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UOW Research Entity Establishment Guidelines

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Section 1 - Introduction

(1) The University of Wollongong (UOW) establishes and supports UOW Research Entities under the UOW Research Entities Framework Policy (‘the Policy’).

(2) All research entities which are in-scope under the Policy must request recognition and endorsement within the Framework to operate within the Framework.

(3) Requests for recognition and endorsement as part of this Framework must be made by the following research groupings in order to be established and operate as a UOW Research Entity:

  1. all Extant Research Entities (‘Extant Entities’) as at 1 January 2024 (the date of implementation of the Policy); and
  2. any proposed new UOW Research Entities (including externally-funded Centres wishing to transition to UOW Research Entity status following the end of the external funding term).

(4) UOW Research Entities are established under the Policy at one (1) of three (3) levels:

  1. UOW Research Institute;
  2. UOW Research Centre; or
  3. UOW Research Cluster.
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Section 2 - Scope

(5) The UOW Research Entity Establishment Guidelines (‘these Guidelines’) apply to all types of research entities based at UOW that are established and managed wholly as a constituent part of the University, and are in-scope under the Policy (including Extant Entities).

(6) These Guidelines outline:

  1. requirements and processes for establishment of UOW Research Institutes, UOW Research Centres, and UOW Research Clusters; and 
  2. responsibilities of the Deputy Vice-Chancellor (Research and Innovation) (DVC-RI), host faculties, Entities and the Research Services (RS) during the establishment processes.

(7) These Guidelines operate and are implemented in partnership with the UOW Research Entity Lifecycle and Operations Guidelines.

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Section 3 - Principles

(8) UOW Research Entities (referred to as ‘Entities’ from this point on) are key drivers of UOW’s research vision and objectives. The Policy and these Guidelines support Entities to effectively deliver research outcomes which support these objectives.

(9) The Policy and these Guidelines are designed to enhance Entity operations and alignment with University and faculty strategy, without generating unnecessary administrative impact on researchers and faculties. This will be achieved by ensuring:

  1. consistent and robust establishment processes are applied equitably across the University;
  2. transparency and accountability are maintained in all processes and decisions; and
  3. administrative burdens are minimised wherever possible.
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Section 4 - Establishment Process Overview

(10) Establishment processes for Entities are coordinated by the RS. Requests for recognition and endorsement must be made in accordance with the Policy and these Guidelines and adhere to the establishment processes and timelines which will be outlined on the UOW Research Entities intranet page.

(11) The transition period for Extant Entities is in place from 1 January – 31 December 2024. All Extant Entities must request recognition and endorsement under the Policy, in accordance with these Guidelines, to continue to operate as a UOW Research Entity beyond the transition period.

(12) Extant Entities and any other research groupings must self-identify the appropriate UOW Research Entity level (Institute, Centre or Cluster) at which to request recognition and endorsement, i.e., the level that best fits the scale and scope of their current activities, and their evidence-based strategy for future activities. For guidance, please refer to Appendix 1 of these Guidelines.

(13) All intentions to request recognition and endorsement as an Entity should be discussed with, and explicitly endorsed by the relevant host faculty Executive Dean (E/Dean) and Deputy Dean (Research) (DDR) in the first instance. Further consultation with all relevant faculties (including other DDRs and, as appropriate, E/Deans) should occur during development of the formal recognition request with explicit endorsement of relevant faculties/schools.

(14)  A list of proposed Entity primary and adjunct members must be provided to the RS prior to the request for establishment to enable research performance data to be collated to support the request.

(15) As outlined in section 4 of the Policy, there are specific request and approval processes for each entity level. The relevant processes for Institutes, Centres and Clusters are outlined in sections 6 to 8 of these Guidelines.

(16) The recommendations of the Entity Establishment Panels and the decisions of the relevant delegated authorities are not subject to an appeal process.

Timelines

(17) In 2024, the request and approval process will be managed in three distinct rounds for Institutes, Centres and Clusters.

(18) The timetable for submitting requests to each round will be advertised on the UOW Research Entities intranet page.

(19) From 2025 onwards, Centre and Cluster approval rounds will be run annually to consider any newly-formed groups, and any requests for approval as an Institute will be made on a case-by-case basis. The timetable for submitting requests to each round will be advertised on the UOW Research Entities intranet page.

