MAKERERE UNIVERSITY

POLICY ON THE ESTABLISHMENT OF RESEARCH ENTITIES AND

INSTITUTIONS

1.0 Policy Statement

Makerere University Senate and Council are committed to creating a supportive
environment, through research entities, that will spur high-quality multi-disciplinary
research, innovations, capacity development, and knowledge transfer partnerships for
socio-economic transformation of our nation and Africa.
2.0 Rationale
Makerere seeks to become a research-led and research-intensive University.
Management of the research, innovation and knowledge transfer activities through the
mainstream academic units, which ordinarily have been designed for teaching and
leflrning is not efficient. This policy is designed to provide the necessary conducive
environment for research, innovation and knowledge transfer through appropriate
enabling structures.

3.0 Policy Purpose and Objectives

The purpose of this policy is to provide for the formal establishment, organisation and
regulation of Research entities and institutions (Research Units, Centres, Institutes
and Centres of Excellence) to facilitate cooperative research, innovative teaching and
learning, advancement in scholarship and strategic partnerships.
The overarching objective of this policy is to stimulate the quantity, quality and
visibility of the University's research outputs and innovations through the creation of
research entities/ structures that can facilitate individual and formal collaborative
research work. This policy is designed to encourage cooperative and collaborative
work and to make it possible for researchers to benefit from the intellectual
stimulation generated by working in teams. The objectives of this policy are to:
a) Promote and facilitate collaborative and/or interdisciplinary and multi-
disciplinary research and the enhancement of research networking capacity
and infrastructure;
b) Provide education and training in research and related skills for faculty,
graduate and undergraduate students, and enhance the quality of academic
programs delivery in academic units;
c) Contribute to the university's strategic educational and research missions and
to support synergies between research, teaching, and learning. The centres will
attract, maintain and award talent at Makerere University;
 d) Increase and effectively manage the research resources and infrastructure for
researchers to optimize benefit to the wider university research stakeholders;
e) Spur growth of academic staff and community outreach in a manner that
sustainably causes positive change through the transfer and mobilization of
knowledge gained through research for the benefit of society.;
f) Promote the status and research profile of Makerere University nationally,
regionally and internationally through coordinated, enhanced and quality
research output.

4.0 Definitions, Scope and Functions of Research Entities

Research entities are differentiated based upon founding processes and requirements,
the scope of research activities, sources of funding and management structure. The
following are the types of Research Institutions/ Entities that may be established at
Makerere University.

This policy defines 5 types of entities: (1) Research Group, (2) Research Unit, (3)
Research Center, (4) Research/ Capacity Development Institute, and (5) Research
Center of Excellence (CoE) - as approved under this policy; or have inherited the title
under the old policy/ approvals.

4.1 Research Group: Levell (At Department)

A research group is the first level formation of a team of researchers drawn from within
a Department or Departments in a School who join to work together on a specific
research area - within the broader institutional research agenda. The key feature of a
research group is that it is a voluntary, adhoc and self-regulating group, but known
and recognized by the Department. It is formed as a research syndicate group that may
dissolve on completion of a research project. The composition of a research group is
individuals from within a Department or across departments that mutually come
together to incubate a research idea. It shall be hosted at a Department and will
conform to policies and regulations that govern research and research funding in the
University.

4.2 Research Unit: Level 2 (Department or at School)

A Research Unit is a micro-entity within a Department or School formed to foster
focused research on a specific issue that merits concentrated research efforts. It
represents the institutionalisation of a Research Group and therefore grows from a
research group. The essential features of a Research Unit are that:
a) It consistently conducts research on a very specific issue of need that merits
independent recognition within the broader institutional research agenda for a
department or a school.;
b) It has a formally approved University budget neutral leadership structure
(approved at Department and School Board) recognized within the university's
official structures.
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 c) Its members are from within a department or across departments, and shall be
hosted at a School where more than 50% of the subject specialty is mandated.
4.3 Research Center: Level 3 (At School or College)
A Research Center is an entity within a School or College established to foster
trans disciplinary research, knowledge transfer, research-to-policy engagement, and
community interventions/outreach activities in a particular area of research that is of
importance to national, regional or global agenda. A research Centre has a
multidisciplinary composition of affiliated researchers convened from multiple
departments or schools within a College and coordinated within a particular school or
College. A particular distinguishing feature of a research center is its multi-
disciplinarity, and researcher membership that transcends one Department or School.
a) A Research Centre shall be hosted at a School where more than 50% of its
membership and the subject specialty is mandated, and shall report to the
School Board/ College Board.
b) A Research Centre must be able to leverage external funding and resources to
sustain its operations over a medium-term period.
c) A Research Center should not host/ offer academic degree programs, but can
provide support to teaching and learning; curriculum review and development
of enhanced learning modules; sourcing for funded scholarships; teaching,
supervision, placements and mentorship of students/research fellows.

4.4 Research Institute/ Capacity Building Institute:

Level 4 (University wide or hosted by a College)
A research institute is a large scale trans-disciplinary entity intentionally established
by the university as part of its long-term strategic commitment to broad areas of
research and/ or capacity development services that are of priority to the University
and/ or its partners at national, regional or global development agenda. A Research
Institute may have multiple Research Centers; and will have the following focus,
objects and features:
a) Being an arm of the University to undertake commissioned research and
provide outputs that can inform governmental policy and interventions for
socio-economic transformation;
b) Engaging in consultancy work and/ or providing professional advisory and
technical services on behalf of the University.
c) Lending prestige, standing, and exposure of researchers from several Colleges
to work together on a wide range of emerging social issues/ problems or on
common research theme.
d) Offering targeted capacity-building and development programs in form of
professional/ technical/or specialized training, including short courses and
executive training that may not fit in the regular academic programmes of the
existing academic departments.
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 e) To provide substantial support, sponsor or facilitate the implementation of
academic programs, provided that such programs shall be hosted by the mother
academic Department/ School.
f) A University-wide Institute that is not hosted under a particular College or one
whose major work focus runs across colleges and schools shall have a
Governing/Advisory Board appointed by the Vice Chancellor, in consideration
of the key stakeholders/ partners;
A Research Institute/ Capacity Building Institute may be incorporated as a Company
with Makerere University as a sole guarantor/ proprietor or as a consortium of
partners, in accordance with the provisions ofSection 7 of this Policy.

