This document governs the application, review, and approval of establishing, changing, renewing, and closing Centers at UWW. It assists with wide communication about a center's existence and activities and helps to ensure that other centers will not be established with an overlapping mission or purpose. The Procedures and the review and approval processes allow the university to better understand the nature and resource demands of academic activity that takes place outside the structure of departments. Official approval of centers is required because centers represent UWW to the broader internal university external community. The approval process involves unit and school-level review to assure that the center activity meets a defined academic need unmet by other structures, that faculty with an interest in the center activity have an opportunity to comment, and that the resource needs of and resource contributions to the center from various campus units are evaluated and vetted by appropriate school authority. It is an institutional expectation that all active centers will be officially approved. To be formally recognized at UWW, centers must be: (i) approved by the sponsoring school Dean, (ii) reviewed and recommended by the Office of Research and Sponsored Programs, and (iii) reviewed and approved by the Provost. A. Establishing New Center <ol style="list-style-type: upper-roman;"> <li>Application <ol> <li>A faculty or academic staff of a college or a unit seeking approval should develop a short proposal of no more than ten pages and submit for review and approval at the unit/department level followed by the dean.</li> <li>Department chairs, division directors, and/or college deans are required to provide feedback on the creation of new center on such issues as <ol style="list-style-type: lower-alpha;"> <li>department/college capacity;</li> <li>the potential for student engagement and curriculum enhancement;</li> <li>impacts of center creation on faculty/staff research and scholarly activity; and</li> <li>the impact of center or institute activity on tenure decisions.</li> </ol> </li> <li>A school-level approved proposal must be submitted by the Dean to ORSP for review. The proposal should <ol style="list-style-type: lower-alpha;"> <li>not be more than ten pages and follow the ORSP Template for Proposal Submission, Review and Approval.</li> <li>provide the name(s) of the applicant(s) and the proposed name of the Center.</li> <li>address the following topics, and include, but not be limited to, the questions raised. <ol style="list-style-type: lower-roman;"> <li>Name. The center's name should convey the center's focus clearly, even to those outside the field. If the proposed name is similar to that of another unit (an existing school, college, department, academic program, or center), a letter of endorsement from the existing unit with the similar name should be appended to the proposal.</li> <li>Purpose and Mission. Centers should have sharply defined missions that address specific goals. What is the proposed purpose and mission for the new center? Explain why this activity could not be as successfully conducted in an existing department or center.</li> <li>Place. Where will the center's staff and activities be housed? Is the space adequate? If there is a need for more space, what plans exist to accommodate this need? Have the departmental/sponsoring unit and school/college facilities staff been consulted? If an existing campus unit or an academic department will provide such space, include this information in the letters of endorsement appended. Have the school and appropriate university authorities been consulted and informed of the space to be used by the Center?</li> <li>Staffing. It is important to identify faculty and staff who plan to participate in the center's activities. By what mechanism is the participation of new members solicited? Where the interests of centers and departments intersect, it may be important to clarify how activities of participants (faculty and staff) are allocated or credited among participants' various units, or to have procedures for engaging interested parties in discussion of this topic. How will administrative support be provided? Is it adequate to support the mission of the center? If an existing campus unit or an academic department will provide such support, include this information in the letters of endorsement appended.</li> <li>Organizational Structure and Governance. How will the center be organized? Will it operate within a department, within a school or college, as a unit of the Office of Research and Sponsored Programs, or across multiple schools and colleges? If it is interdisciplinary, how will interactions among departments and schools/colleges be managed? What will be its governance and administrative structure? How will its leadership be identified and to whom will its leadership report? What are the proposed responsibilities of the director? By what process is the director appointed, evaluated, and/or reappointed? For centers that will be active in more than one school, college, or unit, the proposal must specify how the deans/directors will coordinate responsibility for center oversight and review. Ideally, a lead unit/school/college will be specified. If the center operates so that there is no single lead, then the proposal should make the organizational structure and lines of responsibility clear.</li> <li>Financial Support. What kind of funding is needed for the center and what will its source be? If the identified support is lost, what are the prospects for continuation of the center? Please note whether state funds, particularly new state funds, will support the center.</li> <li>Administration of Grants. When faculty members who participate in a center succeed in securing grants associated with the center's mission and activities, will the grants be administered by the center or the faculty member's home department? Will it be possible to share administration and in what cases could that be appropriate? What process will be used to assign or share credit for extramural funding between the center and the Primary Investigator's department?