Research

Procedures for Establishment and Review of Institutes and Centers

1. Introduction

Institutes and Centers exist in order to enhance member capacity to successfully pursue research in existing and emergent topical areas. Each brings together researchers with diverse backgrounds and disciplines from multiple colleges and/or departments. Institutes and Centers provide members with various forms of support to garner external funding in a particular research area.

If you are interested in creating a new institute or center please start by contacting the Associate Vice President of Research Development (AVPRD) to discuss your concept.

2. Definitions

Research Institute: A larger, interdisciplinary and integrative unit, usually with members from more than one College. An Institute may contain one or more Centers within its administrative structure. 

Research Center: An interdisciplinary collaborative effort, organized to conduct research across academic departments and/or colleges on a focused topic.

Institutes and Centers focus on supporting the development of externally-funded research. The governance structure of each should reflect this as well as the unique needs and characteristics of that Institute or Center.

3. Establishment

The formal process for establishing a Institute or Center is outlined below. Informal research groups that do not extend beyond a Department or College or aim to receive additional IRAD do not require VPR approval.

3.1 Proposal

A written proposal must be developed and approved in order to establish a Institute or Center. The proposal must contain the following elements:

      1. Statement of Purpose - Describe the Institute or Center's purpose succinctly.
      2. Mission Statement - Define the mission of the proposed Institute or Center using concise language.
      3. Justification - Explain the rationale for establishing the Institute or Center and the anticipated benefits from its creation.
      4. Proposed Research Development Activities - Describe planned activities to assist member development of funded research projects (i.e. proposal development, pilot research projects, etc.) as well as other research-related activities.
      5. Governance Structure - Answer the following questions:
        1. Describe how the Director will be chosen, by whom, and how long their term will be.
        2. Describe the Director’s duties and responsibilities.
        3. Explain how researchers become members of your Institute or Center.
        4. Describe member rights and responsibilities.
        5. Describe how members will be included in Institute or Center governance.
        6. Describe the Institute or Center's planned activities to assist member development and management of externally-funded research awards.
      6. Financial Goals and Strategic Planning - Provide a table showing projected Institute or Center five year total expenditures and revenue balance per fiscal year. In addition, describe financial and membership goals directly related to enhancing research expenditures. Provide and describe metrics if appropriate.
      7. Space and Facilities Requirements - Describe existing laboratory and office facilities that will be used by the Institute or Center. Assignment of this space to the Institute or Center must be approved by the Dean and Department Chair.
      8. List of Prospective Members - List all prospective members and their academic units, including their Department and College.
      9. Signatures - Provide each Department Chair with prospective members in your Institute or Center with a copy of your proposal for its establishment. If they support its creation, ask them to provide their signature on the signature page document. The AVPRD will gather signatures from the Deans with prospective members after your presentation to them.
      10. Appendix - Include an appendix containing curriculum vitae of all potential initial members.

3.2 Approval

Establishment of a Institute or Center has implications for the Departments and Colleges with participating researchers. Therefore, establishment of a Institute or Center requires the approval of the AVPRD, VPR, and Academic Deans with prospective members in their College. 

  1. The AVPRD will help you prepare a proposal draft. Once the AVPRD has determined that your proposal is ready for review by the Deans, they will notify you and start the next steps.
  2. The AVPRD will share your proposal with the VPR and Academic Deans and schedule a review meeting at which you will present your proposal using the presentation template. The Academic Deans with prospective members in your Institute or Center will vote on whether your proposal is approved.
  3. Final approval by the President is required for new institutes or centers. 

4. Charter

Upon approval, each Institute or Center will develop a Charter during its first year of existence or the first year following reauthorization. The Charter will describe the mission, proposed activities, and governance structure, and include a strategic plan describing the means of addressing the mission of the unit. The plan will specify explicit goals regarding the types of planned activities to support member external research funding and management, amount of research funds to be generated, and goals for usage of any revenues garnered by the Institute or Center. The Charter shall be approved by the Director and the AVPRD. Once approved it must be posted on the Institute or Center's website.

5. Project Proposal Submission and Administration

Institutes or Centers involve Department or College personnel and facilities. Chairs and Deans are responsible for resources assigned to their units, and only they can commit those resources. Proposals for sponsored projects that originate in a Institute or Center must have the explicit approval of the Director on all proposals submitted through Cayuse. Proposals for sponsored projects must follow the normal Michigan Tech proposal submission procedures.

6. Annual Reporting and Renewal Process

Each Institute or Center will submit an annual report using the annual report template to the AVPRD by October 1 of each year. 

Each Institute or Center will typically be established for a five year term. At the end of the term, the existence of the Institute or Center will terminate unless it is specifically reauthorized to continue following its review and evaluation. 

Renewal Process

The AVPRD will schedule a meeting to be held with the Director, AVPRD, VPR, and Academic Deans to consider the request for renewal. The Director will need to provide their chair signature (for Chairs with members in the Institute or Center), and renewal presentation to the AVPRD at least one week prior to the renewal meeting. The AVPRD will share these files with the Deans and VPR. Deans with Institute or Center members in their college have a vote on its renewal. After the renewal meeting, the AVPRD will notify the Director of the decision and provide them with a decision memo outlining key Institute or Center strengths and concerns identified by the Deans, VPR, and AVPRD.