Faculty Compensation, Policy on

Title: Faculty Compensation, Policy On
Policy Owner: Office of the Provost / Department of Human Resources
Applies to: All Faculty excluding UConn Health
Campus Applicability: All campuses except UConn Health
Effective Date: November 11, 2022
For More Information, Contact  Office of the Provost: provost@uconn.edu

Human Resources: hr@uconn.edu

Contact Information: (860) 486-3034
Official Website: http://www.hr.uconn.edu/

PURPOSE

To establish the standards under which regular payroll faculty may receive compensation from the University or external entities. As defined in this policy, such compensation must be in conformance with relevant state and federal regulations, including 2 CFR Part 200 (commonly referred to as Uniform Guidance) and the Connecticut Guide to the State Code of Ethics. This policy also defines the administration of faculty appointment terms.
This policy does not define rates of pay for activities or other contractual terms outlined in the collective bargaining agreement between the University of Connecticut and American Association of University Professors.

APPLIES TO 

All Faculty excluding UConn Health. Faculty refers to all regular payroll faculty: tenured and tenure-track, clinical, in-residence, research, extension, visiting, and lecturers. This policy does not apply to coaches/trainers, adjuncts, or academic staff: research assistants/associates, academic assistants, or scientist/scholars.

POLICY STATEMENT

Compensation for all applicable audiences must fall under regular compensation, summer salary, overload pay, consulting, or prizes and awards. All applicable employees and employees responsible for appointing or administering compensation for applicable employees must consider the full compensation landscape at UConn and comply with this policy and its accompanying Faculty Compensation Procedures.

I.         Regular Compensation

Appointment Term and Work Period. All faculty are appointed to either an academic year or annual year position. An academic year position has a nine- or ten-month assignment, in which the regular duties and responsibilities of the role fall primarily during the academic year[i]. The work period for an academic year position is defined in the Procedures. An annual year position has an eleven-month assignment, in which the regular duties and responsibilities of the role require effort consistently throughout the full year. The work period is all year round. Under the University’s faculty pay model, faculty are paid for 9-, 10-, and 11-month appointments over 12 months. Both academic year and annual year positions are paid over twelve months.

Salary. Full-time annual salary represents full renumeration for the duties and responsibilities associated with a faculty member’s regular workload and respective appointment term. Faculty may not receive additional compensation from university or external sources during the regular work period[ii] unless explicitly approved according to the summer salary, overload, consulting, or prizes/awards sections of this policy.

  1. Annual salary: Annual salary is the total compensation over the course of the year for the regular faculty appointment. Faculty have one or more pay components which comprise their annual salary:
    1. Base salary: Base salary is the base component of a faculty member’s annual salary, reflecting the pay tied only to the base term and    respective workload. All faculty have a base term and base component of their annual salary.
    2.  Additional Months: Faculty may have one or two additional months of effort/pay depending on the scope and complexity of a faculty administrator assignment. The rate of pay for this component is tied to the base salary rate.
    3.  Administrative Supplement: Faculty may earn a supplement for administrative work that is above their base pay or additional months. The rate of pay is not tied to the base salary rate.

b. Institutional Base Salary (IBS) is a term used specifically for sponsored projects and stems from the Office of Management and Budget’s  Uniform Guidance. IBS is the annual compensation paid for an individual’s regular appointment term and corresponding workload. At UConn, this is the equivalent of “annual salary” as defined above. IBS is inclusive of all regular pay components. A faculty member’s IBS is compensation for time spent on research, teaching, administration, or service. Institutional base salary does not include one-time payments, summer salary, or consulting.

        Workload. Every faculty member has a defined workload. The scope of work for a base faculty appointment typically includes some combination of teaching, research, and service, as defined in the appointment letter or the department’s governance documents. Any change to a faculty member’s defined workload such as a course reduction or administrative assignment must be approved by appropriate parties based on school/college policy and clearly documented with the dean’s office.

