CILs Policies and Procedures

1. CILs Policies and Procedures Patty Davis Coordinator of Centers, Institutes and Laboratories

2. What are UNC Centers/Institutes? “Centers/Institutes" refers to the units that have been formally authorized by the University of North Carolina (UNC) Board of Governors under the procedures outlined in Chapter 1200.6[R] in the UNC Policy Manual (Formerly Memorandum 373)– Policies and Procedures for Planning, Establishing, and Reviewing Centers and Institutes in The University of North Carolina

3. UNC Centers Defined – Institutes Versus Centers For the purposes of classification within UNC, there is no technical distinction made between the terms “Institute" and “Center." In practice, an “Institute" frequently refers to an activity with a broader scope than a “Center." Example: an institute may create centers as separate units within its administrative structure.

4. UNC Centers Defined – • Research Center/Institute • Public Service Center/Institute • Instructional Center/Institute • Laboratory • Membership Centers/Institutes

5. UNC Centers Defined – Institutional Versus Inter-institutional Centers/Institutes • Institutional Centers/Institutes • Inter-institutional Centers/Institutes

6. UNC Centers Defined – Inter-institutional Centers/Institutes If an existing Institutional Center/Institute wishes to expand its scope by serving as the administrative unit for an Inter-institutional Center/Institute, a request for authorization to establish should be submitted. The request should address the impact of the proposed change to Inter-institutional status.

7. What do UNC Centers/Institutes do? • Multidisciplinary University programs of research, instruction or public service • Provide undergraduate, graduate, and postdoctoral students with research opportunities, facilities, and assistance • Impact on the economic development of the state • Engage in partnerships with external organizations

8. What do UNC Centers/Institutes do? • Must avoid unnecessary duplication within UNC System • May be funded from state appropriations or extramural funds • Expected to demonstrate strong non-state support to justify its establishment and continuing operation

9. Authority and Lines of Responsibility Centers/Institutes are established or discontinued by the Board of Governors, acting upon recommendation of the President who shall seek the advice of the Chancellor(s) of the constituent institution(s) involved.

10. Authority and Lines of Responsibility Institutional Centers/Institutes • Responsible to the Chancellor or his/her designee • At NCSU, the Chancellor’s authorities have been delegated to the Vice Chancellor for Research and Graduate Studies • Directors of an Institutional Center/Institute are appointed by the Chancellor

11. Authority and Lines of Responsibility Institutional Centers/Institutes • If the Director's position is that of a senior administrator, the Director is nominated by the Chancellor for appointment by the President and the Board of Governors • If a faculty appointment is involved, follow regular procedures • Assoc./Assist. Directors are appointed by the Director, subject to approval of the Chancellor or his/her designee.

12. Authority and Lines of Responsibility Inter-institutional Centers/Institutes • Responsible to the President for matters of general policy and inter-campus coordination • Reports through the Chancellor • Director of an Inter-institutional Center/Institute is responsible to the Chancellor or his/her designee, of that constituent institution

13. Authority and Lines of Responsibility Inter-institutional Centers/Institutes • Director is appointed by the Board of Governors, upon recommendation of the President. • Search committee for the Director is appointed by the President • Recommendations from the Vice President for Research and Sponsored Programs and the Chancellor or his/her designee.

14. Authority and Lines of Responsibility Inter-institutional Centers/Institutes • If a faculty appointment is involved for the Director, the regular procedures for faculty appointments also are followed. • Associate or Assistant Directors are appointed by the Director, subject to the approval of the Chancellor on whose campus the appointees will serve.

15. Authority and Lines of Responsibility Procedures for Change in Name of a Previously Established Center/Institute • A simple change in the name does not require Board approval • Should be reported in writing by the Chancellor or his/her designee to the President • Copy to the Vice President for Research and Sponsored Programs

16. Periodic Institutional Review of Centers/Institutes Chancellors shall establish mechanisms and schedules for periodic review and evaluation of all Centers/Institutes housed or administered by their respective institutions. Reviews should result in recommendations regarding continuance of the unit.

17. Periodic Institutional Review of Centers/Institutes Particular attention should be paid to the relationship between the objectives of the Center/Institute and the mission of the institution. Other important criteria in internal or external evaluations should include the following:

18. Periodic Institutional Review of Centers/Institutes • Is current funding of the unit sufficient to continue its operation? • If the unit was originally given start-up funds from the University or other granting agencies, has it been able to attract sufficient external funds to continue without major additional Institutional support?

19. Periodic Institutional Review of Centers/Institutes • Are the unit’s stated goals and objectives being met? • Are the support and training of students consistent with the unit’s stated goals and objectives? • Are the quality and quantity of scholarly activity by faculty, professional staff, and students reflected in the unit’s output?