4.5 Research Center of Excellence:

Level 5 (University wide or hosted by a College, with External,
local, regional/ international agency partnership)

A Centre of Excellence (CoE) is an umbrella research entity that brings together a

critical mass of high-level scientists and researchers drawn from partnerships with
other universities and/ or research institutions, working in collaboration to implement
high level research and innovations, and coordinated by Makerere as the prime
institution in the partnership. Research Units/ Centres/Institutes can grow into
Centres of Excellence, provided they meet the requirements stipulated in the
guidelines and procedures of this Policy Section 12.S(c). A CoE will have the
following features:
a) A well-defined governance structure, having a Governing/Advisory Board that
represents its cross-institutional and/ or national/regional/international
stakeholder outlook, appointed by the Vice Chancellor with approval of the
University Council/ Partnership Council.
b) Undertaking trans disciplinary work on issues of national/regional/global
importance.
c) Being able to obtain reasonable start-up funding and over time to attract new
sources of funding to sustain its operations over a medium to long-term period.
d) Targeting to produce research and innovation outputs that lead to substantial
transformation at policy and program level either nationally, regionally or
globally.
e) May have multiple hubs coordinated by the CoE head office at Makerere
University.
The CoE may incorporate or be incorporated as a limited Company, with Makerere
University as a sole guarantor or as a consortium of partnerships, in accordance with
the provisions ofSection 7 of this Policy.

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5.0 Scope and Application of the Policy

a) This policy shall apply to all research entities/ institutions (Research Groups,
Research Units, Research Centres, Research Institutes, CoEs) and
organizations that do similar work at Makerere University.

b) This policy shall apply to all Research entities/ institutions that preceded this
Policy, provided that they will be allowed to institutionalise and re-align with
this policy within a period of one year, with a possible extension for a period
not exceeding six months.

c) A list of approved Research Centres and Institutes will be maintained and

monitored by the Office of the Deputy Vice-Chancellor (Academic Affairs).

6.0 General Regulations for Research Entities and Institutions

a) The initiation, management and dissolution of University Research entities

and Institutions shall be conducted in accordance with the guidelines and
procedures provided in this this policy, the Grants Management and
Administration policy and other relevant policies approved by the University
Council as highlighted in Section 9 of this Policy and Guidelines;
h) The Research entities that operate at University-wide level (Centres, Institutes
and CoEs shall have respective Governing/ Advisory Boards appointed by the
Vice Chancellor in consideration of the different stakeholder entities and
partnerships, with approval of the University Council;
c) Research Entities and Institutions are an integral part of the University system
obliged to foster the vision and mission of the University through conduct of
high-quality research and innovation activities;
d) Research Centres and Institutes are responsible for generating own funding
from external resources to run their operations, unless provided for in the
University budget appropriation and approval by University Council;
e) The University Council may appropriate a budget and funding to carry out
specified functions or activities under a centre or institute.;
o A Research Entity and Institution may employ its own research project,
technical, administrative and clerical staff on terms and conditions determined
by their respective approval Committees/Governance Boards, subject to the
relevant collective agreements held by the entity;
g) Makerere University Staff (appointed under Appointments Board/Vice
Chancellor) may participate in the activities of the Research Entities and
Institutions; and project staff of Research Centres/ Institute may hold honorary
positions in the University and may supervise research students, as may be
determined by the relevant School/ College Academic Boards.
h) Full-time or contracted staff in the University's departments/ Schools called
upon/ wishing to participate in the activities/ rendering services to Research
Entities shall do so with explicit authorization and clear schedule of duties from
their respective Deans and Heads of Department. Participation in such
activities should not in any way compromise the work duties in the staffs
mother units.

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 i) All funds received, equipment purchased and income accrued by a University
Research Entities and Institutions are the property of the University, unless
determined otherwise through a binding agreement approved by Makerere
University.
j) Any innovations and intellectual property generated through the Research
Entities and Institutions will be handled in accordance with the provisions of
the Intellectual Property Policy and/ or the Grants Management and
Administration Policy.
k) Research Entities and Institutions may collaborate or share resources with
another university, research institution or other external body, provided the
arrangements are specified in a legally binding agreement negotiated between
the parties. Such arrangements require the approval of the Vice Chancellor and,
where the joint venture is intended to result in a new incorporated structure
and/ or the issuing of shares, the approval of Council · following a
recommendation from the Council Finance Committee. Council approval is
also required for a major strategic initiative or a significant commercial activity.
l) All University Research Entities and Institutions must submit an annual report
against agreed key performance indicators. They will be subject to formal
reviews, as and when required.
m) If use of the words 'Uganda' or 'National' in the title is desired, specific approval
by the Council is required, and will only be granted where the University
Research Centre or Research Institute has a national dimension to its character
(e.g. has nodes across the country, serves as a national focal point, or is unique
and prominent in Uganda).
n) Changes to the Research Entities and Institutions, that materially affect any
matter addressed in the establishment proposal, must be approved by the Vice
Chancellor before being implemented. Significant changes may require a new
proposal for the approval of the Council.
0) Contributions to the work of Research Entities and Institutions are to be
included in documentation for career evaluation purposes (e.g., tenure,
promotion, merit awards, etc.) in accordance with the provisions of the Human
Resource Manual.
p) A Research Entity or Institution may occupy space designated specifically for
its own use, or its activities may be carried out without assigned space. A
Research Centre or Institute may be located on the University campus, or in
off-campus premises owned by the University, or in premises owned by a third-
party.
q) Funding for Research Entities and Institutions can be made up of a
combination of multiple internal and external sources including but not limited
to: external funding agreements, academic unit operating funds, non-recurring
funds, indirect funding, and endowments. Funding sources may change and
adapt over time.
r) The financial statements of Research Entities and Institutions will be audited
as part of the University's financial regulations and Public Financial
Management Laws.

