Institutes and Centres Procedure

Intent

This procedure enables the implementation of the Institutes and Centres Policy by outlining processes for the development of research and research performance through research and scholarship units. It sets out the methods for the establishment, governance, renewal and disestablishment of the University’s Institutes and Centres.

This procedure addresses HESF Standards 4.1 Research, and 4.2 Research Training.

Scope

This procedure applies to all Institutes and Centres that undertake research, scholarship or consultancy at all JCU campuses.

This procedure also applies to Institutes or Centres established with significant external funding (for example, Cooperative Research Centres (CRCs), Australian Research Council (ARC) Centres of Excellence), and to collaborative ventures with external partners, acknowledging that there may be specific governance requirements and/or other arrangements external to this policy that will take preference over this procedure.

Under exceptional circumstances, the Vice-Chancellor may allow Institutes or Centres to vary from this procedure on advice of the Deputy Vice Chancellor Research (DVC Research).

Definitions

Terms mentioned in this document and not defined here are defined in the Policy Glossary in the Learning and Teaching Domain of the University Policy Library.

Procedure

1. Establishment of Institutes and Centres

1.1 Establishment of an Institute

An Institute is established by the Vice Chancellor based on a recommendation by the DVC Research. The DVC Research may seek endorsement from the University’s Research Committee prior to making their recommendation. An Institute may be established with or without external funding. The mission, goals, performance metrics and resourcing will be set at establishment.

An Institute is established usually for a term of 5 years, subject to satisfactory performance during this time. Renewals will be considered following a review, as outlined in section 5.

1.2 Establishment of a Centre

A Centre is established by the DVC Research based on a recommendation by the relevant College Dean or Institute Director.  The DVC Research may seek endorsement from the Research Committee prior to approval. A Centre may be established with or without external funding. The goals, performance metrics and resourcing will be set at establishment.

A Centre is established usually for a term of 3 years, subject to satisfactory performance during this time. Renewals will be considered following a review, as outlined in section 5.

1.3 Establishment of a Collaborative Venture

A Collaborative Venture is established as follows, depending on the agreement type and location:

• A Centre designated by competitive grant funding (e.g. ARC Centre of Excellence) is established by the DVC Research on the recommendation of the Director of Research and Innovation Service, for the term of the grant contract. The collaborative venture will be located in a College, Institute or the Research Division, determined on establishment.
• A Centre under a partnership agreement within a College or Institute is established by the DVC Research on the recommendation of relevant Dean or Institute Director, for the negotiated term of the underlying contract and funding.
• A Centre under a partnership agreement within the Research Division is established by the Vice Chancellor on the recommendation of the DVC Research, for the negotiated term of the underlying contract and funding.

2. Governance and Management of Institutes and Centres

2.1 Governance and Management of Institutes

2.1.1 Institute Director

An Institute is led by an Institute Director, who is a distinguished researcher of international standing with demonstrated leadership experience. The Institute Director is appointed by the Vice Chancellor and reports to the DVC Research.

The Institute Director is responsible for the intellectual leadership, business development and management of the Institute relevant to its mission, the Institute’s role as outlined in the Institutes and Centres Policy and meeting performance benchmarks.

The Institute Director is normally appointed for an initial period of five years. Normally the role is full-time, including the Director’s own research commitment.

2.1.2 Institute External Advisory Board

The Chair and membership of the external advisory board will be approved by the Vice Chancellor based on nominations from the Institute Director and a recommendation of the DVC Research. Membership will include representatives from academia, government, professional organisations and industry as relevant to the mission of the Institute. Members of the external advisory board are expected to serve in a voluntary capacity.

The external advisory board will consider the annual report before submission to the University’s Research Committee.

The Terms of Reference are approved by the Vice Chancellor and should be reviewed annually.

2.1.3 Institute Management Committee

The membership of the management committee is approved by the DVC Research on recommendation of the Institute Director. Membership of the management committee will normally consist of Institute members, administrative and/or technical staff, a nominee of the DVC Research and at least one College Dean.

The management committee will operate under Terms of Reference approved by the DVC Research and should be reviewed annually and confirmed as part of the Annual Report for the Institution.  The management committee will meet regularly throughout the year.

