These minutes reflect
discussion and debate at a meeting of a committee of the
Minutes
Senate Committee on Finance and Planning
Tuesday, May 1, 2007
2:30 – 4:15
238A Morrill Hall
Present:
Judith Martin (chair), David Chapman, Rachel Curtiss,
Steve Fitzgerald, John Fossum, Darwin Hendel, Lincoln Kallsen, Thomas Klein,
Michael Korth, Kathleen O'Brien, Kathryn Olson, Terry Roe, Michael Rollefson,
Karen Seashore, Nicholas Treat, Warren Warwick, Aks Zaheer
Absent:
Jesse Andrist, Rose Blixt, Daniel Feeney, Joseph
Konstan, Mikael Moseley, Richard Pfutzenreuter, Justin Revenaugh, Thomas
Stinson, Michael Volna, George Wilcox, John Ziegenhagen
Guests:
none
[In these minutes:
(1) follow-up to the return-on-investment report; (2) six-year capital
plan]
1. Follow-Up to the Return-on-Investment
(ROI) Report
Professor
Martin convened the meeting at 2:30 and asked that Committee members comment on
the ROI study. She said she thought the
information was very interesting, but the Committee has not had an opportunity
to discuss it. [The pertinent part of
the Committee's minutes recording that report and discussion are appended to
these minutes.] What does the Committee
wish to do, if anything?
Mr. Klein pointed out that the study
uses a "return on investment" analysis of University funding, which
suggests a portfolio approach. State
funding to the University is one revenue stream and the focus seems to have
been on trying to get the state to increase its appropriation (or at least not
cut it). The data suggest the University
already receives a higher share of state funds than the average for all states;
perhaps an analysis should look at other parts of the portfolio. The strategy emphasizes getting the state to
do more, which may not be viable.
Professor
Roe said the University should look at trying to cut transactions costs for
those seeking projects/grants that do not exceed a to-be-determined amount
(e.g., $100,000). He, for example,
turned down a grant of $50,000 and is considering abandoning another for
$19,000 because of the effort required to obtain permission for no or a lower
indirect cost rate for a project that largely funds graduate student
assistance. All know that the University
is very heterogeneous; as such it may be more reasonable to allow for different
rules depending on the magnitude of a project and the type of
research/expenditure a project proposes.
He said he did not know how many faculty make the same kind of decision
but it would be useful to look at transaction costs and whether the University
is proposal-friendly. Does he sense that
A
point he has made with the Dean of the
Professor
Martin asked Professors Chapman and Zaheer if they had any knowledge about the
University's transaction costs.
Professor Chapman said the University's overhead rates are comparable
with those of its peers. What troubles
him, he said, is how difficult the University is to work with. If one has a slightly off-beat proposal, or
one that is in the low-to-midrange cost, the number of signatures required is
discouraging—and the General Counsel's office is so risk-averse one wonders if
they want anything to happen at all.
These points were made in the Faculty Consultative Committee's
discussion of the University culture task force report, Professor Martin
said. This Committee can ask questions.
There
is a subcommittee of the College Research Associate Deans (CRAD) that is
looking at research ISOs, Mr. Klein said, and Associate Dean
Professor
Martin said the University culture report suggests that the general operations
of the place are more devoted to "keeping out of jail" than doing the
job well. Bureaucratic and regulatory
costs have been increasing, and while they may keep people out of jail, they
damp down creativity. This could be a
place where the deans play a role.
The
ROI study was done for a purpose, Professor Hendel said, and it would be
helpful for the Committee to know what the thinking is now in the parts of the
University that commissioned the study.
What are they thinking about? Are
they thinking about changing anything they are doing? Has the report affected strategies? There were statements in the report on what
accounts for the changes, Mr. Klein said, such as a slip in federal research
and development funding, but why does the University only have one-fourth the
industry research funding that Penn State does?
Does
The
ROI report seems alarming, Professor Zaheer said, and the University should
take steps appropriate to address something of this magnitude. There seems to be a disconnect between the
University's stated ambition to be in the top three and where the infrastructure
of the University seems to be going, Professor Martin agreed.
