University Research Centres and Institutes - Policy 000818

Date of Commencement: Wednesday, 2nd May 2007

1. INTRODUCTION

The establishment of Priority Research Centres, Research Institutes and University Centres reflects the intent of the University’s Strategic Plan (Building Distinction 2007 – 2011). It is a key element in the University’s research strategy. That strategy seeks to maximise the University’s competitive research strengths by focusing on areas of existing and potential research strength, and promoting cross-Faculty and cross-disciplinary research activity of national and international significance.

Research centres and institutes are a critical part of the University’s research activity in terms of strengthening research capability, attracting external funding and improving the quality and quantity of research output. Moreover, they are instrumental in enhancing the career development and research opportunities of individual staff and in attracting high quality research higher degree students to the University. Research centres and institutes have a highly significant role to play in the University’s research agenda.

This policy must be read in conjunction with the Priority Research Centres Guidelines, the Research Institutes Guidelines and the University Centres Guidelines which offer essential detail on the procedures for developing, conducting and working within a research centre or institute.

2. POLICY INTENT

This policy provides the principles which will underpin the establishment and conduct of the University’s research centres and institutes. The overriding intention is to improve the University’s research performance by encouraging the development of groupings of researchers and research higher degree students carrying out research on a set of related themes.

3. SCOPE

This policy applies to the development of all research centres including Priority Research Centres, Research Institutes and University Centres, from the time of approval of the policy.

3.1 Transitional Arrangements

Directors of University research centres and institutes existing at the date of implementation of this policy may apply to the Deputy Vice-Chancellor (Research) for approval for their continued operation.

3.2 Schedule of Existing Research Centres and Institutes

A list of existing research centres and institutes is set out in Schedule 1.

4. DEFINITIONS

In the context of this policy:

research means “creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of peoples, culture and society, and the use of this stock of knowledge to devise new applications” (OECD);

Priority Research Centre means a research grouping that accommodates a major research activity relevant to the University’s purpose, vision and goals; of significance to the community; and meriting repute beyond the University. A Priority Research Centre has the potential to be a contributor in its field of expertise at the national and international level and to provide industry and the community with a reference point in the appropriate field(s) of study;

Research Institute means a research grouping that accommodates a primarily cross-disciplinary area of excellence in research and development;

University Centre means an established or emerging group of researchersundertaking activities within a common theme and with focused goals; and

research centres and institutes means all of the University’s Priority Research Centres, Research Institutes and University Centres.

5. POLICY PROVISIONS

5.1 Research Centres and Institutes

i. The University will establish Priority Research Centres, Research Institutes and University Centres.

ii. Priority Research Centres will draw together researchers and research groups with a common and mutually agreed purpose, with national and international linkages, and the capacity to undertake research at a high national or international standard. They will provide a focus for substantial research activity across a specific field(s) of study.

iii. University Research Institutes will facilitate, extend and enable the promotion and conduct of research, development and related activities in cross-disciplinary fields of study.

iv. University Centres will enhance the University’s research performance within a common theme in key strategic areas. The University will actively encourage University Centres to develop and expand their activities.

5.2 Functions of Research Centres and Institutes

i. The University’s research centres and institutes will undertake core research activities, promote collaboration, support the development of a quality research training environment and attract external research funding.

ii. Research centres and institutes will in particular, recognise and acknowledge the importance and value of participating in collaborative activities, where possible seeking: cross-Faculty relationships, cross-disciplinary research and strong links with other institutions.

iii. The specific aims and functions of Priority Research Centres, Research Institutes and University Centres are detailed in: Priority Research Centres Guidelines; Research Institutes Guidelines, and University Centres Guidelines.

5.3 Establishment of Research Centres and Institutes

i. Priority Research Centres will be established by the Deputy Vice-Chancellor (Research) on the recommendation of the Research Committee on the basis of research quality and impact consistent with institutional and national benchmarks.

ii. An identified group with external centre-specific or other substantial funding may be declared a Priority Research Centre by the Deputy Vice-Chancellor (Research).

iii. The Deputy Vice-Chancellor (Research) has the authority to approve the establishment of a Research Institute on the recommendation of the relevant Faculty Pro Vice-Chancellor(s).

iv. Research groupings that are not designated Priority Research Centres or Research Institutes may apply to the Deputy Vice-Chancellor (Research) to become University Centres. The Deputy Vice-Chancellor (Research), on the recommendation of the Faculty Pro Vice-Chancellor, may authorise the establishment of a University Centre.

v. The establishment of a Priority Research Centre, Research Institute or University Centre will be reported to Academic Senate by the Deputy Vice-Chancellor (Research).

