Faculty start-up guidelines

Effective July 1, 2026 | Next Review Date: January 1, 2028
Approved By: Vice President for Research | Provost

Overview

This policy establishes the framework and process for allocating, approving, and managing research startup funding for newly hired tenure-track faculty at Kansas State University. It ensures consistency, transparency, equity, and alignment with institutional research priorities. Startup funding is a time-limited (3-year) investment in research initiation, with the expectation that external funding—supported by university investments in faculty salaries and laboratory space—will sustain research activity beyond the startup period.

Startup packages are designed to enable new faculty to establish competitive research programs, generate preliminary data for external funding, and achieve scholarly productivity within the first 3–5 years of appointment. All allocations are governed by the Faculty Research Startup Package Allocation Rubric (hereafter, "the Rubric") (see Appendix A), which provides the systematic, equitable methodology for determining startup package amounts.

I. Eligibility

A. Eligible Positions

Startup packages are available to:

Newly hired, research-engaged, tenure-track assistant professors, associate professors, and full professors
Faculty in joint or cross-disciplinary appointments (see Section VII.A)
Faculty hired as part of cluster hires or strategic research center initiatives (see Section VII.B)

B. Ineligibility Criteria

The following are not eligible for startup funding:

Currently tenured faculty at Kansas State University
Non-research-engaged teaching positions
Positions without documented expectations for research or scholarship activity, including grant submissions or externally funded work

C. Position Eligibility for Startup Support

Only positions listed on the approved Biannual Hiring Plan (see Section III) are eligible for startup support. New positions not supported by an existing salary line must first be discussed and approved by the Dean, Provost, and VPR before being added to the hiring plan during the biannual survey in May or November.

II. Governance and Oversight

A. Rubric-based Allocation

All startup funding allocations are calculated using the Faculty Research Startup Package Allocation Rubric (Appendix A). The Rubric establishes the range and base allocation by academic rank and field and applies a standardized multi-factor scoring model—accounting for years of prior research experience, grantsmanship track record, research field infrastructure needs, strategic institutional fit, and research FTE—to determine the final startup package.

B. Roles and Responsibilities

The Vice President for Research (VPR), in collaboration with the Provost, is responsible for:

Ensuring consistent and accurate application of the Rubric
Verifying that required inputs are documented and compliant
Approving startup packages that fall within Rubric-defined parameters
Reviewing college hiring plans to ensure proposed hires align with institutional priorities and available funds

Department Heads and Deans are jointly responsible for:

Initiating and managing startup negotiations within Rubric parameters
Ensuring itemized budgets are aligned with the approved startup range established in the Hiring Plan
Annual monitoring of spending progress and scholarly output

C. Negotiation Boundaries

Startup packages may not be negotiated independently outside the Rubric, except as provided under Section i.e., (State Appropriations and Designated Funding). Final funding levels must match the Rubric-calculated amount and may not exceed defined maximum thresholds for each rank and field category.

Note on College Supplements:

Colleges retain the latitude to supplement startup packages with college-level funding, independent of the Office of the Vice President for Research (OVPR). College supplements must be documented in the offer letter and managed in accordance with applicable university policies.

D. Exceptions

Exceptions to Rubric-calculated amounts may occur only through the formal appeals and exceptions process outlined below and require joint approval from the VPR and the Provost.

Appeals Process

Faculty or departments may appeal startup allocations under the following conditions:

Documented discipline-specific practices suggest underfunding
Significant institutional strategic changes occur post-offer
Unforeseen research infrastructure costs are identified

Appeals must be submitted in writing to the College Dean. The Dean will consult with the VPR, and a joint decision will be made within 15 business days. The maximum upward adjustment through the appeals process is +20% of the original startup package.

The VPR and Provost may additionally approve exceptions for:

Exceptionally distinguished recruits (endowed chairs, academy members)
Emerging research priorities requiring infrastructure investment
Cluster hires with shared infrastructure costs
Externally funded recruits where local startup needs are substantially reduced

All exceptions require a documented institutional justification.

