Research-Related Policies - COE
- Karla Steffen
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- 1 Cost Matching/Cost Sharing in the College of Education
- 2 Faculty Academic Effort and Research Buyout Policy
- 3 Indirect Cost Return (IDC)
- 4 Publication and Affiliation
- 5 Research Expectations
- 6 Signature Delegation and Account Responsibility
- 7 Start-Up Funds for Newly Developed Centers
- 8 Use of Research Space
- 9 Resources
Cost Matching/Cost Sharing in the College of Education
Rationale
Increasingly, sponsors for sponsored projects expect the University and by extension the College to provide funds for a portion of direct project costs in the form of cost matching/cost sharing (referred to as cost matching for remainder of policy). Funds for this cost match must be real, direct chargeable, and accounted for at proposal stage. Due to limited funds assigned individually to principal investigators, the cost match must be a joint effort between departments, centers, the College, and the Vice President for Research, Scholarship, and Creative Endeavors (VPR).
Purpose
This policy provides guidance regarding cost matching financial support for COE principal investigators. It outlines when principal investigators should expect or request financial support from their Department, Center, and the College. Additionally, it provides guidance on what limitations may be placed on the principal investigator due to cost-matching requirements.
What is cost matching?
Sponsored project costs are divided into direct chargeable real costs and indirect funds recovery. Indirect fund recovery rates are charged based on the project type, sponsor limitations, and include costs that are real but not able to be directly associated with the project.
Direct costs are clearly identified transactions that will be incurred in the course of the project activities. Sometimes sponsors require the university to provide funds to support these costs in addition to the funds being provided by the sponsor. The University providing additional funds for direct cost support is called cost matching.
The College of Education will provide cost matching assistance for funding agencies that require a mandatory cost match. In general, the College will not provide cost match funds that are voluntarily committed to enhance the project or to maximize project costs.
Examples of cost matching in the College of Education
Allowable
The College of Education has determined that certain cost match opportunities may be included based on the normal availability of funds. Examples include:
Research effort performed as part of normal faculty duties paid off the associated project faculty member’s department instructional budget. See faculty effort policy for reference.
Course Release time to work on the project to be paid off of the associated project faculty member’s department instructional budget. A faculty development leave (FDL) grant would also qualify for this cost match.
Anything that would have been allowable to be charged to grant funds, but now is charged to an alternative internal account dedicated for cost matching.
Unique cost sharing opportunities:
Volunteer time of project staff, teachers, etc. that would have been charged as service fees, but instead are now documented as volunteer cost match.
Donated materials from industry partners for materials used on the project, e.g. iPads, Fitbits, software, etc.
Discounts given by partners specifically for the project to be used as cost match, e.g. service provider will give a 50% discount on normal services only for the project to be used as cost match (50% discount cannot be offered as normal discounted service to the public).
Waived fees from University or outside entities, e.g. TRC will grant waived fee on data access; Facilities will waive room charge for meeting space; school partner will allow free use of school facilities normally incurring service fees or room charges; school partner will allow free use of busses normally rented to the University; etc.
Volunteer faculty time during unpaid portions of the summer.
Not allowed
Please note, certain costs are UNALLOWABLE as cost matching regardless of applicability to the research performed:
Any cost normally charged as an indirect cost (printer toner and paper, technology life-cycle computer support, phone lines, etc.)
Administrative Time as cost matching
If administrative time above and beyond normal support is necessary for the project and can be demonstrated as a direct charge to the project, then that administrative time can be charged to an internal alternative dedicated fund source and matched to the project.
However, if administrative time is usually considered an indirect cost, it cannot not be charged as a direct cost for the purposes of cost matching.
Policy limitations
When requesting cost matching funds in the College of Education, the principal investigator must be aware of the following policy limitations:
The principal investigator must use the appropriate on-campus research rate as published in the UT Office of Sponsored Projects Indirect Costs memo.
If the principal investigator has any individual funds assigned that allow for cost matching, they must be matched in full prior to engaging in the remaining requests for sources of matching.
