The UNC Policy
Manual
400.5[R]
Adopted 01/12/81
Amended 07/30/97
Amended 07/01/02
Amended 05/06/04
Repealed and
Replaced 10/21/09
Amended 06/08/15
Amended 12/04/15
I. Introduction,
Purpose, and Definitions
The
University of North Carolina (UNC) encourages partnerships ─ within,
across, and beyond its constituent institutions ─ that maximize the
capacities of the University and the constituent institutions to address
complex problems of importance to North Carolina, the nation, and the
world. Such partnerships may take the
form of centers and institutes. Centers
and institutes are particularly effective structures when efforts require
cross-disciplinary or cross-unit coordination.
Centers and institutes, when formed, should result in strengthened and
enriched programs around the core missions of research, service, and
instruction; enhanced opportunities for faculty, staff and students; heightened
economic impact in the state; and a reduction in duplication within UNC.
A. Purpose. This regulation has three purposes:
1. Provide
a framework upon which campuses should build detailed policies and protocols to
guide the planning, establishment, management, and discontinuation of
institutional centers and institutes (Section II);
2. Define
University System Multi-Campus Centers or Institutes and the role of UNC
General Administration (UNC-GA) in the management and oversight of them
(Section III); and
3. Establish
requirements for management oversight and reporting on centers and institutes
(Section IV).
B. Definitions
1. “Center
or Institute.” For purposes of
classification, there is no technical distinction between the terms center and institute. In practice, an
institute frequently refers to an entity having a broader scope of activity
than a center. For example, an institute
may create centers as separate units within its administrative structure. Centers and institutes may require new
infrastructures to facilitate administration, fiscal management, and on-going
activities. Many centers and institutes
report to or involve only a single UNC campus.
Some involve more than one UNC campus and require significant,
sustained, and necessary multi-campus collaboration in one or more aspects
including leadership, governance, mission, core activities, funding, and other
resources. A center or institute within
UNC may, under appropriate circumstances, include the participation of other
institutions, agencies, or organizations, such as other colleges and
universities, schools, hospitals, industry, foundations, or governmental
bodies. Centers and institutes do not
have jurisdiction over academic curricula, although they may offer courses in
cooperation with academic units.
2. “General
Fund sources” means financial resources originating from the State’s General
Fund, including state appropriations and tuition receipts.
3. “Non-General
Fund sources” means financial resources originating from sources other than the
State’s General Fund, including fee receipts, endowment income, institutional
trust funds, and outside grants.
4. “In-Kind sources”
means support that one or more constituent institutions provides to a center or
institute in the form of space, services (including faculty course buyout), or
use of equipment or other materials, and for which it does not receive cash
payment.
5. “Political
activity” means, as described in Section 300.5.1 of the UNC Policy Manual,
actions directed toward the success or failure of a candidate for public
office, political party, or partisan political group including, but not limited
to, campaigning, political management, and soliciting financial contributions
for political purposes.
II. Regulations for Centers and Institutes
The
following regulations apply to each constituent institution that (1) serves as
the administrative campus for a multi-campus center or institute, or (2)
administers a center or institute that reports to only one UNC campus.
A. Authority. Campuses
will adopt the following authoritative roles in their own policies and
procedures.
1. Administrative
campus. Each center or institute must designate an
administrative campus. For centers and
institutes situated on a single campus, this designation is
straightforward. Full authority and
responsibility for the oversight of institutional centers and institutes rests
at the campus level, including establishment, management, and discontinuation. For
centers and institutes involving more than one UNC constituent institution,
agreement on an administrative campus must be reached. Administrative campuses are responsible for
the general and fiscal oversight and management of their institutional centers
and institutes, in accordance with this regulation and campus level policies
and procedures.
2. Board
of trustees. The board of trustees of
each administrative campus has the authority to approve campus level policies
on centers and institutes and to authorize establishment and discontinuation of
institutional centers and institutes consistent with these regulations and the
directions of the president or the Board of Governors. The board of trustees may delegate to the
chancellor the authority to approve the discontinuation of institutional
centers and institutes.
