• Section 1 - Introduction
• Section 2 - Scope
• Section 3 - Principles
• Section 4 - Lifecyle process overview
• Section 5 - Key Performance Indicators 
• Table 1: Key Performance Indicator Measures
• Section 6 - Annual reporting
• UOW RESEARCH INSTITUTES
• UOW RESEARCH CENTRES
• UOW RESEARCH CLUSTERS
• Section 7 - Review cycle
• MID-POINT REVIEWS
• FIVE-YEARLY REVIEWS
• Section 8 - Reclassification and disestablishment
• Section 9 - Operational process overview
• Section 10 - Membership
• Section 11 - Leadership and Governance
• APPOINTMENT OF LEADERS
• POSITION DESCRIPTIONS
• GOVERNANCE COMMITTEES
• Section 12 - Funding support for UOW Research Entity activities
• UOW Research Institutes
• UOW Research Centres and Clusters
• Research Performance Funding Calculation Methods
• Expenditure and Management of Funding
• Section 13 - Roles and responsibilities
• Section 14 - Definitions
• Section 15 - Appendix 1: Entity Review Processes
• Section 16 - Appendix 2: Advisory and Management Committees

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 operate within the Framework.

(3) UOW Research Entities (referred to as ‘Entities’ from this point on) are established under the Policy at one of three levels:

1. UOW Research Institute, or
2. UOW Research Centre, or
3. UOW Research Cluster.

(4) Information relevant to the establishment process for Entities is contained in the UOW Research Entity Establishment Guidelines.

(5) Once established, an Entity enters a lifecycle process. These lifecycle processes ensure Entities continue to function within their mandate, effectively and accountably in alignment with the Policy. As part of this, structured reporting and review cycles ensure Entities regularly examine their strategy, performance and alignment with UOW and external priorities and drivers.

Section 2 - Scope

(6) These Guidelines apply to all Entities which are established under the Policy.

(7) These Guidelines outline:

1. implementation phase requirements and processes for newly-established UOW Research Institutes, Centres, and Clusters;
2. how Key Performance Indicators (KPIs) for Entities and Entity Directors are established;
3. how funding and other support may be provided to Entities;
4. reporting cycle, review cycle, reclassification and disestablishment processes;
5. operational requirements; and
6. responsibilities of the Deputy Vice-Chancellor (Research and Innovation) (DVC-RI), host faculties, UOW Research Entities and the Research Services (RS) throughout the UOW Research Entity lifecycle.

(8) These Guidelines operate and are implemented in partnership with the UOW Research Entity Establishment Guidelines.

Section 3 - Principles

(9) UOW Research Entities 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.

(10) 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 and lifecycle 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.

Section 4 - Lifecyle process overview

(11) The lifecycle of an Entity is managed in line with section 5 of the Policy and these Guidelines.

(12) Entity lifecycles are based on an initial five-year establishment term (including the implementation phase), followed by ongoing five-year terms dependent on the outcomes of subsequent review cycles.

(13) Lifecycle processes include establishing and reporting against KPIs, an annual reporting cycle, mid-point and five-yearly reviews, and potential reclassification or disestablishment.

Section 5 - Key Performance Indicators 

(14) KPIs for the Entity, and Entity Director (Institutes and Centres) will be set in accordance with clause 28 of the Policy and will include a combination of mandatory Core and at least three (3) Elective KPIs.

(15) KPIs should reflect the purpose and strategic goals of the Entity and highlight the added benefit to UOW, to Entity members and to the research culture at UOW.

(16) The specific KPIs set for an Entity, including the weighting in any calculations, will be dependent on Entity type (i.e, Institutes, Centres and Clusters), discipline norms, baseline research performance and alignment with the Entity’s strategic plan.

(17) The Core KPIs include standard measures that contribute to UOW’s performance in external assessments of research excellence and impact. The specific measures are detailed below in Table 1: KPI Measures.

(18) The Elective KPIs include other important measures and evidence on the performance and contribution of the Entity. Potential categories of Elective KPIs are detailed below in Table 1. Articulation of these measures is intended to allow flexibility across a range of categories and inspire diverse outcomes and contributions.

