Strategic Planning
1.
Executive Summary
1.1
UCL’s Corporate Plan is one of UCL’s key planning documents, with the latest Plan
looking ahead over the period to the end of 2012. The Academic section in the Plan
has been built up from priorities put forward in Faculty and Other Plans and
considered and agreed by the Provost’s Senior Management Team in the context of
other supporting strategies such as the Estates Strategy and the Financial Strategy.
The Deans and others, as outlined in Section 3 of this paper, have a key role in the
setting of the academic priorities for inclusion in the Corporate Plan - working closely
with Heads of Departments and others.
1.2
From 2004-05 UCL’s Strategic Planning has taken the following form:
1.
Departmental Strategic Plans should continue to be produced, but in a format
and to a timescale to be agreed with the Dean of the Faculty. (In the case of
the Faculty of Biomedical Sciences and the Faculty of Life Sciences, there will
be Divisional Plans produced by the Heads of Divisions.) The Plans will not
normally be presented to the Provost and the Senior Management Team,
although the Dean may refer individual items as necessary.
2.
Those responsible for the overview of inter-disciplinary Centres or Institutes
(Deans or Academic Vice-Provosts) should agree with the Directors of those
Centres or Institutes on the format and timescale of any Strategic Plans to be
provided by those Centres/Institutes. The Plans will not normally be
presented to the Provost and the Senior Management Team, although the
Dean or Academic Vice-Provost may refer individual items as necessary.
3.
The Deans of the Faculties will produce Faculty Strategic Plans based on
input from Heads of Departments or Divisions and others in the Faculty,
drawing on available Departmental/Divisional Strategic Plans, the Plans of
inter-disciplinary Centres or Institutes or other planning documentation. The
Director of SSEES will similarly produce a School Strategic Plan.
4.
The Plans at (3) above (ie from the eight Faculties and SSEES) will be
considered by the Provost and the Senior Management Team and relevant
Officers for decisions on the priorities to be included in UCL’s Corporate Plan
– to be submitted to Academic Board, Finance Committee and Council.
5.
Faculties/Departments/Divisions/Others will need to review and adjust their
Plans in the light of the priorities set in UCL’s Corporate Plan.
The planning period covered should be five years, although it is recognised that the
detail expected at this stage will be less precise for the latter years of the planning
period.
1.3
The Plans – Departmental/Divisional, Faculty and Other – should be drafted on the
basis that they may form part of the briefing for a possible future review by external
advisers appointed by UCL to assist in advising on the position of the area in terms of
international standards – both in research and in teaching. For research, a realistic
assessment of the position in relation to the RAE 2008 should be given in the Plan,
as well as an indication of the current/planned contribution to UCL’s Grand
1
Challenges. For teaching, the assessment in the Plan should be in terms of the
excellence and cost-effectiveness of the teaching provided at all levels.
2.
Departmental Strategic Plans
2.1
Departmental Strategic Plans (DSPs) - this terminology to include Plans for Divisions
or for inter-disciplinary Centres or Institutes - should be produced by the following:
Heads of Departments; Heads of Divisions in the Faculty of Biomedical Sciences and
the Faculty of Life Sciences; Directors of inter-disciplinary Centres which report to a
Dean of a Faculty or to an Academic Vice-Provost.
2.2
It will be a matter for individual Deans of Faculties to agree with their respective
Heads of Departments, Heads of Divisions or Directors the role of DSPs in the
Faculty strategic planning cycle. In some cases DSPs may emanate from the
Faculty Strategic Plan which has been drawn up through cross-Faculty consultation;
in other cases the Faculty Strategic Plan may be based on individual DSPs or other
Departmental documentation. The planning of inter-disciplinary Centres or Institutes
must feed into, and be an integral part of, UCL’s main reporting units eg the relevant
Faculty/ies.
2.3
The DSP should be in a format (including length) agreed by the Head of Department/
Division/Centre with the Dean of the Faculty1. A list of the areas which it is
suggested should be covered in the Plan is set out at Appendix 1, with a list of
statistical data which it is suggested should support the Plan.
2.4
The timetable for the production of DSPs will be agreed between the Dean of the
Faculty1 and individual Heads of Departments/Chairs of Divisions/Directors of
Centres. The timing should take into account other major demands on time eg
external reviews or the UCL Internal Quality Reviews http://www.ucl.ac.uk/silva/academic-manual/part-l/l5 sets out the current IQA
timetable. It is however expected that DSPs should be produced at least every five
years. The preparation of the DSP should involve widespread consultation within the
Department/Division/Centre and assistance from an external adviser. In the case of
the Divisions in the Faculty of Biomedical Sciences, the DSPs should be worked up
with the associated Hospitals/Trusts. The DSP should be submitted to the Dean of
the Faculty1 who, after an initial discussion with the Head of Department/Chair of
Division/Director of Centre, will discuss the Plan at a Departmental/Divisional/Centre
staff meeting.