The principal investigator’s associated department is expected to provide a portion of cost match for faculty engaged on the project, most often in the form of faculty effort or course release time matched from the instructional budget (see above).
If the project is affiliated with an organized research unit (Center), then the Center must provide a portion of cost match to be matched by the College and the Office of the Vice President for Research, Scholarship, and Creative Endeavors.
Individual committed funds for direct cost spending at proposal stage, will be held in a separate account until a determination is made on the pending award.
Exception use
If the principal investigator’s affiliated Center cannot provide cost matching funds, they should consider alternative methods of support.
The College may consider, in some circumstances, to provide the additional match needed in lieu of Center support. However, the indirect cost return of the awarded project will then be retained by the College until the additional match amount is recovered.
Faculty Academic Effort and Research Buyout Policy
This policy pertains only to tenured and tenure-track faculty.
Rationale and purpose
With increasing scrutiny and audit compliance concerns around faculty effort, the College would like to create transparent policy and guidance around faculty effort and the research buyout process.
Faculty academic effort
Typical distribution of faculty duties is 40% teaching, 40% research, and 20% service. However, quantified effort in each long semester is documented as 25% teaching course #1, 25% teaching course #2, 50% research/service/other. Research buyout and allocations may change the quantified effort.
Research Buyout
Throughout the year, faculty have the option to engage in a research buyout to provide committed effort to a research project. A Research Buyout is 33.33% of a faculty member's semester salary [or 13.33 Scheduled Weekly Hours (SWH)]. This Research Buyout consists of reallocating 25% teaching effort and 8.33% research effort to a research project. The Research Buyout releases faculty from duties associated with teaching one of their two courses and reallocates a portion of time from their research to dedicate committed effort to a research project.
Research Buyouts must be requested and approved according to the process described at COE: Release Time (Leave From the Instructional Budget).
Reallocation of Instructional Budget
Faculty have the option to reallocate up to 20% of their normal instructional salary to research sponsored project commitments. However, beyond this 20% commitment faculty must engage in a research buyout (course release, plus research reallocation) to allocate appropriate funds and effort.
Note: A small portion (5%) of effort must be retained on internal funds at all times to account for research and other effort not allocable to sponsored projects.
Indirect Cost Return (IDC)
COE distribution - IDC
IDC distribution from the University to Colleges
Direct cost (DC) expenditures on grants result in the generation of indirect costs (IDC). The University keeps 75% of the IDC and 25% is returned to the colleges. The measurement period for the DC is the calendar year (CY), January to December, with the IDC returning to the colleges the following September.
Faculty and staff must submit grant proposals using a grants and contracts specialist in either the College of Education Research Administration (COERA), or through a COE center/institute (i.e., MCPER-VGC, IPSI, TexCEP, or CCSSE), or a University center/institute.Â
IDC distribution from COE to departments/centers/institutes
The 25% share of IDC returned to the college is distributed as follows:
IPSI: (Institute for Public School Initiates) has an alternative IDC return distribution mechanism outside of this policy.
For applications that are submitted by COERA, MCPER-VGC, TexCEP, or CCSSE:
40% will be returned to the submitting/administrating unit.
60% will be returned to the College to support College-wide research initiatives.
For applications that are submitted through a UT center or institute (e.g., Population Research Center):
The center director, principal investigator’s department chair, and the COE associate dean for research and graduate studies will reach an agreement about IDC distribution.
COE policy - IDC
Rationale
The federal government expects the University, and by extension the College, to incur a baseline level of costs for research regardless of funding received. The indirect cost rate provides partial reimbursement for research related incurred costs e.g. building maintenance, administrative support, library facilities, etc.
Purpose
This document provides guidance regarding financial support for COE researchers. It outlines when researchers should expect or request financial support from their Department or College. Additionally, it provides guidance on when researchers should request financial support from indirect cost return (IDC return) funds returned to their administrating unit. An administrating unit includes a college organized research unit/center e.g. TexCEP, IPSI, Meadows, COERA, etc.
