UTC's Policies and procedures are supplementary to the University's
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The Urban Transportation Center Policies & Procedures Manual Created March 2006 Updated Mar 2007 The Urban Transportation Center Policies & Procedures Manual Table of Contents OVERVIEW .........................................................................................................................................................4 SECTION UA-ADMINISTRATIVE POLICIES & PROCEDURES..............................................................5 UA-01.00 UA-01.01 UA-01.02 UA-02.00 GRANTS AND CONTRACTS ADMINISTRATION .........................................................................6 EXHIBIT – FLOWCHART FROM PROPOSAL TO GRANT/CONTRACT .......................................8 EXHIBIT – GRANTS LOG .............................................................................................................9 RECORDS – RETENTIONS & STORAGE ....................................................................................10 SECTION UF-FISCAL POLICIES & PROCEDURES .................................................................................11 UF-01.00 SUMMARY OF DAILY TRANSACTIONAL PROCEDURES..........................................................12 UF-02.00 ACCOUNTS PAYABLE .................................................................................................................13 UF-02.01 EXHIBIT – TRANSACTIONAL FLOWCHART ..............................................................................14 UF-03.00 ACCOUNTS RECEIVABLE ..........................................................................................................15 UF-04.00 TRANSACTION LOG ....................................................................................................................17 UF-04.01 EXHIBIT - TRANSACTION LOG ..................................................................................................18 UF-05.00 PARKING STICKER LOG .............................................................................................................19 UF-06.00 PURCHASE CARD TRANSACTIONS ...........................................................................................20 UF-07.00 EMPLOYEE TRAVEL ...................................................................................................................21 UF-07.01 EXHIBIT - TRAVEL REQUEST FORM .........................................................................................22 UF-08.00 ACCOUNTING FOR ACTIVE FUNDS (PROJECTS) .....................................................................23 UF-08.01 EXHIBIT – SUMMARY OF BUDGET & EXPENDITURES ...........................................................25 UF-08.02 EXHIBIT – DETAIL LEDGER PG. 1 .............................................................................................26 UF-08.03 EXHIBIT – DETAIL LEDGER PG. 2 ..............................................................................................27 UF-08.04 EXHIBIT – RECONCILIATION OF LEDGER TO BANNER STATEMENT ....................................28 UF-08.05 EXHIBIT – MATCH REPORTING/COST SHARING.....................................................................29 UF-08.06 EXHIBIT – NOTES/ACTION ITEMS FOR PRINCIPAL INVESTIGATOR .....................................30 UF-09.00 ACCOUNTING FOR INACTIVE FUNDS (PROJECTS) .................................................................31 UF-10.00 BILLING PROCEDURES FOR SPONSORED PROJECTS ...............................................................32 UF-11.00 ANNUAL OPERATING BUDGET .................................................................................................33 UF-12.00 ACCOUNTING FOR CAPITAL ASSETS........................................................................................34 UF-13.00 COST SHARING & MATCH – ACCOUNTING & REPORTING ...................................................35 SECTION UH-HUMAN RESOURCES POLICIES & PROCEDURES ......................................................36 UH-01.00 UH-02.00 UH-02.01 UH-03.00 UH-04.00 NEW EMPLOYEE BENEFIT MATERIALS ..................................................................................37 NEW EMPLOYEE CHECKLIST ...................................................................................................38 EXHIBIT – NEW EMPLOYEE CHECKLIST FORM .....................................................................39 HIRING PROC. FOR NEW GRAD. RES. ASST. & GRAD. ASST. – NON-RES. ALIENS ..........40 HIRING FOR NEW GRAD. RES. ASST. & GRAD. ASST. ..........................................................43 Page 2 of 80 UH-05.00 UH-05.01 UH-06.00 UH-07.00 UH-08.00 UH-09.00 UH-10.00 UH-11.00 UH-12.00 UH-12.01 UH-13.00 UH-14.00 