Centres Policy

1. Purpose

1.1 The Centres Policy (the policy) recognises the role of centres in supporting and promoting the UTS 2027 strategy and the UTS Research Strategy. This policy sets out:

1. centre approval and establishment
2. centre governance, management and responsibilities, and
3. planning, performance and review requirements.

1.2 This policy should be read in conjunction with the Centres Procedure (the procedure).

2. Scope

2.1 This policy applies to all UTS centres, including offshore centres, and to all staff and affiliates involved in the establishment and operation of UTS centres.

2.2 This policy applies to centres whose principal purpose is research (refer Research Policy for definition of research).

2.3 Centres whose principal purpose is not research will be considered on a case-by-case basis by the Provost in line with this policy (refer Non-research centres).

2.4 The following are out of scope of this policy:

1. informal collaborations and networks
2. individual research projects (refer Research Policy)
3. external relations and formal partnerships (for example, Cooperative Research Centres (refer Commercial Activities Policy))
4. university consulting activities (refer Research Policy), and
5. strategic research programs and initiatives.

3. Principles

3.1 UTS centres support and enable the university’s vision of being a leading public university of technology recognised for its global impact.

3.2 Research conducted by UTS centres benefits the economy, environment, society and the wider community. All centres, individually and collectively, contribute to achieving the university’s vision and research ambitions.

3.3 UTS centres vary in size and scope. Centres will, primarily, be categorised as either a university centre or a faculty centre (refer Definitions). There is no limit to the number of centres at UTS.

3.4 UTS has adopted 7 strategic principles to consider when establishing, reviewing and disestablishing centres. University centres must adhere to all 7 principles; faculty centres are not required to have a strong external focus (strategic principle 2).

1. Strategic alignment: Centres must directly and explicitly support the UTS strategy and have an agreed purpose.
2. External focus: Centres must have a major component focused on industry, government, not-for-profits and other external groups as partners and end users.
3. Effective impact: Centres must focus on research outcomes and create impact pathways.
4. Connected community: Centres are part of a UTS-wide research community committed to excellent research with impact.
5. Focused resourcing: Centres are appropriately resourced and enable researcher development across all career stages.
6. Robust governance: Robust governance assures that centres achieve their purpose and appropriate accountability with regard to performance.
7. Managed lifecycle: Centre lifecycle is actively managed.

3.5 All research conducted at UTS, including within a centre, must be undertaken in line with the Research Policy.

3.6 UTS centres that support or engage in an activity that may be commercial in nature must comply with the Commercial Activities Policy.

3.7 UTS will not engage in any international collaboration that impinges on the university's institutional autonomy, compromises academic freedom and/or where there is inappropriate influence or interference (refer Research Policy and the Guidelines and principles for accepting research funding (PDF) (available at Funding your research (Staff Connect)).

3.8 All international collaborations and/or partnerships must comply with UTS values, policies and procedures, as well as all relevant Australian Government legislation and guidelines (for example, Guidelines to counter foreign interference in the Australian university sector).

3.9 In addition to the requirements of this policy and the procedure, offshore centres must comply with the:

1. Offshore Policy
2. Commercial Activities Policy, where the establishment of a centre offshore is classified as a commercial activity, and
3. Guidelines to counter foreign interference in the Australian university sector (refer International collaboration and engagement: Regulatory considerations (SharePoint)).

4. Policy statements

Centre approval, establishment and disestablishment

4.1 Centres must be proposed using the business case (refer the procedure and Centre Establishment Guidelines (SharePoint)). Centres are established in a faculty/faculties or division (hereafter faculty). Centres may seek to establish themselves as either a university centre or a faculty centre (refer the procedure).

4.2 Before submission to the Provost, business cases must be endorsed by:

1. the relevant faculty (or faculties) in the first instance
2. the Deputy Vice-Chancellor (Research) for all centre proposals under this policy, and
3. the Deputy Vice-Chancellor (Research) and the Deputy Vice-Chancellor (International) for offshore centres and centres with international collaborations.