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 s) A Centre or Institute must obtain approval from the Vice-Chancellor for
fundraising activities directed at external donors. All fundraising activities
undertaken by a Research Centre or Institute shall be in accordance with the
university's Grants Management and Administration Policy, the Financial
Manual and code of ethics.
t) A Centre or Institute that plans to sell services or products on a commercial
basis may not compete unfairly with private sector organizations offering
similar services or products and must comply with the intellectual property and
commercialization policies of the university.
u) A Centre/ Institute providing professional services such as Legal Aid Services,
ICT, etc. shall abide by the professional requirements for the provision of the
same which may include, approval and licenses, staffing requirements and
management of finances meant for clients.
v) Any agreement defining the obligations and liability of the University with
respect to the activities of, and with respect to the other participants in, the
Centre or Institute will require the approval of the Vice-Chancellor and the
University Secretary. Such agreements shall comply with the signing and
research policies and procedures of the university.

7.0 Research Entities Incorporated as Companies

a) Research Entities at Level 4 (Research Institutes and Centres of Excellence)

may be incorporatedin accordance with the laws of Uganda upon approval by
Council;
b) Centres of Excellence and Institutes that register companies or get registered
as Companies shall have a governing Board recommended by the University
Management with the approval of the University Council;
c) Institutes and Centres of Excellence registered as companies limited by
guarantee shall submit annual reports to Council through the Finance,
Planning & Investment Committee (FPAIC), including audited annual
accounts;
d) The Management Team of Centres of Excellence and Institutes registered as
companies limited by guarantee shall be appointed by the Boards of the
respective companies;
e) Management of funds raised by Centres and Institutes that register/ registered
as companies by guarantee shall be governed in accordance with
the Memorandum and Articles of Association (MEMARTS) of the companies
approved by Council;
f) Staff of Centres of Excellence and Institutes registered as companies limited by
guarantee shall be appointed by the respective Boards of the companies.

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8.0 Responsibilities
The overall governance authority of Research Entities is vested in the University
Councilor through the governance Boards approved by the University Council. The
overall administrative authority is in the Vice-Chancellor. The procedural and

operational supervisory authority is with the Deputy Vice-Chancellor (Academic

Mairs/Research) .
9.0 Related Policies
This Policy will be read with reference to the following University policies:
a) Research and Innovations Policy
b) Grants Management and Administration Policy
c) Intellectual Property Management Policy
d) Human Resource Manual
e) Financial Manual

10.0 Establishment

a) Levelland 2 research organisations (Research Group and Research

Unit) that typically do not extend beyond the Department / School level shall
be approved by the respective College Academic Boards and communicated to
the University as part of the respective Unit reporting. The process and
requirements for establishing the different levels of Research Entities is
outlined in the guidelines and procedures ofthis Policy under ANNEX
2 (Sections 12.1; 12.2; 12.3; 12.4; and 12.5).

b) Interim approval of a Center/ Institute may be given by the Vice-Chancellor in

order to expedite the response to a funding opportunity or to provide a
mechanism for an entity to · organize. Interim approval shall require the
approval by Management or by the College where the Centre/Institute may be
hosted. The interim approval shall usually be limited to one calendar year. It
may be extended for a period not exceeding six months.

c) Approval of a Research Centre/ Institute/ CoE shall, among other

requirements, be based on a sustainability strategy and demonstration of
capacity for the entity to generate external funding to run its business and
project operations. For avoidance of doubt, the salaries and emoluments of staff
hired on projects in the research entities (full-time or part-time contracts) shall
be under full responsibility and obligation of the research entities. The
personnel shall only be hired on contract in accordance with the particular
project lifetime or engaged, as and when there is commitment of funding for
the project(s) run by the research entity.

d) Where the establishment of a research entity is initiated and determined by the

University management and/ or Council, the resources to run the activities and
operations of the entity will be provided for in the University budget framework
and/ or from a partnership framework approved by the University Council.

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11.0 Review of Policy
This Policy shall be reviewed as and when it is deemed necessary, on the initiation of
management, with approval of the University Senate and Council.

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 ANNEX 2:

GUIDELINES AND PROCEDURES FOR ESTABLISHMENT OF

RESEARCH ENTITIES AND INSTITUTIONS
12.0 Requirements for Establishment and Management of Research Entities

12.1 Research Group

a) Initiation: A research group is initiated by a group of researchers in a department, led

by a PI with a track record of research in the specific field for which the research group
is proposed.

b) Approval: No formal approval is needed for a research group. However, it is

recognized by the respective department and School where the research group is hosted.
There are no specific requirements for a PI to initiate a Research Group.

c) Management and reporting requirements

• It is led by a PI as a Research Group Leader, identified from the researchers in the
group;
• It has a leadership structure agreed upon by the group members
• It may have temporary staff when there are active projects but these are within the
auspices of the department
• Its research projects are managed and reported within the institutional leadership of
the department.

