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Effort on Grants

COM Policy on Salary Recovery
 
The College of Medicine expects that all research active faculty members at the level of associate or full professor will recover a minimum of 6 months (50%) of their salary from external sources.  This includes faculty members with 9 month appointments; such faculty members are expected to recover 6 months of their combined academic semesters and off duty semester (OD) salaries.  At the discretion of the department chair, a three year rolling average of salary recovery may be used to determine whether a faculty member has met these expectations. The fiscal year of July 1-June 30 will be used for these calculations.
 
Newly hired faculty at the assistant professor level will be expected to recover 25% of their salary within three years, and 50% within 6 years.
 
Guidelines for direct salary appointment to grants for new grant submissions and for existing grants follow.
 
NEW GRANT APPLICATIONS
1) All new grants must have budgeted salary recovery to cover the principal investigator’s time unless it is precluded by the granting agency (for example , NSF grants).
 
2) On a RO1-type grant or equivalent (eg, DoD, P01, U54 or SPORE project) a minimum of 3 calendar months (25% effort) must be charged to the grant. This includes Multi-PI (MPI) grants, e.g., for a Dual-PI application 3 months effort should be charged for each investigator.
 
3) For program/project type grants and/or cooperative agreement (eg, P01, U01)  co-investigators who direct programmatic and/or shared service cores should be budgeted for a minimum of 1.2 calendar months (10%)   effort.
 
4) For grants that allow salary recovery but which limit budgets   <$150,000 per year (e.g., NIH  R21 grants or grants from private foundations) a minimum of 1.2 calendar months (10%)  of PI salary must be budgeted.
 
5) No cost share of effort is allowed on new grant applications unless specifically required by the granting agency; the written permission of the chair and dean is required in such cases.
 
6)  Any exceptions to these guidelines must be provided in writing to the chair with subsequent approval by the chair and the dean. 7) Budgets and internal PA-05 forms for either 12 month appointments or 9 month appointments must follow NIH guidelines for determining effort commitment by calendar months.  See: 
Budgeting for 12 month appointments is straight-forward, as calendar months of commitment are directly equivalent to salary months.  9 month appointments are more complicated, and the following examples are provided to clarify how budgets should be prepared:
 
a) Example of a 9 month/off quarter calculation that fits the NIH guidelines and would be approved by the department and college:
 
25% time/effort for 9 months and 3 months summer term at 25% time/effort to the project, that is 25% through the entire year
 
(9 mo x 25% = 2.25 academic months) + (3 mo X 25%= .75 months OQ months )=3.0 months.
 
b) Example of a 9 month/off quarter plan that doesn’t fit NIH guidelines and would not be approved by the college:
 
0% effort for 9 months (0 months) and 100% effort for three months (3 months)=3.0 months
 
c) Example by which a PI could recover 2.5 months of off-quarter under semesters with one grant:
 
39.0% effort for 9.0 months and 83% effort for 3.0 summer months= 3.5 months + 2.5 months=6 months (50% effort through the entire year);
 
Since 9 month salary  is spread out over 12 months, the grant would be charged 29.3 % of 9 month salary per month.
 
Per Office of Research and Provost guidelines for 9 month appointments under semesters, the extra 2 weeks charged to the grant during the academic year in this example could be repaid by the department to provide the full 3 month OD salary.
 
d) Example of full summer salary from two NIH grants, each with 3 months effort:
2X {1.75 months (academic year)+1.25(off-quarter)=3 months total (25% effort)}
 
Each grant would be charged 14.6% of the 9 month salary per month.
 
Per Office of Research and Provost guidelines for 9 month appointments under semesters, the extra 2 weeks charged to the grants during the academic year in this example  could be repaid by the department to provide the full 3 month OD salary.
 
e) Example for 3 grants; every grant is required to budget 3 months effort
3X{2.17 months (academic) + 0.83 (off-quarter)}=3 months
 
Total effort would be 9 months (75%)
 
Each grant would be charged  13.5% per month. As above, the additional 0.5 months of OD could be returned by the department from the extra two weeks paid during the regular academic year.
 
f) Example of a R21 or foundation grant with 1.2 months effort
 
0.6 months academic + 0.6 months OD= 1.2 calendar months.
 
g) Example of a NIH grant as a co-I with 1.2 months (10%) effort
 
0.6 months academic + 0.6 months OD= 1.2 calendar months
 
CURRENT ACTIVE GRANTS
Essentially the same rules will apply for active grants, that is, a minimum of 3 months (25%) effort per PI per grant must be charged independent of the type of faculty appointment held. To allow time for planning and implementing any necessary adjustments with NIH, the guidelines for existing grants will take effect September 1, 2012.  Thus, this will effect off duty salary beginning in fiscal 2013, and grant should be adjusted accordingly. 
 
1) All active grants should be adjusted to a minimum of 3 months (25%) effort at the next non-competitive renewal of the grant.     
 
2) No cost share of effort on an active grant is allowed without the written approval of the chairman and the dean. Cost sharing is allowable on grants that are in No Cost Extensions (grants that are still active, but without new budget years).
 
3) For active grants held by faculty with 9 month faculty appointments, effort assigned to the off-duty semester must be at least equal to effort assigned to academic semesters.
 
Example of adjustment of a grant held by a PI with a 9 month appointment
 
Current: 0 months effort academic semesters + 3 months effort off-duty semester=3months effort
 
Adjusted: 1.5 months effort academic semesters + 1.5 months effort off-duty semester=3 months effort.