project directors handbook

8/6/2019 Project Directors Handbook

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TABLE OF CONTENTS

I.INTRODUCTION .....................................................................................................................1

A.Purpose of the Manual.....................................................................................................1

B.History of the CSU Fullerton ASC..................................................................................1

C.Structure of the CSU Fullerton ASC ..............................................................................3

II.GRANT ADMINISTRATION..................................................................................................3

A.Pre-Award Review and Approval of Proposal Submission.............................................4

B.Approvals, Authorities and Responsibilities....................................................................5

C.Pre-Award Financial Commitment of Expenditures........................................................6

D.New Account Set-Up .................................................................................................6

E.Orientation Meeting ......................................................................................................7

F.Conflict of Interest............................................................................................................8

G.Cash Flow .......................................................................................................................9

H.Budget ..........................................................................................................................10

1.Grants/Contracts.................................................................................................10

2.Discretionary Funds............................................................................................10

I.Allowable Costs ..............................................................................................................11

1.General Concept .................................................................................................11

2.Specific Allowable Costs....................................................................................12

3.Non-allowable Costs ..........................................................................................13

J.Encumbrances ................................................................................................................14


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1.Definition............................................................................................................14

2.How Funds Are Encumbered..............................................................................14

3.Limit14

4.Phone Purchase Orders (POs).............................................................................15

5.Clearing...............................................................................................................15

K.Cost Overrun ..............................................................................................................15

L.Approval for Grant Changes .....................................................................................16

1.No-Cost Extension..............................................................................................16

2.Changes Requiring Sponsor Approval................................................................16

3.Budget Adjustments............................................................................................17

4.Budget Change Requests....................................................................................17

M.Cost Transfer ............................................................................................................17

1.Corrections..........................................................................................................17

2.How to Request...................................................................................................17

3.Notification.........................................................................................................18

4.Related Projects..................................................................................................18

5.Documentation....................................................................................................18

N.Cost Sharing ..............................................................................................................18

1.Types of Cost Sharing.........................................................................................19

2.Cost Sharing as a Proportion of the Total Budget..............................................19

3.Procedures for Collecting Cost Sharing Information..........................................19

4.How to Document Cost Sharing.........................................................................19

O.Project Renewals ........................................................................................................19

P.Program Income .........................................................................................................20

Q.Technical Progress/Performance Reports ..................................................................20

R.Financial Report .......................................................................................................21

S.Grant/Contract Closeout ..............................................................................................21

1.Items Required for Closeout...............................................................................21

T.Audit Requirements & Record Retention ..................................................................22

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The ASC and all sponsored projects are subject to audits. An external, independentaccounting firm conducts annual audits; this same firm performs the A-133 auditof federally funded programs, required each year of organizations that expend$500,000 or more in a year of federal awards.......................................................22

III.HUMAN RESOURCES ......................................................................................................22

A.Employee Definitions and Classifications.....................................................................22

1.Definitions...........................................................................................................22

2.Classifications.....................................................................................................23

3.Types of Employment.........................................................................................24

4.University Employees in general, persons who are performing services underthe will and control of the University and are compensated by theUniversity payroll system. ........................................................................24

5.Overload is additional employment over the equivalent of a full-timeassignment within the California State University and its auxiliaries.Within the CSU system including all auxiliaries, employees may not beemployed more than a total of 125% time. ...............................................24

B.Non-Student Recruitment Procedures .....................................................................24

1.Recruitment.........................................................................................................24

2.Qualification Assessment/Screening..................................................................26

3.Interviews ....................................................................................................26

4.Selection .......................................................................................................27

5.Notification.........................................................................................................27

6.Retention of Records...........................................................................................28

C.Student Recruitment Procedures ..................................................................................28

1.New Hires...........................................................................................................28

2.Change Notice.....................................................................................................29

3.Terminations.......................................................................................................30

D.Payroll Procedures ...................................................................................................30

1.Wages ............................................................................................................31

2.Payroll Taxes......................................................................................................32

3.Check Disbursement...........................................................................................32

4.Payroll Deductions..............................................................................................32

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5.Benefits ...........................................................................................................33

6.Wage Garnishment..............................................................................................34

E.Payments to Faculty.......................................................................................................34

1.Release Time.......................................................................................................34

2.Summer and Intersession and Overload Salary..................................................34

Employees performing duties that are outside of their normal work assignment areeligible for overload employment. This employment is for work performedoutside the normal work hours of the employees regular assignment. Forfaculty this is typically during the Summer and Intersession periods.......35

F.Personnel Policies...........................................................................................................35

1.At-Will Employment..........................................................................................35

2.Equal Employment Opportunity ......................................................................35

3.Sexual Harassment..............................................................................................36

4.Conflict of Interest..............................................................................................37

5.Drug-Free Workplace.........................................................................................38

6.Health and Safety ...........................................................................................38

G.Performance Appraisal ...............................................................................................39

A.Independent Contractors ...........................................................................................41

1.Description..........................................................................................................41

2.Types of Independent Contractors .................................................................47

3.Methods of Payment .......................................................................................48

B.Personal Income Payments ......................................................................................48

1.Payment Methods................................................................................................48

b.Payroll.................................................................................................................48

2.Important Definitions ........................................................................................49

A. SERVICES.........................................................................................................................49

B. NONRESIDENT ALIEN.................................................................................................49

1.Types of Personal Income to Payment Type .................................................49

C.Information Returns ....................................................................................................51

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2.Signers .............................................................................................................57

3.Valid Documentation..........................................................................................57

4.Check Issuances..................................................................................................57

5.Payments for Stipends, Awards, Royalties, Honorarium, Fellowships andIndependent Contractors............................................................................58

C.Advance Payments.........................................................................................................58

D.Sales Tax Liability.........................................................................................................58

IX.TRAVEL .............................................................................................................................59

A.General Description.......................................................................................................59

B.Travel Authorization and Advance Form.......................................................................59

C.Foreign Travel ............................................................................................................59D.Travel Advances............................................................................................................59

E.Travel Expense Reimbursement.....................................................................................60

F.Mileage and Per Diem Rates..........................................................................................60

G.Mileage Documentation.................................................................................................60

H.Complete Travel Documentation...................................................................................60

I.Exceptions to Policy Standards.......................................................................................60

X.EQUIPMENT .......................................................................................................................61

A.Definition.......................................................................................................................61

B.Acquisition Procedures..................................................................................................61

C.Equipment Inventory......................................................................................................62

D.Title of Equipment ....................................................................................................63

E.Government-Furnished Equipment................................................................................63

F.Equipment Disposition...................................................................................................63

G.Equipment Maintenance and Repair..............................................................................63

H.Facility Modification......................................................................................................64

XI.FORMS....................................................................................................................................28

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I. INTRODUCTION

A. Purpose of the Manual

This manual is a guide for Principal Investigators and Program Directors whomanage research grants or other contracts and agreements administered by theCSU Fullerton Auxiliary Services Corporation (ASC). By reading this manual,

you will become familiar with the ASCs implementation of federal, state, local, private and non-profit laws, policies, rules and regulations. You will alsounderstand how you, as a Principal Investigator or Program Director, play anintegral part in insuring that grant or contract monies are managed consistent withthe intent of the donor and in accordance with the law.

