The Institutional Planning and Performance Framework
Overview
The Vice-Chancellor's Committee (VCC) endorsed a project on 23 June 2004 to establish an Institutional Planning and Performance Framework (IPPF). The intention was to provide a coherent and transparent university-wide framework for performance monitoring, reporting, and planning which fulfils internal and external accountabilities and is consistent with good practice in Australian higher education.
The IPPF enables the University to:
- systematically monitor and report on outcomes against the University's objectives and targets;
- integrate planning and resource allocation cycles for the purposes of making realistic and informed decisions on the University's core business activities; and
- use its performance reports and plans as the principal tools to effectively oversee progress against its strategic directions, statutory obligations and quality improvements.
Under the IPPF model the University reviews performance and undertakes planning at all levels. This process is guided by a number of underlying elements:
- the need to ensure that the University's mission, vision and values are embedded in a Strategic Plan that supports the commitment to excellence needed for the organisation to thrive;
- its strategic goals, objectives and targets;
- the external environment in which it operates;
- active collaboration and consultation with all stakeholders;
- integration of University-level plans with Division/Unit-level and Faculty/School-level plans and budgets;
- ensuring that plans consider past performance and continuous improvement principles; and
- ensuring ongoing financial sustainability.
The key University Performance Reports that guide the development of all plans include:
- The University Performance Report;
- The University Sectoral Benchmark Report;
- The University Research and Research Training Portfolio Performance Report;
- The University Learning and Teaching Portfolio Performance Report;
- The University Services and Resources Portfolio Performance Report;
- Faculty Performance Reports; and
- Program Performance Reports.
The key plans or groups of plans that outline the University’s direction include:
- The University Strategic Plan, which outlines its future direction and major strategies;
- The University Operational Plan, which highlights how these strategies will be implemented;
- The University Portfolio Operational Plans, which identify key activities and projects in the three divisions needed to support the achievement of University goals and Faculty plans;
- The Faculty Business Plans, which identify specific plans, targets and resource needs of the academic faculties;
- The University Capital Management Plan, which quantifies the investment required to sustain the University's facilities and infrastructure; and
- The University Budget, which comprises individual budgets for each major business unit and quantifies the revenue expectations and expenditure limits in each of those areas.
Governance
Strategy and Planning was, until 2007, an element of the Office of Planning and Quality (OPQ). As of 2007, Strategy and Planning was restructured and established within the Office of the Deputy Vice-Chancellor and Vice-President (Academic) as a single unit with a separate Director. In January 2012 Strategy and Planning was renamed Planning and Performance Reporting.
Planning and Performance Reporting is responsible for the University-wide planning and performance framework and related issues. The Planning and Performance Reporting team provides management information on a predictable and cyclic basis, as well as conducting ad hoc statistical enquiries and analyses. The team is also responsible for the coordination of the University's statutory reporting obligations; for supporting internal load management and budget processes; survey management; and management of the data warehouse. In addition, the team supports the University Planning and Budgeting Committee, in cooperation with the Financial Services team.
University Planning and Budgeting Committee
The Planning and Budgeting Committee (PBC) provides advice to the Vice-Chancellor and President on matters relating to the planning and budgeting of the University.
Since its establishment in 2006, the PBC has overseen the ongoing integration of the University's planning and budgeting processes, the implementation of the key planning elements of the Institutional Planning and Performance Framework (IPPF) and the performance reporting requirements of the IPPF.
The Committee is convened by the Vice-Chancellor and President and its membership includes the:
- Deputy Vice-Chancellor and Vice-President (Academic)
- Deputy Vice-Chancellor and Vice-President (Research);
- Vice-President (Services and Resources);
- Executive Deans;
- Chief Financial Officer;
- Executive Director (DVC&VP(A);
- Director, Infrastructure, Property and Technology; and
- Director, Planning and Performance Reporting.
The Terms of Reference and scope of the Committee is determined by the Vice-Chancellor and President but may include the provision of advice on:
- development and implementation of strategic, operational and unit business and resource plans;
- development and implementation of annual budgets and triennial budget planning processes;
- issues of resource allocation;
- development and implementation of integrated planning and budgeting processes;
- development and implementation of targets and Key Performance Indicators; and
- investigation of any matters referred to it by the Vice-Chancellor and President.
