Skip to the content

Kansas State University

PHASE II

 

Criteria, Standards, and Procedures for Funding Programs for
University Excellence
April 2003

Preamble:
As enunciated by President Jon Wefald, Kansas State University’s goal is to become one of the nation’s top 10 land-grant universities. In the fall semester of 2002 the Targeted Excellence Working Group (TEWG) assisted the Provost in completing a document, “Guiding Principles for University Excellence,” which the Provost used as a basis of discussion with administrators, faculty and other interested publics. The present focus of the TEWG, as contained in the Provost’s initial charge, is to develop “criteria, standards, and procedures for determining how funding should best be distributed to enhance those programs with the most promise of elevating the university’s stature.”

The targeted outcome of this effort is to improve Kansas State University’s rankings in nationally-recognized publications that illustrate progress in research, teaching, infrastructure, and technology transfer, for example, the National Research Council, NSF R&D expenditure survey, NSF-NIH graduate student survey, federally financed R&D expenditures, National Academy membership, CASE/Carnegie teaching awards, and rankings of digital information environment. Moreover, the goal is to maintain the high standing of K-State in the number of top scholarships awarded to its undergraduates (Truman, Marshall, Rhodes, Goldwater, Udall, Fulbright, Javits, and so forth) and increase undergraduate involvement in scholarly activity. Becoming a top 10 land-grant university will be indicative of K-State providing improved service to faculty, students, and various publics, particularly the people of Kansas.

Kansas State University has already made major leaps in reputation in recent years, as measured by important research and publications, grants, and professional citations. The goal of Targeted Excellence is to enhance collaborative efforts in the state of Kansas and all parts of the university community to enable K-State to reach a top 10 status by 2015; these efforts must be consistent with the Guiding Principles for University Excellence. To achieve this goal, commitments and flexibility will be necessary at all levels of the institution. Units need to define in their plans and mission statements the particular niches within their professions where priority should be placed. This implies emphasis on (1) the unit’s individual strengths rather than replicating rigid criteria; (2) anticipation of future changes within disciplines, programs, and the academy; and (3) fulfillment of missions in a rapidly changing world and an increasingly diverse society. Targeted Excellence standards will enhance the academic environment and permeate departments and programs so that new hires and newly tenured faculty have the potential to elevate the university’s national and international stature. Many of the exciting and cutting-edge areas of inquiry are at the interface of several disciplines, and thus creative and novel partnerships that reach across departments or programs to excel in these areas will receive emphasis.

Achieving excellence will require a continuing and significant financial investment. We propose a major commitment of the President and Provost so that within five years they commit about 1 percent of the total annual university expenditures, i.e., about $5 million in 2003 real dollar equivalents, to the Targeted Excellence Program for the next one to two decades. While difficult to realize during economic downturns such as those we are experiencing now, the dollars for this investment in excellence should not come at the expense of existing programs. Below, we suggest strategies to be used by the Provost to identify and earmark monies for Targeted Excellence.

For the greatest impact, we propose distribution of the monies on the basis of competitive proposals. A competitive, peer-reviewed process will allow identification and development of novel ideas, collaborations, and research areas that will be most likely to increase the standing of K-State. The Provost and a panel of reviewers will choose programs based on their promise of elevating the university’s stature through enhancing the national and international reputation of existing faculty and students and attracting excellent students and faculty.


  1. Process for Competitive Awards Program to Achieve Excellence


    1. Request for Proposals (RFP) issued by Provost

      1. Scope, duration, and funding levels of projects. An RFP issued yearly by the Provost will announce the competitive awards process targeted at projects or programs that will increase K-State’s reputation nationally and internationally. In any given year, if an area of emphasis emerges as a focus, the RFP, which will be updated annually, will clearly state that emphasis. The following types of proposals will be considered:

        • cross-departmental projects that involve multi-disciplinary themes or ideas
        • projects varying in length from short-term (1-2 years) to long-term (up to 5 years)
        • awards ranging from $50,000 to $2 million (in 2003 dollars) per project


        The Provost will retain the option of allocating a limited amount of advance funding for carefully selected projects that clearly meet the criteria if a major opportunity will be lost between the time of the initial proposal and the completion of the proposal evaluation process. The need for this step will be clearly documented. All such projects will nonetheless be subject to completion evaluation and advance funding will not be a factor in determination of continued funding.


