Establishing an Institute: Proposal Expectations

The proposed Institute must be closely tied to the missions and values of Wake Forest University. An Institute’s purpose should be to develop creative ideas that could assist in addressing a sustained societal challenge. Institutes will foster and support scholarly inquiry, research, and creative activity, inspire new directions in teaching, and engage in public service activities and actions.

An Institute’s mission lies in an area of sustained and decided interest to the University as a whole. It must have a broad mission and complex interdisciplinary focus extending beyond department, school and college boundaries.  An Institute’s mission must also encompass and benefit from a wide set of traditional academic departments and scholarly areas. It should be aligned with at least two of the Wake Forest Strategic Framework themes of developing a lifelong learning community, of fostering a community of inquiry, and of building meaningful, mutual partnerships with local, regional and global communities. It should create opportunities, activities and outcomes that demonstrably contribute to reaching these long-term goals. It must amplify existing academic strengths and interests and must incorporate a wider spectrum of faculty and staff beyond one or two schools as well as beyond the University’s borders.

One purpose of an Institute is to increase the University’s ability to attract new hires. Thus, Institutes may be expected to actively recruit for a hire in a department and/or School. Although not required, the Institute could assist with start-up funding and thus require the new hire to funnel their grants through the Institute.

Finally, an Institute must increase the regional, national, and international reputation of the University in its area of emphasis.

The proposal should describe the Institute’s proposed objectives, being both conceptual and concrete. Applicants should also detail the activities that are planned to ensure the proposed objectives can be achieved. Proposals should specifically articulate and point out activities that are enabled by the Institute that are challenging for traditional departments and academic units. In addition, proposals should describe how the activities will support the Strategic Framework themes or other initiatives the University has prioritized. If there are other units or programs at the University that have a similar purpose or name, the proposal should address how the proposed Institute differs.

Proposed activities should be designed to further the goals of the Institute. Thus, applicants should include a section that addresses what metrics will be used to assess how successfully the proposed activities achieve the goals.

Proposals should describe the expectations for the Institute and its director. Thus, applicants should describe how the director will be selected, the term of the director, and if the appointment is renewable.  As in the case for Centers, Institute directors must in most cases be tenured faculty at Wake Forest (although exceptions can be made for permanent faculty with uniquely suitable leadership and field experience). By far the most common model of Institutes nationally is to have a single director. This is the default expectation for Wake Forest. However, other models can be proposed and considered for review. The Provost will appoint this person initially with a term that matches the time interval for Institute evaluation, typically 5 years. Directors will report to the Provost or her/his designate and staff affiliated with the Institute will report to the Director. If there are currently limited staff, but the vision is for expanded team members, please describe the proposed structure, process, and timeline. As for Centers, staff members can be shared between Institutes and/or with Centers. The proposal should also include a leadership succession plan, including the mechanism for selecting and recommending candidates to the Provost.

Proposals should also provide a description of the governance structure. All Institutes must have an Executive Committee (EC) to help direct and plan Institute activities, to determine membership, and to assist in securing resources, such as external grants, donor gifts, industrial partnerships, etc. to ensure the continued operation and fiscal sustainability of the Institute. The Institute proposal must identify the members of the EC, describe the duties of the members, and provide the meeting schedule. The criteria for selecting EC members should follow those used by the university for Advisory Board members, which is provided in Appendix II, with the exception that donations may not be required of the EC members. EC membership should be described, and could include faculty, staff, and students, community members and external members from other institutions, among other groups. EC members could be paid for serving on the  board, if the payment is distributed equitably and follows an established set of pre-approved guidelines.

Committed faculty are key to an Institute’s success. A successful Institute will have faculty members spanning many disciplines and schools. The Institute would also benefit from a set of faculty diverse in other ways, e.g., academic rank, gender, international and domestic, racial and ethnic minority members, etc. The Institute must have criteria for selection/membership in the Institute for faculty, students, staff, and visitors. Duties and benefits for faculty membership in the Institute should be clearly defined. Faculty can be appointed as members of an Institute, but all tenured and tenure track appointments will continue to be made in departments or schools. Modifications to account for faculty to be appointed, for a limited time, to Institutes from institutions external to Wake Forest University can be addressed in the individual MOU’s or the Operating Agreements that are part of the MOU.  If a case arises after the MOU is signed, then such appointments may be considered with conditions stated in an Addendum to the MOU. 