The Executive Officer of the committee is Mr Greg de Cure. He can be contacted by email: gregory.decure@adelaide.edu.au or by phone: 8313 6075.
Guidelines for the preparation of papers can be found at
http://www.adelaide.edu.au/governance/unicommittees/
University Planning
The Strategic Plan
The first Strategic Plan developed as part of the IPPF was Future Directions: The University Strategic Plan 2004-2008. This plan provided the University with a clear direction for the future and enabled achievement of its main goals - a commitment to our students and growth and sustainability in its traditional areas of strength – intensive research and high quality teaching.
It also focussed and directed the University to maximise opportunities and meet the challenges of a competitive Higher Education environment by setting out clear, high-level goals for the core areas of its business.
The 2008-2012 Strategic Plan sought to capitalise on the University's existing strengths but also take advantage of emerging opportunities, particularly in research. Building a Great Research University: The University of Adelaide Strategic Plan 2008-2012 was approved by Council on December 3, 2007 and formally reviewed and revised mid-cycle in late 2009.
With the inauguration of Professor Warren Bebbington as the University's 20th Vice-Chancellor in July 2012, the development of a new Strategic Plan commenced immediately.
Prepared in consultation with Council, staff and students, and external stakeholders, Beacon of Enlightenment: Strategic Plan 2013-2023, sets a new and exciting direction for the University and took effect in January 2013.
In this plan, the University commits to a distinctive approach which recaptures the ideal of a research university, and seeks an internationally-focussed staff and a tolerant, progressive student mix which will prepare students for global citizenship in an increasingly borderless world.
The Operational Plans
University Operational Plan
All University plans are based on the goals, strategies and targets established in the Strategic Plan. The University Operational Plan (UOP) lists medium-term, operational planning decisions at all levels.
The UOP highlights how the Strategic Plan will be put into effect by outlining the major operational activities for each of the Strategic Plan’s strategies for the next three years. It has a shorter and more immediate focus than the Strategic Plan and is reviewed and revised annually.
It identifies the key performance objectives and accountabilities, targets and major operational plans for the core of our business: Research and Research Training, Education, and Enabling activities.
It also highlights the major priorities and accountabilities of the Divisions and Faculties for the next three years, determined during the annual planning and budget process.
The University Operational Plan, and component Portfolio (Divisional) Operational Plans are reviewed by the University Planning and Budgeting Committee and approved by the Vice-Chancellor.
Faculty Business Plans
Faculty Business Plans describe how their areas will contribute to meeting the Strategic Plan's goals and key performance objectives, by addressing their specific plans for meeting growth targets, enhancing quality and service, and doing so in an efficient and sustainable manner.
They are three year plans that are revised and rolled forward annually. They are developed in response to the objectives established in the University Strategic Plan and help shape the annual budget process.
It is the responsibility of the Executive Deans to ensure that the Faculty Business Plans encapsulate the individual plans and contributions that will be made by their respective Schools.
Faculty Executive Deans are responsible for developing their Business Plans in line with the requirements of the planning and budget cycle and these plans are approved by the University Planning and Budgeting Committee.
The Faculty Business Plans are reviewed and approved by the University Planning and Budgeting Committee.
The Financial Plans
The University Capital Management Plan
The University Capital Management Plan quantifies the University's capital investment plans and priorities for physical facilities and infrastructure.
It is a five year plan that is revised and rolled forward annually, forming a crucial component of the annual budget for the following year.
It is the responsibility of the Vice-President (Services and Resources) to ensure that the UCMP encapsulates the priority facilities requirements of all business areas in order that the University can meet its strategic objectives and targets.
The University Capital Management Plan is reviewed by the University Planning and Budgeting Committee and endorsed for approval by the Vice-Chancellor and President. As for the University Budget, Council gives final approval for the UCMP at its December meeting.