5.4 Reserved Name

i. The term ‘Priority Research Centre’ will only be used by those centres specifically approved by the Deputy Vice-Chancellor (Research) as Priority Research Centres in accordance with this policy.

ii. The term ‘Research Institute’ will only be used by those groups specifically approved by the Deputy Vice-Chancellor (Research) as Research Institutes in accordance with this policy.

iii. University Centres will be identified as such; they will not be permitted to use the phrase ‘Research Centre’ or the word ‘priority’ in their title.

iv. The name of a Priority Research Centre, Research Institute or University Centre must be approved by the Deputy Vice-Chancellor (Research).

5.5 Logo

i. A Priority Research Centre or Research Institute may develop a logo.

ii. The logo will need to be approved by the Deputy Vice-Chancellor (Research) in consultation with the Director Marketing and Public Relations; it must be consistent with the University’s branding and marketing strategy.

5.6 Websites

i. A Priority Research Centre and a Research Institute must develop and maintain a web page on the University’s website.

ii. A University Centre may develop a web page.

iii. Appropriate content for web pages is indicated in the associated Guidelines.

iv. Websites must have the approval of the Deputy Vice-Chancellor (Research) in consultation with the Director, Corporate Information. The websites must be consistent with the University’s branding and marketing strategy.

5.7 Structure of Research Centres and Institutes

5.7.1 Directors

i. A Director for each Priority Research Centre, Research Institute or University Centre will be appointed by the Deputy Vice-Chancellor (Research) after consultation with the relevant Faculty Pro Vice-Chancellor(s).

ii. Up to two Co-Directors may be appointed in the case of a Priority Research Centre.

iii. Details of the responsibilities of Directors and the duration of their appointment are provided in the relevant Guidelines.

5.7.2 Membership

5.7.2.1 Priority Research Centres

i. A Priority Research Centre may include: Principal Researchers; Associate Members and Special Members.

ii. A Priority Research Centre must, at the time of establishment and annually thereafter, be able to demonstrate a level of critical mass (provided by the number of Principal Researchers) to justify continued support and status as a Priority Research Centre.

iii. Special Membership in a Priority Research Centre may be conferred by the Deputy Vice-Chancellor (Research) on a person, corporation, or unincorporated organisation deemed able to make a special contribution to the Priority Research Centre.

iv. Staff may be a member of more than one Priority Research Centre in the role of Principal Researcher but only with the approval of the Directors of each Priority Research Centre and on the grounds that this is considered to be a productive arrangement.

5.7.2.2 Research Institutes and University Centres

i. Research Institutes and University Centres are responsible for maintaining their own membership records and reporting these in their annual reports.

5.8 Management

5.8.1 Priority Research Centres and Research Institutes

i. Each Priority Research Centre and Research Institute must establish - in consultation with the Deputy Vice-Chancellor (Research) and the relevant Pro Vice-Chancellor(s) - an Advisory Board comprising representatives of relevant academic and professional areas and associated organisations.

ii. The University vests the management of each Priority Research Centre and Research Institute in the Director in consultation with the Board.

iii. The Board will be an advisory body to the Director and to the relevant Faculty Pro Vice-Chancellor(s).

5.8.2 University Centres

i. University Centres will be managed by the Director. The Director will regularly advise the relevant Faculty Pro Vice-Chancellor of the activities of the University Centre.

5.9 Funding and Institutional Support

5.9.1 Priority Research Centres

i. A Priority Research Centre will be funded by the University, initially for a period of five years. (Details of available funds are provided in the Priority Research Centres Guidelines.)

ii. Funding and ongoing institutional support for a Priority Research Centre will be subject to the completion of satisfactory annual reports and strategic plans (Refer to 5.14 and 5.15).

5.9.2 Research Institutes

i. The University may provide financial support to a Research Institute at the discretion of the Deputy Vice-Chancellor (Research) and in consultation with the relevant Faculty Pro Vice-Chancellor(s).

ii. Institutional support is not guaranteed beyond the first five years of funding of a Research Institute nor during any period of agreed extension.

iii. Funding and ongoing institutional support will be subject to the completion of satisfactory Annual Reports and Strategic Plans. (Refer 5.14 and 5.15)

5.9.3 University Centres

i. University Centres will be predominantly funded from pooled resources from the relevant Faculties and Schools supporting the Centre.

