2.23.01 Centers and Institutes; Policy on Creation, Operation, Review, and Discontinuance

• 2.23.01.010 Purpose of Statute. This statute defines the purposes of centers and institutes and provides procedures for their creation, operation, review, and discontinuance. A major objective is to provide institutional flexibility for accomplishing certain research, educational, and service missions while being careful to adhere to the University's policies with respect to fiscal control, faculty governance, and academic excellence.
• 2.23.01.020 Definition of Center. For the purposes of this statute, a center or institute is defined as a college-wide or university-wide academic grouping of individuals that is supported financially, in whole or in part, by the University and is administered as a separate administrative unit with a separate operating budget. A center or institute generally engages in activities that advance the mission of the University and that generally involve more than one of the traditional academic disciplines. In this statute, the term "center" shall mean either a center or an institute.
• 2.23.01.030 Scope of Statute. Except as otherwise provided in Limitations of Definition of this statute, an academic unit that includes "center" or "institute" as part of its title must comply with this statute. In addition, the President or his/her designee, after consultation with the participating faculty, the affected deans, and the affected department chairs, may require or permit a unit that functions as a center and is receiving or managing University funds to comply with this statute even if that unit does not include "center" or "institute" as part of its title. Informal faculty groupings that do not manage or receive University funds are not governed by this provision.
• 2.23.01.040 Limitations of Definition. This statute does not apply to an administrative unit or grouping that includes the term "center" or "institute" in its name if that unit or grouping exists solely to provide support services to faculty or students (e.g., the Welcome Center). Nor does the statute apply to a special-purpose faculty grouping of limited duration that has been designated by an external agency as a "center" (e.g., an NIH "center grant"), as long as that faculty grouping does not receive direct financial support from the University and has not elected to be governed by this statute.
• 2.23.01.050 Types of Centers. In general, a center is either a "university center" or a "college center." A university center is a center that is engaged in academic activities that involve more than one college (school) and that is subject to the direct administrative supervision of the President or designee. A college center is a center that is engaged in academic activities that primarily involve one college (school) and that is under the direct administrative supervision of the dean of that college (school). In special circumstances, a college center may be administered jointly by two colleges (schools), but only if its charter so provides and the charter has been approved in accordance with the rules established in this statute for university centers.
• 2.23.01.060 Types of University Centers. University centers are either a "Type I" center or a "Type II" center. A Type II center is a large, multidisciplinary center that is engaged primarily in research activities, that reports to the Vice President for Research, and that has been designated in its charter as a Type II center. All other university centers are Type I centers.
• 2.23.01.070 Charter Requirement. A center must have an approved charter that sets forth its mission, its organizational structure, including provision for an advisory board, its operating procedures, the procedures for its review, and its classification as a college center or as a Type I or Type II university center. The charter must be approved and renewed in accordance with the provisions of this statute. A charter lapses after six years unless it is renewed. The usual renewal period is for six years. A charter may be renewed provisionally for a period shorter than six years under appropriate circumstances.
• 2.23.01.080 Temporary Charters. The President may authorize a temporary charter for a university center while that center is being formed. The President also may authorize a temporary charter for a university center that is under review and has had its charter lapse. The Provost may take similar action in the case of a college center. In approving (or renewing) a temporary charter, the President or Provost, as the case may be, shall act in consultation with the Policy Committee of the Academic Senate. A temporary charter lasts for 12 months and may be renewed only in exceptional circumstances. The charter of a center that is under review shall be extended automatically for one year if the review of that center is not completed in timely fashion for reasons outside the control of the center.
• 2.23.01.090 Tenure Issues. Because tenure resides only in a college or department, no person shall hold tenure or a rank leading to tenure in any center. A faculty member holding tenure or tenure-track status in an academic unit may hold a term appointment or a joint appointment in a center. That person's tenure or tenure-track status shall remain, however, in the academic unit that granted it. The appointment to a center of a faculty member must be approved by the Provost. The rights that a faculty member may have to return to an academic unit ("retreat rights") shall be determined under that individual's employment contract and the collective bargaining agreement between the University and the union representing that individual. This statute shall not affect the retreat rights or the faculty governance rights provided elsewhere to that individual.