Every effort has been made to keep these policies and procedures consistent withthe overall policies of the ASC, CSUF and the CSU. Where there are conflictingrules, you should seek the opinion of the ASCs Sponsored Programs Office. It isa great responsibility to follow the policies and procedures of the ASC and thegrant sponsor. The consistent and successful administration of grant moneyallows the University to pursue additional funds for important projects of interestto you, your department, the University and the community at large. Futurefunding is largely determined by our success in managing todays sponsoredprograms.

B. History of the CSU Fullerton ASC

CSUF ASC, like all other CSU auxiliaries established under Title 5 of CaliforniaCode of Regulations, was founded:

To conduct activities essential to the educational program of a campus;

To provide a reasonable and effective administrative system for certainnon-state funded activities essential to the educational mission of thecampus; and

To receive gifts, property, and funds to be used for the benefit of suchcampus.


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C. Structure of the CSU Fullerton ASC

The ASCs Executive Director reports to both a Board of Directors and the VicePresident for Administration of Cal State Fullerton. The 20-member Board ofDirectors is composed of CSUF students, faculty, administrators and communityleaders. The Board meets quarterly to conduct ASC business while its ExecutiveCommittee meets monthly. The Vice President for Administration is an ex-officiovoting member of the Board of Directors and is engaged in providing continuousoversight of the ASCs activities.

The Director of Sponsored Programs reports to the ASCs Director of Finance andAdministration. The Director of Grants and Contracts (an ex-officio, non-votingmember of the Board) reports to the Vice-President for Academic Affairs, anotherex-officio voting member of the Board.

II. GRANT ADMINISTRATION

In January 2004 Chancellor Charles B. Reed issued Executive Order 890 (EO890)charging each CSU Campus President to establish a policy on his/her campus relating toall Sponsored Programs applied for, awarded to and/or administered by their campus orany of their campus Auxiliaries.

Effective July 1, 2004, CSU Fullerton submitted the campus policy titled: Administration of Grants and Contracts in Support of Sponsored Programs

(Attachment A) to the Chancellors Office as the guidelines for applying for andadministering all Sponsored Programs for our campus.

Principal Investigator Reference Manual Page 3


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A. Pre-Award Review and Approval of Proposal Submission

Proposals for Sponsored Programs shall not be submitted to the Sponsor withoutprior written approval of: (1) the President of the University or the Presidents

University designee, (2) the Director of the Office of Grants and Contracts and (3)the Chief Financial Officer of the University or the Chief Financial OfficersUniversity designee.

Who is authorized to apply for grants and enter into contracts in the

Universitys name?

All grants/contracts go through the pre-award process; this is the only approvedmethod to submit a grant/contract application to any prospective granting agencyin the name of CSUF or ASC. The ASC will review and approve extramural

grant/contract proposals prior to submission to assure reasonable scope of work tothe budget, budget accuracy, appropriate indirect cost calculations, contractualobligations and liabilities. When awarded, grants/contracts are issued in the nameof the ASC.

.

Who is authorized to review, approve and sign-off on proposals?

Pre-identified staffs from various departments and colleges review the application

during the pre-award/sign-off process. The Office of Grants and Contractscoordinates the signoff process.

Who is authorized to be a Principal Investigator?

Only persons approved by their college dean or higher may approve an individualto act as a Principal Investigator. This authorization is obtained during the signoff process.

The Principal Investigator is not legally permitted to be the recipient of a grantand may not enter into a contract with a sponsor. Only the ASC may enter into acontract or be awarded a grant on behalf of the University.

Although the ASC is legally and financially responsible to the sponsor, thePrincipal Investigator is responsible for project administration, submission of thetechnical reports, and proper fiscal management. The ASCs Sponsored ProgramsOffice provides administrative and financial services and has also established policies and procedures to meet various fiduciary and administrativerequirements.



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B. Approvals, Authorities and Responsibilities

A Principal Investigator/Account Holder is responsible for a variety of matters.Among them, the Principal Investigator will:

Develop and maintain technical and program progress and otherdeliverables to ensure project is completed in accordance to the guidelines;

Ensure that project records are kept in ASC or campus offices. Recordsmay not be removed from or maintained at any off campus locationwithout University or ASC approval;

Authorize expenditures and maintain tight control on approval authority;

Keep accurate and current accounting records;

Submit expense and employee records in a timely manner;

Monitor monthly financial reports for accuracy and contact the accountadministrator whenever discrepancies occur;

Contact the account administrator when major program objectives orbudget expense revisions are necessary (budget flexibility depends on thegranting agency);

Complete all personnel paperwork in a timely manner and ensureadherence to HR policies (including recruitment, supervision,compensation, termination, etc.); and

Ascertain that the appropriate project staff has a good working knowledgeof this guide.

Who is authorized to sign check requests, payroll records and other

project expenditures?

The Principal Investigator has signature authority and must sign all transactionrequests. In some cases, the Principal Investigator may delegate authority, inwriting, to another University or ASC employee. For the Principal Investigator to

receive a reimbursement, his or her supervisor must sign the request for payment.In order for the Principal Investigators supervisor to receive salary orreimbursements, both the Principal Investigator and the official who hassupervisory responsibility over the payee must approve the request.

Only original signatures are accepted. Email and fax signatures are acceptable astemporary substitutes for original signatures.



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How does the Principal Investigator designate alternate signers?

If the Principal Investigator wishes to designate an alternate signer on his or herproject account, that request must be made in writing. The Account Update Form

must be signed by the Principal Investigator and show the name and samplesignature of the alternate signer.

C. Pre-Award Financial Commitment of Expenditures

On occasion, Principal Investigators may wish to access grant funds before theyare made available from the sponsor. In such cases, the ASC may provide anadvance to initiate the project. The advance should be requested using the OPASform that must be signed by The Director of Sponsored Programs. The federalgovernment will only reimburse the ASC for pre-approved start up expensesthat are incurred prior to the start of the project-funding period; therefore, any

advances by the ASC will be limited and closely scrutinized.

D. New Account Set-Up

The ASC establishes an account when a copy of the official award notification isreceived from the sponsor. Because the awarding agency may notify any numberof people that funding has been awarded, if you receive an award notice, forward

a copy to the Director of Sponsored Programs.

Some awards, especially contracts, may be negotiated after the sponsor hasdecided to carry out a project with the ASC. The Office of Grants and Contractscoordinates that process. Once negotiated, the contract award is complete, andthe contract is prepared and signed by the ASCs Executive Director and by thesponsors designated authority.

The ASC does not expect federal, state and local governments to provide fundingin advance. In these cases, once official notice of award is received by the ASC,funds are available to the Principal Investigator.

Private, for-profit sponsors must provide a portion of the project funds uponsigning and must pay all invoices within 30 days of receipt.



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E. Orientation Meeting

Once award notification is received, the Principal Investigator will be scheduledto attend an orientation meeting with the ASC. There are several purposes for thismeeting:

to review and distribute the Principal Investigators handbook;

to inform about University and ASC policies and procedures;

to review the terms and conditions of the award;

to review and adjust the project budget;

to establish the Principal Investigators signature record; and

to provide an account number to the Principal Investigator.

The orientation should include the Principal Investigator and any other staff thatwill have significant involvement in the administration of the award. The Directorof Sponsored Programs is the ASCs official orientation leader and will typicallyconduct the orientation session. The orientation is mandatory and must take placeprior to the expenditure of grant funds.