3. Chancellor. The chancellor of each administrative campus,
as the executive and administrative head of the constituent institution, is
responsible for the oversight and management of each center or institute
situated at the campus. The chancellor
is responsible for carrying out the requirements of the applicable policies of
the Board of Governors and board of trustees with respect to centers and
institutes, and for ensuring that all requirements of this regulation are
implemented and followed.
4. Directors. Subject to the approval of the chancellor of
the administrative campus, each center or institute must have a director, who
shall report to a senior academic officer designated by the chancellor. Center and institute directors are
responsible for the day-to-day programmatic, fiscal, and personnel decisions
associated with the center and institute mission and core personnel.
5. Center or institute
boards or committees. A chancellor of a
constituent institution may determine that an advisory or policy board is
needed for a particular center or institute.
Boards or committees are particularly useful when the center or
institute must coordinate efforts across departments, units, or
institutions. Such boards do not have
the authority to make hiring offers to directors or other staff. While boards may make recommendations
regarding the use of center and institute funds, such entities do not have the
authority to access, use, or otherwise control funds associated with the
centers and institutes.
6. Authority
through bylaws, memoranda of understanding, or other governing documents. Centers and institutes, particularly those
requiring sustained involvement across multiple constituent institutions, may
address certain aspects of their management through bylaws, memoranda of
understanding (MOUs), or other governing documents, subject to the oversight
and approval of the chancellor or the chancellor’s designee. Examples of decisions that may be localized
at the center or institute level include processes for appointing and
staggering terms of board members, requirements for adding new partners or partner
campuses, or agreements on leadership and logistics for specified collaborative
initiatives. Centers and institutes
that involve multiple campuses, but without such documents, are considered
under the full authority of the administrative campus as defined above, in
Sections II.A.1., through II.A.2.
B. Planning. A planning period can serve many purposes for
a conceptualized center or institute, including time to demonstrate the
validity of the concept, define partner relationships and roles, or identify
fiscal and other resources required for sustainability. Administrative campuses must have policies
that address the following aspects of the planning of institutional centers and
institutes:
1. Clear
process for requesting authorization to plan a center or institute. Minimum required documentation should
include:
a. Relevance
of the proposed center or institute to the mission of the administrative campus
and UNC;
b. Objectives
of the proposed center or institute and why the objectives cannot be achieved
within existing institutional or University structures, including individual
schools, departments, and/or programs;
c. Discussion
of differentiation from similar centers, institutes, or units within the
campus, UNC and the State, and proposed relationships with them;
d. Potential
sources and estimated funding to initiate and sustain the proposed center or
institute, presented as a five-year projection, including the amounts of (1)
General Fund support; (2) non-General Fund support; and (3) in kind support;
and
e. When
relevant, statements on the inter-institutional nature of the proposed center
or institute, whether it be mission, leadership, activities, funding, or other
aspects.
2. Milestones,
timelines, and responsible parties associated with center and institute
planning periods.
3. Clear
process for granting and notification of authorization to plan a center or
institute, which shall require approval by the chancellor and a report to the
board of trustees and the Office of Research and Graduate Education at UNC
General Administration within 30 days of the chancellor’s approval, or by the
next regular meeting of the board, whichever is later.
C. Establishment. When
a center or institute approved for planning is ready and able to demonstrate
its viability, a formal request for authorization to establish is
prepared. Administrative campuses must
have policies that address the following aspects of the establishment of
institutional centers and institutes:
1. Clear
process for requesting authorization to establish a center or institute.