Professor
Martin said she would contact Vice President Mulcahy and Senior Vice President
Cerra to tell them the Committee found the report alarming and ask what they
are doing about it—and ask them to join the Committee. More would be appropriate, Mr. Klein said;
this Committee is looking to be a place to put questions in front of the
broader University community and wants to be in synch with what the
administration is doing—but it would like the issues raised by the ROI report
examined in the next 12 months. The
Committee needs to be clear that it will revisit the report and wants to work
with senior administrators in doing so.
Professor Martin said that between the ROI report and the work of the
budget model subcommittee, there will be major issues rising to the surface by
the fall and big questions that will need answering. From what she can gather, she said, state
funding is not the problem. To the
extent the University is making it harder to do things, exemplified by
Professor Roe turning back grants because of the bureaucratic requirements, the
institution's research funding could be taking a major hit.
Professor
Chapman said a lot of this discussion they have heard before. It is at the point at which it is time to
stop admiring the problem and do something about it. The task forces sought to address it; is
there a way the Committee can help push beyond "framing the issue"
and deal with it? To the extent the
Committee can present concrete examples that are generalizable, examples that
will impede the University in achieving its goals, it can help, Professor
Martin said; the question is "who will fix it?"
In
the case of small grants, Professor Roe suggested, they should not have to go
through the same machinery as a $1-million grant. So SPA should recognize different levels,
Professor Martin concluded. Professor
Seashore said it is like the IRB process, which has finally been streamlined if
one is asking non-intrusive questions "and not drawing blood." Something similar is needed from SPA to deal
with small grants under X dollars that provides fast turnaround. She reported that she turned down a grant
today because it would take too long to deal with. The same is needed for external sales, Mr.
Klein said. This is a scale issue,
Professor Martin said, and right now everything is viewed through the lens of a
very complicated project. And it is
assumed they all have the same ethical issues, Professor Seashore added. And it is assumed they all carry the same
risk issues, Professor Roe commented.
There is need for appropriate oversight for projects that do have
ethical and risk issues, Professor Martin said; Professor Roe pointed out that
that varies by field. How much of this
is driven by
Professor
Hendel said that in thinking of fixes, there are small, moderate, and large
ones possible. But it is not clear there
is any compendium of what needs to be addressed, so the situation seems
overwhelming. If the problems were
organized in a different fashion, there might be clarity on how to
proceed. For example, the University's POLICIES
are now very well organized.
There
are subjects this Committee is interested in, Professor Martin observed, such
as costs and barriers to doing research.
If this Committee and the Senate Research Committee could come together
and identify problems, that might help.
Some changes have been made to make things easier (e.g., the IRB
process); are there other areas where changes could be made with the IRB
changes used as an example? The
Committee can point out that there are still problems in SPA that make it
difficult to obtain (or accept) a grant.
Vice
President Mulcahy is a very reasonable person who has thought a lot about these
problems, Professor Chapman said, and perhaps the Committee should invite him
to a meeting and ask how it can be supportive.
He said he has the impression that when people want to exercise common
sense, it is not clear who has the responsibility to decide. Mr. Klein said, agreeing with Professors
Hendel and Chapman, that there needs to be a list of the issues and problems and
a priority ordering of the list. Once
there is a list, at least this Committee and anyone else who is interested in
the issue could go back to it to see what is happening. The list provides a definition of problems
and who was responsible for addressing them; the Committee can develop a timeline
to see how long an issue has been around—or else it will end up with what seems
to be a new list of issues every few years.
Professor Martin agreed and said the Committee does not need to admire
the problems any longer.
There
should be a distinction between impediments in the medical areas and in the
rest of the University, Professor Seashore said. As soon as someone is dealing with animals or
blood, it is a different world that requires a different level of
oversight. Professor Martin agreed and
said that it should be possible to carve out small grants, not necessarily by
college, that would help. And
appropriate staff should be available to help people get through the process.
One
problem is that bureaucracy has its own momentum, Professor Zaheer said. The moment one gives the problem to a
bureaucracy, it tries to protect itself and the system. It is only when people responsible for
research make decisions will things get lined up right.
Professor
Martin asked the Committee to think about what should be sought. She said she would invite Vice President
Mulcahy to join a meeting and, with the Senate Research Committee, try to
identify what can be done to push for solutions.