The orientation will provide extensive information about the fiduciaryresponsibilities of a Principal Investigator. During the orientation, you willreceive an overview of the consequences which may result if there is a violationof policies and procedures. Those consequences include:

First Violation : a copy of the policies and procedures will be sent to thePrincipal Investigator clearly identifying the violation and remedial actionto be taken;

Second Violation : a face-to-face review of the policies and procedures willbe conducted and the Principal Investigators Chair will be notified that areview of policies was necessary;



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Third Violation : this violation will be reported to the appropriate Dean;

Further Violations : additional violations will be reported to the VicePresident for Academic Affairs. This notification may include the

recommendation that the Principal Investigator be removed from this orany other project and that consideration be given to denying the PrincipalInvestigator involvement on future projects.

Policy and procedure violations that have legal or financial consequences willresult in immediate freezing of the account. The account will remain frozen untilthe matter is rectified.

F. Conflict of Interest

The ASC considers it a conflict of interest when financial or personalconsiderations may appear to compromise a Principal Investigators judgment in

conducting or reporting research, carrying out grant activity or conductingcontracts. CSU policy states that it is unlawful for:

any person to utilize any information, not a matter of public record,that is received by that person by reason of his or her employment by, or contractual relationship with, the trustees, the CaliforniaState University, or an auxiliary organization of the CaliforniaState University, for personal pecuniary gain, not contemplated bythe terms of the employment or contract, regardless of whether theperson is or is not so employed or under contract at the time thegain is realized.

The ASC follows campus policy for reporting conflicts of interest. The Office ofGrants and Contracts oversees the completion of the Conflict of Interest forms inthe initial stages of proposal preparation; the Office of Sponsored Programs keepscurrent conflict of interest forms once the award arrives.

It is the responsibility of the Principal Investigator to provide an updated Conflictof Interest Statement any time an event occurs that is or may be construed as aconflict of interest.

The Conflict of Interest Policy does not prohibit the appointment of a closely

related individual to a project so long as the Principal Investigator does notsupervise or otherwise make personnel-related decisions regarding that relative.Transactions between the Principal Investigator and the related employees mustbe consistent with that of other employees.

For purposes of this policy, closely related individuals are husbands, wives,mothers, fathers, sons, daughters, sisters, brothers or partners, who are related byblood or marriage.



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G. Cash Flow

The government agency related projects: The ASC will advance funds forproject-related expenses and then request reimbursement in arrears from thegovernment agency. For new sponsors that are not government entities:Grants/contracts should be negotiated so that an advance payment of funds isawarded when the agreement is fully executed.

The terms of a grant/contract should be negotiated to allow for reimbursement ofexpenses often enough to minimize the amount of ASC funds advanced to aproject. Past due notices of increasing seriousness will be sent to sponsors whenpayments are 30, 60 and 90 days past due. Projects with invoices that are morethan 90 days past due will be suspended and no further charges against the projectwill be allowed until payments are made. Projects that continue to experiencecollection problems may be terminated and outstanding invoices may be turnedover to collection agencies.

Principal Investigators are responsible for ensuring that all funds received fromany grant or contract are deposited into an ASC account. The ASC is responsiblefor:

Disclosure of each projects history, including: the documentation as to thesource of fund awards, the accepted uses of those funds, history ofauthorizations, list of obligations, accounting of assets, detailed list of

expenditures and incomes;

Control and accountability for all funds, providing a comparison of budgetto actual expenditures, and administering procedures that minimizeelapsed time between expenditures and receipt of funds;

Access to grant funds through letters of credit, invoicing, advances andother financial instruments;

Audits of the ASCs financial management systems through the services ofan independent accounting firm to insure that internal controls are well

documented and are being effectively operated.



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H. Budget

1. Grants/Contracts

In most cases, a budget is provided to the Office of Sponsored Programswhen the proposal is submitted to the sponsor. It is the PrincipalInvestigators responsibility to ensure that the ASC has a copy of the finalapproved budget with line item detail before work begins.

The ASC will then develop a Notice of Award & Control Record. Thisassigns an account number, budget categories and allocations; andidentifies reporting requirements, agency terms and conditions, andagency contacts.

The official Notice of Award is the controlling budget document that willbe distributed to Principal Investigators, department chairs, college deansand the Office of Grants and Contracts.

Modifications among the budget categories may be made within theguidelines of the funding agency. Other modifications or revisions notcovered by the funding agency guidelines will be honored only uponwritten authorization from the funding agency.

Principal Investigators must control project expenditures as required by

granting agency guidelines. On or about the fifth (5th) working day ofeach month, the ASC will prepare monthly Principal Investigator financialreports for the prior months activities. These reports detail monthlyexpenditures, encumbrance activities, variances, and balances for each budgeted category. The monthly report will assist the PrincipalInvestigator to insure that expenditure progress is in conformance with theapproved budget. Principal Investigators should promptly review theirmonthly financial reports and contact the Sponsored Programs Office toresolve any discrepancies.

If the project has personnel, payroll reports will also be provided with themonthly finance reports. Vacation accrual, CTO earned and staff pay areidentified for each pay period. Employees should schedule to takevacation/time off during the grant funding period to avoid cash pay-outwhen the grant ends or the employee leaves.

2. Discretionary Funds

Discretionary Funds are monies generated through conference registration,royalties, non-credit courses, sale of publications or other activity-



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example, a fishing trip to Hawaii in December may lookunreasonable. However, in context (it is the only time theresearcher can sample the migration of specific fish to their winterhome), the expense becomes reasonable.

b. Necessary

An expense is necessary if the purchase is needed to carry out theproject. Will the project be harmed if this purchase is not made?The sponsor considers all expenses specifically identified in theapproved budget necessary expenses.

c. Allocable

A cost is allocable if the goods or services involved are chargeablein accordance with benefits received, or if it is incurred solely toadvance the work under that project. Costs that benefit more than

one project are not allocable when it cannot be determined howmuch each project benefits.

Allocable costs may not be shifted to other sponsored projects tomeet deficits caused by overruns. Nor may those cost be shiftedto avoid restrictions imposed by law or the terms of the sponsoredproject. Allocable funds may not be shifted for reasons of simpleconvenience either.

2. Specific Allowable Costs

The following examples provide a brief overview of some expenses. Seethe award letter instructions for specific information about your award.

a. Communication

Costs incurred for local and long distance telephone calls,telegrams, faxes, postage, etc., are allowable. (However, monthlytelephone service charges are not allowable on most federal grantsunless specified in the award.)

b. Salaries, Wages and Benefits

Payments to individuals employed on the project during the award period are allowable when the total compensation to individualemployees conforms to the established policies of the Universityand the ASC. Salaries and wages must be for work directlyperformed on sponsored projects and clearly documented.

c. Equipment



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Generally, equipment purchases are not allowable on federal grantsand contracts. Permanent equipment is allowable only when suchpurchases are approved by the sponsoring agency or stated in theterms of the agreement. Equipment purchases must follow theASCs Purchase and Inventory Policies.

d. Publication

Costs for publishing or printing technical, progress or finalfindings on a sponsored project is allowable.

e. Materials

Costs for materials, supplies and fabricated parts directly related tothe project are allowable.

f. Meetings and Conferences

Costs for attending meetings whose primary purpose is thedissemination of technical information are allowable. Cost forattending meetings where the purpose is to further objectivesclearly identified in the proposal are usually allowable. Thisincludes cost of meals, transportation, rental facilities and otheritems incidental to such meetings or conferences.

g. Travel

Travel expenses are allowable when specific work is directlyattributable under an agreement. First-class air travel is notallowable. Travel on federal grants MUST comply with FederalBuy American Act (i.e., use of American air carriers only). Alltravel expenses must follow the CSU travel policy established

by the Chancellors Office.

