Introduction

As UAB has evolved, many new centers and institutes have been established to fulfill UAB's instructional, research, and service mission. The purpose of this policy is to define such units, acknowledge the authority and process for approval, and require periodic review of centers and institutes and their leadership.

Designation as a center or institute signifies institutional and Board of Trustees endorsement of a programmatic activity. Such designations are reserved for units that are in compliance with this policy and Board Rule 503, and any applicable guidelines and/or procedures. Units that are not in compliance with this policy shall not use the designation “center” or “institute” unless such designation is required by an awarded extramural funding opportunity, which requires Board of Trustees notification prior to the request for the extramural funding opportunity.

The Board of Trustees has recognized the terms “institute” and “center” are often used to identify locations that do not meet the categories above (e. g., conference center, student health center, operations center, etc.) and such entities are not within the scope of this policy.

Types of Centers or Institutes

(Source: Board of Trustees Rule 503)

A "center" or "institute" focuses and concentrates efforts, usually multidisciplinary in nature, toward meeting a specialized need or dealing with a current issue. Most centers and institutes provide an umbrella organization for efforts directed toward a common goal. Some provide a central, visible focal point to enable individuals from the state and community to take advantage of the research and instructional opportunities of the University.

A center or institute falls into one of the following two categories based on the primary purpose of its program:

Instruction or research centers and institutes have, as a major focus, activities related to the instruction of students or the conduct of research.
Service centers and institutes have a major focus on activities related to the dissemination of information or the provision of service to the community.

Instruction centers and institutes are defined as units in which the predominant mission is the instruction of students, teaching, and learning. Instruction centers and institutes, and the appointment of their directors, fall under the purview of the Office of the Provost and the Senior Vice President for Academic Affairs (“Provost”). Research centers or institutes are defined as units in which the predominant mission is the conduct of research or training in research. Research centers and institutes, and the appointment of their directors, fall under the purview of the Office of Research and the Vice President for Research (“VPR”). The appointment of directors for center and institutes is separate and distinct from a faculty member’s academic appointment and is made by the Provost (instructional) or VPR (research), in consultation with the Dean of the center’s primary academic school/college. Co-directors (similar to federally recognized co-principal investigators or multi-principal investigators) are prohibited. Associate or assistant directors are encouraged within the leadership of centers/institutes, but do not need approval of the Provost or VPR.

Oversight

The Center and Institute Evaluation Committee (CIEC) is a standing committee with the Provost and VPR serving as executive co-sponsors, who designate co-chairs to execute the policy. The CIEC serves as a peer evaluation and advisory committee to evaluate new or established centers or institutes defined by this policy. The CIEC is a university-wide committee with faculty representatives from each School/College, faculty senate, and others with relevant expertise as appointed by the executive co-sponsors. Additional members may be added to the CIEC on an ad hoc basis due to their content expertise as needs arise, including individuals external to UAB.

Development

A fully developed center or institute that meets the criteria required by Board Rule 503 represents a significant investment of expertise, collaborative energy, and resources. In order to ensure success when seeking center or institute status, it is best practice to initially establish a unit, lab or consortia that can progress into a center or institute as funding and interest accrues, given appropriate growth. UAB’s Office of Research may designate a board approved center as a “university-wide interdisciplinary research center” (UWIRC) denoting the center’s achievement of growth and potential to serve the entire campus, a recognition of scope beyond that encompassing a Board of Trustee approved school-based center. School-based centers or institutes should initially be comprised of at least 10 members across at least three departments, and university-wide research centers should be comprised of at least 25 members across at least three schools/college. Specific schools may have more stringent requirements related to budget and numbers of members.

Approval

Establishment, change, or discontinuation of any type of center or institute requires ultimate approval by the Board of Trustees after being reviewed and approved internally at UAB.

Proposals for creation, change, or dissolution of centers or institutes must be reviewed and approved by the appropriate dean, Provost (instructional centers), VPR (research centers), and the President. As noted above, UWIRC status is a separate distinction by UAB that may be awarded to any Board of Trustee approved research center and does not require a center to achieve pilot- or school-based center status, although this is sometimes a natural progression in growth for a center.
The standard procedure used for submitting items to the Board of Trustees for approval shall be followed for submitting proposals for the creation, change, or dissolution of centers and institutes.

The President or their designee has the prerogative to require that a proposed program will be subject to the provisions of this policy. The President may choose to submit to the Board of Trustees for approval a center or institute proposal which does not meet all the criteria indicated in this policy or in Board of Trustees Rule 503.

