning and review

Individual staff actively participate in planning processes within their organisational unit. Faculty / division / institute planning is also inter-related to individual staff performance and review activities. Staff should pursue performance and development paths consistent with the direction of their faculty, division or institute as articulated in the relevant plans and this is formalised through performance planning and review processes (see B/9 ).

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2.2.8 Accountability and reporting

Annual reporting

The Marketing and Communication Department produces the QUT Annual Report, which gives an overview of QUT and its operations for each calendar year (see F/4.1).

Sponsors of the top-level plans and University strategies prepare annual reports on their plans / strategies each calendar year and these reports inform the QUT Annual Report. Following consideration of these annual reports by Planning and Resources Committee and Council early the following year, the top-level plans may be reviewed or updated as required, by mid-year, in order to inform the next planning cycle of faculties, divisions and institutes.

Faculties and institutes provide a formal annual report (including risk management) at the end of each calendar year, building on the progress report provided to the Vice-Chancellor in the planning and budget meeting (see A/2.2.5 above). These reports are provided to the sponsors of the top-level plans and University strategies, inform the QUT Annual Report and any review of the top-level plans.

Reporting on key performance indicators

QUT's key performance indicators (KPIs) provide ongoing feedback on the University's achievement of its vision and goals and are widely used for communicating the University's performance externally, for example to the Queensland Parliament through the QUT Annual Report. Progress reports on KPIs are regularly provided to Vice-Chancellor's Advisory Committee, Planning and Resources Committee, and Council. Further information may be obtained from the Division of Finance and Resource Planning (Planning and Quality website).

Evaluation of strategic planning processes

A comprehensive evaluation of the efficiency and effectiveness of the University's strategic planning processes and the appropriateness of the results achieved is conducted regularly through the corporate reviews system (A/2.3).

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2.2.9 Devolution of responsibility

Within the framework of approved five-year strategic plans, University policies and procedures, and allocated budgets, managers are given a high degree of flexibility in decision-making. This devolution of responsibility recognises that managers are responsible for management of risks and the achievement of plans in an often dynamic environment and that operational management decisions are most appropriately made at the organisational unit level.

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2.2.10 Continuous improvement of planning and management processes

TThe University is committed to the ongoing review and continuous improvement of its planning and management processes. This is provided through a thorough review of processes at least every five years. In addition, each year the Vice-Chancellor seeks advice from Vice-Chancellor's Advisory Committee on potential improvements. Major changes to processes are subject to approval through Planning and Resources Committee and Council.

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2.2.11 Approval process

Top-level plans and strategies

The following table provides details of the process for preparation and approval of the University's top-level five-year strategic plans and University strategies.

Faculty / division / institute plans, functional area plans and one-year operational plan

The following table provides details of the process for preparation and approval of faculty / division / institute plans, and functional area plans.

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Related Documents

MOPP A/2.3 Corporate reviews

MOPP A/2.5 Risk management policy

MOPP G/4.1 Budget

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Modification History

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