For guidance on indirect cost return requests for COE researchers not affiliated with a College or University research center, see Indirect Cost Return - Requesting College Funds.
Review baseline support research expectations for the College, departments, and centers below.
College expectations - IDC
College baseline support research expectations
Technology
Tenured faculty, tenure-track faculty, some eligible professional track faculty, and full-time non-research staff are eligible for the Technology Life Cycle (TLC) program which consists of standardized computer equipment for required use on office work and academic purposes only. Assigned TLC may also be used for research but equipment will not be assigned for research-only purposes.
Research specific equipment for staff solely dedicated to research work can, in most cases, be direct purchased on externally funded sponsored projects with the correct allocation calculation and justification. Exceptions may qualify as an indirect cost item.
Research Space
Research space beyond guaranteed office space to faculty and staff is granted through an application process managed by the College of Education Facilities Office. Space already dedicated for academic purposes to faculty and staff may also be used in research work depending on security and other needs.
Administrative Services
Research administrative services are available through the College of Education Research Administration (COERA) Team. These services include proposal preparation, award negotiation and setup assistance, and post-award management, reporting, and account maintenance.
The Information Technology Office (ITO) provides research support through general technology support and purchasing assistance to faculty, staff, and students. Advanced software and technology support that requires large time commitments of support services possibly may require direct charging project support time. Additionally, ITO helps with Confidential Data Control Plans.
The Office of Instructional Innovation (OII) may help with instructional technology design and support. Advanced technology design and support that requires large time commitments of support services may require direct charging project support time.
Additionally, those organized research centers in incubation phase receive basic administrative support by the Dean’s office Business Services.
Additional Costs
The College provides annual travel funds for faculty to present research at national conferences.
Department and Research Center baseline support research expectations
Faculty
For their faculty, departments and Research Centers are expected to provide the following guaranteed costs from their dedicated instructional and materials and operating costs:
Salary
Fringe Benefits (centrally funded by the University)
Basic Software provided by the University (Microsoft Office Suite, Docusign, Qualtrics, Box, Crashplan backup software, any general office software expected at the faculty level)
Academic Software (Anything related to publishing, paper/manuscript writing, teaching, etc)
Office furniture
Dedicated office phone line
Access to a suite or unit printer with reasonable black and white printing allowances
Office Supplies for everyday use by the individual faculty member: Pencils, pens, post-its, highlighters, glue, tape, pads of paper, notebooks, file materials, tissues, PPE for individual work-related use, etc
Basic Administrative Services: HR, Finance, Purchasing
Research staff
For research staff associated with their units, departments and Research Centers are expected to provide the following guaranteed costs from their materials and operating costs:
Standard office furniture, as available
Dedicated office phone line
Access to a suite or unit printer with reasonable black and white printing allowances
Basic administrative services: HR, Finance, Purchasing
Research labs and offices
For research labs and offices associated with their units, departments and Research Centers are expected to provide the following guaranteed costs from their materials and operating costs :
Surplus office furniture, as available, only if secure office space is required
Access to a suite or unit printer with reasonable black and white printing allowances
Furniture moving/removal
Notes
Reasonable printing is at the discretion of the supporting unit. Dedicated printing that can be direct charged to specific sponsored projects should be performed by UT Document Solutions with invoicing detailing the specific research document required (IRB Consent forms, conference packets, etc).
Phone lines are required for performing business functions on behalf of the University, but not always required for performing research work. Any phone line needed specifically for research purposes (such as telehealth) that can be allocated to the project may be direct charged to sponsored projects.
Funding for specialty printing and/or printers are at the discretion of the supporting unit.
Indirect Costs beyond department support
For all indirect costs that are above and beyond those listed above, faculty may seek alternative funding sources to support their requests. Please follow these steps:
If a faculty member has a pre-existing indirect cost return account, start-up funds, COE project account, or unrestricted gift funds account - they must first use these funds.
If the faculty member does not have any alternative funds, they should request additional support from their academic department.
If the department cannot support the request, faculty should request it from their administrating unit.
If the administrating unit is COERA, review Requesting College funds - IDC.
