1. Purpose

1.1 These procedures provide guidance to staff on the establishment, operation and disestablishment of UniSC Research Centres (Centres) and UniSC Research Institutes (Institutes).

1.2 These procedures must be read in conjunction with the linked UniSC Research Centres and Research Institutes - Academic Policy.

2. Scope and application

2.1 These procedures apply to all staff, higher degree by research (HDR) candidates and members of university decision-making or advisory bodies.

2.2 These procedures apply only to Centres and Institutes that have been established under the UniSC Research Centres and Research Institutes - Academic Policy.

2.3 These procedures do not extend to School-based research centres, units or clusters that may be established to foster emerging research strengths and to meet strategic goals of a School or Schools. Such units or cluster s must be approved, funded and managed by the relevant Dean of School and must not use the terms centre or institute in their name unless prescribed by an alternative authority such as an external funding body, or as a consequence of a strategic initiative of the University and approved by the Vice-Chancellor and President.

3. Definitions

3.1 Refer to the University’s Glossary of Terms for definitions as they specifically relate to policy documents.

UniSC Research Centre is an established and focused cohort of researchers recognised as having a significant national and international impact . University Research Centres have a prime focus to conduct research of strategic importance to the University in terms of national/international standing and peer esteem, commercial research and research training, as well as engage in consulting and extension activities.

UniSC Research Institute is a large research concentration of excellence established through formal agreement(s) with other external organisations or entities, and may have additional governance requirements and operational characteristics associated with the external partners. This large body of researchers is funded predominantly by significant external funding.

4. Baseline research performance criteria

4.1 The University expects Centres and Institutes to demonstrate an ability to meet the baseline research performance criteria (in both size and research capacity) together with an ability to develop a comprehensive, cogent and demonstrably an achievable long-term research plan. Refer to Associated Document 005: Research Concentrations – Baseline research performance criteria (login required) for further guidance.

4.2 The criteria are subject to change at the discretion of the Deputy Vice-Chancellor (Research and Innovation) in response to changes in the strategic direction of the institution and available funding and can involve renegotiation of forward plans for existing Centres and Institutes, as per the usual review cycle and operational planning.

4.3 Demonstrated ability to meet the baseline criteria is a necessary, but not sufficient condition for designation as a Centre or Institute. Alignment with the University’s research priorities and strengths must also be demonstrated in one or more of the following ways:

(a) the majority of the group’s publications need to be of high quality;

(b) the group’s research focus is aligned with a FoR in which the University achieved a rating of 3 in the 2018 ERA evaluation, but significant improvements in performance (especially in relation to publication numbers and citation counts) can be demonstrated since that ERA census period;

(c) the group’s research focus is aligned to a research priority in the University’s strategic plan, academic plan or any other equivalent university-level strategic document;

(d) the group’s research can make a demonstrable and significant contribution to the University’s aspirations in relation to international rankings; and

(e) the Vice-Chancellor and President or the Deputy Vice-Chancellor (Research and Innovation) has identified the discipline as a current priority for further development.

4.4 The Deputy Vice-Chancellor (Research and Innovation) can exempt an existing or potential Centre or Institute from the need to meet any of these baseline performance criteria in exceptional circumstances (for example but not limited to where disciplinary norms differ from the approach or values listed).

4.5 Collective performance for ongoing assessment of established Centres and Institutes are measured against key performance indicators as approved and published on MyUniSC, as well as satisfactory progression against the approved plan, for each Centre or Institute.

4.6 Directors of existing Centres and Institutes can negotiate with the Deputy Vice-Chancellor (Research and Innovation) a transition period for any change in status.

4.7 In all cases the Deputy Vice-Chancellor (Research and Innovation) can use discretion regarding the performance eligibility of a Centre or Institute where this provides strategic benefits for the University.

5. Application for designation as a UniSC Research Centre or UniSC Research Institute

5.1 Expressions of interest should be submitted to the Deputy Vice-Chancellor (Research and Innovation).

5.2 Groups applying for designation and funding are expected to submit a comprehensive research plan for the first 3-year life cycle of the Centre or Institute, as well as a detailed operational plan for the first year of operation, giving greater detail on activities and expected budget allocations.

5.3 Applications are assessed by a panel of experts in the cognate discipline of the Centre/Institute, to provide advice to the the Deputy Vice-Chancellor (Research and Innovation) on the quality and competitiveness of the application. . The panel can also include the Director, Office of Research along with co-opted members where it is felt that additional expertise is required.

6. Administration

6.1 Each Centre or Institute has one Director (or two Co-Directors) who reports to the Deputy Vice-Chancellor (Research and Innovation).

6.2 Centre and Institute staff with salaries funded via research grants will report to the relevant Centre Director. Other Centre or Institute staff funded by University operational funding report to a relevant Dean of School.

6.3 Centre or Institute HDR students are enrolled in and receive administrative support through a relevant School.

7. Research leadership team

7.1 Centre or Institute Directors are supported by a leadership team identified in the application and updated regularly . The role of the research leadership team is to assist the Director in:

(a) managing the Centre or Institute’s day-to-day functioning and administration;

(b) facilitating coordination between areas involved in the Centre or Institute’s activities;

(c) administering available funds; and

(d) preparing the annual report and documents required for reviews.

8. Advisory group

8.1 Centres or Institutes must establish an advisory group with external representation and an independent chairperson to support the research leadership team.

8.2 As part of the annual operational planning process, a Centre or Institute receives its first year’s funding in advance from the Deputy Vice-Chancellor (Research and Innovation).

8.3 The Deputy Vice Chancellor (Research and Innovation) approves ongoing payments upon review of satisfactory annual reports that demonstrate achievement against agreed performance criteria.

