Compensation/Effort

Summer Salary Waiver Request Form for Academic Year Faculty

In accordance with the Provost's policy on voluntary recovery of academic year salary and its associated preclusion to summer effort exceeding 83.3% of summer period on federal or state sponsored projects, the Academic Year Faculty Summer Salary Waiver Request Form is used to document effort commitments and request the waiver.  Please follow the instructions on sheet 2 of the Excel spreadsheet to complete the form.  An example is shown on sheet 3.

Requests for waiver should be sent to the Provost's Office at provost@provost.umass.edu

Please note that waivers will be granted only under extenuating circumstances and with the required assurances by faculty that no non-sponsored project activities will take place during the period of compensation.

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Policy for Charging Administrative Stipends to Federal Grants and Contracts

The following policy addresses charging administrative stipends to federal grants and contracts in accordance with federal rules contained in OMB Circular A-21. Administrative stipends are provided to faculty as compensation for additional duties and responsibilities in accordance with institutional policy. The amount of administrative stipend is determined by the dean or supervisor as negotiated with the faculty member and approved by the provost. The amount of the administrative stipend cannot be dependent upon, nor fluctuate as a direct result of funding from federal grants and contracts. Administrative stipends are considered increases in annual base salary and are allowable as charges to grants as follows:

During the period of appointment (nine or twelve month faculty appointments)

  • The total annual salary containing an administrative stipend component may be allocated to grants and contracts as a direct charge based upon the percentage of effort committed to and expended on the grant during the faculty member’s period of appointment.
  • An administrative stipend may not be separately or solely charged to a grant or contract but must be allocated as part of annual base salary to all funding sources of the faculty member during the appointment period. A portion of funding for the faculty during the period of appointment must be from non-federal sources.

During the summer period (nine month faculty appointments)

  • Including the administrative stipend in the annual salary for purposes of computing summer additional compensation is allowed if the duties for which the administrative stipend was provided continue during the summer. The percentage of time devoted to these duties during the summer cannot be funded by federal sources.

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NIH Salary Cap

The NIH Salary Cap Policy at UMass was released by Administration and Finance on 3/6/2013 as outlined in a memo from Andrew Mangels, Associate Vice Chancellor & Budget Director. The information in this memo has been updated in the associated file to reflect the current salary cap and example calculation. The effective date of the current salary cap is January 7, 2018. Please see the related file for current rate specifics.

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Compensation for Certain Additional Professional Services (Trustee Doc. T68-060)

Trustee Document T68-060

Policy on Compensation for Certain Additional Professional Services 

WHEREAS it is the responsibility of every university to promote and encourage the search for new truth and knowledge for the benefit of mankind, and

WHEREAS a state university is distinctive in its emphasis on research and the dissemination of research findings as a service to the citizens of the state and nation, and

WHEREAS there is a great need for more highly trained research scientists and teachers, and

WHEREAS the University of Massachusetts maintains and supports a Graduate School for the purpose of providing training at the Master's and Doctoral levels, and

WHEREAS in order to provide such training the University of Massachusetts must maintain a highly qualified faculty which is itself competent in and interested in research, and

WHEREAS such a faculty will be more productive and stimulating in the teaching of students at both the graduate and undergraduate levels, and

WHEREAS a university is recognized for the scholarly and creative work of its faculty, and

WHEREAS it is the policy of the University of Massachusetts to expect each member of the faculty to teach, engage in research and/or other scholarly and creative work, and to perform a service role to and for the University including the academic advisement and counseling of students, and

WHEREAS it is also the policy of the University to undertake research sponsored and paid for by grants or contracts from agencies of the federal government, foundations, business, or other sources outside the University, and

WHEREAS such sponsored research is of great economic advantage to the Commonwealth in that it both supports research that might otherwise require state appropriations and provides new processes for development by Massachusetts industrial and agricultural interests,

THEREFORE, it is the policy of the University of Massachusetts to permit compensation for certain additional professional services within the following policies:The first duty and first loyalty of a member of the faculty is to the University. He is under obligation to render to the University the most effective service of which he is capable. No outside service shall be undertaken, whether with or without pay, that might interfere with the discharge of this paramount obligation.