3. Non-allowable Costs

a. Alcoholic Beverages

Purchase of alcoholic beverages with federal funds is neverallowable. Purchase of alcoholic beverages are not allowable on



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non-federal grants unless authorized in the approved budget andconsistent with the purpose of the award.

b. Capital Expenditures

Equipment, furnishings, buildings and substantial repairs (thatmaterially increase the value or useful life of buildings orequipment) are not allowable except as provided in the sponsoredagreement. Government funds shall not be used for the acquisitionof land or any interest therein, except with the sponsoring agencysspecific prior approval

c. Entertainment

Amusement, social activities, entertainment, gifts and any itemsrelating thereto such as meals, lodging and gratuities areunallowable unless specifically approved in the agreement. These

expenses are generally seen as benefiting an individual rather thanpromoting project objectives.

d. Memberships and Subscriptions

Costs for civic, business, technical or professional organizationsare normally not allowable (they are identified as benefiting anindividual).

J. Encumbrances

1. Definition

An encumbrance is how funds are committed, set aside or spoken for. TheASC reserves encumbered funds for payment at a later time.

2. How Funds Are Encumbered

Complete a purchase order form and forward it to the ASCs AccountsPayable. The form must include vendor name and address, projectedexpense, account number and object codes, and the amount. Purchaseorders must follow all the regularExpense Policies.

Subcontracts and consultant services are typical expenses for which fundsshould be encumbered.

3. Limit



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Encumbrance expenditures must be incurred during the grant/contractperiod and must be used prior to the end of funding period. Invoices andbillings for encumbrances may be received after the grant/contract enddate. However, final invoices for encumbered funds must be receivedwithin 60 days of the project end date.

4. Phone Purchase Orders (POs)

ASC purchase order numbers may be obtained from Accounts Payable, byphone, for up to $500.00 for emergency purchases only. After receivingthe PO number via phone, complete the Purchase Order Form as usual (besure to include the PO number just assigned), then send it to the ASC toencumber the fund.

5. Clearing

When goods or services are received, verify and forward the receiving

report (the pink copy of PO) to the ASC to pay the invoice. Invoicesreceived by the project must be sent immediately to Accounts Payable.Accounts Payable will pay invoices for purchase orders if a ReceivingReport is on file.

Notify the ASC as soon as possible for cancellations or changes to theorder. This will disencumber funds for other expenses.

Outstanding POs must be cleared before the project can be closed. POsare closed either when the invoices are received and paid, or whenAccounts Payable is notified that an order is cancelled.

K. Cost Overrun

A cost overrun is when total expenditures and obligations exceed funding.Principal Investigators must ensure that all expenditures and obligations arewithin the approved budget. Principal Investigators must rectify cost overrunsshould they occur. Some available options to remedy cost overruns are:

Principal Investigators available agency funds;

Department funds, which will require the Chair or Dean to approve;

Indirect Cost reallocation funds, which will require Dean approval; or



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Transfer expenditures to another closely related project (e.g., a costsharing account, a subsequent project or prior project if the fundingagency allows the expense).

Contact the Director of Sponsored Programs to determine which options are

available and appropriate.

L. Approval for Grant Changes

Each sponsor has preferences about how changes to the grant should be handled.Check the Control Record page of Notice of Award for approved or allowedchanges.

1. No-Cost Extension

When Principal Investigators need more time to complete the work, mostsponsoring agencies will agree to some extension of time with no changesin budget (No-Cost Extension). To request an extension, contact theDirector of Sponsored Programs 45 days before the scheduledgrant/contract termination.

Extensions that require additional costs require detailed justification andnegotiation and will go through the standard grant review and approvalprocess.

2. Changes Requiring Sponsor Approval

The following always require prior granting agency approval:

Changing the scope or objective of the approved project;

Sub-contracting or transferring substantive project activities to athird party;

Changing the Principal Investigator;

Absence of the Principal Investigator for more than threeconsecutive months;

Substantially changing the level of effort of key personnel (i.e.,PI);

Budget reallocations in excess of the sponsor designated percent ofthe approved budget;



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Reallocation of funds specified for participant support to non-participant categories; and

Reallocation of funds from other program costs to salaries andwages.

3. Budget Adjustments

Budget adjustments within approved categories not exceeding up to 25%of the total project budget are typically allowable. Refer to the specificterms and conditions of your award to determine the limits.

4. Budget Change Requests

Change requests must be made in writing; email requests will be honoredso long as the email is sent from authorized signer(s) on the account.Requests to reallocate funds within approved budget categories may not

exceed the maximum allowable amounts set by the sponsoring agency.Requests must include the following information:

Reason for the request;

Account Number(s);

Object code and amount from which the funds are to betransferred; and

Object code and amount to which the funds are to be transferred

The request will be reviewed and, if allowable, your request will be processed. You will be notified of any problems with the request;otherwise, you will be emailed when the request is completed.

M. Cost Transfer

1. Corrections

Cost transfers to correct clerical or bookkeeping errors must be made upondiscovery. Request for error correction must include an explanation ofhow the error occurred and approval by the Principal Investigator. Anexplanation to correct an error or to transfer to the correctobject/project is not sufficient.

2. How to Request



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Requests may be emailed to the Sponsored Programs accountant and mustinclude the following information:

Full explanation of the transfer;

Account numbers being corrected;

Object codes;

Transaction date of the charge in error from the Account DirectorsReport; and/or

The amount and vendor name of the transaction being corrected.

3. Notification

The request will be reviewed and if allowable, your request will be

processed. You will be notified of any problems with the request;otherwise, you will be emailed when the request is completed.

4. Related Projects

When work on two or more closely related projects are supported bydifferent funding sources, costs may be transferred from the originallycharged project to the other project(s) when all of the following conditionsare met:

The cost is a proper and allowable charge to each grant;

The transfer is supported by documentation from the PrincipalInvestigator containing a full explanation and justification;

The transfer is reviewed and approved by the ASC; and

The transfer is made within 120 days of the original charge. Atransfer request after 120 days requires an explanation.

5. Documentation

Documentation of cost transfers are kept for a period of three years unless

otherwise specified in the terms and conditions of the award.

N. Cost Sharing



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Many sponsored agreements require the University to contribute a portion of thecosts. Documentation and accounting for cost sharing is as important asdocumentation of costs charged to the sponsor. Specific cost sharingcommitments are usually identified in the proposed budget and, unlessrenegotiated with the sponsor, are a firm commitment of University resources to

the project

1. Types of Cost Sharing

Cost sharing may be either cash or in-kind.

a. Cash

Monetary contributions made by another entity, usually theUniversity, to the project.

b. In-Kind

Contributions of value such as goods, materials, services, facultyrelease time or other donations that are necessary to the successfulcompletion of the project.