(20) Each Faculty Research Committee (FRC) should consider any emerging research groupings (on at least an annual basis) and ensure such groups request recognition under the Policy at an appropriate level.

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Section 5 - Assessment Criteria

(21) All requests for recognition and endorsement as an Entity will be evaluated against the following assessment criteria as relevant to the Entity type:

  1. Research Program and Strategic Alignment;
  2. Member Capability and Development;
  3. Leadership and Capacity Building;
  4. Governance and Operations.

(22) Assessment Criteria align to the Framework Principles (section 3 of the Policy), membership (Section 6), and leadership and governance requirements (section 7), and are outlined in full detail in Appendix 1 of these Guidelines.

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Section 6 - UOW Research Institutes

(23) Requests for recognition and endorsement as a UOW Research Institute will be accepted through a coordinated two (2) stage assessment and approval process, in line with the process and timetable to be advertised by the RS.

Stage 1: Expression of Interest (EOI)

(24) An EOI must be submitted on the form provided by the RS by the advertised due date.

(25) In 2024, the call for Institute EOIs will be made concurrently with the call for Centre EOIs.

(26) A full primary and adjunct membership list must be provided to the RS prior to the due date for the EOI, in accordance with the advertised timeline.

(27) All EOIs will be considered, taking into account the proposed UOW Research Institute’s strength of alignment with the Policy, particularly the Framework Principles, as captured in the assessment criteria and weighted as follows (Note: Governance and Operations assessment criterion will not be considered at EOI stage):

  1. Research Program and Strategic Alignment (50%);
  2. Member Capability and Development (25%);
  3. Leadership and Capacity Building (25%).

(28) EOIs for Institutes will be provided to the host faculty FRC for consideration and comment, and the host faculty E/Dean for endorsement, prior to assessment.

(29) EOIs will also be provided to the FRCs of any other relevant faculties, for noting and comment.

(30) EOIs and faculty comments will be sent to the RS to be collated for assessment.

(31) An Entity EOI Establishment Panel (‘the EOI Panel’) will be formed to evaluate all EOIs (Institutes and Centres concurrently in 2024). The Panel will comprise:

  1. Deputy Vice-Chancellor (Research and Innovation) as Chair;
  2. Pro Vice-Chancellor (Industry and Engagement) and/or Pro Vice Chancellor (University Impact);
  3. Dean of Researcher Development or nominee;
  4. All Faculty Executive Deans (or nominees);
  5. All Deputy Deans Research;
  6. Director, Research Services (Dir RS); and
  7. An external senior academic with broad organisational research leadership expertise.

(32) The EOI Panel may also call on written input from external research leaders with content expertise relating to the fields of research under consideration, as appropriate.

(33) The EOI Panel will either recommend that the Institute EOI be:

  1. endorsed to proceed to Stage 2 (full proposal); 
  2. amended to join with another Entity being proposed;
  3. amended for consideration at a different Entity level (either Centre or Cluster); or
  4. not recommended to proceed, in which case:
    1. Extant Entities will enter the appropriate notice period (see section 9 of these Guidelines);
    2. proposed new entities may reapply in a future round.

(34) The EOI Panel may also make recommendations for enhancement or alteration to any aspect of an EOI prior to submission of the full proposal.

(35) Institute EOIs that have received support from all relevant faculties and the EOI Panel will be invited by the DVC-RI to submit a Stage 2 full proposal for recognition and endorsement as an Institute.

(36) Institute EOIs that are recommended by the EOI Panel to be considered at a different Entity level will be invited by the DVC-RI to engage with the process for recognition and endorsement as either a Centre or Cluster, where appropriate (see details of these processes in sections 7 and 8 of these Guidelines).

(37) Feedback on all EOIs will be provided by the E/Dean of the host faculty.

(38) For EOIs recommended to proceed to Stage 2, the full proposal must address any recommendations for enhancement or alteration made by the EOI Panel.

(39) The EOI Panel will be supported by RS.

Stage 2: Full Proposal

(40) Full proposals must be submitted on the form provided by the RS, by the advertised due date.

