California State University, Long
Beach
Policy Statement
98-10
October 26, 1998
POLICY ON UNITS ORGANIZED TO PROMOTE RESEARCH, SERVICE,
AND INSTRUCTION
(This policy supersedes PS 92-03 and PS 97-06.)
This policy was recommended by the Academic Senate
on October 8, 1998 and approved by the President on October 15,
1998.
A. GOALS
Special units organized to conduct research, perform community
service, or provide instruction and special training make a significant
contribution to the mission of the University. The Policy on Units
Organized to Promote Research, Service, and Instruction has been
established in order to facilitate the formation of such units,
and to provide for the evaluation and continuation of these units.
B. INTRODUCTION
Special units may be established by the faculty and staff of the
University, appropriate to its mission, for the purpose of the conduct
of research, the performance of community service, and the promotion
of instruction.
A special unit initiated by an external agency for any of the purposes
detailed under Section C below, and using any resources or the name
of the University, is also established and governed by this policy
statement.
A given research, instruction or service unit may be established
to carry out activities with more than one focus (e.g. research
and training, instruction and community service).
C. TYPES OF UNITS
1. Research Units
A research unit may be established when faculty members, usually
from more than one department, engage in focused study in a specific
area or genre of problems of an interdisciplinary nature.
2. Community-service Units
A community-service unit may be established when faculty and staff
provide service in a designated specialty for members of the general
public.
3. Instructional Units
An instructional unit may be established when highly focused curricula
and training-related matters are addressed to audiences not usually
served by or eligible for matriculation in regular academic programs.
4. Multi-function Units
A unit may be established which is a combination of research and
instructional activities; thus the designation may differ from the
above units.
D. ESTABLISHMENT OF A UNIT
Since establishment of a unit reflects one of many prevailing decisions
on the use of University resources, and external resources in the
name of the University, establishment requires that a proposal shall
be subject to the following review.
Note that units in existence at the inception of this policy are
not required to go through the establishment procedure; however,
they are subject to the other provisions of the document.
1. Establishment Proposal
The written proposal requesting establishment of a unit shall include
the following items and substantiating documentation:
a. Purpose of the unit.
b. Need for the unit.
c. Nature and scope of activities to be performed.
d. Personnel resources: Provide the source, status, and qualifications
for:
1. Unit Director:
2. Unit Members:
3. Advisory Board:
e. Fiscal resources:
1. Source
2. Duration
3. Budget: annual with three-year projection
f. Other resources:
1. Space requirements
2. Equipment requirements
g. Long Range Commitments: (if any)
h. Review Plan:
1. Indicators of success
i. Disclosures:
j. Period of Authorization:
A unit may be authorized for an initial period of from one to three
years.
2. Establishment Review
Establishment of a unit shall be effected through the following
review:
a. Presentation of a satisfactory proposal to the School or College
Dean or the appropriate University Administrator.
b. Approval by the School or College Dean or the appropriate University
Administrator, in consultation with the School/College Council.
c. Approval by the Provost, in consultation with the Executive
Committee of the Academic Senate and with the Council of Deans.
The Provost shall issue a letter establishing the unit.
E. UNIT ORGANIZATION AND OPERATIONS
1. Administration of the Unit
a. Director
A unit will operate or function under the responsibility of a Director
as approved in the Establishment Proposal.
The Unit Director will report to the Dean of the School/College
or the appropriate University Administrator designated in the document
establishing the unit or as subsequently changed by the Provost.
b. Advisory Board
Each unit shall establish an advisory board as part of the Establishment
Proposal. The Director shall convene this board at least once a
year to review the annual report of the unit. Minutes of these meetings
shall be attached to the Annual Report.
c. Unit Membership
Membership in a unit shall be defined in the Establishment Proposal
and shall conform to specifications required by the funding agencies.
Units shall not discriminate in membership or participation on the
basis of race, sex, religion, national origin, age, sexual preference,
or disability. Instructional faculty involved in the activities
of a unit shall consult with their Department Chairs prior to scheduling
any activities in a unit which carry workload credit.
2. Accounting
Funds from all grants and contracts sponsoring research, development,
demonstration projects, community service, instruction, training,
etc., from any external source shall be housed in the CSULB Foundation
or in the University Business Office. No private accounts of funds
used in the operations of a unit will be permitted. Any exception
to this provision for a unit established by an external agency must
be approved by the Vice President for Administration and Finance.
The CSULB Foundation, and the University Business Office if appropriate,
shall provide monthly and annual reports on utilization of unit
funds. These reports shall provide required financial documentation
for annual and continuation reports.
3. University Policies
Units are required to comply with all applicable University Policies
in carrying out the functions of the unit. In addition, units shall
also comply with the policies of the granting agency. Questions
concerning policy should be directed to the Office of University
Research.
F. NAME CHANGE OF EXISTING UNIT
1. If a unit's basic policies are unaltered, and if there is no
objection at any level of review (faculty, faculty council, Academic
Senate Executive Committee or Council of Deans), a name change can
be initiated by a memorandum from the Unit Director to the relevant
administrator/dean, detailing consultation with faculty/faculty
council(s), etc., and including copies of all relevant documentation.
The administrator/dean would then forward the Director's memorandum
and its support documentation to the Provost with his/her endorsement.
The Provost would forward all correspondence to the Council of Deans
and the Academic Senate Chair attesting to the minor nature of the
name change and the full consultation of the affected faculty and
sponsoring college. If there is no objection, the name change would
then be in effect.
2. If objections are raised at any level of review (faculty, faculty
council, Academic Senate Executive Committee or Council of Deans),
the provisions of paragraph D, Establishment of Unit, above shall
apply.
