Frequently Asked Questions (FAQs)
General
What is the Research Growth Initiative (RGI)?
The RGI aims to grow our research, scholarly, and creative activities by directing our research expenditures to desired research outcomes.
What is the goal of RGI?
The primary goal of RGI is to enhance our research excellence–by investing in research proposals selected through an independent, objective, and transparent process. The RGI is about providing broad access to the research funds we are currently spending. By moving away from "legacy allocations," anyone with a good research idea gets an opportunity to receive RGI funds. Naturally, we hope that our enhanced national standing and competitiveness will allow us to increase our extramural funding, which, in turn, will allow increased support for all kinds of scholarly and innovative work.
Why is it needed?
Although there is much excellent research and scholarly work on campus, we have significant upside potential. In fact, our funded research has been declining sharply in recent years, and now rests on a narrow base of researchers. Upfront investments in research will significantly enhance the depth and breadth of our scholarly activities, and, where appropriate, increase our competitiveness for extramural funding. The associated increase in "cost recovery dollars" (indirect cost returns) will allow us to increase our support for all of our research and scholarly activities, even those that do not bring in extramural funding. As an example, we are currently bringing in around $6M per year in "cost recovery dollars." According to benchmarks, we have the potential to increase this to $20M per year. This would enable us to provide much greater–and broader–support for scholarship and innovation than is currently possible.
Who has been involved in defining, reviewing, and refining the RGI?
The RGI concept was developed in extensive consultation with the Chancellor's Cabinet, the Academic Deans' Council, and many faculty and staff groups on campus. It has been discussed and refined during consultations with the University Committee, the Academic Planning and Budget Committee and individual Schools & Colleges, and department chairs. The initiative has been well received by the University Committee. As the responsible body, the APBC has passed a unanimous vote of support with an appropriate recommendation to the Senate.
Does the RGI mean that non-funded research is not valued?
No. Non-funded research will continue to play a highly valued and important part in our institution. Indeed, increased extramural funding and the associated "cost-recovery dollars" will allow us to support such activities more vigorously, for example through increased support for travel to scholarly meetings, work abroad, and technical journals. Although we have recently increased travel support for scholarly work in the Arts & Humanities, more is needed.
Would RGI de-emphasize the Arts and Humanities?
No. The RGI gives faculty and staff from the Arts and Humanities access to research funds, from which they are now effectively excluded. There is no limit to the funds that can be requested in any area.
Would RGI take away money from Science and Engineering?
No. The extramural funding growth we want to stimulate would actually increase the funding to these areas.
Would the "Centers" disappear?
No. The Center salaries will continue to be paid. The associate deans of the Graduate School are working with center directors on a case-by-case basis to develop budget plans to continue center support. The Centers can use the opportunity of direct access to RGI funds to grow and enhance their activities.
Is RGI a drive to bring in dollars?
No. The primary purpose of the RGI is to enhance our research excellence - by investing in research proposals selected through an independent, objective, and transparent process. The RGI is about providing broad access to the research funds we are currently spending. By moving away from "legacy allocations," anyone with a good research idea gets an opportunity to receive RGI funds. Naturally, we hope that our enhanced national standing and competitiveness will allow us to increase our extramural funding, which, in turn, will allow increased support for all kinds of scholarly and innovative work.
Are we ignoring our areas of strength?
No. The RGI is an open and objective way of identifying our areas of strength–through a transparent process in which everyone can participate.
Why is the RGI not focused on the Faculty and Researchers?
The RGI is focused on faculty and researchers–all faculty and researchers. It gives faculty and staff direct access to funds, based on objective, independent evaluation of their ideas. By eliminating "legacy allocations," it puts researchers–not administrators–front and center.
Funding
Where is the money coming from for the RGI?
The so-called 101-4 funds. These are currently used for research, but not tied to specific outcomes. The RGI would couple the use of these funds to desired research outcomes.
How much money is there?
We currently have around $14M of so-called 101-4 moneys. Some of these funds are needed for essential services, such as compliance and research support. But much of this money would be available as RGI seed funding every year. Some of this money is used for salaries. The RGI is designed such that salaries will continue to be paid (see below.) Of course, our total research expenditures are significantly higher than 101-4 funds, including 1/3 of our salary budget, start-up packages, infrastructure and construction funds, cost-recovery dollars, etc.
Some 101-4 funds are used to pay salaries. Would we have to downsize?
No. There will be no downsizing because of the RGI. Simply put, no money is being "taken out of the system." The RGI simply couples the use of existing funds to desired research outcomes–those outcomes which enhance our national and international competitiveness. The RGI eliminates "legacy funding," not funding altogether!
What happens if I am currently "paid out of 101-4 funds" and do not receive an RGI award?
ALL salaries will continue to be paid. The RGI is set up to insure that. Assume John is "paid out of 101-4" and Jane is not. If, at the end of the process, Jane receives an RGI award but John does not, her freed up "101-2 salary" would be used to pay John. On a campus-wide basis, the RGI takes no money out of the system; it simply shifts 101-4 salary money to RGI awardees.
The process can shift 101-4 money between Schools and Colleges. Any shortfall in a School/College budget will be back-filled from Campus reserves. We anticipate this back-filling to taper off with time, as growth in extramural funding kicks in.
Does this mean the RGI is a paper exercise?
No. The RGI will direct funds–real funds–at researchers with good ideas, and provide them with time for research. This is done by moving away from "legacy funding," where our research expenditures are not tied to specific research outcomes.
How are 101-4 funds currently distributed?
101-4 funds are currently distributed via legacy allocations and ad hoc decisions. The bulk of the money goes to L&S, CEAS, and the Graduate School. Quite a lot of the Graduate School money is then allocated out again on an ad hoc basis. In the past, the bulk of 101-4 funds have ended up with a relatively small number of individuals and/or activities, each often receiving 101-4 funds from multiple sources. Most of the campus receives no or little 101-4 funds.
