Administrative Procedures

Research Integrity:  Maintain high standards in own work; understand policies; raise questions and problems promptly and professionally; and strive to be generous and collegial.

Data Handling:  Develop data management and sharing plan at the onset of the project; incorporate appropriate data management expertise in the project team; understand and follow data collection, management, and sharing standards, policies, and regulations of the discipline, institution, funder, journal, and relevant government agencies.

Authorship and Communication:  Ensure that general and disciplinary standards are followed for research publications; acknowledge the roles and contributions of authors; and be transparent when communicating with all audiences.

Mentoring and Supervision:  Model and instruct on research best practices; regularly check work of subordinates and ensure adherence to best practices; and clarify expectations.  The PI will certify the time/effort of personnel paid by the grant, contract/subcontract, or cooperative agreement, or cost sharing/matching time on the project.  SP will certify that s/he and contractor(s) on this project are not currently debarred, suspended, or proposed for debarment by any federal entity.  The PI agrees to notify the University (both SP and Purchasing Dept.) of any change in this status, should one occur, until such time as an award is made under a procurement action.  See https://www.sam.gov/portal/public/SAM/.

Peer Review:  Provide complete and timely review; maintain confidentiality; and disclose conflicts, and eliminate or mange them as appropriate.

Research Compliance:  Protect human subjects and laboratory animals; follow environmental and other safety regulations; do not engage in misuse; and disclose and manage conflict of interest. The PI will ensure that SVSU policies and federal regulations governing the protection of human research subjects and are the use of animals in research.

Award Terms and Conditions:  The PI should have knowledge of applicable regulations and it is the responsibility of the PI to notify SP of potential scope, budget or schedule shifts.  SP will submit requests for scope of work and/or budget changes from the Program Officer.   The PI is required to work with SP to request and obtain Authorizing Official approval, if required. Programmatic management of the grant, contract/subcontract, or cooperative agreement and conducting the project to meet project goals and objectives while adhering to agency guidelines and SVSU policies and procedures.

University Accounts:  SP will work with Controller’s office to set up an account, and complete the Account Number Request/Authorization Form.  The PI will notify Controller’s office to initiate a Supplemental Pay Form.  SP in conjunction with Controller’s office will assist with invoicing and accounting procedures, and when necessary use the Cost Transfer Policy and Form. SP will provide project financial management to ensure all individuals involved in the administrative and financial aspects of the award receive training.  The PI will ensuring that all project expenditures are directly related to the project and necessary to meet project goals and objectives.  Knowing the cost sharing requirements that were committed in the budget approved by the agency and SVSU and insuring that these obligations are met.

Reports:  The PI will submit all reports and/or documentation required by the award in a timely manner. SP tracks reporting deadlines and will remind and work with PI on all reports. Any financial information in the reports must be approved by the Controller’s office before submission.  SP will need proof of submission: copy of the report and date report was submitted.

Changing a PI must be approved by the sponsor. Requests must be submitted through SP and be supported by an explanation and approval for the change by the College Dean.

Changes which significantly redirect the original statement of work must be approved by the sponsor. Such changes should be discussed with the sponsor’s program officer and documented in writing to the sponsor. Written requests to the sponsor must be submitted through SP and the Dean in advance of implementing changes.

Many sponsors place restrictions on the use of project funds. In this regard, some budget revisions (i.e., transfer of funds from one category to another) require the prior approval of the sponsor. Requests for these budget revisions should be submitted to SP with proper justification well in advance of when they are needed. This will allow SP sufficient time to obtain the necessary approval from the sponsor and make the revisions.

SVSU follows the Board of Control’s Policy in determining the conditions for additional and/or overload compensation. Faculty and staff who receive compensation above and beyond his/her regular departmental load must ensure compliance with University policy and the Federal Circular 2 CFR 200. 

Additional and/or overload compensation may be paid when all of the following conditions exist:

1. The work is carried out in addition to the normal full load;
2. No qualified person is available to carry the work as part of their normal load;
3. The additional duties must not be so heavy as to interfere with the performance of regular duties;
4. Prior approvals/appointments for proposed work and compensation are expected to be secured using the required form before the assignment starts.
5. Extra compensation does not exceed compensation paid for performance of the employee’s normal duties.

