University of Otago Research Centres, Research Themes and Research Networks Procedures

Purpose

These procedures outline application, assessment, establishment and operational processes for University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks, and management and reporting requirements once they have been established.

These procedures supplement the University of Otago Research Centres, Research Themes and Research Networks Policy, and are to be read in conjunction with that policy.

Organisational scope

These procedures apply to University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks established under the authority of the Deputy Vice-Chancellor (Research and Enterprise) on recommendation of the University of Otago Research Committee (“Research Committee”).

Definitions

University of Otago Research Centre

Has the meaning as set out in the University of Otago Research Centres, Research Themes and Research Networks Policy.

University of Otago Research Theme

Has the meaning as set out in the University of Otago Research Centres, Research Themes and Research Networks Policy.

University of Otago Research Network

Has the meaning as set out in the University of Otago Research Centres, Research Themes and Research Networks Policy.

Research Entity

Any one of University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks.

Research Entities

All University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks.

Director

The director of a designated University of Otago Research Entity. The director is a senior researcher who leads research and general staff, and research projects, in pursuit of the Research Entity's goals and objectives.

Cost Centre

A part of the University to which costs may be charged for accounting purposes.

Content

1. Application process

   Proposals to establish University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks are invited from time to time by the Deputy Vice-Chancellor (Research and Enterprise). The Research Committee will review applications and make recommendations to the Deputy Vice-Chancellor (Research and Enterprise) on the selection of University of Otago Research Entities.

   1. Applications for University of Otago Research Centres

      University of Otago Research Centres will normally be hosted by a department or school (unless co-hosted by more than one department or school). Administrative arrangements must be approved by the relevant Head(s) of Department/School or Dean(s) of School and endorsed by the Pro-Vice-Chancellor(s) and Deputy Vice-Chancellor (Research and Enterprise) at the time of submission of a University of Otago Research Centre application.

      Proposers should complete the application form which can be downloaded from the Research and Enterprise website. Completed applications should be sent to the Research Committee Administrator by the due date.

      Proposals should include the following information:

      1. Name of proposed University of Otago Research Centre;
      2. Director(s) and Management group names;
      3. Names of confirmed Advisory Board members;
      4. Response to the application criteria (see assessment criteria below);
      5. Key researchers' curricula vitae (using prescribed template);
      6. A statement signed by the Director(s) of the University of Otago Research Centre, Head(s) of Department/School or Dean(s) of School, and Pro-Vice-Chancellor(s) detailing any understandings concerning resource support in areas such as:
         • Cost/revenue sharing arrangements for the Centre Director(s) and staff (including support staff); research students; overheads and indirect salaries; and provision of infrastructure;
         • Distribution of any surplus returns from activity;
         • Funding for student supervision and teaching activities (based on EFTS transfers if appropriate);
         • Any required space, equipment and facilities.

   2. Applications for University of Otago Research Themes

      University of Otago Research Themes will normally be hosted by a department or school (unless co-hosted by more than one department or school). Administrative arrangements must be approved by the relevant Head(s) of Department/School or Dean(s) of School and endorsed by the Pro-Vice-Chancellor(s) and Deputy Vice-Chancellor (Research and Enterprise) at the time of submission of a University of Otago Research Theme application.

      Proposers should complete the application form which can be downloaded from the Research and Enterprise website. Completed applications should be sent to the Research Committee Administrator by the due date.

      Proposals should include the following information:

      1. Name of proposed University of Otago Research Theme;
      2. Director(s) names;
      3. Names of confirmed Steering Group members;
      4. Response to the application criteria (see assessment criteria below);
      5. Key researchers' curricula vitae (using prescribed template);
      6. A statement signed by the Director(s) of the University of Otago Research Theme, Head(s) of Department/School or Dean(s) of School, and Pro-Vice-Chancellor(s) detailing any understandings concerning resource support in areas such as:
         • Cost/revenue sharing arrangements for the Theme Director(s) and staff (including support staff); research students; overheads and indirect salaries; and provision of infrastructure;
         • Distribution of any surplus returns from activity;
         • Funding for student supervision and teaching activities (based on EFTS transfers if appropriate);
         • Any required space, equipment and facilities.

