Strategic Planning s1

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

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. 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) 1 1

2 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 - 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

3 - 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 multi- Departmental 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 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 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)

1 - 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 - Amount of space occupied (in square metres) - Staff and student FTEs per square metre - Income per square metre.

5. 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

2 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.

 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.