• Section 1 - Summary
• Section 2 - Scope
• Section 3 - Policy/Regulation
• Section 4 - Procedures
• Part A - Summary of Roles and Responsibilities
• Part B - Establishment
• Classification of Research Centres and Research Institutes
• Establishment principles
• Proposal Development and Consultation
• Proposal requirements
• Naming governance
• Endorsement and approval
• Establishment period
• Part C - Governance and Operation
• Governance and operation
• Reporting
• Part D - Review, Continuation and Disestablishment
• Review
• Continuation and disestablishment
• Part E - Records Management
• Records
• Section 5 - HESF/ASQA/ESOS Alignment
• Section 6 - Definitions

Section 1 - Summary

(1) This Procedure sets out the process for establishing, managing, reviewing and disestablishing Research Centres and Research Institutes at Victoria University (VU). It supports consistent decision-making, transparent governance, and alignment with VU’s strategic research priorities, Research Impact Plan and delegated authority framework.

Section 2 - Scope

(2) This Procedure 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.

(3) This Procedure applies to all University Research Centres and Research Institutes formally established or recognised by VU.

(4) This Procedure does not apply to:

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

Section 3 - Policy/Regulation

(5) Research Centres and Institutes Policy

Section 4 - Procedures

Part A - Summary of Roles and Responsibilities

Part B - Establishment

Classification of Research Centres and Research Institutes

Research Centres

(6) A Research Centre would generally:

1. have a defined research focus or program;
2. demonstrate an emerging or established critical mass of researchers;
3. support interdisciplinary collaboration where appropriate;
4. attract external engagement and partnerships relevant to its purpose;
5. contribute to one or more University research priorities; and
6. demonstrate potential for research impact and growth.

Research Institute

(7) A Research Institute would generally:

1. demonstrate substantial and sustained research capability;
2. operate across multiple disciplines, colleges or organisational units;
3. attract significant external funding and partnerships;
4. support major national or international collaborations;
5. demonstrate sustained impact and reputation; and
6. make a significant contribution to the University’s research profile.

Establishment principles

(8) Research Centres and Research Institutes may only be established where there are clear strategic rationale and evidence that the proposed entity will deliver outcomes that would not ordinarily be achieved through existing organisational structures, research groups or disciplinary activity.

(9) A proposal for a Research Centre or Research Institute must demonstrate how the proposed entity satisfies the Core Requirements set out in the Research Centres and Research Institutes Policy.

(10) Research Centres and Research Institutes must strengthen research capability, foster interdisciplinary collaboration, support external engagement and deliver measurable research impact.

(11) The requirement for strategic alignment relates to institutional investment, establishment and continuation decisions and does not limit the academic freedom of individual researchers to undertake, publish or disseminate research

Proposal Development and Consultation

(12) Prior to submitting a proposal, proponents must consult with relevant stakeholders.

(13) Where philanthropic support or engagement with a prospective donor is contemplated, the proponent must consult Advancement before any approach, proposal or commitment is made.

(14) Consultation undertaken during proposal development must be documented and summarised within the proposal, including:

1. stakeholders consulted;
2. method of consultation;
3. key issues raised; and
4. how feedback was considered.

(15) Consultation must consider:

1. the strategic rationale for the proposed entity;
2. whether the proposed activity can be accommodated within an existing structure;
3. governance, resourcing and risk considerations;
4. potential impact on other areas within the University;
5. naming, partnership and funding implications; and
6. alignment with University priorities and the Research Impact Plan.

(16) Consultation may include, as relevant:

1. Deputy Vice-Chancellor Research and Impact;
2. Institute Directors
3. Governance and Secretariat;
4. Chief Marketing and Experience Officer;
5. Chief Advancement Officer;
6. Office of General Counsel;
7. Finance;
8. Risk and Compliance;
9. People and Culture;
10. Moondani Balluk;
11. Victoria University staff;
12. external partners; and
13. Research and Research Training Committee.

