Guidelines

  1. Summary
  2. Definitions and Purpose
  3. Organizational Structure
  4. Functions of URUs
  5. Designation of URUs
  6. Recognition of URUs
  7. Procedure to Establish a URU
  8. Annual Reporting for Institutes and Research Centers
  9. Annual Reporting for Academic Research Facilities
  10. Bi-annual Reporting for Core Facilities
  11. Procedures for Periodic Review of Institutes and Research Centers
  12. Procedures for Periodic Review of Academic Research Facilities and Core Research Facilities
  13. Termination of a URU
  1. Summary

This document outlines the process for establishing, operating, and evaluating University Research Units (URUs) at The University of Texas at Dallas (UTD). These guidelines in their entirety will become effective December 1, 2023, and will apply to new URUs initiated after that date. For existing URUs, sections VIII-XIII largely pertaining to reviews of URU performance will be applied effective December 1, 2023.

  1. Definitions and Purpose

UTD is dedicated to the enhancement and support of interdisciplinary and other research activities through the establishment of URUs. The purpose of a URU is to enhance research activities of the University and should complement the academic goals of departments and programs. URUs are typically referred to as institutes, research centers, academic research facilities, or core research facilities.

  1. Organizational Structure

University Research Units typically report to the Vice President for Academic Affairs and Provost (“Provost”), either directly or through the Dean of a school. If the disciplines represented in the URU are contained within a single school, the URU ordinarily reports through the Dean of that school to the Provost. If the URU is multidisciplinary or interdisciplinary or supports research in a wide variety of areas, it may report to two or more deans, where one Dean is designated as primary, then to the Provost. The Director and, if applicable, Associate Director of URUs are appointed by the Provost after consultation with the Dean(s), or in the case where all the faculty are from the same school, by the Dean of the affiliated school after consultation with the Provost.

Under some conditions, including but not limited to newly seeded Centers or Institutes, the URU may report to the Vice President for Research and Innovation (VPRI). Under these conditions, the Director and, if applicable, Associate Director of URUs are appointed by the VPRI in consultation with the (primary) Dean of an affiliated school. Following the termination of seed support, URUs reporting to the VPRI should transition to reporting to the Provost, either directly or through the Dean of a school.

An advisory committee/council can be invaluable for the URU to set unit goals and provide critical evaluation of the URU’s effectiveness on an annual basis. For those URUs reporting to the Provost either directly or through the Dean of a school, an advisory committee/council must be established with composition subject to approval. In some instances, the URU may benefit from more than one advisory committee/council where different advisory roles (e.g., scientific direction, community engagement, etc.) would be provided.

  1. Functions of URUs

URUs enable a range of research related activity including, but not limited to:

  1. facilitation of research and associated collaborations,
  2. providing shared access to major research infrastructure,
  3. disseminating research results through publications and proceedings, as well as presentations at conferences and workshops,
  4. supporting graduate and undergraduate education by providing students with research training opportunities and access to facilities,
  5. pursuit of extramural research funds to support the URU, and
  6. conducting university and public service programs related to the URU’s research expertise.
  1. Designation of URUs

URUs normally carry a designation as an institute, research center or research facility. Historic practice at UTD has not made a clear distinction between these designations. Some URUs may be supported from appropriated funds; others may receive no direct support from appropriated funds, depending entirely on user fees or sponsorship by outside agencies and foundations. Regardless of the source of support, there should be a clear need for some number of faculty members to work together in a single unit to conduct an effective research program. URUs created after the implementation of these guidelines will carry one of the four designations listed and defined below:

  1. Institute: A unit that coordinates and promotes faculty and student research across departments/programs, schools, or campus boundaries. The unit supports and enhances cross-cutting research where participation from faculty from two or more academic units is expected. The unit may also engage in educational or public service activities stemming from its research program, within the limits of its stated objectives.
  2. Research Center: A unit that coordinates and promotes faculty and student research in a specific research field that primarily falls within the purview of a single School.
  3. Academic Research Facility: A unit that offers local access to shared instruments or technological resource(s) primarily in the service of a single department or school for research and/or educational purposes.
  4. Core Research Facility: A unit initiated and managed centrally, typically by the Office of Research and Innovation, that provides university-wide access to research equipment/capability at scale. Financial support for core research facilities would be supplemented by user access fees.
  1. Recognition of URUs

Once approved, and within 6 months, the URU must establish and maintain a website consistent with university policies and services as described: https://www.utdallas.edu/communications/web-services/. At a minimum, the website must list the mission of the URU, the participating faculty, staff, and/or students, contact information for the Director and, if applicable, the Associate Director, the advisory committee/council membership, and have links to the university and affiliated school. Furthermore, the website for an institute or research center must be listed on https://www.utdallas.edu/research/facilities-centers/. Academic research facilities should be listed on the affiliated department and/or school website. Core research facilities should be described on the Office of Research and Innovation website.

