Research and Sponsored Projects Manual (RSP)

Effective: 3/1/1983

Revised: 11/1/2006

RSP 502–01: Personnel Employed on Sponsored Projects

Purpose

To outline the responsibilities of the principal investigator (PI) for staffing a sponsored project including:

To assure that project personnel are proposed and employed in accordance with ASU human resources policies, which are in accordance with federal, state, and sponsor employment guidelines and compensation regulations

To establish compensation guidelines for university employees to be paid from a sponsored project account, including supplemental pay and nonexempt overtime pay

To outline the types of appointments and hiring procedures for employees assigned to a sponsored project

To establish the appointment criteria for personnel assigned to sponsored projects to fulfill the external obligation for those funds

Sources

United States. Office of Management and Budget. OMB Circular A-21

Office of the Executive Vice President and Provost of the University

Office for Research and Sponsored Projects Administration

Student Financial Assistance

Human Resources

Policy

The principal investigator is responsible for staffing sponsored projects from proposal/budget preparation to recruitment, hiring, submission of Personnel Action Forms (PAFs), supervision, and termination of employees. All actions must comply with the university’s human resources policies and procedures, meet the university’s equal opportunity/affirmative action guidelines, and other federal and state mandated requirements.

Salary rates for personnel employed on sponsored projects must be consistent with sponsor guidelines as well as the rates paid from other university-administered funds for similar positions. Personnel appointed to sponsored projects receive the same benefits as similar positions within the university.

Sponsored projects may require the part or full-time services of presently employed faculty, staff, and students. These individuals may be assigned to the sponsored project by issuing a revised PAF if the sponsored project duties fall within the employee’s current job classification and type of appointment.

Other sponsored project positions may be filled by individuals not presently employed by the university or by university employees at a different job classification or pay rate. To fill these positions, the principal investigator must recruit, interview, and select candidate(s) according to the university’s human resources procedures.

Sponsor regulations generally prohibit routine payment of supplemental pay for full-time employees. Provision for supplemental pay must be requested in the proposal, authorized in the sponsor’s award document, and approved by the required university officials.

Nonexempt staff assigned to a sponsored project are eligible for overtime compensation in accordance with the university’s human resources policies and procedures.

Personnel are employed on sponsored project accounts contingent upon the availability of funds. Appointments do not guarantee future employment with the institution nor is it intended to prescribe a long-term employer-employee relationship. All personnel hired specifically to work on sponsored projects must be notified at the time of hire that their services will be terminated at the completion of the agreement or in the event of cancellation of the agreement. The principal investigator and hiring unit are responsible for all appointment related notifications.

Personnel appointments on a sponsored project must not exceed the period of performance and funding arrangement of the particular agreement. The length of the appointment may be extended if approval has been granted for establishing or continuing an account without an award document (see RSP 501, “Establishment of a Sponsored Project Account,” or RSP 507–01, “Request to Revise a Sponsored Project Agreement.”)

For more information on how RSP policies are implemented during each phase of a project, see the ORSPA Web site.

Cross-References

For general information, see:

1. the Academic Affairs Policies and Procedures Manual—ACD 505-01, “Initial Appointment and Offer Letter”

   and

2. the Staff Personnel Policies and Procedures Manual—SPP 302, “Conditions of Administrative Service at ASU.”

For information about the ASU personnel policy related to hiring, see:

1. the Academic Affairs Policies and Procedures Manual—ACD 505-04, “Recruitment/Appointment”

   and

2. the Staff Personnel Policies and Procedures Manual, employment policies and procedures in the 200 section, “Employment.”

For information about affirmative action guidelines, see the Academic Affairs Policies and Procedures Manual—ACD 401, “Equal Opportunity/Affirmative Action.”

For more information on equal opportunities, accesses, and reasonable accommodations for individuals with disabilities, see the Academic Affairs Policies and Procedures Manual—ACD 405, “Americans with Disabilities.”

For information on types of appointments and hiring, see the Academic Affairs Policies and Procedures Manual:

1. ACD 505-02, “Faculty Membership, Ranks, Titles, Appointment Categories, and Honored Positions”
2. ACD 505-03, “Academic Professional Status, Ranks, Titles, and Appointment Categories”

   and

3. ACD 505-04, “Recruitment/Appointment.”

For information about hiring students, see the pertinent policies in the University Student Initiatives Policies and Procedures Manual:

1. USI 304, “Student Employment—General Policies”
2. USI 305, “Student Employment—Compensation and Benefits”

   and

3. USI 306, “Student Employment—Federal Work-Study Program.”

For further information on supplemental pay, see:

1. the Academic Affairs Policies and Procedures Manual—ACD 510-01, “Notification of Consulting or Other Remunerative Arrangements for Faculty and Academic Professionals”

   and

2. the Staff Personnel Policies and Procedures Manual—SPP 404-02, “Supplemental Pay.”

For details and procedures on overtime, see the Staff Personnel Policies and Procedures Manual—SPP 404-04, “Overtime—General Policy.”

For information on termination of employees, see the Staff Personnel Policies and Procedures Manual:

1. SPP 1007, “Processing Terminations of Employment”

   and

2. SPP 1011, “Involuntary Termination.”

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