• Section 1 - Introduction and Purpose
• Section 2 - Application and Scope
• Section 3 - UOW Research Entity Framework Principles
• Section 4 - Establishment of UOW Research Entities
• Section 5 - Lifecycle of UOW Research Entities
• Section 6 - Membership of UOW Research Entities
• Section 7 - Leadership and Governance of UOW Research Entities
• Section 8 - Operations of UOW Research Entities
• Section 9 - Funding Support for UOW Research Entity Activities
• Section 10 - Roles and Responsibilities
• Section 11 - Definitions
• Section 12 - Appendix A – Transitional Arrangements for Extant Research Entities
• Delegations
• Transition period for MAJOR extant research entities
• Transition period for MINOR extant entities
• Forming new UOW Research Entities during the transition period
• Outcomes of requests or reviews
• Notice periods
• Exceptions

Section 1 - Introduction and Purpose

(1) The University establishes and supports research entities to bring together groups of researchers, Higher Degree Research (HDR) candidates, and external partners and collaborators in select areas of strategic focus to undertake world-class research.

(2) Research entities strategically position UOW research in a global context and drive research success by maximising research quality, impact and performance, developing UOW’s research capabilities and reputation, and providing a positive research environment in which all members, including early career researchers and HDR candidates, can achieve at the highest standard. A research entity is more than the sum of its member researchers’ contributions, and delivers real synergies by bringing individual researchers and research teams together, including across disciplines and UOW’s organisational structures.

(3) The purpose of this Policy is to:

1. ensure that the programs of all research entities established at UOW demonstrate strategic purpose and direction in the global research context, and align with the values, vision, research strategies, objectives and priorities of the University, including, but not limited to, the UOW Equity, Diversity and Inclusion Strategy and the Reconciliation Action Plan;
2. provide a governing framework for the establishment, membership, leadership, management, operation, review and lifecycle of UOW Research Entities;
3. ensure a consistent and strategic approach to the provision of funding and other support to endorsed UOW Research Entities; and
4. outline responsibilities of UOW Research Entity leaders, host faculties, and the Research and Innovation Division.

(4) This Policy takes effect from 1 January 2024.

Section 2 - Application and Scope

(5) This Policy applies to all types of research entities based at UOW that are established and managed wholly as a constituent part of the University.

(6) Entities which are recognised and endorsed in accordance with this Policy by the University will be designated a ‘UOW Research Entity’ at one (1) of three (3) levels:

1. UOW Research Institute (which may include UOW Research Institute Themes); 
2. UOW Research Centre (which may include UOW Research Centre Themes); or
3. UOW Research Cluster.

(7) All research entities in scope under this Policy are expected to:

1. meet all requirements of this Policy, including establishment, governance, operational and review requirements, in order to be recognised and endorsed as a UOW Research Entity by the University; and
2. continue to fulfil all requirements of this Policy to maintain the University’s endorsement and operational support.

(8) This Policy does not apply to:

1. collaborative research entities (including externally funded research centres and external research networks);
2. major research technology and innovation platforms and facilities, which are not included in the definition of a research entity and are to be governed separately; or
3. internal research networks and other informal internal research alliances that may form from time to time. Any such groupings that have begun functioning as a research entity should request to be established as a UOW Research Entity at the appropriate level within twelve months of becoming active, as described in section 4 of this Policy.

Section 3 - UOW Research Entity Framework Principles

(9) UOW Research Entities are established in alignment with UOW and faculty strategic research priorities and vision to drive research strategy, excellence and impact, through purposeful leadership and concentrated efforts and activities which support research achievement in select areas of focus.