E. State Appropriations and Designated Funding

Startup funding supported by direct state appropriations (e.g. Kansas Water Institute, Nuclear Energy, Global Food Systems, Biomanufacturing Initiative) or other designated funding sources (e.g., constellation or strategic initiative hires) may follow funding models that differ from the Rubric. For these hires:

Startup funding amounts are not required to follow the Rubric-calculated model.
Funding must comply with the terms and restrictions of the appropriation or designated funding source.
The VPR and Provost are responsible for approving funding levels and ensuring alignment with institutional priorities and constraints.
Unless otherwise specified by the funding source, startup accounts established with these funds follow the same account setup, funding schedule, and allowable expenditure guidelines outlined in this policy.
To the extent possible, the principles of transparency, consistency, and accountability outlined in this policy still apply.

III. Biannual Hiring Plan for Research Faculty

Startup budgeting and workforce planning are supported through a biannual survey of research faculty maintained by the OVPR. The survey is used to:

Project potential startup funding needs associated with faculty turnover
Support institutional budget and workforce planning
Project the expected range necessary to support the start-up needs for each position

In May and November, Department Heads are asked to review and confirm information for each research faculty member to ensure the Hiring Plan reflects current staffing, research priorities, and anticipated startup needs.

Important:

The Hiring Plan is a planning and budgeting tool only. Actual startup funding for new hires is determined during recruitment using the Faculty Research Startup Package Allocation Rubric.

IV. Startup Commitments in the Hiring Process

Startup commitments for new faculty are established and approved during the faculty hiring process in PageUp. The VPR participates as an approval step at two stages.

Job Requisition Request

The hiring department enters the anticipated startup funding range outlined in the hiring plan and the rubric in the Job Requisition Request in PageUp.
The startup calculator is used to estimate the recommended range.
The VPR reviews the proposed startup range. If adjustments are necessary, the request is routed back to the Department Head for discussion.
Once approved by the VPR and any other required approvals are obtained, the position may be posted.

Job Offer Card

After a candidate is selected, the Department Head and candidate discuss the research vision, 3-year research plan (including specific aims, preliminary data needs, and anticipated publications/funding goals), and a detailed budget estimate.
The Department Head confirms the proposed budget is within the range established in the Hiring Plan and consistent with the Rubric.
The budget is itemized by category (personnel, equipment, operations, professional development) using the New Faculty Startup Budget Details Tool.
Each line item is justified by the research plan, with a timeline for expenditure specified.
Once finalized and approved by the Department Head:
- A PDF of the budget detail is generated.
- The PDF is attached to the offer card in PageUp.
The formal offer letter documents the startup package total, itemized breakdown, spending end date (no later than 36 months from the effective date), and performance expectations and deliverables.

V. Startup Account Setup and Funding

A. Account Establishment

Startup accounts are established after the faculty member is hired, and the offer is formally accepted.
OVPR creates the account using the standard 10-digit account string: (NST + fiscal year + first 5 letters of last name, left-padded with zeros).
Spending is authorized only after the appointment's effective date.
Startup amounts are rounded up to the nearest $5,000.

B. Funding Schedule

The initial deposit occurs on the faculty member's hire date.
Annual deposits occur on either July 1 or January 1, based on the faculty member's designated start date.
- If the start date falls within the first two calendar months of the fiscal or calendar year, the next disbursement occurs on the following July 1 or January 1.
- Otherwise, the next disbursement occurs on July 1 or January 1 of the following year.

