Introduction

As UAB has evolved, many new centers and institutes have been established to fulfill UAB's instructional, research, and service roles. The purposes of this policy are to define such units, to provide consistent structure for the processes of approving proposed new centers and institutes, and to provide for the periodic review of centers and institutes.

Definition

(Source: Board of Trustees Rule 503)

A "center" or "institute" focuses and concentrates efforts, usually multidisciplinary in nature, toward meeting a specialized need or dealing with a current issue. Most centers and institutes provide an umbrella organization for efforts directed toward a common goal. Some provide a central, visible focal point to enable individuals from the state and community to take advantage of the research and service opportunities of the University.

Types of Centers or Institutes

(Source: Based on Board of Trustees Rule 503)

 A center or institute falls into one of the following two categories based on the primary purpose of its program: 

1. Instruction or research centers and institutes have, as a major focus, activities related to the instruction of students or the conduct of research.
2. Service centers and institutes have a major focus on activities related to the dissemination of information or the provision of service to the community, including patient care at UAB.

Approval

1. Proposals for creation, change, or dissolution of centers or institutes must be reviewed and approved by the appropriate dean, vice president (if applicable), the Provost, the CEO of the UAB Health System (for patient care services centers in the School of Medicine), and the President.
2. The standard procedure used for submitting items to the Board of Trustees for approval will be followed for submitting proposals for the creation, change, or dissolution of centers and institutes.

The President or his/her designee has the prerogative to require that a proposed program will be subject to the provisions of this policy. Also, the President may choose to submit to the Board of Trustees for approval a center or institute proposal which does not meet all the criteria indicated in this policy or in Board of Trustees Rule 503.

A proposed center or institute must have received final Board of Trustees approval before the name may be used at UAB or in publicity or media materials.

Criteria

(Source: Based on Board of Trustees Rule 503)

A proposed center or institute must meet the following criteria, and the proposal showing how the center or institute will meet these criteria must be submitted to the President, to the Chancellor, and then to the Board of Trustees:

1. Purpose
   1. A clearly defined purpose directly related to UAB's role and scope
   2. A clearly defined primary purpose related to UAB's instructional, research, and/or service programs
   3. If applicable, a purpose that also includes activities dealing with a current issue, need, or problem
2. Resources
   1. An annual budget showing source of funds (including, but not limited to, federal, state, and private funds)
   2. An indication that there are sufficient human resources to achieve the center's or institute's purpose(s)
   3. An indication that there are sufficient physical resources to achieve the center's or institute's purpose(s
3. Organization
   1. An identified director for the center or institute
   2. An internal reporting relationship directly to a department head, a dean, the Provost, a vice president, the Executive Director of the UAB University Hospital, or the President
   3. A structure that enables the center or institute to apply for, and receive, external funding such as grants and contracts
   4. Multidisciplinary and/or interdisciplinary participation

General Provisions

1. Primary faculty appointments may not be made through centers.
2. An official list of approved centers and institutes is to be maintained by the President's Office or designee.
3. Any center or institute may be discontinued by approval of the Board of Trustees. (See section entitled "Changes to Existing Centers or Institutes.")
4. Internal UAB designations of types of centers or institutes such as "university-wide," "pilot developmental," etc., are considerations separate from this policy. All centers or institutes so designated must first have been approved by the Board of Trustees according to the stipulations of this policy and Board of Trustees Rule 503.

Ongoing Review of Existing Centers

1. All centers and institutes must file an annual report of progress to the UAB official to whom the center or institute director reports.
2. All centers and institutes are subject to critical review every five years in order to determine if the center or institute should be continued.

Changes to Existing Centers or Institutes

(Source: Based on Board of Trustees Rule 503)

1. When an extension, expansion, or other substantial alteration (including name change) or termination, closure, or deletion of an existing center or institute is proposed, the President shall notify the Chancellor before the action is taken.
2. When a center or institute is undergoing an extension, expansion, or other substantial alteration or when the name is being modified, the following information must have been submitted to the President:
   1. Purpose of the center or institute
   2. Reasons for changes being requested
3. When a center or institute is being terminated, the following information must have been submitted to the President:
   1. Purpose of the center or institute
   2. Reasons for termination, closure, or deletion
   3. Description of all funding for, property of, and individuals employed in, the center or institute
   4. Proposed disposition of the funding, property, and employees of the center or institut
4. The Board of Trustees must approve the proposed action.

Implementation

The Office of Institutional Effectiveness and Analysis is responsible for procedures to implement this policy.

 

Related Policy
Rule 503, Academic, Research, Service, and Administrative Units in The Board of Trustees of The University of Alabama Board Manual

(Replaces policy entitled "Establishment of Designated Centers, Institutes, and Specialized Programs" dated April 2, 1987)
[Edited May 31, 2007, for change in unit name]