D/4.1 Institutes (Tier 1)

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4.1.1 Description
4.1.2 Definitions
4.1.3 Formation of an institute
4.1.4 Selection criteria
4.1.5 Funding
4.1.6 Powers
4.1.7 Structures
4.1.8 Planning and reporting
4.1.9 Review
4.1.10 Closure
Modification History

4.1.1 Description

Institutes are formed as University-level entities in response to their potential to contribute to the University's strategic plans for research, and to achieve research outcomes that cannot be achieved by faculties operating alone. They draw on the research strengths of faculties while fostering synergies and collaboration on a larger scale within the University, and contribute to the University's research capacity building through attraction of high level research staff.

Institutes will contribute to the evolution of research management structures at QUT particularly in their impact on existing arrangements in participating faculties, including the functioning of faculty research centres. An interdependent partnership model will characterise the relationship between institutes and participating faculties. This interdependence will normally be evident in resourcing flows, budget and staff management and accountability for enhanced research outcomes.

Institutes will be characterised by:

• strategic fit with QUT's research strengths;
• responsiveness to national and state research priorities;
• alignment with regional, and industry specific economic development priorities;
• novel interdisciplinary research and depth of disciplinary expertise; and
• ability to harness global economic opportunities and project QUT's research impact internationally.

Institutes undertake research and research training, as well as the dissemination of research through outside work such as commercial research, consultancy and community engagement. Consultancy and continuing professional education activities undertaken by institutes must be value-adding and novel by virtue of their interdisciplinary nature.

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4.1.2 Definitions

“member of an institute”

refers to institute staff, and academic and professional staff employed by the University and located in the faculties and divisions as determined by the institute director following recommendation of the executive dean of faculty or head of division and agreement concerning the share of a member's research which is assigned to the institute; the institute director or nominee will have a formal role in the faculty-based or division-based performance planning and review process for members of the institute.

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4.1.3 Formation of an institute

Proposals to form institutes should be discussed at an early stage with the Deputy Vice-Chancellor (Research and Commercialisation). Following wide consultation across the University and approval to present a formal case for establishment of an institute, the proposal will be assessed by University Research and Innovation Committee for recommendation to University Academic Board, which recommends to Council.

Those proposing formation of an institute must prepare a proposal including the information required by the Institute Application Proforma, and a business plan consistent with the QUT Business Case Framework .

Applications and business plans should focus on:

• alignment with the institute characteristics listed in D/4.1.1. above, and with QUT's research aspirations articulated in the institutional plans;
• the research and development strategy, and measures designed to ensure its successful implementation;
• relevant quality measures;
• costs and benefits to QUT, and how risks will be managed;
• opportunities for wide-ranging participation by QUT faculties and staff;
• governance and management arrangements, including financial management, and relationship management within QUT;
• organisational reporting requirements.

In assessing proposals to form an institute, University Research and Innovation Committee may seek independent external review of proposals.

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4.1.4 Selection criteria

Proposals to form institutes will be assessed on merit according to the following guidelines:

(i) Strategic purpose / objectives

• the ability of the institute to accelerate university research, commercial research and research training priorities;
• the ability of the institute to contribute to state and national research priorities;
• the ability of the institute to become a national leader, and recognised international contributor in a defined area of research strength;
• the ability of the institute to accelerate cross-faculty collaboration;
• the ability of the institute to contribute to professional staff and academic staff career development in research areas;

(ii) Structure

• the director's capacity for leadership, vision, management and strategic planning;
• integration and management of the relationship with stakeholding faculties, including any impacts on the structure and / or operations of faculty research centres;

(iii) Research training

• the contribution of the institute to research training at the honours, postgraduate and early career researcher level;
• the extent to which research training activities align with the institute's research focus and strategic objectives;

(iv) Outputs

• the quality of the existing and potential research;
• the proposed institute's existing and projected contribution to QUT's earnings for Institutional Grants Scheme, Research Training Scheme and Research Infrastructure Block Grant;
• the impact of research outputs across standard performance indicators (grants, publications, and completions) in relation to national and international competitors;
• the potential for the institute to develop and promote a commercialisation culture that supports intellectual property protection and facilitates technology transfer;
• the ability of the institute to develop verifiable public good outcomes;

(v) International, national and regional links and networks

• the standing of the institute relative to major international centres in the field;
• the potential for development and enhancement of international interactions, linkages and funding;

(vi) End-user links

• relevance of the proposed program of research to potential end-users;
• potential to attract external partners to the institute and develop long-term strategic partnerships;
• the potential opportunity to deliver education and outreach programs in professional and technical training;

(vii) Indicative measures - within the above guidelines, the following measures would normally be expected as indicative of the minimum size, scope and capacity of an institute:

• a critical mass of 30 individual active researchers proposed as members of the institute contributing to the research objectives of the institute;
• 50 PhD and masters by research students, with an average of 15 to 20 completions per annum;
• existing and projected contribution to QUT's earnings for Institutional Grants Scheme, Research Training Scheme and Research Infrastructure Block Grant equivalent to 10% of the University's total earnings allocated under these schemes;
• annual budget (all sources) of $3 million.