 In view of the fact that the University operates on a six day class week, members of the faculty are permitted, when approved, the equivalent of one day per week for sponsored research, consulting, or other activities related to their profession for which additional compensation may be received. Under no circumstances, however, are members of the faculty to be given any reduction in normal teaching, service, or other assigned load on account of performance of such other activities.

I. Research; including sponsored research, i.e., research contracted by the University with outside agencies.

1.     It is the responsibility and the duty of all deans and department heads to give faculty members as much encouragement as possible to do research as a normal part of their employment. When released time for sponsored research is authorized, no loss of so -called fringe benefits should occur because an equivalent portion of the faculty member's base salary should be budgeted in advance against, and charged to, the grant or contract of the agency sponsoring the research.

2.     University participation in tests and investigations shall be limited to activities which lead to the extension of knowledge or to increased effectiveness in teaching. Routine tasks of commonplace type will not be undertaken except where it is shown conclusively to the appropriate University officials that satisfactory facilities for such services do not exist elsewhere.

3.     Research proposals shall bear the approval of the principal investigator, the department head, the academic dean (or in the case of agriculture, the Director of the Massachusetts Agricultural Experiment Station) and the Dean of the Graduate School and Coordinator of Research before being submitted to the Treasurer of the University for execution. Two extra copies of the proposal shall be submitted for the files of the Provost’s Office and the Treasurer’s Office.

4.     Members of the faculty on academic year appointment are encouraged to participate in sponsored research and may, when approved by the Trustees, receive additional compensation in addition to the budgeted salary. Such additional compensation may be earned only during the Summer months (i.e., between Commencement and Fall Registration). Such compensation must be permissible within the policies of the agency sponsoring the research and must be charged to the sponsor's funds. Additional compensation shall be computed at the rate of 1/40th of the faculty member's then current academic year salary for each full week of research services, or 1/200th of the faculty member's then current academic year salary for each full day of research service. Maximum additional compensation from sponsored research shall not exceed ~ percent of the faculty member's then current academic year salary.

5.     Members of the faculty on calendar year appointment are permitted to participate in sponsored research but may not receive additional compensation in addition to the budgeted salary.

6.     When additional compensation is to be paid for sponsored research, such funds must be budgeted in advance against, and charged to, the contract or grant executed with the agency sponsoring the research. Funds received as a result of an agreement with the University for the performance of research are funds belonging to the University, notwithstanding the fact that the agreement may have resulted from negotiations by an individual member of the faculty. Such funds, therefore, shall be administered in accordance with regular procedures governing trust funds.

II. Other Activities

1.     Members of the faculty are permitted to accept outside service of a professional nature, with or without pay, only providing it conforms to the following stated principles.

a.     A faculty member undertaking outside service shall inform the head of his department of the nature and extent of such activities and must obtain prior permission from the head of the department and the Dean of his College or School before undertakinq such outside service. A department head undertaking outside service shall inform his dean of the nature and extent of such activities and must obtain prior permission from the dean before undertaking such service. A record of all such outside service shall be reported to the Provost.

 When approved by the department head and dean, members of the Faculty are permitted to teach under the Four-College Cooperative Plan at approved salaries which have been established by the Four-College Cooperative Plan. Teaching for the University at other off campus locations may, when approved, be compensated at such rates as the Trustees may determine.

b.     No member of the faculty shall accept or retain employment which would bring him as an expert, or in any other capacity, into conflict with the interests of the University or its programs of Cooperative Extension and Control Service or the Commonwealth of Massachusetts; and if in his opinion, proposed employment might involve such conflict, he shall disclose the relevant facts when seeking the permission required under (a) above.

c.      As a state-supported institution, the University is under obligation to render service to the people of the Commonwealth so far as this may be practical. The appropriate school dean or other University officer shall decide whether and to what extent this obligation can be met in the circumstances of any particular case.

d.      The University assumes no responsibility for private professional service rendered by members of the faculty. When a faculty member does work in a private capacity, he must make it clear to those who employ him that his work is unofficial. No official University stationery or forms shall be used in connection with such work nor shall the name of the University be used in any advertising or in any other way without the express consent of the University, given in writing by the President.