2. Six-Year Capital Plan
Professor
Martin welcomed Vice President O'Brien to the meeting to review the six-year
capital plan. Vice President O'Brien
noted that she had appeared before the Committee 3-4 weeks ago on this same
topic and talked about the principles and the process and illustrative
examples, but the discussion inadvertently omitted the numbers for the
request. She distributed copies of
materials that will be presented to the Regents at their May meeting.
Ms.
O'Brien directed Committee members to the tables presenting the proposed
capital items beginning with 2008 and going through 2013, a list that also
includes projects without a date that are in planning and development. The tables represent the University's
six-year aspirations, she said, and in her experience projects that are on the
six-year capital plan do get done, although not always in six years. Three of the years included—2008, 2010, and
2012—are state capital requests for the major bonding bills. (The University has two capital items before
the legislature this year, for HEAPR funds for repairs and renovation, and
funds to renovate the former Department of Health building for the
biosciences.) There are also
University-funded projects for which state support is not sought. The "in planning and development"
projects are ones that may receive University, grant, or donor funding and
could move into the six-year capital plan; they are far enough along in
development and pre-design that they should be listed. Vice President Pfutzenreuter previously discussed
with the Committee the debt plans and this six-year capital plan is consistent
with the parameters he presented. (For
those of you who wish to look at the list of projects and projected source of
funding, a pdf version of the plan is attached for the electronic version of
these minutes.)
Vice
President O'Brien next reviewed most of the projects proposed for each of the
next six years. She noted the University
is requesting $80 million for HEAPR funds in all three state capital request
years; on average it receives $30-40 million and is funded at about one-quarter
of the level needed.
Discussion
touched on a number of points in the plan.
-- Professor
Martin asked if the $3 million for classroom renewal is what is really
needed. Mr. Fitzgerald said this item is
one of three times the money will be requested, to deal with mid-range
projects. Mr. Kallsen reported that in
the last biennium the University allocated significant recurring funding for
upgrading technology and lifecycle issues.
Building renovations are also helping to upgrade classroom space, Mr.
Fitzgerald said. Professor Seashore
inquired if, as in the past, renovations are reducing the number of classrooms
or seats. They are not at the end of
that outcome, Mr. Fitzgerald acknowledged, but he said that on balance they are
staying even. Once the new science
classroom building is built and Folwell is renovated, they will be in much
better shape.
-- The
University should not expect much growth in enrollment, given the demographics
of the state, Professor Roe said, so with the physical capacity of the campus,
there should be greater need for renovation and fewer new buildings. It would be helpful to see a chart explaining
where capital growth will occur, and for what reasons; one should expect a
leveling off of demand for capital investments.
Vice President O'Brien said that if she were building the University
today, she would not build 28 million gross square feet it currently has. She suggested that student enrolment is not
indicative of space needs or the kind of space the University needs. When they look at renovating buildings, they
look at what programs could be accommodated and how adaptable the space
is. Some buildings can be made to work;
some need to be demolished For example,
parts of the Physics building were built at different times and it would be
difficult to rehab, and IT has indicated it needs very different space for
Physics, so it will need a new building.
Capital needs will not go down, she said because there are changes in
technology, research, and pedagogy—and 70% of the buildings on the Twin Cities
campus are over 30 years old.
-- Is there an
overall plan, Professor Roe asked? The
Facilities Condition Assessment is a plan for existing buildings, Ms. O'Brien
said. The work that Associate Vice
President Kvavik is doing should move the University from a 6-year plan to a
20-year plan for the space needed for the future. If that is so, why are the proposed capital
requests to the state the same amount?
Are they to be adjusted for inflation? One should see increases, refurbishments,
etc. Is this politically cautious? With an increase in the gross state product
and the size of the state economy, one should expect to see an increase in
these requests. Vice President O'Brien
said the University traditionally receives about 15% of the state bonding
capacity; in the last decade the bonding bills have been just under $1
billion. The state requests are
aggressive and they seek more support; the University documents the need in
terms of the state's economy and the welfare of the state.
-- Professor
Fossum asked about the extent to which flexibility will be included in new
projects. They think about that a lot,
Mr. Kallsen said, as buildings get more expensive. They are farther ahead on that score on the
research side than on the teaching side.