(10) All recognised and endorsed UOW Research Entities must uphold the following core principles (in line with their size and scope):

1. demonstrate strategic purpose and direction that underpin their significant contributions to UOW’s research strategy in a global context;
2. conduct research which enhances the standing and reputation of UOW, at the global, national, and/or regional level;
3. deliver a distinctive value proposition which enhances disciplinary, multidisciplinary and/or interdisciplinary research excellence, outcomes, opportunities, translation and impacts, research training and research careers, over and above the individual contributions of member researchers and the support provided elsewhere within UOW;
4. demonstrate alignment with UOW and faculty values, vision and strategic research priorities;
5. be supportive of membership, collaboration and engagement across disciplines and UOW organisational structures, as appropriate;
6. act proactively and collegially with other UOW Research Entities and with the University to build alliances and collaborations, and to limit duplication of effort and resourcing;
7. uphold and promote research integrity through honest, ethical and responsible research conduct;
8. actively build a safe, inclusive and equitable research environment which promotes the wellbeing of member researchers and HDR candidates;
9. form and maintain linkages with academia, industry, government and communities locally, nationally and/or internationally;
10. provide opportunities and support which facilitate success for all members, with particular focus on early and mid career researchers (EMCRs), and HDR candidates, to enhance research outcomes and impacts, researcher training, and career development;
11. clearly identify as a constituent part of the University in their governance structures, branding and messaging;
12. be hosted by a single administering faculty (the host faculty) which supports their operational requirements, and to which they demonstrate clear research content alignment, and be integrated with appropriate faculty/school(s) in the host or other faculties;
13. actively contribute to the University’s strategic goals beyond research, including through teaching, community engagement, and mentorship as appropriate.
14. operate with transparency and efficiency, and be accountable to entity members and to the University; and
15. be flexible and responsive to opportunities for collaboration, growth and renewal as they arise.

(11) In addition to meeting the core principles in clause 10, recognition as a UOW Research Institute or UOW Research Centre requires these entities to meet the additional set of specific principles at clause 12.

(12) All UOW Research Institutes and UOW Research Centres must uphold the following principles:

1. develop and enact strategic plans which help to drive the UOW research agenda;
2. aim to achieve and maintain a viable long-term research program through:
   1. a critical mass of researchers (including a base of members with continuing appointments);
   2. effective succession planning; and
   3. continuous strategic and operational development aligned to faculty, University and external research priorities and drivers;
3. have formalised leadership, management and governance structures which are representative, accountable, integrated with University processes, and which offer advancement and succession opportunities to members;
4. aim to achieve and maintain a degree of financial sustainability to minimise reliance on UOW funding (central and/or faculty), through the attraction of external income from appropriate sources to support entity activities (as appropriate to their size, scope and research field); and
5. provide a leading contribution to the strategy and development of any relevant major research technology and innovation platforms and facilities, but be independent from the day-to-day management of such facilities.

(13) In addition to meeting the core principles in clause 10, recognition as a UOW Research Cluster requires these entities to engage with faculty research planning processes, through relevant Faculty Research Committee (FRC) to ensure continuing alignment of the UOW Research Cluster with faculty research objectives.

Section 4 - Establishment of UOW Research Entities

(14) All proposed new UOW Research Entities, and all extant research entities, must request recognition and endorsement under this Policy to be established and operate as a UOW Research Entity.

(15) In addition, the University may call for the establishment of UOW Research Entities in specific areas of research focus.

(16) Requests for recognition are coordinated by the Research Services (RS) and must be made in accordance with the requirements outlined in the UOW Research Entity Establishment Guidelines and the UOW Research Entity Lifecycle and Operations Guidelines.

(17) Requests to establish UOW Research Institutes must be:

1. supported by the Executive Dean and FRC of the host faculty, and all other relevant faculties; 
2. considered and supported by the University Executive Board (UEB); 
3. endorsed by the University Research Committee (URC), on advice from the Institute Establishment Panel; and
4. approved by the Deputy Vice-Chancellor (Research and Innovation) (DVC-RI) under the Delegations of Authority Policy.

(18) Requests to establish UOW Research Centres must be:

1. supported by the host faculty FRC, and Deputy Dean (Research) (DDR) of all other relevant faculties;
2. endorsed by the host faculty Executive Dean, on advice from the Centre Establishment Panel; and
3. approved by the DVC-RI under the Delegations of Authority Policy.

(19) Requests to establish UOW Research Clusters must be:

1. supported by the FRC of the host faculty, and DDR of all other relevant faculties; and
2. approved by the host faculty Executive Dean, on advice from the host faculty FRC.

(20) Once established, UOW Research Entities will be known by specific forms of titles that denote their entity level as indicated in clause 6.