Institutes must also be required to maintain a strict accounting of funds, both incoming as well as expenses. Appropriate university offices, such as the Provost’s Budget Office, with help from the Office of Research and Sponsored Programs, the University Advancement Office, and Financial Services, will assist in reviewing and confirming the budgets. The annual report should include the justifications for the previous year’s income and expenses as well as plans for next year’s income and planned expenditures. 

Institutes are allowed to have one or more Centers or other Institutes associated with them.

Finally, proposals should provide an initial list of faculty who may participate in the Institute. One may optionally include short letters of support from departments/schools with participating faculty. 

A key goal of an Institute is to raise its visibility regionally, nationally, and internationally. Thus, the proposal should describe how the Institute will achieve this goal. In this regard, the applicants should discuss possibilities with the Director of Communications in the Provost’s Office, as well as with leadership in University Marketing and Communications (UMC).

An Institute must demonstrate its ability to be mostly self-supporting for the lifetime of the Institute. This section should address this requirement by providing information on committed funding sources, expected funding sources, as well as how the Institute will pursue sources of funding to support its operations in the future. This section should include both detailed anticipated operating costs and a plan for funding for the first 5 years. Applicants should provide a budget of major areas of expenditure (e.g., staffing, research support, teaching, equipment/other capital investments, conferences, seminar speaker costs, space leasing costs, etc.) against sources of funding by year for the initial five-year period.

To acknowledge the invaluable contribution that an Institute makes to the mission and reputation of the university, as well as the tremendous effort that directing an institute requires from faculty and staff, the university will provide limited institutional funding for the Institute.  

The overall contribution will be negotiated and reviewed annually, with the understanding that this support will eventually be replaced by institute funds. The intention of this funding is to help launch the institute, and Institutes will be expected to make every effort to raise sustained funding to cover all staff after the first 5 years. Any Indirect Cost Recovery return to the Institute will be directed to cover these staff salaries. Additional staff support in out-years can be requested with justification and demonstration of fundraising effort, and will be re-evaluated during the 5-year review.  

Applicants must include space requirements for the Institute, if any. Applicants should discuss and secure any new space needs well in advance of applying for Institute status, and develop a plan if renovations are required to facilitate activity. Discretionary funds to support research activities will be disbursed in amounts determined by the university calculation for centers based on indirect cost return. External funding sources will be reviewed for compliance with existing university funds acceptance policies. Finally, the Institute must also have mechanisms in place for financial oversight and accountability.

Proposals should provide an initial estimate for the duration of the Institute. Institutes must submit an annual report to the Provost’s Office. This is to ensure the Institute is routinely meeting its objectives and generating funding sources to remain self-supporting.  The Research Advisory Council will review the annual reports and provide feedback to the Vice Provost for Research, Scholarship, and Creative Work and to the Provost assessing how well the Institute is meeting its objectives and generating funding sources to remain self-supporting.

The Provost’s Office reviews renewals every 5 years. This 5-year review will begin in the spring semester in year 4, with a decision date by January 15 in Year 5. The review will require assessments by external reviewers (a minimum of 3) and by the Research Advisory Council of the activities of the Institute and whether the Institute is successfully fulfilling its mission. Part of this review will address whether the visibility of the Institute has increased regionally, nationally, and internationally in the 5 years since the last review. Each review must include a discussion of the sustainability of the Institute for the next 5 years, and if relevant, consider under what conditions it would make sense to close the Institute. Also, if the funding is time-limited, proposals should provide an explicit plan for sustaining the institute after the end of the funding period.

If an Institute is not meeting its objectives, then the university will place the Institute on a one-year probation to address the concerns. If the objectives are still not met by the end of the year following the probation period, then Institute status will be revoked.

Proposals should describe how the proposed Institute differs from others in the US at other non-profit institutions that might seem similar based on their mission or title. Proposals should also provide a summary of how they differ in size, scope, theme, niche areas, etc. Are there synergies with other Institutes nationally that might support strong collaborations? If so, then this should also be addressed in this section.

Institute applications will be reviewed by a minimum of 3 external reviewers who are scholars in the area of the proposed Institute. These external reviewers will be provided with honoraria.

The proposal, along with the external reviews, will be reviewed and evaluated by the Research Advisory Council (RAC). RAC will submit their recommendation report to the Vice Provost for Research, Scholarly Inquiry, and Creative Activity and to the Provost. The VPRSICA will discuss the application, the RAC report, and the external reviews with the Dean’s Council and the Provost. The Provost will then make the final decision to approve or disapprove the application.

Centers that are interested in applying to become Institutes must first demonstrate that they are largely self-supporting before they can apply.