  1. Procedure to Establish a URU

Faculty seeking to establish a new URU should submit a request to either the Provost or VPRI who will review and approve requests in consultation with one another. The request should carry the endorsement of the relevant Dean(s) and Department/Program Head(s). Proposals should also include:

  1. purpose and benefit of URU to UTD,
  2. proposed organizational chart listing all faculty members and other participants,
  3. description of research and other activity plans,
  4. any space requirements,
  5. business plan addressing:
    1. amount and potential source of initial financial support,
    2. plan to sustain URU operations through external support,
  6. importance and role of URU to undergraduate and/or graduate education, and
  7. any external service functions of proposed URU.
  1. Annual Reporting for Institutes and Research Centers

The URU director will provide an annual written report, which may be complemented by a presentation, on or around the anniversary of the formation of the URU. The report, which will be provided to the Provost, VPRI, and affiliated school leadership, will summarize the URU’s research outcomes (manuscripts submitted/published, conference presentations, etc.), use of financial support, progress toward securing external funding, and external funding received.

  1. Annual Reporting for Academic Research Facilities

The URU Director will offer either a written report or presentation on or around the annual anniversary of the formation of the URU. The report or presentation, which will be provided tothe affiliated Department/Program Head and Dean, will summarize the use of the research resource by participating faculty and students as well as any revenue and expenses for the year.

  1. Bi-annual Reporting for Core Facilities

The URU Director will prepare a presentation twice a year to the affiliated faculty advisory committee/council and VPRI. The presentation will summarize the use of core facility tools or resources by faculty and students, revenue, and expenses to date for the year, user fee projections for the upcoming year, and equipment priorities for maintaining and expanding the research capabilities for the university community.

  1. Procedures for Periodic Review of Institutes and Research Centers

Periodic review of URUs is necessary to ensure alignment with institutional goals and priorities and the institution’s need to sustain a capacity to innovate. Institutes and research centers shall be reviewed every six (6) years as described below. ORI will maintain a review schedule for URUs and will notify URU leadership when a periodic review is due.

The VPRI, with the concurrence of the Provost, shall appoint an ad hoc review committee to include, but not be limited to the Dean(s) of the school(s) associated with the URU, members of the Research Advisory Committee, and a representative of the Office of the Provost. The ad hoc review committee must include at least one external member with subject matter expertise from a Tier 1 research institution. The URU Director will provide a list of no less than five potential external experts for consideration by the VPRI and the Provost. The choice of an external member is not bound to those identified on the list. The review will consider:

  1. the original and current goals and objectives,
  2. recent accomplishments,
  3. future plans,
  4. adequacy of space, budget allocations (if applicable), and other funding, and
  5. prospects to contribute to the mission of UTD.

This report will recommend whether:

  • the URU should continue operating without significant changes for an additional 6-year period,
  • the URU should continue operating with changes to the URU mission and/or operations. The ad hoc committee may recommend an interim review of the implementation of these changes prior to the usual 6-year review cycle, or
  • the university should dissolve the URU prior to the next periodic review cycle.

The Provost, in consultation with the VPRI, will review the ad hoc committee report and will acton its recommendations.

  1. Procedures for Periodic Review of Academic Research Facilities and Core Research Facilities

The review cycle and process for departmental facilities will be handled by the affiliated Department/Program Head or Dean. The review cycle and process for core facilities will be handled by the VPRI in consultation with the affiliated faculty advisory committee/council.

  1. Termination of a URU

A URU may be dissolved:

  • by its Director with the consent of affiliated faculty and Dean(s) and approval by the Provost and VPRI,
  • through the periodic review process, or
  • at any time through the mutual agreement and direction of the Provost and the VPRI.