(19) The baseline research performance of an Entity at establishment will be calculated on the preceding two (2) years’ research performance against the Core KPIs for primary and adjunct membership as proposed during the establishment process.

(20) The annual research performance of an Entity will be calculated on the preceding two (2) years’ research performance against the Core and Elective KPIs for the confirmed primary and adjunct membership.

(21) The overall research performance of the Entity for both the mid-point review cycle and the full review cycle will consider achievement against all KPIs across the complete relevant cycle.

Table 1: Key Performance Indicator Measures

Section 6 - Annual reporting

(22) An annual report must be submitted to the RS in line with the timetable on the UOW Research Entity intranet page. Reports are to be produced on a template provided by the RS (reports should not be corporate quality productions).

(23) The RS will coordinate:

1. confirmation of membership in line with section 10 of these guidelines;
2. access to research performance data;
3. annual financial statement; and
4. annual report template.

(24) Annual reports must give a succinct account of the Entity’s:

1. distinctive contribution to UOW (i.e, to UOW and faculty values, vision and strategic research priorities; to furthering research excellence and impact; and to the enhancement of research culture at UOW) over and above the research efforts of individual members;
2. research performance and achievements against Entity KPIs;
3. capacity-building activities (i.e., membership development, mentoring, equity and diversity initiatives and succession planning);
4. collaborations and partnerships (i.e., internal collaborations beyond the Entity membership; external partnerships and collaborations; engagement and impacts beyond scholarly research);
5. a detailed income and expenditure financial statement provided by Finance and Procurement (FinProc); and
6. the Entity’s strategic and operational plans for the coming year.

(25) Feedback will be provided to the Entity on its annual report by the host faculty Deputy Dean (Research) (DDR).

(26) An annual summary report on the performance of all Entities will be provided to the DVC-RI and the University Research Committee (URC) by the RS.

(27) Following submission of the annual report, actions that will be undertaken will depend on the Entity level, as outlined in the relevant clauses for each Entity type, specifically Institutes (clauses 28-30), Centres (clauses 31-32) and Clusters (clause 33).

UOW RESEARCH INSTITUTES

(28) Following submission of the annual report, a meeting will be held with the Institute leadership team, DVC-RI, host faculty Executive Dean (E/Dean), DDR, Deputy Dean (Graduate Research) (DDGR), Director, Research Services (Dir RS), and Research and Innovation (R&I) Pro-Vice Chancellors to discuss highlights, achievements, barriers, progress on any review recommendations and future plans. E/Deans, DDRs and DDGR’s from other relevant faculties may be invited to participate.

(29) The annual report will be tabled for noting at the Faculty Research Committee (FRC) and Faculty Executive Committee (FEC) of relevant faculties.

(30) The UOW Research Institute leadership team may be invited to present the Institute’s progress and plans at the relevant FRCs.

UOW RESEARCH CENTRES

(31) Following submission of the annual report, a presentation of highlights, achievements, barriers, progress on any review recommendations and future plans will be provided by the UOW Research Centre to a joint meeting of the host faculty FRC and FEC.  E/Deans, DDRs and DDGRs from other relevant faculties may also be invited to participate.

(32) The annual report will be tabled for noting at the FRCs of all relevant faculties.

UOW RESEARCH CLUSTERS

(33) Following submission of the annual report, UOW Research Clusters, may be invited to present highlights, achievements, barriers, progress on any review recommendations and future plans will be provided by the UOW Research Cluster to the host faculty FRC.

Section 7 - Review cycle

(34) All Entities are established for an initial five-year period based on the following review cycle:

1. A mid-point review will be conducted by the end of the third year following establishment as an Entity, and at the mid-point of each subsequent term.
2. A full review will be conducted no later than five years after establishment, and if renewed for further terms, at least every five years thereafter.

(35) The review process is commensurate with the Entity size and complexity, as outlined in section 5 of the Policy.

(36) Review panels will be appointed by the University, not the Entity. Where an internal review panel is required, members will be appointed by the DVC-RI and/or host faculty E/Dean (as appropriate to the Entity type), and may be drawn from:

1. the DVC-RI, or delegate;
2. the host faculty E/Dean, or delegate;  
3. relevant DDRs; 
4. a Pro Vice Chancellor and/or Dean from the DVC-RI Portfolio; 
5. research leaders from other UOW Research Entities;
6. the Dir RS or delegate
7. other UOW academic or professional services staff, as considered appropriate. 