</li> <li>Endorsements. Proposals should include endorsements or letters of support from department chairs, deans, directors, and/or key faculty who will provide essential support for and who have an interest in the new center. This process assumes that units have received drafts of the proposal and that concerns are addressed or accounted for in the final version submitted for approval. Does the center's function or organization overlap the efforts of departments, schools, colleges, or other centers at the university? Does the center have the support of those who may be affected by it? The proposal should provide evidence that all interested units are aware of plans for establishing the center and were afforded an opportunity to comment on the plan to establish the new entity. Early communication may help in discovering individuals with similar interests and in fostering their participation. Will the center draw on another unit's resources? If so, those units should be asked to provide a memo of support for the endeavor, and in it, to articulate a shared understanding of their contribution to the center.</li> <li>Evaluation. Proposals should provide information on the following: What is the proposed evaluation process for the center? The process should reflect the size and breadth of the center's activities. Evaluation plans must comply with section IV and include both an annual report to the responsible dean and a periodic review process that includes evaluators external to the center. Annual reports should be shared with units involved in the center's activities and should be submitted to the dean. Central questions should include whether the center is fulfilling its mission, if improvements are needed, and if the center should persist.</li> <li>Life Cycle. The issues that stimulate creation of these units will evolve, and it is important to consider the ongoing need for the center, including expected growth or discontinuation. The proposal should address the expected life cycle for the center: Under what circumstances might the unit evolve into a department? Under what circumstances should it cease to exist? For example, centers should be closed when faculty cease to participate or when new leaders cannot be identified or when external resources that support the center are no longer available. The proposal must include specific "sunset" provisions appropriate to the center being proposed.</li> </ol> </li> </ol> </li> </ol> </li> <li>Application Review <ol> <li>Departmental/School Level Review <ol style="list-style-type: lower-alpha;"> <li>Proposals to establish new centers should be reviewed and approved, in the following order, by <ol style="list-style-type: lower-roman;"> <li>the proposing group (individuals).</li> <li>the department or unit(s) with which the proposing group (individuals) resides.</li> <li>the school dean where the Center/Institute may be housed.</li> </ol> </li> <li>The dean should submit to the Director of the Office of Research and Sponsored Programs for review, the proposal accompanied by a cover memo that: <ol style="list-style-type: lower-roman;"> <li>clearly describes the need for the center,</li> <li>the center's contribution to the mission of the school or unit, and</li> <li>the fiscal or other resources (if any) that the school or unit will provide.</li> </ol> </li> </ol> </li> <li>ORSP Review <ol style="list-style-type: lower-alpha;"> <li>The ORSP review considers the following matters. <ol style="list-style-type: lower-roman;"> <li>The articulated goals of the institute or center are consistent with the research and academic priorities of the University and the purposes for creating institutes and centers.</li> <li>The space and other infrastructure resources necessary for the successful operation of the institute or center are available.</li> <li>The institute or center has a viable near-term financial plan and a long-term sustainable business model, including available funding opportunities that have been applied to or realistically targeted.</li> <li>The institute or center has identified faculty and staff who plan to participate in the center's activities.</li> <li>The institute or center has a reasonable and cost-effective organizational structure and governance.</li> <li>The institute or center has letters of support from department chairs, deans, directors, and/or key faculty who provides essential support.</li> </ol> </li> <li>Based on the review of the application, and, as applicable, consultation with the applying unit, the Director of ORSP shall submit a recommendation to the Office of the Provost.</li> </ol> </li> </ol> </li> <li>Approval <ol> <li>The Office of the Provost <ol style="list-style-type: lower-alpha;"> <li>reviews the proposal and recommendation(s) and determines whether to grant approval.</li> <li>if approved, it will be for a three-year period, upon which it should request for renewal per the provisions below.</li> <li>notifies the Director of ORSP of the decision.</li> </ol> </li> <li>The Director of ORSP communicates to the applicant(s) via email and/or a signed letter the decision of the Office of the Provost.</li> <li>The school or group proposing to establish the center should initiate discussion with the UWW Financial Services, as appropriate, to have a new Cost Center and Driver created to manage the finances of the center.</li> </ol> </li> <li>Evaluation and Reporting <ol> <li>Evaluation <ol style="list-style-type: lower-alpha;"> <li>Centers must undergo periodic evaluation by the unit or school they reside in.</li> <li>If the center was established in a structure other than under a single dean or lead dean or unit head, then the evaluation process must follow the process described in the originating proposal.</li> <li>Every five years, the Dean or Unit Head must initiate a review and evaluation of center activity.</li> </ol> </li> <li>Evaluation Report <ol style="list-style-type: lower-alpha;"> <li>A brief (one-page) report should be submitted annually to the Director of ORSP, the dean/unit head, and to other units involved in the center's activities.</li> <li>The Center, through the Dean or Unit Head, must submit to ORSP, a five-year evaluation report that includes, at a minimum: <ol style="list-style-type: lower-roman;"> <li>mission and purpose.</li> <li>information related to mission-focused activities (e.g., events hosted, number of participants served in outreach efforts, grants administered).</li> <li>center growth and data trend.</li> <li>challenges and opportunities.</li> <li>proposed changes or modifications.</li> <li>sustainability evaluation.</li> </ol> </li> <li>Centers that have ceased operation or that have been formally discontinued must be reported to the Director of ORSP by the Dean or Unit Head.