The University Budget
The University Budget quantifies planned revenue and expenditure for the next financial year. It is an annual plan but is developed in the context of long-term strategic goals and the operational priorities determined in the University Operational Plan. Equally, it considers the impacts of other relevant factors, such as Commonwealth Government reforms or changes in regulation and competition.
The budget development process is as follows:
- The University's previous year's financial performance is benchmarked and financial budget targets set in consultation with the Vice-Chancellor & President and in line with Council approved targets.
- The University's funding priorities for the Budget are determined in the context of the objectives of the University's Strategic and Operational Plans.
- Targets for student load and research income are prepared for the following year in consultation with Executive Deans and discretionary revenue calculated for the budget based on the agreed targets and known Commonwealth funding parameters.
- Expected revenue is automatically allocated on an as-earned basis, based on the agreed financial budget targets set by the Vice-Chancellor & President and approved by Council.
- Expenditure is calculated and allocated under agreed Budget parameters.
- The University Budget is finalised.
The Chief Financial Officer oversees the development of the Budget. The Deputy Vice-Chancellor & Vice-President (Academic) approves Faculty student load targets in line with the Strategic Plan. The Deputy Vice-Chancellor & Vice-President (Research) approves Faculty research income and Higher Degrees by Research targets.
The University Budget is reviewed by the University Planning and Budgeting Committee and endorsed for approval by the Vice-Chancellor and President. Council gives final approval for the University Budget.
Current strategic, operational and financial plans are available from the University Plans and Performance Reports page.
Performance Reporting
Performance Reporting is an integral component of the Institutional Planning and Performance Framework. It involves the deevelopment of a series of annual reports that support and inform management decision-making across the University. Each report serves a specific purpose and audience. They are delivered at the beginning of annual planning cycle and each contains the most up to date information available at the time of production.
Current performance reports are available from the University Plans and Performance Reports page.
- The University Performance Report
Audience
The primary audience for this report is The University of Adelaide Council. It is also a key management planning tool to review performance against the objectives of the University Strategic Plan.
Scope
Key Performance Indicators (KPI) are selected with a view to reflecting institutional performance across a broad range of activities to provide indications about the overall health, effectiveness and quality of the University. The KPIs include both quantitative and qualitative measures. Adding qualitative data to the quantitative data provides descriptive feedback and value judgements on the effectiveness of strategies and their impact on stakeholders. Where appropriate, the reported measures include percentage change over time and comparable data for other South Australian universities and/or Group of Eight (Go8) universities, the higher education sector and selected international universities for benchmarking purposes.
Structure
The report has been structured around the five key reporting areas of financials, learning and teaching, research and research training, staff and reputation. It provides an overall assessment of performance in each of these areas, and within each area, quantitative information and qualitative analysis against each performance measure so that there is sufficient information to identify trends and outcomes to make judgements about whether the University is fulfilling its mission and objectives.
- The University Research and Research Training Performance Report
Audience
The primary audience for this report is Academic Board and the University Research Committee. This report will be presented annually to URC in March. It is also a key management planning tool used to review performance against the Research objectives of the University Strategic Plan.
Scope
This report shows a five-year history of intra-institutional performance against a list of agreed key performance indicators. It provides an overall assessment of performance in each of these areas, and by faculty within each area, so that there is sufficient information to identify trends and outcomes at a faculty level. It also provides a Go8 benchmark of most major KPIs.
Structure
The report has been structured around the six key reporting areas of publications output, research income, higher degree by research student load, progression from honours to higher degrees by research, higher degree by research completions and the feedback from the Postgraduate Research Experience Questionnaire (PREQ). It provides an overall assessment of performance in each of these areas, and within each area, so that there is sufficient information to identify trends and outcomes at a faculty level.
- The University Learning and Teaching Performance Report
Audience
The primary audience for this report is Academic Board and the University Learning and Teaching Committee. This report will be presented annually to ULTC in March. It is also a key management planning tool used to review performance against the Education objectives of the University Strategic Plan.
Scope
This report shows a 5-year history of intra-institutional performance against a list of agreed key performance indicators. It provides an overall assessment of performance in each of these areas, and by faculty within each area, so that there is sufficient information to identify trends and outcomes at a faculty level.
