GUIDELINES
FOR
COMPILING A DEVELOPMENT PLAN,
AN ACTION PLAN
AND
A ACTIVITY REPORT by A UNIT
Compiled by:
Birgit Vilgats,
Quality Manager
2013
Compiling a development plan, an action plan and a report
Contents
1.
Introduction ............................................................................................................................................. 3
2.
Compiling a development plan of an academic unit and defining key concepts .................................... 3
3.
Compiling an action plan of an academic unit ........................................................................................ 5
4.
Compiling a report of an academic unit .................................................................................................. 7
5.
Overview of a domain council´s development ........................................................................................ 8
6.
Calendar timetable for preparation of an action plan and a report of an academic unit....................... 8
7.
Compiling an action plan and a report of administrative and other units ............................................. 9
2
Compiling a development plan, an action plan and a report
1. Introduction
The Tallinn University Management Regulations (Section 5) regulates the process of development
planning and reporting within Tallinn University. The Rector is responsible for planning the university
development and submitting a report. The Head of a unit is responsible for planning the unit´s
development and submitting a report. According to the University Statute, the Heads of the units are
responsible for the effectiveness, sustainability and development of their units. The Heads of the units are
also accountable to the Rector, the Vice-rectors and the Director of Facilities and Finances for the
completion of the work assignments in their area of responsibility. The Directors of academic units are
obliged to report to the decision-making body of their unit, the Senate and the Rector.
A development plan of a unit is compiled in order to support the achievement of the objectives laid out in
the development plan of the university and it is recommended that it follows the same structure as the
university development plan. The Management Regulations set out the structure of the university
development plan. However, the currently valid university development plan is not fully compliant with
this structure (e.g. in some cases the description of the current situation and status is included in other
documents; at the same time however, many valid development plans of the units also include this
irregularity).
2. Compiling the development of an academic unit and defining the key concepts
A development plan for an academic unit is based on the university development plan. The Head of the
unit is responsible for compiling the development plan. All members of the unit (staff, students) and the
most important external interested parties (e.g. business, public and third sector organizations active in
the subject field, alumni and other partners) are involved in the compilation of the development plan. The
process of compilation of the development plan of the unit is recorded. The development plans of the
academic units are adopted by the decision-making body of the unit, approved by the domain council and
endorsed by the Senate within six months from the date of adoption of the university development plan.
The development plan of an academic unit shall comply with the structural requirements set out in the
Management Regulations as follows:
1. Basis
(a) A short description of the unit, its mission and the specific study, research and development
activity that takes place within the unit;
(b) The position, both nationally (Estonia) and internationally, in comparison to its main competitors;
(c) The development plan of a previous period and an overview of its completion and subsequent
evaluation;
(d) The possible risks and procedures for risk management.
2. Status – The performance of the unit during the period of compilation of the development plan,
together with the development trends of the last 5 years, if the data is available (based on the indicators
presented in the unit’s reports prior to 2011 and subsequent to 2011, based on the indicators presented in
the activity reports).
3
Compiling a development plan, an action plan and a report
3. Objectives and results – Developmental goals, their relation to the TU development plan and national
development plans, including the relevant strategies. These are presented individually for different
domains (e.g. research and creative activity, study activity, identity and members, management, social
relations) by identifying the prioritized topics of the unit as well as the objectives and key indicators,
which help to assess their achievement. The key indicators are based on the university key indicators and
are completed/changed depending on the specificity of the unit. A table format is used. Aims and key
indicators are set for the objectives so that progress towards the objectives can be monitored and based
on these assessments, new activities can be included in the action plan of the unit in order to achieve the
objectives.
5. Appendices –If desired, an explanatory letter, SWOT analysis, implementation provisions and other
supplementary material can be added to the development plan.
KEY INDICATORS
Since all the Heads of the university units are involved in the compilation of the university development
plan alongside other internal parties (staff, students) and external parties (representatives of employers
and alumni), and since the development plan is compiled by consensus, then the key indicators of a unit
could be the same as those used in the university development plan. Since the objectives of a unit are
clearer and more specific than those of the university, then a unit may focus its activity on achieving two
or three university objectives (e.g. achieving goals related to study and research or goals related to
research and social relations).
