Establishing Centers and Institutes
The idea for a center or institute may come from faculty, academic leaders, or the president. If the center or institute is to reside within a college or school, the Dean should have a preliminary conversation with the Provost. Similarly, if the Provost would have direct oversight of a center or institute, the Provost should have a preliminary conversation with the President. If the President has a proposal for a university institute or center, the President will consult with the Provost, appropriate academic leadership, and faculty who have academic expertise directly related to the proposed center/institute.
Establishing a center or institute is a two-step process. The first step is to gain preliminary approval of the concept for further development and approval. Early communication with academic administrators and collaborators is encouraged to reduce the possibility of an unexpected lack of support. Once the concept for development has been approved, the second step is to create and submit a full proposal for approval.
Center/Institute Preliminary Proposal: The lead person requesting a center or institute will formalize their request through the creation of a preliminary proposal. The preliminary proposal (5 page maximum) should include the following information to provide an overview of the center or institute:
- The proposed name, purpose and academic need addressed by a center or institute. This should include a description of what the center or institute will contribute to the discipline, division, college, university as well as region, state and/or the greater good.
- Specific descriptions of the relationship to the mission and strategic plan(s) of the university or academic unit.
- The goals of the center or institute and the objectives and proposed activities that will be used to operationalize the goals.
- Brief overview of the plan to accomplish the objectives, identify the faculty who will participate, outline the opportunities to involve students, visiting scholars or others, who may participate in the center or institute activities.
- Summary of the key elements of an assessment plan that the center/institute will use for continuous improvement and analysis of success in accomplishing its objectives.
- The estimate and type of resources needed to support this center/ institute. This could include space, equipment, supplies, technology, marketing and communications, etc. The proposal may identify current or future non-general fund resources such as federal or state grants or philanthropic gifts that might be obtained to support the center or institute’s operation. It may include strategies to ensure the long-term financial sustainability of the center/institute. An optional Preliminary Budget Projection Worksheet may be used to assist in this process (See Supporting Documents).
- Support letter(s) from internal or external decision-makers and/or collaborators, i.e. department chair, dean, alumni, external parties or governmental entities may be included and are not counted within the five page limit.
Center/Institute Preliminary Proposal Approval: If the center or institute will operate within a college, the preliminary proposal is to be submitted to the dean(s), initially, who will have 30 days to respond to the proposal. The proposal then goes to the Provost and Vice President for Academic Affairs. Preliminary proposals for centers or institutes that will operate directly under Academic Affairs or the President’s Office will be submitted to the Provost or President, respectively. The Provost will discuss all preliminary proposals with the Vice President for Finance and Administration and the President, and may seek review and comment by other members of the President’s Cabinet, particularly the Vice President for University Advancement. A recommendation will be sent from the Provost to the President within 30 days of receipt of the proposal. The President will consider the proposal and either accept or reject it.
Evaluation Criteria - The preliminary proposal for the new center or institute, will be evaluated based on:
- Alignment with university strategic plan(s).
- Feasibility in achieving its goals and objectives.
- Possible positive impact on advancing research and engagement.
- Feasibility of implementing the long-term financial sustainability plan.
- Organizational effectiveness achieved through the involvement of faculty and others to advance its goals.
Once a decision is made by the President, a letter containing the decision rationale will be sent from the Office of the Provost or President to the proposer and deans whose units would be affected. If the preliminary proposal is accepted, the letter will specify conditions or thresholds for the center or institute to continue. Upon receipt of the letter the proposer may establish the center or institute and begin operations while a full proposal is prepared (See Supporting Documents for Preliminary Approval Flowchart). The center or institute is given 1 year (as specified in the official letter from the Office of the Provost or President) to seek official recognition of the center or institute through the completion of a full proposal. Additional time may be granted to adjust to unforeseen circumstances at the discretion of the Provost.
Finalizing Establishment of a Center or Institute
In most cases a center or institute that has been granted preliminary approval will be approved after review of the full proposal and consultation, as an SCSU center or institute.
Using the preliminary proposal and any feedback received through the preliminary approval process, a full proposal is required to establish a new center or institute. The full proposal must include:
- Updated Description of the Center or Institute - The description should cover a three-year period and expand on the preliminary proposal by providing more details for the following elements:
- Goals and Objectives
- Include an organizational chart including any proposed intention to use an internal or external advisory board. Identify roles of participating faculty.