(37) Principles for review panels will be established, and all review panels will be supported by the RS.

(38) Reviews will examine each Entity’s past performance against agreed KPIs, its value add over and above the research efforts of individual members, its distinctive contribution to UOW, as well as the Entity’s prospective concept, strategy and future KPIs.

(39) Outcomes of reviews will determine the future recognition of the Entity under the Framework.

(40) Support for review, will be provided by the RS.

(41) All Entity review processes are outlined in full detail in Appendix 1 of these Guidelines.

MID-POINT REVIEWS

(42) The purpose of the mid-point review is to ensure Entities are progressing well towards their stated objectives, to identify any barriers to performance and adjustments that should be made, and to address any concerns raised by either Entities or faculties.

(43) All mid-point reviews will be conducted internally at the faculty level, with approval of recommendations by the DVC-RI (Institutes) and the host faculty E/Dean (Centres and Clusters).

(44) Mid-point reviews will focus on:

1. achievement against KPIs to date, and the need to make any adjustments to agreed KPIs for the remainder of the five-year term;
2. leadership and succession planning;
3. effectiveness of researcher and HDR candidate development activities; and
4. financial management.

(45) Entities will be invited to provide a brief submission to the review highlighting achievements and future strategy.

(46) Outcomes of mid-point reviews may include commendation of current operations and/or recommendations for areas for improvement or enhancement to be achieved prior to the full five-yearly review. A recommendation to reclassify or disestablish an Entity at the mid-point review stage would only be made in exceptional circumstances.

FIVE-YEARLY REVIEWS

(47) The purpose of the five-yearly review is to:

1. assess how Entities have performed against their stated objectives over the full term of establishment, including implementation of any recommendations for improvement identified through the mid-point review;
2. consider the Entity’s distinctive value proposition over and above the individual research efforts of members and overall contribution to UOW’s strategic research goals (both retrospectively and prospectively); and
3. deliver a recommendation on the endorsement of the Entity for a further five-year term, including leadership and governance structure and financial support.

(48) Five-yearly reviews will be conducted either externally or internally, depending on Entity level, with approval of recommendations by the DVC-RI (Institutes and Centres) and the host faculty E/Dean (Clusters).

(49) Five-yearly reviews will focus on:

1. achievement against KPIs over the full five-year term;
2. leadership, governance and succession planning;
3. research capacity and diversity;
4. effectiveness of researcher and HDR candidate development activities;
5. financial management (may include a formal audit) and degree of financial sustainability;
6. evolution of the Entity research strategy and plans for the next five-year term; and
7. continued alignment with UOW and relevant faculty strategy and future plans.

(50) Entities will be invited to provide a submission to the review highlighting achievements and future research and leadership strategy.

(51) Outcomes of five-yearly reviews may include a recommendation to renew for a further five-year term (with or without required adjustments), reclassify for a further five-year term, or disestablish an Entity (as outlined in clause 33 of the Policy).

(52) Costs for external reviews and audits will be met from the UOW centrally-administered funding.

Section 8 - Reclassification and disestablishment

(53) Reclassification or disestablishment may take place at the end of the five-year cycle or, in exceptional circumstances, after a mid-term or ad hoc review.

(54) If warranted by exceptional circumstances only, reclassification to a lower Entity level or disestablishment may take place at any time in the Entity lifecycle. Such decisions can be initiated by either the Entity, host faculty or the University.

(55) Reclassification to a higher level can be requested by the Entity as part of the five-yearly review or recommended by the Review Panel. If reclassification is supported following a review, the Entity will be invited to revise its operations and submit a request for recognition at the higher level in accordance with the UOW Research Entity Establishment Guidelines within four (4) months of the review. If a request is not submitted, or if the submitted request is not approved, the Entity will continue to operate at its existing level for a further five-year term, subject to meeting all requirements of the Policy and these Guidelines.