Minimum required documentation should include the items listed in the
authorization to plan documentation (Section B.1., above) as well as:
a. Name
of the proposed center or institute, which appropriately reflects the center or
institute mission and scope;
b. Identification
of the proposed center or institute as either a research, public service, or
instructional unit, in accordance with its primary mission and core activities,
with the understanding that the center or institute may also conduct
complementary activities outside of its primary designated mission;
c. Organizational
structure of the proposed center or institute, including name of a proposed
director, description of the membership and function of any proposed advisory
or policy boards, and proposed responsibility structure;
d. Statement
on the anticipated effects of the proposed unit on the instructional, research
and/or public service programs of the administrative campus; and, when
inter-institutional arrangements are involved, a statement on the anticipated
effects of the proposed collaboration on the instructional, research and/or
public service programs of all participating campuses;
e. Statement
on immediate financial needs, including the amount of General Fund, non-General
Fund, and in kind support that will be required;
f. Statement
on immediate operating needs, such as equipment, library resources, and space
needs, and five-year projections of future space needs;
g. When
relevant, evidence that inter-institutional arrangements regarding leadership,
governance, activities, funding, or other aspects have been reached by the
cooperating chancellors or designees; and
h. An
accountability plan that complies with policy of the administrative campus,
noting specific dates for the initial director and center reviews.
2. Milestones,
timelines, and responsible parties associated with establishment; and
3. Clear
process for granting and notification of the establishment of a center or
institute, which includes approval by the chancellor and board of trustees and
notification to the Office of Research and Graduate Education at UNC General
Administration prior to establishment.
D. Management. The chancellor of each administrative campus
will ensure that each active center and institute associated with the
administrative campus undergoes a comprehensive review at least once every five
(5) years to evaluate ongoing alignment with departmental, college and/or
institutional missions and resources, success in accomplishing stated
objectives, and sound fiscal status and practices. Administrative campuses must
have policies that include the following aspects of the management of centers and
institutes as part of the comprehensive review:
1. Process for director
searches, including steps of the process, participants and responsible parties,
and appropriate decision-making procedures;
2. Cycle(s)
for annual and comprehensive reviews of center and institute activities,
including designation of the responsible office or offices;
3. Evaluation criteria
to include at a minimum:
a. Performance against specific
objectives and goals;
b. Quality
and quantity of scholarly activity (as appropriate per mission), teaching and
other instructional activity (as appropriate per mission), and service (as
appropriate per mission);
c. Sufficient
budget to continue operation, including the amount and proportion of funds
received from General Fund and non-General Fund sources as well as in kind
support;
d. Fiscal oversight;
e. Analysis
and assurance that the entity does not duplicate other institutional, UNC, or
State entities;
f. Analysis
and consideration as to whether the entity’s work can be effectively accomplished
by a single department or program; and
g. Stakeholder
feedback (stakeholder defined as appropriate per the unit’s mission).
4. Listing
of other considerations, outside of the above performance review criteria, to
be discussed during review periods, including facilities, personnel, or other
operational needs;
5. Cycle(s)
for reviews of center and institute directors, including designation of the
office or offices responsible for conducting the review;
6. Criteria
for director review, to include at minimum:
a. Performance against individual
objectives and goals;
b. Feedback
on leadership and communication from center/institute staff, partners and/or
clients; and
c. Management
of fiscal and human resources.
7. Standard
practices and procedures for involving other UNC constituent institutions in
review processes, when relevant;
8. Articulation
of the type of unsatisfactory performance that could merit conditions for
discontinuation of a center, institute, director, or others; and
9. Clear plans for occasions
when centers, institutes or directors do not meet minimum review expectations,
including process, milestones, and responsible parties.
E. Discontinuation
1. A center or institute may be
discontinued for a variety of reasons, including but not limited to lack of
fiscal resources for sustainability, termination of a supporting grant or
award, lack of fit with departmental, college or institutional missions or
objectives, or a change in institutional priorities.
a. Campus
level policies must provide a clear process for the discontinuation of centers
and institutes, whether on probationary status, performing satisfactorily, or
in other circumstances. For those
entities that involve only a single campus, the campus-level process should
include approval by the board of trustees and notification to the Office of
Research and Graduate Education at UNC General Administration, prior to
discontinuation. For those centers and
institutes that require significant and sustained cooperation among more than
one UNC constituent institution, campus level policies must provide for
agreement to be reached and documented by the partner chancellors or designee
before the discontinuation
recommendation goes before the board of trustees at the administrative
campus. If such an agreement cannot be
reached by partner chancellors or designees, then UNC General Administration,
through the Office of Research and Graduate Education, will convene partners
and determine an acceptable solution.