(41) Proposals must provide a complete overview of the proposed UOW Research Institute, address all Framework Principles outlined in section 3 of the Policy and all assessment criteria outlined in Appendix 1 of these Guidelines, and include explicit letters of support from all relevant E/Deans, and Heads of School (HsoS).

(42) An Institute Establishment Panel (the ‘Institute Panel’) will be formed comprising all members of the EOI Panel except DDRs.

(43) Full proposals will be considered and approved in line with clause 17 of the Policy, and the Institute Panel will evaluate and provide recommendations for all proposals.

(44) The Institute Panel may also call on written input from external research leaders with content expertise relating to the fields of research under consideration, as appropriate.

(45) In evaluating the full proposal, the Institute Panel will consider the extent to which the proposed UOW Research Institute is able to fulfil the Framework Principles as outlined in the assessment criteria in Appendix 1 and weighted as below:

  1. Research Program and Strategic Alignment (25%);
  2. Member Capability and Development (25%);
  3. Leadership and Capacity Building (25%); and
  4. Governance and Operations (25%).

(46) All applicants will be invited to an interview with the Institute Panel to present the proposal and address any questions.

(47) The Institute Panel will either recommend:

  1. recognition and establishment as a UOW Research Institute; or
  2. consideration of the request at a different Entity level (Centre or Cluster); or
  3. not to approve recognition as a UOW Research Entity under the Policy.

(48) The Institute Panel may also make recommendations for enhancement or alteration to any aspect of the full proposal.

(49) The Institute Panel recommendations will be presented to the University Research Committee (URC) for endorsement, prior to consideration and approval by the DVC-RI.

(50) If approved for establishment, the UOW Research Institute will commence an implementation phase (see section 10 of these Guidelines).

(51) If recommended for consideration as either a Centre or Cluster, the group will be invited to participate in the assessment round for the recommended Entity level. An adjusted EOI and/or full proposal will only be required if changes are to be made to the request, including the membership list, prior to consideration for establishment at Centre or Cluster level.

(52) If the DVC-RI does not approve recognition at any level as a UOW Research Entity, the Extant Entity or proposed research grouping will not be formally recognised under the Policy, and as such will not be authorised to operate as a research entity, as per clause 24 of the Policy. Any such decision will not affect the operations of individual researchers’ groups which may have joined the request for recognition.

(53) If an identified Extant Entity is not recommended for recognition it will enter into the appropriate notice period (see clause 97-99 of the Policy) and the host faculty will work with the Extant Entity on any subsequent requests or actions during that notice period.

(54) Where recognition under the Policy is not approved, detailed feedback will be provided, which may be used to develop an improved request for recognition in the future, if desired. 

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Section 7 - UOW Research Centres

(55) Requests for recognition and endorsement as a UOW Research Centre will be accepted through a coordinated two (2) stage assessment and approval process, in line with the procedure and timetable to be advertised by the RS.

Stage 1: Expression of Interest (EOI)

(56) An EOI must be submitted on the form provided by the RS by the advertised due date.

(57) In 2024, the call for Centre EOIs will be made concurrently with the call for Institute EOIs.

(58) A full primary and adjunct membership list must be provided to the RS prior to the due date for the EOI, in accordance with the advertised timeline.

(59) All EOIs will be considered, taking into account the proposed Centre’s strength of alignment with the Policy, particularly the Framework Principles, as outlined in the assessment criteria in Appendix 1 and weighted as below (Note: Governance and Operations assessment criterion will not be considered at EOI stage):

  1. Research Program and Strategic Alignment (50%);
  2. Member Capability and Development (25%);
  3. Leadership and Capacity Building (25%).

(60) EOIs for Centres will be provided to the host faculty FRC for consideration and the host faculty DDR for endorsement and comment prior to assessment. 

(61) EOIs will also be provided to the DDRs of any relevant faculties, for noting and comment.

(62) EOIs and faculty comments will be sent to the RS who will collate for assessment.

(63) The EOI Panel (as described in section 6 of these Guidelines) will evaluate all EOIs (in 2024, Institutes and Centres will be assessed concurrently).