• 2.23.01.100 Missions of Centers. Centers may be established to pursue one or more of the following missions. The mission or missions of a center should be stated in its charter, and the center should be evaluated by reference to its success in accomplishing its stated mission or missions. If the mission of a center changes, a center must amend its charter to reflect that change.
• 2.23.01.110 Research programs. Centers may be established to advance, promote, and support research, especially interdisciplinary research, including outreach activities and technology transfers to the private sector.
• 2.23.01.120 Instructional programs. Centers may develop and offer an interdisciplinary instructional program, including a program that leads to a minor or co-major in a particular subject area, as long as the program meets the requirements established for a University degree program and the authority for establishing such an instructional program is set forth in the center's charter. Any course offered by a center must be cross listed in one or more colleges.
• 2.23.01.130 Centers may offer a program of instruction that leads to degrees only if the program is formally affiliated with a University degree program. The authority to recommend the award of a degree in such an instructional program shall be vested in a college (school) or in the Graduate School.
• 2.23.01.140 Certificate programs. Centers may offer programs of instruction leading to a certificate. The authority to recommend the awarding of a certificate in such an instructional program shall be vested in a college (school) or in the Graduate School.
• 2.23.01.150 Service programs. Centers may be established to conduct programs of service to academic disciplines or professions, to agencies of government, to businesses, to other public and private institutions, or to the community.
• 2.23.01.160 Approval of Degree, Etc., Programs. All degree, certificate, and other academic programs offered by centers shall be approved under established University procedures.
• 2.23.01.170 Formation of Centers
• Approval of Charter. The charter of a university center must be approved by the Board of Governors on the recommendation of the President. The charter of a college center must be approved by the Provost on the recommendation of the dean of the college (school) where the center would reside.
• 2.23.01.180 Contents of a Center Proposal. A proposal to establish a college center or a university center must include a proposed charter, a narrative description of the objectives of the center, an explanation of the steps to be taken to achieve those objectives, a pro forma budget, a five-year plan of action, and the criteria the center wishes to be applied when its performance is reviewed. The pro forma budget shall include an estimate of revenues and expenses for each of the first five years of operation and the amount of any proposed financial subsidy from the University over its first five years of operation. In addition, the proposal shall be accompanied by written recommendations from the respective deans, directors, and chairs of the units that are expected to participate in the activities of the center.
• 2.23.01.190 Type I Centers and Institutes Advisory Committee. A proposal to establish a Type I university center shall be reviewed by a committee, referred to as the Type I Centers and Institutes Advisory Committee (CIAC-I). The CIAC-I shall have 2N members, drawn primarily from the tenured or tenure-track faculty, with N members appointed by the Policy Committee of the Academic Senate and N members appointed by the Provost, each acting in consultation with the other. The chair of the committee shall be appointed from the membership by the Provost in consultation with the Policy Committee. An individual who is directly associated with a center under review or otherwise has a conflict of interest shall not be eligible to serve on the CIAC-I. The Provost or designee shall serve on the CIAC-I in an ex officio capacity. The Office of the Provost shall provide staff support for the CIAC-I.
• 2.23.01.200 Type II Centers and Institutes Advisory Committee. A proposal to establish a Type II university center shall be reviewed by a committee, referred to as the Type II Centers and Institutes Advisory Committee (CIAC-II). The CIAC-II shall have 2N members, drawn primarily from the tenured or tenure-track faculty, with N members appointed by the Policy Committee of the Academic Senate and N members appointed by the Vice President for Research, each acting in consultation with the other. The chair of the committee shall be appointed from the membership by the Vice President for Research in consultation with the Policy Committee. An individual who is directly associated with a center under review or otherwise has a conflict of interest shall not be eligible to serve on the CIAC-II. The Vice President for Research or designee shall serve on the CIAC-II in an ex officio capacity. The Division of Research shall provide staff support for the CIAC-II.
