Guidelines & Procedures for the Board of Trustee-Designated Research Institutes and Centers Policy

Effective Date: November 18, 2020

Purpose and Scope

This document delineates the guidelines and procedures for planning, establishing, reviewing, and discontinuing research institutes and centers at The University of Alabama (UA) in support of the policy titled “Board of Trustee-Designated Research Institutes and Centers Policy” (i.e., the Policy). This document supersedes and replaces all current guidelines and procedures including those at the unit level (i.e., college, school or institute). The development of these guidelines and procedures utilizes guidance provided by the University of Alabama System Board of Trustees, Board Rule 503 and best practice standards. This is a dynamic document and is subject to revision on an as-needed basis.

Designation as a research institute or center signifies an organizational representation of UA’s significant programmatic research capacity. Therefore, we reserve such designations only for those institutes and centers that have complied with the policy and guidelines and procedures. Institutes and centers that do not comply with these policies and procedures may not refer to themselves, directly or implied, as either a “research institute” or a “research center” unless such designation is required by an extramural funding opportunity (i.e., Center of Excellence) where UA is the prime awardee and plans to submit a full proposal. In these circumstances, BOT notification is required prior to the request for extramural funding. The Principal Investigator must work with UA’s Office for Sponsored Programs to complete and submit a request form to the BOT within 45 calendar days of the funding agency’s submission deadline.

While Board Rule 503 applies to all academic, research, service and administrative units, these guidelines and procedures herein only seek to address those institutes and centers that are designated research institutes and centers, whether they report directly to the Office for Research & Economic Development (ORED) or indirectly through the dean of a college or school. The Office for Research & Economic Development maintains the list of currently recognized Board of Trustee-Designated (BOT-Designated) research institutes and centers.

Oversight

Two committees are charged with oversight of establishing and periodic review of BOT-Designated Research Institutes and Centers.

Research Institutes and Centers Development Review Committee

The Research Institutes and Centers Development Review Committee is an ad hoc committee formed for the review of a single application. Members are appointed at the discretion of the vice president for research & economic development (VPRED) in consultation with the dean(s), when appropriate, and evaluate the merit of a proposal for establishing a single BOT-Designated research institute or center. Membership includes a mixture of representatives from ORED, associate deans for research (ADRs) and faculty with related expertise. This Committee serves in an advisory capacity to the VPRED.

Research Institutes and Centers Evaluation Committee

The Research Institutes and Centers Evaluation Committee is an ORED standing committee and oversees the review of the performance and continued viability of existing research institutes and centers. Committee members are appointed on a rotational basis by the VPRED in consultation with the dean(s), when appropriate, and include a mixture of representatives from ORED, ADRs and faculty. Additional members may be added to this committee on an ad hoc basis due to their content expertise. These separate review mechanisms reduce the probability of conflicts of interest. This Committee serves in an advisory capacity to the VPRED, and members are typically appointed for a three-year term at the discretion of the VPRED.

Establishing and Periodic Review of BOT-Designated Research Institutes and Centers

The Office for Research & Economic Development seeks to facilitate the development of new research initiatives that cut across traditional disciplinary boundaries. One effective way of doing this is through the establishment of multi-investigator collaborative research institutes and centers.

Part A. Criteria for the Development and Approval of BOT-Designated Research Institutes or Centers

The person or team proposing the research institute or center will submit to ORED a written proposal that includes the following information as described in The Policy. It is recommended that proposals are received by ORED at least two months prior to the deadline for adding agenda items to a designated meeting date of the Board of Trustees.

The Research Institutes and Centers Development Review Committee will evaluate the request and other factors impacting the establishment of such a research institute or center and make a recommendation to the VPRED. The VPRED will determine whether to (1) approve the request to establish and forward it to the President who will then decide whether to forward to the Chancellor and Board of Trustees for final approval or (2) deny the request and communicate that decision to those submitting the proposal.

All proposals to establish a BOT-Designated Research Institute or Center must address the components listed in Part A of The Policy.

Purpose: A BOT-Designated Research Institute or Center Must:

Have a clearly defined primary purpose related to UA’s research mission.
Articulate and address grand challenge(s) and provide solutions and innovations to an extent not possible in its absence.
Be substantially unique to existing or future research institutes and centers.
Have multidisciplinary and/or interdisciplinary participation from core and/or affiliated faculty and describe how faculty participation is determined at establishment and over time.
Articulate its goals, and provide a description of how measurement, assessment and documentation of the achievements of the goals will be achieved.