Structure
The report has been structured around the four key reporting areas of student demand, student experience, student progression and staff development. Each key performance indicator is broken down to the individual faculty level with the exception of some of the information derived from the Course Experience Questionnaire which is presented at the level of broad or narrow fields of education.
- The University Services and Resources Performance Report
Audience
The primary audience for this report is the senior managers of the University. This report will be presented annually commencing in 2010. It is a key management planning tool used to review performance against the Services and Resources objectives of the University Strategic Plan.
Scope
This report shows a 5-year history of intra-institutional performance against a list of agreed key performance indicators. It provides an overall assessment of performance in each of these areas, and by faculty within each area, so that there is sufficient information to identify trends and outcomes at a faculty level.
Structure
The report will be structured around the key reporting areas of staffing, finances, services and infrastructure.
- The Faculty Annual Performance Reports
Audience
The primary audience of this report will be Academic Board, Faculty Boards and Faculty management within the schools. The 2008 pilot version of this report will be released for comment in April. It is a key management planning tool used to review performance against the objectives of the University Strategic Plan and in developing each Faculty's Business Plans.
Scope
As information systems mature it is hoped that all data will be able to be presented at least at the level of the school and where possible and appropriate at the discipline and possibly the individual staff member. This report will show a 5-year history of performance.
Structure
Faculty Programs
This section is structured around the three student related performance areas found in the Learning and Teaching Report, namely student demand, student experience and student progression. Data is provided by program for each of these performance areas and programs are grouped by faculty. It provides an overall assessment of program performance in each of these areas, and within each area, so that there is sufficient information to identify trends and outcomes at a program level. All coursework programs with load in 2006 or 2007 have been included.Faculty Research Profile
This section will be a further development of the research profile tool created to support deliberations around the Research Quality Framework. It contains data describing the number of publications, weighted DEEWR publication points, and number of higher degree by research students supervised (commenced, enrolled and completed). With the development of the Corporate Research System it will be possible to include further information linked to research KPIs.Services and Resources
This section will provide intra-faculty performance metrics in the areas of staffing, finances, services and infrastructure.
The Planning Cycle and Key Activities
The Planning and Performance Cycle
The University Strategic Plan outlines the University's objectives for the next ten years. It is reviewed annually and rolled forward throughout the 10-year cycle.
The University Operational Plan, Portfolio Operational Plans, and Faculty Business Plans follow a 3-year cycle and are updated and renewed each year for the next 3-year period.
The Capital Management Plan provides an outlook of commitments and priority capital projects for the next 5 years. It is also reviewed annually during the development of the Budget, updated and rolled forward for the next 5-year period.
The University Budget is prepared annually for the following year.
Performance Reports are prepared in the first half of the year to guide the development of these plans.
Key Annual Planning Milestones
Each year a number of key activities are undertaken in order to review past performance, revise and renew existing plans. Operational planning determines the priority short-term objectives and quantifies their cost, in order to set the stage for meeting the longer term objectives of the University Strategic Plan.
January to May
- Public release of any major updates to the University Strategic Plan
- Senior Management Leadership Retreat
- Development of the University Operational Plan and component Portfolio (Divisional) Operational Plans (to guide Faculty and School business planning activities)
- Development and presentation of the University Performance Report to Council
May to August
- Development and presentation of Sectoral, Portfolio and Faculty Performance Reports
- Faculty and Divisional Performance and Strategy Review Meetings
- Development of University-level and Faculty targets (price and volume)
- Preliminary Faculty business planning
September to October
- Preparation and finalisation of Budget and Capital Management Plan
- Finalisation of Faculty Business Plans
- Revision of University Operational Plan and Portfolio (Divisional) Operational Plans (if required, in response to Faculty Business Plans and Budget decisions)
November to December
- Final Approval of Faculty Business Plans by PBC
- Final Approval of revised Portfolio (Divisional) Operational Plans by VC
- Final approval of Budget and Capital Management (Infrastructure and Technology) Plans by Council