• 2.23.01.210 CIAC Report. The CIAC-I or CIAC-II, as the case may be, shall prepare a report setting forth its recommendation for or against approval of a university center and the reasons supporting that recommendation. Before making its own recommendation, the CIAC-I or CIAC-II shall request a recommendation from any college (school), department, or existing center that is expected to participate in the activities of the proposed university center. In its report, the CIAC-I or CIAC-II shall discuss the expected contribution of the proposed university center to the core functions of the University and shall evaluate its pro forma budget and determine the merits of any request for financial support from the University. The CIAC-I or CIAC-II shall provide a draft copy of its report to the director of the center under review for comments and correction of factual errors. The CIAC-I shall send its final report on a proposed Type I university center to the Provost and to the Policy Committee of the Academic Senate. The CIAC-II shall send its final report on a proposed Type II university center to the Vice President for Research and to the Policy Committee of the Academic Senate.
• 2.23.01.220 Review by Academic Senate and Administration. Upon receipt of the report of the CIAC-I or CIAC-II on a proposed university center, the Policy Committee of the Academic Senate and the Provost or Vice President for Research (as the case may be) shall review the report and make their own recommendations in an expeditious manner, with a copy of the recommendations going to the director of the center under review. The Provost or Vice President for Research (as the case may be) shall act in consultation with the deans of the colleges in which center members hold appointments ("Sponsoring Deans"). Those recommendations shall be forwarded to the President. The President shall determine whether to submit the proposal for the creation of the new university center to the Board of Governors for its final action.
• 2.23.01.230 Review of Applications for Establishing a College Center. A proposal to establish a college center shall be referred to an appropriate faculty committee in the college (school) where the center would reside under procedures to be established by the college in consultation with the Provost. That committee shall prepare a report setting forth its recommendation for or against approval. After reviewing that report, the dean of the college where the center would reside shall make a recommendation for or against approval of the proposed college center. If the dean recommends approval, the dean shall submit the proposal to the Provost for final action. The Provost may approve or disapprove the establishment of the college center or may refer the matter back to the college (school) for revision of its proposed charter. In approving or disapproving the formation of a new college center, the Provost shall act in consultation with the Policy Committee of the Academic Senate.
• 2.23.01.240 Governance of Centers. Director of Center. Each center shall have a director, who serves as its chief administrative officer. The director of a university center shall be appointed by the President or designee and shall serve at the pleasure of the President or that designee and shall report to the President or that designee. The director of a college center shall be appointed by the dean of the college in which the center resides, in consultation with the Provost, and shall serve at the pleasure of that dean and shall report to that dean. The appointment of a director may be at faculty rank and may involve a national search process.
• 2.23.01.250 Advisory Board. The charter of a center shall provide for the establishment of an advisory board and shall set forth the rules for its appointment and operation. The role of this board will be to provide counsel to the director on programmatic issues, provide advice on long-range strategic planning, set development goals for the center, and monitor its performance. Members of the advisory board shall be appointed, in consultation with the director, by the person to whom the director reports. In appropriate circumstances, the charter of a center may provide for both an internal and external advisory board. Procedures for the establishment and functioning of advisory boards shall be established by the Provost in consultation with the Policy Committee of Academic Senate and the Council of Deans.
• 2.23.01.260 Periodic Review of Centers. External Review. Each center shall be subjected to periodic review by a committee external to it. Such review shall occur at least one year prior to the time the charter would lapse if not renewed. In the case of a university center, the review shall be conducted under the auspices of the CIAC-I or CIAC-II, under procedures established by the Provost (CIAC-I) and the Vice President for Research (CIAC-II). If an instructional program is associated with the center, the review of the program shall be coordinated with the center review and shall be conducted according to the Academic Program Review guidelines. In appropriate cases, the review may be conducted by reviewers external to the University, although any recommendation made by external reviewers shall be subject to revision by the relevant CIAC. For a college center, the review shall be conducted by a committee appointed, in consultation with the Provost, by the dean of the college (school) where the center resides, under procedures established by the college in consultation with the Provost.