2. Cost Sharing as a Proportion of the Total Budget

Expenditures will be allowed only in proportion to the documented costsharing.

3. Procedures for Collecting Cost Sharing Information

Requests for cost sharing documentation will be made to the PrincipalInvestigator each quarter. Sponsored Programs will provide forms andsuggestions for adequate cost sharing documentation.

4. How to Document Cost Sharing

Cost sharing documentation follows the same criteria as allowableexpenses; however, original receipts are not required on cost sharing.

O. Project Renewals

Principal Investigators must ensure that continuation/renewal procedures areproperly completed. In order to secure the second and successive years of agrant/contract, reports should be submitted within 45 days to 120 days prior to theexpiration date of the current budget period. Refer to the specific terms andconditions of your award to determine the timeline and required reports.



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P. Program Income

Any project-related income (such as workshop registration fees, rental fees, salesof publications, royalties, or sales of materials and service fees) must be depositedin an ASC account in accordance with the sponsors regulations and agreementsand reported to the sponsor. Program income shall be retained and added to theproject to be used to further program objectives; used to finance the cost sharingof the project; or deducted from the total project costs when determining thesponsor share of the project. The sponsor will direct how program income mustbe handled.

Q. Technical Progress/Performance Reports

Most granting agencies require progress reports at various intervals of agrant/contract. Progress reports will always be requested for grant continuation,renewal and close-out. Upon project completion or termination, a final technicalreport, prepared in accordance with the applicable program rules, is required.Principal Investigators must submit reports directly to the granting agency.Principal Investigators who have contracts instead of grants may be required todeliver specified products or services. Principal Investigators must also submitcopies of all reports and transmittal letters to the Office of Sponsored Programs.If the report is too long to submit a complete copy to the Office of Sponsored

Programs, provide a copy of the table of contents and executive summary as wellas the transmittal letter. Technical progress reports may present:

A statement of actual accomplishments towards goals and/or the findingsof the Principal Investigator;

Reasons why goals were not met;

Other pertinent data;

Other requirements of the sponsor, and

Problems or favorable developments during the reporting period.

Technical reports, data, findings, published papers, deliverables, copyrights orfinal products are the property of the University/ASC unless thecontract/agreement specifies joint ownership with the sponsor. All project recordsmust be kept on campus and in the office of the Principal Investigator or the ASC.



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R. Financial Report

In addition to Progress Reports, most sponsors also require financial reports. TheASC provides financial reports that include all expenditures, program income,cost sharing contributions and other financial information as required by thesponsor. Depending on the terms and conditions of the grant or contract,unobligated project funds will be returned to the sponsor or remain in the accountuntil fully expended on project-related activities. Principal Investigators musthave the Director of Sponsored Programs review and approve financial reportsbefore they are submitted to the sponsor.

S. Grant/Contract Closeout

As with any major endeavor, a project account cannot be closed until allpaperwork is complete. The ASC sends close-out notices 90, 60 and 30 days priorto the end date. These notices request the Principal Investigator to take certainactions to facilitate the close of the project.

1. Items Required for Closeout

Submission of the final technical report by the PrincipalInvestigator;

Final invention statement;

Final fiscal report (from the ASC);

Cost sharing data, if required;

Account of all equipment (if any) purchased under the project, aswell as disposition status of the equipment;

All project allowable costs submitted to the ASC (includingassurances that all personnel payments, including release time havebeen processed, paid and documented);

Clearing of travel, advances and encumbrances;

Final arrangements for all personnel assigned to and/or working ona sponsored project;



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If personnel on a grant are not going to be reassigned to anothersponsored project or department or University account, PrincipalInvestigators must complete employee termination forms followingASC procedures;

Disposition of over expenditures; and

Other miscellaneous requirements of the sponsor. (Sponsorssometimes have other requirements or expectations to be met before a grant can be closed. These may include presentations,publications, or other activities. All expectations specified in thenotice of award or contract must be met before a grant can beclosed.)

T. Audit Requirements & Record Retention

The ASC and all sponsored projects are subject to audits. An external,independent accounting firm conducts annual audits; this same firm performs theA-133 audit of federally funded programs, required each year of organizationsthat expend $500,000 or more in a year of federal awards.

Periodic audits are also performed by the Chancellors Office, federal fundingagencies, private sponsors and other interested parties.

It is imperative that policies and procedures are followed at all times and thatcurrent and accurate records are kept. Research materials and records must be

retained on campus so that they are readily available for auditor reviews.

III. HUMAN RESOURCES

A. Employee Definitions and Classifications

1. Definitions

Employer is the legal entity that directly or indirectly employs orexercises control over the wages, hours or working conditions of another person. The employer is legally responsible for the collection andpayment of payroll taxes including federal and state income taxes, SocialSecurity and unemployment taxes and workers compensation insurance.The employer must also provide designated fringe benefits for eligibleemployees.



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Employee is one who performs services under the direction and control ofthe employer. It does not matter that he/she is permitted considerablediscretion of freedom as long as the employer has the legal right to controlboth the method and result of the services.

Non-Employees, typically called Independent Contractor or Consultant,are generally self-employed individuals with direct control over their workand whose services are undertaken on a fee arrangement. IndependentContractors/Consultants are not on the payroll of University or ASC. TheIRS has specific rules to determine if someone is an IndependentContractor/Consultants; therefore, it is important to obtain advanceapproval from the ASC prior to engaging the services of an IndependentContractor/Consultant. For details and more information regardingIndependent Contractors, see the Independent Contractors section.

2. Classifications

Full-time employees work a regular schedule of 40 hours or more a week.

Part-time benefited employees work a regular schedule of at least 30, butless than 40, hours a week.

Part-time employees work a regular schedule of one 1 to 25, but less than30, hours a week.

On-call employees work only when scheduled for a specific assignment orfor a set number of hours as required. Normally, on-call employees do notwork a regular daily schedule.

Temporary employees are offered employment for a specified duration.Normally these appointments are made from one 1 to 90 consecutiveworkdays but generally do not exceed 18 months. Temporary employeesdo not typically receive benefits. The maximum appointment for atemporary, full-time employee without benefits is nine (9) months.Temporary, full-time appointments for a minimum of 12 months will beeligible to receive benefits.

Acting appointments are positions that perform duties of a position for aspecified length of time, generally not to exceed one year.

Grant/contract employees are hired for a specified time and are paidfrom external funding sources other than the ASC. The terms andconditions of employment are set forth in the funding agencys contractualagreement. However, all agreements regarding employment should bemade in accordance with the ASCs policies and procedures. Employmentis normally for a one-year duration, but may be extended. Employmentmay be considered full-time, part-time, temporary or on-call.



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Student employees are enrolled at CSUF either part- or full-time, with aregular work schedule not to exceed 20 hours a week.

3. Types of Employment

ASC employees are either exempt or non-exempt.

Exempt employees are paid for the duties and responsibilities of the position they perform, and not according to hours worked. Theseemployees are exempt from overtime regulations. Minimum salaryrequirement for exempt employees is a weekly salary equivalent to twotimes the hourly minimum wage rate. Part-time and temporary employeesare usually not considered exempt. The ASC will determine ifemployment is exempt from overtime or non-exempt.