University priorities
Key indicators of institute/college
Developing interdisciplinary and
international
research
and
creativity centres, research teams
and doctoral study, as well as
increasing the proportion of
research,
development
and
creative activity in the overall
university activity
Number of high level research publications (ETIS
classifications 1.1, 1.2, 2.1 and 3.1.) per academic
employee annually
Number of doctoral theses defended per year
Number of high level research publications interunits (ETIS classifications 1.1, 1.2, 2.1 and 3.1.)
per year
Current
status
Aim/
2014
Consolidating study programmes TU students going abroad - by study levels
and
offering
competitive (APPL, BA, MA, PhD)
education based on international General student satisfaction with placement
experience
and
high-level Percentage of foreigners among full-time
practice
academic staff of TU
Percentage of subjects from other institutes in
compulsory subjects
Percentage of foreign degree students
Number of study programmes at the university
(into which students are admitted)
Percentage of courses in English and Russian (in
ECTS credits)
Study programmes in English and Russian
Number of students who participated in
4
Compiling a development plan, an action plan and a report
continuing education
Developing a working and
learning environment that
supports self-realization of its
members
General satisfaction of employees with
management and working environment
Satisfaction of students with studies
Number of days per academic employee spent in
training at a foreign university or research
establishment per year
Percentage of students who graduated during the
nominal period of studies - by study levels
(APPL, BA, MA, PhD)
Enriching society through sharing Study books, popular scientific books and articles,
knowledge
(including those in Estonian)
Number of conferences, cultural events and
occasions organized
Increasing and diversifying the University income base per one employee
financial resources of the (whole staff)
Three-year average percentage of income in the
university
total budget, derived from research, development
and creative activities
Three-year average of the amount of financing for
research, development and creative activities - per
academic employee
Percentage of income in the total budget from
service agreements concluded with enterprises
and the public sector
Percentage of income/turnover in the total budget
from continuing education
3. Compiling the action plan for an academic unit
An action plan is compiled for one year and is presented by the domains of the development plan
(research and creative activities, study activity, identity and membership, social relations, management)
according to their development objectives. Every objective shall include the following:
(a)
(b)
(c)
(d)
(e)
(f)
Planned activities for achieving the objective,
Executors
Deadline (when the activity ends)
Resources (budget for the project/unit, necessity for additional funding)
Relation to the university key indicators (i.e. which key indicator is used to assess the results of
the activity),
A specific indicator may be added to make the results more explicit.
The actions will be related to the TU Development Plan and the development plan of the unit, as well as
to national strategies and plans. The action plan is also compiled on the basis of the analysis of the action
plan for a previous period. The action plan shall be supplemented at least once a year in June-September.
5
Compiling a development plan, an action plan and a report
Example of the structure of an action plan:
Research and other creative activity:
Comment [TLU1]: Kätlin: mu meelest
on arendus kuidagi kadunud nii Wordi kui
PDF dokumendist? Kuna seda siin ei ole,
siis ei saa ka RDC lühendit sisse tuua siin,
sellest tingituna on ka allpoolsetel tabelitel
nii pikk kui lühike variant RDC jaoks.
Objectives and course of action for the university development plan:
•
•
Objectives and course of action for the unit´s development plan:
•
•
Action
Executor
Deadline
Resources
Relation to
university/
unit´s key
indicator
Resources
Relation to
university/
unit´s key
indicator
Resources
Relation to
university/
unit´s key
indicator
Teaching and learning:
Objectives and course of action for the university development plan:
•
•
Objectives and course of action for the unit´s development plan:
•
•
Action
Executor
Deadline
Identity and membership:
Objectives and course of action for the university development plan:
•
•
Objectives and course of action for the unit´s development plan:
•
•
Action
Executor
Deadline
6
Compiling a development plan, an action plan and a report
Service to society:
Objectives and course of action for the university development plan:
•
•
Objectives and course of action for the unit´s development plan:
•
•
Action
Executor
Deadline
Resources
Relation to
university/
unit´s key
indicator
Resources
Relation to
university/
unit´s key
indicators
Management:
Objectives and course of action for the university development plan:
•
•
Objectives and course of action for the unit´s development plan:
•
•
Action
Executor
Deadline
4. Compiling the report for an academic unit
The report of an academic unit is presented for the previous calendar year and divided according to the
fields of the development plan (research, development and creative activities; teaching and learning;
identity and membership; societal relations; management). It gives an overview of:
(a) The input of the unit in the achievement of the university objectives and
(b) The implementation of the unit’s development plan, including the key indicators of both the university
and the unit that are identified in: (a) the assessment of the effectiveness of the activities and (b) in the
evaluation by the Head of the unit and the decision-making body.
