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Policy on Center and Institute Management

Dated: April 1, 2024
Supersedes: N/A
Last Review: April 1, 2024

I. Purpose

New York Medical College (“NYMC” or the “College”) recognizes the importance of focused, interdisciplinary and coordinated efforts directed towards the cure and treatment of disease and the discovery and development of new and innovative methods, devices and systems for the alleviation of illness, injury and their effects and for meeting the costs thereof.  The purpose of this policy is to provide for, where appropriate, the creation and operation of Institutes and Centers, as hereinafter defined, of NYMC whereby research, patient care, teaching and other health-related services centering on biological and life processes or particular disease entities and/or their detection, prevalence, causes, symptoms, cures and effects, and on systems of health care may be carried out in focused, interdisciplinary and coordinated ways among and within the schools and the various basic and clinical science departments of NYMC.

II. Policy

It is the policy of NYMC to establish and maintain centers and institutes at the College that are aligned with the institution’s mission and vision.  The terms “center” and “institute” should be considered reserved for the meaning expressed in this policy and should not be used for research related labs, groups, organizations, activities, or programs outside of this context.  The list of active research centers and institutes shall be maintained by the Office of the Vice President for Research (“OVPR”).

III. Scope

This policy applies to all Centers and Institutes of NYMC.

IV. Definitions

Center – a College-related site, program or initiative, using the title “Center of New York Medical College” or words of similar identity, association or effect, devoted primarily to focused, coordinated or interdisciplinary clinical care or consulting services with or without incidental research activities, including for: (1) the detection, prevalence, clinical prevention, diagnosis or treatment of illness, injury or disease or the effects thereof; or (2) the provision of advisory, consulting, information, or analytical services with respect to principles, programs or systems for the delivery of health care and health-related services, or related to the utilization, quality or recovery of the costs thereof.

Institute – a College-related site, program or initiative, using the title “Institute of New York Medical College” or words of similar identity, association or effect, devoted primarily to research activities with or without incidentally related clinical or consulting services including: (1) basic or clinical research into illness, injury or disease, and the detection, prevalence, causes, prevention, diagnosis, treatment and/or effects thereof; or (2) research, scholarship and publications with respect to principles, programs or systems for the delivery of health care and health-related services, or related to the utilization, quality or recovery of the costs thereof.

V. Procedures

A. Characteristics.  All NYMC Centers and Institutes shall possess the following characteristics unless otherwise prescribed by the Board of Trustees:

      1. They shall require approval by the College's Board of Trustees upon:
        a. the recommendation of the Chancellor/CEO and Vice President of Research;
        b. presentation of a description of the proposed purposes, objectives and activities of the Institute or Center;
        c. presentation of a financial analysis and projections acceptable to the Chief Financial Officer reflecting adequate initial and on-going revenues and the expenses of the Institute or Center, sources of funding and space and capital requirements; and
        d. in the case of an Institute or Center that will provide patient preventive, diagnostic or treatment services or involve patients or volunteers as subjects of clinical research, evidence of a commitment or arrangements for professional liability insurance naming the College as an insured in a form and with limits acceptable to the Office of General Counsel.
    2. They shall be integral components of the NYMC corporate organization and shall be under the general supervision and direction of the respective Dean(s), Chancellor/CEO or President.
    3. They shall cause teaching and education to be integral and prominent elements of their activities.
    4. Each Institute or Center may have, from time to time, an external advisory board appointed by the Chancellor/CEO; and an internal advisory board appointed by the Dean of the school in which the Institute or Center will reside consisting of members of College faculty and/or College staff.
    5. Each director as administrative head of an Institute or Center shall, subject to review by the Chancellor/CEO and Vice President of Research, be appointed by, and serve at the pleasure of the Dean of the school in which the Institute or Center resides and in which the director has his primary academic appointment; and will otherwise report and be responsible for the administrative matters to the Chairman of the department of their primary academic department or, as the appropriate Dean may prescribe, to the Dean or a designee of the Dean. Each Institute and Center shall reside within an existing department or program of the College and the Director of each Institute and Center shall report and be responsible to the Chairman or head of such department or program. Administrative assignment of other faculty to the staff of an Institute or Center shall be made by the respective Dean(s) upon (a) written recommendation by the Director, the Department Chairman to whom the Director is responsible for administration of the Institute or Center, and the Chairman of the department in which the faculty member to be assigned holds his primary faculty appointment; and (b) a satisfactory written understanding among the Director and the foregoing Chairmen as to the funding, if any, for the faculty member and its sources.
    6. Each person from the medical school serving within an Institute or Center must possess a primary faculty appointment from the College department most appropriate to the faculty member’s qualifications and activities and such academic appointment shall be subject to oversight by the College Chairman of such department. Each person serving within an Institute or Center with a primary faculty appointment from a Graduate School shall be subject to the oversight of the Dean of such school as to such academic appointment.
    7. All administrative and academic policies and procedures of the College, including with respect to external commitments and contracts, shall apply to each Institute and Center through, and under the direction of, the College school or department of the Director’s primary academic appointment unless such direction is given to another individual by the respective Dean.
    8. All operating policies, guidelines, by-laws and activities of any Institute or Center shall be consistent with College policy and principles.
    9. The financial activity of each Institute and Center shall be administered through the College’s official system of deposits, accounts, records and controls under the general direction and supervision of the Chief Financial Officer and no other deposits or accounts shall be maintained by any Institute, Center or affiliated organization or person. Each Institute and Center shall be designated a separate account by the Controller’s Office and all financial activities shall be conducted through such account.  Each Institute and Center may be funded from various College account sources, including, but not limited to, grants, contracts and gifts.
    10. The Director of each Institute and Center annually shall present for approval in a timely manner to the College official to whom he reports for administrative matters a proposed operating budget for the Institute or Center in a format and with detail satisfactory to such official. The annual budget of each Institute and Center shall be presented to reflect discretely the operations of the Institute or Center and, as appropriate, shall also be integrated into the annual budget of the College’s academic department or school with administrative responsibility for the Institute or Center.
    11. All fundraising activities of any Institute or Center, or for the benefit of any Institute or Center or involving the use of its name, shall require advance coordination and scheduling through the College’s Development Office.