Proposal requirements

(17) A proposal must include:

1. proposed name and proposed classification as a Research Centre or Research Institute, including justification for the classification; and proposed name, including how the name:
   1. reflects the purpose, scope and strategic focus of the proposed entity;
   2. supports recognition of Victoria University's identity, reputation and strategic priorities;
   3. avoids confusion with existing University entities and external organisations; and
   4. is appropriate having regard to any partner, donor, benefactor or stakeholder association.
2. strategic rationale and alignment with the University's strategic direction, Research and Impact Plan and one or more research themes;
3. research focus, objectives and anticipated outcomes;
4. evidence of research capability, leadership, critical mass of researchers, and relevant track record;
5. a description of the anticipated impact, including benefits for industry, government, community, policy, practice or innovation;
6. evidence of partnerships, collaboration, co-design or stakeholder engagement, where relevant;
7. governance structure, reporting lines and proposed leadership arrangements;
8. funding, financial expectations, resourcing and workforce arrangements, including a financial business case in accordance with this Procedure;
9. performance measures and success indicators;
10. risk assessment and mitigation strategies;
11. a summary of stakeholder consultation undertaken and feedback provided;
12. proposed establishment period and review cycle;
13. an implementation plan; and
14. an assessment of existing and proposed research activity within the University, including opportunities for collaboration, integration, consolidation or avoidance of duplication.

(18) Proposals must demonstrate the additional value that will be created through the establishment of the Research Centre or Research Institute, including consideration of existing research activity, opportunities for collaboration, integration or consolidation, and any potential duplication, fragmentation or overlap.

(19) A proposal template must include a financial business case that identifies all proposed sources of University and external funding; distinguishes between confirmed, conditional and prospective income; and identifies any material funding conditions, reporting and accountability requirements, University co-investment, in-kind contributions, infrastructure and indirect costs, sustainability arrangements, and proposed transition or exit arrangements at the conclusion of funding.

Naming governance

(20) The name must be appropriate, accurate, aligned with purpose, and consistent with University standards, values, ethics and branding requirements.

(21) Where the name or focus involves First Nations knowledge, communities, Country or cultural authority, consultation must occur with Moondani Balluk.

(22) Where a proposed name or associated recognition relates to philanthropic support, a donor or benefactor, advice must be sought from the Chief Advancement Officer. Other externally associated naming proposals must be referred to the Chief Employment & Engagement Officer and managed in accordance with applicable naming, branding and approval requirements

Endorsement and approval

(23) Proposals must be developed in consultation with relevant stakeholders and endorsed by the Deputy Vice-Chancellor Research and Impact.

(24) Proposals must be considered by the Victoria University Research Executive Group (VUREG) before submission to the Research and Research Training Committee, Academic Board and Council for approval.

(25) Establishment of Research Centres and Research Institutes requires approval in accordance with the Delegations and Authorisations Policy and follows the following governance pathway:

1. Research Centres – approved by the Vice-Chancellor on the recommendation of the Research and Research Training Committee and Academic Board.
2. Research Institutes – approved by Council on the recommendation of the Research and Research Training Committee and Academic Board.

Establishment period

(26) Research Centres and Research Institutes may be established for a defined period determined at the time of approval, having regard to the scale, funding model and strategic intent of the entity.

(27) Research Centres and Research Institutes remain subject to formal review at least every three years in accordance with this Procedure

(28) The approved term must reflect the scale, funding model and strategic intent.

Part C - Governance and Operation

Governance and operation

(29) Each Research Centre and Research Institute must have clearly documented governance, reporting and accountability arrangements.

(30) Each Research Centre and Research Institute must have a dedicated area of organisational responsibility identified at the time of establishment. This area is accountable for supporting governance, financial oversight, reporting and other institutional obligations associated with the entity.

(31) Research Centres and Research Institutes do not ordinarily constitute organisational units. Staffing arrangements may vary depending on the approved structure, funding model and organisational arrangements of the entity.

(32) Governance arrangements must include:

1. a Director;
2. reporting lines;
3. defined accountabilities;
4. performance and reporting requirements;
5. financial oversight;
6. risk management arrangements.

(33) Each Research Centre and Research Institute will have a Director who is responsible for:

1. strategic leadership;
2. delivery of objectives and KPIs;
3. governance and reporting;
4. research integrity and compliance;
5. partnerships and engagement;
6. financial and resource management;
7. performance reporting;
8. review preparation.

(34) Externally funded Research Centres and Research Institutes must comply with any additional governance, reporting and accountability requirements specified in applicable funding agreements.