- If an innovative or non-hierarchical leadership model is a characteristic of a proposed center or institute, the proposal should explain how this may evolve and why it makes sense.
- Provide a detailed description of a) the goal, purpose, need for and potential academic contributions of the center or institute as it has evolved during the provisional phase; b) the objectives and how the objectives will be operationalized. Outline the plans to involve undergraduate, masters or doctoral students, visiting scholars or others (e.g. affiliate faculty) who may participate in the center or institute activities.
- Budget Analysis
- In order to ensure that the center or institute is able to accomplish its goals, all proposals for a center or institute must identify, at a minimum, a three-year plan for funding sources and identify other possible on-going and future funding sources. These may include major endowment or other donations, revenue generation within the center/institute, federal or state grants, etc., with the goal of developing a model for long-term sustainability.
- The analysis is intended to focus on the impact of the revenues and costs for the center or institute. The budget projection worksheet should include funding sources used to support all direct, indirect, and if appropriate occupancy costs. The financial analysis should consist of the following elements:
- A three-year budget projection with revenues by funding source and expenditures by category. An optional Budget Projection Worksheet may be used for this process (See Supporting Documents).
- A narrative statement, which supports the budget projection data, that includes:
- the assumptions and factors used to produce the revenue and expenditure projections (e.g., indicate the type of grant support and how that funding is secured);
- the anticipated space and facility requirements;
- a plan for self-sufficiency; and
- a statement identifying long term funding for sustainability.
- Other Resources - This plan should spell out the space, equipment, and all resources other than those included in the budget plan.
- Support Letters – Updated or new letters of support for a center or institute must be provided by the appropriate academic leaders (e.g. dean and involved department chairs, provost).
Proposal Submission Date: A center or institute that is fully supported by external funding may apply at any time during the Fiscal Year. If university resources are to be considered as a portion of funding, then submitting the completed proposal by January 1 is optimal but not required.
Center/Institute Full Proposal Approval: The University area under which the center or institute will operate determines the path for final approval (see table below). Review at each step should take no longer than two weeks. Each reviewer should indicate what improvements could be made, if any, to enhance the center or institute’s success.
Key university leaders, as listed in the table, will be consulted at appropriate steps along the way. The final decision will be made by the President who will consider feedback and assessment of each leader who has commented as part of the proposal. A letter containing the decision rationale will be sent from the Office of the Provost to the proposer with a courtesy copy to the Associate Vice President for Strategic Communications. The Associate Vice President for Strategic Communications will work with the center or institute leaders to publicly announce the center or institute, create its web presence, and implement marketing as outlined in the proposal (See Supporting Documents for Full Approval Flowchart).
If the center or institute operates within:
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The individuals to consult and respond at each step are:
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Additional Consultants who may be called on to contribute include:
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Department
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Step 1: Chair
Step 2: Dean
Step 3: Provost
Step 4: Final approval by the President
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VP for Advancement
VP for Planning and Engagement
VP for Finance and Administration
Cabinet members
Deans
Bargaining Units at Meet & Confer
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College
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Step 1: Dean
Step 2: Provost
Step 3: Final approval by the President
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Academic Affairs Office
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Step 1: Relevant Dean(s)
Step 2: Final approval by the President
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President’s Office
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Step 1: President
Step 2: President seeks comments from relevant Dean(s) and Provost
Step 3: Final approval by the President
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Annual Review Process: Centers and Institutes are required to provide an annual report to all individuals who commented on the final proposal as outlined in the above table and to the Associate Vice President for Strategic Communications. The report shall provide an overview of the center/institute assessment plan including accomplishments, a detailed financial statement and plans for continuous improvement over the next year. A public presentation to the campus community is encouraged.
Renewal: A new center or institute must apply for renewal three years after being established. Thereafter, centers or institutes must be renewed every six years.
Existing Centers and Institutes: All current centers and institutes will be reviewed according to the criteria established in this policy. Based upon the review, completed according to a schedule established by the Provost or President, current centers and institutes will either be approved, discontinued, or modified. Once reviewed centers and institutes will be put on a 6-year renewal cycle.
Termination: Centers or institutes may be terminated by the President at any time. Reasons for termination include, but are not limited to, a center/institute’s inability to achieve goals and objectives, a shift in the University’s priorities, or a center/institute’s involvement in violations of law or policy. Notification in writing of pending termination is given by the academic administrator(s) overseeing the center or institute, with as much notice as is practical for the circumstances surrounding the termination.