federal indirect costs program how does it work? federal indirect costs program how does it work?...
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Federal Indirect Costs ProgramFederal Indirect Costs Program
How does it work?How does it work?
Susan Blum, Ph.D.
Director Research ServicesAssociate Deans Research Forum
October 24, 2008
Research ServicesResearch Services
What is it?What is it?
Federally funded programDesigned to assist Canadian universities
in offsetting the IC of research resulting from Tri-Council awards
Allocations are made annually on the basis of an institution’s Tri-Council performance.
Research ServicesResearch Services
What is it for?What is it for?
To assist in covering the following expenditures:FacilityManagement and AdministrationResourcesRegulatory Requirements andIntellectual Property
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Funds received by the U of SFunds received by the U of S
Fiscal Yr
Federal Allocation
% Increas
e
UofS Allocation
% Increas
e
Additional Fund
Received*2003-04
225,000,000
- 4,483,343 - -
2004-05
245,000,000
8.9 4,845,722 8.1 303,619
2005-06
260,000,000
6.1 5,064,799 4.5 204,691
2006-07
300,000,000
15.4 6,325,538 24.9 716,290
2007-08
330,000,000
10.0 7,148,389 13.0 313,896
2008-09
315,000,000
-4.5 8,142,816 13.9 TBD
Treasury Board FormulaTreasury Board Formula
Indirect Costs Grant for 2008-2009 $8,142,592
Indirect Costs Grant as a percentage of direct costs
25.2%
Three year rolling average $32,353,129
Total Funding (3 previous yrs –next slide)
$97,059,386
Three-year rolling averageThree-year rolling average
Agency 2004-2005 2005-2006 2006-2007 NCE-3 yrs Total
NSERC $19,017,217 $21,269,674 $23,309,479 $1,462,421 $65.058,791
CIHR $8,570,298 $7,530,144 $9,425,280 $700,037 $26,226,759
SSHRC $1,616,700 $1,885,241 $2,000,512 $271,383 $5,773,836
Total $29,204,215 $30,686,059 $34,735,271 $2,434,841 $97,059,386$97,059,386
There is a gap of 1-yr in the formula, i.e., for 2008-2009, 2007-2008 is not used.
Management at U of SManagement at U of SPCIP oversightOVPR manages the IC allocation working
closely with Budget Management IC Advisory Committee
Representatives from Council Committees, Colleges, and campus administrative units
Recommends allocation of funds for research-focused services and initiatives
IC Operational AdministrationIC Operational Administration
Innovations Program Unit, Research Services
Manager, Amit Shukla, Ph.D.Contact 966-2083,
amit.shukla@usask.ca
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U of S DistributionU of S Distribution
IC funds are distributed among three broad categoriesSustainability (Operating Budget)CLS AllocationNew Initiatives (Research Support)
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Split between 3 categories Split between 3 categories
Until 2006-07, IC funds were distributed approx. 50:50 (Sustainability:New Initiatives)
Spring 2007PCIP froze the NI funds at $3.167 million
(which includes the College Priority FundTo provide IC allocation to CLSDue to CLS allocation since 2007-08, the split is
no longer 50:50
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Steps to achieve 50:50 splitSteps to achieve 50:50 split
After removing the CLS portion, the New Initiatives portion will stay at $3.167M until Sustainability portion catches up
Research Services – Grants UnitResearch Services – Grants Unit
Sustainability (operating budget)Sustainability (operating budget)
Expenses under this category already existed prior to the inception of the IC program
Funds are used to offset existing operational cost already being incurred by the U of S due to increased Tri-Council research activity
This allocation non-negotiable
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Sustainability-examplesSustainability-examples
Operating Costs for Research Space (renovations, heating, electricity, water)
Library ResourcesHuman and Animal Ethics Information & Communication
Technology
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CLS AllocationCLS Allocation
CLS is unique because:pays for all infrastructure & administrative services
it receives from the U of SCFI application-IC monies directly attributable to
go to CLSB of G decision-U of S provides all IC funding
attributable to the CLS MFA grant directly to CLS. Need clear & transparent funding strategy for the CLS
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New Initiatives (research support)New Initiatives (research support)
Funding used for new initiatives that further the research enterprise and increase research intensiveness at the U of S
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New Initiatives - ExamplesNew Initiatives - Examples College specific activities through the College
Priority Fund Internal award programs to support & promote
individual & collaborative research proposals
e.g. Research Acceleration Program (RAP) & Proposal Development Awards
Technology transfer activities Research Environment Enhancement (REE)
initiatives e.g. Landscape document, Research Magazine, etc.