(56) Requests for reclassification will be assessed on the assessment criteria outlined in the UOW Research Entity Establishment Guidelines. Specific processes and timetables will be provided by the RS and will be dependent on the Entity level being applied for.

(57) Disestablishment and closure may occur:

1. following review if recommended by the host faculty E/Dean, based on consultation with all relevant DDRs and DDGRs, and approved by the DVC-RI (Institutes and Centres); or
2. following review if recommended by the FRC and approved by the host faculty E/Dean (Clusters); or
3. voluntarily at any time if requested by the Entity leadership team.

(58) The host faculty E/Dean will manage disestablishment arrangements in collaboration with the Entity leadership team and be supported by the Faculty Research Operations Unit.

Section 9 - Operational process overview

(59) Operational processes which Entities must manage during their lifecycle include, but are not limited to, membership management, funding allocation and management, and leadership and governance appointment and structures.

(60) The specific operational support provided to and by an Entity will vary depending on the Entity level, scope and size. The operational support provided to Entities will be in line with section 8 of the Policy and will be defined in the UOW Research Entity Service Catalogue, which will be coordinated and maintained by the RS.

(61) Upon approval of the Entity, and in line with the Entity Service Catalogue, service level agreements will be developed and implemented for each Entity.

(62) It is noted that some Entities may also be categorised under other governance or formal functions such as a formal University school, major research technology and innovation platform, or other commercial entity.

(63) If a UOW Research Entity holds another formal categorisation, the intersection and divergence of services will be noted across the functions to:

1. optimise operations and service delivery;
2. identify any areas of duplication with established shared services;
3. ensure sufficient resources are in place to deliver on strategic goals;
4. reduce potential burden of operations on resources in place to support alternative functions; and
5. promote transparency and efficiency.

Section 10 - Membership

(64) The RS will establish procedures for the management of UOW Research Entity membership in alignment with section 6 of the Policy. This will include applications for membership, assessment and acceptance of new members (as determined by the Entity leadership team), changes in individuals’ membership and alteration of membership types, and discontinuation of memberships. An online membership register will be established to support Entities to manage memberships. Individuals will have access to their membership details.

(65) The RS will capture active Entity membership details at least annually to support funding allocation, reporting and review processes. Entities must ensure their membership details are up-to-date at these times (dates will be advertised by the RS).

(66) The RS will establish and manage the process of endorsement of dual primary or adjunct memberships in alignment with clause 43 of the Policy. Dual membership for individuals will only be endorsed where:

1. the individual’s research demonstrates significant alignment with both Entities;
2. it is recognised in the individual’s Career Development Plan;
3. it is endorsed by the individual’s Head of School; and
4. it has the support of both Entity Directors/Leaders.

Section 11 - Leadership and Governance

(67) The leadership and governance arrangements for Entities are governed by section 7 of the Policy.

(68) In addition to leading the Entity, leaders will contribute to normal faculty operations e.g., representation on appropriate faculty and school committees and meetings and take an active role in the development of primary members.

(69) Entity leaders will work proactively with the host faculty E/Dean, DDR, Heads of Schools and members to deliver on agreed goals.

(70) The DVC-RI in consultation with E/Deans, will develop and approve a salary allowance schedule for Directors of Institutes and Centres. This allowance will be paid by the host faculty.

(71) The composition of the leadership team will be specific to the Entity level, size and scope. To fulfil the obligations set out in the Policy, it is recommended that leadership teams comprise:

1. UOW RESEARCH INSTITUTES
   1. an Institute Director (or Co-Directors) appointed to a fixed-term contracted position at maximum 0.6 full time equivalent (FTE). The FTE of this role will be recognised entirely as leadership and governance, with research and any teaching workload included in the FTE of the Director’s underlying Faculty/School appointment;
   2. one or more Deputy Directors (duties fulfilled as part of Faculty/School role); and
   3. one or more Theme Leaders (duties fulfilled as part of Faculty/School role)
2. UOW RESEARCH CENTRES
   1. a Centre Director (or Co-Directors) appointed to a fixed-term contracted position at maximum 0.4 FTE. The FTE of this role will be recognised entirely as leadership and governance, with research and any teaching workload included in the FTE of the Director’s underlying faculty/school appointment;
   2. one Deputy Director (duties fulfilled as part of faculty/school role); and,
   3. one or more Theme Leaders (optional) (duties fulfilled as part of faculty/school role)
3. UOW RESEARCH CLUSTERS
   1. A Cluster Leader (duties fulfilled as part of faculty/school role); and
   2. An optional Deputy Cluster Leader (duties fulfilled as part of faculty/school role).