The report of the academic unit is compiled in the electronic report environment
www.tlu.ee/aastaaruanne using the structure established by the Rector´s Directive No. 8 (02.02.12) and
submitted to the Rector through the document management system, Webdesktop. The unit´s report is
used as the basis for completing the unit´s action plan during the period from June to September.
7
Compiling a development plan, an action plan and a report
5. Overview of a domain council´s development
The domain councils discuss the development of the units belonging to their domain based on the
development reports of the units and comparative data compiled by the Institutional Development Office.
The Head of a domain council shall compile an overview of development that reflects the activities
undertaken in achieving the objectives set out in the university development plan as well as the input of
the units in the achievement of the objectives of the university, including the achievement of the key
results and relevant problems. At the same time, the domain council shall evaluate how the problems
identified by the council in the prior year have been solved and how the recommended activities were
implemented during the year. The domain council shall forward the overview of development to the
Heads of the units belonging to the domain and also to the Rector.
6. Calendar timetable for preparation of an action plan and a report of an
academic unit
NovemberDecember
25 January
1 February
JanuaryFebruary
During
February
1 March
1 April
April-May
JuneSeptember
Primary assessment of the execution of the unit´s action plan; the unit´s input to the
compilation of the university budget
Administrative units shall forward the data reflecting the previous calendar year to the
IT Office
The pre-completed form of the report shall be made accessible to the Heads of the
academic units in the university´s electronic annual report system
Compilation of the unit ´s action plan for the year in parallel with the compilation of the
unit´s report
Submission of the report to the decision-making body of the unit for assessment;
approval of the action plan by the unit´s council for the following year
Presentation of the report to both the Rector and the domain council
Presentation of the domain council´s overview to the Rector
Development discussions by the Rector with the Heads of the academic units
Review and completion of the unit´s action plan
8
Compiling a development plan, an action plan and a report
Veebruar-märts:
Aruannete koostamine
üksustes, võrdlemine
võtmenäitajatega ja
hinnangu andmine
tegevusele
Märts:
Aruannete analüüs
valdkonnanõukogudes
ja esitamine rektorile
Veebruar:
Keskteenistuste
aruannete
esitamine
Jaanuar-märts:
Üksuse aastase
tegevuskava ja
eelarve
koostamine
Jaanuar:
Eeltäidetud
aruandevorm
üksustele
November-detsember:
Ülikooli aastase
tegevuskava koostamine
ja eelarve koostamine
November-detsember:
Üksuse järgmise aasta
eelarve sisendi andmine
ülikooli eelarvesse
Aprill:
Ülikooli tegevus/
majandusaasta aruande
koostamine
Juuni -september:
Ülikooli tegevuskava
ja eelarve
ülevaatamine
Aprill:
arenguvestlused
üksuste
juhtidega,
tulemustasude
määramine
Mai-juuni:
Ülikooli
tegevus/majandusaasta
aruande esitlemine
Juuni - September:
Üksuse tegevuskava ja
eelarve ülevaatamine
(valge kast ``Veebruar-märts``: February-March: Compiling reports in the units, comparing with key indicators and assessing
activity.
Valge kast ``Märts``: March: Analysis of reports in the domain councils and presentation to the Rector.
Roosa kast ``Aprill``: April: development evaluations with the heads of the units, granting performance pay.
Sinine kast ``Mai-juuni``: May-June: Presenting the university activity/annual report.
Valge kast ``Juuni-september``: June-September: Reviewing the unit´s action plan and budget.
Valge kast ``November-detsember``: November-December: Providing data from the unit´s budget for the following year for
input into the university budget.
Valge kast ``Jaanuar-märts``: January-March: Compilation of the yearly action plan and budget of the unit.
Sinine kast ``Jaanuar``: January: Previously completed report form to the units
Sinines kast ``Veebruar“: February: Presenting the reports of central services.