b. If the
president or the Board of Governors determines that a center or institute
should be considered for discontinuation, the president shall
give written notice of that determination to the chancellor and chair of the
board of trustees of the constituent institution functioning as the
administrative campus, notifying them that they may request a hearing on the
matter before the Committee on Educational Planning, Policies, and Programs by
transmitting a written request for a hearing to the president within thirty
(30) days after receipt of the president’s notice. The chancellor and board of trustees chair
may bring to this hearing such administrative staff members and faculty members
as they may deem useful in representing the institution. If the chancellor and board of trustees chair
request a hearing, they shall, not later than two weeks prior to the hearing,
file with the president a written statement of reasons why the center or
institute should not be discontinued, together with such supporting data
as they may wish to provide. After such hearing, the Committee shall recommend to the Board of
Governors action that the Committee deems appropriate.
2. The “phase-out” period for centers
and institutes that are to be discontinued shall be sufficient to permit an
orderly termination or transfer of contractual obligations and to allow an
effort to find alternative employment for full-time staff. Normally, the “phase-out” period shall be no
more than one year after the end of the academic year in which final approval
is given to discontinue the center or institute.
F. Other
Entities. Other coordinating entities,
such as partnerships, consortia, collaboratives, or centers that form within
existing centers or single departments, may be considered exempt from these
regulations. For example, faculty within
a department may decide to form a collaborative in order to more intentionally
connect their research projects and professional networks. While such a group may prove a valuable
resource to external partners or other disciplinary contacts, it would likely
require little to no structure, funds, or management to function. A final determination will be left to the
discretion of each constituent institution as to whether such entities will be
governed under institution level processes.
Campuses should make appropriate provisions in their policies and
procedures to ensure they remain knowledgeable of the existence and viability
of such entities.
III. University
System Multi-Campus Centers and Institutes
Some
centers and institutes are established either to represent North Carolina in a
federally funded and formula-based program, many of which require state
matching funds, or through legislative action with requirements of multiple
campus engagement. These entities,
known as University System Multi-Campus Centers and Institutes, will maintain
varying levels of involvement from UNC General Administration throughout their
life cycle, as described below.
A. Participants in a
Federal Program. Centers and institutes
that are established via a federally funded and formula-based program must,
with guidance from UNC General Administration, identify an administrative
campus in UNC. The administrative campus
will retain responsibility for general and fiscal oversight with exception of
the budget expansion request process, in which UNC General Administration will
assist. A reporting line to UNC General
Administration through the UNC Office of Research and Graduate Education will
be maintained throughout the existence of these centers and institutes to
ensure appropriate system level involvement in the center mission and the
federal review processes for these centers, institutes, and their
directors. These entities shall reach
agreements with their administrative campuses to have any regularly occurring
and extensive federal review meet the requirement for periodic comprehensive
review. A center or institute participating
in a federally-funded and formula-based matching program may be discontinued if
the sponsoring unit of the federal government terminates funding for the
program. Otherwise, when it becomes
necessary for UNC to discontinue one of these centers or institutes, the
chancellor of the administrative campus should, in consultation with the other
participating constituent institutions, prepare and forward a written request
to the UNC president, with copy to the vice president for research. The president will then make such
recommendations as are necessary to the Board of Governors for approval of the
discontinuation. The “phase out” period
considerations noted in Section II.E., above, also apply to these centers and
institutes.
B. Legislatively Sanctioned
Multi-Campus Centers and Institutes.