(64) The EOI Panel will either recommend that the EOI be:

  1. endorsed to proceed to Stage 2 (full proposal);
  2. amended to join with another Entity being proposed;
  3. amended for consideration at a different Entity level (Cluster); or
  4. not recommended to proceed, in which case:
    1. Extant Entities will enter the appropriate notice period (see section 9 of these Guidelines);
    2. proposed new Entities may reapply in a future round.

(65) The EOI Panel may also make recommendations for enhancement or alteration to any aspect of a submitted EOI prior to submission of the full proposal.

(66) EOIs that have received support from all relevant faculties and the EOI Panel will be invited by the DVC-RI to submit a full proposal for recognition and endorsement as a Centre under Stage 2.

(67) Centre EOIs that are recommended by the EOI Panel to be considered at a different Entity level will be invited by the DVC-RI to engage with the process for recognition and endorsement as a Cluster, where appropriate (see clauses 86-98 of this Guideline).

(68) Feedback on all EOIs will be provided by the DDR of the host faculty.

(69) For EOIs recommended to proceed to Stage 2, the full proposal must address any recommendations for enhancement or alteration made by the EOI Panel.

(70) The EOI Panel will be supported by the RS.

Stage 2: Full Proposal

(71) Full proposals must be submitted on the form provided by RS by the advertised due date.

(72) Full proposals must provide a complete overview of the proposed UOW Research Centre, address all Framework Principles outlined in section 3 of the Policy and all assessment criteria outlined in Appendix 1 of these Guidelines, and include explicit letters of support from all relevant E/Deans, and HsoSs.

(73) A Centre Establishment Panel (the ‘Centre Panel’) will be formed comprising all members of the EOI Panel except E/Deans.

(74) Full proposals will be considered and approved in line with clause 18 of the Policy, and the Centre Panel will evaluate and provide recommendations on all proposals.

(75) The Centre Panel may also call on written input from external research leaders with content expertise relating to the fields of research under consideration, as appropriate.

(76) Applicants may be invited to an interview with the Centre Panel to present the proposal and address any questions.

(77) In evaluating the full proposal, the Centre Panel will consider the extent to which the proposed Centre is able to fulfil the Framework Principles as outlined in the assessment criteria in Appendix 1 and weighted as below:

  1. Research Program and Strategic Alignment (25%);
  2. Member Capability and Development (25%);
  3. Leadership and Capacity Building (25%); and
  4. Governance and Operations (25%).

(78) The Centre Panel will recommend either:

  1. recognition and establishment as a UOW Research Centre; or
  2. consideration of the request at a different Entity level (Cluster); or
  3. not to approve recognition as a UOW Research Entity under the Policy.

(79) The Centre Panel may also make recommendations for enhancement or alteration to any aspect of the submitted full proposal.

(80) Centre Panel recommendations will be presented to the host faculty E/Dean for endorsement prior to consideration and approval by the DVC-RI.

(81) If recommended for establishment, the UOW Research Centre will commence an implementation phase (see section 10 of these guidelines).

(82) If recommended for consideration as a Cluster, the group will be invited to participate in the assessment round for the recommended Entity level. An adjusted full proposal will only be required if changes are to be made to the request, including the membership list, prior to consideration for establishment at Cluster level.

(83) If the DVC-RI does not approve recognition at any level as a UOW Research Entity, the Extant Entity or proposed research grouping will not be formally recognised under the Policy, and as such will not be authorised to operate as a research Entity, as per clause 24 of the Policy. Any such decision will not affect the operations of individual researchers’ groups that may have joined the request for recognition.

(84) If an identified Extant Entity is not recommended for recognition it will enter into the appropriate notice period (see clauses 97-99 of the Policy) and the host faculty will work with the Extant Entity on any subsequent requests or actions during that notice period.

(85) Where recognition under the Policy is not approved, detailed feedback will be provided, which may be used to develop an improved request for recognition in the future, if desired.

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Section 8 - UOW Research Clusters

Single stage: Full Proposal

(86) Requests for recognition and endorsement as a UOW Research Cluster will be accepted through a coordinated single-stage assessment and approval process, in line with the processes and timetable to be advertised by the RS. 

(87) Proposals must be submitted on the form provided by the RS by the advertised due date.

(88) Proposals must address all relevant Framework Principles outlined in section 3 of the Policy and assessment criteria outlined in Appendix 1 of these Guidelines, and include explicit letters of support from all relevant HsoSs.