12.2 Research Unit

a) Initiation: A research unit is initiated by a group of researchers in a department, led

by a PI with a track record of research in the specific field for which the research group
is proposed. Some Research Units will naturally evolve from Research Groups. A
research group may grow and increase its operational capabilities to meet the
requirements for a Research Unit, in which case the group initiates the process to
formalize as a university research entity. However, researchers may initiate a Research
Unit even when they have not had a prior Research Group.

b) Approval: Research Units will need approval by the host School's Board and thereafter,
full approval by the College Board. Upon the approval of a Research Unit by the College,
the College Principal will notify the DVC Academic Affairs.

c) Requirements for approval of a Research Unit

For a Research Unit to be approved, the initiating Researchers will present a proposal
document that shows the following requirements:

1. Name of the Research unit; the name should include the term 'Unit' and the specific
research issue of focus
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 H. Vision, Mission Statement aligned to that of the host school
HI. Specific Research area of focus
IV. Justification for the issue of focus
v. List of affiliated researchers, (mostly from the host department or school)
VI. List of research projects already undertaken in the group
VII. Proposed Leader + CV
VIH. Annual Financial and Activity Plan (with a start-up budget of at least US$so,ooo or
187,500,000/=) immediate and future
IX. Proposed Organizational Structure and how it fits within the department or school
x. Description of how the unit will support teaching and learning
Xl. Sustainability plan
XlI. Performance indicators for Periodic review.

d) Management and reporting requirements

1. A Research Unit will be led by a Research Unit Head. A Research Unit Head will
be at a level equivalent to an Academic Programmes Coordinator within a
Department. He/she should be a senior faculty (Senior Lecturer and above) with a
track record of research in the specific area of focus for the proposed unit
H. A Research Unit will have an established office and may have a few full-time staff
Ill. The Financial Management activities of a Research Unit will be integrated within the
School's system
IV. Research Unit Head will provide bi-annual progress reports to the respective Head
of department and in turn to the School Dean for consideration by School Board.
v. On an annual basis, they will provide a progress report to the' College Principal.

12.3 Research Center

a) Initiation: A Research Center may be initiated in three ways:

A research group or approved Research Unit may seek to grow into a Centre if it meets
the criteria. The University Management may sanction the establishment of a center
based on need or strategic mission of the University. In such cases, the University
Management may identify a host/ reporting Unit and a senior researcher to spearhead
the establishment ofthe Research Center.

b) Approval: Research Centers will need approval by the host School Board and
thereafter, by the College Board, Makerere University Senate, and Council. Fast-track
approval of a Research Center may be granted by the Vice Chancellor may grant
discretionary approval for a one-year period, after approvals by the School Board
(where a Center is hosted by a School) as well as the College Board for the host College.

c) Requirements for approval of a Research Center

For a Research Center to be approved, the initiating Researchers will present a proposal
document that shows the following requirements:

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 I. Name of the Center; the name should include the term 'Center' and the broad
thematic area of research for the Center
H. Vision, Mission Statement aligned to that of the host College
HI. Broad Research/Innovation Thematic area of focus
IV. Justification for the Thematic area of focus/Center
v. A medium-term (3-5 year) budget
VI. Proof of startup grant of at least $150,000 to cover medium term budget needs
(or in the alternative) a funding framework/plan approved by University central
management.
VII. Proposed research topics (Research agenda)
VIH. List of affiliated researchers reflecting multi-disciplinarity and representation
from other schools/colleges
IX. List of research projects already undertaken in the group/unit
x. Proposed Organizational structure and staffing
Xl. Proposed Initiating Center Director/Chair + CV
XH. Proposed initiating leadership team
Xlll. Plan for supporting undergraduate and graduate (Masters and PhD students)
and Post-doctoral training
XIV. Plan for supporting curriculum development, teaching and learning
xv. Strategy for sustain ability
XVI. Succession Plan
XVII. Performance indicators for Periodic review
XVIH. Letters of support participating Schools or Colleges
XIX. Letters of support from local external collaborating agencies

d) Management and reporting requirements

I. A Research Center will be led by a Center Director or Center Chair. The Center
Director will be at the level equivalent of a Head of Department. S/he should be a
Senior faculty member (Senior Lecturer) of good academic standing, with
demonstrated leadership skills, core-competence in the research area of focus and a
track record of research in the targeted research area. S/he should have
demonstrated ability and experience to attract external research funding
H. The Research Center shall have an established office or fully functional center
HI. It may have full-time staff including administrators and Research Fellows, reflecting
the volume of research work expected of a research center.
IV. The Centre's Financial Management shall be based on approved framework by the
University School and College Board, and shall be in accordance with the University
financial regulations.
v. The Center uses its own grants to pay Full-time staff
VI. Full-time staff have up to 1-year renewable contracts approved by the host College.
Such staff are governed by the Human Resource guidelines and regulations of
Makerere University

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 VII. A Research Center is expected to provide performance reports to the host School
and/or College on a 6-monthly basis. And shall provide annual performance reports
to the University Management through the Office of the DVC AA.

12.4 Research Institute/ Capacity Development Institute

Initiation: A research/ Capacity development institute is initiated/ sanctioned by the

University Management with approval of Senate and Council, based on a determination
that it fits within the strategic direction of the university in its responsiveness to
national, regional or global development needs. In this case, the University Management
will identify a host/ reporting Unit and a senior researcher (Associate Professor and
above) to spearhead the establishment of the Institute. University management may
direct a particular School! College/ Administrative Unit to sponsor the establishment of
an institute or a specific senior researcher to do the same. A Research Centre may also
apply to grow into a Research Institute if it satisfies the requirements of the Institute.

a) Approval: Research Institutes will be approved at the level of the Senate and the
University Council.

b) Requirements for approval of a Research Institute

For a Research Institute to be approved, the initiating unit or management will

present a proposal document that shows the following requirements:
1. Name of the Research Institute (The name should include 'Makerere
University Institute of..... '
u. Broad thematic area of research
111. Justification for the institute showing that the area of research endeavor/
capacity building is a priority at national, regional or global;
IV. Where initiation is from a College/ Centre, proof of startup grant of at least
$300,000 to cover medium term budget needs or (in case of initiation by
management) a funding framework/plan recommended by University top
management resolution.
v. A medium-term (3-5 year) budget; Proof of funding from the university to
cover medium term budget
VI. List of affiliated researchers reflecting multi-disciplinarity and representation
from other college.
VII. Proposed research agenda.
VIU. Proposed Organizational structure and staffing.
IX. Proposed composition of the Institute Advisory Board.
x. Plan for supporting specialized graduate training (Masters and PhD students
as well as Post-doctoral training)-Plan for providing substantial support to
teaching and learning for professional/ executive development
Xl. Strategy for sustainability
xu. Proof of buy-in from national/regional agencies.