Non-exempt (including hourly) employees are paid for hours workedand are paid overtime for hours worked over eight (8) hours a day or 40

hours a week. These employees are covered by wage and overtimeregulations.

4. University Employees in general, persons who are performingservices under the will and control of the University and are compensatedby the University payroll system.

5. Overload is additional employment over the equivalent of a full-timeassignment within the California State University and its auxiliaries.Within the CSU system including all auxiliaries, employees may not beemployed more than a total of 125% time.

B. Non-Student Recruitment Procedures

1. Recruitment

a. Recruitment must be conducted for all vacant full-time andbenefited part-time ASC positions.

b. The ASC shall post a position announcement for aminimum of seven (7) days or until a qualified applicant isselected for the position.

c. Internal recruitment announcements will be posted at theASC administration office, website, Bookstore, FoodCourt, Carl's Jr., Associated Students, Career Development



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Center, University HR office, and other appropriatelocations.

d. Consideration will be given to all employees who apply fora position with qualifications essential to perform the

required job duties.

e. Vacant positions may be filled by internal applicants orrecruitment may be extended to other CSU campuses.General advertising may also be conducted using variouspublications, newspapers and electronic media.

f. Recruitment will not be required for grant/contractpositions where an individual was named specifically in theagreement, or a grant was created for that individual.

g. When a position vacancy occurs, the appropriate hiring

manager/supervisor should complete an EmploymentRequisition form.

h. The Employment Requisition form will require thefollowing information:

Position title

If the position is new to the ASC, a formal jobdescription (for evaluation and grade assignment)

Type of position, length of assignment and numberof hours to be worked

Recruitment instructions

Specific announcement information and anychanges to be made to the formal job description

The Employment Requisition form must be signed by the initiating supervisor, the departmentmanager, the project director and the departmentchair.

i. All applicants/resumes received will be dated and loggedaccording to the date received.

j. All applications/resumes received will be given to theinitiating supervisor, manager, department or committee forqualification assessment and interview selection.



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2. Qualification Assessment/Screening

a. Applications and/or resumes will be accepted fromapplicants for available positions.

b. The assessing (screening) of applicant qualifications may be performed by the department requesting the position,HR, assessment committee members or any combinationthereof.

c. If a committee is used, it should be composed of at leastthree (3) individuals, with one designated to coordinateprocedures with HR.

d. Applications/resumes will be evaluated based on eachapplicants qualifications with regard to the minimumrequirements, experience and education stated on the job

announcement.

e. An explanation shall be provided for allapplications/resumes deemed as unqualified.

3. Interviews

a. A search/assessment committee is recommended for theinterview and selection of professional, administrative andmanagement staff.

b. Interviews for clerical support may be conducted by anassessment committee, the initiating supervisor, staff withinthe department, director of the department and/or humanresources.

c. Whenever possible, a minimum of three (3) applicantsshould be interviewed for each position. The department or

the assessment committee will determine the maximumnumber of applicants to be interviewed.

d. Before the interview process begins, the committee shallreview the job description, the minimum requirements forthe position, responsibilities of the position, clarifyquestions that may be asked, and review the criteria thatwill be used to select the individual for the position.



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e. The interview process will be person-to-person interactionwith the applicant. The interview should be used to obtaininformation about the applicant and to assess theirknowledge, skills, experience and qualifications.

4. Selection

a. Recommendation of an applicant to fill a vacancy shall be based on the decision of management, assessmentcommittee, Human Resources, and/or other individualsconducting the interview. The chair/dean/unit directorand/or the Executive Director will have the final decisionregarding selection of an individual to fill a position.

b. Consideration shall be given to the qualifications,

knowledge, experience, skills and ability of the applicant tomeet the needs of the department. Verification ofreferences, education (degrees, certificates, credentials) andother relevant information should be conducted during theconsideration process.

c. The rating of each applicant will be completed on anApplicant Evaluation form. Each member on theinterviewing committee should evaluate each applicantindividually and the coordinator shall be responsible forcompleting an overall evaluation; making a

recommendation for selection; and providing a justificationor explanation as to why other applicants were notrecommended.

d. The Human Resources Manager and/or the ExecutiveDirector or his/her designee shall review the recruitmentdocumentation used in making the selection to ensure thatthe selection was based on the qualification of theapplicants.

e. Typically, a verbal offer will be extended to the applicant

by the department supervisor/manager or HumanResources. Human Resources will provide writtennotification (an appointment letter) restating the verbaloffer, providing an explanation of benefits, as well asspelling out any conditions of the appointment.

5. Notification



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Notification letters will be sent to applicants not selected by the HumanResources department within 14 days after the selection is made.

6. Retention of Records

All resumes/applications are to be returned to the ASC Human Resourcesdepartment after completion of recruitment process. Applicant andinterviewee records and paperwork will be retained by the HumanResources department for one (1) year.

C. Student Recruitment Procedures

A student employee is one who works for the ASC and takes course(s) at CSUF.Student employees qualify for Social Security and Medicare tax exemptions aslong as student status is maintained with CSUF Admissions and Records. ASCPayroll requires a copy of the fee receipt to exempt Social Security and Medicaretaxes. Students are normally recruited directly by Principal Investigators or thedepartment. The newly hired student must be scheduled for orientation before thestudent starts employment. During the orientation, new hire documents will becompleted, which will formally place the student on payroll. The I-9 form shouldbe completed during the orientation, but must be completed no later than the thirdday of employment.

1. New Hires

The ASCs Human Resources department recommends that all newlyhired employees be scheduled for orientation and/or be sent to HR forcompletion of new hire documents. Human Resources is located atCollege Park, Suite 275. Documentation for newly hired or re-hiredemployees should be completed on or before the first day of employment.If the ASC is informed of new hires, Human resources will schedule andcomplete the new hire documents with the employees.

To be placed on the ASCs Payroll, the documents required are as follows:

Personnel Transaction Report (PTR). The PTR must includethe name of the department, job title and salary or hourly wage(compensation for part-time employees is submitted as hourlywage). All appropriate sections of the PTR must be completed.

Application. The original application must be submitted with thePTR. All requested information must be completed including a



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complete work history. The application must be signed by theapplicant.

I-9 Form. The I-9 must be completed within three (3) businessdays of the start of employment. Original documents that establish

identity and employment eligibility must also be submitted.Copies of the documents used to verify employment eligibilityshould be submitted with the completed I-9 form. (If using morethan one document, documents must be in the same name).Employees unable to provide acceptable documentation after three(3) business days will not be scheduled for work. The individualverifying the documents must sign and date the I-9 Form. I-9documentation must be copied separately.

For the requirement of an employee completing an I-9, the ASCand the University are considered separate entities. Therefore,employees of the University who accept positions with the ASCmust also complete new hire documents including the I-9.

Affirmative Action Data Sheet. Complete all appropriate lines.

W-4 Form. If a W-4 is not submitted with the new hirepaperwork, the maximum income tax deduction (Single, 0) will betaken.

Work Permit. Work permits are required for individuals under 18who have not completed high school. The Work Permit must becompleted before the minor starts employment.

Drug-Free Workplace Form. These forms are required forfederal and state grants/contracts.

