101.012 Rev 0
Title: Structures and Management of Research Institutes
1.0
Scope
Research Institutes represent the highest level of research infrastructure within the
University and are important entities in achieving the goals and objectives of the
University’s research strategy. An Institute provides focused support for research,
both within Faculties and across Faculties. The policy of the University is to
encourage individual faculty members to become members of Institutes that are
relevant to their research interests and outputs so that Institutes can achieve critical
mass and so that faculty members may avail of the supports available within the
Institute structure. As part of the University strategy to encourage convergent
research institutes should be multidisciplinary and where appropriate be multifaculty.
2.0
Establishment
An Institute is established by decision of the Executive Committee, on the
recommendation of the VPR. Any new Institute will require a resource plan to be
agreed with Finance prior to establishment. The procedure for the establishment of a
research institute is outlined in Appendix 1.
3.0
Institute Director
The role of the Institute Director is to manage the affairs of the Institute, to guide its
strategic development, and to be the formal channel of communication between the
Senior Officers of the University and the Institute. Institute Directors will report to the
VPR in relation to Institute matters.
The appointment of the Institute Director will be approved by the Executive
Committee on the recommendation of the VPR. Prior to making the
recommendation, the VPR should consult with the members of the Institute, the
VPA&R, the relevant Dean(s), and the relevant Head of Department. In addition, in
cases where it is proposed to nominate a current member of faculty, the VPR should
have reached clear agreements with the nominee, the relevant Head of Department
and the relevant Dean as to the nominee’s contribution to the affairs of his/her home
Department during the term of his/her proposed appointment as Director.
The period of Office of the Director shall normally be three years. A person who has
already held office as Director shall be eligible for reappointment.
4.0
Institute Advisory Board
Each institute shall have an Institute Advisory Board to advise on the development of
the Institute’s strategy and its academic and business plans. The Advisory Board will
be chaired by a person external to the University. The appointment of the Chair will
be approved by the Executive Committee on the recommendation of the VPR
following consultation with the members of the Institute, the relevant Dean(s) and the
VPA&R. The Director of the Institute will be an ex officio member of the Advisory
Board. Additional members of the Advisory Board will be approved by the Chair on
the recommendation of the Director. The majority of Board members should be
external invitees with appropriate expertise. The Board may also include
representation from the Senior Faculty/Research staff within the Institute. Advisory
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Board meetings shall have a formal Agenda and Minutes and copies of Minutes shall
be distributed to the VPR and to the Executive Committee.
5.0
Membership
The members of an Institute will be obliged to engage in research that advances the
strategic development of the Institute and will be researchers who are active across
one or more of a range of indicators. These indicators will include publications;
postgraduate supervision; peer-reviewed research funding, knowledge transfer
activities and measures of peer esteem.
Applications for membership of the Institute shall be considered through a procedure
determined by the Director. The continuation of membership of the Institute by
existing members shall be reviewed on a regular basis by the Director and decisions
as to termination of membership shall be made by the Director following discussion
with the VPR.
6.0
Affiliation of Research Centres
Research Centres will be encouraged to become affiliated to Institutes. Affiliation to
an Institute will require that all members of a Research Centre become members of
the Institute. Applications for affiliation to the Institute shall be considered by the
Director. The continuation of affiliation to the Institute by existing Centres shall be
reviewed on a regular basis by the Director and decisions as to termination of
affiliation shall be made by the Director following discussion with the VPR.
7.0
Reporting Relationships
Notwithstanding Institute membership, line management responsibility for faculty
members will continue to reside with the Head of the Department to which the faculty
member belongs. Institute members will be responsible to the Institute Director
regarding their obligation to “engage in research that advances the strategic
development of the Institute”. Any disputes that arise between the Institute Director
and the relevant Head of Department will be referred to the VPR and the relevant
Dean.
8.0
Research Strategy
Research Institutes will be required to have a research strategy. The strategy should
address how the Institute will continue to enhance the quality of research carried out
within the Institute and demonstrate alignment with the university strategy and with
relevant faculty and department research strategies. The strategy needs to be based
on an objective analysis of the core competencies in the research themes and
demonstrate how these themes afford the institute a competitive advantage. The
strategy needs to take into account the national and international environment in the
research area(s) so as to best position the institute to be competitive.
