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ORU Guidelines

Definition and Purpose

An Organized Research Unit (ORU) is an academic unit established by the University to provide a supportive infrastructure for interdisciplinary research complementary to the academic goals of departments of instruction and research. ORUs are established on single campuses, whereas Multicampus Research Units (MRUs) exist on two or more campuses. The functions of an ORU are to facilitate research and research collaborations; disseminate research results through research conferences, meetings and other activities; strengthen graduate and undergraduate education by providing students with training opportunities and access to facilities; seek extramural research funds; and carry out university and public service programs related to the ORU's research expertise. An ORU must be complementary to the academic goals of the University, but does not have jurisdiction over courses or curricula and cannot offer formal courses or support any faculty positions.

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Establishment and Administration Procedures

Appointment of Director

The Director of an ORU, who must be a tenured faculty member, is appointed by the Vice Chancellor for Research after consultation with appropriate committees of the Academic Senate. Directors are generally appointed for a five-year term with the possibility of reappointment, and report to the Vice Chancellor for Research.

The Director is responsible for the administrative functions of the ORU and, with the assistance of an Advisory Committee, for guidance of the unit's activities in accordance with its established goals.

Advisory Committee

The Vice Chancellor for Research appoints an Advisory Committee for each ORU. The Director of the ORU will have the opportunity to recommend potential members for the Advisory Committee. Candidates should be recognized leaders in the research field of the ORU and should come from both inside and outside the University of California system. ORU faculty associates cannot serve on the Advisory Committee.

The Advisory Committee meets regularly and participates actively in setting the unit's goals and in critically evaluating its effectiveness on a continuing basis, including a review of the unit's Annual Report.

Administrative Operations

The ORU administrative structure is usually organized and staffed independently of any academic school or department. The ORU will be responsible for all personnel, payroll, accounting, purchasing, facilities and contract and grant activity involving program projects and training grants. Where expedient and to avoid duplication of administrative services, the ORU may also negotiate coverage of services such as personnel administration, accounting and purchasing with an allied school or department.

Prior to campus approval of an ORU, an organizational plan must be developed and any assurances related to administrative services, space and facilities must be finalized between the ORU and related academic units.

The ORU reports to the Vice Chancellor for Research and must follow administrative review and approval processes set forth by the Vice Chancellor and/or campus policy.

ORUs are expected to follow all University of California policies related to academic responsibilities, including teaching workload within the faculty's respective home academic units, faculty commitment of effort and/or compensation, honoraria, travel and sabbatical leave.

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Application and Review Procedures

An ORU may be proposed by any group of faculty members. Review of the ORU proposal will be carried out according to the following procedures:

Proposal Requirements

A proposal, not to exceed 20 pages of narrative (excluding the curricula vitae), should be submitted to the Vice Chancellor for Research. The proposal should accomplish the following:

  1. Describe, in detail, research activities to be undertaken. Special attention should be paid to the creative value and significance of the proposed program. The proposal should discuss the original knowledge that the proposed ORU may be anticipated to add to the field.
  2. Explain why existing campus structures (Departments, Schools, Programs, etc.) cannot accommodate the outlined goals and objectives.
  3. Discuss specific objectives of the proposed ORU with a description of how objectives will be monitored and performance will be measured.
  4. Spell out a timeline for the stages of development in the research program over the five years for which funding is requested.
  5. Provide projections of numbers of faculty members and students who are expected to participate in the ORU over the five-year period, and an attachment naming faculty members who have agreed in writing to participate in the proposed ORU.
  6. State how the research of each of the individual researchers would be integrated with the proposed ORU to develop a synergy greater than their individual efforts. The nature of the participation of each of the proposers should also be included in the statement.
  7. Describe how other programs in the UC system are similar and/or complementary to the proposed program, and explain why the already existing structures do not accommodate the proposed ORU’s goals and objectives.
  8. Provide curricula vitae of the proposers.
  9. Include resource requirement projections with a five-year budget and requirements for space, capital improvements, and library resources. A written confirmation of assigned space from the academic unit in which the program will be physically located is required.
  10. Outline a detailed budget for the first year of the ORU’s operation and budget projections for the next four years, anticipated sources of funding (intramural and extramural), and justification for itemized expenditures within the objectives of the program. Appropriate use of ORU funding includes direct research expenses, such as support for research assistants and postdoctoral fellows, materials and supplies, equipment and facilities, research workshops, and general assistance. Preference in resource decisions will be given to activities that facilitate collaborative interactions, such as symposia.
  11. List names of potential outside reviewers who have no conflict of interest with the proposed ORU or the proposers. The list should include at least ten specialists of national and international prominence within and outside the UC system, with a brief description of their areas of specialization, institutional affiliations, and contact information.

An ORU may not be established if research objectives are essentially the same as those of an existing department or research unit. Prior status as a Campus Center is highly encouraged.