• 2.23.01.270 Self Study. As part of the periodic review process, a university center shall prepare a self study. That self study shall provide detailed information on the operations of the center since its last periodic review and shall offer a candid assessment of its accomplishments and deficiencies over that period in light of its mission and its strategic plan. The self study shall include a revised plan of action for improving the performance and cost effectiveness of the center over the next five years. If a prior review committee recommended that a center make improvements in certain areas or if the center's charter was renewed on the condition that the center meet certain specified performance goals by the time of the next review, the center shall discuss the actions it has taken in response to those recommendations or conditions. A center that has been reviewed recently by an external funding agency may incorporate any report prepared for that agency into its self study. In such a case, the center must append to the report of the external funding agency a memorandum justifying any University subsidy that it receives.
• 2.23.01.280 Budget Review. The self study prepared by a center seeking renewal of its charter shall include budgetary information in sufficient detail to allow the reviewing committee to determine whether the benefits produced by the center are commensurate with the costs, especially the costs to the University. If a center receives in-kind benefits, such as office or research space, in excess of the benefits typically provided to faculty members or departments without charge, the center shall account for those benefits in the self study. No special accounting is required when the center fully reimburses the University for the cost of those benefits through a grant that provides indirect cost recovery amounts.
• 2.23.01.290 Review by CIAC. The CIAC-I or CIAC-II, as the case may be, that conducts the periodic review of a university center shall prepare a report that assesses the performance of the center and its director over the review period and recommends whether its charter should be renewed. The CIAC shall evaluate the performance of the center in terms of the center's mission, as set forth in its charter, in accordance with criteria established by the Provost in consultation with the Academic Senate and the Council of Deans.
• 2.23.01.300 Recommendations by CIAC. The review committee shall make a recommendation for renewal or revocation of the charter of the center under review. If the review committee concludes that a center is not performing well but might be encouraged to improve its performance, it may recommend that the charter of the center be renewed provisionally for some period, with full renewal conditioned on the center meeting certain specified performance goals. The CIAC-I or CIAC-II shall provide a draft copy of its report to the director of the center under review for comments and correction of factual errors. The CIAC shall reconsider a negative recommendation with respect to a center if the director of the center requests reconsideration within two weeks of receiving a draft copy of the CIAC's report. The final report prepared by the CIAC-I shall be forwarded to the Sponsoring Deans, the Policy Committee of the Academic Senate, and the Provost. The final report prepared by the CIAC-II shall be forwarded to the Sponsoring Deans, the Policy Committee of the Academic Senate, and the Vice President for Research.
• 2.23.01.310 Action on CIAC Report. On receipt of a report of the CIAC regarding the renewal of the charter of a university center, the Policy Committee of the Academic Senate, and the Provost or Vice President for Research, as the case may be, shall review the report expeditiously and shall make their own recommendations to the President, with a copy of the recommendations going to the director of the center under review. The Provost or Vice President for Research, as the case may be, shall act in consultation with the Sponsoring Deans. The President shall determine whether to submit the proposal for renewal of the center to the Board of Governors for its final action.
• 2.23.01.320 Timetable for Review. The Provost, in consultation with the Vice President for Research and the Policy Committee of the Academic Senate, shall issue fixed timetables for the review process to facilitate the review and to ensure that it is completed in a reasonable time.