Implementation of the strategy will require that the institute have a detailed research
implementation plan with clear goals, objectives, milestones and deliverables. The
deliverables should including details on how the research outputs will be translated.
9.0
Sustainability
The Director will be required to prepare a five year sustainability plan which will be
updated annually and include a detailed annual budget and where appropriate a
recruitment plan for the Institute. The budget will include whatever budget details are
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required by Finance in order to satisfy budget process requirements. The Director
will be responsible for ensuring that every effort is made to identify external funding
sources for the work of the Institute. The recruitment plan must be aligned with the
University strategic plan and have due consideration to departmental recruitment
linked to both research and teaching.
10.0 Monitoring and Review of Research Institutes
Research Institutes are subject to annual monitoring to ensure that appropriate links
are made at Departmental, Faculty and University levels in respect of research,
knowledge transfer, teaching and learning and resource issues. Each Institute is
required to produce an Annual Report, (see Appendix 3 for research Institute Annual
Report format. Each Institute will be subject to regular review and will be formally
reviewed at least once every five years. The formal review will include both internal
and external reviews. Institutes will be judged against original objectives and agreed
performance criteria. Where the results of the monitoring/review process yield
unsatisfactory outcomes concerning the financial sustainability, the output, or the
focus of an Institute, a recommendation as to subsequent actions will be made by
the VPR to the Executive Committee.
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Appendix 1: Procedure for the Establishment of a Research Institute
Process
Applications for establishment of a research institute are considered initially by the
faculty committees concerned and then submitted to Vice President Research (VPR)
for evaluation by the Committee for Development and Implementation of Research
Strategy (C-DIRS). This process should highlight and resolve any inter-faculty or
inter-disciplinary issues prior to recommending final approval by Executive
Committee.
Applications submitted to the VPR must be accompanied by a cover sheet endorsed
by the Dean(s) of the faculty(s) involved confirming that the application has been
scrutinised by, and was submitted with the support of the faculty. Where any
question exists as to the adequacy of the resources available, the faculty should
indicate in the cover sheet the extent of its commitment to the institute, and the place
of the institute in the faculty strategic plan.
In addition to the written submission the academic leading the submission and the
core team will be required to participate in an interactive institute evaluation forum.
The evaluation committee will be chaired by the VPR and include members of CDIRS.
The application must demonstrate:
i.
the involvement of 10 or more Faculty, a number of Research Fellows and
Post Doctoral researchers with established records of research,
scholarship or professional activity;
ii.
alignment with the institutional research strategy and how the institute will
assist in the achievement of the goals and objectives of the research
strategy. In particular the institute should be multidisciplinary and where
appropriate be multi-faculty
iii.
that the proposed institute has a well defined research strategy and
implementation plan. That the strategy is based on an objective evaluation
of research competencies in the research themes being proposed and
identifies the competitive advantages the strategy has in the national and
international context. The implementation plan must contain clear goals,
objectives, milestones and deliverables. The deliverables should include
details on how the research outputs will be translated
iv.
availability of the human ,physical and financial resources necessary to
support the activity, and means by which they are to be sustained over a
three-to-five year period;
v.
the activities to be pursued and the anticipated outcomes;
vi.
the researchers named must have academic credibility, in terms of the
quality of their activities and output in the area of research or scholarship
seeking recognition;
vii.
clear lines of responsibility, both within the Institute, and in relation to the
host Faculty(s) or Department(s).
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In considering the application for designation as Institute, the University will take into
account:
a.
b.
c.
d.
e.
f.
g.
h.
i.
the relationship between the work of the Institute and the
Departmental/Faculty academic programmes;
The level of interdisciplinary and cross faculty involvement
the manner and ways in which the Institute supports the University
strategic plan;
the quality of the strategy and implementation plan
research track record of proposed members and proposed research
themes;
collaboration track record of proposed members and or centres;
potential for income generation and financial sustainability;
the governance/management of the Institute;
the appropriateness of the title and traded name of the Institute.
