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 1200.6R 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 Chancellors 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 units stated goals and objectives being
  met?
• Are the support and training of students
  consistent with the units stated goals and
  objectives?
• Are the quality and quantity of scholarly
  activity by faculty, professional staff, and
  students reflected in the units 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 units clients being served?

21

• Procedures for Submission of Reports to UNC
  Office of the President
• In addition to the Institutional Reviews,
  Chapter 1200.6R 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 1200.6R (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_at_northcarolina.edu.

28

• Richard Best and I have been working to
  provide our directors at NC State University with
  data field definitions for this years 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 CILs and colleges accounting staff to
  verify all financial data submitted.

29

• After updates are completed,
  Center/Institute Directors submit 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 [phone]
• e-mail rlea_at_northcarolina.edu
• URL UNC Centers/Institutes
• (http//www.northcarolina.edu/aa/research/resea
  rch.cfm)
• includes a copy of these policies and
  procedures.