B. Establishment of Centers and Institutes. Proposals for all centers and institutes should originate with the faculty representing the disciplines concerned and should be submitted in writing through links which will be posted on the landing page for the Research Centers and Institutes for either the proposal of a new center or institute, and for the updating of active centers and institutes’ information. Related questions or concerns regarding the submission should be sent to OVPR_Research@nymc.edu.

C. Each proposal must include the following:

  1. The objective, mission, project title, founder information and contact information for the Center/Institute.
  2. Reasoning for the unit, including but not limited to, what makes it unique from the other active Centers/Institutes.
  3. Documentation that the Center/Institute’s basis of work and funding is through NYMC and not primarily from an outside organization, including affiliated institutions.
  4. The proposed director of the Center/Institute.
  5. A letter of support from the Dean of the school in which the Institute or Center will reside.
  6. A presentation of a financial analysis and projections acceptable to the Chief Financial Officer reflecting adequate initial and on-going revenues and the expenses of the Institute or center, sources of funding and space and capital requirements.
  7. A statement whether the Center/Institute will provide patient preventative, diagnostic or treatment services or involve patients or volunteers as subjects of clinical research. If so, evidence of a commitment or arrangements for professional liability insurance naming the College as an insured in a form and with limits acceptable to the Office of the General Counsel.
  8. At least two (2) high-quality images for promotion of the Center/Institute.
  9. Upon submission, the request requires approval from the Vice President for Research, Chancellor/CEO as well as the Board of Trustees.

D. Assessment of Centers and Institutes

    1. Each Center/Institute must submit an update to the OVPR every six (6) months detailing the activities and financial operations of the unit. The updates may include, but are not limited to, links to seminal awards or seminars, conferences, any new contact information, and donations or funding changes.
    2. The Chief Financial Officer or designated finance personnel generates a financial report that monitors the Institute or Center accounting activity to ensure alignment with the initial approved proposal. This report is sent to the OVPR every six (6) months.

E. Publication of Center and Institutes

    1. Once a year, the OVPR will send an announcement to the NYMC community to remind interested researchers of the services offered by the different Centers/Institutes.
    2. The OVPR will ensure the NYMC Webpage reflects currently approved Centers/Institutes of the College.

F. Termination of Centers and Institutes

    1. The Chancellor/CEO of NYMC in his/her discretion, may terminate, close or reduce the scope of operations of any Institute or Center of the College upon a finding that the Institute or Center concerned is no longer financially viable, no longer contributes meaningfully to the mission and work of the College, no longer serves the purposes for which it was established or had as the objective of its activities an illness or disease that is no longer a significant threat to human health. The Chancellor/CEO will notify all stakeholders, including the OVPR and the Accounting Department, of the closure plan and timeline.
    2. To ensure that all outstanding bills and obligations are settled, any remaining funds will be redistributed in accordance with the College’s policies and the terms of the funding sources. This process may involve returning unused funds to donors or reallocating them to other departments or projects within the College.  This process will be reflected in the accounting system.

VI. Effective Date

This policy is effective immediately.

VII. Policy Management

Executive Stakeholder: Vice President for Research
Oversight Office: Office of the Vice President for Research