UH-14.01 UH-14.02 UH-15.00 UH-16.00 UH-17.00 UH-18.00 UH-19.00 UH-19.01 UH-20.00 UH-21.00 UH-21.01 GRADUATE ASSISTANTSHIP SALARY MINIMA ......................................................................45 EXHIBIT - UTC PROPOSED RATES FOR GRADUATE APPOINTMENTS .................................46 HIRING OF ACAD. & ACAD. PROFESSIONAL EMPLOYEES....................................................47 HIRING OF CIVIL SERVICE EMPLOYEES..................................................................................48 HIRING OF STUDENT EMPLOYEES ...........................................................................................49 HIRING OF OTHER EMPLOYEES ...............................................................................................50 REAPPOINTMENTS – UNIT’S RESPONSIBILITIES ....................................................................51 ACADEMIC NOTICES OF NON-REAPPOINTMENTS/TERMINAL CONTRACTS .......................52 EMPLOYEE EXIT CHECKLIST....................................................................................................53 EXHIBIT – UTC GRAD. RES. ASST. EXIT CHECKLIST...........................................................54 EMPLOYEE ATTENDANCE .........................................................................................................55 EMPLOYEE TIME REPORTING...................................................................................................56 EXHIBIT - TIMESHEET FOR EMPLOYEES PAID MONTHLY ....................................................57 EXHIBIT – TIMESHEET FOR STUDENTS PAID BI-WEEKLY ....................................................58 UNIT’S REPORTING OF ACADEMIC VACATION & SICK LEAVE ...........................................59 OTHER TYPES OF TIME OFF & LEAVES...................................................................................60 ETHICS TRAINING ......................................................................................................................64 SEXUAL HARASSMENT .............................................................................................................65 OCCUPATIONAL INJURY OR ILLNESS REPORT .......................................................................66 EXHIBIT – OCCUPATIONAL INJURY OR ILLNESS REPORT ....................................................67 EMPLOYEE TRAINING & DEVELOPMENT ...............................................................................68 PAYROLL ADJUSTMENTS ..........................................................................................................69 EXHIBIT - PAYROLL SCHEDULE ...............................................................................................70 SECTION UO-OPERATIONAL POLICIES & PROCEDURES..................................................................71 UO-01.00 INFORMATION TECHNOLOGY - OPERATIONS & MAINTENANCE.........................................72 UO-02.00 EMERGENCY EVACUATION/BLDG. SAFETY & ACCESS ...................................................................75 SECTION UG. - GIFTS.....................................................................................................................................78 UG-01.00 GIFT ACCEPTANCE AND ACCOUNTING ............................................................................................79 Page 3 of 80 Overview The Urban Transportation Center’s (UTC’s) policies and procedures are written specifically for UTC operations and supplement those of the University of Illinois and the College of Urban Planning and Public Affairs (CUPPA) within which UTC is a research unit. In cases where UTC does not have a policy/procedure, the one set forth by the University and/or College will be followed. Please refer to the following websites for the University’s and CUPPA’s policies and procedures: CUPPA: http://www.uic.edu/cuppa/admin/howto/uicpolc.html University: http://www.obfs.uillinois.edu/manual/index.html UTC’s Policies & Procedures Manual is divided into five sections: • • • • • UA - Administrative UF - Fiscal UH - Human Resources UO – Operating UG - Gifts The policies & procedure manual should be reviewed and updated at least once per year. Page 4 of 80 Section UA-Administrative Policies & Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Administrative Policy & Procedures Grants and Contracts Administration UA-01.00 03/10/06 # Dated: P. Thakuriah UA-01.00 Grants and Contracts Administration Objective(s) 1. To assemble and prepare proposal packets (Proposal Approval Form, scope of work, budget, and disclosure form) and monitor their progress through the appropriate College and University offices. 2. To ensure completeness and accuracy of all proposal packet information. 