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<p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";
color:#1F497D'>This is an example of use of a faculty incentive for grant
proposal seeking at the University of South Alabama. This is a follow-up from
the Faculty Incentives and Barriers Subcommittee of the OSRHE Grantsmanship
Advisory Committee. <o:p></o:p></span></p>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><b><i><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif";color:#1F497D'>UNIVERSITY
OF SOUTH ALABAMA <o:p></o:p></span></i></b></p>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Using money from a
rather unique internal resource (the Patent Fund), we were able to offer PIs
submitting federal proposals with $50,000 or more in direct costs $1000 just
for submitting. (CoPIs received $500). If the proposal was funded, there
was an additional $2000 PI/CoPI bonus.<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> <o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>The results were as
follows: in the year prior to the program, 184 proposals were submitted. In the
year of the program, 385 were submitted; 250 were VPIP proposals (that's a
109.2% increase with 64.9% being VPIP). In terms of dollars, in the year
prior to the program, we had (rounding) $24 million in awards. In the year
following, we had $47 million (rounding); $42 million came from VPIP grants.
So, in dollars, we had a 96.5% increase in funds; 90.2% were VPIP awards.
The expenditures for faculty incentives totaled at $441,000.
The front-end incentive totals were $335,500; the back-end
post-award incentive totals were $105,500.<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> <o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>This data was taken
in November of 2010. Given the success of the VPIP's "test
year," USA's Vice President for Research, Dr. Russ Lea, decided to
re-implement the program effective April 2011. <o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> <o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>One more note on
faculty eligibility...proposals <em><span style='font-family:"Tahoma","sans-serif"'>had</span></em>
to be peer-reviewed and signed off on by the departmental dean or chair. <o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> <o:p></o:p></span></p>
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<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Amy Brown<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Grants Development
Specialist II<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Office of Sponsored
Programs<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>University of South
Alabama<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Mobile, AL 36688<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'><a
href="http://www.southalabama.edu/osp">www.southalabama.edu/osp</a><o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>(251) 460-6456<o:p></o:p></span></p>
</div>
</div>
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<div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif";color:#1F497D'><o:p> </o:p></span></p>
<p class=MsoNormal style='mso-margin-top-alt:0in;margin-right:3.0pt;margin-bottom:
0in;margin-left:0in;margin-bottom:.0001pt'><span style='font-size:11.0pt;
font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>Another example of a
faculty incentive program, like the University of South Alabama VPIP program,
dramatically increasing grant funding at a school with a smaller-size research
program (Ball State), from Technology Transfer Tactics (an academic tech
transfer e-mag): <a
href="http://www.technologytransfertactics.com/content/2011/06/29/faculty-incentive-program-leads-to-growth-in-external-funding/"
target="_blank">http://www.technologytransfertactics.com/content/2011/06/29/faculty-incentive-program-leads-to-growth-in-external-funding/</a><o:p></o:p></span></p>
</div>
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<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'><o:p> </o:p></span></p>
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<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>Jacob E.
Levin Ph.D.<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>Assistant
Vice Chancellor - Research Development<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>Director
of Research Development for the Natural Sciences<o:p></o:p></span></p>
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<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>160G
Aldrich Hall<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>University
of California, Irvine<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>Irvine,
CA 92697-3174<o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>phone <a
href="tel:949%20824%200126" target="_blank">949 824 0126</a><o:p></o:p></span></p>
</div>
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<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>Fax <a
href="tel:949%20824%200127" target="_blank">949 824 0127</a><o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'>email <a
href="mailto:jlevin@uci.edu" target="_blank">jlevin@uci.edu</a><o:p></o:p></span></p>
</div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Arial","sans-serif";color:black'><o:p> </o:p></span></p>
</div>
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<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'><img border=0
width=287 height=79 id="_x0000_i1025" src="cid:MWTLSMCHYNOE.IMAGE_1.jpeg"><o:p></o:p></span></p>
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<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><span
style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'><o:p> </o:p></span></p>
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<td width="99%" style='width:99.22%;padding:11.25pt 7.5pt 0in .75pt'>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt'><b><span
style='font-size:15.0pt;color:black'><a
href="http://www.technologytransfertactics.com/content/2011/06/29/faculty-incentive-program-leads-to-growth-in-external-funding/"
target="_blank"
title="Faculty incentive program leads to growth in external funding"><span
style='font-family:"Trebuchet MS","sans-serif";color:#660000;text-decoration:
none'>Faculty incentive program leads to growth in external funding</span></a><o:p></o:p></span></b></p>
</td>
</tr>
<tr>
<td style='padding:.75pt 7.5pt .75pt .75pt'>
<div>
<div>
<p class=MsoNormal style='margin:0in;margin-bottom:.0001pt;line-height:12.0pt'><span
style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";color:black'><o:p> </o:p></span></p>
</div>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>An internal marketing program comprised of a series of tiered
incentives to encourage faculty to increase grant proposals has resulted in a
record level of external funding for Ball State University. By the end of
this year, the school expects its external funding to have nearly tripled in
just three years, from $18.3 million in 2008 to $45.2 million, reports <strong><span
style='font-family:"Trebuchet MS","sans-serif"'>Robert Morris</span></strong>,
PhD, associate provost for research and dean of the graduate school.<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>Morris, who previously served as chairman of the chemistry
department, has only held his current position for a few years, but he
assumed the role during a time of financial challenge for many universities.
