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Federal Indirect Costs Program How does it work? Federal Indirect Costs Program How does it work? Susan Blum, Ph.D. Director Research Services Associate.

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Presentation on theme: "Federal Indirect Costs Program How does it work? Federal Indirect Costs Program How does it work? Susan Blum, Ph.D. Director Research Services Associate."— Presentation transcript:

1 Federal Indirect Costs Program How does it work? Federal Indirect Costs Program How does it work? Susan Blum, Ph.D. Director Research Services Associate Deans Research Forum October 24, 2008 Research Services

2 What is it?  Federally funded program  Designed 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 Services

3 What is it for?  To assist in covering the following expenditures:  Facility  Management and Administration  Resources  Regulatory Requirements and  Intellectual Property Research Services

4 Funds received by the U of S Fiscal Yr Federal Allocation % Increase UofS Allocation % Increase Additional Fund Received* 2003-04225,000,000 -4,483,343 - - 2004-05245,000,0008.94,845,7228.1303,619 2005-06260,000,0006.15,064,7994.5204,691 2006-07300,000,00015.46,325,53824.9716,290 2007-08330,000,00010.07,148,38913.0313,896 2008-09315,000,000-4.58,142,81613.9TBD

5 Treasury 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

6 Three-year rolling average Agency2004-20052005-20062006-2007NCE-3 yrsTotal 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 There is a gap of 1-yr in the formula, i.e., for 2008-2009, 2007-2008 is not used.

7 Management at U of S  PCIP oversight  OVPR 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

8 IC Operational Administration  Innovations Program Unit, Research Services  Manager, Amit Shukla, Ph.D.  Contact 966-2083, Research Services

9 U of S Distribution  IC funds are distributed among three broad categories  Sustainability (Operating Budget)  CLS Allocation  New Initiatives (Research Support) Research Services

10 Split between 3 categories  Until 2006-07, IC funds were distributed approx. 50:50 (Sustainability:New Initiatives)  Spring 2007  PCIP froze the NI funds at $3.167 million (which includes the College Priority Fund  To provide IC allocation to CLS  Due to CLS allocation since 2007-08, the split is no longer 50:50 Research Services

11 Steps 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 Unit

12 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 Research Services

13 Sustainability-examples  Operating Costs for Research Space (renovations, heating, electricity, water)  Library Resources  Human and Animal Ethics  Information & Communication Technology Research Services

14 CLS Allocation  CLS is unique because:  pays for all infrastructure & administrative services it receives from the U of S  CFI application-IC monies directly attributable to go to CLS  B 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 Research Services

15 New Initiatives (research support)  Funding used for new initiatives that further the research enterprise and increase research intensiveness at the U of S Research Services

16 New 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 Services

17 IC Budget over last 3 yrs IC Program Totals2008-20092007-20082006-2007 Sustainability$2,935,508 $2,739,875$3,157,927 Sustainability (CLS)$1,727,871$1,240,902 - New Initiatives$3,167,610 $3,167,611 One-time allocation $308,825 - - Total for fiscal year$8,142,814$7,148,387$6,325,538 Research Services

18 2008-2009 Distribution (%)  Sustainability = 36% (VP Finance & Resources)  IC Funds to CLS = 21% (VP Finance & Resources)  New Initiatives = 43% (VP Research) Research Services

19 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) Research Services

20 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% Research Services

21 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 Services

22 College 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) Research Services

23 Annual 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 Research Services

24 University 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 Research Services

25 Unit Responsibilities  At the time the funds are disbursed to the U of S community  each unit is provided with a list of eligible and ineligible expenses  a specific plan for the allocation of these funds is determined Research Services

26 Unit 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 Research Services

27 U 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) Research Services

28 Questions and Answers Research Services

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