20. Periodic Institutional Review of Centers/Institutes • Do current operations duplicate the efforts of other units? • Do financial audits and professional evaluations demonstrate that the unit is being managed appropriately? • Are the facilities required for continued operation of the unit adequate? • Are the unit’s clients being served?

21. Procedures for Submission of Reports to UNC Office of the President In addition to the Institutional Reviews, Chapter 1200.6[R] in the UNC Policy Manual Regarding Policies and Procedures for Planning, Establishing, and Reviewing Centers and Institutes specifies that the director of each Center/Institute shall prepare a routine status report to be submitted to the President by the appropriate Chancellor or his/her designee.

22. Procedures for Submission of Reports to UNC Office of the President The status report provides summary information following the format shown in Appendix 1 of Chapter 1200.6[R] (Formerly Administrative Memorandum #373) and includes quantitative data for the most recent fiscal year (7/1/01-6/30/02). The report is prepared as part of each general update of the Long-Range Plan of the University carried out every two years.

23. Procedures for Submission of Reports to UNC Office of the President For each Long-Range Plan update, institutions also must indicate the status of proposed new Centers/Institutes for which planning authorization has been granted previously. The institution must specify: • that reconfirmation is requested, including the estimated date for submitting the request to establish, or • that the planning request is withdrawn

24. Procedures for Submission of Reports to UNC Office of the President • The Administrative unit for an Inter-institutional Center/Institute is responsible for submitting its reports • Major proposed changes in budget, administration, mission/goals may require formal approval by the Board • Centers/Institutes proposing discontinuation for consideration by the Board complete only Sections I, II, and X

25. Procedures for Submission of Reports to UNC Office of the President UNC OP has developed direct electronic reporting procedures, including the use of World Wide Web based templates to collect data and to facilitate the submission and processing of routine status reports for existing Centers/Institutes.

26. http://www4.ga.unc.edu/ci/statusReporting.html This website will be activated for Center/ Institute Director access after March 1, 2003 and is closed mid April 2003. Note: these functions require passwords are are not designed for public access.

27. Director's Center/Institute Update Login To update a center, please enter its password and click "Login.“ Password: Note: these functions require passwords that are sent to each director. This area is not designed forpublic access. If you cannot access a center/institute, and feel you should be able to, contact Ms. Bibby Moore, Adm. Assistant to Dr. Russ Lea, Vice President, Office of Research and Sponsored Programs (919/962-4623) or bmoore@northcarolina.edu.

28. Richard Best and I have been working to provide our directors at NC State University with data field definitions for this year’s report. These will be posted on the Centers, Institutes and Laboratories website. http://www.ncsu.edu/sparcs/centers/ As a result, we will be working closely with the CIL’s and college’s accounting staff to verify all financial data submitted.

29. After updates are completed, Center/Institute Directorssubmit their center information electronically to UNC Office of the President (UNC-OP). UNC-OP compiles the information and, once all the centers that an institution administrates have submitted information, notifies the corresponding Chief Academic Officer (CAO). Our CAO at NC State University is Richard Best.

30. Chief Academic Officers review and give final approval of the information for centers they administrate. Should they direct the Center/Institute Director to make changes, the process begins again with the Center/Institute Director and requires resubmission. We have only one month to complete this process.

31. CAO-approved center information is forwarded to UNC-OP, from which a summary report is made to the Board of Governors (BOG).

32. Selected, publicly relevant, BOG-approved center information is then "activated" for public access via the web. http://www4.ga.unc.edu/ci/curListing.taf

33. Procedures for Discontinuation of a Center/Institute When an institution decides to discontinue a Center/Institute, the Chancellor will forward a written request to the President, with a copy to the Vice President for Research and Sponsored Programs.

34. Procedures for Discontinuation of a Center/Institute After considering the recommendations of the Chancellor and the Vice President for Research and Sponsored Programs, the President is responsible for recommending discontinuation by the Board. The Committee on Educational Planning. Policies, and Programs has the final authority for approving discontinuation.

35. Procedures for Discontinuation “Phase-out” of a Center/Institute • Time to permit an orderly termination or transfer of contractual obligations • Time to allow an effort to find alternative employment for full-time staff • No more than one year after the end of the academic year in which final approval is given to discontinue the unit

36. Exceptions - Exemption • NC Agricultural Research Service • NC Cooperative Extension Service • Area Health Education Center Program • UNC Center for Public Television and public radio stations housed at the constituent institutions • Any other exceptions or modifications must be approved by the President, based on written request from the Chancellor.

37. Inventory of Existing Centers/Institutes Available upon request from Dr. Russ Lea, Vice President for Research and Sponsored Programs Phone: (919) 962-4619 e-mail: rlea@northcarolina.edu URL: UNC Centers/Institutes (http://www.northcarolina.edu/aa/research/research.cfm) includes a copy of these policies and procedures.