Proposal Review

The minimum timeline for completion of the review process is one to two years from inception, and includes a year for Senate reviews at the campus level.

  1. The review will involve the appropriate Deans, Directors and Department Chairs who will be asked to comment on issues of quality and significance, organization design and support, budget and space.
  2. The Vice Chancellor for Research will submit the completed ORU proposal package with the Deans' comments to the ad hoc Committee of the Council on Research, Computing and Libraries (CORCL) for review and recommendations.
  3. The ad hoc Committee, following its own procedures for review, may request additional information from the proposers and will require that external letters be solicited by the Office of Research.
  4. External reviewers will be drawn from the ORU’s list of proposed names and by contacting other appropriate reviewers. All reviews will be treated as confidential, subject to the policies of the University of California.
  5. After completion of the review, the ad hoc Committee will seek recommendations from CORCL.
  6. The advice of the Council on Research, Computing and Libraries (CORCL) concerning the establishment of an ORU based on the favorable review of a proposal will be provided to the Vice Chancellor for Research.
  7. The proposal will next be conveyed to the Irvine Division Chair of the Academic Senate. At the Chair's discretion, the proposal will be forwarded for commentary and recommendations to the appropriate campus Senate councils/committees, which historically have been the Graduate Council, Council on Educational Policy, and Planning and Budget.
  8. After completion of the campus review, the proposal is forwarded to the Vice Chancellor for Research for final approval and designation as an ORU.
  9. If the Chancellor approves the ORU’s establishment, the Chancellor or the Vice Chancellor for Research then notifies the Office of the President.
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Budget and Financial Considerations

Activities of ORUs may be funded by University budget allocations, from extramural funds, or both. The University normally provides core administrative support in the form of a Director's stipend, allocations for supplies and expenses, equipment and facilities, and general assistance. No funding is available for teaching buy-outs or summer salary.

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Annual Reports and Program Review

At the end of each academic year, ORUs shall submit to the Vice Chancellor for Research an annual report that includes:

  1. Numbers of graduate and postdoctoral students directly contributing to the unit who: a) are on the unit's payroll; b) participate through assistantships, fellowships or traineeships; or c) are otherwise involved in the unit's work.
  2. Number of faculty members actively engaged in the ORU’s research or its administration.
  3. Extent of participation by students and faculty from other campuses.
  4. Numbers of FTE of professional, technical, administrative and clerical personnel employed.
  5. A list of publications resulting from the collaborative endeavors of the ORU.
  6. Sources and amounts (on an annual basis) of support funds, including income from the sale of publications and from other services.
  7. Expenditures, distinguishing use of funds for administrative support, matching funds, direct research and other specific uses. A copy of the June 30th Final Ledger will satisfy this requirement; summary tables are also acceptable.
  8. Description of the space currently occupied.
  9. Any other information deemed relevant to the evaluation of a unit's effectiveness, including updated five-year plans.

Program Review

Each ORU shall be reviewed at intervals of five years or less by the Academic Senate Council on Research, Computing, and Libraries (CORCL). The review shall assess the Unit's activities with regard to its stated purpose, present functioning, future plans and continuing development to meet the needs of the field.

Reports concerning ORUs are reviewed by CORCL, and a decision concerning continuation of the unit is made by the Chancellor upon recommendation by the Vice Chancellor for Research and consideration of the information provided.

In addition to the program review by CORCL, each ORU will periodically undergo an administrative review. This review of the management and operations of the ORU may take place before a leadership transition, such as when a new Director is appointed, or in conjunction with the five- or fifteen-year ORU program review.

Sunset Review

All ORU units that have been in existence for 15 years or more are subject to a Sunset Review. At that time, they are required to justify their continuation in terms of scholarly or scientific merit and campus priorities.

An ORU undergoing a Sunset Review needs to develop a formal proposal for continued ORU status, support funds, and space within the context of current campus and University needs and resources. In addition, the proposal should describe:

Sunset Review reports are reviewed by the Academic Senate Council on Research, Computing and Libraries (CORCL). A decision concerning continuation of the unit is made by the Chancellor upon recommendation by the Vice Chancellor for Research.

Those units recommended for continuation upon the completion of a Sunset Review are subject to subsequent Sunset reviews at five-year intervals.

The establishment or renewal date for all ORUs will be January 1 or July 1.

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Proposal Submission

Proposals should be directed to:

Susan V. Bryant
Vice Chancellor for Research
Office of Research
160 Aldrich Hall
University of California
Irvine, CA 92697-3175

For inquiries, please call (949) 824-5796.

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Questions About Organized Research Units?

Please contact:

James Earthman
Associate Vice Chancellor for Research
(949) 824-5796
earthman@uci.edu

Marie Richman
Director, Administration and Research Policy
(949) 824-2898
richman@uci.edu