3. To act as liaison between University offices, project sponsors, and principal investigators throughout the proposal and project stages. 4. To maintain an up-to-date Grants Log detailing all active proposals and projects in an MS Excel file that is on the shared drive in the UTC server. 5. To keep principal investigators and others informed of potential sources of revenue for UTC. 6. To maintain an archive of all past UTC proposals and projects. Risk(s) 1. Lack of close monitoring may result in missed deadlines or forgotten and misplaced paperwork. 2. Incomplete or inaccurate paperwork may lead to delays in processing time. 3. Multiple points of contact may be confusing to the Office of Research Services and Grants & Contracts, resulting in missed communications which may lead to delays in processing times. 4. If management is not kept abreast of possible funding, UTC’s Fiscal picture may not be accurately presented. 5. Principal Investigators may miss out on potential funding sources if they are not aware of them. 6. Information on past projects may be required from project sponsors or UTC staff at some point in the future. The lack of an appropriate archive system may violate sponsor contract stipulations. Staff Responsible Assistant Director for Research Programs (ADRP) or designee Policy/Procedure 1. ADRP works with PI to prepare scope of work and Proposal Approval Form (PAF). PI works with Business Manager to prepare budget. 2. ADRP prepares/assembles a proposal packet (PAF, scope of work, budget, and disclosure form). 3. ADRP enters all proposal information into the Grants Log. Page 6 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Administrative Policy & Procedures Grants and Contracts Administration UA-01.00 03/10/06 # Dated: P. Thakuriah 4. ADRP ensures all required signatures are obtained from all appropriate UTC, College, and University staff. An electronic copy of the completed and signed document is maintained on the ADRP’s computer as well as in the Dean’s Office. 5. ADRP delivers the original proposal packet and two copies to the Office of Research Services (ORS). 6. ADRP acts as the UTC contact person for ORS, the PI, and the sponsoring agency throughout the contract negotiation process. 7. ADRP continually updates the Grants Log. 8. If possible, an anticipation account request is submitted to ORS. 9. At least once a month, sponsors and ORS are contacted for status updates on pending proposals. ADRP attempts to resolve any problems that will slow down the contracting process. 10. ADRP helps to secure matching funds if necessary. 11. Once contract is executed, follow through contracting process until a Notice of Award (NOA) and/or Banner fund number is issued. 12. Prepare or acquire a one-pager for the project for posting on UTC website. 13. Update the Grants Log with post-award information. 14. Periodically review project end dates to determine if extensions or other actions are required. 15. Acquire final reports for all projects for UTC archives. On a continual basis, the ADRP is responsible for researching new funding opportunities, which may come from calls for proposals, the grants.gov website, the Community of Science website, private grants and foundations resources, and/or other sources. The ADRP will report potential funding opportunities to all private investigators via the monthly UTC staff meeting. Page 7 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Administrative Policy & Procedures Exhibit - Flowchart from Proposal to Grant/Contract UA-01.01 03/10/06 # Dated: P. Thakuriah UA-01.01 Exhibit – Flowchart from Proposal to Grant/Contract Page 8 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Administrative Policy & Procedures Exhibit - Grants Log UA-01.02 03/10/06 # Dated: P. Thakuriah UA-01.02 Exhibit – Grants Log Proposal Sponsor Project Name PI Submitted to PAF to Start Sponsor Accept %Match Type Sponsor ORS Date End Date Chicago Transit Partners Continued Collaboration among the CTA, UIC, and MIT Sriraj 0% na 05/06/05 05/14/05 05/01/05 04/30/06 AASHTO Technology Transfer for Asset Management in Transportation III McNeil 0% na 05/05/05 08/05/05 05/16/05 05/15/06 MRUTC Measuring the Benefits of Implementing Asset Management Systems and Tools McNeil 51.5 CH 05/06/05 06/15/05 08/15/06 Date Direct Indirect Total $$ $245,455 $24,545 $270,000 12/20/05 $54,908 $25,092 $80,000 04/22/05 $21,823 $11,706 $39,289 S.B. Friedman Outer Circumferential Land Use Study Soot 0% na 09/27/05 9/28/2005 10/1/2005 12/31/2005 9/27/2005 $19,247 $10,753 $30,000 $73,905 $9,000 $99,000 IDOT/CATS Ramp HOV Project Kawamura 0% na 02/18/05 02/16/05 02/18/05 06/30/06 S.B. Friedman Outer Circumferential Land Use Study Soot 0% na 10/06/05 09/28/05 10/01/05 12/31/06 10/28/05 $4,579 $2,519 $7,098 IDOT Lipinski/Randolph