Resources: A BOT-Designated Research Institute or Center Must:

Have an annual and three-year budget showing source of funds (including, but not limited to, federal, state and private funds) and planned expenses.
Have sufficient human and physical resources to achieve its stated purpose at the time of development.
Clearly demonstrate that it has a plan and capacity to grow and sustain its growth consistent with the expectations defined in “ORED Guidelines and Procedures for BOT-Designated Research Institutes and Centers.”

Organization: A BOT-Designated Research Institute or Center Must:

Have an identified director (or a clear plan to identify one prior to submission to the Board) with sufficient qualifications and experience.
Through a clear organizational chart, depict a clear reporting relationship to a college/school, Alabama Research Institute executive director, vice president and ORED.
Provide all necessary letters of support and commitment including, but not limited to, the dean(s), when appropriate.
Have a structure that enables the research institute or center to apply for and receive significant external funding, such as grants and contracts, consistent with the expectations defined in “ORED Guidelines and Procedures for BOT-Designated Research Institutes and Centers.”
List any internal and/or external advisory boards, their role and all members. Such boards may not have financial, governing or hiring authority.

Additional criteria to be considered in establishing a research institute or center:

“Core and/or affiliated faculty.” Ideally, the proposed research institute or center will have at least 12-15 core and/or affiliated faculty from multiple departments and two or more colleges or schools.
“Significant external funding.” Ideally, the proposed research institute or center and core and/or affiliated faculty collectively bring in about $3 million in external resources at the time the proposal is submitted or have the clear potential to do within two to three years.

Additional information can be included, as well as appendices. In general, proposals to establish a research institute or center are about 10-15 pages, not including any appendices.

Part B. Annual and On-Going Review of BOT-Designated Research Institutes and Centers

According to The Policy, all BOT-Designated research institutes and centers must submit an annual report of progress to the UA official to whom the research institute or center leader reports (e.g., their dean) and from there to ORED. In addition, all BOT-Designated research institutes and centers are subject to critical review every five years by ORED.

Annual Report

On or about June 1 of each year, ORED distributes a notice that research institute and center annual reports are due to ORED by July 1 of that same year. If the research institute or center reports through a dean/associate dean for research or Alabama Research Institute executive director, then the report must go through that reporting channel and then to ORED (i.e., the research institute or center leader submits the report to the dean/associate dean for research or the executive director for review and feedback, then the dean/associate dean for research or executive director submits the report to ORED.) If the research institute or center reports to the VPRED, then the report is submitted directly.

The specific outline and the Report Data Submission template to be used in preparing the report is included in the annual notice. ORED expects that these reports should be no more than 10 pages in length.

The specific guidelines for preparing the annual report are included in Appendix 1.

Five-Year Critical Review of Research Institutes and Centers

The ORED Research Institutes and Centers Evaluation Committee will oversee and coordinate a five-year review of the research institute or center and its leader as outlined in The Policy. This review will supersede and replace all such reviews at the unit level (i.e., college, school or research institute). The Committee is to complete the research institute or center’s review within the respective academic year. These reviews are integral to the SACSCOC reaccreditation process, and drive ORED’s investment decisions.

The objective of the five-year review is to assess whether the research institute or center is satisfying the three overarching criteria for BOT-Designated research institutes and centers as required in The Policy. However, the VPRED in consultation with the dean(s), when appropriate, may ask the Committee to address additional factors as well.

On or about August 15^th each year ORED notifies all leaders of research institutes and centers, as well as their respective dean(s), when appropriate, that are scheduled for review in the current academic year. This notice will include the directions for self-study, including review of the prior annual reports from the previous four years. The notice will also contain an invitation to the leader to submit suggestions for potential ad hoc faculty reviewers who do not belong to the research institutes and centers under review. Additionally, the notice will clarify the procedures for the review and provide a deadline for receipt of the self-study and a timeline for other activities.

Upon completion of the review, the Committee will provide a copy of the final report to the VPRED and research institute or center’s leader and the associated dean(s), when appropriate, including a recommendation as to the status of the research institute or center. The Office for Research & Economic Development will provide copies of all written materials pertaining to the review to the Office of Accreditation and Institutional Effectiveness.

One year after completion of the review, the research institute or center leader must submit a follow-up report to their respective dean(s), when appropriate, and ORED with an update on progress made in response to the five-year review and recommendations.

The specific guidelines for preparing the five-year critical review are included in Appendix 2.