2.1.4 Institute Organisational Structure Location

An Institute will be located within the Research Division.

2.2 Governance and Management of Centres

2.2.1 Centre Head

A Centre is led by a Centre Head, who is an active researcher with a distinguished track record. The Centre Head is appointed by the DVC Research and reports to the relevant College Dean or Institute Director.

The Centre Head is responsible for the intellectual leadership and management of the Centre relevant to its role outlined in the policy and for meeting its performance benchmarks.

The Centre Head is normally appointed for an initial period of three years. The workload allocation for the role is determined by the relevant College Dean or Institute Director in which the substantive appointment of the Centre Head is based.

2.2.2 Centre Management Committee

The membership of the management committee will be approved by the nominated College Dean or Institute Director, on recommendation of the Centre Head. Membership of the management committee will normally be small and may consist of Centre members, a nominee of the College Dean or Institute Director and, where relevant, administrative and/or technical staff. If the Centre comprises members from outside its nominated College or Institute, the members’ Colleges or Institutes are to be offered representation on the Centre Management Committee.

The management committee will operate under Terms of Reference approved by the nominated College Dean or Institute Director and should be reviewed annually and confirmed as part of the Annual Report for the Institution.  The management committee will meet regularly throughout the year.

2.2.3 Centre Organisational Structure Location

A Centre will be located within a nominated College or Institute.

2.3 Governance and Management of Collaborative Ventures

The governance and management of Collaborative Ventures will occur in line with that of Centres unless otherwise specified under the grant funding requirements or the partnership agreement. Unless otherwise described in the agreement, the membership and terms of reference of the management committee will be approved by the DVC Research on recommendation of the Centre Head.

3. Membership

Institutes and Centres are required to maintain a list of members, which is updated and provided to Research and Innovation Services at least annually.

Staff may be members of more than one Institute and/or Centre, provided they meet the membership requirements and continue to contribute towards the Institute or Centre’s mission and goals.

3.1 Membership of Institutes

Academic and administrative staff may hold appointments within an Institute as staff of the Institute.

Academic staff holding appointments in other organisational units of JCU, including Colleges or other Institutes may become a member of an Institute. Such academic staff must demonstrate that their research contributes to a research program in the Institute based on demonstrated research performance and track record (relative to opportunity) and alignment with the Institute’s mission and goals. Membership will be determined by the Institute Director. Institutes are expected to encourage membership of College-based researchers and particularly early career researchers (ECRs) and Higher Degree by Research (HDR) candidates. College Deans are expected to facilitate collaboration and Institute membership of academic staff. Members will retain their employment relationship, remuneration, line management, workload allocation and performance reporting within their substantive unit (e.g., their College).

A College-based researcher may be seconded to membership of an Institute for a period of time (for example, when undertaking a fellowship) on agreement of the College Dean and Institute Director. On secondment, the researcher will report to the Institute Director and the Institute will provide an appropriate workspace to the researcher.

A person external to JCU with approved JCU adjunct status and relevant expertise is eligible to be an adjunct member of an Institute with the support of the Institute Director.

Institute membership is held for three years, renewable subject to assessment by the Institute Director of the member’s satisfactory contribution and performance.

3.2 Membership of Centres

Academic and administrative staff may not hold appointments within a Centre.

Academic staff holding appointments in other organisational units of JCU may become a member of a Centre. Such staff must demonstrate alignment of their research to the focus and goals of the Centre. Membership is determined by the Centre Head. Centres are expected to encourage membership of academic staff and particularly ECRs and HDR candidates. College Deans and Institute Directors are expected to facilitate collaboration and membership of academic staff.

A person external to JCU with approved JCU adjunct status and relevant expertise is eligible to be an adjunct member of a Centre with the support of the Centre Head.

Centre membership is held for three years, renewable subject to the Centre Head’s assessment of the member’s satisfactory contribution and performance.

3.3 Membership of Collaborative Ventures

Membership of collaborative ventures will be determined by the grant funding or partnership agreement requirements or section 3.2, with the discretion of the Head of the collaborative venture.

4. Research Training and Development of Early Career Researchers

Staff employed by Institutes who are supervising HDR candidates are expected to support the College to deliver candidate milestones, wellbeing and development.

