Academic Affairs Manual (ACD)

Effective: 1/30/2008

Revised: 7/1/2020

ACD 510–04: Intra-Institution of Higher Education (IHE) Consulting

Purpose

To describe the policies and procedures applicable to intra-IHE consulting for faculty and academic professionals and to define the permissible extent of intra-IHE consulting activities undertaken for extra university compensation paid with state, local, sponsored, and other university funds

Sources

Office of the Provost of the University

Office of the Executive Vice President, Treasurer, and Chief Financial Officer

Office of Knowledge Enterprise Development, Operations, Research Operations

Applicability

Faculty members

Academic professionals

Faculty members and academic professionals with administrative appointments

Policy

Federal regulations provide that intra-IHE consulting is expected such that extra compensation may only be granted in “unusual cases.” Specifically, federal, authoritative guidance (see the Research and Sponsored Projects Policies and Procedures Manual—RSP 101, “General Research Policy”) provides that:

Since intra-IHE consulting is assumed to be undertaken as an IHE obligation requiring no compensation in addition to institutional base salary, the principle also applies to faculty members who function as consultants or otherwise contribute to a sponsored agreement conducted by another faculty member of the same institution. However, in unusual cases where consultation is across departmental lines or involves a separate or remote operation, and the work performed by the faculty member is in addition to his[/her] regular responsibilities, any charges for such work representing additional compensation above the institutional base salary are allowable provided that such consulting arrangements are specifically provided for in the agreement or approved in writing by the sponsoring agency.

Extra compensation for intra-IHE consulting is only paid in rare circumstances, regardless of the funding source. Similar to external consulting, intra-IHE consulting requires prior notification and approval using the Notification of Consulting or Other Remunerative Arrangement form indicating the source of university funds for compensating above the full-time, institutional base salary.

Intra-IHE consulting activity on behalf of a sponsored project requires the completion and approval by ORSPA of the Additional Pay Form which would be attached to the Notification of Consulting or Other Remunerative Arrangement form prior to beginning the intra-IHE consulting. If a sponsoring agency allows additional pay for intra-IHE consulting then the university may allow such payments when all of the following conditions are met:

1. the sponsor specifically approves the extra compensation payment, in writing, or as provided for in the proposal and/or award document as intra-IHE consulting
2. the intra-IHE consultant is not an investigator on the sponsored project that requires the consultant’s services, subject to the provisions of paragraph 1 above, and federal authoritative guidance
3. the work performed is in addition to the employee’s regular responsibilities and does not involve release time
4. the work for which the extra compensation payment is sought is performed for a department, center, or academic unit other than the employee’s assigned department or involves a separate or remote operation, subject to the provisions of paragraph 1 above, and federal authoritative guidance
5. the payment is in accordance with ASU policy regarding supplemental payments found in the Academic Affairs Policies and Procedures Manual (ACD 510–01; ACD 510–02; ACD 510–03; ACD 510–04) and Staff Personnel Policies and Procedures Manual (SPP 404–02)
6. the work to be performed by the employee benefits the sponsored project during the project period

   and

7. the rate of pay is consistent with the nature of the work being performed.

Extra compensation for intra-IHE consulting or outside consulting or other outside business activities or arrangements (whether compensated or not) shall not exceed a combined total of 312 hours per academic year for those on academic-year contracts or 384 hours per fiscal year for those on fiscal-year contracts.

Employees whose assignment includes release time shall not normally be eligible for extra compensation. However, investigators and other employees performing work on a sponsored project usually can allocate part of their base academic or fiscal salary appointment to the sponsored project for work that benefits the sponsored project during the project period. General operating (state) funds released by such allocations are usually retained within the college or academic unit during the fiscal year as temporary salary savings.

Cross-References

For information about the university’s consulting, faculty appointment, and pay policies, see:

1. ACD 510–01, “Notification of Consulting or Other Outside Business Activities or Arrangements for Faculty and Academic Professionals Policy”
2. ACD 510–02, “Supplemental Pay”

   and

3. ACD 510–03, “Appointments for Summer Sessions.”

For information about general supplemental pay policies, also see the Staff Personnel Policies and Procedures Manual:

1. SPP 404–02, “Supplemental Pay”

   and

2. SPP 404–04, “Overtime—General Policy.”

For authoritative references, see the Research and Sponsored Projects Policies and Procedures Manual—RSP 101, “General Research Policy.”

 

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