Centers and Institutes Establishment, Operations and Assessment Guidelines

A: Introduction

This document provides guidelines and operation plans related to the establishment, operation and assessment of Centers, Institutes, and Discovery Themes Initiatives that report to the Enterprise for Research, Innovation and Knowledge (ERIK). ERIK uses the term "Center" for an organizational unit that brings together faculty, students and staff to address focused research topics whose breadth cannot reasonably be confined to investigators in a single college. ERIK uses the term "Institute" for units that provide support across a broad, multi-college research area. Institutes typically support multiple research centers by providing facilities and services that are shared by researchers in multiple colleges, departments, and research centers.

University-level Centers and Institutes are governed by Faculty Rule 3335-3-36 Centers and Institutes and practices consistent with Office of Academic Affairs (OAA) guidelines, along with guidelines and processes outlined in this document.

B: Guiding Principles

The principles below are used to guide the development of proposals for new Centers and Institutes, as well as to evaluate operations and make strategic decisions regarding existing ERIK Centers and Institutes:

• The Center/Institute's area of focus is strategically important to the research and creative expression mission of the University and clearly aligned with the Strategic Plan Framework | Education for Citizenship 2035
• The Center/Institute has the potential to be transformative; it will establish the University as a leader in the area of focus among peer institutions and/or it strengthens the University's reputation.
• The Center/Institute complements and is not in direct competition with existing Centers and Institutes, academic departments or colleges at the University.
• The Center/Institute draws exceptionally talented and intellectually diverse groups of faculty, staff and students at all levels.
• The Center/Institute has a research strategic plan approved by ERIK that includes a model for financial sustainability.
• The Center/Institute exerts positive influence on others beyond the direct participants through an inclusive, supportive and equitable mission.

C: Establishment of Research Centers and Institutes

1. Proposals for Centers/Institutes will be developed in accordance with the guiding principles in section B above and will follow procedures in the Proposal to Establish a University Center section of the OAA Guidelines for the Establishment and Review of Academic Centers.
2. Successful proposals will clearly describe research goals, a proposed funding model, and criteria and benchmarks against which the Center/Institute will be measured. These details will be agreed upon by the Center/Institute Director and ERIK leadership prior to the Center/Institute commencing operations and will be revisited as part of the review process.

D: Operations, Support and Oversight of Centers and Institutes

D.1: Operations of Centers and Institutes

1. Centers/Institutes are expected to develop and update a research strategic plan that includes key performance indicators and metrics, finalized with input from and agreed upon by ERIK leadership.
   1. The strategic plan is expected to be finalized and approved within the first year after being named a Center/Institute and updated at least every 5 years.
   2. An appropriate set of key performance metrics (see items 2 & 3 below) should be adopted, to include baseline values and both short-term and long-term goals.
   3. ERIK will offer guidance and will assist in arranging leadership level stakeholder meetings as needed.
2. The key performance metrics should:
   1. Be quantitative to the maximal extent possible.
   2. Be regularly tracked over time and include both baseline and ambitious, but achievable target values that would be indicative of successful operation.
   3. Capture activities and outcomes to which the Center/Institute contributes materially and minimize/eliminate outcomes not directly related to the mission of the Center/Institute. For example, tracking all publications from all Center/Institute faculty members is not of interest, whereas tracking interdisciplinary joint publications catalyzed by the Center/Institute and between other Centers/Institutes is more relevant.
3. Possible key performance metrics, when relevant to Center/Institute activities, may include, but are not limited to:
   1. Publications (interdisciplinarity, number, quality, number of citations)
   2. Commercialization activities (IP disclosures, patents, licensing)
   3. Research proposals submitted
   4. Research awards and expenditures
   5. Tangible benefits to the broader University community and beyond (e.g. shared instrumentation and research facilities, research services, dissemination of knowledge, etc.)
   6. Appropriate qualitative metrics that are regularly tracked to provide evidence of progress
4. Centers/Institutes are expected to track active membership and define the mutual benefits to members. Membership should be reviewed, at a minimum, on a biennial basis to ensure active participation. To qualify for membership, at least 3 of the 7 the conditions below must be met; those who do not meet this threshold should be classified as "affiliated members."
   1. Contributes to Center/Institute grant proposals as a principal investigator, co-investigator, or contributing faculty.
   2. Contributes to the Center/Institute resource development efforts in business, intellectual property, operational efficiencies, philanthropy, proposal review etc.
   3. Contributes to Center/Institute curriculum development, courses, workshops. Hosts seminars.
   4. Serves as mentor or committee member to scientist/trainee for Center/Institute's area of research.
   5. Serves on Center/Institute advisory committee(s).
   6. Serves as Center/Institute consultant to study design and/or analysis.
   7. Received Center/Institute funding or direct external proposal development support.

