Handbook of Operating Procedures > Series 300 Faculty and Academic Policies > 3.4.4 Centers and Institutes

3.4.4 Centers and Institutes

A. Purpose

The purpose of this policy is to provide guidelines for the establishment and administration of centers and institutes.

B. Persons Affected

Administrative officers, faculty and staff of all UT Tyler colleges and schools. 

C. Definitions

A center is an organizational vehicle for bringing together personnel and resources for a specific objective. Centers contain multiple faculty or staff focused on a common theme or a specific service or program function. Centers generally report to a department chair (if applicable) or to the dean(s) of participating colleges and schools or a program director designated by university administration. 

An institute is an organization founded to engage in work such as education, promotion of the arts, or scientific research. Institutes contain multiple faculty focused on interdisciplinary theme(s), are usually across departments and college boundaries, and may have multiple centers or laboratories embedded within. Institutes may typically have broad public service activities. Institutes generally report to a dean or vice president. 

Research centers or research institutes are organizational units designated to support and facilitate research, enhance the ability of its members to compete successfully for extramural funding, and bolster and sustain research facilities, instrumentation, or unique research capabilities to carry out a strategic focus of the University. Research centers and research institutes include the Vice President for Research as part of their performance review, although they may report to a department chair or dean. 

Laboratories are self-described lab capabilities of a single faculty member or a collective expertise among a group of faculty members. These self-designated capabilities and expertise do not constitute a center or institute; however, they may develop into an eventual request to be formally recognized as a center under this guidance. Any public naming of a laboratory or group requires approval from the department chair.

D. Purpose of Centers and Institutes 

A center or institute may be established when the best interests of the University will be served by providing a vehicle for the general enhancement of a specific program or programs. The operation of a center or institute must be well integrated into the academic objectives of a department(s) or college(s) or school(s) and enhance the instruction, service, or research programs of the University.

E. Responsibilities

Deans and the Office of the Provost and Executive Vice President for Academic Affairs are responsible for the administration of this policy.

F. Procedures for Establishing Centers and Institutes

A proposal for establishing a center or institute may originate within a department, college or school, or within a combination thereof. 

A center or institute proposal must include the following elements:

1. Proposed center or institute name and acronym.
   1. Proposers are expected to ensure that no other existing University organizations already use a similar name, abbreviation, or acronym and to identify any prominent centers or institutes with a similar name at other universities.
   2. Any name reflecting that of an individual or external entity must comply with Regents’ Rules and Regulations, Rule 80307 “Naming Policy”.
2. Director(s) Name with a statement of qualifications.
3. Center or institute purpose, vision, mission, and goals.
4. Center of institute benefit to the University.
5. Administrative organization (faculty members, advisory boards, governance and other participants).
6. Research, instruction, services, or other activity plans.
7. Significance to undergraduate and graduate education (if relevant).
8. External service functions.
9. Space utilized or requirements.
10. Financial support by source(s) of funds and plan of sustainability (e.g., services, external funding, gifts, etc.) including any special budget requests (e.g., “return of indirect costs”, utilization of personnel in-kind).

Proposals for centers or institutes should be submitted through the appropriate academic dean, or deans, to the Council of Academic Deans.

The Council of Academic Deans shall review the proposal and make its recommendation for approval or disapproval to the Provost and Executive Vice President for Academic Affairs who will make a recommendation to the President.

Approval by the President of the University is a prerequisite to the establishment of a center. When approval is granted, a statement will be provided to all appropriate individuals delineating specific details of administrative structure and mode of operation of the center or institute.

G. Funding of Centers or Institutes

Funding sources to establish and sustain the center or institute must be clearly identified. Any special budget requests for funding must be preapproved in the proposal by the person with authority over the funding. 

No direct budgetary support for centers or institutes shall be provided from appropriated funds of the University unless specifically appropriated by the Legislature for that purpose. 