(21) The title of research institute, research centre or research cluster cannot be used by any in-scope groupings which have not been formally established under this Policy (beyond any transition period listed in Appendix A for extant research entities).

(22) Where extant research entities are endorsed under this Policy at a level which carries a different title to their well-established name (e.g. a current institute is endorsed as a centre, or current centre as a cluster or theme), such legacy names may be retained for the first term of that UOW Research Entity, and will be reconsidered at the first review.

(23) From the date of implementation of this Policy, there will be a transition period, as outlined in Appendix A, for extant research entities to take any actions needed to meet the requirements of this Policy and to gain endorsement as a UOW Research Entity.

(24) For extant research entities to continue to receive organisational funding and/or operational support and/or recognition as an entity (e.g. on the UOW website, in faculty workload models), they must observe and be able to meet the requirements of this Policy within the relevant timeframe to achieve endorsement to operate as a named UOW Research Entity. In-scope research entities will not operate outside of this Policy.

(25) Faculties should continue to encourage emerging research groupings to develop towards recognition as a UOW Research Entity (either in their own right, or as a theme within an established UOW Research Institute or Centre) and may promote the formation of research groupings in targeted areas of strategic focus.

(26) Emerging research groupings and other informal internal alliances and networks which have begun functioning as a research entity (e.g. by appointing a designated leader, formalising membership, representing themselves as a named grouping externally), should request endorsement as a UOW Research Entity at the appropriate level within 12 months of becoming active. Faculties must evaluate any emergent groupings at least annually to ensure relevant groupings are compliant under this Policy.

Section 5 - Lifecycle of UOW Research Entities

(27) At establishment, all UOW Research Entities will:

1. be endorsed for an initial five (5) year period;
2. enter into an annual reporting cycle; and
3. enter into a five-yearly (5) review cycle, including a briefer mid-point review by the end of the third (3) year.

(28) Key performance indicators (KPIs) for the UOW Research Entity, and for the Entity Director (Institutes and Centres only), will be jointly developed between the entity leadership team and the host faculty (and DVC-RI for institutes only). KPIs must be appropriate to the entity’s area of research, will be agreed on at establishment of the entity, and will be the focus of reporting and review. KPIs may be adjusted at any review point as needed.

(29) All UOW Research Entities will have the opportunity for ongoing renewal across multiple review cycles, subject to meeting KPIs and remaining aligned with this Policy and with UOW strategic priorities.

(30) Reviews can also be initiated at the request of the VC, DVC-RI or Executive Dean of the host faculty outside the regular review cycle, triggered by new opportunities, changing circumstances or perceived significant under-performance.

(31) Institute reviews will be conducted externally and include a detailed external financial audit. Centre reviews will be conducted internally at the University level, and Cluster reviews will be conducted internally at the faculty level.

(32) Reviews will be commensurate with the size and complexity of the UOW Research Entity and will provide an objective assessment of the entity based on:

1. whether the entity is achieving its stated strategic purpose, objectives and relevant KPIs across research income, outputs, engagement, impacts, entity culture, and other appropriate measures;
2. the overall research contribution, including the value the entity is adding to the University’s strategic goals in research;
3. the identification of potential enhancements to the entity which would improve research performance, organisational arrangements, and/or research culture; and
4. UOW’s ongoing need for the entity to be renewed for a further term at its current entity level, or alternatively to be reclassified to a higher or lower level, or be disestablished.

(33) Review outcomes may include:

1. acknowledgment of a positive evolution of the entity’s strategy over time, and continued performance strength and alignment with UOW and faculty research priorities, in which case the entity can expect to be endorsed for a further fixed term at its current entity level, and may be invited to apply to move to a higher level if warranted by performance and future strategic planning;
2. recommendation for minor enhancements, or for significant change and development, in which case the entity will be required to make any adjustments within an agreed timeframe and may then be endorsed for a further fixed term at its current entity level, or may move to a lower entity level if warranted; or
3. recommendation for the disestablishment of the entity if the review determines that the entity no longer adequately supports the University’s strategic research objectives, or due to other critical issues outlined in the review.

(34) UOW Research Entity leaders are responsible for implementing any review recommendations within an agreed timeframe, and the host faculty Executive Dean is responsible for monitoring the implementation of these recommendations.