G. UNIT REPORTING AND CONTINUATION
1. Unit Annual Review and Report
A unit Director will report the activities and financial condition
of the unit annually by the last day of September through the Dean
and the Advisory Board, to the Provost using the format provided
in the "Unit Activities Report". A copy of the Annual Report will
be sent to the Academic Senate Office, the University Archives,
and the Office of University Research.
2. Continuation Review and Report
a. Review Period
A unit shall initially be authorized for a period of operation
of from one to three years as approved in the Establishment Proposal.
Any unit seeking continuation shall submit a Request for continuance
at the beginning of the last year of the approved period of operations
containing: all prior Annual Reports, activities of the unit in
the present academic year, the reasons for continuation, and the
number of years requested. This Request shall be submitted through
the college dean to the Unit Continuation Review Committee. Upon
review of the Request for Continuation, the Dean of the college
shall recommend continuation or discontinuation to the Provost who,
on the advice of the Review Committee, will provide written authorization
for continuation or for discontinuation.
If a unit is granted continuation, the unit will be authorized
for a period of operation of up to five years before another continuation
review is required. However, a unit may be subject to discontinuation
at any time on the request of the Provost.
b. Review Calendar
The Office of University Research shall maintain the unit review
calendar and will notify units in September that are subject to
review the following academic year.
c. Centers and Institutes (Unit) Review Committee
A Centers and Institutes (Unit) Review Committee shall be established
each year to review all units up for reauthorization in that year.
This committee shall consist of:
(1) Faculty Member selected by the Executive Committee of the Academic
Senate.
(1) Academic Dean selected by the Provost.
(1) Unit Director selected by the Unit Directors. A Unit Director
is not eligible to serve in the year
that her/his unit is being reviewed.
This committee shall review the reports submitted by units during
that year, meet with unit Directors, and report the results of its
reviews to the Provost.
d. Review Criteria
The Review Committee shall consider the following criteria in preparing
its final report and recommendations.
1. Financial Independence Unit does not exceed approved General
Fund Support.
2. Progress Towards Goals
Progress has been made on all goals and multiple objectives have
been achieved as evidenced in the evaluation criteria of the establishment
proposal.
3. Support of University Mission
Evidence shall be provided that demonstrates that the unit contributes
to the mission of the University and contributes to the quality
of other educational units on campus.
e. Timelines
Unit Activities Annual Reports shall be submitted to the Dean(s)
by the last day of September each year.
Requests for Continuation shall be submitted to the Dean by the
last day of September in the year of the third anniversary of operations
of the unit. The College Dean shall forward the Continuation Report
to the Unit Continuation Review Committee for review. The Review
Committee shall complete all reviews by April and forward their
recommendations to the Provost via the Dean.
REPORT FORMAT
UNIT ACTIVITIES REPORT
Type of Report:
TYPE: PERIOD:
Annual:
Continuation:
Program Name:
Year Established:
Statement of Mission and Goals:
I. UNIT PERFORMANCE AND ACCOMPLISHMENTS
A. Performance
1) Goals and Objectives
2) Factors Affecting Unit Performance:
2.1) Campus Agencies and Environment
2.2) Outside Agencies and Environment
B. Accomplishments
1) Publications
2) Research
3) Contributions to the University
4) Other indicators of success
II. STUDENT AND FACULTY INVOLVEMENT
A. Faculty
B. Students
III. UNIT ACCOUNTING
(Category) (Source of Data)
A. Grants and Contracts Initiated (Office of Research)
1. Number
2. Dollar Amount
B. Accounts Closed (Foundation)
1. Number
2. Dollar Amount
C. Other External Funds (Foundation)
1. Dollars Received
2. Dollars Expended
D. Assigned Time Utilized (Dean's Office)
1. Total Units Utilized
E. Expenditures (Dean's Office)
1. Total Dollars Expended
F. Reimbursed Time (Dean's Office)
1. Total Dollars Expended
2. Total Number of Units
G. Returned Indirect Cost (Dean's Office)
1. Total Dollars
H. Space Utilized (Dean and Office of Research)
1. Square Feet Utilized
IV. REPORTS AND RECOMMENDATIONS OF REVIEW COMMITTEES Advisory Board:
Continuation Review Board:
EFFECTIVE: Spring 1999
APPROVAL ROUTING SHEET
UNITS ORGANIZED TO PROMOTE RESEARCH, SERVICE, AND INSTRUCTION
TYPE OF PROPOSAL DATE ______________________
1. Research Unit _____ Community Service Unit _____ MultiFunction
Unit_____
2. Preliminary _______ Final _____
If preliminary, state reasons:
Funding Approved: _______________________
Anticipated date for final submission: ________
Name of Unit Proposed ______________________________
Location of Unit Proposed ___________________
Submitted By:
Department ___________________ College ______________
Contact Person _____________________
Recommended By:
Faculty Council: Yes _____ No _____
Date of Recommendation __________________________
Faculty Council Chair Signature ___________________________
Does the proposed Unit require additional support? Can needs be
met within your existing College budget?
YES NO
YES NO
Space
Personnel
Equipment
Budget
Other
College Dean: Yes _____ No_____
Date of Recommendation __________________________
Dean's Signature ______________________________
Executive Committee: Yes _____ No _____
Date of Recommendation_____________
Academic Senate Chair Signature ________________
Council of Deans: Yes _____ No_____
Date of Recommendation ____________________________
Provost's Signature _____________________________
Approved By:
Provost: Yes _____ No _____
Date of Approval __________________________________
Provost's Signature _____________________________
|