There shall usually be no reduction in teaching loads for center or institute personnel from general university funds. Reduction in teaching loads with salary support from center funds or from other outside sources may be appropriate. 

Department chairs and deans should give careful attention to the ramifications of tenure-earning appointments supported by outside funds. 

Existence of a center shall not be justification for additional space, financing, or personnel from regular university funds. Outside funds will be set up in a separate account. 

H. Administration of Centers or Institutes

The chain of reporting shall be established at the time a center or institute is approved. If the center/institute is entirely within one department and one college, the chain shall be the normal one through the department chair and dean.

Interdepartmental centers or institutes within a college shall report through the dean. The dean may require reporting through a department. 

If a center or institute encompasses an element of more than one college the reporting chain shall be through the Provost and Executive Vice President for Academic Affairs who may require reporting through the deans. 

The director of a center or institute shall be appointed by the dean(s) or Vice President after consultation with appropriate faculty and administrative officials.

Any significant modification of the structure or operation of a center or institute must have the same administrative approval as originally required for the creation of the center or institute.

Centers or institutes that are headed by non-faculty, serve a unique program purpose, or that are primarily a service function to external parties may be formed and designated by a vice president or the provost. Such centers or institutes will report to the appropriate vice president or the provost or their designee as determined and agreed to in the approval process. 

Research centers or institutes generally report to the Vice President for Research. Any significant modification of the structure or operation of a center or institute must have the same administrative approval as originally required for the creation of the center or institute.

I. Reporting Expectations for Centers or Institutes

The directors of all centers or institutes, including those established prior to this policy, must complete periodic evaluations, and submit at least annually, a report to their reporting supervisor. The annual report contents will describe: 

1. Accomplishments, awards, progress to stated proposal goals or other benefits to the University.
2. Events, conferences, and educational activities.
3. Financial status – including expenditures and external support; and 
4. Current and pending grant support obtained. 

Centers and institutes will be subject to a comprehensive performance review at the end of their third year of when they have been established. 

Every 5 years thereafter directors will submit a detailed written report developed in coordination with their immediate supervisors to the Provost or Vice President for Research if a research center or institute. These reports will be used to determine if the center or institute and the director are meeting the performance goals established in their original proposal. The performance review may also result in revisions to stated goals, changes in directorship and governance, or a probationary period for improvement if agreed to by the dean and the Provost or Vice President for Research. 

The Council of Academic Deans may also choose to periodically review the performance of a center or institute to advise the Provost or Vice President for Research.

J. Termination of Centers or Institutes

The Council of Academic Deans shall periodically review the performance of each centerand recommend to the President the continuation, modification, or elimination of each center or institute.

The Provost or Executive Vice President for Research may recommend to the President a change in governance, modification, or termination of a center or institute if it is not meeting its performance goals, typically after a probationary period expires. 

Recommendations to the President will be based on regular or probationary reviews and the goals and purpose described in the original proposal or as amended in previous reviews. 

A center or institute director may self-terminate the center or institute at any time with notice and approval within its reporting chain. 

A committee appointed by the Provost or Vice President for Research shall review any recommendation for the termination of a center or institute and provide its advice to the President. The committee shall be appointed by the Provost consist of at least four additional members from the administration, faculty, and/or staff of the college or colleges associated with the center or institute. 

The final decision concerning a termination or change in a governance action is the prerogative of the President.

K. Policy Review

This policy shall be reviewed every five years or sooner, if necessary, by the Provost and Executive Vice President for Academic Affairs in consultation with the Council of Academic Deans and Members of the Faculty Senate leadership.

L. Relevant UT System Policies and Procedures

UT System Regents’ Rules and Regulations (Rule 80307: Naming Policy)

M. Policy Exceptions

The Provost and Executive Vice President for Academic Affairs may make exceptions to this policy when it is deemed to be in the best interest of the institution.

N. Contact Information

Questions and comments regarding this policy should be forwarded to the Office of the Provost and Executive Vice President for Academic Affairs.