Deans, vice presidents, and the president are not eligible for additional pay because of the extensive workload carried by those individuals and the breadth of their professional obligations in those positions; exceptions, if any, must be approved by the president.

For an Endowed Professor who is part of the Faculty Association the hourly pay for supplemental assignments is calculated on their institutional base salary (not including supplemental assignments) divided by 1,280 hours/8mo the same as all other faculty.

When calculating time available for Endowed Professors for additional work (ie, grants), they have 1,280 hours per the 8 mo contract and 280 hours committed to Endowed Professor responsibilities (supplemental assignment), leaving a balance of 520 hours for all other activities including SP/SU classes. IRS defines full time work as 2,080 hr/year or 40 hr/wk x 52 weeks.

Eight-month faculty (or 32 weeks – per SVSU Faculty Contract D15 and D23) and 12-month administrative faculty (including program coordinators, department chairs, and associate/assistant deans) below the level of dean are eligible for additional pay.

1. Faculty with eight-month contracts can earn additional pay (up to 20% of academic year salary) during the spring or summer terms when paid with University funds.
2. When compensated work assignments from all sources reaches 20% of a faculty members academic year salary during the spring or summer semesters, the faculty member is considered to have a full-time workload. Compensation which exceeds 20% of a faculty member’s academic year salary must have Vice Presidential or Presidential approval.

Conditions of an Additional/Overload Assignment

Faculty who assume additional/overload assignments for pay must meet expectations in all of their normal work assignments. Per the SVSU faculty contract, regular work assignments typically include the expected full-time commitment of the faculty member to teaching, scholarly and creative activities, University service, leadership in student activities, and community service.  Additional/overload pay is not appropriate for an individual if the work can be readily assigned to another qualified person or if the individual’s existing assignments can accommodate the work.

Avoiding Conflicts with Regular Duties

Because faculty are salaried professional employees, additional/overload assignments are most acceptable when the nature of the work in the additional assignment is significantly different from the nature of an individual’s work assignments in the normal full load. When the nature of the work is similar for an in-load and additional/overload pay, the potential for an appearance of a conflict of interest or conflict of obligation exists and should be avoided or thoroughly justified.   Federal Circular 2 CFR 200 provides additional guidance.  Individuals paid 100% from grant funds cannot perform any institutional functions outside their grant-related job duties.

Exception for additional compensation during the Academic Year (Fall/Winter semesters)

Compensation over and above a faculty member’s base salary during the academic year may be allowable if all of the following are met: 

• Consultation occurs across departmental lines
• A separate or remote operation is involved
• The work performed by the faculty member is in addition to his/her regular load
• Consulting arrangements are specifically provided for in the agreement approved by the sponsoring agency.

Defining Self-Supporting Income and Appropriate Rates of Pay

Extra work assignments which entail additional/overload compensation must generate sufficient income to support the additional institutional expense. Continuing education programs, contract services, and other similar activities are designed to generate sufficient income to be self-supporting. They represent the most common activities associated with additional/overload pay at SVSU.

If the regulations of the granting agency or source of funding require a faculty member to make a commitment of time and effort, as part of their regular University assignment, the affected individual will not be eligible for additional/overload pay for that assignment. Federal grants and contracts usually do not permit additional/overload compensation; if done, it usually requires prior approval by the funding agency. Thus, the availability of external funds is a necessary, but not sufficient, condition for additional/overload pay. Work responsibilities on grants and contracts will typically be scheduled as in-load assignments.  The rate of additional/overload compensation varies according to the nature of the work, market conditions, and reasonable fit within SVSU’s compensation schedules. 

Sponsor terms and conditions must be followed with regard to foreign travel.  Many sponsors require prior approval for foreign travel and compliance with “Fly America” whether or not it is included in the approved budget.  Such requests should be submitted with a detailed justification to SP to be forwarded to the sponsor. Requests for foreign travel should be made PRIOR to taking the trip and at least 30 days in advance. (Note: Some sponsors require up to 90 days prior notice and limit choice of airline carriers per “Fly America.”)  SVSU’s International Programs office will provide additional information, i.e. health insurance, State Department registration, export control letter to protect your University owned computer when traveling.

