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UNE Governance Framework - Strategic Planning Annexure

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Section 1 - Purpose and scope

(1) This Annexure supports the implementation of the UNE Governance Framework Rule which specifies a tiered approach to UNE’s strategic planning, outlining key requirements for strategic planning, including development, approval, implementation and monitoring and review.

(2) Overall responsibility and accountability for strategic planning lies with the Vice-Chancellor and Chief Executive Officer (VC&CEO) and Council (UNE Council Charter, cl.7 & 12).

(3) The UNE Governance Framework Rule – Strategic Planning Annexure provides:

  1. a comprehensive and integrated approach that links the University's mission and vision to academic and corporate goals, budget, risk and academic quality; and
  2. responds to relevant planning related legislative and regulatory requirements.

(4) This Annexure applies to all plans specified in the UNE Governance Framework Rule.

(5) Within this Annexure:

  1. Part A outlines the UNE Planning Framework and Principles;
  2. Part B outlines the statutory and other obligations; and
  3. Part C outlines the Planning and Review timeline.

Part A - Planning Framework and Principles

Planning Principles

(6) UNE’s approach to planning:

  1. is systemic and informed by external trends, internal and external risk, and quality outcomes;
  2. considers sound stewardship of all resources as core to all University planning;
  3. considers actions for the management of strategic risks;
  4. is shaped by our commitment to quality in all of our endeavours;
  5. is consistent with UNE’s commitment to transparency and accountability in the management of university business and resources; and
  6. is monitored via performance indicators and regular reporting to assure the University's governing bodies, corporate and academic, that the University is making progress towards its strategic ambitions and assists governance bodies to effectively discharge their legal responsibilities.

Planning Framework

(7) Strategic planning at UNE follows the Plan, Do, Check and Act (PDCA) model which also drives its approach to quality.

PLAN DO
Review, consult, identify and define strategic objectives and how we intend to achieve strategic goals. Execution of plans and the carrying out of organisational activities to transform inputs into outputs or outcomes.
CHECK ACT
Monitoring and evaluating outputs or outcomes to see if institutional objectives have been met. Actions taken to improve institutional and other outcomes, such as changes to plans or rules, new activities or inputs, new risk controls or changed oversight or monitoring.

(8) The University’s planning framework is a five-level hierarchy:

TITLE OBJECTIVES
UNE’s Strategic Plan
  1. Key operational and financial plan outlining the core strategic and operational activities and establishes the strategic vision, goals and strategies across integrated area of focus including, but not limited to: teaching and learning, research and students;
  2. articulates the core strategy-specific goals and associated key result areas;
  3. is supported by ancillary charters and enabling plans;
  4. has a three (3) to ten (10) years horizon; and
  5. is refreshed and reviewed as needed.
Business Plan and Budget
  1. Key operational and financial plan outlining the core strategic and operational activities to deliver against the Strategic Plan;
  2. has a four (4) years and one (1) year planning horizons, refreshed annually;
  3. developed through an integrated process, shaped by the Strategic Plan, and divisional plans; and
  4. articulates the key objectives, goals and associated key performance indicators.
Divisional Plans
  1. Frame proposed activity of the major divisions of the University;
  2. have four (4) year and one (1) year planning horizons, refreshed annually to provide consistency and flexibility; and
  3. provide detail on the operationalisation of the Strategic Plan at divisional level.
 
Faculty/ Business Unit Plan
  1. Has four (4) year and one (1) year planning horizons, refreshed annually to provide consistency and flexibility; and
  2. align the business unit level with, and contextualises institutional strategies.
Individual Performance, Planning and Development Review (PPDR) Plan
  1. Links the strategic objectives of the University, business unit and individual; and
  2. is a key strategy to support the development and retention of people at UNE.

(9) Plans at each level are informed and influenced by higher levels in the framework. Through this approach, each individual can establish direct line-of-sight between activities undertaken on day-to-day basis, through higher level plans to the goals of the Strategic Plan.

(10) UNE undertakes regular reporting processes at all levels of the planning and reporting framework to monitor performance and achievement of organisational objectives.

Part B -  Statutory and other obligations

(11) Under the Higher Education Standards Framework (Threshold Standards) 2021 (cl.6.2(1)(b)), the University is required to clearly define future directions in higher education, and to have in place appropriate mechanisms to set targets and monitor performance against these targets.

(12) This Annexure has been developed to support the planning activities of the University and prescribes the hierarchy and approval of the University’s major planning artefacts, pursuant to the roles and responsibilities of the VC&CEO , and Council.

(13) The below table outlines the roles of various parties and officers of the University in relation to the Strategic Planning Process.

Table 1 – Strategic Planning RACI
Responsible Accountable Consulted Informed
Vice-Chancellor and Chief Executive Officer, and
Senior Executive, supported by
Office of Strategy and Management
University Council Staff
Students
Alumni
Industry and community partners
Wider Community
Accreditation bodies and other stakeholders
Full plan hierarchy RACI available in the performance framework.

Part C - Planning and review timelines

(14) Strategic Planning is undertaken with sufficient time to allow genuine and considered stakeholder engagement, a detailed environmental scan, a review of current plans and performance against these, and a review of current strategic risks and their mitigation strategies.

(15) Communication of the outcomes of, and the ongoing performance against the Strategic Planning process is vital in dissemination of the strategies, goals, objectives and targets associated with the plan, and is conducted on an ongoing basis.

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Section 2 - Authority and Compliance

Authority

(16) The VC&CEO, pursuant to Section 29 of the University of New England Act 1993 (NSW), makes this Annexure.

(17) The Policy Steward, the Director Governance and University Secretary (DGUS), is authorised to make associated documents that are consistent with this Annexure, for the operation of this Annexure.

Compliance

(18) UNE Representatives must observe this policy.

(19) This policy operate as and from the Effective Date. Previous policies relating to planning are replaced and have no further operation from the Effective Date.

(20) Notwithstanding the other provisions of this policy, the Vice-Chancellor and Chief Executive Officer may approve an exception to this policy where the Vice-Chancellor and Chief Executive Officer determines the application of this policy would otherwise lead to an unfair, unreasonable or absurd outcome.  Approvals by the Vice-Chancellor and Chief Executive Officer under this clause must:

  1. be documented in writing;
  2. state the reason for the exception; and
  3. be registered in the approved UNE electronic Records Management System in accordance with the Records Management Rule.