Download Institute Application Format

1) Title Page or Cover Sheet

Proposed name of the Institute; name, address, and contact information of the Executive Committee (EC) members; expected average annual budget for the first 5 years.

2) Purpose/Mission

Clearly articulate the purpose/mission of the Institute. Typically 250-500 words. Briefly review the sustained societal challenge(s) you are focusing on and describe how it aligns with an area of sustained and decided interest to the University as a whole. Also mention which of the Strategic Framework themes the Institute most closely incorporates into its mission. 

3) Introduction and Background 

Describe in more depth the purpose/mission of the Institute. Describe more extensively the sustained societal or humanistic challenge(s) you are focusing on and motivate the choice. This Introduction should give an account of the scale and scope of the challenge and information on efforts by others on this challenge. Also, provide background information that discusses existing interests/efforts on a smaller scale within the university on this challenge. Have interested faculty already been engaging in collaborative work on this challenge? If so describe the interested community members and their efforts. 

Provide more details about how the mission of the Institute aligns with an area of sustained and decided interest to the University as a whole. Elaborate on how the Institute’s mission supports two of the Strategic Framework themes. 

Finally, summarize how establishing the proposed Institute will increase the regional, national, and international reputation of the University in its area of emphasis.

3) Objectives and Activities

Describe the Institute’s proposed objectives, being both conceptual and concrete. Detail the planned activities to achieve the proposed objectives. Make sure you describe how the activities enabled by the Institute are challenging for traditional departments and academic units. Include a discussion of how the activities will support the Strategic Framework themes or other initiatives the University has prioritized. If other University units have a similar purpose or name, address how the proposed Institute differs.

4) Expected Outcomes and Metrics/Assessments

This section must address what the expected outcomes of the Institute’s activities are, and what metrics will be used to assess those expected outcomes. How did the activities achieve the purpose/goals of the Institute? How did the activities benefit faculty, students and staff at the university? How did the activities broaden the visibility and reach of the university regionally, nationally, and internationally? What is the impact of the outcomes of the activities in having an impact on the societal problem? How did the activities serve the Strategic Framework themes?

5) Leadership and Governance Structure

Describe the role/expectations of the Institute’s director. How will the director be selected, what is the term of the director; is the appointment renewable?  

Include a leadership succession plan, including the mechanism for selecting and recommending candidates to the Provost.

Describe the governance structure in detail. Provide the names of the initial members of the Executive Committee. Describe the role/responsibilities of the EC members. Briefly discuss how the member’s qualifications make them suitable for the role. Provide a meeting schedule. Note that the criteria for selecting EC members should follow those used by the university for Advisory Board members, which is provided in Appendix II.

Describe the duties and benefits for faculty membership in the Institute. 

Discuss if any Centers are to be associated with the Institute, and how each of those Centers would be a good fit.

Finally, provide an initial list of faculty who may participate in the Institute. One may optionally include short letters of support from departments/schools with participating faculty. 

6) Communications Plan.

Directly address how the Institute will raise its visibility regionally, nationally, and internationally. Also confirm that the group had conversations on this topic with the Director of Communications in the Provost’s Office, as well as with one or two members of CER (Community and External Relations).

7) Funding Sources and Operating Costs

Since each Institute must be mostly self-supporting for the lifetime of the Institute, provide information on committed funding sources, expected funding sources, as well as how the Institute will pursue sources of funding to support its operations in the future. This section must include both detailed anticipated operating costs and a plan for funding for the first 5 years. Applicants must provide a budget of major areas of expenditure (e.g., staffing, research support, teaching, equipment/other capital investments, conferences, seminar speaker costs, space leasing costs, etc.) against sources of funding by year for the initial five-year period.

Include space requirements for the Institute, if any. Has space been identified for the Institute? If so, will that space require renovations to facilitate activities.  Describe what mechanisms will be in place for financial oversight and accountability.

8) Expected Lifetime

Provide an initial estimate for the duration of the Institute. Discuss under what conditions it would make sense to close the Institute. If the funding is time-limited, provide an explicit plan for the end of the funding period.

9) Differences from Related Institutes in the U.S.

Describe how the proposed Institute differs from others in the US at other non-profit institutions that might seem similar based on their mission or title. Summarize how they differ in size, scope, theme, niche areas, etc. Are there synergies with other Institutes nationally that might support strong collaborations? If so, then address this question in this section.

10) Curriculum Vitae
A two-page CV for each of the EC faculty members must be provided.