2:059 Sponsored Research Incentive Program
|Austin Peay State
|Sponsored Research Incentive Program
||March 25, 2017
||Provost and Vice President for Academic Affairs
||Office of Research and Sponsored Programs
In support of faculty and staff who earn external funding for scholarly and/or student-success
initiatives, those grant-recipients shall receive professional development funds proportional
to a percentage of the indirect costs collected by APSU. Also, additional proportions
of the indirect costs will be distributed to the hierarchical units of the grant-recipients,
thereby incentivizing support of future grant-writing activities. It is recommended
that this policy is reviewed with policy 2:060.
In alignment with APSU’s mission, this policy serves to incentivize grant-writing
to secure external funding in support of scholarly activities and/or student-success
programs. Funds collected from a percentage of indirect funds will be distributed
to the grant-recipients, departments/centers, colleges, Office of Research and Sponsored
Programs, and APSU general fund. The intent of these incentive-funds are to be used
in support of future grant-writing and student-success initiatives. These funds are
to be used in good-faith at the discretion of the recipients.
-Professional development funds
-Indirect Costs Reallocation
-Administrative Regulations and Considerations
|Indirect costs are those institutional costs, often referred to as facilities and
administrative costs, which are not readily identifiable with a particular project
or activity but nevertheless are necessary for the general operation of the institution
and the conduct of its activities. The cost of operating and maintaining buildings
and equipment, depreciation, general and departmental administrative salaries and
expenses, and library costs are types of expenses usually considered as indirect costs.
OMB, Uniform Guidance for federal Rewards (OMB Super Circular) defines indirect costs
as those that are incurred for common or joint objectives and therefore cannot be
identified readily and specifically with a particular sponsored project, an instructional
activity, or any other institutional activity.
An indirect cost rate is a device for fairly and expeditiously determining (within
boundaries of sound administrative principles, subject to governmental regulations)
that proportion of an institution’s costs that should be borne by each of its projects
To recover its allowable indirect cost pool of expenses, an institution must collect
its proportionate share from every project being performed by the institution if allowed
by the funding agency.
|Professional development funds (PD) are monies placed into an account governed by
the grant-recipients. These funds are generated from a percentage of the indirect
costs collected on grants, with a percentage being re-invested in the work of the
grant-recipient. PD can be used in support of activities, travel, and materials that
enhance the professional development of the grant-recipient. PD is not intended to
be used as money earned in addition to salary.
|This policy supports the mission of Austin Peay State University by providing an incentive
for grant-recipients, their departments/centers, colleges/areas, Office of Research
and Sponsored Programs as a reward for participating in competitive grant seeking
and provide future support of grant-writing initiatives. Sponsored Research Incentive
Program is notable in a number of ways. Among them are the following:
These elements are viewed as critical for the success of any efforts to increase external
- A monetary reward for faculty or staff who are active in funded research and/or grant-seeking
efforts, thus encouraging continued participation in the funded research and grant
enterprise within the campus community. The funds for grant-recipient will be deposited
into a Professional Development (PD) account for use and support of activities related
to the grant.
- Encouragement for previously inactive faculty or staff to conduct funded research
and write grants, thus increasing the number of faculty or staff involved in externally
- The attraction of accomplished professionals who have the ability to establish grant-funded
programs in areas of high growth potential.
- The retention of productive funded professionals and successful grant writers.
|To comply with federal cost principles in OMB Super Circular, the cost to the external
sponsor must remain unchanged as a result of the University’s policy. In general,
federal grants do not allow extra compensation to be directly charged. Most federal
grant programs provide for facilities and administrative costs (generally referred
to as indirect costs or IDC) to be recovered. Once the University receives indirect costs (see definition above) from a federal sponsor, the funds are incorporated into the University’s budget
and then are considered general operating funds which can be dispersed at the discretion
of the administration.
Below are the guidelines for the indirect costs reallocation.
- The funds for grant-recipient(s) will be deposited into a Professional Development
(PD) for use and support of activities for the grant.
- Any exception to the indirect rates or waiver of indirect costs must be approved in advance of any contractual commitment by the Director of Research
and Sponsored Programs and the Provost. Fifteen (15) percent of indirect costs recovered
from an eligible grant will be deposited into a PD account for the grant-recipient(s).
Ten (10) percent will be awarded to the grant-recipient’s department/center/area,
10 percent will be awarded to the grant-recipient’s academic college/area, 35 percent
will be designated to the Office of Research and Sponsored Programs, to support research
programming and committees which may include Graduate Research Counsel, IACUC, and
IRB. The remaining 30 percent will go to the general fund of APSU.
- Any exception to the salary recovery or waiver of salary recovery must be approved in advance of any contractual commitment by the Director of Research
and Sponsored Programs and the Provost. Ten percent of the salary recovery monies
(salary plus benefits) recovered from an eligible grant will be deposited into a PD
account for the principal investigator. 25 percent will be awarded to the principal
investigator’s department, 25 percent will be awarded to the principal investigator’s
academic college, 25 percent will be designated to the Office of Research and Sponsored
Programs, to support research programming and committees which may include Graduate
Research Counsel, IACUC, and IRB. The remaining 15 percent will go to the general
fund of APSU. See Policy 2:060 Indirect Cost and Salary Recovery.
- In the case of a collaborative proposal involving multiple institutions, the incentive
will be calculated from the indirect costs recovered by APSU only.
- When a project has multiple grant-recipients, the indirect costs will be divided according
to percent of effort devoted to the project.
- As a condition to the receipt of any award, the grant-recipient must remain, at all
times, in full compliance with the University’s Research and Sponsored Programs policies
as well as the policies of the sponsoring agency. (Also see Administrative Regulations and Considerations)
- The Office of Research and Sponsored Programs will provide oversight to the administration
of this policy and will mediate issues that may arise concerning the program.
- Funds allocated to grant-recipient(s) must be spent within two years of receipt unless
the Office of Research and Sponsored Programs grants an exception/extension.
- Recipients must use their grants and PD funds for the purposes for which they were
awarded and in accordance with the policies and guidelines of the program and of their
- The APSU administration may suspend the indirect cost and/or salary recovery funds
to a recipient or his/her department until the recipient meets the program’s eligibility
- The administration reserves the right to restrict, terminate or suspend a PD account
should the recipient cease to meet the eligibility criteria. It also reserves the
right to recover the PD funds paid out if a grant-recipient(s) no longer fulfills
the required eligibility criteria, or on the basis of fraudulent or inaccurate information,
or in error.
APSU Policy 2:059 (previously 7:005) – Rev.: March 25, 2017
APSU Policy 2:059 – Issued: August, 11, 2011
President: signature on file