Internship Thakuriah 0% na 09/29/05 09/23/05 10/24/05 08/15/06 10/01/05 $23,835 $1,740 $25,575 IDOT Lipinski/Randolph Internship Thakuriah 0% na 09/29/05 09/23/05 10/24/05 08/15/06 10/01/05 $23,835 $1,740 $25,575 CTAA Study on Employment Transportation Partnership and Economic Benefits Thakuriah 100% CH 06/15/05 06/17/05 06/15/05 12/31/06 07/11/05 $33,363 $3,637 $40,000 $139,563 $65,880 $207,694 $111,182 $3,818 $115,000 Systemwide Information for Trans. IDOT/FHWA Assessment and Research McNeil 0% na 10/03/05 10/11/05 11/01/05 08/16/06 IDOT Disruption Management Template Development DiJohn 20% IK 08/19/05 08/18/05 09/15/05 06/30/06 CATS Emergency Ride Home Pilot Project Misek 20% na 10/01/05 01/01/06 06/30/07 $124,200 $151,800 $276,000 Nat'l Assoc. of Realtors Improving Urban Physical Environments Sriraj 0% na 09/16/05 09/26/05 01/01/06 06/30/07 $86,358 $0 $86,358 FTA Planning Partnerships and Employment Transportation Thakuriah 0% na 09/19/05 09/07/05 09/15/05 12/31/06 $85,713 $47,142 $132,855 NIPC Common Ground Thakuriah 0% na 09/08/05 11/10/05 completed completed $55,313 $10,704 $66,017 RTA Transportation Information Clearinghouse Y2 DiJohn 0% na 09/29/05 10/05/05 completed completed $180,670 $100,941 $281,611 Page 9 of 80 01/18/06 09/19/05 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Administrative Policy & Procedures Records Retention & Storage UA-02.00 03/10/06 # Dated: P. Thakuriah UA-02.00 Records – Retentions & Storage Objective(s) To comply with the Sponsors and the University’s requirements for retention of records. Risk(s) If UTC does not maintain required records, it will be subject to adverse outcomes from an audit or other types of reviews. Staff Responsible Every staff is responsible for retaining records relating to his/her job. Policy/Procedure For Fiscal records relating to grants, refer to the contract for how long records need to be maintained. For non-Fiscal records, refer to the University’s and CUPPA’s policies. The University’s policies can be found at http://www.obfs.uillinois.edu/manual/central_p/sec14.html CUPPA’s policies can be found at http://www.uic.edu/cuppa/admin/howto/uicpolc.html A designated physical location should be used to store outdated records. Page 10 of 80 Section UF-Fiscal Policies & Procedures Page 11 of 80 Fiscal Policies & Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Summary of Daily Transactional Procedures UF-01.00 03/10/06 # Dated: P. Thakuriah UF-01.00 Summary of Daily Transactional Procedures On a daily basis, UTC process non-payroll transactions that relate to accounts payable (the payment of invoices), accounts receivable (collection of payments), purchases from the use of the Purchase Card and employee reimbursements for travel and small purchases. In all transactions, UTC is to follow the policies set forth by the University and CUPPA where applicable. The policies and procedures for UTC relate to specifically the operations of UTC. For all transactions, before non-recurring expenditures are actually incurred, the Business Manager is to be consulted to ensure that funds are available. Once approval is given to incur the expense, the Bus. Mgr or designee encumbers the funds in the appropriate ledger. Please see the flow chart for more details. Page 12 of 80 Fiscal Policies & Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Accounts Payable UF-02.00 03/10/06 # P. Thakuriah Dated: UF-02.00 Accounts Payable Objective(s) To pay UTC obligations on a timely basis. Risk(s) If obligations are not paid on time, UTC subjects itself to interest & penalties, which would result in additional costs as well as unnecessary accumulation of debt. The inability to pay the obligation due to lapsed funding. Staff Responsible Office Assistant or designee Policy/Procedure All vendors and employees must have a Banner Vendor Number in order to receive payment. If a vendor does not a a Banner Vendor Number, complete the “Request for Vendor Number” form from the OBFS website. Within three days of receiving invoice or receipts from purchases for employee reimbursement, prepare an Invoice Voucher or Expense Reimbursement form respectively. Download form from the OBFS website to ensure latest form is used. Consult with Business Manager on the correct C-FOAP to use. Bus. Mgr or designee is to encumber the funds in the appropriate ledger. Encumbrance is to be logged in the Transaction log. Electronic copy of the completed form is to be stored on the hard drive in appropriate folder. Review receipts and invoices for accuracy then tape original receipts to blank sheet of paper or paperclip invoice to form. For employee reimbursements, have employee review and sign the completed form. Completed form is to be approved by Business Manager if signature