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 c) Management and reporting requirements

1. A Research Institute will be headed by an Institute Director. The Institute

Director is at a level equivalent to a School Dean. S/He should be a senior
faculty of good academic standing (at level of Associate Professor), with
demonstrated leadership skills. S/He should have core competence in the
broad technical area of focus for the Research Institute; H/she should have
experience both in research and teaching. S/He should have demonstrated
ability and experience to attract external research funding
11. A Research Institute will have an established office or a fully functional
Institute space and infrastructure
111. It should have several Full-time staff including administrators and Research
Fellows
IV. Financial Management based on approved framework by the University and
in accordance with the University financial regulations.
v. It uses its own grants to pay Full-time staff
VI. Full-time staff have multi-year contracts approved by the host College OR
University.
VII. The Research Institute is expected to provide performance reports to the host
College (if based in a College) and to the University Management through the
Office of the DVC AA, on annual basis.

12.5 Research Center of Excellence

a) Initiation: A Research Center of Excellence may be established in one of 3 ways:

1. A research Unit/ Centre/ Institute may seek to grow into a CoE if it meets the
criteria.
11. A research Unit/ Centre with proof of substantial start-up funding (grant)
specifically for establishing a CoE, and appropriate justification for the
regional/global importance of the cross-national research area of focus may
seek approval of its establishment as part of the grant requirements.
lll. The University Management with approval of Senate/ Council may sanction
the establishment of a CoE based on regional/global need and cooperation.

b) Approval: A CoE initiated or hosted at College level will need preliminary approval
by the host School/ College Board. In circumstances where approval of a research
center is required by urgency of need, it can be fast-tracked with the interim approval
by Vice Chancellor on the recommendation of University Management. This may
arise in situations where substantial funding has been made available from a credible
funder, conditional to evidence of establishment of a CoE. Fast-track approval of a
CoE will require a minute and proposal recommendation from School/ College
Board (where the planned CoE is). Thereafter, the Vice Chancellor may grant
approval for a one-year period, renewable once for six months. Fast-track approvals
will then have to seek formal full approval by the Senate and the University Council.

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 c) Requirements for approval of a Research Center of Excellence:

For a Research Center of Excellence to be approved, the initiating Researchers will

present a proposal document containing the following requirements:

I. N arne of the CoE.

11. Broad thematic area of research/innovation.
Ill. Justification for the Thematic area of focus/CoE.
IV. Proof of startup grant of at least $500,000 to cover medium term budget or a
funding framework/plan recommended by University top management.
v. List of affiliated Universities/Research Institutions.
VI. Proposed Leadership/coordinating/Organizational structure reflecting the
involvement of partner entities.
VII. Proposed Steering Committee/Governing Board Members reflecting
involvement of partner institutions (Appointed by Vice Chancellor).
Vlll . Proposed Technical Advisory Group members composed of reputable
researchers from the partner institutions
IX. Proposed initiating CoE Director + CV
x. Proposed staffing structure
Xl. Medium-term budget
Xll. Strategy for sustain ability
Xlll. Letters of support from external collaborating entities.

d) Management and reporting requirements

I. Centers of Excellence will be led by a Center of Excellence Director. The

Center of Excellence Director will be at the equivalent of a Dean of School.
SIRe will be a Senior faculty of good research standing (at level of Associate
Professor), with demonstrated skills in leading cross-disciplinary networks of
researchers. SIRe should have demonstrated ability and experience to attract
external research funding and to mobilize other higher education institutions
and external research
11. The Center of Excellence has an established office or a fully functional center
with substantial infrastructure to manage a large diverse research network
111. It should have several full-time staff including administrators and Research
Fellows.
IV. Financial Management based on approved framework and in accordance with
the University financial regulations.
v. It uses its own grants to pay Full-time staff.
VI. Full-time staff have 1-year renewable contracts approved by the host School
OR College.
VII. CoEs are expected to provide periodic performance reports to the host School
or College and to the University Management (through the DVC AA and
Director, DRGT) on annual basis.

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13.0 Procedures for Approval, Operationalisation, Review and Dissolution

a) Subntission of a Proposal for Establishing a Research Entity

Proponents of a research entity will submit a written proposal to the approval levels indicated
in the earlier section on 'Requirements for Approval'. The proposal must contain the areas
specified for the different research entities.
b) Consideration of the Proposal by the Acadentic Boards

Before submission to Senate and Council, of a proposal for establishing a Research Centre or
Institute, the School and College Academic Boards must first ascertain that the proposal meets
the criteria set out, with particular emphasis on:

i) the assessment of at least two external assessors;

ii) the Boards' and Senate view on academic merits of the proposed research projects;
iii) how the research programme fits with the Research Plan/Strategy of the relevant
School(s) and/or College and the University;
iv) the feasibility of the work plan and capabilities of researchers involved;
v) the likelihood of the entity being able to meet its deliverable targets and any
challenges which the entity is likely to face;
vi) the proposed budget, especially items that cannot be met from the Faculty's share of
the Research budget.
vii)the standing, leadership qualities and experience of the proposed head of the entity
and succession plan
viii) the available infrastructure and whether any relocation, building alterations and
the like are required and if so, have been approved.
ix) Economic viability and sustain ability of the entity
x) Contribution to national development Plan of Uganda.

c) Approval

i) Establishment of a Center, Institute and CoE has implication for the Departments,
Schools, and Colleges with participating faculty. Establishment, therefore, of such
an entity requires the approval letters of all involved Chairs, Deans and Principals.

ii) Following approval, each Center/Institute will develop a Charter during its first year
of existence or the first year following reauthorization. The Charter will describe the
mission, proposed activities, and governance structure, and include a strategic plan
describing the means of addressing the mission of the unit. The plan will specify
explicit goals e.g. graduate students supported, research funds generated, faculty
release time paid from Center/Institute projects, and indirect costs recovered. The
Charter shall be approved by the Director, the DVC (AA) and Vice-Chancellor.