4.3 The Provost is responsible for the approval, establishment and disestablishment of all UTS centres. The office of the Provost will maintain a register of UTS centres.

4.4 A centre must not engage in any activities, promotion or act as an established entity without formal and final approval in line with this policy. Any unapproved activities will be considered a breach of this policy.

4.5 Once established, any changes to the centre's strategic intent, purpose, objectives and functions must be submitted to the Deputy Vice-Chancellor (Research) for consideration and to the Provost for approval. This includes a recategorisation from a faculty centre to a university centre (or vice versa).

Funding and financial reporting

4.6 As part of the business case, centres must provide a financial summary for the initial 3 years (refer Centre Establishment Guidelines (SharePoint)), including:

1. projected income and/or funding sources, including grants if applicable (considering UTS's principle for accepting research funding (refer Research Policy))
2. annual operating costs, including direct project expenditure and internal support requirements, and
3. any anticipated return on investment.

4.7 Faculties are responsible for the financial operations and outcomes of their centres. Any funding or in-kind contribution being subsidised by UTS must be identified as part of the annual budget process.

4.8 Financial reporting must be uniform and transparent.

4.9 Finances for all research activity must be managed in line with the Research Finance Procedure (SharePoint).

Membership and external participation

4.10 Centre membership should be open to all relevant UTS staff and students where possible and appropriate. The criteria and process for approving and accepting membership must be included as part of the business case and made publicly available.

4.11 External organisations and individuals may be invited to participate in or collaborate with a UTS centre. External collaborations, including international collaborations, must be conducted in line with the Research Policy, the Offshore Policy and other international regulations (refer International collaboration and engagement: Regulatory considerations (SharePoint)).

Performance and review

4.12 Centres must have a set of performance indicators that are appropriate and relevant to their category (that is, a university centre or a faculty centre), strategic intent, purpose and objectives. These must be approved as part of the business case.

4.13 As part of the performance and planning cycle, all centres must undergo annual reviews. The annual review will be led by the faculty and focus on a suite of specific annual key performance indicators (refer the procedure).

4.14 Annual reviews will enable faculties to maintain the centre’s focus, ensure continued consideration and delivery of outcomes that align with the centre’s purpose and/or identify areas of required change or enhancement. 

4.15 University centres must also undergo a triennial review (a formal performance and planning review) against the full business case, including the suite of agreed outcomes, in line with the Centre Review Guidelines (SharePoint). The triennial review will be led by the Deputy Vice-Chancellor (Research) and dean(s) (refer the procedure). 

4.16 Triennial reviews will make recommendations for a centre’s continuation or disestablishment and must be submitted to the Provost for approval.

4.17 Centres already in operation before the effective date of this policy must, at their next scheduled planning cycle led by the Deputy Vice-Chancellor (Research), submit a business case in line with this policy to ensure continued compliance.

4.18 Triennial reviews will be undertaken in line with the schedule contained in the UTS centres register. In addition to annual and triennial reviews required under this policy, additional reviews may be initiated at any time in response to internal, external or centre-specific issues.

Non-research centres

4.19 Where a faculty, or other university area, wishes to establish a centre with a primary focus other than research (hereafter non-research centres), these must be submitted directly to the Provost for consideration and approval on a case-by-case basis.

4.20 Non-research centres may use this policy and the procedure as a guide to the type of information required as part of the approval process, however other information may be required at the discretion of the Provost.

4.21 Non-research centres proposed by the Provost must be approved, changed and disestablished by the Vice-Chancellor.

4.22 All non-research centres must be included on the UTS centres register.

Policy breaches and exemptions

4.23 Centre staff and affiliates must comply with the UTS Rules, the UTS Delegations and any relevant policies and procedures. Centres must operate in line with their approved strategic intent, purpose, objectives and functions as stipulated in their business case.

4.24 Any breaches of this policy, or its procedure, will be managed in line with the Code of Conduct or the Research Policy depending on the nature and circumstances of the breach. A policy breach may result in the disestablishment of a centre.

