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Category:
HR / Labor Relations


Responsible Office:

Procedure Title:
Also Receives Compensation Procedures and Guidelines for Professional Staff

Document Number:
8100

Effective Date:
July 01, 2021


This procedure item applies to:
State-Operated Campuses

Table of Contents
Summary

Process
Forms
Related Procedures
Other Related Information
Authority
History
Appendices

Summary

The State University of New York may compensate annually paid professional employees an amount in additional to basic annual salary through use of the Also Receives (ALR) payment code for such assignments.


Process

Overview and definition

Academic and Professional employees may be asked to assume responsibility for additional duties or assignments (typically within their primary department) which may be unrelated to, or independent of, their normal or standard work responsibilities.  When such assignments are clearly not part of the employee's normal work responsibilities, additional compensation may be permitted with appropriate prior written approvals as outlined in the Approval Process section.  The State University of New York may compensate annually paid professional employees an amount in additional to basic annual salary through use of the Also Receives (ALR) payment code for such assignments.  There are generally three main types of situations where this payment mechanism would be appropriate for use:

  1. Work that is in addition to, and substantially increases or expands the scope of the employee's normal professional responsibilities, but that may be completed during their regular professional obligation (although additional work hours may be necessary).  The assignment is usually limited in nature or may be aligned with a responsibility where the additional compensation will end when the assignment and/or funding ends.  Examples are:
    1. Taking on additional (typically higher level) assignments for a limited time in the case of employee turnover or leave of absence (for example, the Director of Student Accounts leaves and the Assistant Director is asked to take on some or all of those duties while a search is being performed).
    2. Performing additional assignments that substantially increase or expand the scope of  the employee's  responsibilities, are often anticipated to be temporary in nature or for a specific project, and will conclude when the assignment and/or funding ends (for example, a faculty member having additional duties in an administrative role during a program review or an employee's scope of responsibility being substantially increased due to a long-term absence of a co-worker with similar responsibilities).
    3. Performing ongoing work or providing availability outside of typical business hours that would end if the work schedule or operational need to be available changes or is ended.

    The amount of an ALR paid for the above situations should be a maximum of 20% of the employee's total salary on an annual basis.  This is consistent with policies in place for Extra Service, which also has a maximum of 20% of the employee's total salary on an annual basis.  Providing an employee with an ALR does not preclude an employee from receiving other forms of additional compensation where appropriate.

    It should be noted that ALR is separate and distinct from the payment of Extra Service as the assignment for which ALR is compensated may be completed during the employee's normal obligation (for example, serving as the interim Director of Student Accounts), although additional work hours may be necessary.  An ALR assignment is generally not easily quantifiable from a time perspective or tied to a set schedule.  Extra Service is applicable to performance of service outside the typical workday and/or beyond that normally required by the professional obligation as defined by the individual's performance program or established faculty workload (example, a full-time faculty member teaching an additional class).  Extra Service is generally quantifiable or tied to a set schedule/number of additional hours.

    Exceptions to ALR amounts in excess of 20% must be requested in writing from the Campus President and must be sent to the Office of University-wide Human Resources for approval.  The request must include an outline of the additional duties, a justification for the additional amount, and the expected duration (which, unless there is a specified time provided in the appointment letter, should be no more than 6 months and then renewed by the campus if justified).

  2. Clinical Support:  This section is applicable to the clinical faculty of a school of medicine or dentistry in a State University Health Sciences Center or Academic Medical Center or College of Optometry (collectively referred to hereafter as AMC).
    1. Additional compensation provided to attract and retain highly qualified AMC clinical faculty to continue building, growing, and enhancing the core missions of the AMCs: clinical practice services, education, and research.  The total compensation (regardless of source) for all services rendered by the clinical faculty (i.e. clinical, administrative, teaching and research), inclusive of any proposed additional compensation,  shall be consistent with “fair market value” as stated in the federal Stark and Anti-kickback statutes.  The proposed additional compensation must serve to further the AMC's missions and shall not be based on the volume or value of referrals to, nor on the volume or value of, any other patient-related business generated for the AMC's or any affiliated entities.
    2. Additional compensation related to arrangements with other external healthcare facilities in which funds are passed through the AMC's to clinical faculty members.  The additional compensation would end or change as the agreements/arrangements with the healthcare facilities end or change.
    3. These payments are typically made upon hire of a new clinical faculty member and the related services for which the ALR is being paid should be included as part of the appointment letter.
    4. The 20% limitation for ALR does not apply to Clinical Support.