5.10 Financial Management

i. The financial management of a Priority Research Centre and a Research Institute will be the responsibility of the Director in consultation with the Advisory Board. Management of finances will occur through the lead Faculty.

ii. The financial management of a University Centre will be the responsibility of the Director.

5.11 Legal Status

i. Research centres and institutes are not independent legal entities. Any research agreements with external bodies must be approved and executed on behalf of the University by the Deputy Vice-Chancellor (Research) or those persons with delegated authority.

5.12 Relationships with Faculties and Schools

i. All research centres and institutes must demonstrate close links to appropriate Faculties and Schools of the University in relation to such matters as teaching responsibilities and the management of research higher degree students. Details are provided in the Priority Research Centres Guidelines, the Research Institutes Guidelines and the University Centres Guidelines.

5.13 Research Training

i. All research centres and institutes will provide a supportive research culture for research higher degree students. All research centres and institutes will have a major role in providing support and supervision of research students at masters and doctoral levels.

ii. Honours students (and fourth year undergraduate students in embedded honours programs) should be encouraged to participate in the activities of the research centre or institute as appropriate.

5.14 Strategic Planning

i. Priority Research Centres and Research Institutes are required within six months of establishment to submit to the Research Committee a clear and concise strategic plan.

ii. Strategic plans will be reviewed annually by the Research Committee and will be considered by the Deputy Vice-Chancellor (Research) in determining whether the Priority Research Centre or Research Institute receives ongoing funding.

5.15 Reporting and Review

i. Research centres and institutes are subject to reporting and review.

5.15.1 Annual Report

i. All research centres and institutes are required to submit to the Research Committee an annual report on research and related activities.

ii. Priority Research Centre funding in Years 2 to 5 inclusive will only be distributed following receipt of the annual report for the preceding year and on an assessment of satisfactory progress by the Deputy Vice-Chancellor (Research) on the advice of the Research Committee.

5.15.2 Third Year Review

i. The performance of Priority Research Centres and Research Institutes during their first three years will be reviewed in October of the third year of operation.

ii. Subsequent funding will be dependent on the satisfactory outcomes of this review.

iii. Where Priority Research Centres are in receipt of external centre-specific or other significant funding which requires major external reviews and reporting requirements, such reviews and reporting requirements may, with the agreement of the Deputy Vice-Chancellor (Research), replace the requirements within this policy.

5.15.3 Final Report

i. A final report will be required at the completion of the five year term of a Priority Research Centre and at the completion of the term of a Research Institute.

ii. The final report should include future plans for the centre or institute.

5.16 Extensions and Disestablishment of Research Centres and Institutes

5.16.1 Extension

i. The term of a Priority Research Centre, Research Institute or University Centre may be extended by the Deputy Vice-Chancellor (Research) upon application from the Director with support from the relevant Faculty Pro Vice-Chancellor(s).

ii. The term of such an extension will be determined by the Deputy Vice-Chancellor (Research).

iii. Institutional support for a Priority Research Centre or Research Institute is not guaranteed during any period of agreed extension and is subject to the review and reporting process.

iv. During any period of extension the terms of this policy other than those pertaining to financial support shall apply.

5.16.2 Disestablishment

i. A Priority Research Centre, Research Institute or University Centre may be disestablished by the Deputy Vice Chancellor (Research) at any time. Before taking such action the Deputy Vice Chancellor (Research) will confer with the Director and seek advice of the relevant Faculty Pro Vice-Chancellor(s).

5.17 University Policies and Procedures

i. All research centres and institutes will operate in accordance with the policies and procedures of the University of Newcastle.

6. ESSENTIAL SUPPORTING DOCUMENTS

Research Centres and Institutes Schedule 000819

Priority Research Centres Guidelines 000820

Research Institutes Guidelines 000821

University Centres Guidelines 000822

7. RELATED DOCUMENTS

Approval Authority: Academic Senate

Date Approved: Wednesday, 2nd May 2007

Date For Review: Sunday, 2nd May 2010

Policy Contact Position: Deputy Vice-Chancellor (Research)

Amendment History: