Governance of Research Institutes, Centres and Units : Initial
Consultation Professor Anita R. Maguire VPRI Heads and Managers
Forum, 29 th April 2014
Slide 3
Governance of RICUs The governance of research within RICUs
requires : clarity to ensure effective structures and processes by
which research can be most effectively enabled and facilitated,
and, in parallel, providing mechanisms for oversight to ensure the
highest standards are applied and maintained While many of the PIs
in the RICUs hold an academic appointment and thereby have line
management within the academic structures, their roles in RICUs
frequently follows a different structure in terms of research
leadership. Roles of PIs exclusively based in RICUs must also be
addressed.
Slide 4
Principles Dynamic interdisciplinary RICUs are central to UCCs
strategy for research and have proved to be critical to success in
competing for external funding Need to balance flexibility and
agility with external constraints PIs dual role in Schools and in
RICUs RICU development and sustainability continues to be a key
strategic goal for the University UCC Strategic Plan (2013-2017)
Consolidate cognate research activities through clustering to
establish critical mass in organised research units Development of
new, potentially world-leading, research centres delivered via a
process of resource allocation, prioritisation and alignment with
external funding opportunities
Slide 5
RICUs are Key to UCC Research Success I. Research
ExpenditureII. Research New Award Income
Slide 6
RICUs are Key to UCC Research Success I. EU-FP7 New Award
IncomeII. Industry New Award Income
Slide 7
Principles Research undertaken within Schools and Departments
is vital to the reputation of the university
Slide 8
Designation of RICUs RICUs occur at different levels of scale
and complexity. The governance approach is very strongly influenced
by the scale, diversity and complexity in each instance. Research
centres which exist essentially entirely within a School /
Department (>90% PIs) where the external branding as a group has
strategic merit but in practice management can be handled
effectively within the academic school / department Research
centres which exist essentially entirely within a College (>90%
PIs) but involving researchers from more than one School /
Department Research centres which involve researchers from more
than one College University level research institutes (e.g.
Tyndall)
Slide 9
Designation of RICUs Proposal : RICUs are designated as S, M or
L as defined in the Procedures for Establishment, Review and
Disestablishment of Research Centres and Units Type L - University
level institutes Type M - interdisciplinary centres within one or
more Colleges Type S - small clusters within a School
Slide 10
Operational Aspects The relationships between the research
community, central support offices and college support structures
warrant continual review, clarification and effective
communication. Agility and flexibility balanced with oversight
requirements.
Slide 11
Researcher contracts All researchers employed in RICUs are
employed through UCCs Employment and Career Management Structure
for Researchers. http://www.ucc.ie/en/researchcareers/
http://www.ucc.ie/en/researchcareers/
Slide 12
RICU Directors For RICUs which are essentially entirely
contained within a single College (>90% PIs in a single
College), the Director of a RICUs is appointed by HR on the
recommendation of the VPRI following consultation with the relevant
Head of College. For RICUs which involve researchers from more than
one College, the Director of a RICU is appointed by HR on the
recommendation of the President following consultation with the
VPRI and relevant Heads of College. For most newly established
RICUs, the initial Director is usually the lead PI on the proposal
for funding to establish the RICU. If the initial Director steps
down or reaches the end of a term of appointment, appointment of a
Director to a RICU of Type M or L will usually involve an
appointment process. Appointments are generally for a 5 year period
with the possibility of renewal.
Slide 13
RICU Directors In most instances the Directorship is an
academic leadership role taken on by a PI without additional
remuneration. However, for larger and more complex RICUs (Type L)
specific T&C of appointment may be established. Appointment of
a Deputy Director as agreed between the Director and the VPRI and
relevant Head(s) of College for Type M and L RICUs is
envisaged.
Slide 14
Governance Reporting and Oversight
Slide 15
For RICUs which are essentially entirely contained within a
single School / Department (>90% PIs in a single School /
Department), the Director of a RICU reports to the VPRI and to the
Head of School / Department For RICUs which are essentially
entirely contained within a single College (>90% PIs in a single
College), the Director of a RICU reports to the VPRI and to the
Head of College (see diagram above) For RICUs which involve
researchers from more than one College, the Director of a RICU
reports to the VPRI and to the President (or nominee)
Slide 16
Governance Reporting and Oversight GOVERNANCE
STUCTUREOVERSIGHTREPORTINGSIGNING AUTHORITYSTAFF REPORTING LINESSLA
L Strategic Board Internal & External membership TOR approved
by UMTO Executive Committee to provide reports to Strategic Board
& UMTO CEO Report to President or nominee Annual Report to GB
and VPRI Alignment to a specific College By GB, FC, UMTO & Head
of College To VPRI on funding requirements and University Research
Policies Day-to-day by President or nominee through CEO Annually to
GB To UMTO as prescribed To FC on finance matters above a
prescribed level Signing Authority specified in SLA and SAAP
Director to President or nominee All other staff to Director
Director- dotted line to VPRI + Head of College Academic staff
Director for Research Project Yes In more than 1 College M Within 1
College Advisory Board where appropriate Executive Committee TOR
Approval by UMTO Annual Report to UMTO * VPRI - Director to report
to designated Head of College UMTO & designated Head of College
& VPRI To UMTO & VPRI To FC as requested Under SAAP
Designated Head of College and Director Director to VPRI Designated
Head of College based either on agreement or Head with the most
staff Academic staff Director for Research Project Yes to include
the Colleges Executive Committee Chaired by Director TOR approved
by College Executive Report to Head of College Head of College
& College Executive & VPRI Director to Head of College
Reports to College Executive annually or as requested SAAP and as
prescribed by the College Executive Director to Head of College...