Honours students will be encouraged to participate in the activities of the Institute or Centre as appropriate.

Institutes and Centres are expected to provide opportunities to increase researcher capability for staff, particularly early career researchers.

5. Reporting and Review

5.1 Reporting

Research performance for Institutes will be reported in two ways: (i) based on Institute staff and (ii) based on Institute staff plus members. College-based members may also report research performance within their College.

Research performance for Centres will be reported based on their membership.  College-based members and Institute-based members may also report research performance within their relevant College or Institute.

5.2 Annual Reports

The Institute Director or Centre Head will be responsible for ensuring the preparation and delivery of the Annual Report.

The Annual Report will be submitted to the University’s Research Committee and the DVC Research. In addition, the Annual Report will be provided to all College Deans and Institute Directors that have staff as members of the Centre.

5.3 Review

Institutes will be subject to a review in their fifth year. The Terms of Reference and the panel membership will be approved by the Vice Chancellor on recommendation by the DVC Research, with the panel including at least two members who are external to JCU.

Centres are to be reviewed in their third year. The Terms of Reference and the panel membership will be approved by the DVC Research on recommendation by the nominated College Dean or Institute Director, with the panel normally comprised of JCU staff.

Early reviews will be triggered by the Vice Chancellor in consultation with the DVC Research for an Institute, or by the DVC Research in consultation with the relevant College Dean or Institute Director for a Centre.

The draft report of the review is provided to the management committee of the relevant Institute or Centre. The management committee will respond to any findings or recommendations within 30 days.

For Institutes, the completed reports will be provided to the DVC Research for a formal response within 30 days, and then provided to the Vice Chancellor.

For Centres, the completed reports will be provided to the relevant College Dean or Institute Director for a formal response within 30 days, and then provided to the DVC Research.

On receipt of the completed review report, the Vice Chancellor (for Institutes) or DVC Research (for Centres) will approve renewal or disestablishment.

Reviews for collaborative ventures will occur as specified in the grant contract or partnership agreement.

6. Outcomes of the Review

6.1 Renewal of Institutes and Centres

The Vice Chancellor may approve renewal of an Institute on recommendation of the DVC Research for a further term of up to 5 years, subject to a satisfactory review and continued alignment with the strategic goals of the University. On renewal, the mission, goals, performance metrics and resourcing will be confirmed or modified.

The DVC Research may approve renewal of a Centre on recommendation of the relevant College Dean or Institute Director for a further term of up to 3 years, subject to a satisfactory review and continued alignment with the strategic goals of the University. On renewal, the goals, performance metrics and resourcing will be confirmed or modified.

6.2 Disestablishment of Institutes and Centres

An Institute or Centre may be disestablished when:

• A review finds unsatisfactory performance or culture, or unresolvable issues;
• There is consistent failure to meet agreed KPIs in annual reporting;
• Membership falls below an agreed level;
• There is significant loss of key researchers;
• The entity is merged into another structure;
• The Institute or Centre is not financially viable; or
• The Institute or Centre no longer aligns with JCU’s strategic objectives.

Approval for disestablishment of an Institute is by the Vice Chancellor on recommendation of the DVC Research. Approval for disestablishment of a Centre is by the DVC Research on recommendation of the College Dean or Institute Director.

Collaborative ventures will be disestablished on expiry of the grant contract or partnership agreement.

7. University Support

Institutes are expected to obtain large-scale external funding to support research activities and employment of members.

Where Institutes have infrastructure, such as laboratory facilities, which are supported through University funding (including the operational support of professional staff and provision of base funding), access to the infrastructure must be provided to all University staff and HDR students at the same cost as provided to Institute members.

Research support services should be provided in the most cost-effective way possible, and Institutes and Centres are expected to use centrally provided specialist research services where practicable and to use centrally provided administrative services to minimise duplication.

8. Transitional Arrangements

All Institutes, Centres and Collaborative Ventures extant at the time of this procedure approval will continue to exist and operate under their current model for up to three years or until they have undergone review, or had disestablishment triggered, whichever is sooner.

Related policy instruments

Institutes and Centres Policy

Schedules/Appendices

Nil

Administration

NOTE:  Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Revision History