  3. Transition Allowance - Where an interim or acting president has been appointed by the Board of Trustees and has moved onto or near campus to conduct the business of that campus, or a senior officer has been hired in a newly appointed position, the University may provide an additional or alternate housing or transition allowance of up to $3,000 per month for up to 12 months, but should be reviewed every 3 months. 

Approval Process:

The ALR approval process should begin with a review of the proposed assignment by the employee's supervisor against the current performance program or established faculty workload to ensure the proposed assignment is not duplicative, is in addition to, and substantially increases or expands the scope of the employee's normal professional responsibilities, and will not interfere with the employee's current responsibilities.

Written approval must be obtained prior to the start of the assignment and work performed in advance of such approvals will not be compensated, unless the campus specifically makes a determination to compensate an employee retroactively for justifiable reasons such as the duties being assumed suddenly where it was not feasible to obtain the appropriate approvals in advance or a delay in funding if the ALR is related to outside income.  Justification must be documented for assignments beginning prior to completion of proper approvals.

The campus must have a documented process for review and approval of the following information which should be included on an ALR specific form or incorporated into an existing Campus form:

  1. A detailed explanation of the additional assignment that will be performed, how it is in addition to, and substantially increases or expands the scope of the employee's normal professional responsibilities, and how it will be completed during the normal obligation.  For Clinical Support, the types and value of the services being performed (together with applicable market data) or the arrangement with other healthcare facilities should be provided.
  2. Justification for the ALR compensation amount in consultation with the campus Office of Human Resources.
  3. The anticipated beginning and ending dates of the assignment.  If the amount is for additional assignments related to a vacancy, the ALR should end when the vacant position is filled.
  4. If an end date is not specified, the amount must  be reviewed and renewed at a minimum on an 6 month basis for non-clinical ALRs and on an annual basis for clinical support ALRs to ensure that assignment is still being done and if the amount of compensation is still appropriate. 
  5. Upon approval by the employee's direct supervisor or department chair, additional approvals from the appropriate campus staff including department head, human resources, budget, and campus management or executive leadership (e.g. Vice President) must be obtained.
  6. The approved ALR compensation should be entered into the SUNY HR system using the appropriate beginning and ending dates.

Ongoing Monitoring:

  1. The employee's supervisor, Human Resources, and/or Payroll departments must monitor the ALR on an ongoing basis, but not less than every 6 months for non-clinical ALRs and annually for clinical support ALRs (unless there is a specific time provided in the appointment letter such as two years), to determine continued appropriateness of the ALR and the need for renewal. 
  2. A formally documented renewal should be completed when the ALR is expected to continue past the end date.  The renewal should provide an explanation for the continuation along with an assertion that the work has been performed in a satisfactory manner.  Any supporting documentation should be included with the form when it is sent to Human Resources for processing.
  3. If the assignment for which an ALR is being paid is determined to be an ongoing and permanent part of the employee's responsibilities, the ALR must be discontinued and the employee should be given an appropriate base salary increase commensurate with the duties.
  4. Clinical Support oversight and monitoring should include a periodic fair market value analysis to ensure that any continued ALR compensation is based on fair market value, an annual review verifying that the services are still being performed, and the AMC still needs these services.  Clinical support provided to external healthcare facilities must also be reviewed and monitored on a periodic basis to ensure the work is being completed and to ensure the amount paid by the external healthcare facilities represents fair market value.
  5. Campuses should have a documented process which incorporates the above monitoring procedures.

Notification to Employees:

Employees should receive an official notification of the amount of the ALR, whether in the initial appointment letter or by separate communication.  The letter must state the amount of the ALR, the initial effective date and the specific circumstances by which the ALR will end (which may be a specific date or the elimination of the duties).  If the ALR is renewed, an additional communication should be sent to the employee, stating the amount and the terms.


Forms

Specific forms are available at each individual campus.




Related Procedures

There are no related procedures relevant to this procedure.


Other Related Information

Extra Service - Extra Service for Professional Staff


Authority

There is no authority relevant to this procedure.


History

There is no history relevant to this procedure.


Appendices

There are no appendicies relevant to this procedure.