APPOINTMENT OF LEADERS

(72) The initial appointment of the Institute Director, Centre Director and Cluster Leader will be determined as part of the establishment and approval of the Entity, and normally reflect the full term.

(73) Institute and Centre Director fixed-term fractional positions will be established as new direct appointments under the UOW Recruitment and Selection Policy, filled by researchers with underlying paid positions within UOW, and funded by the host faculty.

(74) Cluster Leader appointments will be fulfilled within the person’s existing position and workload.

(75) Institute Director, Centre Director and Cluster Leader appointments will continue for the full first term of the Entity and may be renewed for a second term if conditions outlined in the Policy (clause 55) are met. Subsequent renewals of appointment would be by exception only.

(76) Nomination of a new Institute or Centre Director may take place as part of the full five-yearly review, at which time the new incumbent will be directly appointed if approved by the relevant delegate.

(77) Institute and Centre Director vacancies occurring at other times will be filled through a competitive recruitment process, in line with the UOW Recruitment and Selection Policy.

(78) The composition of any required selection panels will be commensurate with the Entity level. Selection panels will be chaired by:

1. the DVC-RI for Institute Directors;
2. the host faculty E/Dean for Centre Directors.

(79) Appointments to roles within the Entity leadership group which are not fixed-term fractional appointments (i.e. to Cluster Leader and Cluster Deputy Leader, Institute or Centre Deputy and Theme Leader roles) will also be made at establishment. Subsequent vacancies in these roles will be filled through processes determined within each Entity in consultation with the host faculty. The relevant faculty workload model will apply for these roles, underpinned by an agreed responsibilities statement.

POSITION DESCRIPTIONS

(80) Standard leadership position descriptions for each Institutes and Centres will be maintained by the RS in consultation with People and Culture Division (PandC).

(81) The final position description for each Entity Director will be confirmed at the time of appointment and retained as part of the individual’s employment record.

(82) The final position description may be adjusted as part of the individual’s annual Career Development Review processes and updated on the individual’s employment record.

(83) Any changes to an Institute Director’s position description must be approved by the DVC-RI.

GOVERNANCE COMMITTEES

(84) The governance committees required by an Entity must be commensurate with the Entity level (see section 7 of the Policy). Each committee will manage its operations in accordance with the minimum requirements set out below and in Appendix 2 of these Guidelines.

(85) Advisory Committees (to be appointed by the University):

1. Institutes: Mandatory - the majority of members must be external to UOW, and the composition will be approved by the DVC-RI.
2. Centres: Optional - may include a mix of UOW and external members, and the composition will be approved by host faculty E/Dean.
3. Clusters: Not required.

(86) Management Committees (to be appointed by the Entity in collaboration with the host faculty and DVC-RI):

1. Institutes: Mandatory – must be representative of the diversity of career stages, genders and backgrounds within the Institute, and include UOW representatives from outside the Institute as nominated by the DVC-RI. The composition will be approved by the DVC-RI and host faculty E/Dean.
2. Centres: Mandatory – must be representative of the diversity of career stages, genders and backgrounds within the Centre. The composition will be approved by host faculty E/Dean.
3. Clusters: Optional – must be representative of the diversity of career stages, genders and backgrounds within the Cluster. The composition will be approved by host faculty E/Dean.

Section 12 - Funding support for UOW Research Entity activities

(87) All Entities are expected to attract external income (as outlined in section 9 of the Policy) which will support research and contribute to funding Entity activities.

(88) The allocation of UOW financial support to individual Entities is governed by the UOW Research Block Grant (RBG) Distribution and Allocation Policy, which identifies a fixed percentage of annual UOW RBG income for support of Entities under the UOW Research Entities and Platforms Pool (“the RBG Entities Pool”).