Part C. Changes to and Discontinuation of BOT-Designated Research Institutes and Centers

According to The Policy, any proposed change or substantial alteration including mission, scope and name change of an existing BOT-Designated research institute or center must have the support of the associated dean(s), when appropriate, and be reviewed and approved first by the VPRED (with sufficient consultation of key stakeholders) and then by the UA President. The Office for Research & Economic Development will provide a form and guidelines for this purpose upon request. It is recommended that proposals for such changes be received by ORED at least one month prior to the deadline for adding agenda items to a designated meeting date of the Board of Trustees.

The recommendation for discontinuation of a research institute or center may arise from either the dean, with oversight of a research institute or center, or the VPRED. If this occurs by a dean’s recommendation, a formal request must be sent to the VPRED. If the VPRED determines, after consultation with the appropriate dean(s) or other parties, that the research institute or center warrants discontinuation, they will take appropriate action and ask the UA President to forward such recommendation to the UA System Chancellor and Board of Trustees as an administrative item.

Currently Recognized BOT-Designated Research Institutes & Centers

OFFICE FOR RESEARCH & ECONOMIC DEVELOPMENT

Alabama Life Research Institute
Center for Convergent Bioscience and Medicine (Alabama Life Research Institute)
Alabama Materials Institute
Alabama Transportation Institute
Alabama Mobility and Power Center (Alabama Transportation Institute)
Transportation Policy Research Center (Alabama Transportation Institute)
Alabama Water Institute
Global Water Security Center (Alabama Water Institute)
UA High Performance Computing and Data Center

BAREFIELD COLLEGE OF ARTS & SCIENCES

Alabama Research Institute on Aging
Center for Freshwater Studies
Center for Innovative Research in Autism
Center for Youth Development and Intervention
Institute for Social Science Research

COLLEGE OF COMMUNICATION & INFORMATION SCIENCES

Institute for Communication and Information Research

COLLEGE OF COMMUNITY HEALTH SCIENCES

Institute for Rural Health Research

COLLEGE OF EDUCATION

Center for Interconnected Behavioral and Mental Health Systems

COLLEGE OF ENGINEERING

Alabama Center for the Advancement of Artificial Intelligence
Center for Advanced Manufacturing and Materials Design Integration
Center for Advanced Public Safety
Center for Advanced Vehicle Technologies
Center for Sustainable Infrastructure
Center for Transportation Operations, Planning, and Safety
Center for Water Quality Research
Polymers and Soft Materials Research Center
Remote Sensing Center

COLLEGE OF HUMAN ENVIRONMENTAL SCIENCES

Child Development Research Center

CULVERHOUSE COLLEGE OF BUSINESS

Center for Business and Economic Research
Center for Risk and Insurance Research
Institute of Data and Analytics

Appendix 1

Guidelines for Preparing the Annual Report on BOT-Designated Research Institutes and Centers

Summary
- A BOT-Designated research institute or center must meet several criteria related to purpose, resources and organization. In no more than two pages, please explain how your research institute or center currently meets these criteria:
  - Purpose. A BOT-Designated research institute or center must articulate and address grand challenge(s) and provide solutions and innovations to an extent not possible in its absence.
  - Resources. A BOT-Designated research institute or center must clearly demonstrate that it has a plan and capacity to grow and sustain its growth consistent with the expectations defined in “ORED Guidelines and Procedures for BOT-Designated Research Institutes and Centers.”
  - Organization. A BOT-Designated research institute or center must have a structure that enables the research institute or center to apply for and receive significant external funding, such as grants and contracts, consistent with the expectations defined in “ORED Guidelines and Procedures for BOT-Designated Research Institutes and Centers.”
Accomplishments and Goals
- In no more than one page, please list the top five accomplishments of the research institute or center for the past year and why these accomplishments are important.
- In no more than one page, please list the top five goals of the research institute or center for the year ahead, the strategy for attaining those goals, and the expected impact of those goals.
Ideas and Recommendations
- In no more than one page, please share any ideas or recommendations ORED might consider to better serve your research institute or center.
Annual Report Spreadsheet
- Complete and include the Annual Report Spreadsheet.

Download Word Template for the Annual Report Spreadsheet (Opens to Box; click the “Download” button.)

Appendix 2

Guidelines for Preparing the Five-Year Critical Review of BOT-Designated Research Institutes & Centers

Please provide (1) copies of the research institute or center’s annual reports for the last five years; (2) a narrative summary (no more than 10 pages) addressing the areas outlined below for the last five years; and (3) a budgetary summary using the template provided.

1. Summary

Please provide a description of the research institute or center (150 words or fewer).