2. Change Notice

All Payroll-related changes must be made on a PTRwith the appropriateauthorized signatures. Check the Change Notice Box on the PTR andspecify the appropriate changes to be made. Include present status and thenew, proposed, status on the appropriate line. Employee status changes,such as department account number, Salary/wage, should be made at the

beginning of a pay period. If the reason for the change is not providedon the PTRform, use the remarks/reason section to identify the change tobe made.

Employees transferring from one department to another should beprocessed as a change notice from the current department to the new. Ifthis method is used, it will not be necessary to terminate an employee from



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the current department or account and hire the individual in the newdepartment or account

To correct information in personnel files and payroll, submit a PTR.

3. Terminations

For terminations, check appropriate box on the PTR and complete theTermination Data section. In the Remarks section, or as an attachment,provide an explanation for the termination.

By law, if the employee gives the supervisor 72 hours notice oftermination, that employee must be given a final check their last day ofwork. Supervisors must notify the ASC immediately of all terminationnotices.

D. Payroll Procedures

All ASC employees are paid through the ASCs payroll which requiresfederal and state tax withholding. At the end of each calendar year,employees will receive a Wage Statement Form W-2. IndependentContractors are paid through the use of Personal Income Check Request(PICR) orPurchase Order (PO) forms through Accounts Payable.

Timesheet deadlines

All employees, including salaried and hourly, must submit electronicallyor a hard copy timesheet to receive pay. Both the employee andsupervisor must sign the hard copy timesheet to document hours workedand/or leave taken for each pay period. Only the supervisor will be

required to sign time submitted through Time Trak, the automatic system.University non-exempt employees working for the ASC must submit acopy of the University completed time sheet when submitting time sheetsto the ASC for payment. Paychecks for timesheets submitted late may beissued the next pay period. Payroll schedules listing pay period begin andend dates, timesheet due dates, and pay dates, are available at HR.



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Work Week/Rest Period

The workweek begins 12:01 a.m. Sunday and ends 12:00 a.m. (midnight)Saturdays. Supervisors set the time of work for their employees includingscheduling a minimum of a 30-minute meal period. All non-exemptemployees must take a minimum of one (1) 10-minute break for each four(4) hours worked. Rest periods should be taken in the middle of the four-hour work period. Rest periods may not be taken at the beginning or endof the work period and rest periods are not cumulative.

1. Wages

Minimum wage is currently (as of 01/01/2007) $7.50 per hour. The ASCis required to pay the higher of either the federal or state minimum wage.Principal Investigators may pay above the minimum wage in accordancewith project budgets and position.

Overtime wages are paid to non-exempt employees for work over eight(8) hours in a workday, 40 hours in a workweek. By law, the ASC isrequired to pay overtime and must count time worked on campus towardstotal hours worked.

Double-time wages will be paid to non-exempt employees who work over12 hours in a workday or on hours worked, consecutive day, during theworkweek. By law, the ASC is required to pay double-time and mustcount time worked on campus toward total hours worked.

Make-up time is used by employees, at straight time pay, to compensatefor work time missed. Make-up time may be used if the followingconditions are met:

Time is made up in the same workweek that the time was missed;

Employee submits a written request each time the make-up time isrequested;

Time missed was because of the employees personal obligation;

Time made up does not cause the employee to work more than 11hours in a workday or more than 40 hours in a workweek;

The supervisor approves the employees written request; and



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The ASC/supervisor does not solicit or encourage the employee tomake up the time.

2. Payroll Taxes

As an employer, the ASC is required by law to contribute to SocialSecurity taxes (FICA), State Unemployment Insurance (SUI) and WorkersCompensation for each employee.

3. Check Disbursement

Payroll checks are disbursed every two weeks on Friday from Payroll orthe work area department. All employees must sign for their checks/checkstubs whether their checks are direct-deposited, mailed, released toanother individual or received in person.

Direct deposits are available to all ASC employees. Complete an

Authorization Agreement for Automatic Deposit form from Payroll.Submit the completed form along with a voided check to Payroll.

Checks to be mailed require the employees initials on the timesheet oran employee- completed authorization form for the appropriate pay period.Checks will be mailed to the address on record.

Check releases authorize another individual to pick up an employeescheck from the department or Payroll. The payee must complete anAuthorization to Release Paycheck form or provide written authorizationindicating the pay period of the check and the name of the individual to

whom the check is to be released

4. Payroll Deductions

Automatic payroll deductions are made for federal and state income taxes,mandatory Social Security and Medicare (FICA) taxes and mandatoryState Disability Insurance (SDI) taxes. If an employee is eligible andparticipating in the retirement plan, TIAA-CREF contributions are alsodeducted.

Employees may authorize additional voluntary deductions for variousinsurance plans, tax annuity programs and parking decals.



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5. Benefits

Employees who have completed two years of employment and arescheduled to work 1,000 hours yearly are eligible for retirement benefits.As an employer, the ASC/Project funds will also contribute to retirement,health, dental, life, long term disability insurance and vision care benefits.The project funding is responsible for paying the employers contributionfor all employee benefits.

Regular and 12-month temporary/acting employees may be eligible forthe following benefits:

Medical

Dental

Vision

Retirement

Life Insurance

Long Term Disability

Tuition Reimbursement

Health Flex Plan

Vacation

Sick Leave

Holiday Pay

Jury Duty

Su pplemental RetirementAnnuities

Part-time employees who work a regular schedule of a minimum of 30,but less than 40, hours weekly may be eligible for the following benefits:

Medical

Dental

Retirement

Life Insurance



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Employees performing duties that are outside of their normal workassignment are eligible for overload employment. This employment is forwork performed outside the normal work hours of the employees regularassignment. For faculty this is typically during the Summer andIntersession periods.

F. Personnel Policies

1. At-Will Employment

All ASC employees are employed at-will. This means that either the ASCor the Employee may terminate the employment relationship at any time,with or without notice, or with or without cause. The ASC retains theright to establish compensation, benefits and working conditions for all ofits employees. This means that the ASC retains the sole discretion tochange employees work hours, modify work schedules, compensationand benefits, position, duties and other terms and conditions ofemployment, including the right to impose discipline of whatever type andfor whatever reasons the ASC, at its sole discretion, determines to beappropriate. Accordingly, the ASC does not enter into written or oralcontracts or agreements guaranteeing employment or compensation forany particular period of time with any employee.

2. Equal Employment Opportunity

The CSU Fullerton Auxiliary Services Corporation (CSU Fullerton ASC)is an equal opportunity employer and is committed to an activenondiscrimination program. It is the stated policy of the CSU FullertonASC that all employees and applicants shall receive equal considerationand treatment. All recruitment, hiring, placements, transfers andpromotions will be made on the basis of qualifications of the individual forthe positions being filled regardless of race, color, religion, ancestry,



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national origin, age sex marital status, medical condition and physical ormental disability. All other personnel actions such as compensation, benefits, layoffs, returns from layoffs, training, social and recreationalprograms, discipline and terminations are also administered regardless ofrace, color, religion, ancestry, national origin, age, sex, marital status or

physical or mental disability.

The ASCs nondiscriminatory program actively recruits and includes foremployment consideration all employees including members of minoritygroups, females and physically/mentally challenged individuals. Alldecisions of employment and promotions will be made solely on theindividuals qualifications for the job in question and the feasibility of anynecessary job accommodations.