</li> <li>Any center that has had a change in structure that was not already reported must be reported during the five-year evaluation.</li> <li>Any center that was created but not approved and comes to the attention of the dean/unit head through the annual or five-year evaluation process shall be considered for approval at this time.</li> </ol> </li> </ol> </li> </ol> B. Changing Existing Centers <ol style="list-style-type: upper-roman;"> <li>Changing Center Designation <ol> <li>Any changes – renaming, reorganizing, or discontinuing – to existing centers shall be approved by the responsible school/college/unit dean/unit head, Director of ORSP, and the Provost.</li> <li>Centers that are cross-college or cross-departmental should make use of the approval sequence that was approved as part of the original proposal.</li> <li>All the changes should be reported to the UW System through the Office of the Provost, as required by UW System policy.</li> </ol> </li> <li>Renaming Centers <ol> <li>Proposals to rename centers should be approved by the department/unit and school dean prior to submission to ORSP. <ol style="list-style-type: lower-alpha;"> <li>Center renaming should not overlap with those of existing departments, schools, centers, or other units. Appropriate endorsements should accompany the request.</li> <li>ORSP reviews the proposal and submits a recommendation to the Provost.</li> <li>The provost reviews the proposal and the recommendations and makes determination whether to grant approval.</li> </ol> </li> </ol> </li> <li>Reorganizing or Restructuring Centers <ol> <li>Reorganizations may include combining two or more centers into one, creating umbrella structures, splitting a center into two or more separate centers, or other significant restructuring. Appropriate endorsements should accompany the request.</li> <li>Proposals to reorganize or restructuring centers should be approved by the department/unit and school dean prior to submission to ORSP.</li> <li>ORSP reviews the proposal and submits a recommendation to the Provost.</li> <li>The provost reviews the proposal and the recommendations and makes determination whether to grant approval.</li> </ol> </li> <li>Discontinuing Centers <ol> <li>When faculty support for a center no longer exists, if there is no interest among the faculty in participating in or leading the center, or when a center is no longer financially viable, the center should be formally discontinued. <ol style="list-style-type: lower-alpha;"> <li>Requests for discontinuation may be initiated by the center director and submitted to the department/unit and school dean.</li> <li>If, at the time of the five-year review, the dean/unit head cannot verify that a center is viable, the dean may recommend discontinuation.</li> <li>The dean submits the request to ORSP.</li> <li>ORSP reviews the request and submits a recommendation to the Provost.</li> <li>The provost reviews the request and recommendations and makes determination whether to grant approval.</li> </ol> </li> </ol> </li> </ol> C. Exceptions and Conflicts <ol style="list-style-type: upper-roman;"> <li>Exceptions <ol> <li>Approval should be initiated before publicity appears around new centers; however, with the consent of the unit head and school dean, groups may use the terms "center" and "institute" provisionally for the purposes of seeking external funding.</li> <li>When funding is obtained, the group should seek and secure formal approval for the center in a timely manner, following this procedure.</li> <li>If an unapproved center comes to the attention of a dean or the provost, that office will request that the approval process be initiated promptly.</li> </ol> </li> <li>Conflicts <ol> <li>Some centers may have department-like characteristics when they are established, or they may evolve into department-like units over time.</li> <li>Department-like units should follow guidelines that apply to departments.</li> <li>The provost will resolve questions concerning the interpretation in relation to structures that have both center-like and department-like characteristics.</li> </ol> </li> </ol> D. Renewal or Dissolution <ol style="list-style-type: upper-roman;"> <li>Renewal <ol> <li>Every five years, renewal requests may be initiated by the Office of the Provost or the Dean or Unit Head where the Center resides.</li> <li>The Dean or Unit Head shall submit an official request/application for renewal of the center after five years of operation and a five-year evaluation and review report.</li> <li>ORSP reviews the application and submits a recommendation to the provost.</li> <li>The provost reviews the proposal and the recommendations and decides whether to grant approval for renewal.</li> </ol> </li> <li>Dissolution <ol> <li>Centers that have ceased operation or that have been formally discontinued must be reported to the Office of the Provost and the Director of ORSP by the appropriate dean when operations have ceased or centers discontinued as such.</li> <li>Dissolution or closure of a center must be approved by the overseeing Dean.</li> <li>The Dean must inform the Office of the Provost and the Director of ORSP of the decision for dissolution, providing information on: <ol style="list-style-type: lower-alpha;"> <li>Name and function of the center.</li> <li>Reason for the dissolution.</li> <li>An exit plan, including a plan on personnel, services, or operations to be terminated, and the disposition of materials and any agreements, including gifts or grants.</li> </ol> </li> <li>The Office of the Provost and ORSP document the decision of the dean and publicize the dissolution.</li> </ol> </li> </ol> E. Records and Publication <ol style="list-style-type: upper-roman;"> <li>All active, approved centers will appear on the UWW official list of centers, which signifies that they may represent themselves as recognized UW-Whitewater entities.</li> <li>This list of official centers provides a single point at which UW-Whitewater faculty, staff, and students may learn about the breadth and depth of center activity and consider opportunities to collaborate or coordinate efforts as appropriate.</li> <li>The list is also a reference to verify the formal legitimacy of a center and its connection to UW-Whitewater. </li> </ol> <ol> <li style="list-style-type: none;"> <ol> <li style="list-style-type: none;"> <ol> <li style="list-style-type: none;"> <ol> <li style="list-style-type: none;"> <ol style="list-style-type: upper-roman;"></ol> </li> </ol> </li> </ol> </li> </ol> </li> </ol>