“Like every other state institution, the state support for the budget keeps
coming down,” he notes. “Plus, we have really grown in our scholarly
intensity in the last half dozen years or so; when you do that, you start to
attract better and better faculty and they are pretty aggressive. They have a
lot more connections and ideas, so it’s a self-feeding system. The better you
do, the better the people you can attract, and it keeps rolling.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>What made him decide to employ incentives to encourage faculty
grant proposals? “In my job, I have responsibility for all of our research
efforts, as well as external funding — and the graduate programs,” he
explains. “When you look at that job, one of the easy things to do, if you
are so inclined, is to look at only the big opportunities. But a much better
approach is to … make it so your whole team is incentivized and try to build
a good infrastructure; you try to raise <em><span style='font-family:"Trebuchet MS","sans-serif"'>everybody’s</span></em>
boat.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>Morris notes that there will still be certain people who know
where the opportunities are – and you still will find opportunities on your
own and relay them to faculty – but you can have a greater impact on whether
they pursue them or not. “We wanted to bring up the culture of the
university, and the overall enthusiasm to get people excited about going for
the external stuff and finding ways to reward them,” he explains. “If you
want to have more proposals published then you need to have more submitted.”<o:p></o:p></span></p>
<h3 style='mso-line-height-alt:12.0pt'><em><span style='font-family:"Trebuchet MS","sans-serif";
color:black'>Three separate programs</span></em><span style='font-family:
"Trebuchet MS","sans-serif";color:black'><o:p></o:p></span></h3>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>Morris has established three different incentive programs, each
targeting different levels of grant funding. The first, most basic program,
is called the SUBMIT program. It places funds into an account for
“extramural-related” expenses of project directors and co-directors. Notices
of available funds are processed monthly based on the previous month’s
submissions. “As people write $5,000 grants or larger, the money is funneled
into a research finance account,” notes Morris. “It sounds simple, but it
works like a charm — our number of initial proposals is up 25%-30%.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>The second program, called RESUBMIT, is designed to encourage
faculty to keep writing larger grant proposals. “Here, people getting
$100,000 or $200,000 is considered a decent sized grant,” Morris notes. “When
you write something that large it’s almost always to a federal agency, and
one of the rubrics is that you have to submit the proposal two or three times
before you get it to hit. So, I asked if we had a mechanism to encourage
people to re-submit their proposals — and we didn’t have any.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>The RESUBMIT program funds up to $2,500 to support activities
leading to a stronger resubmitted proposal. Those eligible for the program
are faculty members who have recently been denied an external grant proposal
of at least $100,000, with a strong possibility of funding if resubmitted to
the same agency. Under special circumstances, the Sponsored Programs Office
will consider proposals of less than $100,000. The funds are expected to be
combined with appropriate support from department heads and deans to create a
plan for revision that meets the next reasonable deadline, and expenses that
directly impact the development of an improved resubmission will be
considered, such as summer stipend, travel, and student assistantships.<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>“Once somebody submits a federal grant proposal and gets a
review back, it usually does not take much to paint a picture of what you
need to do before you can re-submit it, such as providing more data,” notes
Morris. “Our office and the P.I. will work together and see what’s needed to
be most competitive the next time around.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>The third program, The Cardinal Fellows Program, offers support
to investigators intent on seeking federal funding at the level of $200,000
or more in modified total direct costs — that is, the total direct costs
minus equipment, tuition, and sub-award amounts over $25,000.<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>The award includes:<o:p></o:p></span></p>
<p class=MsoNormal style='margin-left:22.5pt;text-indent:-.25in;line-height:
12.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:
10.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span
style='font:7.0pt "Times New Roman"'>
</span></span></span><![endif]><span style='font-size:10.0pt;font-family:
"Trebuchet MS","sans-serif";color:black'>One course buyout, supported by the
Associate Provost for Research; funds must be used for release time
(supplemental compensation is not allowed). <o:p></o:p></span></p>
<p class=MsoNormal style='margin-left:22.5pt;text-indent:-.25in;line-height:
12.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:
10.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span
style='font:7.0pt "Times New Roman"'>
</span></span></span><![endif]><span style='font-size:10.0pt;font-family:
"Trebuchet MS","sans-serif";color:black'>Following submission of the
proposal, 1.5 times the amount of SUBMIT funds will be placed into the PI’s
Research Incentive Account for use by the Cardinal Fellow for
extramural-related expenses. Proposals may include co-investigators, but
proposals developed under the Cardinal Fellows Program may be awarded only
one buy-out. <o:p></o:p></span></p>
<p class=MsoNormal style='margin-left:22.5pt;text-indent:-.25in;line-height:
12.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:
10.0pt;font-family:Symbol;color:black'><span style='mso-list:Ignore'>·<span
style='font:7.0pt "Times New Roman"'>
</span></span></span><![endif]><span style='font-size:10.0pt;font-family:
"Trebuchet MS","sans-serif";color:black'>Should the proposal not be funded, a
resubmission is strongly encouraged under the RESUBMIT Program policy.<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>“People need time for these proposals,” says Morris. “They may
need a course release in the fall or spring to pull it off.”<o:p></o:p></span></p>
<p style='line-height:12.0pt'><span style='font-size:10.0pt;font-family:"Trebuchet MS","sans-serif";
color:black'>As for the overall three-part incentive program, “It’s working,”
he asserts. “You just have to let these programs do their job.”<o:p></o:p></span></p>
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