• Section 1 - Summary
• Section 2 - Scope
• Section 3 - Policy Statement
• Core Requirements
• Protecting Country, Ethics and Responsible Research
• Dual-Sector Mission
• Governance and Accountability
• Differentiation of Research Centres and Research Institutes
• Performance, Monitoring and Review
• Sustainability and Institutional Support
• Naming and Identity
• Section 4 - Procedures
• Section 5 - HESF/ASQA/ESOS Alignment
• Section 6 - Definitions

Section 1 - Summary

(1) This Policy establishes the principles and governance framework for the establishment, operation, oversight, variation and disestablishment of Research Centres and Research Institutes at Victoria University (VU).

(2) The Policy supports the development of a coherent, strategically aligned and sustainable portfolio of Research Centres and Research Institutes that strengthen research capability, foster interdisciplinary collaboration and partnerships, and deliver research with impact through the development, translation and application of knowledge to address challenges relating to people, place and planet.

Section 2 - Scope

(3) This Policy applies to all staff, academic units and governance bodies involved in the establishment, management and oversight of Research Centres and Research Institutes across all VU locations, including onshore and offshore operations.

(4) This Policy applies to all Research Centres and Research Institutes formally established or recognised by VU.

(5) This Policy does not apply to:

1. Colleges, Schools, Departments or other formal organisational units;
2. Research groups, networks, programs or teams operating within existing organisational structures; or
3. External legal entities or joint ventures governed by separate contractual arrangements.

Section 3 - Policy Statement

(6) Victoria University establishes Research Centres and Research Institutes as strategic research entities that advance the University's research priorities, strengthen research capability, foster interdisciplinary collaboration and partnerships, and deliver research with impact.

(7) The establishment, variation, redesignation and disestablishment of Research Centres and Research Institutes will be informed by appropriate consultation with relevant stakeholders.

(8) Research Centres and Research Institutes should demonstrate contribution to one or more of the following institutional objectives:

1. Applied, translational and interdisciplinary research;
2. Research excellence and development of research capability
3. Collaboration, co-design and partnership with industry, government and community, and other relevant stakeholders
4. Delivering outcomes that respond to community and social needs and contribute to economic, social, cultural and environmental benefit; and
5. Translating research and knowledge into policy, practice, innovation, workforce capability and system change.

(9) Research Centres and Research Institutes must align with the University's strategic direction and the Research and Impact Plan and contribute to one or more of the University's priority research themes.

(10) Strategic alignment requirements relate to the establishment, resourcing and continuation of Research Centres and Research Institutes and do not limit the academic freedom of individual researchers to pursue, conduct, publish or communicate research findings

(11) Research Centres and Research Institutes will only be established or continued where they demonstrate institutional additionality through the creation of research capability, impact, partnerships or collaboration outcomes that would not reasonably be achieved through existing organisational structures or activities.

(12) In determining whether to establish, continue, vary or disestablish a Research Centre or Research Institute, the University will consider:

1. consultation required in accordance with VU’s Enterprise Agreement provisions;
2. alignment with University strategy and research priorities;
3. the strength and distinctiveness of the proposed research capability;
4. the additional research, impact, partnership or capability outcomes created through establishment of the entity;
5. existing and potential areas of duplication, fragmentation or overlap;
6. opportunities for collaboration, integration or consolidation;
7. the capacity to attract and sustain external partnerships, investment and research income;  
8. resource and infrastructure implications (including but not limited to staffing, financials and systems);
9. the potential for impact on other areas of the University; and
10. the contribution of the entity to the coherence and strategic balance of the University's overall research and impact ecosystem.

Core Requirements

(13) Research Centres and Research Institutes must demonstrate:

1. research capability and leadership sufficient to deliver high-quality, distinctive and impactful research;
2. a clear program of research with defined objectives, intended outcomes and areas of focus;
3. a credible pathway to research translation and impact, including contributions to knowledge, policy, practice, innovation, workforce capability, community outcomes or system change;
4. a collaborative approach that supports interdisciplinary activity, partnership, co-design and mutual benefit;
5. meaningful external engagement appropriate to the purpose, scale and maturity of the entity;
6. a sustainable operating model, including appropriate funding, workforce capability, infrastructure, administrative support and institutional support;
7. effective leadership arrangements, including appropriate succession planning and development of future research leaders; and
8. appropriate mechanisms for monitoring performance, demonstrating impact and supporting continuous improvement.