   3. Applications for University of Otago Research Networks

      University of Otago Research Networks will normally be hosted by a department or school (unless co-hosted by more than one department or school). Administrative arrangements must be approved by the relevant Head(s) of Department/School or Dean(s) of School and endorsed by the Pro-Vice-Chancellor(s) and Deputy ViceChancellor (Research and Enterprise) at the time of submission of a University of Otago Research Network application.

      Proposers should complete the application form which can be downloaded from the Research and Enterprise website. Completed applications should be sent to the Research Committee Administrator by the due date.

      Proposals should include the following information:

      1. Name of proposed University of Otago Research Network;
      2. Director(s) names;
      3. Names of confirmed Steering Group members;
      4. Response to the application criteria (see assessment criteria below);
      5. Key members' curricula vitae (for academic and professional members);
      6. A statement signed by the Director(s) of the University of Otago Research Network, Head(s) of Department/School or Dean(s) of School, and Pro-Vice-Chancellor(s) detailing any understandings concerning resource support.

2. Assessment of Proposals

   Members of the Research Committee will assess the proposals. During the assessment period, further information may be sought – either in writing or in person – to assist the Research Committee in its deliberations. The Research Committee may also ask applicants to refocus their proposal or combine with other proposals.

   Proposals for University of Otago Research Centres and University of Otago Research Themes will be assessed against the following criteria:

   1. There is evidence of research collaboration across disciplines in an established and coherent platform or programme of research that has ongoing relevance in a particular area;
   2. The proposers have achieved a high standard of productivity and national and international research excellence and leadership such as assessed by, for example, Performance Based Research Funding criteria;
   3. The proposers have received significant funding for the research area and have strategies for ongoing funding;
   4. The proposal has strong outreach and engagement with external organisations such as with government, industry, iwi/Māori, community groups, professional bodies or discipline-focused societies, at national and international levels;
   5. The proposal articulates the proposers' consideration of and/or engagement with the University of Otago Māori Strategic Framework and MBIE's Vision Mātauranga;
   6. The proposal advances the University's Vision 2040 and the Research Action Plan.

Proposals for University of Otago Research Networks will be assessed against criteria (a), (d), (e) and (f).

3. Establishment Procedures

   Successful applicants will be notified after a special meeting of the Research Committee. Where a University of Otago Research Entity has been awarded funding, the Research and Enterprise Office will set up a research account within the host cost centre once the Research Committee has recommended acceptance of, and the Deputy Vice-Chancellor (Research and Enterprise) approved, the annual management plan and budget submitted by the Director.

   As part of the establishment procedure, University of Otago Research Entities should consult with Marketing Services to ensure that any branding, marketing and promotional materials, including websites, meet the University of Otago Brand policy.

4. Management

   Management requirements for the separate research entities are detailed as follows.