Requesting College funds - IDC
Information below includes the policy for indirect cost return requests for COE researchers not affiliated with a College or University research center. The policy for accessing indirect cost return funds may vary based on your administrating unit.
Check with administrating unit and review COE Policy - IDC prior to engaging in process below.
Who can utilize these funds? How do I apply?
Any researcher engaged in research, not associated with a College or University research center can utilize these funds after determining they do not have any alternative fund accounts or department support as described above.
Researchers may apply for support through the College of Education Research Administration (COERA) office via the COE Indirect Cost Return Account Request Form. COERA will coordinate request, review, and approval with the Associate Dean for Research and Graduate Studies.
Examples of Indirect Cost Return use
Pre-approved uses
The College of Education has determined that certain indirect costs expenditures should be pre-approved for use of the indirect cost return account with minimal review. Examples include:
Background checks for associated research staff or consultants
Salaries above the NIH Salary Cap during the summer months
Uses requiring review and approval
Unique indirect cost return usage requests will require further review and consideration. Examples of IDC expenditures requiring review:
Funds to support the development and submission of a grant proposal
Tables or carts for project displays or project equipment and materials
Food costs directly associated with research studies – such as water bottles needed for a study on exercise or meals given to research participants as incentive to participate in a project
Participant incentives unavailable for direct charge on active sponsored projects
Cost overruns on sponsored project accounts
Cost sharing requests for proposals requiring mandatory cost share
ITS charges for research computer usage and research data storage
Uses not allowed
Please note, certain costs are UNALLOWABLE on indirect cost return accounts regardless of applicability to the research performed:
Academic/Instruction costs (e.g. TAs, AIs, etc)
Food costs for general research meetings, tabling/recruiting events, research parties, entertainment, etc.
Please direct any questions about this policy to the Associate Dean for Research.
Publication and Affiliation
The following policy applies to faculty who hold or plan to hold one of the following:
A secondary appointment (whether paid or honorary) at another university or research institution.
A visiting appointment at another university or research institution.
A summer appointment at another university or research institution.
Affiliate status in the form of a fellow or other title at a think tank, writer’s retreat, foundation program etc.
Affiliations – the institutions listed as the faculty member's scholarly home on papers, books, reports, exhibit catalogs, performances etc. – are a reflection of their organizational association. Per HOP 7-1070, except in very special circumstances, faculty, staff, and students should list UT as their Âprimary affiliation (i.e., the one listed first). This policy also gives clear criteria for listing a secondary affiliation. Â
When a faculty member agrees to a secondary appointment, they should pay special attention to requirements of any employment or affiliation document for listing the other institution as an affiliation on scholarly products. Unless explicit approval is granted by the Dean and the Office of Research Support and Compliance, faculty may not sign an agreement for a secondary or visiting appointment that requires them to list another institution as the first affiliation. In listing such institutions as a secondary affiliation, faculty must follow the criteria established by HOP 7-1070, part VIIA. Please contact the Office of Research Support and Compliance for help navigating this requirement, or with any questions.
In particular, when entering into agreements with foreign institutions, aligning with the requirements in HOP 7-1070 can prevent problems. Some federal sponsors use affiliation and acknowledgement information as input data in their effort to ensure compliance with reporting requirements for current and pending support. Listing secondary institutions on publications as either first or second affiliations when those affiliations have not been fully disclosed to UT and federal sponsors may cause problems for scholars. Secondary affiliations should not be indicated unless the secondary institution has provided substantive support for the research, and that support has been properly disclosed to both the university and federal sponsors.
For concerns about existing agreements, please reach out to the ORSC Science and Security team. As faculty seek to enter into new agreements, they should refer to the university’s guidance on contracting language as a resource for identifying where contract clauses may conflict with university policy. Â
Related policies
Research Expectations
All tenured/tenure-track faculty are expected to participate in active efforts. This activity will do much to further the professional stature of the faculty member, enhance the national and international reputation of the College, and improve the faculty member’s teaching effectiveness.