(14) Research Centres and Research Institutes must maintain transparency regarding significant sources of external funding, sponsorship, philanthropic contributions and strategic partnerships, consistent with University policies, legislative requirements and confidentiality obligations.

Protecting Country, Ethics and Responsible Research

(15) In accordance with the University's commitment to Protecting Country, Research Centres and Research Institutes must operate ethically, responsibly and inclusively.

(16) Research Centres and Research Institutes must recognise and respect the knowledge, leadership, cultures and rights of First Nations Peoples and, where relevant, support research that is co-designed and undertaken in genuine partnership with First Nations communities.

(17) All activities of Research Centres and Research Institutes must comply with applicable University policies and frameworks relating to research integrity, ethics, responsible research, equity, inclusion and community engagement.

Dual-Sector Mission

(18) As a dual-sector university, VU supports Research Centres and Research Institutes that, where relevant to their purpose, integrate research, education, skills, workforce development and innovation to deliver impact for industry, community and government.

(19) Research Centres and Research Institutes should contribute to opportunities for research training, researcher development, workforce capability and engagement of Higher Degree by Research (HDR) students and emerging researchers, where appropriate to the entity's purpose and activities.

Governance and Accountability

(20) Each Research Centre and Research Institute must have a designated responsible organisational unit accountable for supporting its governance, financial oversight, resourcing and institutional reporting arrangements.

(21) The responsible unit must be identified at the time of establishment and remain accountable for oversight of the entity throughout its lifecycle.

(22) Research Centres and Research Institutes must operate with clear governance, leadership, accountability and reporting arrangements, consistent with VU policies, frameworks and delegated authority.

(23) Research Centres and Research Institutes should engage with relevant institutional research leadership initiatives, including the University’s Strategic Thematic Area Research and Translation (START) Leads, where appropriate to support interdisciplinary collaboration, strategic alignment, capability development and the coordination of research activity across the University’s research ecosystem.

(24) Governance arrangements must clearly define:

1. leadership responsibility and accountability;
2. strategic oversight and decision-making arrangements;
3. responsibility for managing, monitoring and reporting on external funding and associated obligations in accordance with applicable University policies, delegations and funding agreements;
4. relationships with relevant Colleges, Schools, Institutes, Centres and other organisational units;
5. responsibility for financial management, workforce planning and resource allocation;
6. arrangements for the attribution and reporting of research income, outputs, impact and other relevant performance measures;
7. management of actual, potential or perceived conflicts of interest; and
8. mechanisms for external, community and stakeholder advice, where appropriate to the purpose of the entity.

Differentiation of Research Centres and Research Institutes

(25) Research Centres and Research Institutes are differentiated according to their purpose, scale, maturity, research capability, interdisciplinary reach, external engagement, institutional significance, sustainability and demonstrated impact.

(26) Research Centres are strategic research entities that bring together researchers, partners and other relevant stakeholders to deliver a defined program of research, translation and impact in an area of institutional priority or emerging strategic opportunity.

(27) The designation of an entity as a Research Centre or Research Institute must be based on transparent criteria established in the Research Centres and Institutes Procedure.

(28) The University may approve the transition of a Research Centre to Research Institute status, or the redesignation of a Research Institute as a Research Centre, where demonstrated performance, scale, strategic significance or changed circumstances warrant such variation.

Performance, Monitoring and Review

(29) Research Centres and Research Institutes are ordinarily established for a defined approval period and remain subject to continuation based on demonstrated performance, impact, sustainability and strategic value.

(30) Research Centres and Research Institutes must establish performance objectives and indicators appropriate to their purpose, scale, maturity and stage of development.

