The Allocations section of the Enterprise Research Administration (ERA) is used to capture information that will lead to unit and investigator recognition (REC) for the project for the following criteria:
- Proposals submitted
- Awards dollars received
- Award dollars expended
It also used to determine the portion of recovered Facilities and Administrative costs (aka indirect costs) that will be returned to colleges (RID) and to investigators (IIA) by the Office of Knowledge Enterprise Development (OKED).
It is critically important to units and investigators that this section be carefully completed to ensure the project is properly represented in ASU internal reporting.
If an award recovered $200,000 in Facilities & Administrative Costs (F&A) it would be distributed as follows:
$150,000 to the Office of Knowledge Enterprise Development (OKED).
$40,000 would be returned to Colleges/Centers as Research Incentive Distribution (RID).
$10,000 would be returned to participating individuals as Investigator Incentive Award (IIA).
Recognition, more commonly referred to as REC, is the institutional measurement that provides credit to investigators for their sponsored projects activities. The purpose of recognition, as specified on the Funding Proposal Lead Unit, Investigators & Allocations SmartForm, is to accurately assign credit to multiple investigators, academic units, and centers to represent the level of their involvement in a proposal and/or sponsored project.
Any individual receiving at least 1% in REC will have that proposal appear in their Faculty Activity Report, Current & Pending Support Report, Pivot Table, and Research Dashboard.
Research Incentive Distributions are the Portion of the F&A revenue ASU recovers from sponsored grants/contracts that is returned to colleges and centers.
Awards that meet the requirements* to generate RID AND the Colleges/Centers are receiving at least 1% will generate RID for their College/Center.
*See Research Incentive Distribution for requirements.
An Investigator Incentive Award (IIA) is a disbursement to the investigator for his/her share of the Facilities & Administrative (F&A) costs recovered on eligible sponsored projects.
Awards that meet the requirements to generate IIA AND the individual is receiving at least 1% will generate RID for their College/Center.
Individuals/Centers/Colleges with 0% allocations
Individuals/Centers/College should not be listed on the allocations with 0% as they will not receive REC, RID or IIA nor will they show up in any reports. As such, their share of the allocations should either be increased or they should be removed.
Research Administrators should discuss this with their PI/Investigators when an Individual/Center/College will be receive 0%.
How to make changes to allocations
See Post Submission Actions for changes to the allocations if the proposal has not been awarded.
See Manage Change for changes to the allocations when the proposal has been awarded.
To run reports related to investigator and unit sponsored project activity and credit, use the KE Analytics Monthly Research and Sponsored Projects Pivot Table. (Refer to the Systems Access page for additional information and instructions for requesting access to KE Analytics).
Work instructions & policies
Manage Change (WI-EP-130)
Post Submission Actions (WI-SN-40)
Allocation of Recognition, Research Incentive Distribution, and Investigator Incentive Awards (RSP 106)
Sponsored Project Expense Advances (RSP 503–02)
Facilities & Administrative Costs (RSP 508-02)