Establishment and Review of Centers and Institutes at the University at Buffalo
Overview- Academic, discipline-based departments have been and will continue to be the primary units for carrying out the mission of the University. However, new problems or areas of scholarly work often arise that need different organizational structures. Interdisciplinary Centers and Institutes provide an important mechanism to develop innovative programs that keep the University in the forefront as a research and scholarly institution. Such Centers may focus on research, instructional, service problems or some combination thereof; they are usually based on faculty interest or in response to external funding opportunities and are particularly relevant in the context of UB2020, the University’s long range plan for enhancing its core strengths and aspirations. In addition, some centers are established around a particular facility or service for the benefit of the university community. Typically, Interdisciplinary Centers and Institutes form to address specific issues or problems and cease activities when their objectives are met or when the center no longer addresses the original objectives.
When participating faculty come from multiple schools and/or address the core areas identified in UB2020, the Vice President for Research (VPR) shall convene the appropriate deans, department chairs and/or faculty to prepare a plan for the Center that will address the issues raised below. Such multidisciplinary, cross decanal units shall be classified as UB Centers and Institutes.
As noted above, a special category of center or institute may be established which is based on a particular facility or research service and which is administered separately from a school where this is advantageous for research scholarly work and education. These will be classified as UB Core Facilities. Such centers may have a component of base funding.
Objective – Any Center or Institute at UB is intended to serve the interests of the faculty and the institution by producing the highest quality scholarly work. This overriding objective transcends other considerations.
Resources – If a UB or Decanal Center or UB Core Facility is meeting its objective of producing outstanding scholarly work, the University has the responsibility for determining how best to provide the resources necessary to sustain its operation. This may take the form of state resources, university funds, research direct or indirect revenue, endowment or gift income, etc. No single funding model will encompass all forms of Centers and Institutes, but the University should commit to crafting a financial package that sustains important scholarly work in whatever form it may take. Conversely, it must be understood by all parties that Centers and Institutes by their nature are ephemeral and may form and dissolve, recombine and fracture as scholarly problems and issues arise and fade. Where appropriate, the Vice President for Research will work with the Provost and Deans to craft a financial plan that will provide Centers and Institutes with the resources needed to sustain their activities as long as they are meeting the goals and objectives of the University. Such plans should be in place at the start of a UB Center’s activity so that it may plan accordingly. Deans and department chairs will have similar responsibility for Decanal Centers.
Establishment – Since many centers and institutes are focused entirely or primarily within one school, the appropriate Dean and faculty will determine if creation of a Center or Institute is the best method of addressing an important academic need. These shall be classified as decanal centers or institutes. At the time of formation, the unique contribution, mission, and goals of a Decanal Center must be articulated in conjunction with development of sound academic and financial plans and criteria for benchmarking success:
- A proposal for establishment of a Decanal Center or Institute should specify the value-added to the school and University’s mission, especially its relation to the goals of UB2020, education and to society.
- The plan for formation of a Decanal Center must include an academic plan; a proposed organizational structure and leadership; and a financial plan.
- Nomination of an external advisory board
- Specific benchmarks should reflect the identity and mission of Decanal Center based on its particular academic focus. They should be quantifiable when applicable and employ accepted measures of scholarly productivity related to the Center’s goals in particular and UB in general.
- Decanal Centers are expected to fulfill their academic and research goals at all times and to financially support their mission to the extent possible, commensurate with funding available in their fields. Some Centers may require sustained commitment of central or decanal resources to achieve their goals.
- The financial plan must specify the resource implications for units outside the Decanal Center, such as other departments, decanal units, and central administration.
- Decanal Centers will be evaluated and held accountable using the benchmarks specified in their academic and financial plans and their contribution to the objectives of their original foundation and of UB2020.
- The Vice President for Research shall maintain a list of decanal and university centers and may serve in an advisory capacity when appropriate
- Each Decanal Center or Institute will produce an Annual Report of their activities and achievements to be reviewed by the appropriate school or college reporting supervisor
University Centers and Core Facilities – When Centers, Institutes or Core Facilities propose to involve substantial efforts by faculty across several schools, require the investment of central University funds and/or focus on the acquisition and operation of shared instruments, the Vice President for Research (VPR) shall convene the appropriate deans, department chairs and faculty to prepare a plan for the Center containing the elements outlined below.
Process for Establishing UB Centers and Institutes
UB Centers and Institutes will be established by application to the appropriate deans and VPR. Applications will be reviewed by the Deans and the VPR with advice from an ad hoc cognizant evaluating committee and/or the Research Advisory Council as appropriate. The VPR may approve the centers or recommend changes in the name, scope or other aspects of the proposed centers. The application will contain information about the organization, administration and governance structure including:
- Executive summary
- Mission statement
- Background - including existing efforts and faculty involved at UB
- Comparison of value added compared to similar or related centers at other institutions
- Description of proposed program
- Potential for Revenue Generation (e.g. federal grants, training grants, clinical/service income, private and corporate donations etc.)
- Resources available/pending (space, equipment, administrative support, cash)
- Requested school/ college or UB funds, if any
- Budget/Resource Justification for years 1-3
- Strategic Plan/Timeline
- Goals and Benchmark for progress
- Internal and external letters of support from informed individuals
- Statements of support from relevant department head, and deans
- Proposed UB Centers or Institutes involving more than one school should be multidisciplinary and, ideally, should involve faculty from at least three areas of expertise.
- Proposed UB Centers or Institutes should be organized around a research or scholarly theme of high intellectual importance with high potential benefit for research, creative work and education at the University and should indicate their relationship to the goals of UB2020.
- They should have a clear mission based on this scholarly and research theme, or, in the case of a Core Facility, on the proposed facility or service.
- They should have as the proposed Director, a senior faculty member of academic standing, who has demonstrated administrative skills and the ability to raise external funding where that is appropriate.
Review of UB Centers and Institutes
New UB Centers will be granted such status for a 3 to 5-year period. Centers will be assigned a designated administrator (e.g. Dean, Assoc. Dean for Research or senior member of OVPR staff) responsible for overseeing possible funding to the Center and ensuring its success. On approval of UB Center or Institute status, the operating guidelines outlined in the proposal should be approved by the Center members and the designated administrator. The Guidelines should include:
- Rules of internal governance
- Membership criteria
- Identification of an external advisory group
Each Center will submit an annual report to the designated administrator of the center. Annual reviews will be conducted by the designated administrator to determine the Center’s attainment of its goals and benchmarks as well as meeting objectives for generating external funding to become self-supporting when feasible. The designated administrator will provide a written evaluation to the Center director and the VP for Research. Such reviews are vital to ensuring that there is a continuing need for individual centers and institutes and for ensuring that their research, facility or service is of the highest quality. Reviews of major UB Center or Institute will be carried out every 3 years by committees of three to five researchers of distinction and seniority, and with acknowledged expertise in the areas in which the center or institutes work. The majority of the members of the review committee and the chair of the committee should be external experts. The VPR is responsible for appointing review committees for all UB Centers and Institutes. The VPR will review the committee report and advise the Provost on whether the UB Center or Institute should continue with center or institute status for an additional 3 years. Continuing UB funding after 3 years will be rare, but may be awarded to UB Centers which demonstrate their continued significant contribution to excellent scholarly work and, when appropriate, which show significant growth in their external funding support The Provost shall have the final authority with respect to designation as a UB Center and/or the allocation of University resources.