(89) Funding may be allocated to individual Entities dependent on:

1. Entity level (i.e. Institute, Centre or Cluster);
2. funding decisions endorsed at establishment and review cycles;
3. evidence of research performance against agreed metrics and measures; and
4. strategic funding decisions by the host faculty and/or University.

(90) Allocation of any funding is contingent on the Entity continuing to meet the requirements of the Policy and work productively towards its agreed KPIs, as demonstrated through Entity annual reports.

UOW Research Institutes

(91) A percentage of the RBG Entities Pool will be allocated to Institutes. In 2024, this will be set at 60%, however in future years (following completion of the UOW Research Entities Framework transition period and the implementation of the Major Research Platforms Framework) this percentage may be reviewed and adjusted.

(92) Institutes will attract a modest base funding amount annually, with the amount considered and agreed at establishment, approved by the DVC-RSF, and reassessed at each review cycle. Base funding amounts will be set taking into account membership size, costs of undertaking research in the relevant discipline areas, and other regular sources of funding available to the Institute.

(93) RBG funding available to Institutes (e.g. 60% of the RBG Entities Pool in 2024) will be split into base and performance funding components.

(94) Once base funding commitments are allocated, all remaining RBG Entities Pool funding will be distributed among Institutes linked to evidence of performance (based on research metrics, especially impact, achievement against KPIs or other methods, as agreed at establishment).

UOW Research Centres and Clusters

(95) The remaining portion of the RBG Entities Pool (e.g. 40% in 2024) will be available to support Centres and Clusters.

(96) Host faculties will receive a share of this funding based on research metrics of Centre and Cluster primary members (including out-of-faculty members), aggregated to calculate a total funding allocation amount to each host faculty.

(97) Research metrics and weightings used will reflect Federal Government Research Support Program (RSP) calculation models current at the time of allocation.

(98) Each host faculty will exercise strategic discretion to determine how this funding is distributed among its Centres and Clusters. In some cases, the host faculty may take the decision not to provide performance funding to a particular Entity or to any Entities within a particular level. All funding decisions must align with arrangements agreed at establishment of each Entity.

(99) The distribution of performance funding within host faculties may be based on research performance metrics, achievement against KPIs, or by other methods

(100) Establishment as a Centre or Cluster does not guarantee an annual allocation of internal funding. Where funding is to be provided, performance funding is the recommended method of allocating any agreed support. The provision of base funding to Centres is at the discretion of the host faculty. Base funding will not be provided to Clusters.

Research Performance Funding Calculation Methods

(101) Research performance funding calculation methods will be considered and agreed at establishment of each Entity, and reassessed at each review cycle. Any performance funding provided must be linked to demonstrated achievement against pre-determined research metrics, KPIs or other agreed measures.

(102) Where performance funding is to be provided, the calculation will be based on research activities of primary and adjunct members (pro rata for dual memberships).

Expenditure and Management of Funding

(103) Entities may expend RBG funding support on activities including, but not limited to:

1. travel for fieldwork, conferences and collaborations;
2. publication, events, visitors, seminars;
3. research project support;
4. awards and prizes;
5. consumables;
6. equipment purchases and maintenance;
7. HDR candidate support, in addition to the support already provided through other sources;
8. fixed-term specialised personnel appointments linked to specific Entity activities (as per clause 63 of the Policy).

(104) Entities are not permitted to expend RBG funding on activities including:

1. competitive internal grant schemes requiring administrative support either within or from outside the Entity;
2. HDR stipends; or
3. other items as may be advised by the RSO.

(105) Management of RBG funding support must be transparent and compliant with all relevant UOW policies. Entities that receive RBG funding support must include an expenditure statement in each year’s annual report.

Section 13 - Roles and responsibilities

(106) Roles and responsibilities are as outlined throughout these Guideline, the UOW Research Entity Establishment Guidelines and in the Policy.

Section 14 - Definitions

(107) No new definitions are listed in these Guidelines.

Section 15 - Appendix 1: Entity Review Processes

(108) UOW Research Entity Review Processes

Section 16 - Appendix 2: Advisory and Management Committees

(109) UOW Research Entity Advisory and Management Committees