Manual of Policies and Procedures

A/2.2 University Planning Framework

Contact Officer

Director, Planning and Budget, Finance and Resource Planning

Approval Date

30/07/2015

Approval Authority

Council

Date of Next Review

01/08/2018

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

2.2.1 Planning and management principles

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

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

  • QUT Institutional Plan which sets the directions for the entire University and  articulates major University-level priorities, strategies and targets
  • planning and budgeting for organisational units (faculties, divisions, institutes) 
  • 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 plans

d) accountability via reporting on plan outcomes (A/2.2.7) and the review of organisational units (A/2.3)

e) devolution of responsibility within the framework of approved plans (A/2.2.8)

f) continuous improvement of planning and management processes (A/2.2.9).

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2.2.2 Responsibilities

Council

Council approves the QUT Institutional Plan following endorsement by relevant committees.

Vice-Chancellor

The Vice-Chancellor develops the QUT Institutional Plan and is responsible for faculty, division and institute 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.

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 faculty / division / institute plans and three-year budgets
  • monitoring the implementation of plans
  • negotiating and working with relevant areas to achieve the University-level priorities, strategies and targets outlined in the Institutional Plan 
  • determining the nature of operational planning and budgeting to be used within their own faculty, division or institute.

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

Executive Director, Finance and Resource Planning

The Executive Director, Finance and Resource Planning coordinates an annual report on the Institutional Plan each calendar year, which informs the QUT Annual Report (A/2.2.6).

Senior managers

Managers at all levels are accountable for risk management in accordance with the University's risk management policy (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 and articulates major University-level priorities, strategies and targets.

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2.2.4 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 information and guidelines for the planning and budget processes
  • Faculties, divisions and institutes submit planning documents in accordance with the planning and budget package
  • Faculties, divisions and institutes submit three-year detailed budgets from which the University budget is prepared for consideration by Planning and Resources Committee and recommendation to Council for approval.

The usual sequence for the key actions in the planning and budget process is detailed on the Planning and Budget webpage on the Digital Workplace.

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

Supporting informed decision making as part of the planning and budgeting process is the University’s Project Proposal Framework. Policies and procedures relating to the University’s Project Proposal Framework are contained in Financial Management Practice and Procedures Manual.

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2.2.5 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 (B/9).

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2.2.6 Accountability and reporting

Annual reporting

The QUT Annual Report produced by the Marketing and Communication Department gives an overview of QUT and its operations for each calendar year.

The Executive Director, Finance and Resource Planning coordinates an annual report on the Institutional Plan each calendar year which informs the QUT Annual Report. Following consideration of the annual report by Planning and Resources Committee and Council early the following year, the University-level priorities, strategies and targets may be reviewed or updated as required, by mid-year, in order to inform the next planning cycle of faculties, divisions and institutes.

Faculties, divisions and institutes provide a formal annual report at the end of each calendar year. These reports are provided to the Vice-Chancellor’s Advisory Committee, and inform the QUT Annual Report and any review of the institutional plan.

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.

Evaluation of strategic planning processes

A comprehensive evaluation of the efficiency and effectiveness of the University's planning processes and the appropriateness of the results achieved is conducted regularly through the Corporate Reviews Framework (A/2.3).

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2.2.7 Devolution of responsibility

Within the framework of approved 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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2.2.8 Continuous improvement of planning and management processes

The 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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2.2.9 Approval process

Institutional Plan


Plan

Responsible for plan preparation

Committee (for endorsement)

Approval authority

QUT Institutional Plan

Vice-Chancellor (Sponsor)

Vice-Chancellor's Advisory Committee
to
Planning and Resources Committee

Council

Faculty / division / institute plans


Plan

Responsible for plan preparation

Approval authority

Faculty plans

Executive dean of faculty
to
Senior Deputy Vice-Chancellor

Vice-Chancellor

Division plans

Deputy Vice-Chancellor / Head of Division (as appropriate)

Vice-Chancellor

Institute plans

Institute Director
to
Senior Deputy Vice-Chancellor

Vice-Chancellor

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Related Documents

MOPP A/2.3 Corporate Reviews Framework

MOPP A/2.5 Risk management policy

MOPP G/4.1 Budget

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Modification History

Date Sections Source Details
30.07.15 All Executive Director, Finance and Resource Planning Revised policy to reflect current practice
06.07.14 A/2.2.4 Executive Director, Finance and Resource Planning Policy revised to embed the Project Proposal Framework
20.10.10 All Council Policy revised to incorporate changes to University planning framework
20.08.08 All Council Revised policy (endorsed by Planning and Resources Committee 06.08.08 and Vice-Chancellor's Advisory Committee 16.07.08)
25.02.05 A/2.2.2, A/2.2.3, A/2.2.4, A/2.2.6, A/2.2.9 Executive Director, Finance and Resource Planning Minor editorial changes (consistent with current approved processes)
21.07.04 A/2.2.9 Council Approved new top-level plans (Learning and Teaching, Research and Innovation, People and Culture, Finance and Infrastructure)
13.11.03 All Planning and Resources Committee of Council Revised planning framework; re-numbered and re-located to MOPP A/2.2 (previously MOPP A/7)
15.7.1998 A/2.2.9 Council Approved top-level and support strategic plans (1999-2003)

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