1. Purpose of policy

1.1 This policy outlines the core requirements for University planning including development, approval, implementation, monitoring and review of University plans.

1.2 This policy must be read in conjunction with the linked Planning and Reporting - Procedures.

2. Policy scope and application

2.1 This policy applies to all staff, students and members of University decision-making or advisory bodies.

3. Definitions

Refer to the University’s Glossary of Terms for definitions as they specifically relate to policy documents.

Consultation process means the provision of opportunity to contribute ideas and suggestions.

Minor amendment includes changes to correct omissions or inaccuracies, enhance clarity or initial intent, and does not change the substance of a planning document. These can be approved under delegation but should be reported to the next scheduled meeting of the approving body.

Major amendment includes amendments to the substance of a planning document such as strategic direction or goals, performance indicators, performance targets and timelines.

Monitoring means systematic review of the implementation of a University plan.

University Plan means a plan that is the University’s Strategic Plan, or the University’s Annual Operational Plan, or a plan for the operation of one or more organisational units (Department or School Action Plan – which may also include campuses, research centres and institutes as determined by the relevant member of the University’s Executive) or a performance and development plan for an individual staff member prepared as part of Performance Planning and Review.

4. Policy Statement

4.1 Through the establishment and maintenance of this policy, the University must undertake strategic and operational planning to assist it to:

(a) realise its vision and achieve its goals on an ongoing basis;

(b) integrate planning, risk, reporting and budgetary processes;

(c) behave proactively rather than reactively; and

(d) effectively discharge its responsibilities in accordance with its legislative requirements.

5. Principles

5.1 Under Section 61 of the Financial Accountability Act 2009 the University is required to undertake planning (including both strategic and operational plans) and budgeting for the University which is appropriate to its size.

5.2 In accordance with the requirements outlined in the Financial and Performance Management Standard 2009 the University must also have appropriate systems in place for evaluating the achievement of its objectives and services stated in these plans, and must report against this performance at least once every three months.

5.3 The University must have a systematic approach to planning based on:

(a) development of action directed towards the realisation of the University’s vision and strategic priorities;

(b) effective risk and resource management strategies;

(c) effective accountability processes including reporting on plan outcomes; and

(d) continuous improvement of planning processes.

5.4 The University’s planning process is led by the Vice-Chancellor and President (VCP) with the participation of the University Executive, Council, Academic Board, and Planning and Resources Committee, and is informed by an assessment of the University’s internal and external environments and by consultation with staff and other stakeholders.

5.5 All planning at the University is underpinned by the Enterprise Risk Management - Governing Policy and the Risk Management Framework and Strategy which provides the basis for integrated risk management at the University.

5.6 Within the framework of approved plans, University policies and procedures, and allocated budgets, Senior Staff are given a high degree of flexibility in decision-making. This devolution of responsibility recognises that Senior Staff 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.

6. Planning and Reporting Model

6.1 The University must have a Planning and Reporting Model comprising a hierarchy of plans cascading from the University’s vision as documented in the below diagram.

Tier 1: Strategic Plan

Tier 2: University Annual Operational Plan and Department/School Action Plans

Tier 3: Individual Staff Performance Planning and Review plans

6.2 In addition, enabling frameworks and support or specific purpose plans can be developed as subsidiary plans to the Tier 1 plan. These plans articulate strategies to enable our students to succeed or align resources to priorities and help inform Tier 2 plans.

Diagram 1 – Planning and Reporting Model

Click image to enlarge

6.3 Different types of plans require different level of details but at a minimum Strategic Plans and Annual Operational Plans must include:

(a) goals;

(b) performance indicators;

(c) performance targets; and

(d) timelines.

6.4 To address principles of transparency and accountability and ensure compliance with legislative obligations, the University has embedded regular review and reporting processes at all levels of the Planning and Reporting Model to monitor performance and achievement of organisational objectives as detailed in the associated Planning and Reporting - Procedures.

6.5 Strategic Plan

6.5.1 The Strategic Plan includes the University’s vision, sets the long-term direction of the University and articulates major University level priorities over a four-year period.

6.5.2 The Strategic Plan and any major amendments to it must be approved by Council (after endorsement by the Planning and Resources Committee). Minor amendments can be approved by the VCP and reported to the next scheduled meeting of Council.

6.6 Enabling Frameworks or Support Plans

6.6.1 Enabling Frameworks or Support Plans (referred to as Support Plans) are subsidiary to first tier plans, the number and focus of which may be determined by the VCP, or by legislative requirement. These are University-wide plans which can be developed to articulate specific strategies or align resources to priorities, and the VCP will nominate a Responsible Officer for each plan.

6.7 Annual Operational Plan

6.7.1 The University’s Annual Operational Plan is a second tier plan that outlines the key initiatives and targets (cascaded from the Strategic Plan goals and strategies) for the University for a calendar year. The Annual Operational Plan demonstrates how the University will support the delivery of its Strategic Plan within the allocated budget. The Annual Operational Plan is developed on an annual basis.

6.7.2 The University’s Annual Operational Plan is approved by the VCP (after endorsement by the University Executive) and provided to Council for noting annually for the following calendar year. Major amendments to it must be approved by the VCP. Minor amendments can be approved by the Chief Operating Officer and reported to the VCP.

6.8 Department or School Action Plans

6.8.1 Department or School Action Plans (referred to as Action Plans) are also second tier plans and are required for each Department (including campuses, research institutes and centres) and School within the University, as determined by the relevant Executive Member. Action Plans outline the key initiatives and targets for that organisational area for a calendar year. The Action Plan must demonstrate how the Department or School will support the delivery of its strategic objectives within the allocated budget. Action Plans are developed on an annual basis and are the responsibility of the respective Cost Centre Manager.

6.8.2 Action Plans are approved by the Approving Officer (relevant Executive Member) annually for the next calendar year. Any major amendments to Action Plans must be approved by the Approving Officer. Minor amendments can be approved by the Cost Centre Manager and reported to the relevant Executive Member.

6.9 Individual staff performance and development plans

6.9.1 Individual staff performance and development plans are third 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) - Procedures.

7. Authorities/Responsibilities

7.1 The following authorities are delegated under this policy and associated procedures:

END