(89) A full primary and adjunct membership list must be provided to the RS prior to the proposal due date, in accordance with the advertised timeline.

(90) Proposals will be assessed by the host faculty FRC and considered and approved in line with clause 19 of the Policy. Proposals will also be provided to the DDRs of any other relevant faculties for noting and comment.

(91) In evaluating proposals, the FRC will consider the extent to which the proposed UOW Research Cluster is able to fulfil the Framework Principles as outlined in the assessment criteria at Appendix 1, with criteria weighted as follows:

  1. Research Program and Strategic Alignment (30%);
  2. Member Capability and Development (30%);
  3. Leadership and Capacity Building (30%); and,
  4. Governance and Operations (10%).

(92) The FRC will either recommend:

  1. recognition and establishment as a UOW Research Cluster;
  2. joining with another Cluster being proposed, or with an established Centre or Institute; or
  3. not to approve recognition as a UOW Research Entity under the Policy.

(93) The FRC may also make recommendations for enhancement or alteration to any aspect of the proposal.

(94) FRC recommendations will be considered and approved by the host faculty E/Dean.

(95) If approved for establishment, the UOW Research Cluster will commence an implementation phase (see section 10 of these Guidelines).

(96) If the E/Dean does not approve recognition as a UOW Research Cluster, or inclusion with another established Entity if approved, the Extant Entity or proposed research grouping will not be formally recognised under the Policy, and as such will not be authorised to operate as a research Entity, as per clause 24 of the Policy. Any such decision will not affect the operations of individual researchers’ groups which may have joined the request for recognition.

(97) If an identified Extant Entity is not recommended for recognition it will enter into the appropriate notice period (see clauses 97-99 of the Policy) and the host faculty will work with the Extant Entity on any subsequent requests or actions during that notice period.

(98) Where recognition under the Policy is not approved, detailed feedback will be provided, which may be used to develop an improved request for recognition in the future, if desired. 

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Section 9 - Extant Entity notice periods

(99) If an identified Extant Entity is not recommended for recognition through the establishment processes outlined above, it will enter into the appropriate notice period (see clauses 97-99 of the Policy). The host faculty will work with the Extant Entity on any subsequent requests or actions during that notice period.

(100) Where an Extant Entity has completed any relevant notice period, and has subsequently not been approved for recognition under the Policy, the group will not be approved to operate as a named research Entity and will be required to disband. This process will be managed by the faculty, supported by Research Services.

(101) The notice period will also apply to any Extant Entities that did not engage with the appropriate establishment processes, and as such triggered a mandatory review, and have, as a result of this review, not been approved for recognition under the Policy.

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Section 10 - Implementation phase

(102) If approved for establishment, the UOW Research Entity will commence an implementation phase and will work with the RS, host faculty and other key business units to develop an implementation and transition plan that includes, but is not limited to:

  1. addressing any recommendations by the Establishment Panel for enhancements to the Entity;
  2. confirmation of Entity membership;
  3. finalising KPIs for the Entity and Entity Director (where relevant);
  4. confirming annual funding arrangements for the Entity (where relevant); and
  5. for Extant Entities, any required workplace change.

(103) Information relevant to the implementation and ongoing lifecycle and operations of an Entity is contained in the UOW Research Entity Lifecycle and Operations Guidelines.

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Section 11 - Roles and responsibilities

(104) Roles and responsibilities are as outlined throughout this Guideline, the UOW Research Entity Lifecycle Guidelines and in the Policy.

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Section 12 - Definitions

Word/Term
Definition
Centre Establishment Panel (‘Centre Panel’)
Assessment panel formed to evaluate all Stage 2 proposals for Centres and recommend outcomes. 
Entity EOI Establishment Panel (‘EOI Panel’) Assessment panel formed to evaluate all EOIs for Institutes and Centres concurrently.
Establishment Panel Refers jointly to the Institute Panel and Centre Panel
Institute Establishment Panel (‘Institute Panel’) Assessment panel formed to evaluate all Stage 2 proposals for Institutes and recommend outcomes. 
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Section 13 - Appendix 1: UOW Research Entity Framework Assessment Criteria

(105) UOW Research Entity Framework Assessment Criteria