to VPRI All other staff to PIs Director or Academic staff Director
for Research Project No S Executive Committee if scale requires
Head of School and Head of College Head of School Annually to Head
of College & VPRI In accordance with SAAPHead to Head of School
Academic staff Director for Research Project No
Slide 17
Management within RICUs A number of models for management
structures within RICUs may be appropriate uniformity not required.
General principles : For each RICU (Type M or L), a Director and an
Executive Committee will be appointed by the President Executive
Committee to include representatives of the participating
researchers and relevant Schools / Departments Director, as Chair
of the Executive Committee, is responsible for the day-to-day
management of assigned staff and finances, and has overall
financial responsibility for the assigned budget. For Type L (and
some Type M) RICUs, it is envisaged that governance boards will be
established for the RICU to complement the internal management
structures and support the RICUs in their strategic
development
Slide 18
Establishment of a RICU Procedures for the Establishment,
Review, and Disestablishment of Research Centres and Institutes.
Centres and Institutes Committee CIC Membership Vice-President for
Research and Innovation (Chair) Chair, Academic Council Research
Committee Director of Research Support Services Heads of College
(or nominee) Bursar and Chief Financial Officer (or nominee)
Director of Human Resources (or nominee) Corporate Secretary (or
nominee)
Slide 19
RICU Reporting and Review Each RICU submits an annual report to
the University via the VPRI Regular review by the CIC 3 year cycle
Participation in RQR Participation in QA/QI process
Slide 20
Relationships with Schools / Departments Key to relationship
mutual benefit Director and Executive Committee must ensure that
Schools are not disadvantaged by engagement of staff as PIs in a
RICU Colleges and the University must also facilitate the
relationship by ensuring that, where appropriate, research activity
and output are credited jointly. Publications and research
presentations should include both the RICU and the School /
Department as affiliation; Projects, grant income and postgraduate
FTEs should be jointly attributed to both the RICU and the School /
Department/ College. HOS / HOC oversight of PI alignment to
RICUs
Slide 21
Financial Support for RICUs ; Overhead allocation This section
requires extensive consultation with all stakeholders To be
addressed in detail by the CIC Finance Sub-Group
Slide 22
Financial Support for RICUs ; Overhead allocation Current
University policy on distribution of research overheads : Project
in a School : College 60%; School 20%; Project 20% Project shared:
College 40%; School 20%; RICU 20%; Project 20%; Project solely in a
RICU: University 40%; RICU: 60%
Slide 23
Resource allocation : Space, HR, Financial As responsibility
for resource lies to a large extent within the Colleges, for those
RICUs which reside within a College responsibility for resource
allocation lies with the Head of College in consultation with the
VPRI. For RICUs which involve researchers across one or more
Colleges responsibility for resource allocation lies jointly with
the Heads of College in consultation with the VPRI. Alignment of
each RICU to a single College is envisaged. The diversity of
approaches to research support across the four Colleges must be
taken on board. For Type L University Institutes responsibility for
resource allocation lies with the President in consultation with
the relevant Heads of College and the VPRI.
Slide 24
Research Contracts, IP Management, Research Commercialisation
and Technology Transfer All IP generated within RICUs is University
IP and is managed following university policies through the
Technology Transfer Office Management of Research Contracts is
coordinated through the Research Support Office within the OVPRI in
liaison with Technology Transfer and OCLA
Slide 25
Communication Governance of research within RICUs requires
clarity to ensure effective structures and processes by which
research can be most effectively enabled and facilitated.
Communication and consultation with the UCC research community
regarding new oversight and management processes and structures,
and their implementation, is essential.
Slide 26
Feedback Are the proposed governance structures appropriate? Do
they work from perspective of RICUs and Schools ? Appropriate
across all disciplines ?