Amendments to Trustee Document  T68-060

Section II. Continuing Education and Public Service

1.     Members of the faculty are permitted to participate, with or without compensation, in programs of a continuing education or public service nature requiring their professional services, provided such participation conforms to the following stated principles:

a.     Such services shall be performed in programs of a continuing education or public service nature which are sponsored by the University, and no such faculty member shall so participate without the prior written consent of the head of his department and the dean of his college or school. A record of all such participation, including the amount and nature of services and rate of compensation, if any, entailed, shall be reported to the Chancellor, as the case may be. Subject to the requirements elsewhere herein contained, services so approved may be performed at any time during the calendar year.

b.     All such services and participation shall be in addition to and exclusive of, the regular academic and scholarly duties and services to be performed by such faculty member, as assigned from time to time by the University.

c.      Compensation, if any, for participation in such programs shall be at the rate established by the Dean or Continuing Education with the approval of the Chancellor and the President. A faculty member may receive, during or with respect to any calendar year, such compensation in an amount up to ten (10) percent of his annual salary for regularly assigned duties, and a faculty member on a calendar year appointment may receive, during or with respect to any such year, such compensation in any amount up to twelve (12) percent of his annual salary for such duties.      

d.     Compensation permitted hereunder shall be specifically in addition to that compensation allowed for research activities under Section I. Compensation so permitted shall be considered, however, by deans and department heads in acting upon requests by faculty members for permission to participate, or to perform, outside services of a professional nature, with or without compensation, as described in Section II.

e.     Notwithstanding any other provision contained in this Section II, participation in programs of a continuing education and public service nature, as herein provided, shall at all times be subject to such further rules of uniform application as the Dean of Continuing Education, with the approval of the Chancellor and the President, shall from time to time promulgate.

2.      If University facilities, equipment, or supplies are required for private professional services, approval for the use of such facilities, equipment or supplies must be obtained from the department head and dean. A reasonable fee shall be paid to the University for the use of such facilities, equipment, and supplies. This fee shall be determined by the Treasurer of the University upon the recommendation of the respective dean.

t68060.htm 5/98

Copyright © 1998 University of Massachusetts, Amherst.

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Trustee Doc. T68-060

Policy on Additional Faculty Compensation

Faculty on full-time appointments are expected to serve the University through a mixture of teaching, research, scholarship or creative activity, outreach and professional service, and University service, consistent with the mission of the campus, school or college, and unit in which they are appointed. The obligations of full-time faculty should be based on the optimal use of individual and collective effort to fulfill the mission of the department and campus, regardless of the nature of or source of revenue for those activities.

The responsibilities of full-time faculty increasingly encompass activities beyond the traditional expectations of teaching on campus, pursuing a research program, engaging in public service and serving on committees. The expansion of corporate and continuing  education, distance learning, and multi-campus program offerings as core components of the University’s mission, and the growth of commercial ventures, economic development activity, and externally funded research throughout the University, require faculty, departments, and administrators to be flexible and creative in defining faculty responsibilities and allocation of effort in support of the University’s mission. To the extent possible, and in accordance with applicable collective bargaining agreements, the University should incorporate these activities into the standard workload of faculty. However, faculty may also receive additional compensation for such activities.

The President shall issue Guidelines to implement this policy.

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BoT Doc. T01-012

Q1. What is the period for Summer Additional Compensation?

A1. Appointments can processed during the period starting on the first Sunday immediately following graduation, and ending August 31 each year.  Three months during this period are available for sponsored research and two weeks are supported by the University for Faculty on 9-month appointments.

