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Local Funds Use and Regulation

Policy Statement Covering Distribution of Indirect Cost Funds from Externally Sponsored Grants and Contracts - 5D1

  1. Final authority for submittal of externally sponsored grants, contracts, or special projects proposals rests with the Chancellor or his/her delegated representative.

  2. Final authority for approving externally sponsored grants, contracts, or special projects rests with the Chancellor.

  3. For obtaining the Chancellor's approval, externally sponsored grants, contracts, or special projects proposals or final awards, will be forwarded to the Research and Projects Office for review and for recommending approval to the Chancellor, as well as securing the approval of the Research and Projects Fiscal Management Office and other approvals deemed necessary by the Office of Research and Projects. It will also be the responsibility of the Research and Projects Office to submit informational copies to the chief officers of functional areas * when appropriate.

  4. Any and all negotiations with the external sponsoring agency between the time of proposal submittal and the acceptance of the final award by the Chancellor will be coordinated with the Research and Projects Office.

  5. When a contract has been entered into by the University and the sponsoring agency, the Research and Projects Fiscal Management Office will establish or designate an appropriate University account for the financial transactions of the grant, contract, or special project.

  6. During the period of the grant, the Research and Projects Fiscal Management Office will be responsible for the following according to contractual stipulations:

    1. monitoring expenditures

    2. preparing of reimbursement requests

    3. preparing of interim and final fiscal reports

    4. reviewing and forwarding of requests for changes in budgetary categories

    5. distributing indirect cost reimbursement funds

    6. negotiating with agency auditors.

  7. Personnel funded by grants, contracts, or special projects will be reassigned to the designated account for the period stipulated in the contract. State funds that become uncommitted by such reassignment, become negotiable between the chief officer of the functional area and the unit conducting the project. Funds sufficient for the real and necessary cost of academic replacement will go to the researcher's unit.

  8. Indirect cost reimbursement funds generated by externally sponsored grants, contracts, and special projects beyond real and necessary costs of Research and Projects Fiscal Management will be distributed as follows:

    1. Training Grants (Instructional), Public Service, and Other Special Projects:
      67% Generating Unit
      33% Graduate School - Office of Research and Projects

    2. Research Projects:
      40% Generating Unit
      60% Graduate School - Office of Research and Projects

    Funds designated for a unit (under a. and b. above) will be transferred to the unit and will be available for purposes as specified under the policies developed by that unit and approved by the chief officer of the appropriate functional area.

    Funds which accrue to a unit through distribution of indirect costs reimbursement as described in the preceding policy statement are University funds and thus subject to all regulations which pertain to the expenditure of other University funds. For example, all commodities and equipment purchased by indirect cost reimbursement dispersed dollars become the property of Southern Illinois University Edwardsville.

    Subject to limitations in Item 9 below, suggested uses of funds may include: equipment; commodities; temporary faculty or civil service employees; assigned time; grant proposal development; contractual services; professional travel; graduate student support; and student wages. Expenditures of such funds must have the prior approval of the fiscal officer.

  9. Indirect cost reimbursement funds are restricted to the following uses unless approved for other use by the Chancellor:

    1. Department, School or College research and administrative costs related to grant and contract activity.

    2. Central Administrative costs related to grants and contracts.

    3. Matching funds on grants and contracts.

    4. Costs that may lead to securing grants and contracts.

    5. Reimbursement of grants and contract expenditures disallowed by the granting agency.

    6. Expenditures not reimbursed by the grant or contract agency.

    7. Dissemination of results from grants and contracts.

    8. Instructional symposia and program development related to grants and contracts.

    Each fiscal officer will be required to submit a detailed annual report of income and expenditures to the appropriate chief officer of the functional area on or before August 15 each year which will cover the preceding fiscal year. A summary evaluation of substantive accomplishments is to be submitted at the same time.

    Definition of Instruction, Research, or Special Projects for Externally Sponsored Grants or Contracts

    Research is broadly defined as all creative, critical, scholarly, and/or empirical activity (other than that normally associated with instruction and curriculum development) which expands, clarifies, reorganizes, or develops knowledge or artistic perception. This definition of research includes the demonstration, implementation, application, and dissemination of research results and those grants designated as research by the granting agency.

    Instruction is defined as those activities that are carried out with the purpose of eliciting some measure of education change in a learner or group of learners. These activities include curriculum development, course formats and content, and teaching techniques. Establishing, expanding, or improving opportunities for individuals interested in a career in teaching or administration are also considered to be instructional activities. Instructional activities include both "teaching" and "facilitating" the acquisition or improved understanding of some portion of a body of knowledge. All instructional activities are limited to those which support academic credit.

    Public Service is defined as those activities not defined as research or instruction which make available to the public the various resources of the institution. Public Service activities include non-degree instructional programs. They include activities which respond to community interests or needs.

* Defined by current University structure.

Approved by Chancellor effective 8/2/95
This policy was issued on November 12, 2002, replacing the April 4, 2000 version.
Document Reference: 5D1
Origin: GR 1-84/85; OP 8/2/95

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