Illustrative Examples:

Scenario	Date	1st Deposit	2nd Deposit	3rd Deposit	Balance Withdrawn
Example 1	3/15/26	3/15/26	7/1/27	7/1/28	6/30/29
Example 2	8/16/26	8/16/26	7/1/27	7/1/28	6/30/29
Example 3	1/4/26	1/4/26	1/1/27	1/1/28	12/31/29
Example 4	10/25/26	10/25/26	1/1/28	1/1/29	12/31/30

C. Funding Period Extensions

Startup funds are expected to be fully expended within three years (36 months from the effective date).
Unspent funds are carried forward within the account until the end of the three-year funding period.
Any remaining balance at the conclusion of the 3-year period is returned to the OVPR-managed startup pool.
In limited cases and under exceptional circumstances, the VPR may approve a 1-year no-cost extension. Requests must be submitted in writing at least 6 months prior to the end of the funding period and must include justification and a proposed budget for the extension period.

VI. Account Management

A. Allowable Use

Funds may only be spent on eligible expenses as outlined in Section VI.C below.
Transfers out of the startup account to other college, department, faculty, or research unit accounts are not permitted.
- Transfers to construction accounts for eligible renovation or build-out projects are permitted.
Expenses in anticipation of future purchases are prohibited.
Any revenue derived from the sale of research outputs or items purchased with startup funds (including used equipment, consumables, study animals, meat, milk, eggs, or other agricultural produce) must be deposited back into the startup account.
Funds may not be used prior to the faculty member's start date (including summer salary for periods before the effective date).

B. Monitoring and Compliance

Colleges are responsible for managing and monitoring startup accounts to ensure compliance with University, State, and Federal policies.
Colleges must ensure that faculty receive accurate and timely balance updates.
Colleges are responsible for any overages resulting in negative balances.
The OVPR reserves the right to audit startup accounts to ensure policy compliance.

C. Eligible and Ineligible Expenditure Categories

Personnel (Fully Eligible)

Graduate student stipends and tuition (up to 3 years; includes summer graduate assistants and hourly undergraduates if directly supporting the research program)
Postdoctoral researcher salaries
Technical/research staff positions (explicitly time-limited)
Faculty member's own summer salary (if not a 12-month appointment)

Equipment and Infrastructure (Fully Eligible)

Laboratory equipment and instruments costing under $10,000
Computers, computing hardware, and software licenses (e.g., desktops, laptops, one-time software purchases for research use)
Field equipment and apparatus under $10,000
Renovations/buildouts for research space (only with institutional approval)
Shared core facility setup (if department/college contributes a match)

Notes:

- Computers and computing hardware purchased solely to support the faculty member's research program are eligible. Personal or administrative computers are not covered.
- Equipment purchases exceeding $10,000 require prior VPR approval and will be tagged as VPR assets.

Research Operations (Fully Eligible)

Chemicals, reagents, and consumables
Animal care and husbandry (veterinary care, feed, housing maintenance)
Field plot establishment and maintenance
Data collection and management systems
Travel for research purposes (sample collection, preliminary studies)

Professional Development (Eligible with Justification)

Conference travel (2–3 conferences per year maximum)
Publication costs (open access fees, page charges)
Professional society memberships (directly related to the research program)
Short-term research training or certification

Shared Resources (Eligible if Negotiated)

Unrestricted flexible funds (~5–10% of package)
Core facility access prepayment or annual fees
Library subscriptions (if field-specific and justified)

Ineligible Expenditures

General office supplies and routine administrative costs
Works of art, antiques, or collectible items
General university services already provided (e.g., IT, HR)
Teaching or course development materials not directly related to research
Personal items not essential for research (e.g., furniture, decorations)
Salary for administrative staff not directly supporting the research program
Spousal support or spousal hires
Penalties, fines, or retroactive adjustments
Unallocated discretionary departmental funds
Moving expenses
Expenses incurred prior to the effective date of the startup appointment, including summer salary

VII. Special Circumstances

A. Joint and Cross-Disciplinary Hires

When candidates hold joint appointments:

The primary department leads the startup negotiation.
The secondary department is factored into the startup package, typically at 25–40% of the relevant field allocation.
Total startup package may not exceed the applicable single-discipline maximum by more than 15%.
Shared equipment or infrastructure costs must be negotiated jointly between departments to avoid duplication.