Q2. What is the recommended approach to funding summer research with federal or state grants and contracts?

A2.  If the beginning and ending dates of the grants and the budget permit it, fund up to 2.5 months of effort during the period in A1.  An additional 0.5 months may be paid from RTF funds , the Research Support Account (once it is established and funded) or other non-federal, non-state sources that permit such charges.  Also see A3(c) below

Q3. How much summer additional compensation may be paid from grants?

A3(a). If your summer effort funding source is federal, prime federal flow through, i.e., a subcontract, or Commonwealth of Massachusetts funding (grant or contract funded via an ISA or other funding mechanism for a sponsored project), up to 2.5 months, or 83.3% of the 3 month summer period unless the sponsor agency has more stringent restrictions such as NSF.

A3(b) If your summer effort funding does not include any  federal or Commonwealth of Massachusetts funding, you may fund your research up to 3 months or 33% as long as you do not take a vacation and can certify 100% effort on that project.

A3(c) If your first 2.5 months is covered by a federal, prime federal or Commonwealth of MA award, you may work on other non-federal or non-state funded projects for the remaining .5 month, or fund that .5 month with Research Trust Funds (RTF) or returned Academic Year (AY) salary recovery funding.  Again, this would result in a full 33% effort, leaving no time for vacation.  University work that cannot be charged to grants, such as proposal writing, curriculum development, committee work would only be allowed during the .5 month if you use unrestricted funding such as RTF or returned AY salary recovered funds.

Q4.  Can I spread the 2.5 months (83.3%) over the entire summer period or does it have to be 2.5 months 100% time?

A3.  Yes, it is recommended you spread the 83.3% over the entire summer period.   By doing so does not mean you must be here every day for 83.3% time, but rather spreads the percentage over the entire summer period which will allow you to meet your obligations and also build in some flexibility to the schedule. It is only in extraordinary circumstances that you should be committing 100% effort in any specifically stated time period.

Q5. Does the 3.5 month period in A1 mean that more add comp may be paid from grants?

A5. No, because the faculty member has an obligation of 9 full months to the University.  The purpose of starting the summer add comp period early is to provide some flexibility so that the faculty member can work on University duties that cannot be supported by grants, such as writing proposals, preparing course materials, grading papers, etc.  Here are some examples:

E1:  The faculty member works exclusively on grading and preparing course materials for the last two weeks of May  and therefore charges no salary to grants, then there is effectively no change to the summer add comp arrangement compared to previous years.  That is, a maximum of 2.5/9 = 27.78% academic year salary can be charged to grants during June 1 – August 31.

E2: The faculty member completes their course grades and other non-grant related activity by May 16 and works on sponsored research starting on May 16 for which salary is provided from Federal grants.  In this case, the faculty member must fulfill the two week obligation to the university at some other time in the summer, e.g., during the last two weeks in August.

Q6. Can’t I use the two weeks after graduation for vacation?

A6. Regardless of grant activity, two weeks during the period in A1 are part of the 9-month obligation to the University. If you only work and collect salary for 2.5 months of summer, then the unpaid period of the 3-month summer period can be used for 2 weeks vacation.  If you are paid for an additional 33% effort during the summer period, then there is no room left for vacation.  Just as in prior years, when the summer add comp period was 3 months, summer add comp of 33% meant that no vacation time was available.

Q7.  Is there a waiver process to the 2.5 months limitation?

A7.  Yes, there is a waiver process however, these will only be granted in very exceptional cases and the PI must certify a full three months of 100% summer effort, with no vacation or other University (non sponsored program) duties. Please see Summer Effort Waiver Procedures.

 

Q8.  What if I am already committed in my award to a full 3 months of effort?

A8. You are still limited to 2.5 months unless a waiver is requested and granted.  See Q7 for process.  The reduction of .5 months may not be significant depending on how the summer effort has been accumulated amongst your grants.  Significant changes in level of effort must be approved by the sponsoring agency.  Contact OPAM for more information on how to coordinate with your sponsor.

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