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4.1.5 Funding

The operational funding base of the institute must be designed so as to ensure its capacity to significantly accelerate the research productivity of QUT and to increase QUT's external research funding base and its share of the nationally available Research Block Funding pool. Institutes will normally receive seed funding from the University Research Budget, the participating faculties and a share of Commonwealth Block Funding for research according to the productivity of its members, and the location of costs.

Research infrastructure funds will be split between institutes and faculties on an agreed basis and implemented by Finance and Resource Planning using a transparent institute-specific formula-driven model. It is anticipated that the formula will be different for capital-intensive institutes or more virtual institutes. Faculties have a range of support and research costs associated with research infrastructure which may (and in the case of capital intensive institutes, will) be managed and funded by institutes to reflect the split of research infrastructures funds between faculties and institutes.

These sources provide the operational base for the institute. The proportion of this funding base which is performance-driven will increase during the life of the institute.

The duration and amount of University Research Budget seed funding will be determined by the Deputy Vice-Chancellor (Research and Commercialisation) in consultation with the Vice-Chancellor and Executive Director, Finance and Resource Planning.

It is expected that external sources of funding (including project grants won by institute members, sponsorships, commercial and other income) will provide at least a 3:1 leveraging of internal funds (University Research Budget and faculty grants to the institute for operating purposes). A priority for institutes is winning international competitive research funds.

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4.1.6 Powers

As institutes are a component of the University, all human resource, financial, commercial, facilities and other arrangements, and all academic programs, are made in accordance with University policy and procedures.

Reporting to the Deputy Vice-Chancellor (Research and Commercialisation), an institute director is responsible for the achievement of the agreed objectives of the institute.

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4.1.7 Structures

Each institute shall have governance, management and advisory committee structures as approved by the Deputy Vice-Chancellor (Research and Commercialisation). As faculties are major investors in institutes, executive deans would be expected to have a significant role in the governance of an institute. Research domain / program leaders, heads of school, research staff and students and external representatives would be expected to have a role in these structures.

Institutes are managed by a director who is responsible to the Vice-Chancellor through the Deputy Vice-Chancellor (Research and Commercialisation). Details of the appointment, and review, of institute directors are detailed in D/4.5 .

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4.1.8 Planning and reporting

Institutes comply with the University planning, budgeting and annual reporting processes ( see A/2.2 ), based on three year plans and annual reports. Risk management and business continuity are also addressed in accordance with University processes ( see A/2.5 ).

An annual report proforma is available from the Office of Research web page.

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4.1.9 Review

Institutes will be reviewed in accordance with Corporate Reviews processes ( see A/2.3 ), based on five year external reviews, with the particular emphases identified below.

Review criteria

The review submission from the institute should address the review criteria with particular emphasis on the institute's performance and productivity trends in the following areas:

1. major achievements and research impact of the institute over the reporting period;
2. the effectiveness of the institute's management and organisational structure, including the performance of the Governance Board, Management Committee and Advisory Committee;
3. evolution of the institute's role, and the extent to which development has been and will continue to be in accord with the University's strategies of research excellence, concentration and selectivity, and the strategic intent;
4. the extent to which the institute's research focus and activities are complemented by the institute's achievements and strategies to enhance the quality of postgraduate research training and supervision;
5. contribution to QUT's earnings as indicated by achievement of agreed Key Performance Indicators (KPIs);
6. the extent to which the institute has been successful in nurturing early career researchers and developing the research capacity of other researchers in the institute;
7. the extent to which the institute has achieved an internationally benchmarked quality standard for its research output and the effect this has had on the institutes' strategic vision and planning;
8. the extent to which the institute has achieved an international profile compared with other international institutes in similar areas since its inception;
9. the extent to which the institute has achieved internal and external collaborations;
10. the achievements, by members of the institute, in a number of areas, for example substantial national and international recognition of the quality and impact of the research and scholarship including:
    • continuing and major contributions to the body of knowledge by research and/or by critical analysis of existing knowledge, resulting in published articles in refereed journals, professional reports, books and other publications as recognised by DEEWR;
    • significant research commercialisation activities;
    • the award of major prizes, fellowships or honours by external bodies in recognition of the scholarship, research or creative endeavour, including higher doctorates;
    • panel memberships such as Australian Research Council or National Health and Medical Research Council;
    • editorships;
    • a major role in successfully completed research projects including leadership of research teams;
    • a history of successful competitive research grants received and research successfully carried out;
    • leadership of research teams;
11. the extent to which the institute has contributed to a coherent commercialisation culture across the institute and the broader University that supports intellectual property protection and facilitates technology transfer.

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4.1.10 Closure

The decision to wind up an institute may follow a review, or be at some other time judged appropriate by the University. The monitoring of an institute's performance, and its continuing fit with QUT's strategic plans, is done within the framework of the University's management processes. An institute may be wound up when the purpose for which it was established has been fulfilled, or is no longer a strategic priority for the University, or the institute no longer meets the criteria for institutes detailed in D/4.1.4 .

A recommendation for closure of an institute will be considered by University Research and Innovation Committee for recommendation to University Academic Board, which recommends to Council.

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Modification History

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