Reporting

(35) Research Centres and Research Institutes are subject to annual monitoring by the Academic Board through Research and Research Training Committee. Annual reports must include:

1. progress against approved objectives and performance measures;
2. research outputs, outcomes and impact;
3. research income, funding and sustainability;
4. partnerships, engagement and research translation activities;
5. governance, risk and compliance matters; and
6. alignment with the University's Research Impact Plan and strategic priorities;
7. collaboration across the University, including engagement with relevant Strategic Thematic Area Research and Translation (START) Leads where appropriate, and contribution to the University's research priorities and broader research ecosystem.

Part D - Review, Continuation and Disestablishment

Review

(36) Research Centres and Research Institutes must undergo a formal review at least every three years.

(37) Additional reviews may be initiated at any time by the Deputy Vice-Chancellor Research and Impact where there are concerns regarding performance, governance, financial sustainability, compliance, risk, organisational restructuring, or changes to the University’s strategic priorities or operating environment.

(38) Reviews must consider whether the Research Centre or Research Institute continues to satisfy the Core Requirements set out in clause 14 of the Research Centres and Institutes Policy.

(39) Reviews must also consider the institutional considerations set out in clause 13 of the Research Centres and Research Institutes Policy, including:

1. performance against approved objectives and performance measures;
2. alignment with University strategy, research priorities and the Research Impact Plan;
3. the additional value created through the entity;
4. existing and potential duplication, fragmentation or overlap;
5. opportunities for collaboration, integration or consolidation;
6. the capacity to attract and sustain external partnerships, investment and research income;
7. resource and infrastructure implications;
8. the contribution of the entity to the University’s overall Research and Impact ecosystem;
9. governance and reporting performance;
10. compliance with relevant legislative, regulatory and University requirements; and
11. risk and reputational considerations.

(40)  A review report must be submitted to the Research and Research Training Committee for consideration and recommendation to Academic Board.

Continuation and disestablishment

(41) Following review, Academic Board may recommend that a Research Centre or Research Institute:

1. continue for a further approved period;
2. continue subject to specified conditions;
3. be varied;
4. be merged with another Research Centre or Research Institute; or
5. be disestablished.

(42) Minor operational variations, including changes to membership, research themes, research groups, partnerships or internal operating arrangements that do not materially alter the approved purpose, governance, scope or strategic intent of a Research Centre or Research Institute, may be managed through normal governance and reporting processes

(43) A proposal involving a major variation, merger or disestablishment of a Research Centre or Research Institute must include:

1. the rationale for the proposed change;
2. consultation undertaken;
3. implications for staff, students, partners and stakeholders;
4. workforce wellbeing, psychosocial risks and occupational health and safety implications associated with organisational change, staffing and operational arrangements;
5. financial, contractual and resource implications;
6. risk considerations; and
7. proposed transition arrangements.

(44) Where disestablishment is proposed, arrangements must be made for the orderly management of:

1. active research projects;
2. funding and contractual obligations;
3. research records and data;
4. intellectual property;
5. staff and student implications;
6. external partnerships and stakeholder communications; and
7. any other matters necessary to support an orderly transition.

(45) Where a proposed major variation, merger or disestablishment may affect obligations under an external funding agreement, the responsible organisational unit must consult the relevant University relationship owner and the Office of General Counsel before any approach, notification or commitment is made to the external funder.

(46) Continuation, variation, merger and disestablishment decisions must be approved in accordance with the Delegations and Authorisations Policy.

Part E - Records Management

Records

(47) Approved Research Centres and Research Institutes must be recorded in an appropriate University register or equivalent record.

(48) Records relating to Research Centres and Research Institutes must be managed in accordance with the Records Management Policy.

Section 5 - HESF/ASQA/ESOS Alignment

(49) 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

(50) Centre of Impact: A Research Centre established to deliver applied, measurable research impact.

(51) Director: The person responsible for leadership, performance and governance of a Research Centre or Institute.

(52) Research Centre: A formally recognised, typically time-bound research entity that brings together researchers to deliver a defined program of research and impact in a strategic area and designed to achieve impact through collaboration and application.

(53) Research Institute: A strategic, University-wide research entity with significant capability, impact and external engagement, typically operating across multiple disciplines and organisational units to address complex challenges relating to people, place and planet.

(54) Research with impact: The development and application of knowledge, in partnership, to address challenges relating to people, place and planet.

(55) Sponsor: The senior leader responsible for endorsing and supporting a proposal.