Extra Compensation for Full-time Faculty in AAUP, Policy on

Title: Extra Compensation for Full-time Faculty in AAUP, Policy on
Policy Owner: Human Resources & Office of the Provost
Applies to: Faculty
Campus Applicability:  Storrs and Regional Campuses
Effective Date: September 26, 2006
For More Information, Contact Human Resources & Provost
Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

Purpose:
It is the policy of the University that a faculty member’s base annual salary is full remuneration for the performance of his/her regular duties. The scope of work that is expected of faculty members includes teaching, research and service. The load is defined at the departmental and school levels.

The University recognizes, however, that faculty undertake work at times that is distinctly beyond their regular responsibilities. Such work may occur during the standard academic year or may be undertaken during the winter or summer breaks. This policy establishes the standards under which full-time faculty performing such additional assignments may receive extra compensation in conformance with relevant state and federal regulations including OMB Circular A-21. (http://www.whitehouse.gov/omb/circulars/index.html) or OMB Circular A-81 (2 CFR Part 200) (https://www.whitehouse.gov/omb/grants_docs) as applicable.

Policy:
Extra compensation is defined as compensation received by a faculty member above the base annual salary of a nine, ten or eleven month appointment. Base annual salary does not include longevity pay. This policy applies to full-time faculty.

Faculty members may earn, over the course of a year, no more than the twelve month equivalent of his/her base annual salary, except as provided under the conditions described in the following sections:

  • Consulting
  • Prizes and Awards

Royalties received by a faculty member do not fall under the purview of this policy.

Work During the Academic Year or Applicable Appointment Period:
No member of the faculty may receive extra compensation from University administered sources, including grants and contracts, for work directly related to his/her regular university responsibilities during the contracted period (nine, ten or eleven month) of his/her appointment except as noted in the following sections.

Instructional Activity Outside the Applicable Appointment Period:
Faculty may receive additional compensation for teaching during the winter or summer break. Maximum compensation for all periods (including the nine to eleven month terms) combined is the equivalent of the faculty member’s twelve month salary. The equivalent salary is calculated on the faculty member’s base annual salary, excluding longevity pay, applicable to their term of appointment.

Instructional activities performed during the winter intersession, May term and summer session are compensated according to the Memorandum of Agreement between the University and the American Association of University Professors (dated January 2005) for faculty covered by the AAUP collective bargaining agreement.

Credit Instruction at Off Campus Locations:
The Dean of a school/college may establish course offerings at a campus other than a faculty member’s home campus or at other off-campus locations, after determining that no one is available to teach the course as part of a normal work load and it is not appropriate to hire adjunct faculty. Faculty assigned to teach under these circumstances are paid $5,000 per three-credit course or 8.5% of the base academic year salary of the member, whichever is greater. The amount is pro-rated for different credit loads. Faculty members teaching such courses are to be compensated at the time the course is offered, but such compensation may not cause a faculty member over the course of a year to earn more than the twelve month equivalent of his/her base annual salary.

Summer Research:
Faculty performing research activities during the summer months (May through August), may be paid up to three months compensation from the appropriate grant or contract, consistent with the policies of the applicable funding agency. However, in no case may a faculty member earn over the course of a year, more than the twelve month equivalent of his/her base annual salary. Many federal agencies have additional stipulations relating to their grants. For instance NSF limits additional summer earnings to the equivalent of two months salary, and HHS “restricts the amount of direct salary of an individual under an NIH grant or cooperative agreement or applicable contract to Executive Level I of the Federal Executive Pay scale.”

(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-024.html) (http://www.hhs.gov/grants/index.html);

(http://www.opm.gov/oca/06tables/index.asp)

Temporary Administrative Assignment:
If a faculty member is involved with a temporary administrative assignment during the course of the academic year, for which the responsibilities clearly exceed the individual’s normal appointment, then s/he may be paid an administrative supplement for this activity. This activity and the administrative supplement associated with it must be approved in writing in advance by the Dean and the Provost. Following approval, a letter of administrative assignment must be issued to the faculty member describing the activity and the new base salary for that academic year. The administrative assignment represents a temporary redefinition of the individual’s workload and base salary for that year.