Sinine kast ``Aprill``: April: Compiling the university action/annual report
Sinine kast ``Juuni-september``: June-September: Reviewing the university action plan and budget.
Sinine kast `November-detsember``: November-December: Compiling the annual action plan and budget of the university.
7. Compilation of an action plan and a report of administrative
and other units
The administrative units providing central services and other units start the compilation of their
action plans in October simultaneously with the compilation of the budgets of the university and the
units. For this, the Head of a unit provides a primary assessment of the execution of the action plan
of the prior period. The action plan of the new period is compiled based on the objectives and the
key indicators of the university development plan. In compiling the new action plan, the execution of
the action plan for the previous period is taken into consideration. A member of the Rectorate
responsible for managing the unit shall approve the action plan of the unit. The unit´s action plan
shall include the university objectives including the necessary development activities for achieving
these objectives. If necessary, the action plan shall also include the key indicators of the unit in the
responsibility fields that the unit can contribute to, in accordance with its Statute. Funding for
9
Compiling a development plan, an action plan and a report
implementation of the action plan is provided for in the unit´s budget or through an application for
external funding. The most important development activities of the unit are reflected in the
university action plan. Administrative units do not have their own development plans.
Example of the structure of an action plan:
University priorities
Developing interdisciplinary and
international
research
and
creativity centres, research teams
and doctoral study, as well as
increasing the proportion of
research,
development
and
creative activity in the overall
university activity
Key indicators of
university/administrative/other unit ⃰
Current
status
Aim
for
next
year
Number of high level research publications (ETIS
classifications 1.1, 1.2, 2.1 and 3.1.) per academic
employee annually
Number of doctoral theses defended per year
Number of high level research publications interunits (ETIS classifications 1.1, 1.2, 2.1 and 3.1.)
per year
Consolidating study programmes TU students going abroad - by study levels(APPL,
and
offering
competitive BA, MA, PhD)
education based on international General student satisfaction with placement
experience
and
high-level Percentage of foreigners among full-time
practice
academic staff of TU
Percentage of subjects from other institutes in
compulsory subjects
Percentage of foreign degree students
Number of study programmes at the university
(into which students are admitted)
Percentage of courses in English and Russian (in
ECTS credits)
Study programmes in English and Russian
Number of students who participated in
continuing education
Developing a working and
learning environment that
supports self-realization of its
members
General satisfaction of employees with
management and working environment
Satisfaction of students with studies
Number of days per academic employee spent in
training at a foreign university or research
establishment per year
Percentage of students who graduated during the
nominal period of studies - by study levels
(APPL, BA, MA, PhD)
Enriching society through sharing Study books, popular scientific books and articles,
knowledge
(including those in Estonian)
Number of conferences, cultural events and
occasions organized
10
Comment [TLU2]: Akadeemiliste
üksuste variandis oli siht aastaks 2014,
võiks vist ühtlustada?
Compiling a development plan, an action plan and a report
Increasing and diversifying the University income base per one employee
financial resources of the (whole staff)
Three-year average percentage of income in the
university
total budget, derived from research, development
and creative activities
Three-year average of the amount of financing for
research, development and creative activities - per
academic employee
Percentage of income in the total budget from
service agreements concluded with enterprises
and the public sector
Percentage of income/turnover in the total budget
from continuing education
*The unit shall choose the key indicators of the unit in the responsibility fields to which the unit can contribute, in accordance with its
Statute
Objectives and course of action for the university development plan in the field of:
RESEARCH, DEVELOPMENT AND CREATIVE ACTIVITIES (RDC):
•
Action of administrative/other unit
Executor
Deadline
Resources
Relation to university key
indicator or unit´s indicator
Objectives and course of action for the university development plan in the field of:
TEACHING AND LEARNING
•
•
Executor
Deadline Resources Relation to university key
Action of administrative/other unit
indicator or unit´s indicator
Objectives and course of action for the university development plan in the field of:
IDENTITY AND MEMEBRSHIP
•
•
Executor
Deadline Resources Relation to university key
Action of administrative/other unit
indicator or unit´s indicator
11
Compiling a development plan, an action plan and a report
Objectives and course of action for the university development plan in the field of:
SERVICE TO SOCIETY
•
•
Executor
Deadline Resources Relation to university key
Action of administrative/other unit
indicator or unit´s indicator
Objectives and course of action for the university development plan in the field of:
MANAGEMENT
•
•
Executor
Deadline Resources Relation to university key
Action of administrative/other unit
indicator or unit´s indicator
By 1 March, the Heads of administrative and other units present a report that includes:
(a) An overview of the execution of the action plan of the unit;
(b) An overview of the actions of the service in providing the quality of the processes under
its management and in presenting and realizing development proposals;
(c) An analysis and assessment of the implementation of the university regulations
established in the area of responsibility of the service;
(d) An overview of the activity of the service, highlighting the development and identifying
the problems.