(35) Reclassification of a UOW Research Entity to a higher or lower level may be initiated voluntarily by the entity at any time in the entity's lifecycle if warranted by changing circumstances, or following a review. UOW Research Entities wishing to request a move to a higher level must meet all establishment requirements for that level in order for reclassification to be approved.

(36) If a formal decision to disestablish a UOW Research Entity is taken, either initiated by the entity or following the outcome of a review, the host faculty Executive Dean will work with entity leadership to establish an appropriate timeline and fulfil the disestablishment arrangements, including management of any remaining assets or commitments within the faculty.

(37) Entity lifecycle processes are managed in accordance with the UOW Research Entity Lifecycle and Operations Guidelines.

Section 6 - Membership of UOW Research Entities

(38) Individuals can be aligned to a UOW Research Entity under one of three (3) membership types:

1. primary member; 
2. adjunct member; or
3. associate member.

(39) Primary and adjunct members must actively contribute to the strategic direction and research outputs of the UOW Research Entity, and have the capacity to complement the research of other members.

(40) A primary member of a UOW Research Entity must be either:

1. a UOW academic staff member appointed to a continuing or fixed-term position (either full-time or fractional);
2. a UOW Emeritus Professor, or a Fellow of the University as appointed by University Council; or
3. a UOW professional services staff member appointed to a continuing or fixed-term position (either full-time or fractional) who is actively and significantly engaged in research (e.g. as a HDR supervisor, or chief investigator on grants).

(41) An adjunct member of a UOW Research Entity must hold a current honorary appointment at UOW (according to the Appointment of Visiting and Honorary Academics Policy).

(42) An associate member of a UOW Research Entity must be either:

1. a UOW staff member who is not eligible as a primary member (e.g. casual staff and professional services staff, other than those eligible under clause 40(c)); 
2. a currently enrolled HDR candidate whose principal or co-supervisor is a primary, adjunct or associate member of the entity and whose research project is aligned with the research programs of the entity; or
3. a visiting academic (according to the Appointment of Visiting and Honorary Academics Policy) hosted by the entity for a total of at least six (6) months;
4. a collaborator based in another higher education or research institution (national or international);
5. an industry, government or community sector collaborator; or
6. a primary member of a different UOW Research Entity, who works on or supports a limited range of specific research projects in collaboration with primary or adjunct members of the entity.

(43) An individual will generally be a primary member or adjunct member of one (1) UOW Research Entity only. In circumstances where the individual’s research demonstrates significant alignment with two (2) entities, dual membership may be endorsed.

(44) An individual may hold associate member status in multiple UOW Research Entities.

(45) A central register of membership for all UOW Research Entities will be maintained by the RS. All research income and outputs data for reporting, funding and review purposes will be based on this register.

(46) Research income and outputs that are relevant to the focus of the UOW Research Entity, and which have been generated by primary and adjunct members only (pro rata for dual memberships), will be included in research metrics data used by the RS to report on KPIs for the entity. For publications data to be included, the primary affiliation must be University of Wollongong.

(47) Primary members who are located at UOW Global Enterprises campuses may have certain limitations as a result of working in a distinct operating environment outside of UOW Australia, and may need to work collaboratively with Australian-based members to attract and manage any UOW Research Entity internal funding, and have their research outputs included in entity metrics data.

Section 7 - Leadership and Governance of UOW Research Entities

(48) Purposeful leadership is critical to the success of all UOW Research Entities. Leaders are expected to develop strategic plans in consultation with key stakeholders, connect proactively with collaborators, partners and networks nationally and internationally, manage finances and other resources responsibly, ensure the well-being of members and ensure a positive and supportive research culture with effective succession planning. UOW Research Entities must be led by primary members with outstanding leadership skills (not necessarily by the most prolific or most senior researcher). Actively developing future leaders through genuine succession planning is critical to avoiding risks to long-term sustainability and viability.

(49) Each UOW Research Entity will have a leader or co-leaders, and may have one or more deputy leaders. UOW Research Institutes and UOW Research Centres may also have one or more UOW Research Institute/Centre theme leaders.