        Administrative Assignment. Faculty may be appointed to an administrative assignment with pay when the duties and responsibilities clearly exceed an individual’s base faculty appointment, and the required effort takes place over the course of the year. Administrative assignments may include a temporary redefinition of the individual’s appointment term, annual salary, or workload for the length of the appointment. Administrative assignments must be approved in writing by the Dean and any other supervisors in advance of an offer. Appointments must include an appointment letter describing the terms of the appointment and must be processed through regular payroll. The new full-time annual salary associated with an administrative assignment represents full renumeration for the new workload and may consist of multiple pay components. The University applies salary increases proportionately to each pay component, with the exception of promotional increases which apply only to the base salary component. Administrative appointments are at-will and subject to non-renewal or termination at the discretion of the supervisor. Should a faculty member no longer continue in an administrative appointment, the faculty member will return to the base faculty appointment term and base faculty rate in effect at that time.

        Compensation above the institutional base salary is not permitted on activities funded by federal grants or contracts.

        Research/Professional and Sabbatical Leaves. Research/professional leaves and sabbatical leaves are considered active service to the University and a redefinition of the faculty member’s regular workload for the leave period. Sabbatical pay is based on the faculty base appointment. Please refer to the provost’s guidelines for the administration of faculty leaves of absence.

        II.       Summer Salary

        Faculty may be assigned teaching, research, service, or administrative duties during the period in which they are not already scheduled to work according to their regular academic year or annual year appointment. The table below describes the maximum effort and compensation a faculty member may earn as summer salary according to regular appointment term. Time and pay for faculty working on externally funded sponsored projects or the equivalent effort on university funds cannot exceed the daily rate of pay for daily effort (i.e., max pay cannot be condensed and paid out over a shorter period).

        Appointment Term Effort Proportion of Current Full-Time Annual Salary Time Period[iii]
        Nine-month Three months 3/9 May 23 – August 22
        Ten-month Two months 2/10 June 23 – August 22
        Eleven-month One month 1/11 Eligible to be paid out at any point in the year

        Eleven-month faculty appointments are unique in that faculty are scheduled to work all year round, with one additional month of non-work time spread out over the course of the year. Given there is no pre-determined period in which this additional month takes place, faculty may earn their additional month of compensation at any point in the year, subject to all other requirements of this policy.

        It is the responsibility of the faculty performing research activities for grants or contracts to adhere to the policies of the applicable funding agency during this period. Many federal agencies have additional compensation stipulations. For instance, at the time of this writing, NSF has proposal limits on summer earnings to the equivalent of two months of 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 II of the Federal Executive Pay scale.”

        Summer salary compensation may be waived if the faculty member chooses to accept payment in the form of faculty research funds. Such requests must be clearly documented, in advance of performing services, in line with the Procedures. Waived compensation in the form of faculty research funds is not considered personal compensation and cannot be used to supplement a faculty member’s full-time annual salary or summer salary in future years. Waived compensation is not included in the determination of the aforementioned maximum compensation.

        III.     Overload Pay

        On occasion, faculty may be asked to perform work for the University that is substantially different from or in addition to the essential duties and responsibilities defined in the faculty member’s regular appointment. Such work must contribute to the mission and necessary business of the University. Faculty being considered for overload activities must demonstrate a unique qualification to perform the work. Overload pay may be appropriate for activities including, but not limited to, teaching during winter or May intercession, online course development sponsored by CETL, outreach, performance, or academic/student support. All requests for overload pay must be approved by the department head, dean, provost, and human resources as needed via the University’s formal approval process[iv] in advance of the start of the activity. Total overload pay should not exceed 25% of the twelve-month equivalent of annual salary each year. Any exception to the 25% cap will be rare and requires department head, dean, provost, and president approval. Overload assignments will only be considered if they meet the following criteria:

        1. The activity must not interfere with the faculty member’s ability to carry out the duties and responsibilities associated with their regular faculty appointment. The individual must be satisfactorily performing regularly assigned duties.
        2. The activity must clearly fall outside of full-time (100%) effort in the regular appointment and should not be used as a regular supplement to an individual’s salary.