Application Form Details
The application must include the following specific information:
1. Executive Summary (max 1 page)
2. Proposed Institute Title
3. Academic Leading the Application
4. Research Strategy
a. Include mission, vision
b. Identify research themes
c. Detail process carried out in the identification of these themes and
competencies the institute has to support these themes
d. Explain the competitive advantage the strategy affords the institute in a
national and international context
e. Outline how the institute strategy will support the achievement of the
university strategy
f. Outline the goals, objectives and targets for the institute
g. Identify any gaps in resources that need to be filled to ensure the
strategy can be achieved
5. Research Implementation Plan
a. Include details of initiatives, actions, timelines and resources for
achievement of the institute’s research strategy
6. Management & Governance
a. The proposed institute management structure should be presented in
diagram format with text to explain the proposed structure
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b. How the institute management structures will fit into the faculty(s) and
department structures must also be clearly outlined
7. List of Faculties Participating
8. List of Departments Participating
9. List of Members/Associate Members
(List should be in table form as per the example shown. A one page CV will be
required for UL academics and any other key UL members listed in the table. The
CV template is shown at the end of the application)
Title
UL Academic
Department
Name
Research Area
UL Non Academic (eg Post Doc, Technical/Support/Administration Staff)
Title
Name
Department
Research Area if applicable
Title
Name
Non UL Associate Members
Department
Research Area
10. Publication & Citation Summary Table for UL Academics
(Summary tables for publication of members for the previous 3-5 years should be
prepared using the template shown below. The actual reference to publications in
the previous 3 years should be included as an appendix).
Category
Summary Publication History
Number of Publications
20XX/XY
20XY/ZZ
20ZZ/PP
ISI Journal
Non ISI Peer Reviewed Journals
Books
Book Chapters
Name
ISI Publication History
Publishing Name
# Web of
(if different)
Knowledge Article
Publications in
previous 5 years
Citation Number
for previous 5
years
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11. Citation Summary for UL academics
12. Research Funding/Project Summary Table for UL academics
(A summary table for the research funding history of members for the previous 3
years should be prepared using the template shown below. The actual reference
to funding award including title of the project, agency, programme, and amount to
be included as an appendix)
IRCHSS
IRSCET
SFI
Summary Funding History
Funding Body
Total Value of Awards (€)
20XX/XY
20XY/ZZ
20ZZ/PP
13. Post Graduate Summary Table for UL academics
(A summary table for postgraduate supervisor and completion of members for the
previous 3 years should be prepared using the template shown below)
Post Graduate Training History
Category
Total Numbers
Current registered PhD
Current registered research masters
20XX/XY
20XY/ZZ
Graduated PhD
Graduated research masters
20ZZ/PP
14. Practice Impact History for UL academics
(A summary table for practice impact including commercialisation indicators and
other practice indicators such as impact on policy of members for the previous 3
years should be prepared using the template shown below)
Practice Impact History
Commercialisation
20XX/XY
Total Number
20XY/ZZ
20ZZ/PP
Number of Invention Disclosures
Number of Licences
Number of spin out companies
Non-Commercialisation Related (Please provide specific details of the impact)
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15. Collaboration History for UL academics
(Provide details of current significant collaborations and the nature of these
collaborations within the following categories)
 National HEIs
 International HEIs
 Companies/Businesses
 Community Groups
 Other – please specify a type
16. Sustainability Plan
(This should include a 3 year financial plan)
17. Appendices
a. CVs of Members & Associate Members
b. Publications of members
c. Research Funding Details
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CV Template only for UL academics or other key UL members (one page max)
NAME: DR. XXXX XXXX
RESEARCH CAREER: (List most recent first)
INDICATORS OF RESEARCH ACTIVITY:
Total Refereed Papers
Total Research Funding (previous 3
years):
Current Size of Research Team:
Awards & Honours:
Other Relevant Indicators:
X
€X
Total Books
Total PhD/ MSc students graduated:
X
X/ Y
X (Y Post-Grads; Z post-Docs; W Other)
Xxxxxxxx
Xxxxxxxx
PUBLICATIONS (List up to five key publications relevant to the proposal under consideration):
1. Smith AA, Jones BB, Black CC (2007) Exciting project about really interesting stuff. The Amazing
Journal of Everything. 21: 304-308.