   Categories for membership include the following:

   • Faculty
   • Staff
   • Learner (Undergraduate, graduate or professional students, post-graduate fellows, clinical resident or post-resident fellows, or trainees)
   • External (Individuals not primarily affiliated with The Ohio State University, by approval of Center/Institute leadership only. May not receive financial Center/Institute benefits.)

5. Centers/Institutes are expected to prepare annual reports. Annual requirements are outlined in Appendix A.

D.2: Oversight and Support of Centers and Institutes

1. Budget oversight and approval for Centers and Institutes is provided annually by ERIK and guided by the Oversight Committee (see item 2 below).
2. Centers/Institutes are expected to maintain an active internal oversight committee that includes broad representation across its interdisciplinary research scope and follows Faculty Rule 3335-3-36-B-5. The committee should regularly advise the director on all major activities and financial resource commitments and should advise on prioritizing the Center/Institute's key activities and goals. The committee will also include ERIK leadership.
3. In addition to an internal oversight committee, ERIK Centers/Institutes receive guidance and oversight by an Executive Oversight Committee comprised of deans or associate deans of research of key stakeholder colleges and relevant university-level leaders. The Executive Oversight Committee receives reports at least once per year, and provides guidance and feedback on center performance, activities, budget, and goals.
4. Centers/Institutes may also maintain an external advisory committee to guide its activities and strategic priorities.
5. It is expected that Centers/Institutes will engage external partnerships to help support and sustain its activities. Possibilities include but are not limited to donor gifts and associated philanthropy; endowments (in coordination with University Advancement, ERIK and college leadership); extramural grant funds; research partnerships; shared cost of operations (particularly for shared facilities or resources). Advisory committees, peer Center/Institute leaders, and ERIK should all be leveraged to explore models and build relationships.

E: Review of Centers and Institutes

Centers and Institutes will participate in a formal review process coordinated by ERIK leadership. The review process will determine continuation plans for the Center/Institute. The full process is outlined in Appendix B.

Appendix A: ERIK Center and Institute Annual Report Guidelines

Centers, Institutes, and Discovery Themes initiatives that report to the Enterprise for Research, Innovation and Knowledge (ERIK) are to provide an annual report. The reporting period is the University's fiscal year (July 1 -- June 30) with the report provided by July 31. This appendix is subject to change based on annual reporting requirements outlined by ERIK and will be communicated to all applicable parties in advance of any reporting deadlines.

The report should:

• Summarize major activities and accomplishments during the previous year;
• Report on progress of key performance metrics that have been established as part of the strategic plan or MOU documents;
• Outline strategic priorities for the coming year, with emphasis on established/new interdisciplinary relationships with other Centers/Institutes.

The report should include the following elements. A template for submission will be provided.

1. An organizational chart and description of how the Center/Institute is governed and staffed.
2. A detailed description of physical space occupied by the Center/Institute including:
   1. Floorplans delineating assigned lab and office spaces as well as those utilized by but not assigned to the Center/Institute
   2. Shared equipment and/or earnings operation equipment located within the Center/Institute
   3. Plant Operations and Maintenance (POM) and/or external lease payments paid by the Center/Institute
   4. Benefits and challenges of assigned space.
3. A detailed membership list based on the definitions in section D.1.4, including each member's department and college (TIU, if applicable). A template has been provided for submission.
4. A summary of the Center/Institute's major research and creative inquiry activities during the reporting period and relevant impact.
5. Highlights of the top research activities for the reporting period:
   1. Top 3-5 most impactful publications by members
   2. Top 3-5 most impactful awards by members
   3. Total grant dollars generated by C/I activities.
6. As applicable, a list of other major activities of the Center/Institute:
   1. Educational -- courses, certificate or degree programs, experiential learning, etc.
   2. Significant outreach and engagement activities and accomplishments and/or efforts related to the transfer/dissemination of knowledge
   3. Patents (filed and active) and any additional commercialization activity
7. A description of significant collaborations or engagements with other Ohio State entities and with external academic or industry partners.

