Research and Sponsored Projects Manual (RSP)

[horizontal rule]

Effective: 8/16/2004

Revised: 11/1/2010 

[horizontal rule]
[ASU logo]

RSP 106: Allocation of Recognition, Research Incentive Distribution, and Investigator Incentive Awards

[horizontal rule]

Purpose

[horizontal rule]

To define how investigators on sponsored projects are identified and assigned to home units and affiliated centers/institutes for the allocation of Recognition, Research Incentive Distribution, and Investigator Incentive Awards

[horizontal rule]

Sources

[horizontal rule]

Office of the Provost of the University
Office of Knowledge Enterprise Development
Office for Research and Sponsored Projects Administration

[horizontal rule]

Policy

[horizontal rule]


Identification of Investigator Home Units

The “home” unit is the academic unit to which the tenured or tenure-eligible principal investigator (PI) or co-principal investigator (Co-PI) is assigned. This unit is designated on the faculty or academic professional’s Notice of Appointment or Joint Appointment. In the case of a Joint Appointment, each academic school, department, program center, and/or institute is separately identified as one of the investigator’s home units.

The home unit for a nonacademic university employee serving as a PI or Co-PI is the home department designated on his or her Hiring Process Report (HPR).


Identification of Center/Institute Affiliations

Investigators utilizing services, labs, space, project support, and/or other resources of an ASU center or institute are required to indicate this affiliation for center/institute allocation purposes on the ASU Proposal Routing and Approval Form. Additionally, investigators with an ASU center or institute indicated in their official appointment or hiring records will include this unit as both their home unit and affiliated center/institute.

Only centers or institutes listed as Arizona Board of Regents (ABOR)-approved ASU centers and institutes or identified by the Office of Knowledge Enterprise Development (OKED) as centers or institutes may be designated an affiliated center/institute.


Application of Allocation Rates

All investigators, their home unit(s) and their percentages of Recognition (REC), Research Incentive Distribution (RID), and Investigator Incentive Award (IIA) are identified in the allocation section of the Proposal Routing and Approval Form for each sponsored project.

The proportions identified for each investigator and his or her home unit(s) determine the amount of Recognition each will receive for each project (proposal, award, and expenditure) and the proportions of available OKED RID and IIA funds they will receive. To appropriately identify and allocate REC, RID, and IIA, completion of the allocation section of the Proposal Routing and Approval Form is required.

When an investigator designates an affiliated center/institute, the proportion of REC for that center/institute will be equal to the proportion identified for the investigator’s home unit. This allows the same recognition of sponsored project activity to be counted for both home unit and center/institute affiliation purposes.

The formula for calculating available RID and IIA funds and any overall split between units designated as home units and affiliated centers/institutes is determined by the assistant vice president for the Office of Knowledge Enterprise Development (OKED). The details on the calculation can be found on the ORSPA Web site.

Changes to an investigator’s official appointment, hiring records, and/or allocation percentage may require a change to information previously certified on the ASU Proposal Routing and Approval Form. Any change in home units, affiliated centers/institutes, or allocation that is not the result of disestablishment must be approved by all original home units, affiliated centers/institutes, and all new home units and affiliated centers/institutes.

In all cases, approval of the investigators, home units, affiliated centers, and allocation percentage splits is confirmed by the signatures of all parties on the Allocation Form (ORSPA 300B).

For more information on how RSP policies are implemented during each phase of a project, see the ORSPA Web site.

[horizontal rule]

Cross-References

[horizontal rule]

For additional information, see the following:

  1. RSP 101, “General Research Policy”
  2. RSP 102, “Principal Investigator Eligibility”
  3. RSP 103, “Principal Investigator Responsibilities”

    and

  4. RSP 107, “Lead Unit Identification and Responsibilities.”

For additional information on appointments and faculty and academic professional ranks and titles, see the Academic Affairs Policies and Procedures Manual (ACD)— ACD 505, “Appointments.”

skip navigation bar


RSP manual | ASU policies and procedures manuals | Index of Policies by Title | RSP manual contact | ORSPA Web site

Back to Top

Valid HTML 4.01 Transitional