2. xxxxx
3. xxxxx
4. xxxxx
5. xxxxx
RESEARCH FUNDING (Please list 3 Recent / Current Examples):
Funding Agency
and amount (€)
Period
Title of research project/ programme
20XX – 20XY
20XY – 20YY
20YY – 20ZZ
MOST SIGNIFICANT RESEARCH ACHIEVEMENTS:

xxxx

xxxx

xxxx
PRESENT RESEARCH INTERESTS (Please give examples relevant to application):

xxxx

xxxx

xxxx
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Appendix 2: Roles and Responsibilities of the Institute Director
Role: Provide academic leadership and take overall responsibility for the Institute so
that its work accords with its aims and objectives, and University requirements and
policy.
Team Building: Build an ethos of academic research and scholarship throughout
the Institute, developing strong research performance through publication,
presentation, establishment of collaborative links at institutional, national and
international level and all forms of scholarly activity.
Policy/Planning:
1. Formulate and implement the Institute’s strategy, academic and business
plans consonant with the mission and strategic plans of the Faculty/University
2. Development and implementation of institute research strategy
3. Ensure execution of agreed policies consistent with the maintenance of high
academic standards and the operation of Quality Assurance systems
4. Keep the Institute’s aims and objectives under review to ensure achievement
of these and alignment of these with the Faculty/University aims and
objectives
5. Seek to achieve the recruitment and retention of PhD candidates and other
postgraduate students
6. Ensure effective systems are in place to manage collaborative relationships
with external stakeholders for example industry
Staff: Oversee the recruitment, deployment, development and appraisal of Institute
staff in accordance with the policies and procedures established by UL HR Division.
Finance; Develop, achieve and review within agreed budgets the Institute’s income
generation objectives; maximise the level of external research funding available from
the EU/State/Agency/Charities/Commerce and Industry sources; be responsible for
the Institutes resources and their distribution within the Institute.
Space:
Liaise
with
Space
Committee,
Faculty Dean(s)/Head(s) of
Department(s)/Dean of the Graduate School and the Building and Estates
Department to ensure the availability and effective use of space for research and
teaching.
Liaison and Co-ordination: Represent and co-ordinate the activities of the Institute
with those of other components of the University; work with colleagues to ensure the
provision of high quality and relevant postgraduate research, encourage support for
and facilitate teaching, consultancy and commercial initiatives.
Reporting: Institute Directors will report to the VPR in relation to Institute matters.
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Appendix 3: Research Institute Annual Report Format
Annual reports should be prepared for each calendar year and submitted to the VPR
in the first quarter of the following year.
The report must include the following sections
1. Executive Summary
2. Update on research implementation plan with explanations for any deviations
to proposed plan
3. Summary updates on the activities of each research themes including specific
research highlights
4. Performance Versus Planned against each of the research metrics, 5Ps
shown below. Any deviations should be explained
a. Publication
b. Projects
c. Post Graduate
d. Practice Impact – translational research
e. Prestige
f. Any relevant examples of research convergence
5. Annual Balance Sheet & Sustainability Plan including recruitment– Deviations
to the annual balance sheet, actual versus planned, should be explained
6. Details of how overhead was spent in accordance with the university
overhead policy
7. Goals & Objectives for following year
8. Appendices
a. List of members
b. List of Publications
c. List of Active Projects
Actual Balance Sheet & Sustainability Plan
Planned
20XX
Actual
20XX
Projected
20YZ
20YY
20ZZ
INCOME
Revenue Generated from Research
Activity
Research Staff Charge Out
Equipment Charge to Research Projects
External Contract Work
Facility Usage Charge
Sub-total Research Activity
0
0
0
0
0
Internal Revenue
Contribution from Postgraduate Fees
University Contribution Professorial Post
Core Recurrent Budget
Overhead Contribution
Sub-total Other Contributions
0
0
0
0
0
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TOTAL INCOME
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
EXPENDITURE
Staff Costs
Administration
Professor
Research Officers
Experimental Officers
Post Doctorates
Other Postgraduates
Knowledge Transfer Officers
Project Managers
Maintenance Costs
For example equipment, electronic systems
Operational Costs
Consumables
Travel
Advisory Board
Scholarships
Other (Promotional, phones etc)
TOTAL EXPENDITURE
Net Surplus / (Deficit)
0
0
0
0
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