It is the responsibility of each employee to help maintain a workenvironment that promotes this policy. Any employees with questions orconcerns about any type of action that is or perceived to be discriminatoryin the workplace should bring these issues to the attention of thedepartment, Human Resources Manager or the Executive Director.Employees may raise concerns and make complaints without fear ofreprisal. Anyone found to be engaging in any type of discrimination will be subject to disciplinary action up to and including termination ofemployment.

3. Sexual Harassment

Sexual harassment violates state and federal laws. Sexual harassment ofASC employees, by any individual or employee, in or around the

workplace in any form is prohibited.

Sexual harassment includes, but is not limited to, the following:

Sexual innuendo, suggestive remarks, vulgar or explicit languageor unwelcome propositions;

Sexually oriented kidding, teasing, practical jokes or telling ofsexual stories;

Unwelcome physical contact such as brushing against another's

body, pinching or patting; and

An offensive overall environment, including the presence ofsexually explicit photographs and other materials.

Sexual harassment includes, but is not limited to unwelcome sexualadvances, requests for sexual favors, or other verbal, visual or physicalconduct of a sexual nature when:



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Submission to such conduct is made either expressly or implicitly,by a term or condition of an individual's employment;

Submission to or rejection of such conduct by an individual is usedas the basis for employment decisions affecting the individual;

Such conduct has the purpose or effect of unreasonably interferingwith an individual's work performance; creating an intimidating,hostile or offensive working environment; or adversely affectingthe employee's performance, evaluation advancement, assignedduties or any other condition of employment or careerdevelopment; or

Any act of retaliation against an employee for reports of violationsof this policy or for participation in the investigation of a sexualharassment complaint.

Each project Director, Principal Investigator, Department Manager andSupervisor has the responsibility of maintaining a work environment freeof sexual harassment. This responsibility includes discussing the SexualHarassment Policy with his/her employees and informing them of theprocedures to be taken if they are subjected to unacceptable behavior orworking conditions.

All employees are responsible for ensuring that the ASC remains free ofworkplace harassment. Employees experiencing or witnessing workplaceharassment should immediately inform their supervisor or the HumanResources Manager.

Each complaint will be investigated as quickly and confidentially aspracticable to determine the merits of the complaint. An individual whoknowingly makes false accusations regarding sexual harassment that areunsubstantiated by an investigation, will be subject to appropriatedisciplinary action up to and including termination. The determination ofan employees involvement in any type of sexual harassment will result indisciplinary action up to and including termination.

4. Conflict of Interest

Section 89006 of the California Education Code reads as follows:

a. It is unlawful for any person to utilize any information, not a matterof public record, that is received by that person by reason of his orher employment by, or contractual relationship with, the trustees, theCalifornia State University, or an auxiliary organization of theCalifornia State University, for personal pecuniary gain, notcontemplated by the terms of the employment or contract, regardless



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of whether the person is or is not so employed or under contract atthe time the gain is realized.

5. Drug-Free Workplace

It is the policy of the ASC to prohibit the use, sale, dispensing, processionor manufacture of illegal drugs (controlled substances) in the workplace.This prohibition also covers all legal or prescription drugs that may impairan employees ability to perform his or her job safely or properly.

The ASC maintains routine communication of this policy to grant/contractemployees; additionally, all employees are informed of the dangers ofdrug abuse in the workplace. Employees in need of counseling or otherrelated assistance will be provided with referrals to available assistanceprograms.

Any supervisor who becomes aware of an employee who is demonstrating

behavior patterns that appear to be related to illegal drug activity shouldreport the observed behavior to the director or the Human Resourcesmanager or designee.

Violations of this policy may lead to disciplinary action, up to andincluding termination of employment.

6. Health and Safety

The health and safety of employees on the ASCs properties are criticalconcerns to the ASC. The ASC strives to attain the highest possible levelof safety for all activities and operations. The ASC also intends to complywith all health and safety laws applicable to our business.

To attain this objective, the ASC must rely on each employee to ensurethat work areas are kept safe and free of hazardous conditions. Employeesshould be conscientious about workplace safety and follow properoperating methods as well as report any known dangerous conditions or

hazards to the supervisor immediately.

Employees should be informed that it is their responsibility to report aworkplace injury, accident or illness to the supervisor/managerimmediately (at the time of occurrence) regardless of how minor the injuryor accident may appear. If the supervisor/manager is not available, thereport of injury should be made to the department director or Human



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Resources. Failure to report accidents may result in a violation of legalrequirements and may lead to difficulties in processing the claim.

The notification is required to enable the ASC to provide immediatetreatment for any work-related injury and to correct unsafe conditions.

Employees informing the supervisor or any other ASC staff of a workrelated injury or an unsafe working condition will not be retaliated againstin any manner.

Workers Compensation insurance is available through StateCompensation Insurance Fund. Concentra Medical Center (a.k.a.Fullerton Placentia Medical Center) is designated for treatment of work-related injuries for ASC employees. The Concentra Medical Center islocated at 640 S Placentia Ave, in the city of Placentia and in variouscities in Southern California. Their phone number is 714-579-7772.

G. Performance Appraisal

H. Newly hired employees shall be evaluated followingapproximately six (6) months of employment. This evaluation willtypically not include any commensurate increase in salary. At thisappraisal, goals and objectives should be made for exempt employees.

I. All employees shall be evaluated annually by their supervisor.

Salaried exempt and non-exempt employees should be evaluated duringJune or July of each year. Adjustments for salaried full-time employeeswill be effective at the beginning of the pay period for the first payday inAugust.

J. All part-time employees may be evaluated annually or semi-annually as determined by the department. Part-time employees may beappraised February through March and/or August through September.Adjustments for part-time employees will be effective at the beginning ofthe pay period for the first payday in March/April or September/October.

K. Performance appraisals should also be conducted at any time anoticeable change in an employees performance is observed.

a. Good performance should be documented and new goals andobjectives established that reflect the capabilities and strengths of the employee.

b. Performance that requires improvement should be documented toidentify specific areas requiring improvement. Specific goals and objectives should be



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established that outline any behavioral changes required including an appropriate time period inwhich progress or completion of the desired goals should be attained.

IV. Process for submission of Employee Appraisals:

a. Appraisal forms are available in hard copy, on disk orelectronically.

b. Human Resources will issue performance appraisals and salaryreview forms for each salaried employee eligible for an appraisal during the month of June.

c. Human Resources will issue performance appraisals and salaryreview forms to supervisors/managers for part-time employees during the month of August.

d. Managers and supervisors who wish to appraise their employeesoutside the regular review cycle period or every six (6) months should request forms fromHuman Resources at least one (1) month prior to the effective date of the appraisal.

V. Appraising the Employee

a. All appraisals should be completed in ink, typed or on the computer.

b. The performance appraisal is to be completed by thesupervisor/manager, discussed with the next level of supervision, discussed with the employeeand, if appropriate, recommend a salary increase.

c. The appraisal should be based on the position description and theaccomplishment of specific goals and objectives established for the appraisal period.

d. The evaluation should consider the total performance of theemployee throughout the entire appraisal period and should avoid the tendency to only includeinformation that occurred during the final months.

e. The performance of the employee should be evaluated, not theemployee.

f. Supervisors/managers should consider input provided by theemployee in completing the appraisal that will be submitted for the personnel file.

g. For management and exempt staff, goals and objectives should be

established during the appraisal period.

project directors handbook

Documents