There are research facilities that now can be changed fast. The proposed science classroom building will
be the first time they have thought about flexibility in pedagogy in a new
facility. From a scheduling standpoint,
Mr. Fitzgerald said, it would be great if the campus could optimize technology
and space (acoustics have been an issue in the past in some buildings). Professor Fossum suggested it should be
possible to obtain data to demonstrate that the increased cost of more-flexible
facilities is offset by the efficiencies that can be achieved as a result. There is expertise in Capital Projects and
Project Management, Vice President O'Brien said, and architects will design
what the University asks for; it simply needs to have the resolve. Units and individuals sometimes get into a
mindset about what they want instead of seeking flexibility; as an academic
community, the University must stick with flexibility.
-- The
-- The
Phillips-Wangensteen "repurposing" would permit units in the health sciences
to take the space now occupied by UMP clinics, if the UMP clinic is completed
and moves out.
-- Professor
Martin asked what would happen if the Biological Sciences Research Facilities
Authority is not approved by the legislature; would the lists change. The President has said he is committed to the
AHC being able to achieve its goals, but not at the expense of the rest of the
University, Ms. O'Brien said.
-- Professor
Korth asked if the University contribution to projects, in capital-request
years, is from University funds. The
source varies by project, Ms. O'Brien said.
It may be student fees for a recreational sport facility, parking
revenues for a parking facility, resident fees for a new residence hall. In all cases, Mr. Kallsen added, the academic
and business plan for facilities needs to be fleshed out and must be clear
about the University contribution. In
the case of Morris, for example, the administration would want to know the
impact of any new fees on the student's cost of attendance. To the extent there is added debt, it will
have been included in Vice President Pfutzenreuter's debt capacity projections.
Professor
Martin thanked Ms. O'Brien and Mr. Kallsen for the information.
Professor
Seashore reported that she had discovered that once someone is age 65 they are
entitled to register for any University course for $1. That is a well-hidden fact that some would
like to see more widely known. This is
federal law, she said, and applies to everyone.
Has anyone thought about the implications if a lot of babyboomers decide
they want to come back and take courses for credit? She announced she plans to get a Ph.D. in
History for the $9 it will cost. There
will be bureaucratic responses, Professor Roe promised, such as fees, space
constraints, etc. Professor Seashore
said the federal law would not allow that.
If someone at 65 or greater were to enroll in enough courses, would they
qualify for student health coverage, Professor Fossum asked? Is this a new law, Professor Zaheer asked? (It is not.)
Then why would enrollments in this category grow in the future? Because there will be a lot of retirees who
don't want to play golf, Professor Seashore responded.
Professor
Martin adjourned the meeting at 3:50.
-- Gary Engstrand
* * *
Excerpt from the Minutes
Senate Committee on Finance and Planning
December 19, 2006
Professor
Martin turned to Senior Vice President Cerra to lead a discussion of
preliminary reports on the return on investment in the University.
Dr.
Cerra explained that about a year ago the President asked him to establish a
group to look at economic aspects of the University. He set up an ad hoc group that worked on the
issues; they worked with the Department of Applied Economics. They looked first at two things (more will
come later): one, what can one say about
research support at the University over a long period of time, and two, what is
the public value of higher education at the
Professor
Pardey began by reporting that the ad hoc committee reviewed hundreds of
studies of the economics of higher education and concluded that they would do
more than a crude input-output study.
They were surprised by the results; their study (Professor Pardey had two
graduate-student co-authors) is entitled "Long Gone
The
report attempted to put the University on the same footing as its peers and
evaluate how it looks vis-à-vis its competitors. Several measures they looked at got their
attention. In terms of the University's
rankings on academic research and development investments in 1972 and 2004, it
had slipped considerably. The rankings
were as follows (1972, 2004):
Total academic R&D: 19, 26
Academic R&D per capital: 20, 40
Academic R&D per dollar of gross state
product: 20, 43
Professor Pardey emphasized that the study is not just
about R&D funding trends in Minnesota or at this university, but that it
also explores in some detail what "competitors" in other states and
other (peer) institutions are doing, and how Minnesota measures up in
comparison.
They
also looked at the total operating expenditures of the University from 1945 to
2004. The budget in that period went
from $151 million to about $2.2 billion in real dollars; student enrollment
went from about 11,400 to about 65,500.