8.4 The quantum of funding received in each year depends on relative research performance and overall available budget, and Centre or Institute Directors is advised in a timely manner to allow for planning for the year ahead.

9. UniSC Research Centre and UniSC Research Institute membership

9.1 Core members

9.1.1 Core members will normally:

(a) be staff holding continuing or fixed-term appointments, who can commit a minimum of 20 percent of their time available for allocation to Centre or Institute related research; and

(b) exceed the definition of research active as stated in the Research Centres and Research Institutes Guidelines.

9.1.2 Core members may only maintain core membership in one Centre or Institute; however, they may be associate members of more than one Centre or Institute.

9.2 Associate members

9.2.1 Associate membership includes HDR candidates and adjunct appointments, as well as members of academic staff who do not meet the core membership requirements.

9.2.2 Associate members can be members of more than one Centre or Institute.

9.2.3 HDR candidates will automatically be allocated associate membership of the Centre or Institute in which their principal supervisor is a core member.

10. Reviews and reporting

10.1 Formalised review cycles for Centres and Institutes provide the opportunity to consider the return on the University’s investment, which is broader than just financial considerations and can include publications, reputation and relationship building, contributions to international ranking, and research impact. Reviews are undertaken in line with the University’s Quality Framework, following a transparent and consultative process similar to formal reviews of schools and organisational units.

10.2 The third yearly review determines whether the centre or institute should be funded for a further 3-year cycle.

10.3 The Office of Research provides timelines for the annual review cycle and templates for reporting requirements. Failure to adequately address review and reporting requirements can result in an unsatisfactory review finding.

11. Third and final year reviews

11.1 In the latter half of the third year of funding, after the resignation of a Centre or Institute Director, or at the discretion of the Deputy Vice-Chancellor (Research and Innovation), each Centre and Institute is reviewed to determine if they receive further support.

11.2 A final review is conducted in the latter half of the final year of the Centre or Institute base funding agreement.

11.3 The third yearly report should be accompanied by a new research plan setting out the goals, performance targets, activities and broad budgetary needs for the next 3-year cycle.

11.4 The purpose of these reviews is to determine whether each Centre or Institute:

(a) is effectively and efficiently pursuing the original functions and targets, and that those functions and targets continue to be relevant;

(b) has demonstrated a case for its continuation;

(c) has achieved the planned targets for the period of review;

(d) has strategic and operational planning in place for the ensuing period, including succession planning;

(e) continues to have strategic relevance;

(f) has academic and financial support that remains sufficiently strong to justify its continuation; and

(g) has a case for a change in status, including strategies for achieving financial independence and any revised performance indicators and performance targets (progression is not mandatory).

11.5 Preparation of the review documentation is the responsibility of the Director and research leadership team in consultation with members.

12. Disestablishment

12.1 Voluntary disestablishment can occur at any time. The Centre or Institute Director should discuss the reasons for disestablishment with the Deputy Vice-Chancellor (Research and Innovation), including any potential alternatives.

12.2 The Deputy Vice-Chancellor (Research and Innovation) can approve the disestablishment a Centre or Institute following a review.

12.3 A review panel can recommend the disestablishment of a Centre or Institute for reasons such as:

(a) its strategic purpose has been fulfilled, or it no longer aligns to the strategic goals of the University;

(b) it has experienced a significant change in direction;

(c) it has failed to achieve a significant proportion of its key performance indicators and targets, and insufficient evidence of strategies to lift the performance to a satisfactory level has been provided;

(d) there is a lack of an agreement between the University and the Centre or Institute regarding staffing, financial or resource arrangements for the ensuing 3 years; or

(e) it has failed to meet any requirements under the terms of this procedure and linked policy as requested by the Deputy Vice-Chancellor (Research and Innovation).

12.4 Disestablishment can occur following either 2 successive unsatisfactory annual reviews, or an unsatisfactory 3-year review, when the Deputy Vice-Chancellor (Research and Innovation) has determined that there is little likelihood of resolution of the identified problems.

12.5 All Centres or Institutes are required to articulate arrangements for disestablishment in their initial business plans. These arrangements must address governance, management, research project completion, student completion, financial management and budget provisions.

12.6 After a formal decision to disestablish, the Deputy Vice-Chancellor (Research and Innovation) works with the Centre or Institute Director to manage residual staff, assets or commitments within the associated academic areas. A similar approach can be employed to manage an amalgamation of 2 Centres or Institutes.

13. Authorities and responsibilities

13.1 As the Approval Authority, Deputy Vice-Chancellor (Research and Innovation) approves these procedures to operationalise the UniSC Research Centres and Research Institutes – Procedures.

13.2 As the Responsible Executive Member the Deputy Vice-Chancellor (Research and Innovation) can approve guidelines to further support the operationalisation of these procedures. All procedures and guidelines must be compatible with the provisions of the policy.

13.3 As the Designated Officer the Director, Office of Research can approve associated documents to support the application of these procedures.

13.4 This policy operates from the last amended date, with all previous procedures related to the UniSC Research Centres and Institutes are replaced and having no further operation from this date.

13.5 All records relating to the UniSC Research Centres and Institutes must be stored and managed in accordance with the Records Management - Procedures.

13.6 This policy must be maintained in accordance with the University Policy Documents - Procedures and reviewed on shortened 2-year policy review cycle.

13.7 Any exception to this policy to enable a more appropriate result must be approved in accordance with the University Policy Documents - Procedures prior to deviation from the policy.

13.8 Refer to Schedule C of the Delegations Manual in relation to the approved delegations detailed within these procedures.

14. Appendices and supporting documents

Associated Document 005: Research Concentrations – Baseline research performance criteria (login required)

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