(50) UOW Research Institute and UOW Research Centre leaders will formally hold the title of Director. UOW Research Cluster leaders will not use this title.

(51) The roles of UOW Research Institute Director and UOW Research Centre Director will be:

1. contracted, fixed-term appointments aligned with the entity review cycle; and
2. fractional appointments with a maximum position fraction of either 0.6FTE (Institute Director) or 0.4FTE (Centre Director), with FTE split as required in the case of Co-Directors; and
3. held concurrently with the Director’s underlying academic appointment; and
4. leadership roles carrying a workload allocation of 100% leadership and governance; and
5. aligned to standard position descriptions relevant to each entity type.

(52) Justification of the FTE requirement for the Director role is required at the time of Institute or Centre establishment, based on the scope and scale of duties relevant to the entity, and may be adjusted as part of the review cycle.

(53) Institute Directors and Centre Directors will maintain an underlying position within a relevant faculty and school for the remainder of their FTE beyond the Director role. Workload allocation within this underlying position will be determined by the relevant faculty/school, and must include a significant allocation for research.

(54) The following leadership roles are not separate contracted appointments, and are fulfilled within the staff member’s existing position against an agreed responsibilities statement, with any workload allocation to be determined under the relevant faculty workload model:

1. UOW Research Institute and UOW Research Centre deputy director
2. UOW Research Institute and UOW Research Centre theme leader
3. UOW Research Cluster leader and deputy leader

(55) To provide additional opportunities for emerging leaders, capacity-building, mentorship, and diversity, appointment as a UOW Research Institute, Centre or Cluster leader or deputy leader will be aligned to the review cycle of the entity as follows:

1. The first leadership term will match the entity’s first establishment term.
2. A second leadership term can be approved where KPIs for both the entity and the leadership role (if relevant) have been met or exceeded during the first full review cycle. The second term will extend for the next full review cycle.
3. Any subsequent leadership terms must be approved by the entity advisory committee, management committee, host faculty Executive Dean and the DVC-RI (as relevant to the entity type), where KPIs for both the entity and the leadership role (if relevant) have been met or exceeded during the second full review cycle. Such extensions would be by exception only and will be revisited at the midpoint of each review cycle. 

(56) Leaders of extant entities may continue to hold existing appointments until the end of the transition period (see Appendix A), as negotiated and approved on a case-by-case basis with the host faculty Executive Dean and/or DVC-RI (as relevant to the entity type). Current leaders may be re-appointed to leadership roles in UOW Research Entities, dependent on the outcome of the request for recognition under this Policy.

(57) All UOW Research Institutes must establish an advisory committee and a management committee, with appropriate and diverse membership in line with best practice principles.

(58) All UOW Research Centres must establish a management committee with diverse membership in line with best practice principles, and have the option of establishing an advisory committee.

(59) UOW Research Clusters are not required to establish a management committee or advisory committee.

Section 8 - Operations of UOW Research Entities

(60) Integration of UOW Research Entities with appropriate faculties and schools provides the opportunity for close connections with relevant research, and offers entities many benefits, including interaction with a broad range of researchers and emerging/established leaders, engagement with students at all levels, organisational support for operations, and access to broader career development pathways for both academic members and professional services staff.

(61) To ensure access to career paths and organisational support, all primary members of a UOW Research Entity (other than Emeritus Professors and Fellows of the University) will be employed by a school (either in the host faculty or another faculty) which best fits their research focus and teaching capabilities, unless otherwise agreed between the DVC-RI and the relevant faculty Executive Dean for strategic reasons.

(62) Reporting lines for entity leadership roles will be as follows:

1. Institute Director and Centre Director fractional positions report operationally to the host faculty Executive Dean and are responsible to the Executive Dean for management of the entity and expenditure of any UOW support funding. Underlying positions held by Directors for the remainder of their FTE continue to report to the Head of School or other relevant position within the school or faculty;
2. primary members fulfilling Institute and Centre Deputy Director or theme leader roles report operationally to the Head of School or other relevant position within the school or faculty. These roles have an additional dotted reporting line to the Institute or Centre Director, and are responsible to the Director for an agreed set of deliverables specifically relevant to that entity;
3. primary members fulfilling UOW Research Cluster leader and deputy leader roles report operationally to the Head of School or other relevant position within the school or faculty.