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 d) Operationalisation of a Research Centre, Institute or CoE

iii) The head of a research entity will be expected to develop a strategy and programme
for the realisation of the objectives of the entity in consultation with other members.
He/ she will provide leadership and guidance to members of the entity and will be
responsible for liaising with other sections of the University in relation to matters
(e.g. budgets, annual reports, appointment of staff, etc.) affecting the entity. He/she
will represent the entity outside the University and may delegate any of these
responsibilities to any member of the entity.
iv) The University Management/ Senate may require that an Advisory Board or
Committee be constituted for Research Centres and Institutes. It will assist in the
planning and assessing the activities of the entity. The composition of such an
Advisory Board will be based on individual project, but it will be desirable that it
includes at least one external expert.
v) Academic staff members who are members of a research entity, unless appointed on
the funds of that entity, will retain their academic responsibilities to their respective
Head of Department or other division, as appropriate, but on research entity matters
they will be responsible to the head of the research entity.
vi) Research staff appointed on university funding will be accountable to the head of
the research entity for their research activities. Since they will normally be appointed
against a Faculty's share of the research budget, the research posts will form part of
that Faculty's staff complement. Where such appointees are in the academic
department, they will be expected to carry a at least one third of the normal teaching
load, to be determined by a Head of Department or Dean of the School in
consultation with the head of the relevant research entity. Research staff appointed
on external funding will also be expected to carry a teaching load unless this is
explicitly prohibited by the external funder(s) of the post.
vii)Each research entity shall develop and maintain an appropriate summary of its
research activities and strength and will be expected to identify those performance
indicators by which it, and the University, can most appropriately evaluate its
progress and achievements.
viii) All funds received by a research entity shall be deemed University funds for audit
and accounting purposes. All equipment purchased from such funds is the property
of the University, unless circumstances dictate otherwise, e.g. when such equipment
is purchased by a partner institution.

14.0 Reporting Procedure

a) Every research entity will prepare an annual report and present it through the respective
College Academic Board by 30 th June of the following year.

b) Each Centre/Institute will submit an annual report to the DVC (AA) through the
Director, Research & Graduate Training (DRGT) by 30 th July of each year. The annual
report should summarize the activities of the Center/Institute for the past year, and
address the mission of the unit. Updates or modification of the Center/Institute strategic

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 plan should accompany the annual report. The report should, among others, normally
include all of the following:

o Name of the Research Programmed/Group/Unit/Institute

ii) Name of the Director/Leader and his/her home School
iii) List of participating academics
iv) Tabulation of the names, schools and percentage time spent on these research
activities.
v) A short resume of the projects undertaken during the period under review, with
description of the progress made. List and brief indication of the nature and progress
of both current and proposed future extensions or developments of each project plus
names of people involved.
vi) A list of publications which appeared in print during the year, sorted by category.
viOLists of those conferences attended and institutions visited, locally and abroad,
during the period under review.
viii) List of the researchers from other centres, local and overseas, who visited and
who contributed to research activities.
ix) A complete income and expenditure report for the year, including unspent balances
carried into the year and carried forward to the following year.
x) Each report will be scrutinised by the appropriate College Academic Board and
forwarded to the Directorate of Research and Graduate Training, not later than 30
July.

15.0 Review and Evaluation

Each Centre/Institute will be established for a fixed period of time, usually five years unless
there are prevailing reasons for a shorter or longer term. Shorter or longer terms must be
explicitly described in the proposal or evaluation documents. In the final year of
authorization, each Center/Institute will conduct a self-study and undergo a thorough
review and evaluation of its activities and accomplishments. The review will include an
evaluation of the effectiveness of the Director and their suitability to continue in that role.

a) Every research entity will be subject to periodic reviews which will normally be on a five-
yearly cycle. Where practical, this may be included in a quinquennial School review,
even if it means resetting the recognition cycle of the entity to coincide, but the DVCAA
must be consulted over how the Senate and Council interests are to be represented in
the review process. He/she will reserve the right to involve external experts.
b) However, the DVC (AA) may, at any time, require a review of any research entity
recognised under this policy e.g. when a Director resigns, the entity becomes of sub-
critical size, gets into financial difficulty, appears to be unproductive, etc. An ad hoc
review Committee will be constituted by the DVC (AA), upon which the interests of the
Council will be represented.
c) A review of a research entity will essentially take a longer-term view of the information
provided in successive annual. In particular, it will consider:

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 i) its activities and achievements in relation to its own statement of aIms,
objectives and functions;
ii) its strategic plan and its congruence with Faculty and University plans;
iii) its research outputs - publications and higher degrees in particular;
iv) the financial resources which have gone into producing such outputs and value
for money;
v) a comparison of the cost: benefit ratio above to School and Faculty norms;
vi) projected outputs in future years.

16.0 Reauthorization / Termination

At the end of the approved period, the existence of the Center or Institute will terminate unless
it is specifically reauthorized to continue following it review and evaluation. The period of
reauthorization will be specified in the reauthorization approval, but shall not exceed five
years. Reauthorization must follow the same University approval process.