When equipment is included in the proposed budget and approved by the sponsor, prior approval for purchase is not required. When equipment is not included in the approved budget or there is a change in what is to be purchased or the cost of the equipment exceeds the amount budgeted, prior approval must be coordinated through SP before purchasing. Sponsor requirements differ with regard to approval regarding these changes.  Advanced consultation with SP will prevent any misunderstandings in this regard. When approval is required, requests for approval must include a justification for need. Most sponsors prohibit the purchase of equipment within the last six months of a project period unless the project justifies such a purchase to complete the scope of work.

Any changes in proposed stipend and/or tuition remission require written prior approval by the sponsor. Requests for changes must be submitted to SP with justification and approval of the appropriate dean.

Sponsors have varying policies regarding the disposition of unspent funds at the end of the budget period. As a general rule, major purchases for equipment, materials, and supplies should be made before the last six months of the funding period.  If it appears that there will be residual funds, the PI should contact SP at least 45 days prior to the end of the budget period to determine appropriate procedures

No-cost extensions are requests to extend the termination date of a project without additional funds. In instances where additional time is required to complete the project, a request should be submitted to SP with an explanation of the work-related need for the time extension and how available funds will be used. No-cost extensions may not be automatic, so the request should be submitted as soon as the PI determines that one is necessary, and at least 10 days before the scheduled termination date. Cost extensions cannot be approved after the termination date.

Employees of SVSU working on federally-sponsored research projects are entitled to the rights and remedies provided by a pilot program established by the United States government pursuant to the National Defense Authorization Act for Fiscal Year 2013.  The program, entitled "Pilot Program for Enhancement of Employee Whistleblower Protections," encourages employees to report fraud, waste, and abuse in federally-funded programs and enhances contractor employee whistleblower protections. These protections extend to all individuals working in federally-funded programs, including sponsored research.

Specifically, SVSU is prohibited from discharging, demoting, or otherwise discriminating against employees as a reprisal for whistleblowing.  These protections cannot be waived by any agreement, policy, form, or condition of employment. It should be noted that under the pilot program a complaint cannot be filed more than three years after the date on which any alleged reprisal took place.

Whistleblowing is defined by the law as disclosing information that you reasonably believe is evidence of any of the following:

• Gross mismanagement of a federal contract or grant;
• Gross waste of federal funds;
• Abuse of authority relating to a federal contract or grant;
• A substantial and specific danger to public health or safety; or
• A violation of law, rule, or regulation related to a federal contract or grant (including the competition for, or negotiation of, a contract or grant).

In order to qualify for whistleblower protection under the pilot program, your disclosure must be made to one of the following persons or entities:

• A member of Congress or a representative of a congressional committee;
• An Inspector General that has oversight over contracts awarded for, or on behalf of, the federal agency concerned in the contract or grant;
• The Government Accountability Office;
• A federal employee responsible for contract or grant oversight or management at the relevant agency;
• An authorized official of the Department of Justice or other law enforcement agency;
• A court or grand jury; or
• A management official or other employee of the contractor, subcontractor, grantee, or subgrantee who has the responsibility to investigate, discover, or address misconduct.

If you believe that you have been discharged, demoted, or otherwise discriminated against as a reprisal for whistleblowing related to a federal contract or grant, you may submit a complaint to the Inspector General of the agency concerned.  Procedures for making disclosures can be found on the Office of the Inspector General’s Whistleblower Hotline (http://www.oig.doc.gov/pages/hotline.aspx).

More information may be found at:  http://uscode.house.gov/view.xhtml?req=(title:41%20section:4712%20edition:prelim)   If you have questions, please contact Sponsored Programs office.

Institutional Base Salary (IBS) is the annual compensation paid by the University for an individual’s appointment, whether that individual's time is spent on research, instruction, administration, or other related activities.

IBS does not include:

• bonuses, honoraria, and incentive compensation
• summer supplemental pay for faculty with 8-months appointments
• supplemental pay that may be issued for temporarily (not longer than one year) performing duties that all outside of duties and responsibilities associated with the current appointment
• fringe benefit payments
• reimbursed expenses
• clinical practice plans
• any income that an individual earns outside of duties performed for Saginaw Valley State University.

Institutional Base Salary Documentation - At the time of hire all Saginaw Valley State University employees should expect to receive an offer or appointment letter or other notification that indicates their IBS. All actions resulting in subsequent changes to an individual’s IBS, including changes in salary or an equity adjustment, will be documented in Saginaw Valley State University's system of record and include an effective date of change.