(63) Fixed-term or casual staff appointments may be made directly from the entity operating budget in limited circumstances, for example, specialised research development and technical roles, and support roles linked to specific entity activities. Any such appointments must be made in accordance with UOW Recruitment and Selection Policy and other relevant UOW or host faculty operational directives.

(64) Support for any operational requirements (e.g. coordination, HR, finance, marketing and communications) will be provided by professional services staff appointed in the host faculty and/or central Divisional units as required and in line with the established shared services model. Service level commitments between the entity, host faculty Executive Dean and shared central services should be agreed and documented.

(65) HDR candidates who are associate members of a UOW Research Entity will be enrolled through the relevant school and faculty of their principal supervisor.

(66) Where operationally required, all primary members will be available to contribute to non-research activities (including teaching in appropriate school/s and/or governance) up to the limit indicated in their position description, and where allowable under their contract.

(67) The primary member’s Head of School (or relevant supervisor) will be responsible for career development interviews (CDI). For primary members of a UOW Research Institute or UOW Research Centre, the Head of School/Supervisor, or appropriate delegate, will seek input to the CDI from the Institute or Centre Director.

(68) Representatives of UOW Research Institute and UOW Research Centre leadership teams will be integrated, as appropriate, into the host Faculty Executive Committee, FRC, URC, Graduate Research Committee (GRC) and other strategic committees relevant to the development of research in the entity, faculty, and University.

(69) Recruitment of academic staff within the faculty will be overseen by the Executive Dean, who should seek the advice of relevant UOW Research Entity leaders, and include entity leaders in academic staff selection committees where relevant.

Section 9 - Funding Support for UOW Research Entity Activities

(70) UOW Research Entities are expected to attract external income, which will support research and contribute to funding entity activities. Income sources may include, but are not limited to, grants, contracts, scholarships and donations from government, community and philanthropic agencies, and funding from industry through grants, contracts and partnerships. Income can be for the delivery of a wide range of research and other activities, including, but not limited to, academic or industry-driven research projects, consultancy work, specialised teaching (e.g. micro credentials, masters programs), use of specialised equipment, workshops and speakers’ fees.

(71) The University’s expectation is that all UOW Research Entities will aim for a degree of financial sustainability appropriate to their scale and research field.

(72) The University may provide internal funding support to UOW Research Entities (consisting of any combination of a base funding amount and/or funding linked to evidence of research performance) from the annual UOW Research Block Grant (RBG) allocation, as outlined in the UOW Research Entity Lifecycle and Operations Guidelines and the Research Block Grant (RBG) Distribution and Allocation Policy.

(73) Funding will be identified for UOW Research Entity support annually, based on primary membership data (including members outside the host faculty), and allocated to host faculties for distribution among entities.

(74) The annual quantum of any base-funding commitments will be agreed at establishment and will remain in place for the full review cycle, assuming that no key factors have changed and the mid-cycle review is satisfactory. The model for any performance funding commitments will be agreed at establishment and will remain in place for the full review cycle, with actual annual funding amounts linked to performance under this model.

(75) Any internal funding support provided to UOW Research Entities will be held within the host faculty as a distinct project code to provide clarity for budgeting and reporting.

(76) Annual expenditure reports against any UOW internal funding will be provided by the Finance and Procurement, and will form part of the entity annual report.

Section 10 - Roles and Responsibilities

(77) The Deputy Vice-Chancellor (Research and Innovation) is responsible for:

1. ensuring all UOW Research Entities align with UOW research goals, priorities and objectives, and uphold the principles outlined in this Policy;
2. approving recommendations for the establishment, renewal (following review), reclassification and disestablishment of UOW Research Institutes and UOW Research Centres under the UOW Delegations of Authority Policy;
3. approving recommendations for the establishment of any major extant research entities requesting recognition at the UOW Research Institute or UOW Research Centre level following the implementation of this Policy;
4. approving KPIs for UOW Research Institutes and Institute Directors, on recommendation of the host faculty Executive Dean;
5. approving membership of advisory committees for UOW Research Institutes;
6. initiating out-of-cycle reviews of any UOW Research Institutes, UOW Research Centres and UOW Research Clusters as required (in conjunction with the Executive Dean of the host faculty);
7. approving exceptions to the notice period for extant research entities; and
8. negotiating any extension of existing appointments with leaders of major extant research entities and host faculty Executive Deans during the transition period.