17.0 Dissolution of Research Centre or Institute

a) In the event that a Centre or Institute decides to cease operations, or is not
recommended for an additional term, the activities of the Centre or Institute will be
wound down in accordance with University procedure for closing entities. In addition,
the University reserves the right to close a Centre or Institute during its approved period
for financial exigency or other reasons, with due regard to human resources policies and
employment standards legislation. Ultimately, the University Council, on the
recommendation of Senate and or management, will formally dissolve an established
Centre or Institute.

b) When a Research Centre or Institute is to be closed, the Director (or the person to last
serve in that position) shall be responsible for coordinating the appropriate and orderly
closure of the Centre, including but not limited to completion or termination of research
activities and projects in the Centre or Institute, resolution of financial matters,
disposition of infrastructure (including computers) and other physical resources (e.g.
furnishings), archiving of management records, and proper handling of research
resources including archiving of research data, records, and research results as required
by University or funding agency policy.

1"H
Dateofapproval: ___I_'____ :r
__U_~~
_____~_~
__ ~
______________________

Signed: Chairperson of Council ~ ~wUJ.... \..~

Signed: Secretary to Council '-~ ~y:~<:::-~.-

19 I P age
Table 1: Proposed definition, scope and requirements for the different research entities specified in this policy

Entity Level Definition, Scope of functions Initiation Approval Management

Research Department; A research group is a first level formation A group of No approval needed; - Leader: Group Leader/
Group draws of a team of researchers drawn from researchers in but recognized by the Department/ School Principal Investigator
membership within a Department or Departments in a a department, - Informal leadership structure
and hosted School who join to work together on a led by a PI - Research projects/ activities
at specific research area - within the are reported to the
Department. broader institutional research agenda. institutional leadership of the
The.key feature of a research group is that department and the school
it is a voluntary, largely informal and - Temporary staff when there
ad hoc group arrangement, but known and are active projects
recognized by the Department. -
Research Unit Department A Research Unit is a micro-entity within a A group of Approval by School Board and/ or - Leader: Unit Head
or a School Department or School formed to foster researchers in College Board - Level Equivalent: Academic
(Cross- focused research on a specific issue that a department, Programs Coordinator
department) merits concentrated research efforts. It led by a PI Requirements: 0 A senior faculty with a
represents the formalization of a Research - Name of the Research unit; the name track record of research in
Group and therefore grows from a should include the term 'Unit' and the the specific area of focus
research group. The essential features of specific research issue of focus for the proposed unit
a unit are that : 1) it consistently conducts - Vision, Mission Statement aligned to 0 Established office; may
research on a specific issue of need that that of the host school have part-time/ fulltime
merits independent recognition within the - Specific Research area of focus staff funded by the
broader institutional research agenda; 2) - -Justification for the issue of focus project
it has a formally approved leadership - List of affiliated researchers, (mostly - Grants received shall be
structure; 3) Its members are from within from the host department or school) managed in accordance with
a department or can be transdisciplinary, - List of research projects already the Grants Management &
drawn from several departments in a undertaken in the group Administration Policy (2020).
School. - Proposed Leader + CV - Report to the School Dean and
- Annual Financial and Activity Plan (with the College Principal
a start-up budget of at least US$50,000
or 187,500,000/=) immediate and
future
- Proposed Organizational Structure and
how it fits within the department or
school

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Entity Level Definition, Scope of functions Initiation Approval Management
- Description of how the unit will support
teaching and learning
- Sustainability plan
- Performance indicators for Periodic
review
Research School or A Research Center is an entity within a -A research Approval by School Board, - Leader: Center Director/ Chair
Center College School or College established to foster group/unit College Board, - Level equivalent: Head of
transdisciplinary research, knowledge may seek to Senate, Department
transfer, research-to-policy engagement, grow into a University Council 0 A Senior faculty of good
and community interventions/outreach centre if it academic standing
activities in a particular area of research meets the OR 0 With demonstrated
that is of importance to national, regional criteria School Board/ College Board and Interim leadership skills
or global agenda. It has a multidisciplinary 1. A research approval by the 0 With core competence in
composition of affiliated researchers group/unit Vice Chancellor (pending Senate and the general area of
convened from multiple departments or with proof of Council approval) (Fast-track) research focus for the
schools within a College and coordinated start-up Center
within a particular school or College. funding Requirements: 0 With demonstrated ability
Because of the importance of its area of (Annual grant - Name of the Center; the name should and experience to attract
research at regional and global level, it is of at least include the term 'Center' and the broad external research funding
able to leverage external funding and $150,000) may thematic area of research for the - Established office or fully
resources to sustain its operations over a seek to Center functional center
medium-term period. A particular develop a - Vision, Mission Statement aligned to - Several Full-time staff including
distinguishing feature of a research center center that of the host College administrators and Research
is its multi-disciplinarity, and researcher - Broad Research/Innovation Thematic Fellows
membership that transcends one school 2.The area offocus - Grants received shall be
or College. Though a Research Center University - -Justification for the Thematic area of managed in accordance with
offers no degree programs of its own, it Management focus/Center the Grants Management &
provides support to teaching and learning may sanction - A medium-term (3-5 year) budget Administration Policy (2020).
including curriculum development, the - Proof of startup grant of at least - Uses its own grants to pay Full-
participation in teaching, development of establishment $150,000 to cover medium term budget time staff
enhanced learning modules, support to of a center needs - Full-time staff have up to 1-
undergraduate and graduate students and based on - Proposed research topics (Research year renewable contracts
post-doctoral research fellows, and national need agenda) approved by the host College
support to student research placements. or Strategic - List of affiliated researchers reflecting - Reporting to the host School/ i
focus of the multi-disciplinarity and representation the College and Annual College
University from other schools/colleges reports to the University (DVC
-
AA/ DRGT, Director)

