Policy Manual

Situations may arise in which a faculty or staff member has the option to engage in professional extramural activities either (1) as an independent consultant or through a business organization in which the faculty or staff member has an ownership interest, or, alternatively (2) through the University. In such situations, the faculty or staff member has an obligation to give the University an opportunity to decide whether it wishes to have the activity carried on under University auspices, and only if the University rejects the opportunity, is the faculty or staff member free to undertake the activity by other means. For faculty members and other staff members within a college, a written waiver of University interest shall be obtained from the dean of the college. For other staff members, a written waiver of such interest shall be obtained from the director of the unit in which the staff member serves.

1.  Nine- or Twelve-Month Project. The federal government and the University do not allow grant funds to be used to reimburse faculty members of the grantee institution for consulting or other time in addition to a regular full-time institutional salary covering the same general period of employment. Special exceptions may be made when the work to be performed is in addition to the individual's normal full-time duties and the additional compensation payment is commensurate with institutional policy.
   
   The University practice in this regard is as follows:
   1. A faculty member may be relieved of some usual duties by the dean of the college so that the member may undertake sponsored research or engage in a sponsored training program. In such cases, the individual's regular salary may be divided proportionately between the general fund and the special account established by the University for the research or training project.
   2. In general, grant or contract funds are not to be used to augment the individual's salary if employment with the University is on a full-time basis. It is understood, however, that occasionally a situation may arise in which extra compensation for a limited time may be justified. Payment from grant or contract funds in addition to regular salary will be authorized only under the following conditions:
      1. When the faculty member is assigned to work overseas and when the payment of an "overseas differential" is specifically authorized by the grant or contract.
      2. When the faculty member serves on a strictly limited basis as consultant on a research or training project for which principal responsibility lies with a faculty member in another college or, in the case of the College of Liberal Arts and Sciences (CLAS), within another CLAS department, the work involves a separate or remote operation, and the work is in addition to the consultant's regular departmental load. In such instances the project director who arranges the consulting fee must obtain written approval through the proposed consultant's departmental executive and dean, and the Executive Vice President and Provost. Such a request for approval should include the following evidence:
         1. That the services to be provided are essential and cannot be provided by persons receiving salary support under the grant, or otherwise compensated for their services;
         2. That the charge is appropriate considering the qualifications and normal charges of the consultant, and the nature of the services to be provided.
      3. When an overload is indicated for a training institute or workshop, and it is impossible to release the faculty member from any portion of usual duties. The "overload" will not be permitted for a longer period than one semester and the amount of "overload" permitted will not be greater than an average of one day per week. The compensation for this "overload" will in no case exceed the amount appropriate for one full working day a week, in terms of the faculty member's budgeted salary.
   3. A faculty member assigned full time to a grant or contract is in every case a full-time faculty member and is thus subject to the same restrictions on accepting supplemental employment as a faculty member employed full time on the General Fund budget of the University.
2. Summer Employment.
   1. A faculty member holding an appointment for the academic year may be employed by the University outside the academic year on a part-time or a full-time basis in summer session teaching, in sponsored research or training programs, or in other activities.
   2. Compensation for summer employment in any of these activities is based on the academic year rate of pay established for the faculty member for the academic year within the past fiscal year during which the service is rendered. University funds are not obligated to subsidize summer salaries if the grant award is less than the University's established rate for the previous nine months.
   3. A faculty member holding a full-time appointment for any portion of the summer is, during the period of appointment, a full-time staff member in the same sense as during the academic year and must abide by the same restrictions on accepting additional employment.
3. Relatives on Grants and Contracts. See III-8 Conflict of Interest in Employment (Nepotism).
4. Retired Faculty. Retired faculty (see III-11) may, with the permission of their departmental executive officer, dean, and the Vice President for Research, participate in or apply for externally supported sponsored research projects. The sponsor pays the full costs of such projects, and permission to continue will be subject to annual review by the persons identified above who are involved in the administrative channels of the application process.
5. Other Personnel. Staff members on grants and contracts must be paid within the same pay scale as that of other comparable University staff members. Should salary levels requested in proposals be less than needed at time of award, or at the time of a new University budget year, the project director should either find the needed additional funds from within existing budget, request supplementary funding from the sponsor, or reduce the employment period or percentage of time devoted to the project.
6. Those Eligible to Apply for Research Grants. University policies permit faculty, qualified Professional and Scientific staff, and postdoctoral fellows to apply for external funds to support research to be performed at The University of Iowa. The following clarifications of that policy relate to research conducted by persons who are not members of the faculty:
   1. As in the case of all research conducted by faculty, research done by persons who are not members of the faculty must be conducted within an established unit of the University. The unit executive must be willing to certify that the proposed research fits within the goals of the unit or the sub-unit conducting such research.
   2. When applicable, the unit executive must make it clear to the proposer that there is no guarantee of University salary support beyond the termination of the proposed grant or contract.
   3. The same departmental, collegiate, and central review with regard to such matters as space, effort commitment, use of human subjects, University cost-sharing as that given to faculty proposals, will take place prior to any proposal leaving the University.
   4. Those not employed by the University or those with adjunct or visiting faculty status are not eligible to be listed as proposed project directors on University grants or contracts, except under unusual circumstances and with the approval of the Vice President for Research.
   5. Graduate students may be eligible to serve as Principal Investigator on dissertation grants, research fellowships, and similar types of sponsored projects, provided (a) the project sponsor considers the student to be PI, and (b) the project includes a formally designated mentor meeting the eligibility guidelines described in III-17.17(4)f above.