Tenured/tenure-track faculty who are not engaged in an active research program are required to develop an Individual Faculty Research Productivity Plan or are required to teach an additional organized course each long session.
Faculty should inform their department chair before proposals are submitted to the College of Education Research Administration Team (COERA).
Additional information regarding research-related workload guidelines for full-time tenured, tenure-track, and professional track faculty is available at COE: Workload Policies.
Additional resources in COE
Signature Delegation and Account Responsibility
A faculty member may delegate signature authority to an office manager for paper or electronic documents, but this does not relieve the faculty member of their fiscal responsibility and accountability for accounts under the faculty member’s control. All faculty are encouraged to develop adequate accounting systems that meet these requirements. Rules regarding the delegation of signature authority are found in HBP Part 1.3.2: Signature Authority.
Start-Up Funds for Newly Developed Centers
Newly developed Centers that are recognized as an Organized Research Unit (ORU) by the Vice President for Research Office and the College of Education are invited to apply for one-time start-up funds.
Newly developed Centers should submit a written request via email to the Associate Dean for Research and Graduate Studies within the first six months of launching to request the one-time start-up funds ranging from $5,000 to $20,000.
Written requests must be accompanied by a three-year growth/entrepreneurial plan that includes existing grant funding, expected grant funding, expected grant submissions, and how start-up funds will be used.
Start-up funds will be available to the newly developed Center for a maximum period of three years. Funds not spent within three years will be swept by the College.
Funds can be used to cover infrastructure and operation costs, and incidentals, including but not limited to computer equipment, printers, copy machines, and business supplies, such as paper and pencils, etc.
Generally, funds cannot be used to fund personnel to staff the ORU.
Use of Research Space
COE policy
Given our ever-expanding research activities, our space is limited and requires principles to guide space allocation across the College. The departments have space (i.e., faculty suites) to serve their program areas. In some cases, there is minimal space that can be used as research space or for graduate students. With flexible work arrangements, constraints on our space may be less urgent and provide an opportunity to use our space more creatively.
Process for space requests
If a researcher is not affiliated with a designated research center, consult with department chair first to determine if any space exists within departmental allocated space.
If a researcher is affiliated with a designated research center, the researcher should first consult with their center to identify appropriate space.
The College has space that can be allocated for research projects. These spaces will be allocated via an application process, reviewed by the Associate Dean for Research & Graduate Studies (ADR & GS) and the Facilities & Construction Manager (F&CM). The application process will require a detailed and justified account of the need, and purpose of the requested space. Download the COE Space Request Application.Â
Researchers with external funding will be prioritized as external funding sources typically expect that the university allocate space for the project as a part of the evaluation of the grant proposal. Evaluation of need at award time does not guarantee space to the researcher. If the researcher requires space to accomplish proposed project goals, they will consult with the ADR & GS and F&CM prior to proposal submission to confirm that space allocation will be possible at time of award.
On occasion, faculty are leading projects that include graduate students and collaborators outside the College, or are not funded. In these cases, researchers can request space and provide a justification for the need for space and evidence that future funding is likely. If space is available, these requests will be considered.
When grant funding has ended, researchers will vacate the space within three months, when time permits, following the conclusion of the grant. Moves will occur at the beginning or end of semesters to minimize disruption. To extend use of the space, researchers may apply for an extension. Potential justifications include:
If researcher has a no-cost extension, researcher can justify that space with limited rationale for the period of the extension to the ADR & GS.
Researcher is writing or has submitted proposals for new funding for which some space is needed, or the researcher has major grants pending.
New faculty hires
Occasionally, new faculty hires conduct research that requires a commitment of space which cannot be accommodated by the current departmental allocation. Department chairs should involve the F&CM to determine space availability. Offer letters will not offer research space in perpetuity. In rare situations, offer letters can specify research space for an extended period of time, as long as the faculty member has an active research program. If space is reduced, faculty maintain the option to request more space once they have a funded grant.
Resources
Please send suggested additions to this page and notifications about broken links to COE-FacultyAffairs@austin.utexas.edu.
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