Example of the structure of a report of an administrative unit:
University priorities
Developing interdisciplinary and
international
research
and
creativity centres, research teams
and doctoral study, as well as
increasing the proportion of
research,
development
and
creative
industries in
the
university activity
Key indicators of the university/administrative
or other unit*
Number of high level research publications (ETIS
classifications 1.1, 1.2, 2.1 and 3.1.) per academic
employee annually
Number of doctoral theses defended per year
Number of high level research publications
between units (ETIS classes 1.1, 1.2, 2.1 and 3.1.)
per year
Current
situation
Result
Comment [TLU3]: Sellele tärnile ei
järgne kusagil selgitust??
Consolidating study programmes TU students going abroad by study levels
and
offering
competitive General student satisfaction with placement
education based on international Percentage of foreigners among full-time TU
12
Compiling a development plan, an action plan and a report
experience
practice
and
high-level academic staff
Percentage of subjects from other institutes in
compulsory subjects
Percentage of foreign degree students
Number of study programmes at the university
(into which students are admitted)
Percentage of courses in English and Russian (in
ECTS credits)
Study programmes in English and Russian
Number of students who participated in
continuing education
Developing a working and
General satisfaction of employees with
learning environment that
management and working environment
supports self-realization of its
Satisfaction of students with studies
members
Number of days per academic employee spent in
training at a foreign university or research
establishment per year
Percentage of students who graduated during the
nominal period of studies by study levels (APPL,
BA, MA, PhD)
Enriching society through sharing Study books, popular scientific books and articles,
knowledge
including those in Estonian
Number of conferences, cultural events and
occasions organized
Increasing and diversifying the University income base per one employee (whole
financial resources of the staff)
Three-year average percentage of income in the
university
total budget, derived from research, development
and creative activities
Three-year average of the amount of financing for
research, development and creative activities - per
academic employee
Percentage of income in the total budget from
service agreements concluded with enterprises
and the public sector
Percentage of income/turnover in the total budget
from continuing education in the budget
13
Compiling a development plan, an action plan and a report
Objectives and course of action for the university development plan in the field of:
RESEARCH, DEVELOPMENT AND CREATIVE ACTIVITIES (RDC)
•
•
Executor
Deadline Resources Relation to university key
Action from the action plan of the
indicator or unit´s indicator
accounting period
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Objectives and course of action for the university development plan in the field of:
TEACHING AND LEARNING
•
•
Executor
Deadline Resources Relation to university key
Action from the action plan of the
indicator or unit´s indicator
accounting period
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Objectives and course of action for the university development plan in the field of:
IDENTITY AND MEMBERSHIP
•
•
Executor
Deadline Resources Relation to university key
Action from the action plan of the
indicator or unit´s indicator
accounting period
Action plan in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the activity and results:
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
14
Compiling a development plan, an action plan and a report
Objectives and course of action for the development plan of the university in the field of:
SERVICE TO SOCIETY
•
•
Executor
Deadline Resources Relation to university key
Action from the action plan of the
indicator or unit´s indicator
accounting period
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Objectives and course of action for the university development plan in the field of:
MANAGEMENT
•
•
Executor
Deadline Resources Relation to university key
Action from the action plan of the
indicator or unit´s indicator
accounting period
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Action in the action plan of the unit
Result according to the
indicator set out in the action
plan
Overview of completing the action and results:
Review of the actions of an administrative or/other unit in providing the quality of the processes
under their management, in presenting and realizing development proposals, including analysis and
assessment of the execution of the university regulations established in the field of responsibility of
the unit
Strengths and development needs of the unit´s activity
15