   1. Management of University of Otago Research Centres

      1. Personnel
         • A University of Otago Research Centre is administered by a management group led by a Director who holds an appointment in an academic department. Appointment of a Director is approved by the Deputy Vice-Chancellor (Research and Enterprise) on the recommendation of the relevant Pro-Vice-Chancellor(s) and endorsed by the Research Committee.
         • The management group should be drawn predominantly from members who hold appointments in academic departments at the University of Otago.
         • In addition to the Director and the management group, University of Otago Research Centres should have an Advisory Board that normally includes representatives from external organisations.
         • University of Otago Research Centres are encouraged to include members such as from Crown Research Institutes, other universities, business, community groups, iwi or Māori organisations to facilitate collaborations and translational research opportunities.
         • Contributions from early-career researchers and research students should be encouraged through opportunities for research and, where appropriate, research management.
      2. Administration and Operations
         • University of Otago Research Centres are permitted to establish a separate research account, normally within a department or school for the purposes of budget administration and financial reporting. Although University of Otago Research Centres are not normally cost centres, they may be administered the same way as major research programmes (e.g. HRC Programme Grants).
         • Centre Directors and their departmental or school host will need to plan for the following:
           • support for administration, research management, project management, financial administration/management;
           • support for the development and review of strategic plans;
           • partial FTE support for the director;
           • support for external engagement and attracting external research funding;
           • provision of adequate and appropriate space;
           • training and career development for the director and staff.
      3. Relationships and Marketing
         • A University of Otago Research Centre will be identified as a research flagship for publication, public information and marketing purposes.
         • University of Otago Research Centres may establish formal partnerships with other universities or institutions subject to agreement from all universities.
      4. Funding
         • It is expected that Heads of cost centres hosting University of Otago Research Centres and Centre Directors will have formal agreements about resource allocations to strategically support the activities of the University of Otago Research Centre. Such agreements should be detailed in any application to be considered as a University of Otago Research Centre.
         • University of Otago Research Centres are expected to become self-sustaining over time through external cost recovery and/or recognition of contributions to wider University activities.
         • Support for University of Otago Research Centre activities may also be provided centrally and may include direct funding at a level to be negotiated on a case-bycase basis with the Deputy Vice-Chancellor (Research and Enterprise).

      Management of University of Otago Research Themes

      1. Personnel
         • Each full member of a University of Otago Research Theme, including the Director, shall hold an appointment in an academic department or programme. Appointment of a Director is approved by the Deputy Vice-Chancellor, Research and Enterprise on the endorsement of the Head of the Host Department(s) and/or Dean/Head of School and relevant Pro-Vice-Chancellor(s).
         • In addition, University of Otago Research Themes are encouraged to include associate members such as from Crown Research Institutes, business organisations, community groups, iwi or Māori organisations.
         • University of Otago Research Themes are administered by a Steering Group.
         • University of Otago Research Themes are encouraged to include early career researchers in their management and/or steering groups.
      2. Relationships and Marketing
         • University of Otago Research Themes will be publicised.
           Please refer to “Branding and Showcasing” in the University of Otago Research Centres, Research Themes and Research Networks Policy.

      Management of University of Otago Research Networks

      1. Personnel
         • The Director of a University of Otago Research Network shall hold an appointment in an academic department or programme. Appointment of a Director is approved by the Deputy Vice-Chancellor, Research and Enterprise on the endorsement of the Head of the Host Department(s) and/or Dean/Head of School and relevant Pro-Vice-Chancellor(s).
         • In addition to members from academic departments or programmes, University of Otago Research Networks are encouraged to include associate members from Crown Research Institutes, business organisations, community groups, iwi or Māori organisations.
         • University of Otago Research Networks are administered by a Steering Group.
         • University of Otago Research Networks are encouraged to include early career researchers in their management and/or steering groups.
      2. Relationships and Marketing
         • University of Otago Research Networks will be publicised.
           Please refer to “Branding and Showcasing” in the University of Otago Research Centres, Research Themes and Research Networks Policy.

5. Reporting

   All University of Otago Research Centres and University of Otago Research Themes will report annually to the Deputy Vice-Chancellor (Research and Enterprise) through the Research Committee. University of Otago Research Networks will report once every two years.

   The report should address the following areas and should append contextual information from the host department, school or division:

   1. Activities and achievements;
   2. Development of interdisciplinary collaborations leading to pathways for national/international leadership, research translation and recognition;
   3. Funding expended and sought.

   Directors of University of Otago Research Centres, University of Otago Research Themes and University of Otago Research Networks (or their nominees) will also meet twice yearly with the Deputy Vice-Chancellor (Research and Enterprise) and the Associate Deans (Research) to discuss progress and any matters arising.

Related policies, procedures and forms

• University of Otago Research Centres, Research Themes and Research Networks Policy
• University of Otago Brand Policy
• Māori Strategic Framework 2022 (PDF)
• Vision 2040
• Vision Mātauranga (PDF)

Contact for further information

If you have any queries regarding the content of this policy or need further clarification, contact:

David Geraghty
Senior Research Analyst, Research and Enterprise
Email david.geraghty@otago.ac.nz