Research Centers and Institutes Approval and Evaluation

Research centers and institutes provide infrastructure to support scholarship at the frontiers of knowledge, in the sharing of knowledge, and in the application of knowledge to practice. These units are an addition to the traditional administrative and academic structures on campus. The establishment and review of centers and institutes must consider their relation to existing structures, how they are resourced and administered, and their impact within their discipline and the community they serve.  This document establishes processes to ensure their relevance and value in supporting the mission of the university.  

This document complements SAAP 01-06 (Centers/Institutes) by establishing the procedures for approving and reviewing research centers and institutes at UWM.  The steps outlined in this document articulate clear guidelines and processes for establishing new research centers and institutes, and reviewing existing and new research centers and institutes.  

The ultimate goals for implementation of these procedures are to: 

• provide guidance and clarity in the establishment of research centers and institutes; 
• create a system for evaluation and feedback for research centers and institutes that informs decision-making to enhance their effectiveness; 
• determine efficient use of campus resources contributed to research centers and institutes; 
• foster communication regarding research centers and institutes as a valuable campus resource.  

The definitions of Research Center and Research Institute are set forth in SAAP 01-06.

Proposals to establish a new research center or institute should be submitted to the Provost, with transmission through the office of the appropriate Dean¹, Principal Dean, or Vice-Provost for Research. Proposals must contain the required elements set forth in SAAP 01-06. Establishment of a center or institute through external funding or partnerships does not automatically confer UWM center or institute status. To become a UWM center or institute, the process described herein must be followed. See Appendix A for organizational models.  See Appendix B for a description of essential resources. 

Academic Affairs will circulate submitted proposals to schools/colleges, the University Committee, the Academic Planning and Budget Committee for review and comments (per SAAP 01-01). 

The Provost and Chancellor will review proposals following the review and comment period, and make the final decisions regarding proposals. The Chancellor’s decision will be communicated to the proposing group, the appropriate Dean/Vice Chancellor, and the Faculty Senate.  

Footnote

1. The term “Dean” denotes the campus administrator with line responsibility for the research center/institute Director. For units within a single school/college this will be the academic dean. For units in multiple schools/colleges this will be the Principal Dean (PD) or Vice Provost for Research (VPR). These roles are defined in the center/institute organization chart (see Appendix A for model organizational structures). ↩︎

Each research center/institute must submit an annual report (defined by the fiscal year) to the dean responsible for the unit, and undergo a required comprehensive review every six years to assess viability of its program, activities, and resources.  The goal of the annual report is to inform the dean and the rest of campus about the research goals and progress of the center or institute.  The six-year review provides the opportunity to align the resources with the strategic goals of the center/institute.  Shorter review cycles may be established at the request of the center/institute. 

Research centers within a research institute are subject to the same review requirements as independent centers. 

Annual Reports

The annual report is designed for yearly evaluation of the research center/institute, for systematic collection of information needed for the six-year comprehensive review process, and to respond to any issues resulting from the previous six-year review.  (See Appendix C for required content.)  Centers/institutes that are required to provide annual reports to external agencies or sponsors may submit those reports in fulfillment of this requirement, as long as they contain the required content. 

• The Dean (Dean, PD, or VPR as appropriate) solicits the report from the director and evaluates research center/institute progress annually. 
• The center/institute annual report submission comes after campus annual reporting of academic activities to allow ready incorporation of information from the individual reports of faculty and academic staff members affiliated with the research center/institute.  The design (layout; format; style) of the report should be flexible. Each Dean forwards copies of the annual reports to the Provost and the Vice-Provost for Research. 

Six-year Reviews

In addition to submitting annual reports, each research institute and center will undergo a comprehensive review every six years. Shorter review cycles may be established at the request of the center/institute. 

The review schedule of campus research centers and institutes will be developed around themes, whenever possible. For units with major extramural funding that depends on institutional matching, the review process will be initiated one year before a research center/institute renewal proposal is due and completed within six months to provide formative feedback for renewal proposal preparation and to guide the institutional commitments to the grant.  Units that are supported by an external stakeholder that requires a review of the research center/institute may use the external review to satisfy the campus review requirement with the approval of the Vice Provost for Research. 

The purpose of the research center/institute review is to assess the unit’s viability, quality, and progress. The review also facilitates strategic planning. A Dean, Vice Provost for Research, or Provost may request an early comprehensive review of a research center or institute.  

See Appendix C for self-study instructions, Appendix D for instructions to reviewers, and Appendix E for the review process. 

• Appendix A - Examples of Basic Elements and Organizational Structures for Research Centers and Institutes
• Appendix B - Essential Resource Needs
• Appendix C - Six-year Comprehensive Review, and Annual Report Research Center and Institute Self-Study Report Instructions
• Appendix D - Instructions for Reviewers of Research Centers and Institutes
• Appendix E - Process for Six-Year Review of Research Centers and Institutes
• Appendix F - Procedures for Changes to Research Centers/Institutes
• Appendix G - Research Center/Institute Discontinuance Plan