Appendix B: ERIK Center and Institute Review Process

Centers and Institutes that report to the Enterprise for Research, Innovation and Knowledge (ERIK) will participate in a regular review process. This appendix is subject to annual adjustments, with all relevant parties informed in advance of any reporting deadlines. Formal reviews may be requested by members of the Executive Oversight Committee, as warranted, at the discretion of the committee at any point within the review timeline.

Reviews for Newly Formed Centers and Institutes

Newly established Centers and Institutes will generally have an initial 2-year probationary period to ensure it is able to meet the goals and objectives laid out in its formation. There will be a Year 1 review and a more in-depth Year 2 review.

Year 1 probationary period review for newly established Centers and Institutes

The review is designed to enable both ERIK leadership and the key constituent colleges to assess whether the Center/Institute is reasonably on-track toward realizing its stated mission and to provide preliminary feedback, both positive and constructive, to the Center/Institute Director.

Year 2 probationary period review for newly established Centers and Institutes

1. New Centers/Institutes will be reviewed by ERIK leadership and the Executive Oversight Committee 2 years after initial establishment. The Center/Institute will provide its strategic plan and its recent annual reports. These documents should demonstrate clear progress in line with the guiding principles (section B)
2. The possible outcomes of the formal review process for newly established Centers/Institutes range from continuation, conditional continuation with follow-up reporting required, and termination.
3. Centers/Institutes that successfully complete the formal review following initial establishment will be subsequently reviewed at 5-year intervals following the procedure below for established Centers and Institutes.

Review for Established Centers and Institutes

Established Centers and Institutes -- those beyond the initial probationary period -- will generally undergo a formal review every five years, but may occur earlier as warranted.

Annual review process for established centers and institutes

1. Center/Institute director annual performance reviews should include agreed upon key performance indicators related to the Center/Institute
   1. The Center/Institute will provide the strategic plan and the latest annual report.
   2. The Center/Institute will report metrics and key performance indicators in line with the strategic plan.
   3. ERIK, in partnership with the Executive Oversight Committee, will manage the review. ERIK will seek input from funding partners and key stakeholders as part of the review.
   4. ERIK will independently survey a subset of the Center/Institute engaged faculty to gauge the value that the Center/Institute brings towards advancing their research and other scholarly activities and their perceived level of engagement.
2. The possible outcomes of the annual review process for existing Centers/Institutes range from range from continuation, conditional continuation with follow-up reporting required, and termination.

Year 4 (of 5-year cycle) center review process for established centers and institutes

1. The mid-point evaluations will be based on the Center/Institute annual report(s) and ERIK data on Center/Institute activities, productivity and impact. This review is typically held 1 year prior to the end of the current funding period.
   1. This review meeting will primarily occur between the Center/Institute Director and ERIK leadership in partnership with the Executive Oversight Committee.
   2. The Center/Institute will provide the most recent annual report and strategic plan, with updated performance metrics in line with the strategic plan.
   3. ERIK and the Executive Oversight Committee will seek input from funding partners and key stakeholders as part of the review.
2. The possible outcomes of the annual review process for existing Centers/Institutes range from range from continuation, conditional continuation with follow-up reporting required, and termination.

Timeline of ERIK Center and Institute Reporting Processes

Appendix C: ERIK Center and Institute Discontinuation and Sunsetting Process

When, as part of the review process outlined in Section E of this document, a Center or Institute is recommended for termination, the following process will be used:

ERIK and the Executive Oversight Committee will work with the Center/Institute Director to develop a wind-down of activities and funding. Any funding to the Center/Institute as part of the resourcing MOU may be used for up to one additional year, with use limited to funding personnel and for completing or winding down of current activities. ERIK and the Director will develop transition plans for any staff employees of the Center or Institute. No new activities requiring University funds may be initiated during this period.

ERIK will inform the Council of Academic Affairs (CAA) of the recommendation to discontinue the support of the Center or Institute. CAA and ERIK will recommend to the University Senate to approve the termination recommendation. Whether or not the Senate terminates the Center or Institute, ERIK will discontinue its funding and oversight at the end of the sunset period.

Article ID: 109
Created: August 27, 2025
Last Updated: August 27, 2025

Online URL: https://ohiostateresearch.knowledgebase.co/article/centers-and-institutes-establishment-operations-and-assessment-guidelines-109.html