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Policies and Procedures for Summer Supplements on
Federal Awards
April 20121
Agenda Understand the purpose and main
points of the Summer Supplement policy. Review A&S’ process to administer
the policy CASE Studies FAQs
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Summer SupplementsWhy Revise?
Federal sponsors require that compensation for effort on a funded project coincide with the time the work is performed.
This means that an individual compensated 100% from grant funds during one month must work exclusively on that project for the month.
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Summer SupplementsPolicy Prior to Spring 2011
•Faculty can charge 100% effort to any one of four summer months.
•Faculty can charge 100% effort in up to three of four months during the fiscal year.
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Summer SupplementsProblems with 100% Summer Effort
No significant vacation time in a 100% committed month.
No other projects are allowed in a 100% committed month No new proposals. No administrative duties. No student mentoring. No independent research 5
Summer SupplementsGoals of the Current Procedures
To ensure that the 3/9ths summer supplement policy is honored.
To eliminate the 100% problems.
To allow better alignment of effort with compensation by providing flexibility for planning the summer’s work schedule and sufficient funding to compensate for non-federal effort. 6
Summer SupplementCommittee Recommendation #1
effective Spring 2011
Change the summer-effort maximum from 100% per month in three out of four months to a maximum of 75% effort per month spread over all four summer months (May, June, July, and August) for those supported with federal funding.
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Summer SupplementCommittee Recommendation #2
effective Spring 2011
Keep the maximum amount of summer salary allowed at three months but lower the maximum amount of federally-funded effort for which faculty may be compensated during the summer from three to two-and-a-half months.
The additional half month of federally sponsored effort would be performed and paid for during the academic year, and the remaining half summer month would be compensated out of the school funds saved during the academic year.
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Summer SupplementWhere does the Remaining Half of Summer
Month Come From?
•Academic Year Salary Recovery•Faculty are compensated for research effort during the academic year from their grants and contracts. •The School realizes a savings. A&S will transfer the salary + fringe benefits into a central discretionary code.•These funds are made available to the faculty member to cover the 0.5/9th during the summer.
• Funds cannot come from other federal grants. 9
The Procedure Prior to Spring 2011
May June July August0
10
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University EffortFederal Effort
According to the Faculty Handbook, the month of May includes compensation for Duke related effort that might take place during the summer.
The Current ProcedureThe 25% Solution
The percentages of effort during the summer can vary. In this example, the May administrative effort is spread evenly across all four possible summer months.
May June July August0
10
20
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University EffortSponsored Effort
Spreading Out Effort for 1/9th
• If a faculty member has committed 1/9th of summer effort on a grant or contract, he or she can plan how that time is going to be spent during the summer.
May June July August0
10
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University EffortFederal Effort
May June July August0
10
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University EffortFederal Effort
Spreading Out Effort for 3/9ths:Step #1
Assuming a faculty member has the funding for 3/9ths summer effort on sponsored effort:
Limit supplemental compensation in any one summer month to 75% of 1/9th.
Faculty must plan out how to spread summer effort over 4 months – May, June, July, and August.
May June July August0
102030405060708090
100
University EffortSponsored Effort
May June July August0
102030405060708090
100
Foundation Grant 1Federal Grant 2Federal Grant 1University Effort
Spreading Out Effort for 3/9ths:Step #2
To further ensure time for other activities: vacation, new proposals, independent study, administration, etc.
Limit supplemental compensation from federal funds to 2.5/9ths and
Pay the remaining 0.5/9th from institutional funds.
May June July August0
10
20
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50
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MayNon-Federal EffortFederal Effort (2.5 Months)
Summer SupplementCase Studies
•Case Study 1
•Case Study 2•Faculty Summer Worksheet•Faculty Summer Salary Form
•Complete this form only if you will be charging summer salary to federally sponsored research grants AND if the faculty member has requested to use the central discretionary fund
•Case Study 3 15
Summer SupplementCase Studies
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Case Study 1
•2 months of summer salary support•The Central Discretionary Fund is not
needed since the budgeted summer salary is less than 2.5 months
Case Study 2
•3 months of summer salary support•Only source of funding is from
federally sponsored grants• In order to receive 3/9ths of summer
salary during the fiscal year, the Central Discretionary Fund will have to be utilized
Case Study 3
•3 months of summer salary support• Faculty member has non-federal funds
to support summer salary as well as federal funds
•The Central Discretionary Fund is not needed because 2.5 months have been budgeted on a federal grant and there are funds from a non-federal source
Summer SalaryPlan Ahead
(View the actual case studies on the Trinity College ofArts & Sciences, Finance and Administration website –
Policies and Procedures > Faculty – Summer SupplementPayments (Faculty Only))
Summer SupplementFAQs & Website
•FAQs
•Policy and materials from this presentation have been uploaded to the Finance & Administration website http://trinity.duke.edu/finance
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Summer SupplementSummary of Key Points
•Compensation should be tied to when the effort actually occurs.
•Faculty can no longer take 100% of one month on a federal grant without the Management Center’s approval.
•Faculty and business managers should plan the summer distributions early, appropriately spreading effort across the summer months.
•If a faculty member does not have 2.5 months committed, then the schools’ regular business rules apply.
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Summer SupplementSummary of Key Points
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Summer Salary
Plan Ahead
The Central Discretionary Fund is
not needed if 2.5 months or less are
committed
Utilize the Central Discretionary Fund if 2.5 months or more are committed and
federal funds are the only source of funding
Initiate a Cost Distribution iForm to
generate a savings pool if the Central Discretionary Fund
will be utilized
Submit the Trinity College of Arts & Sciences Faculty Summer Salary Request Form if
utilizing the Central Discretionary Fund
Initiate the Supplemental Payment
iForm
Questions
• See the FAQs on the Finance & Administration website http://trinity.duke.edu/finance
• Network with other grant managers
• Call the Office of Finance & Administration
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