Example:

Assistant Professor, 70% Health and Human Sciences, 30% Veterinary Medicine:

HHS base: $300,000 × 0.70 = $210,000
VetMed base: $250,000 × 0.30 = $75,000
Weighted base allocation: $285,000
Adjustment factors and modifiers are applied to the weighted base allocation after department percentages are calculated.

B. Cluster Hires and Research Centers

For thematic cluster hires supporting a new center or institute:

Startup packages may be 5–15% higher than the standard allocation.
Justification must reflect shared facility costs, cross-disciplinary collaboration, and high institutional visibility.
VPR must approve the cluster-level funding strategy.

C. Returning Faculty and Lateral Moves

For faculty relocating existing research programs to Kansas State University:

Equipment and infrastructure already available reduce the startup allocation.
Typical allocation: 50–70% of the new hire base.
Negotiation focuses on transition costs, facility modifications, and staffing bridge funding.

D. International and Visa-Sponsored Hires

No distinction is made in startup allocation based on visa status. However:

Additional professional development funds may be included for research compliance training.
Budget may include visa/immigration-related moving expenses (up to $5,000)*

* The University may, in rare and exceptional circumstances, authorize up to $5,000 of start-up funds to be allocated toward the hiring department’s payment of the current $100,000 H‑1B application fee for a prospective employee, subject to the University’s prior approval. This option is reserved exclusively for individuals whose demonstrated expertise is essential to advancing the institution’s strategic priorities and whose qualifications are of such distinction that they are considered exceptional within their field. Approval requires comprehensive documentation confirming that a rigorous, national search was conducted and that no suitably qualified U.S. citizen or permanent resident was identified for the position. All requests must clearly articulate the strategic rationale for the hire and provide evidence supporting the candidate’s unique alignment with institutional goals and are subject to co-review and approval by the Provost, in accordance with current University hiring policies.

VIII. Accountability and Performance Monitoring

A. Annual Progress Reports

Faculty are required to submit annual progress reports to the Department Chair, due on the startup account anniversary date. Reports must address:

Spending Progress: Amount expended by category; percentage of total startup funds spent; major changes to the itemized budget.
Research Progress: Publications (submitted, in press, published); presentations; preliminary data generated; progress on specific aims.
Grantsmanship Activity: Grant proposals submitted (title, agency, amount, status); funding awarded; anticipated external funding trajectory.
Student Training and Mentorship: Graduate students supported; undergraduate researchers trained; degrees completed or anticipated.

B. Performance Benchmarks

Benchmarks are guidelines; discipline-specific patterns are considered in evaluations.

Year	Spending Target	Research Milestones
Year 1	~25-30% of allocation	Laboratory/research space established; initial publications submitted.
Year 2	~60-70% of allocation	Publications appearing; at least one external funding proposal submitted.
Year 3	85-100% of allocation	Multiple publications; at least one external grant awarded or in final review.

C. Consequences for Non-Performance

Insufficient spending: At the end of the designated period, the department, faculty member, and VPR evaluate whether unspent funds should be returned. Funds deemed unnecessary for research initiation must be returned to the OVPR-managed startup pool.
Lack of scholarly progress: If research milestones, publications, or funding goals are not met, the Department Head, at the request of the VPR or Dean, may require an accountability plan and/or may restrict eligibility for future funding requests.
Positive trajectory: Faculty demonstrating satisfactory research progress and responsible startup management remain eligible for research support and advancement opportunities.

IX. Procedures for Exceptions

Any deviation from these procedures (e.g., deposit timing, account use restrictions) requires prior written approval from the OVPR and Provost and must follow the appeals process outlined in the Rubric (Section VIII). Requests must be submitted before the deviation occurs; retroactive exceptions are not permitted.

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