2.5
Any ad hoc resourcing issues of a significant nature which need to be urgently
considered outside of consideration of the Faculty Strategic Plan will be referred
separately by the Dean (or Academic Vice-Provost) to the Provost and the SMT.
3.
Strategic Plans for Faculties and Others
1
(or an Academic Vice-Provost liaising with the appropriate Dean(s) of Faculty, in the case of an
inter-disciplinary Centre/Institute reporting to the Vice-Provost)
2
3.1
The Dean of the Faculty will produce a Faculty Strategic Plan based on input from
Heads of Departments in the Faculty, drawing on available Departmental or
Divisional Strategic Plans, the Plans of inter-disciplinary Centres or Institutes or other
planning documentation under arrangements to be agreed within individual Faculties.
The Dean will discuss and agree the Faculty Strategic Plan with the Heads of
Departments (Heads of Divisions in the Faculty of Biomedical Sciences and the
Faculty of Life Sciences) and others (eg Directors of inter-disciplinary Centres
reporting to the Dean or an Academic Vice-Provost), before submission of the Plan to
the Provost and the Senior Management Team.
3.2
The Director of SSEES will produce a School Strategic Plan, which after discussion
with the Deans of the relevant Faculties will be agreed with the Vice-Provost
(Academic and International) before submission of the Plan to the Provost and the
SMT.
3.3
In the Faculty of Biomedical Sciences, the Faculty Strategic Plan should be worked
up with the associated Hospitals/Trusts.
3.4
The Strategic Plans referred to in 3.1 – 3.2 above should highlight the following:
(i)
Summary of the main activities of the Faculty/Institute in
teaching
research (by theme)
knowledge transfer
international activities.
(ii)
Planned changes in the main activities in
teaching
research
knowledge transfer
international activities
with a full statement on the reasons for the planned changes, an indication of
source of new funding, where relevant, and the timescale for the planned
changes. Given the constraints on accommodation and funding, it is
expected that planned changes will on the whole be as a result of a critical
review of existing activities in the light of forthcoming retirements etc.
(iii)
The teaching section to include
the Faculty’s ideal student number breakdown within any overall UCL
guidelines:
Home/EU: UG, PG(T), PG(R); Overseas: UG, PG(T), PG(R)
aspirational target (and timescale) for A-level entry requirements
opportunities for rationalisation of teaching commitments and
programmes across the Faculty and/or with other Faculties
opportunities and/or plans for inter-disciplinary teaching developments
the viability of existing undergraduate and Masters courses
opportunities for introducing new Masters programmes
plans for creating or developing inter-institutional joint teaching or
supervision programmes
plans for internationalising the curricula
any significant equalities issues in the Faculty student profile (race,
sex, disability etc).
(iv)
The research section to include
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the Faculty’s current and/or planned major research themes, including
inter-disciplinary research themes
details of main inter-institutional and/or international collaborations existing and planned
an indication of the current/planned contribution to UCL’s Grand
Challenges.
(v)
Any major staffing issues relating to
recruitment, retention or turnover
future retirement planning
succession planning for key positions
equalities profile (race, sex, disability etc)
staff training and development.
(vi)
Any major accommodation issues eg changes in the amount of space
required and/or type of facilities available, with an indication of timescale
where relevant.
(vii)
Financial – how the Faculty/Institute will improve its Resource Allocation
Model position.
(viii)
Risk Assessment – identification of any major risks likely to prevent the
Faculty from achieving its objectives, particularly those relating to UCL’s
major strategic objectives, as set out in the current UCL Corporate Plan
(2006-12).
The Plans – Departmental/Divisional, Faculty and Other – should be drafted on the
basis that they may form part of the briefing for a possible future review by external
advisers appointed by UCL to assist in advising on the position of the area in terms of
international standards – both in research and in teaching. For research, a realistic
assessment of the position in relation to the RAE 2008 should be given in the Plan,
as well as an indication of the current/planned contribution to UCL’s Grand
Challenges. For teaching, the assessment in the Plan should be in terms of the
excellence and cost-effectiveness of the teaching provided at all levels. A Guide on
mainstreaming equalities issues is attached at Appendix 2 and should be used in the
drafting of the Plan.
It is suggested that the Plans should not exceed 12 sides in length or 20 for multiDepartmental Faculties.
Marilyn Gallyer
Vice-Provost
February 2008
4
Appendix 1
Departmental Strategic Plans
Content
It is suggested that the Plan should highlight, at least, the following:
1.
Summary of the main activities of the Department (or Division) in
teaching
research (by theme)
knowledge transfer
international activities.
2.
Planned changes in the main activities in
teaching
research
knowledge transfer
international activities
with a full statement on the reasons for the planned changes, an indication of
source of new funding, where relevant, and timescale for the planned
changes. Given the constraints on accommodation and funding, it is
expected that planned changes will on the whole be as a result of a critical
review of existing activities in the light of forthcoming retirements etc.
3.
