Governance of Research Institutes, Centres and Units : Initial Consultation Professor Anita R. Maguire VPRI Heads and Managers Forum, 29 th April 2014

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 PI’s in the RICU’s hold an academic appointment and thereby have line management within the academic structures, their roles in RICU’s frequently follows a different structure in terms of research leadership. Roles of PI’s exclusively based in RICU’s must also be addressed.

Principles Dynamic interdisciplinary RICUs are central to UCC’s 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 ( ) “ 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 ”

RICUs are Key to UCC Research Success I. Research ExpenditureII. Research New Award Income

RICUs are Key to UCC Research Success I. EU-FP7 New Award IncomeII. Industry New Award Income

Principles Research undertaken within Schools and Departments is vital to the reputation of the university

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)

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

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.

Researcher contracts All researchers employed in RICU’s are employed through UCC’s Employment and Career Management Structure for Researchers.

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.

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.

Governance – Reporting and Oversight

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)

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 PI’s  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

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

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)

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

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 FTE’s should be jointly attributed to both the RICU and the School / Department/ College. HOS / HOC oversight of PI alignment to RICUs

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

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%

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.

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

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.

Feedback Are the proposed governance structures appropriate? Do they work from perspective of RICUs and Schools ? Appropriate across all disciplines ?