Termination of the assignment will result in cancellation of the administrative supplement. Administrative assignments may be renewed or extended with prior approval of the Dean or the Provost. A letter of administrative assignment confirming the term of the extension is issued to the faculty member. The administrative supplement should be commensurate with the base pay rate and the additional responsibilities and should ordinarily not exceed 10% of the individual’s base salary. Compensation above the base salary for work of this nature is not permitted on activities funded by federal grants or contracts.

Consulting:
External Consulting:
Section XV.M of the University of Connecticut Laws and By-Laws, Thirteenth Edition, Revised 04/02, states: “No member of the professional staff or other employee in the service of the University shall devote to private purposes any portion of the time due the University without consent. Members of the professional staff may take on outside consulting and research activities only after the specific project has been approved by the appropriate University official.”  Faculty must submit a completed copy of the consulting request form to the department head. The signature of the department head on the request  certifies that the work will be professionally appropriate, that it will not interfere with the staff member’s assigned duties, that it will not take more than the equivalent of one day per week, that University facilities will not be used, and that there will be no conflict of interest. If approved by the department head, the consulting form is then submitted to the dean for review. The dean may then approve the request on behalf of the Provost, granting permission for the dates, amount of time, and task indicated. Compensation for external consulting is arranged between the faculty member and the contracting organization. As such the amount of earnings is not subject to the University’s policy on extra compensation.

Intra-University:
If a faculty member engages in university sanctioned activity that involves consulting at remote operations including corporate sites, extra compensation may be provided to the faculty member if the work performed is in addition to his/her regular departmental load and charges for such work are specifically provided for in the agreement or approved by the sponsoring agency or organization. Such activities must also be approved by the dean of the school/college and the Provost and a copy of the contract agreement between the corporations and the school/college (and not necessarily the individual faculty member) must be on file with the Office of Dean. A copy of this agreement must be included with the payroll authorization for such compensation. This compensation must be funded solely from funds generated through the contract agreement. Compensation for work of this nature is not permitted on activities funded by federal grants or contracts.

Compensation for such consulting arrangements is not considered part of the faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research. The compensation should be commensurate with the faculty member’s base pay rate and total compensation from all such activities should ordinarily not exceed 10% of the individual’s base salary. The compensation received for such consulting will be treated as salary, paid via University payroll and deductions for retirement, health insurance and other items will be taken.

The time involved in such intra-university consulting should be considered a component of (and not in addition) to the overall allowable consulting time permitted under University policy.   Therefore, effort devoted to all forms of consulting combined, may not exceed the equivalent of one day per week

Prizes and Awards:
Endowed Named Chairs, Professors and Scholars: Endowed awards for named chairs, professors and scholars are established by a process requiring approval of the Provost as well as a signed agreement with a donor. The school or college in which an endowed award is established must provide proof of a minimum funding level in the designated income producing foundation account in order to augment the compensation of the faculty member receiving the award.

The terms of the written agreement with the donor must explicitly permit such augmentation. The form of augmentation may be dispersed in conjunction with the faculty member’s base annual salary or in the form of a lump sum stipend. If paid as a lump sum stipend, the award is not considered part of a faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research.

Salary augmentation, in the form of either a stipend or addition to base salary, ceases when the faculty member is no longer serving as an endowed chair, professor or scholar.

Awards of Excellence: The University acknowledges that faculty may be the recipients of national and international awards of excellence.  Such external awards bring recognition to the recipient and to the University and are a reason for celebration and pride.  Nothing in the extra-compensation policy disallows or precludes a faculty member from receiving such an award.

This section on Awards of Excellence applies solely to prizes and awards established by the University.  Faculty may receive prizes and awards in recognition of exceptional teaching, research or service to the University; these awards should not exceed $5,000 during the academic year. Criteria for awards should be established and communicated in advance and the selection of awardees generally done by a committee of peers. All payments for faculty awards and prizes must be approved in writing by the appropriate Dean and the Provost and be given in compliance with the published criteria and process. No monetary prizes or awards may be given without prior written approval from the Provost or his/her designee. These prizes and awards are not considered part of a faculty member’s base salary for the purposes of calculating compensation for intersession or summer teaching, or summer research.

Approved by the Board of Trustees April 11, 2006

Revised policy approved September 26, 2006

Minor revision June 10, 2015