(31) Performance should be assessed using a balanced set of indicators, which may include:

1. research quality, outputs and capability;
2. research income, investment and financial sustainability;
3. research translation and demonstrated impact;
4. industry, government, community and other external partnerships;
5. interdisciplinary and cross-University collaboration;
6. research training, researcher development and workforce capability;
7. contribution to education, skills and student engagement, where relevant;
8. reputation, influence and external engagement;
9. effective governance, leadership and succession planning;
10. equity, inclusion, co-design and community benefit; and
11. strategic alignment and institutional contribution.

(32) Performance expectations will be established as part of the entity’s approved operating plan and endorsed by the Deputy Vice-Chancellor, Research and Impact or delegate.

(33) Planning and review processes must consider workforce wellbeing, psychosocial risks and occupational health and safety implications associated with organisational change, staffing and operational arrangements.

(34) Research Centres and Research Institutes must undergo a formal review at least every three years. The Deputy Vice-Chancellor, Research and Impact is responsible for commissioning the review and appointing an appropriately constituted review panel or committee in accordance with the Research Centres and Institutes Procedure.

(35) The review panel or committee will assess the entity’s performance, impact, sustainability and strategic alignment and make recommendations to the Deputy Vice-Chancellor, Research and Impact regarding its continuation, variation, investment, consolidation, redesignation or disestablishment.

(36) Following consideration of the review findings and recommendations, the Deputy Vice-Chancellor, Research and Impact will determine the outcome within the scope of their delegated authority or refer the matter to the relevant approving authority.

(37) Where performance concerns are identified, the Deputy Vice-Chancellor, Research and Impact may require an improvement plan to be developed and implemented before a final decision is made.

(38) Where a Research Centre or Research Institute is supported by fixed-term external funding arrangements, reviews may be coordinated with key funding milestones where appropriate.

(39) Prior to the conclusion of a significant external funding period, the University will determine whether the entity should continue, transition, vary or be disestablished based on sustainability, strategic value and future funding prospects.

Sustainability and Institutional Support

(40) Research Centres and Research Institutes must maintain an operating and sustainability plan proportionate to their scale, maturity and purpose.

(41) Research Centres and Research Institutes may be supported through University investment, external funding or a combination of both. External funding and any associated obligations must be accepted, managed, monitored and reported in accordance with applicable legislation, University policies, delegations and the terms under which the funding is provided.

(42) Sustainability planning should address, where relevant:

1. diversification of research income and external investment;
2. workforce planning and succession;
3. infrastructure, administrative and operational requirements;
4. strategic partnerships and external engagement;
5. institutional investment and support;
6. management of financial, operational and reputational risk; and
7. capacity to respond to growth, contraction and changes in strategic priorities.

(43) Establishment or continuation as a Research Centre or Research Institute does not, in itself, guarantee ongoing University funding or additional resources.

Naming and Identity

(44) The naming of Research Centres and Research Institutes must be appropriate, accurate and consistent with University naming, branding, identity requirements, and applicable policies.

(45) The proposed name must clearly communicate the entity's purpose and area of focus, minimise the potential for duplication or confusion with existing University entities or external initiatives, and support the University's reputation and strategic positioning.

Section 4 - Procedures

(46) Research Centres and Institutes Procedure

Section 5 - HESF/ASQA/ESOS Alignment

(47) HESF (Threshold Standards) 2015: Standards 4.1: Research; 5.2 Academic and Research Integrity; 5.3 Monitoring, Review and Improvement; 6.1 Corporate Governance; 6.2 Corporate Monitoring and Accountability; 6.3 Academic Governance.

Section 6 - Definitions

(48) Research Centre: A formally recognised strategic research entity that brings together researchers, partners and other relevant stakeholders to deliver a defined program of research, translation and impact in an area of institutional priority or emerging strategic opportunity. Research Centres are subject to 3-year review and continuation based on demonstrated performance, impact, sustainability and strategic alignment.

(49) Research Institute: A major University-wide strategic research entity characterised by substantial and sustained research capability, interdisciplinary reach, external engagement, research income, partnerships, reputation and demonstrated impact. Research Institutes typically operate across multiple disciplines and organisational units and address complex challenges relating to people, place and planet.