What happens if my School, College, or Center does not win as much RGI money as its current allocation of 101-4 funds?
The RGI process can shift 101-4 money between Schools, Colleges, and Centers. Any shortfall in a School/College/Center budget will be back-filled from Campus reserves on a case-by-case basis. We anticipate this back-filling to taper off with time, as growth in extramural funding kicks in.
RGI in Practice
How will the RGI work in practice?
Submission
The process starts with a request for proposals. An annual workshop is planned for Sept. 7, 2007 to inform potential applicants about the updated procedures. The proposal narratives will be relatively short, only four pages long. A secure Web site will be provided for proposal submission.
There are three parts to the proposal, and then an electronic routing process for approvals:
- The basic project data (lead PI data, title, abstract, biographical data, suggested external reviewers, keywords, deliverables and milestones, return on investment, budget justification, and space needs) are submitted online via a secure Web site.
- The four-page project narrative is submitted as a single PDF file.
- The budget spreadsheet (available in mid-July 2007) is submitted as a single Excel file.
- The proposal routing process collects required officials' electronic signatures. (Note: We strongly recommend that you submit your proposal at least three days before the deadline, to provide time for electronic routing.)
Evaluation
An external panel consisting of independent experts, formed on the basis of suggestions from across the campus, will review and evaluate the proposals according to three criteria: quality, risk, and rewards. Roughly, this is what is meant by each of these:
- Quality: Excellence and novelty of concept, approach, and methodology; clarity and appropriateness of project plans; desirability and impact of potential results on the national and international scholarly community.
- Rewards: Return on investment (ROI) through extramural funding or commercialization [expectation: 3X requested seed funding].
- Risk: Availability of necessary skills and experience, likelihood of achieving the intended outcomes; probability of securing extramural funding or engaging in commercialization; and potential for self-sustainability after the seed investment phase. For large award requests, it is possible that the panel may wish to meet with the PI and her team. The outcome of this phase will be a list of "recommended investments."
Award
The Chancellor, the Provost, and Vice Chancellor for Research & Economic Development will construct a portfolio of investments from the "recommended list." The portfolio will be balanced in terms of divisions, size, risk, and rewards.Negotiations with winners should be complete by early March 2007 so that work can begin July 1. Each activity is expected to seek three times the seed funding provided.
Measurement
The outcomes will be monitored during, at the termination of, and over the subsequent life of each seeded activity.
Initiative Review
The RGI will be closely monitored at all stages of implementation, and adjustments made as needed. An annual report will be made to the APBC. A general review will take place after five years.
Why use an external panel to evaluate RGI proposals?
To insure an independent assessment of the proposals according to national best practices.
How will the panel be put together?
The panel will be constituted based on recommendations from across the campus, including (alphabetically): the Academic Deans' Council, Academic Staff, Center directors, department chairs, and faculty.
Can a panel cover all the areas?
We anticipate a fairly large panel forming sub-panels in relevant areas, each consisting of acknowledged experts capable of assessing a range of proposals.
What types of expense are eligible for RGI funding?
The RGI aims to give you what you need to succeed. As such, the guidelines for eligible expenses are broad. Here is a high-level list:
- Salary;
- Travel support needed for successful completion of proposed project;
- Capital expenditures including equipment purchases, renovations, and library acquisitions needed for the project;
- Supplies and expenses needed for the project;
- Purchase of services needed for the project.
Is summer salary for faculty allowed under RGI?
No. Neither summer salary nor support for sabbatical salary replacement are supported by RGI due to the restrictions on the use of 101-4 funds.
It is difficult in my field to get extramural salary support. Does this mean I am effectively excluded from RGI?
No. You can opt not to receive an RGI teaching buy-out. Then you do not have to bring in any salary support from extramural sources.
If I receive an award, how is any resulting intellectual property handled?
Per standard practice and in accordance with UW System Patent Policy, you, your Co-Principal Investigators, and other project personnel—including graduate student assistants—agree to assign ownership of all intellectual properties conceived or reduced to practice as a result of this RGI award to the University for protection and development as the University deems appropriate. An Intellectual Property Assignment form must be completed. Please forward the original, signed, and dated copy of each Intellectual Property Assignment Agreement to Mark Doremus, Office of Technology Transfer, Graduate School, 243 Mitchell Hall. Sharing of any revenues resulting from the commercialization of such intellectual properties will be per our current guidelines. If you have questions regarding intellectual property issues, please contact Mark Doremus (doremus@uwm.edu or 229-6302).
If I receive an award, how do I acknowledge UWM and the Research Growth Initiative funding support in publications?
We request that you duly acknowledge "UWM Research Growth Initiative" support in any publication resulting from your project.
What happens if I receive an RGI award and do not succeed in bringing in extramural funding?
Nothing. There are no penalties. However, your track record is, and will continue to be part of the risk assessment considerations for RGI funding.
Impact on You
Do I have to take part in the RGI?
No. Participation in the RGI is entirely voluntary.
Would I have to teach more?
The implementation of the RGI does not require teaching load adjustments. Teaching load policies are a matter for individual Schools and Colleges.
How can I best take advantage of the RGI?
Participate! Think how you can take your activities to the next level. Ask what resources you need to do that. Assemble a team that would enable you jointly to deliver nationally competitive outcomes. Think how you can make this self-sustaining after the seed funding phase. Consult your Department Chair and The Graduate School. Submit a proposal!
Technical
Can I use a Macintosh computer to submit my application?
Yes. The new secure Web site and Excel budget spreadsheet are Mac-compatible.