The teaching section to include
the Department’s ideal student number breakdown within any
overall UCL guidelines:
Home/EU: UG, PG(T), PG(R); Overseas: UG, PG(T), PG(R)
aspirational target and timescale for A-level entry requirements
opportunities for rationalisation of teaching commitments and
programmes across the Faculty and/or with Departments in
other Faculties
opportunities and/or plans for inter-departmental and/or interdisciplinary teaching developments
the viability of existing undergraduate and Masters courses
opportunities for introducing new Masters programmes
plans for creating or developing inter-institutional joint teaching
or supervision programmes
plans for internationalising the curricula
any significant equalities issues in the Departmental student
profile (race, sex, disability etc).
4.
The research section to include
the Department’s current and/or planned major research
themes, including inter-disciplinary research themes
details of main inter-institutional and/or international
collaborations – existing and planned
an indication of the current/planned contribution to UCL’s
Grand Challenges.
5.
Any staffing issues in
recruitment, retention or turnover
retirements in the next five years
succession planning for key positions
any significant equalities issues in the Departmental staff
profile (race, sex, disability etc)
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sabbatical leave
training and development, including (where relevant) support
for local IT infrastructure.
6.
Any accommodation issues eg changes in the amount of space required
and/or type of facilities available, with an indication of timescale.
7.
Financial position – how the Department/Division will improve its Resource
Allocation Model position.
8.
The Plan should be drafted on the basis that it may form part of the briefing
for a possible future review by external advisers appointed by UCL to assist in
advising on the position of the area in terms of international standards – both
in research and in teaching. For research, a realistic assessment of the
position in relation to the RAE 2008 should be given in the Plan, as well as an
indication of the current/planned contribution to UCL’s Grand Challenges. For
teaching, the assessment in the Plan should be in terms of the excellence
and cost-effectiveness of the teaching provided at all levels. A Guide on
mainstreaming equalities issues is attached at Appendix 2 and should be
used in the drafting of the Plan.
Supporting Statistical Data
It is suggested that the Plan should be supported by some statistical data eg
1.
Trends in student data
Student numbers: Home and Overseas
Numbers of applicants per undergraduate place
Entry grades per UG course
Staff : student ratio
Equalities profile (Race/sex/disability).
2.
Staffing
-
Number of HEFCE/General-funded staff – by grade (with an
indication of any retirements within the next five years)
Number of externally-funded staff
Staff turnover
Race/sex/age/disability profiles by grade.
3.
Summary of external research funding by type of research sponsor.
4.
Space data
-
5.
Amount of space occupied (in square metres)
Staff and student FTEs per square metre
Income per square metre.
Extract from the latest Financial Resource Allocation Model statement.
The above supporting information can be obtained as follows: student information
from Gary Smith in the Registry (int ext 32044) other than historic data on
applications (Bella Malins in the Registry on int ext 33087); HR information from
Niyi Akinmutande in the Human Resources Division (int ext 41967); financial, space
and staff establishment information from Valerie Hogg in the Finance Division (int ext
41654); external research funding information from Mike Griffiths in the Finance
Division (int ext 41748). Advice on estimating future student numbers can be
obtained from Bella Malins in the Registry (int ext 33087).
February 2008
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Appendix 2
Mainstreaming Equalities Issues at UCL
UCL’s Race Equality Review Group Employment Issues (RERGEI)2 has conducted a
survey of all UCL’s corporate and strategic documents. The main outcome of the
exercise is an awareness of the potential of such documents for ensuring that race
and other equality issues are seen as strategically important at UCL. The survey
showed that this potential is often not realised.
The list below is a guide for those drafting and revising corporate and strategic
documents.
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Is UCL’s commitment to all equalities issues reflected in the strategy?
Is there any imbalance or under-representation of any particular staff or
student groups in the area covered by the strategy?
How will the strategy address this and encourage progress towards achieving
a more diverse workforce and student body? eg What quantitative and
qualitative data is available to assist with identifying key equality issues?
(staff and student profiles, internal feedback mechanisms, comparing data
with UCL as whole, similar disciplines in other HEIs, previous year’s data)
What is the likely effect of the strategy on different groups - could any group
be excluded or disadvantaged, or potentially disadvantaged as result?
How does the Strategy document help to promote diversity and inclusivity
and/or deal with any current inequalities?
Should performance indicators/objectives be set?
What departmental/faculty committee, management group, and/or senior staff
member is charged with taking the lead and overseeing equality issues and
monitoring and measuring progress?
Authors of strategic and policy documents have a responsibility to reflect UCL’s
commitment to promoting equality of opportunity in such documents. UCL’s Equal
Opportunity Coordinator is available to advise as necessary.
September 2005
2
As part of its compliance under the Race Relations (Amendment) Act 2000, in May 2003,
UCL set up two Race Equality Review Groups (RERGs); one to examine the impact of
employment and corporate policies, the second to consider teaching and learning and other
student related issues and services.
1