State and local funds as a share of the University's budget shrank from
about 5.7% to about 3.6%. There has been
(since 1972) a gradual decline in University expenditures as a percentage of
gross state product.
Another
graph depicted, for the period 1972-2004, the range and average of total
academic R&D expenditures for 10 institutions used in the report of the
Metrics and Measurement Task Force plus an additional three institutions Vice
President Mulcahy suggested be included (all 13 are public institutions). For
the period 1972 to 1991
Professor
Seashore noted that the spread between the top and bottom schools had increased
significantly starting in 2001; what happened?
Vice President Mulcahy said the institutions are asking the same
question; UCAL, for example, went from #9 to #1. Is this a consequence of targeted investments
in one or two areas that resulted in a big payoff, Professor Seashore
asked? Dr. Cerra suggested it may have
been. Dr. Mulcahy said that if one
examines the data closely for each school, one finds a difference in the
categories of revenue. What has happened
at
Professor
Pardey said that in 1972 Minnesota was 4th in the group, crept up in
the 1990s to 2nd, thereafter stalled and slowed, and is now 9th
in the group of 13. There were big
shifts in the positions the institutions held during these 25 years, he said,
and one must look at the data over a long period. At the same time these changes were
occurring, Dr. Cerra said, the NIH budget doubled. Professor Konstan asked if the picture is
more rosy because some schools dropped out.
The players at the top since the 1980s have been constant, Dr. Mulcahy
said, but there have been dramatic changes in the lower half of the range; a
number have dropped out while other institutions have appeared. The numbers for the institutions in the lower
half will be above those for
Professor
Pardey next reviewed a table showing the sources of funding for academic
R&D for the 13 institutions in the study (federal, state/local, industry,
institutionally-financed, and other).
Professor Konstan observed that the University was 4th in state/local
funding in both 1972 and 2004 but that it had slipped in all other categories.
Professor
Pardey then reviewed two graphs illustrating the average annual growth rate by
funding source and
The
message, Professor Pardey said, is that there has been a structural shift in
funding for research if one looks at the temporal relationships among the
funding sources. They also looked for
lag results—one source generating additional funds from another—and could find
no relationship.
Vice
President Mulcahy said they looked at the funding from the state and from
industry to see what has happened since 1980.
Is the decline due to something the University is doing, to make it less
competitive? That could be, but there
has also been a major change in the state philosophy; the DNR and other departments
used to outsource their research but now they do it in-house.
Professor
Seashore observed, apropos the source of funding for research from industry,
that while all universities saw the same trend down,
Professor
Pardey next reviewed a graph of academic R&D spending from 1990-2004 with
four lines. One plotted actual
expenditures (the lowest line); the other three plotted where
This
is about being bigger, not better, Professor Konstan said. Are the schools growing the size of their
faculty? Growing overall? Or is it a matter of productivity/investment
mix? A number of the institutions are
growing faster than the University, Dr. Cerra said (e.g., in terms of NIH
support), and the University is being raided by institutions that are making
big investments. Professor Konstan said
that the University could run up its expenditures but would risk crashing on
the wave; he said he was more concerned that the University sustain growth
rather than get to the top fast. These
data are about total size, he repeated, and not about whether faculty here are
doing worse than faculty at other institutions.
Professor Pardey did not agree.
In the full report forthcoming, he said, they also report academic
R&D funding normalized by faculty and student counts and on a per capita
and per gross state product basis; the
The
question is how to frame these results in the context of the biennial request
and strategic positioning, Dr. Cerra said.
The data are consistent with what Vice President Mulcahy has reported
earlier and with what the bio-business community has presented about
investments in the biosciences in the last 15 years. If the University is to do something in
response to these data, it will have to make some tough decisions about
investments. There has been a lot of
discussion in this Committee and in the Faculty Consultative Committee about
how to frame the argument to the state, Professor Konstan said, and these data
reflect a state that is stepping back from research funding. The question is
how to make this an issue, because the state expects a return on its
investment. A bigger problem is federal
and institutional funding, Professor Pardey said; a lot of institutions have
done well because of institutional support.
The University must "own" the problem, Dr. Cerra agreed, and must
ask what it is doing about it.