(78) The Executive Dean of the host faculty is responsible for:

1. endorsing requests to the DVC-RI for the establishment, renewal following review, reclassification and disestablishment of UOW Research Institutes and UOW Research Centres;
2. identifying, at the date of implementation of this Policy, specific research groupings within the faculty that will be considered minor extant research entities;
3. approving FRC recommendations for the establishment, renewal following review, and disestablishment of UOW Research Clusters;
4. overseeing consideration of any minor extant research entities within their faculty for recognition as a UOW Research Entity within the transition period;
5. approving KPIs for UOW Research Centres and Centre Directors, and UOW Research Clusters their faculty hosts;
6. initiating out-of-cycle reviews of any relevant UOW Research Institutes, UOW Research Centres and UOW Research Clusters as required (in conjunction with the DVC-RI);
7. accepting annual reports for all UOW Research Entities their faculty hosts;
8. monitoring the implementation of recommendations for improvements following a review for UOW Research Entities their faculty hosts;
9. fulfilling disestablishment arrangements and managing any remaining assets or commitments within the faculty for UOW Research Entities their faculty hosts;
10. negotiating any extension of existing appointment with leaders of minor extant research entities during the transition period;
11. ensuring adequate organisational support is provided to UOW Research Entities their faculty hosts, including those entities comprising multi-faculty membership and activity; and
12. directly supervising the Director of any UOW Research Institutes and UOW Research Centres that their faculty hosts.

(79) The Deputy Dean (Research) of the host faculty is responsible for:

1. managing faculty activities related to the assessment of UOW Research Entities, supported by the RS;
2. facilitating negotiation of KPIs for newly-established UOW Research Entities their faculty hosts between the proposed entity leader, the host faculty Executive Dean and Associate Dean Equity Diversity and Inclusion, and the DVC-RI (as required by the entity type);
3. reviewing annual reports for all UOW Research Entities their faculty hosts, and providing recommendations to the faculty Executive Dean and DVC-RI (as required by the entity type), should any concerns be identified; and
4. providing oversight, through regular contact with entity leaders, of all UOW Research Entities their faculty hosts to ensure entities remain aligned with faculty research priorities, are working effectively, are appropriately supported, and are compliant with this Policy.

(80) The leader of the UOW Research Entity is responsible for:

1. (proposed leader) initiating a request for recognition as a UOW Research Entity under this Policy at an appropriate level as best fits the entity’s strategy, scale and purpose, and within the required timeline (for extant entities);
2. negotiating establishment KPIs for the entity with the host faculty DDR and Associate Dean Equity Diversity and Inclusion, as well as the Executive Dean and/or DVC-RI (as appropriate for the entity type);
3. once established, upholding all principles and requirements of a UOW Research Entity as outlined in this Policy, including fulfilling reporting and review obligations; and
4. making any required adjustments to entity strategy, governance, management and operations resulting from any review recommendations, within the agreed timeframe.

(81) The Research Services is responsible for:

1. maintaining this Policy and all related guidelines, procedures, templates and supporting resources;
2. administering assessment establishment, implementation and review processes for UOW Research Entities;
3. supporting Faculties to carry out their responsibilities related to the assessment, establishment, implementation and review processes for UOW Research Entities;
4. developing and maintaining databases and analysis platforms to provide streamlined reporting on research metrics data of UOW Research Entities;
5. providing detailed research metrics reporting on each UOW Research Entity to the relevant entity leader, host faculty Executive Dean and DDR on at least an annual basis to support funding, reporting and review requirements;
6. liaising with Finance and Procurement to ensure provision of financial reports and support for any external audits; and
7. providing ongoing operational support for UOW Research Entities in line with the RS shared services model.