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Entity Level Definition, Scope of functions Initiation Approval Management
- List of research projects already
undertaken in the group/unit
- Proposed Organizational structure and
staffing
- Proposed Initiating Center
Director/Chair + CV
- Proposed initiating leadership team
- Plan for supporting undergraduate and
graduate (Masters and PhD students)
and Post-doctoral training
- Plan for supporting curriculum
development, teaching and learning
- Strategy for sustainability
- Succession Plan
- Performance indicators for Periodic
review
- Letters of support participating Schools
or Colleges
- Letters of support from local external
collaborating agencies
Research University A research institute is a large scale trans- 1. Sanctioned Sponsoring School/college - Leader: Institute Director
Institute/ wide or disciplinary entity intentionally by the Senate - Level Equivalent: School Dean
hosted by a established by the university as part of its University University Council 0 A Senior faculty of good
Institute (for College long-term strategic commitment to broad Management academic standing
Capacity areas of research and/ or capacity and Senate/ Requirements: 0 With demonstrated
Building & development endeavors that are a priority Council - Name of the Research Institute (The leadership skills
Development) in the national, regional or global name should include 'Makerere 0 With core competence in
,
development agenda, with the intention 2. Initiated by University Institute of.. ... the general area of
of 1). Producing research outputs that a Research - Broad thematic area of research research focus for the
inform national policy and socio-economic Center - Justification for the institute showing Center
transformation; 2). Lending prestige, sponsored by that the area of research endeavor/ 0 With demonstrated ability
standing, and exposure of researchers a College. capacity building is a priority at and experience to attract
from several Colleges to work together on national, regional or global; external research funding
a wide range of associated problems; 3). - Where initiation is from a College/ 0 With both teaching and
Institute established for targeted capacity Centre, proof of startup grant of at research experience
building and Dev't/ training for broader least $300,000 to cover medium term - Established office or fully
national/ regional program. For example, budget needs functional Institute

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Entity Level Definition, Scope of functions Initiation Approval Management
a research institute established around - A medium-term (3-5 year) budget; - Several Full-time staff including
Safe Water and Sanitation may convene Proof of funding from the university to administrators and Research
researchers from Engineering, Public cover medium term budget Fellows
Health, Agriculture, Social Sciences, - List of affiliated researchers reflecting - Uses its own grants to pay Full-
Environment, Animal Health all multi-disciplinarity and representation time staff
conducting different streams of research from other colleges - Full-time staff have multi-year
but contributing to improving water and - Proposed research agenda contracts approved by the host
sanitation. It may also offer targeted - Proposed Organizational structure and College OR University
capacity-building in form of professional/ staffing - Grants received shall be
executive short and midterm training. It - Proposed composition of the Institute managed in accordance with
also provides substantial support to Board the Grants Management &
academic programs. The institute may - Plan for supporting specialized Administration Policy (2020).
sponsor the implementation of highly graduate training (Masters and PhD - Reporting to the host College
discretionary degree programs targeting students as well as Post-doctoral and the University
executive/professional development, training)-Plan for providing substantial Management (through the DVC
provided such programs are hosted by a support to teaching and learning for AA/ DRGT Director)
School/ Department. A Research Institute professional/executive development
may have multiple Research Centers. - Strategy for sustainability
- Proof of buy-in from national/regional
A Research/ Capacity Building Institute agencies.
may be incorporated as a Company
(limited by guarantee) with Makerere
University as a sole guarantor or as a
consortium of partners with Makerere, as
the University Council shall determine/
approve from time to time .
Research University- A Centre of Excellence (CoE) is an 1. A Research Approval by School Board and/ or College - Leader: CoE Director
Center of wide or umbrella research entity that brings Unit/ Centre Board; 0 Level equivalent: Dean of
Excellence hosted by a together a critical mass of high-level may seek to Senate and University Council School
School or scientists and researchers drawn from grow into a 0 A Senior faculty of good
College with several universities and/ or research CoE if it meets OR academic standing
external institutions, working in a partnership to the criteria University Management with approval of 0 With demonstrated skills
linkages to implement high level research and (e.g. with Senate/ Council in leading cross-
other innovations, and coordinated by proof of start- disciplinary networks of
research Makerere as the Prime institution in the up funding NOTE: An interim approval by the researchers
institutions partnership. It has a defined governance (grant) for University Management (pending Council
at regional structure that represents its cross- establishing a approval) (Fast-track)

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Entity Level Definition, Scope of functions Initiation Approval Management
or global institutional and national/regional CoE) as may be 0 With demonstrated ability
level /international nature. It undertakes determined by Requirements : and experience to attract
transdisciplinary work on issues of Council; - Name of the CoE external research funding
national/regional/global importance. It is - Broad thematic area of - Established office or fully
able to obtain reasonable start-up funding 2. The research/innovation functional CoE
and over time to attract new sources of University - Justification for the Thematic area of - Full-time staff including
funding to sustain its operations over a Management focus/CoE administrators and Research
medium to long-term period. It targets to with approval - Proof of startup grant of at least Fellows
produce research and innovation outputs of Senate/ $500,000 or as may be determined by - Uses its own grants to pay Full-
that lead to substantial transformation at Council may Univ. Council to cover medium term time staff
policy and program level either nationally, sanction the budget - Full-time staff have l-year
regionally or globally. It may have multiple establishment - List of affiliated Universities/Research renewable contracts approved
hubs coordinated by the CoE head office of a CoE based Institutions by the host School OR College
at Makerere University. on national, - Proposed - Grants received shall be
regional/global Leadersh i p/coo rd i nati ng/O rga nizationa I managed in accordance with
The CoE may be incorporated as a partnership structure reflecting the involvement of the Grants Management &
Company (limited by guarantee) with needs. partner entities Administration Policy (2020) .
Makerere University as a sole guarantor - Proposed Steering - Report to the host School OR
or as a consortium of partners with Committee/Governing Board Members College and to the the
Makerere, as the University Council shall reflecting involvement of partner University Management
determine/ approve from time to time . institutions (Appointed by Vice (through the DVC AA and DRGT
Chancellor) Director)
- Proposed Technical Advisory Group
members composed of reputable
I
researchers from the partner
institutions
- Proposed initiating CoE Director + CV
- Proposed staffing structure
- Medium-term budget
- Strategy for sustainability
- Letters of support from external
.. -
collaborating entities .

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