4.25 The Vice-Chancellor may determine, based on a business case and advice from the Provost, that certain UTS centres are exempt from specific provisions outlined in this policy. Any exemptions must be kept on an exemption register (part of the UTS centres register) to inform the policy review process.

5. Roles and responsibilities

5.1 Policy owner: The Provost is responsible for enforcement and compliance of this policy, ensuring that its principles and statements are observed. The Provost is also responsible for the approval of UTS centres (with exemptions outlined in this policy).

5.2 Policy contact: The Deputy Vice-Chancellor (Research) and the faculty deans are responsible for the day-to-day implementation of this policy and act as primary points of contact for advice on fulfilling its provisions. 

The Deputy Vice-Chancellor (Research) is responsible for any university level procedures and guidelines required to implement this policy. 

The Deputy Vice-Chancellor (Research) and the Deputy Vice-Chancellor (International) are responsible for enforcement and compliance of the Centres Procedure.

5.3 Implementation and governance roles:

Faculties, via the deans, are responsible for the management and performance of their centres, including ongoing governance, annual and triennial reviews, compliance and risk management, and for reporting in accordance with this policy.

The office of the Provost is responsible for maintaining the UTS centres register in line with the Delegations.

6. Definitions

The following definitions apply for this policy and all associated procedures. These are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular include the plural meaning of the word.

Affiliate is defined in the Code of Conduct.

Centre means any internal research grouping formally recognised, structured and approved by the university in line with this policy. Centres at UTS are primarily categorised as either a university centre or a faculty centre.

A university centre:

• is a collaborative group of researchers with a clear shared purpose who have achieved peer recognition for their research excellence appropriate to their career stage 
• must deliver to the strategic needs at the level of the university (that is, beyond the faculty context) 
• is already recognised as, or has the potential to be, an international leader in its field(s), or its overall thematic context, including a defined element of distinction 
• must demonstrate significant external engagement and, in so doing, deliver outcomes at scale that contribute to both scholarly and broader societal impact 
• must contribute to enhancing the identity of UTS as a purpose-driven distinctive university of technology known for global impact 
• will enact demonstrable strategies that create financial sustainability and an appropriate return on investment 
• will strategically recruit graduate research students to facilitate collaboration and partnerships, both domestically and internationally 
• will deliver their strategic research in alignment with other strategic needs, such as the teaching and learning objectives of their respective faculty, and 
• will maintain effective succession planning, ensuring transparent leadership transitions, talent development, knowledge transfer and stakeholder engagement.

A faculty centre:

• is a collaborative group of researchers who have achieved some peer recognition for their research excellence 
• is a collaborative group of researchers predominantly from a single faculty, but may in some instances include other faculties, working towards an identified purpose 
• must align to the strategic direction of the faculty 
• is generally of a smaller scale than a university centre, in either scope, scale of research activity, or breadth of membership 
• may engage with industry (though, unlike a university centre, they do not require a formal external engagement plan) 
• will enact demonstrable strategies that create financial sustainability and an appropriate return on investment, and 
• will maintain effective succession planning, ensuring transparent leadership transitions, talent development, knowledge transfer and stakeholder engagement.

Offshore centre means any centre that is based and/or operates offshore. All offshore centres must be established with an offshore partner agreement. A business case is also required.

Research is defined in the Research Policy.

Return on investment for a centre is the ratio between operating expenses and income derived from external sources.

• Operating expense for the purpose of the return on investment calculation is determined as the sum of employee benefits and non-salary items that are funded by UTS operating funds or the net allowable deficit of the centre.
• Income derived from external source for the purpose of the return on investment calculation includes, but is not limited to, external research, consulting, sponsorship, philanthropy and block grant funding. Note that some faculties may choose to exclude the block grant funding from the external funds.

UTS centres register means the list of centres approved in line with this policy (and any exemptions), and managed and maintained by the office of the Provost. The register also contains the review schedule for all UTS centres and is available on request.