Section 11 - Definitions

Section 12 - Appendix A – Transitional Arrangements for Extant Research Entities

Delegations

(82) The DVC-RI has delegation to establish and disestablish UOW Research Institutes and Research Centres, under the Delegations of Authority Policy. The DVC-RSF will work with faculty Executive Deans as required to exercise these delegations, as outlined under the UOW Research Entity Establishment Guidelines and UOW Research Entity Lifecycle and Operations Guidelines. 

(83) The faculty Executive Dean has delegation to establish and disestablish UOW Research Clusters, under the Delegations of Authority Policy. The Faculty Executive Dean will exercise this delegation as outlined under the UOW Research Entity Establishment Guidelines and UOW Research Entity Lifecycle and Operations Guidelines.

Transition period for MAJOR extant research entities

(84) The following are classified as major extant research entities for the purposes of this Policy:

1. Australian Institute For Innovative Materials (AIIM) and all of its component parts;
2. Australian National Centre for Ocean Resources and Security (ANCORS);
3. Early Start Research;
4. Molecular Horizons;
5. National Institute for Applied Statistics Research Australia (NIASRA);
6. SMART Infrastructure Facility – research component;
7. Sustainable Buildings Research Centre (SRBC) - including the Australian Power Quality and Reliability Centre (APQRC).

(85) Listed major extant research entities will be invited to seek recognition and endorsement as a UOW Research Entity under this Policy to the appropriate assessment round within the transition period. Requests for recognition are coordinated by the Research Services and must be made in accordance with the UOW Research Entity Establishment Guidelines.

(86) If a listed major extant research entity has not initiated a request for recognition under this Policy by the end of the transition period, the DVC-RI will commence a formal review process, to be completed within the following six (6) months.

Transition period for MINOR extant entities

(87) All other extant research entities not listed in clause 84 are classified as minor extant research entities for the purposes of this Policy, including faculty research centres and other faculty-level / school-level research groupings.

(88) Minor extant research entities will be identified by each faculty and invited to seek recognition and endorsement as a UOW Research Entity under this Policy to the appropriate assessment round within the transition period. Requests for recognition must be made in accordance with the UOW Research Entity Establishment Guidelines.

(89) If a minor extant research entity has not initiated a request for recognition under this Policy by the end of the transition year period, the host faculty Executive Dean will commence a formal review process, to be completed within the following six (6) months.

Forming new UOW Research Entities during the transition period

(90) During the transition period, extant research entities may choose to request recognition in their existing form, or to transform by splitting and regrouping, or combining with other groupings to form larger entities.

(91) Where extant research entities request recognition as a newly-formed UOW Research Institute, Centre or Cluster, these requests must be made during the transition period.

(92) Following the completion of the transition period, requests from emerging or re-imagined research groupings seeking recognition under the Policy will be considered on a case-by-case basis for Institute requests, and through an annual approval round for Centres and Clusters.

(93) Requests for recognition as newly-formed UOW Research Entities are coordinated by the Research Services in conjunction with host faculties, and must be made in accordance with the UOW Research Entity Establishment Guidelines.

Outcomes of requests or reviews

(94) Classification status under this Policy of all extant research entities will be dependent on the outcome of the request for recognition or the recommendation of the review.

(95) Favourable outcome: The extant research entity will be recognised under this Policy as either a UOW Research Institute, UOW Research Centre, or UOW Research Cluster, and established with new KPIs and lifecycle, including reporting and review timeline, from the date of notification of outcome.

(96) Unfavourable outcome: The extant research entity will be notified that it does not currently meet the criteria for recognition under this Policy, and will be offered the option of entering into the notice period to take corrective action to meet the criteria for recognition, or of choosing to disband.

Notice periods

(97) The notice period for major extant entities will be 12 months from notification of outcome.

(98) The notice period for minor extant entities will be six (6) months from notification of outcome.

(99) Extant entities that are unable to meet relevant criteria at the end of the notice period will disband.

Exceptions

(100) For strategic reasons, some extant research entities that have not met the requirements of this Policy after the relevant notice period may be approved by the DVC-RSF to continue to operate for a further fixed term of up to, but no longer than, 18 months.

(101) Such entities will be considered compliant with this Policy for the period of time approved by the DVC-RI, and will be required to successfully re-apply for endorsement under this Policy within the exception period or disband at the conclusion of the exception period.