A proposed center or institute must have received final Board of Trustees approval before the name may be used at UAB or in publicity or media materials (e.g., websites) or as a component in retention or recruitment and before a new organizational structure may be set up in official financial or personnel information systems.

Criteria

(Source: Board of Trustees Rule 503)

A proposed, new center or institute must meet the following criteria, and the proposal showing how the new center or institute will meet these criteria must be submitted to the originating school’s Dean’s office, the Provost (instructional centers) or the Vice President of Research (research centers), President, Chancellor, and then Board of Trustees:

Purpose. A clearly defined purpose directly related to the role and scope and the instructional, research, and/or service programs of the campus. The newly proposed center/institute must demonstrate significant originality and uniqueness in function and purpose on campus, compared with other existing centers/institutes.
Resources. A proposed or pro forma budget of no less than five (5) years, showing source of funds along with an indication that there are sufficient human and physical resources to achieve the center’s or institute’s purpose. In addition to review by the Provost or VPR, all financial documents must be reviewed by the Senior Vice President for Finance and Administration (SVPFA), and if accepted, resulting with a memo from the SVPFA verifying the anticipated viability of the center/institute as part of the submission packet to the Board of Trustees. The UA System Office will also review the proposed center/institute budget prior to the request for approval by the Board of Trustees.

Organization. The proposed center or institute must identify a director who demonstrates appropriate credentials and show the internal reporting relationship proposed for the entity. If external funding is included in the center/institute’s proposed budget, the campus should demonstrate that a structure exists to enable the center/institute to apply for, and receive, external funding such as grants and contracts through its school/department. In general, a proposed center director should be an accomplished scholar in their field, hold principal investigator status, possess mature leadership skills, such as experience leading large groups or labs, and be a faculty member in good standing with the university.

General Provisions

Primary faculty appointments shall not be made through centers.
An official list of approved centers and institutes is maintained by the Provost's Office or designee.
Any center or institute may be discontinued by approval of the Board of Trustees. (See section entitled "Changes to Existing Centers or Institutes.")
Internal UAB designations of types of centers or institutes such as "university-wide," "pilot developmental," etc., are allocated separate from this policy. However, all centers or institutes so designated must first have been approved by the Board of Trustees according to the stipulations of this policy and Board Rule 503.

Ongoing Review of Existing Centers

All school-based centers and institutes must file an annual report of progress to the Dean to whom the center or institute director reports. That official shall in turn submit notice of the annual review and the findings to the Office of the Provost (instructional centers) or Office of Research (research centers). All UWIRCs must submit an annual progress report to the UAB Office of Research.
All centers and institutes are subject to critical review every five years in order to determine if the center or institute is satisfying the criteria for Board of Trustees-designated centers and institutes as required by Board Rule 503 and should be continued. School-based centers will undergo such review as conducted by the Dean’s Office, while UWIRCs will undergo reviews as directed by the VPR.
Performance of the center/institute director leadership should be assessed as part of the annual unit review and evaluated by the appropriate administrative unit (e.g. department, school, Provost, or VPR).

Changes to Existing Centers or Institutes

(Source: Board of Trustees Rule 503)

When an extension, expansion, or other substantial alteration (including name change) or termination, closure, or deletion of an existing center or institute is proposed, the UAB official to whom the center or institute director reports shall notify the Provost or VPR (or their designees) who will in turn advise the President. The President shall notify the Chancellor before the action is taken.
When a center or institute is undergoing an extension, expansion, or other substantial alteration or when the name is being modified, the following information must have been submitted:
1. Purpose of the center or institute.
2. Reasons for changes being requested.
When a center or institute is being terminated, the following information must have been submitted:
1. Purpose of the center or institute.
2. Reasons for termination, closure, or deletion.
3. Description of all funding for, property of, and individuals employed in, the center or institute and the proposed disposition of the funding, property, and employees. If donor funds were used to establish the unit (such as a center or institute), a memo or other documentation from the campus Vice President for Advancement must be included in the supporting documents confirming that the donor/donor heirs have been contacted regarding the closure of the unit and identifying how any remaining donor funds will be used.
4. Any impact on students/trainees should be described and appropriately addressed.

The Chancellor shall recommend to the Board of Trustees the disposition of the proposed administrative action.

Implementation

The Offices of the Provost and Research are jointly responsible for procedures to implement this policy.