• 2.23.01.330 Revision of Charters. Changes in Charters. A center that wishes to revise its charter shall follow, with the necessary adjustments, the requirements set forth in this statute for the formation of a center. A name change is considered to be a revision of a charter. In general, the revision of a charter shall be accomplished as part of the periodic review process. If the current or anticipated activities of a center are inconsistent with its charter or are expected to be inconsistent in the upcoming review period, the center shall propose conforming amendments to its charter.
• 2.23.01.340 Expedited Review. A center that wishes to amend its charter prior to the next review period may request an expedited review of the proposed amendment to that charter. That expedited review shall follow normal procedures except that the normal review of the performance of the center would be omitted. The Provost or the Vice President for Research, as appropriate, in consultation with the Policy Committee of the Academic Senate, shall determine whether to grant an expedited review. In general, a request for an expedited review should be granted only if the merits of the proposed change in the charter of the center can be established without a significant inquiry into the prior performance of the center. An expedited review does not change the timing of the normal periodic review.
• 2.23.01.350 Annual Budget Review. The budgets of university centers and college centers shall be established and reviewed annually in accordance with the procedures set forth below.
• 2.23.01.360 Budget Review of Type I University Centers. For budgetary purposes, all Type I university centers shall report to the Provost. The financial integrity of the unit is the responsibility of the director of the center. All budgetary deficits must be eliminated by the end of each fiscal year. The Provost shall conduct an annual review of the budget of each Type I university center. The Provost shall submit recommendations for adjustment to the budgets of Type I university centers to the President as part of the normal budget process. The Provost shall provide the Policy Committee of the Academic Senate with an annual report on the budget expenditures of the centers reporting to him/her. The Academic Senate shall review budget recommendations affecting Type I centers in accordance with its procedures for reviewing the budget proposals of the Administration.
• 2.23.01.370 Budget Review of Type II University Centers. For budgetary purposes, all Type II university centers shall report to the Vice President for Research. The financial integrity of the unit is the responsibility of the director of the center. All budgetary deficits must be eliminated by the end of each fiscal year. The Vice President for Research shall conduct an annual review of the budget of each Type II university center. The Vice President for Research shall submit recommendations for adjustment to the budgets of Type II university centers to the President as part of the normal budget process. The Vice President for Research shall provide the Policy Committee of the Academic Senate with an annual report on the budget expenditures of the centers reporting to him/her. The Academic Senate shall review budget recommendations affecting Type II centers in accordance with its procedures for reviewing the budget proposals of the Administration.
• 2.23.01.380 Budget Review of College Centers. Review by Dean. The budget of each college center shall be included in the budget of the college (school) where the center resides. The budget allocation, if any, to a college center shall be established annually by the dean of that college (school), following established procedures for faculty consultation. If a center has made any expenditures of University funds during the year, the dean of the college (school) where the center resides shall prepare an annual budget report on those expenditures and shall provide a copy of that report in timely fashion to department chairs of that college.
• 2.23.01.390 Consultation with Faculty. For colleges (schools) that have established a college-wide budget committee, the dean of the college where a center resides shall consult with that committee with respect to budget allocations to that center as part of the regular consultative process.
• 2.23.01.400 Transitional Rules. All existing centers that currently report to the dean of a college shall initially be classified as a college center during the transition period unless they petition to be classified during that period as a university center. All other centers shall be classified as university centers during the transition period. The permanent classification of a center shall be determined, to the extent feasible, by the close of the first fiscal year beginning after the effective date of this statute. An existing center wishing to be classified permanently as a university center shall follow, with the necessary adjustments, the procedures established in this statute for the approval of university centers. To be classified as a college center, the center shall follow, with the necessary adjustments, the procedures established in this statute for the approval of college centers. All existing centers shall revise their charter to conform to the requirements of this statute.
• 2.23.01.410 Effective Date

This statute, as revised, is effective as of Nov. 30, 2005.

Legislative History

Adopted 8-0; Official Proceedings 50:____ (30 November 2005) Prior Acts: Official Proceedings 16:2123 (9 March 1972) Official Proceedings 29:4022 (29 March 1985)