      2. Criteria for evaluation of projects: Successful projects will demonstrate a clear potential to elevate K-State’s ranking. Elements of projects that will be included in the evaluation are:


        • involvement of novel or cutting-edge ideas or research
        • potential to achieve a more effective global and intercultural competency of students and greater responses to world issues and events
        • establishment of appropriate collaborations that significantly enhance the project/program. These may be collaborations within or among departments, programs, colleges, etc, or may involve collaborations between K-State and other institutions and organizations within or outside of the USA
        • potential for internal matching support
        • potential to increase external funding to sustain the program or project
        • potential to increase diversity at K-State from underrepresented demographic groups
        • potential for updating research infrastructure and teaching content and methods
        • demonstration that the project is consistent with and draws from the Guiding Principles for University Excellence



    2. The process


      1. Pre-proposal phase: The Provost will call for 3-5 page pre-proposals that provide a (1) description of the area/project, (2) statement of short-term and long-term goals, (3) explanation of how this project will improve K-State's position as a top 10 Land Grant institution, and (4) set of reasonable benchmarks that can be used to measure success of the project during its progress and its potential for sustainability beyond Targeted Excellence funding. The pre-proposals will be due four months before the deadline for full proposals. Appropriate administrative authorization must be obtained before pre-proposal submission. The pre-proposals will be reviewed by a panel made up primarily of faculty members, including at least one off-campus scholar, selected to encompass the range of topics submitted. The Provost, in consultation with the Council of Deans and a representative of Faculty Senate Leadership Council , will appoint the review panel. Within two months of submission of the pre-proposals, this panel will identify pre-proposals that meet the criteria of Targeted Excellence and make recommendations to the Provost regarding which Principal Investigators will be invited to develop full proposals. As a rough guide, the panel might identify twice as many pre-proposals as those projects funded. The Provost will then make the final determination of Principal Investigators invited to develop full proposals.


      2. Full project proposals will be reviewed by external experts solicited by the Provost. With the aid of these written reviews, a panel that consists of internal and external faculty reviewers and which is appointed by the Provost, in consultation with the Council of Deans and a representative of Faculty Senate Leadership Council, will be convened. This review panel will recommend to the Provost which projects have the strongest support for funding.

        3. The Provost will make the final decision and allocation of funds.

        (Section B revised April 2005)

    3. Evaluation of progress

      Acceptance of a project for funding may be contingent on renegotiation of budgets and goals or benchmarks. Funds will be allocated on an annual basis, with continued funding being dependent on a clear demonstration that the Targeted Excellence and specific project goals and benchmarks are being met.

      The Provost will meet with the recipients of funds, and the leadership of the relevant unit(s) (Deans in the instances of colleges) to determine progress against the goals and benchmarks of the project and qualification for continued funding.



  2. Sources for Financing Targeted Excellence Programs:

    Each proposed Targeted Excellence program will have unique resource needs, both in magnitude and type. Some will require the acquisition of cutting edge equipment, while others may require significantly enhanced facilities; many will involve the hiring of additional faculty and staff. Financing these programs will require a broad range of options. The Provost, therefore, charged a subcommittee with the task of providing suggestions to central administration on possible mechanisms to fund the Targeted Excellence effort.

    Financing Targeted Excellence programs is likely to require some combination of new resources. Moreover, the university will need to change the manner in which it allocates resources. Possibilities for financing TE programs include the following:

    • Tuition revenues – allocation of a portion of the increased tuition resources for Targeted Excellence programs.
    • · Providing TE programs larger shares of sponsored overhead than is typically allocated under present distribution policies. Options to be considered are allocating programs a set percent of all awards to the university and a larger percent of awards generated by the program itself. To facilitate implementation of such policies the university should develop and implement uniform institution-wide policies for dividing overhead on jointly sponsored projects.
    • Providing TE programs priority for access to and improvement of facilities
    • Providing TE programs an increased proportion of university-wide tuition and fee-based OOE and equipment funds, as well as opportunities for specially authorized fees related directly to the targeted program
    • Providing TE programs institutional and foundation support to solicit gifts through the KSU Foundation. Allocate a portion of undesignated contributions to the TE programs either through a pool of resources or as directed allocations
    • Providing TE programs with mechanisms to enhance faculty compensation
    • Allocating to TE programs a percentage of salaries from vacated lines, using as a base either all vacated lines in the university or the vacated lines within the larger unit supporting the TE program
    • Offering mediated credit and non-credit programs, research information, and information portal for alumni for subscription fees (These sources of funds are not to conflict with faculty intellectual property rights, as indicated in Appendix R of the Faculty Handbook)
    • Sale of other services now given away free, that are often appropriated by commercial entities
    • Providing college and university backing to TE programs for the issuance of bonds for buildings and major capital equipment
    • Providing university support for assigning high priority to special program requests by the TE program through the Board of Regents
    • Providing university support for TE program requests to be placed on high priority for special legislative action through the Kansas Congressional delegation
    • Putting research funds in a private foundation that will allow K-State to collect interest on the funds in the accounts



  3. Acceptance and Implementation of the TE Program

    Once the TEWG approves this document, the Provost reviews and revises the document and asks for reactions, input, and suggestions from Kansas State University’s administration, faculty, and other major publics and constituencies. After final revision in consultation with the TEWG, the Provost presents the document as K-State’s Targeted Excellence plan, and, depending on when new resources are available, the Provost begins the process outlined in Section II.