2. Vision

What are the central intellectual challenges and research needs the research institute or center is addressing, now and anticipated over the next five to 10 years?
Who are the stakeholders for the research institute or center, on and off campus?

3. Mission and Goals

What is the mission of the research institute or center and how does this contribute to the missions of the campus strategic plan and the ORED strategic plan?
How has the research institute or center been successful in meeting its own goals and objectives throughout the last five years?
What are the peer and aspirant programs for the research institute or center at other institutions?
What are the goals for the next five years?
How does the research institute or center contribute to the campus strategic plan, and to the plans of the department(s), school(s) and/or college(s) involved?

4. Accomplishments and Anticipated Activities

Describe the organizational structure of the research institute or center and how it relates to the research institute or center activities.
How many faculty, post docs, students (graduate and undergraduate) and other people were engaged in the research institute or center activities over the last five years? Describe their engagement.
Describe the accomplishments of the research institute or center, be specific (e.g., publications, patents, tech transfer, collaborations/partnerships/other engagement activities, awards, multicultural activities).
Describe the scope and impact of the research institute or center, both within the campus community and externally (e.g., local, regional, national, global).
What is leadership’s plan to accomplish the research institute or center’s goals during the next reporting period?

5. Funding and Resources

Describe and provide evidence of adequate financial resources for continued operation of the research institute or center. Examples may include anticipated external research awards.
How has the research institute or center leveraged campus resources and how will it leverage these in the next five years?
How did the research institute or center secure campus funding?
What is the plan for sustainability moving forward? In one year? In five years?
What are the physical space needs and resources for the research institute or center?

Download Word Template for the Five-Year Critical Review of Research Institutes & Centers Self-Study (Opens to Box; click the “Download” button.)

Download Word Template for the Budget Summary (Opens to Box; click the “Download” button)

Five-Year Critical Review Process

STEP ONE

Each year, ORED notifies leaders of research institutes and centers scheduled for five-year review in the current academic year. Leaders are invited to provide suggestions for potential faculty reviewers who do not belong to the research institute or center being reviewed.
Faculty members join the standing committee and serve as the review committee for the research institute or center. Reviewers include established senior and mid-level faculty and are chosen to include faculty who are not members of the research institute or center under review. The vice president for research & economic development determines members and serves as chair of the review committee.
Prior to the review, the vice president meets with the committee to provide the charge, discuss the process and answer any questions. The committee is instructed to identify a date devoted to the review. ORED offers logistical support, as necessary.

STEP TWO

The research institute or center leader and personnel complete the self-study (downloadable template provided), which should take eight to ten weeks. The self-study must address the stated requirements in the Policy and ORED Guidelines. Once complete, the leader submits the self-study to the vice president.
The committee conducts their review, which should take four to six weeks – they are encouraged to interview a broad spectrum of administrators, faculty and staff (both internal and external to the research institute or center) and students, and tour the physical facilities. The committee may also request additional documentation.

STEP THREE

Following the review, the committee must submit its draft report to the vice president. The draft report should be concise and include strengths and weaknesses, and thoughtful and specific recommendations pertaining to the research institute or center and (separately) the leader. The draft report should include explicit recommendations as to whether the research institute or center should be continued and whether the leader should be reappointed. The renewal or continuation of research institutes and centers and reappointment of leaders should not be considered automatic or the default. Research institutes and centers should be demonstrably fulfilling an important need at UA, and leaders should have demonstrated leadership and have broad support to continue in their roles. The vice president may meet with the committee at this point depending on the complexity of the review or issues raised by it.
A copy of the committee’s draft report is provided to the research institute or center leader and an opportunity to address and/or clarify any errors or misconceptions is given. This opportunity to review the draft report is not meant to be a point-by-point response, but rather a check on factual content. The draft report is returned to the committee along with the leader’s comments for their consideration and possible revision. If revised, the draft report is then returned to the research institute or center leader for their response(s). The committee finalizes their report.
The vice president writes a final memo describing their overall assessment. The memo, the committee’s report, and the self-study are sent to the committee, the research institute or center leader and the dean(s) and/or associate dean(s) for research, as appropriate.
Copies of all written materials pertaining to the review are provided to the Office of Institutional Effectiveness.

STEP FOUR

One year after the review, if necessary, the vice president may request a follow-up report from the institute or center director responding to the recommendations of the committee. Meetings may be held with the director, committee and/or vice president if progress is deemed insufficient or to address other concerns. Copies of any additional written materials pertaining to the review are provided to the Office of Institutional Effectiveness.

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