Purpose

To establish a basis for distribution of general operating funds to provide a monetary incentive at all levels in the institution for an aggressive search for external funding that will assist in forwarding the missions of the University.

Applicability

This policy presents a basis that applies only to competitive grants or contracts and does not apply to such awards as capitation grants and other grants which are awarded on a formula or other non-competitive basis. This policy does not apply to grants or contracts related to research programs in University recognized Centers or Institutes. See Policy No. 19.056.

Policy

General funds equivalent to thirty-five percent (35%) of indirect cost income generated on grants and contracts shall he allocated to the area which generates the grant or contract.

Implementation

1. For research grants and contracts:

   Of the amount allocated to the area, a maximum of one-tenth may be allocated to the appropriate dean(s), a maximum of one-fourth may be allocated to the appropriate department chairperson(s) or unit director(s), and the balance will be allocated to the project director(s) or principal investigator(s).

   For proposals involving intrauniversity, intracollege, and/or two or more principal investigators, the distribution of the area allocation must be negotiated prior to submission of the proposal to the sponsor. Where agreement is not reached by the units involved, the final determination will be made by the Office of the Vice President for Research and Graduate Studies.

2. For all other grants and contracts

   The distribution of the amount allocated to the area in which the grant or contract is generated must be determined prior to submission of the proposal to the sponsor. Wherever possible, a reasonable proportion should be directed to those individuals who are instrumental in the development of the proposal.

   No single university agent (dean, chairperson, unit/area director, project director) may receive more than 40% of the area allocation unless a different distribution has been agreed upon all parties during the course of the proposal preparation. Where agreement is not reached by the units involved, the final determination will he made by the Office of the Vice President for Research and Graduate Studies.

3. Administrative procedures

   Allocations will be made on a monthly basis, and will be based on figures in the CUFS reports. The allocation shall be the responsibility of the Office of Research and Sponsored Programs (ORSP). Accounts will be established and maintained by that office for control of expenditures. All expenditures from these accounts must be approved by the ORSP.

   In order to accrue the most benefit from the sponsored programs incentive funds, funds unspent at the end of a fiscal year will be appropriated and made available in the following fiscal year to the accounts in which they remained unspent. This will allow all parties to meet long-range goals, particularly for major expenditures (e.g., large equipment items).

   Agreements on the distribution of area allocations different from the standard distribution listed in IV-A. and IV-B. above should be in writing and forwarded to the ORSP so that allocations can be made accordingly. The ORSP will not participate in the decision-making on how the funds are to be allocated.

4. Use of funds

   Use of funds is restricted to the enhancement of activities related to the funded project and to assist in the development of new projects by providing funds with which to cover the costs of writing new proposals, of travel associated with development of proposals for external funding, of pilot studies for new projects, equipment, and generally to promote research, scholarships, and professional development.