Centers and institutes that are established via legislative action of
the North Carolina General Assembly and that require multiple campus engagement
must, with guidance from UNC General Administration, identify an administrative
campus in UNC. At the time of the
enactment of the legislation, UNC General Administration will assist these
entities and the administrative campus in the creation of planning,
establishment, and other governing documentation (e.g., bylaws, memoranda of
understanding). After these governing
documents are effective, the entity will come fully under the auspices of the
administrative campus for general and fiscal oversight. Discontinuation provisions should be noted in
the governing documents and should involve the counsel of UNC General
Administration in the discontinuation process, through the Office of Research
and Graduate Education.
C. Other multi-campus
centers and institutes. The provisions
of this regulation are intended to enable campuses to effectively manage
centers and institutes, whether institutional or involving multiple
campuses. Inter-institutional centers
and institutes are hence not singled out as exceptional circumstances requiring
system-level oversight but rather to be considered as a customary practice that
may require some additional considerations.
UNC General Administration, through the Office of Research and Graduate
Education, can offer assistance during the planning phase of complex
multi-campus efforts. Upon the need to
discontinue one of these entities, the provisions in Section II.E., of this
regulation will apply.
IV. Other
A. Reporting. Each administrative campus shall notify the
Office of Research and Graduate Education at UNC General Administration of the
establishment or discontinuation of any center or institute. The Office of Research and Graduate Education
at UNC General Administration will maintain a current listing of all UNC
centers and institutes, which will be posted on the UNC website and categorized
by mission. Each center or institute
must be designated as a research, public
service, or instructional unit in accordance with its primary mission and
core activities, with the understanding that many centers and institutes will
also conduct complementary activities outside of their primary designated
mission. Administrative campuses must
also designate when a center or institute that they administer is a UNC System
Multi-Campus Center or Institute.
B. Exceptions. This regulation does not apply to affiliated
or associated entities as defined in University policy, including but not
limited to the North Carolina Center for International Understanding, the UNC
Center for Public Television, and the UNC Center for School Leadership
Development. Any other exceptions or
modifications to these regulations must be approved by the president.
C. Political activity
and legislative activity. Each center or
institute functions as part of one or more constituent institutions of the University
and is subject to the administrative management, oversight, and control of the
chancellor of the administrative campus (or the chancellor’s designee(s)) as to
all activities undertaken by the center or institute, including with respect to
the use of funds, services, supplies, equipment, information technology
resources, vehicles or other University property.
University employees assigned to centers
and institutes are subject to UNC Policy Manual Section 300.5.1, concerning
Political Activities of Employees, which includes prohibitions against engaging
in political activity while on duty and using the authority of one’s position
or University or center or institute funds, services, supplies, equipment,
information technology resources, vehicles or other resources for such
activities, as described in the policy.
The Internal Revenue Code (IRC) limits the
extent to which charitable organizations that are tax-exempt pursuant to
Section 501(c)(3) of the IRC may engage in activities directed towards influencing
legislation (lobbying), subject to applicable exceptions. The University and its constituent
institutions are tax-exempt bodies pursuant to IRC Section 115, IRC Section
501(c)(3), or both. The University and
its constituent institutions are also covered by the Lobbying Disclosure Act of
1995, as amended by the Honest Leadership and Open Government Act, 2 U.S.C. § 1601,
et seq. Regardless of the basis for the tax-exempt
status of the administrative campus and its reporting requirement under the Lobbying
Disclosure Act, each center or institute remains subject to the direction of
its administrative campus when engaging in legislative (lobbying) activities,
which shall be conducted in compliance with all State and federal laws,
including regulations adopted by the U.S. Department of Treasury and the
Internal Revenue Service. Each center or
institute will be guided by the IRC Section 501(c)(3) limits on lobbying
activities that would apply if it were an independent charitable organization
described in IRC Section 501(c)(3).
The chancellor (or chancellor’s
designee(s)) of each administrative campus is responsible for overseeing and
exercising appropriate control over the activities of each center or institute,
and for ensuring that the director and professional staff of each center or
institute receive comprehensive annual training concerning Internal Revenue
Code restrictions on political and legislative activities by section 501(c)(3)
organizations covered by the Lobbying Disclosure Act.