Research ServicesResearch Services
IC Budget over last 3 yrsIC Budget over last 3 yrs
IC Program Totals 2008-2009 2007-2008 2006-2007
Sustainability $2,935,508 $2,739,875 $3,157,927
Sustainability (CLS) $1,727,871 $1,240,902 -
New Initiatives $3,167,610 $3,167,610 $3,167,611
One-time allocation $308,825 - -
Total for fiscal year $8,142,814 $7,148,387 $6,325,538
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2008-2009 Distribution (%)2008-2009 Distribution (%)
Sustainability = 36%
(VP Finance & Resources) IC Funds to CLS = 21%
(VP Finance & Resources)New Initiatives = 43%
(VP Research)
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2008-2009 Distribution ($$)2008-2009 Distribution ($$)
Sustainability = $2,938,508
(VP Finance & Resources) IC Funds to CLS = $1,727,871
(VP Finance & Resources)New Initiatives = $3,476,435
(VP Research)
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New Initiative–Breakdown (%)New Initiative–Breakdown (%)
College Priority Fund = 12% OVPR Administration = 12% Intellectual Property = 7% Strategic Research Fund = 6% Proposal Development Awards for Faculty=3% Research Environment Enhancement = 3%
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New Initiative-Breakdown ($$)New Initiative-Breakdown ($$)
College Priority Fund = $923,323 OVPR Administration = $1,168,404 Intellectual Property = $713,026 Strategic Research Fund = $150,000 Proposal Development Awards = $254,834 Res. Environment Enhancement = $266,848
Research ServicesResearch Services
College Priority FundCollege Priority Fund
Total IC funding available over the
last three years has been $923,323 Funds are allocated based on each
College’s percentage in total Tri-Council funding received by the University (based on a three-year rolling average with a gap on one year)
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Annual IC Outcomes ReportAnnual IC Outcomes Report
In order to be eligible to receive funding, each institution is required to submit an annual Statement of Account and Outcomes Report
Report should describe how IC funds were used in the previous fiscal year and how the institution is meeting the program's objectives
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University ResponsibilityUniversity Responsibility
Funds must be spent in the year in which they were awarded. Unspent balances cannot be transferred to the institution's general research fund or carried forward to the next fiscal year.
Funding is suspended to any institution that does not fulfill this reporting requirement
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Unit ResponsibilitiesUnit Responsibilities
At the time the funds are disbursed to the U of S communityeach unit is provided with a list of eligible
and ineligible expensesa specific plan for the allocation of these
funds is determined
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Unit Responsibility-2Unit Responsibility-2
Fiscal year end, each units provides an Outcomes Report • Explain expenses incurred according to the plan
under the categories: Facilities, Intellectual Property, Management & Administration, Regulatory Requirements, and Resources
Reports are compiled into a summary report and submitted to the funding agency yearly for end of June
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U of S Leads the WayU of S Leads the Way
U of S recognized and commended“Your 39-page supplement is impressive! …
use some of these extra examples in our report to the Minister.” (ICP)
One of the few institutions where IC funding is used on so many diverse initiatives. Most institutions use their IC funds to offset operating cost related to facilities (water, electricity and utilities)
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Questions Questions
and and
AnswersAnswers
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