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Publication Date: October 15, 1996

Chapter 9

General Provisions

9.28 Guidelines for Research Centers and Institutes at The University of Texas at San Antonio

  1. Purpose

    The purpose of research centers and institutes is to enhance the research efforts of the faculty and to foster student involvement in research-related activities at the University. Research centers exist to foster research focused on one topic or issue; a center may require the efforts of faculty from one or several divisions in one or more colleges. Research institutes, on the other hand, enhance and support broad-based research efforts and will normally encompass research activities at the level of a college or colleges. As with all research endeavors, support of graduate education is an important function of research centers and institutes. In addition, research units provide educational experiences for both undergraduate and graduate students through the activities of the units.

  2. Establishment of a Research Institute or Center

    1. Each center or institute must demonstrate a clear need for some number of faculty members to work together in a single administrative structure that allows them to carry out a research program more effectively than they would be able to do working individually or in informal partnerships. Approval of a proposed center or institute is made by the President of The University of Texas at San Antonio on recommendation of the Provost and Vice President for Academic Affairs. The director and associate directors (if any) of a center or institute are appointed by the Provost. If the disciplines represented in the unit are contained primarily within a single college, the director reports to the Dean of the college. Otherwise, the director reports to the Provost.

    2. Faculty or academic administrators seeking to establish a new center or institute should submit a request to the Provost who, after reviewing the request, will forward it to the President with a recommendation. This normally occurs as part of the University's Strategic Planning process and includes ranking by the appropriate planning committees at the division, college and university levels. The proposal should carry the endorsements of the Division Directors and Deans involved. The following information should be included in the strategic proposal:

      1. purpose and need for the unit, particularly the need for some number of faculty members to work together in a single administrative structure;

      2. relevance of the unit to the University's strategic plan;

      3. role of the unit in undergraduate and graduate education;

      4. proposed administrative organization;

      5. description of the proposed facilities;

      6. a developmental plan for the unit over a 5 year period, including projected budgets and revenue sources.

    3. Approval of a new research center or institute is based primarily on the value of the proposed unit to the mission and goals of the university. Criteria also include the need for the unit, the extent of the plans for including students in its research activities, the amount of start-up funds and space required from the university, and the likelihood of obtaining outside funding for support of the unit within a reasonable period of time.

      Note: If the proposed research center or institute name is to contain the name of an individual, please see the Rules and Regulations of the UT System Board of Regents related to naming of facilities other than buildings (Part One, Chapter VIII, Subsections 1.2 and 1.3.

  3. Funding for Research Institutes and Centers

    Funding for institutes and centers should be exclusively or primarily from external sources. Exceptions may be made for new units requesting a small amount of funding for start-up activities, including proposal development, course releases, temporary staff, student research assistantships and operating expenses. Funds for these purposes should be requested in the strategic initiative proposal. Exceptions may also be made for existing units requiring funds for proposal development, which may be requested from the Office of the Provost, or for temporary personnel support pending receipt of funds from an approved grant or contract. Requests for such temporary personnel support must be made through the normal budgeting process and, for planning purposes, should be estimated in advance of the actual need.

  4. Annual Reports

    All centers and institutes must submit a report annually to the Provost giving an account of research and scholarly activities performed, involvement of students in such activities, and contributions of the unit to the strategic plan of the university. The annual report should also include a financial summary showing expenditures and revenues for the past year and plans for continued funding.

  5. Review of Research Centers and Institutes

    1. Research centers and institutes are not viewed as permanent units and will be reviewed periodically by the Provost and the President to determine whether their continued existence is justified and in the best interest of the University. New units are reviewed at the end of their first three years of existence and at least once every five years thereafter. An ad hoc review committee is appointed by the Provost to assist in this effort; the committee will be chaired by the Dean of Graduate Studies and Associate Vice President for Research.

    2. The review process will proceed as follows:

      1. The Provost schedules the review of a center or institute after conferring with the Dean of the college who has budgetary responsibility for the unit (or, if reporting directly to the Provost, the director of the unit).

      2. The director prepares and submits a report giving the goals, objectives and accomplishments of the center or institute. This report should include the following details:

        (1) history of the unit;

        (2) goals and objectives of the unit;

        (3) the unit's contributions to scholarship and research since the last review or since the inception of the unit;

        (4) involvement of students in the activities of the unit;

        (5) financial support provided for graduate students;

        (6) financial summary showing expenditures from state and local funds in all budget categories and showing all revenues received, including sources and amounts, and how they were expended;

        (7) future plans and rationale for the continued existence of the unit;

        (8) appendix material, including any other supplementary written information (brochures, publications, annual reports, etc.) that help describe the activities and accomplishments of the unit.

      3. After receiving the report from the unit director, endorsed by the appropriate Dean(s), the review committee meets with the director of the center or institute, representative faculty and staff associated with the unit and the Dean of the college to whom it reports. The committee inspects the facilities and operation of the center or institute.

      4. Based on the information gathered, the review committee advises the Provost as to whether the stated goals and objectives of the center or institute are being met and assesses the value of the unit to the university. In doing so, the committee considers the following measures of success:

        (1) the institute or center successfully promotes cooperation among faculty and students;

        (2) the unit is able to attract outside funds to support its activities and graduate students;

        (3) the unit is advancing knowledge or performing a valuable service in a manner that would be unlikely to occur if the unit did not exist;

        (4) the unit regularly involves both graduate and undergraduate students in its activities.

      5. The review committee prepares and submits a preliminary report to the unit director and Dean of the college to whom it reports. Both are requested to review the report for accuracy and to submit written responses to the chair of the review committee within 2 weeks. After reviewing the responses, the committee makes any necessary revisions in its report.

      6. The review committee submits its final report to the Provost. Attached to the final report are the report prepared by the unit director and the written responses from the Dean and unit director to the preliminary report of the committee.

      7. The Provost prepares a response, noting the strengths and weaknesses of the unit and concluding with a recommendation about its continued existence. If the Provost recommends that a center or institute be discontinued, the recommendation will include a time-table for its dissolution. Where continuation is being recommended, a list of specific actions for the future improvement of the unit will be included if applicable. The Provost's recommendation is communicated to the President for final approval on the continuation/discontinuation of the unit.

      8. Following the review process, the Provost communicates the final institutional decision to the director of the center or institute, the Dean, and the Dean of Graduate Studies and Associate Vice President for Research. The Dean of the college (or the director of the unit if reporting directly to the Provost) ensures that the determination and recommendations of the President and Provost are carried out.

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