        Overload compensation may be waived if the faculty member chooses to accept payment in the form of faculty research funds. Such requests must be clearly documented, in advance of performing services, in line with the Procedures. Waived compensation in the form of faculty research funds is not considered personal compensation and cannot be used to supplement a faculty member’s full-time annual salary or summer salary in future years.

        IV.    Consulting

        Consulting is an activity performed by a faculty member for compensation because of their expertise in their field (while not acting as a university employee), across any period of the year. Consulting encompasses work including, but not limited to; receiving honoraria for talks, consulting on research with other entities, clinical work with other entities (even when required to continue licensure needed for the faculty member’s appointment), teaching at other institutions, consulting with private industry, and compensated or uncompensated work with faculty-affiliated companies. Consulting is governed by the “Policy on Consulting for Faculty and Members of the Faculty Bargaining Unit” and associated Procedures. It is the responsibility of the faculty member to adhere to all policies and to follow all procedures related to faculty consulting. These can be found at policy.uconn.edu.

        Royalties received by a faculty member do not fall under the purview of the consulting policy or any other aspect of this compensation policy.

        V.      Prizes and Awards

        Compensation in recognition of internal or external awards is allowable according to the criteria defined below and does not contribute towards total eligible earnings for regular, summer, and overload pay.

        Internal Awards. The University may award faculty in recognition of exceptional teaching, research, or service to the University. Awards should represent significant accomplishment and can in no way reflect payment for services. Whenever appropriate and possible, award programs should reward faculty with faculty research funds (waived compensation) rather than personal compensation. Whether waived compensation or personal compensation, the payment type must be determined and communicated clearly when establishing award criteria and cannot be changed once an award has been granted. An individual faculty member may not normally accept more than $10,000 in personal compensation awards each year. Criteria for awards should be established and communicated in advance of the selection process; the selection of awardees should be conducted by a committee with expertise in the relevant area. Newly established award programs must be approved in writing by the dean and provost in advance. Once an award program has been established, individual award payments in the form of personal compensation must be approved in writing by the dean prior to payment. Internal awards are not considered part of a faculty member’s full-time annual or institutional base salary. Internal awards cannot be charged to grants.

        External Prizes and Awards. The University acknowledges that faculty may be the recipient of national and international awards of excellence which may include a monetary award. Such external awards bring recognition to the recipient and to the University. Awards should represent significant accomplishment and can in no way reflect payment for services. Faculty must notify the provost upon notice of award recognition, prior to accepting any compensation, to evaluate whether a monetary award qualifies for this status.[v]  External awards are not considered part of a faculty member’s full-time annual or institutional base salary.

        ENFORCEMENT

        Violations of this policy or associated procedures may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, the University of Connecticut Student Code, or other applicable University Policies.

        PROCEDURES/FORMS

        Procedures for the Faculty Compensation Policy are under development as of November 2022.

        REFERENCES

        Guide to the State Code of Ethics

        [i] Dates defined in Faculty Compensation Procedures/Pay Model

        [ii] Defined in Faculty Compensation Procedures/Pay Model

        [iii] Dates may vary in leap years. Office of Payroll determines exact dates of work period according to Faculty Pay Model.

        [iv] Defined in Faculty Compensation Procedures

        [v] Provost will consult with appropriate offices, including Office of University Compliance and Tax and Compliance. Protocols defined in Faculty Compensation Procedures

        POLICY HISTORY

        Policy Created:  April 11, 2006 [Extra Compensation Policy Approved by the Board of Trustees]

        Revisions: June 13, 2022 [Approved by the President; Effective date November 10, 2022]; June 10, 2015 [Approved by Board of Trustees]; September 26, 2006 [Approved by Board of Trustees];