authority permits. Reimbursements for the UTC Director, are to be approved by the Associate Dean of CUPPA. Once approved, originals are sent to OBFS University Payables (809 S Marshfield 4th fl.) for processing and copies are filed in the encumbrance folder. After the transaction shows up in the Banner system as expended, the copies are then filed with the monthly Fiscal report for the month it was expended. For payment, OBFS makes a deposit into employee’s bank account. Page 13 of 80 Fiscal Policies & Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Accounts Payable Exhibit - Transactional Flowchart UF-03.00 03/10/06 # Dated: P. Thakuriah UF-02.01 Exhibit – Transactional Flowchart Approval by Asst. Dir. For Bus. Is granted to incur expense after verifying funds are available Send original to OBFS, keep copy in encumbrance folder until expensed Receive source documentreceipts, invoice, etc Prepare Invoice Voucher, Reimbursement form etc., keep an electronic version in appropriate drive Once expensed thru Banner, (paid by OBFS) remove copy from encumbrance folder & file with appropriate ledger folder Page 14 of 80 Assign document # & record in the transaction log. Encumber transaction in appropriate ledger Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: UF-03.00 Fiscal Policies & Procedures Accounts Receivable UF-03.00 03/10/06 # Dated: P. Thakuriah Accounts Receivable Objective(s) To collect monies due to UTC. Example includes overpayments on employee payroll deposits and charges to attend a UTC event such as the symposium, and refunds from vendors. UTC is not to receive cash, only checks and money orders, as it is a not a revenuegenerating unit. Risk(s) 1. If UTC does not collect payments due, it runs the risk of overpaying an employee or not offsetting expenditures for special events. 2. It also runs the risk of incurring a deficit. Staff Responsible Office Assistant or designee Policy/Procedure In the case of a payroll overpayment --see UH-21.00 Payroll Adjustment. When a payroll adjustment is submitted for an overpayment, Payroll generates a letter to the employee, or former employee, informing them of the money owed. If after a certain amount of time the employee does not respond, Payroll send an email to the Unit stating that it tried unsuccessfully to get a response, and now it will be up to the Unit to collect from the employee. The Unit then sends a letter to the employee to try to collect the overpayment. If the Unit is unsuccessful, it turns the matter over to UIC Collections department. In the case of collecting a fee, submit an invoice to the payee. Within 1 day after receipt of payment, fill out the UIC Report of Cash Receipts form #201106. Checks are to be deposited to the Revolving fund, if one is in existence. Give copy of the check and completed form to Business Manager for signature. Send original completed form, along with check to OBFS Cashier’s Office. Hold a copy of the form and check in the encumbrance folder. Once receipt has posted in Banner, file the copy of the check & form in the Revolving fund’s ledger folder. Page 15 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounts Receivable UF-03.00 03/10/06 # Dated: P. Thakuriah The Cashier’s office will issue a receipt for the deposit. Page 16 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Transaction Log UF-04.00 03/10/06 # Dated: P. Thakuriah UF-04.00 Transaction Log Objective(s) The Transaction log is to serve as a reference for all of UTC’s expenditures by fiscal year. It is maintained electronically. A hard copy should be printed quarterly. Risk(s) If a transaction is not recorded in the log, there is a possibility that it will be left unpaid, resulting in an overdue bill for the center. Staff Responsible Office Assistant or designee Policy/Procedure Follow the procedures for UF-02.00, then record the pertinent information in the Transaction log. See the example of the log. Page 17 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Exhibit - Transaction Log UF-04.01 03/10/06 # Dated: P. Thakuriah UF-04.01 Exhibit - Transaction Log Total Line Transaction Amount Amount Payee/ Vendor Description FOAPL $26.20 $26.20 FedEX Shipping charges for Software for K. Mohammadian 2-599181-918000-145300-191100 $100.00 $100.00 Pitney Bowes Postage for meter 2-599161-918000-145100-191100 $384.63 $1,001.36 Zie, O. Trip to fulfill fellowship requirements (air) 2-495031-918000-132250-191100 $107.13 Zie, O. Trip to fulfill fellowship requirements (meals) 2-495031-918000-132220-191100 $509.60 Zie, O. Trip to fulfill fellowship requirements (metro ticket and housing) 2-495031-918000-132200-191100 PC $15.00 $15.00 Metropolitan Planning Council Registration for roundtable luncheon 2-200250-918000-124900-918300 IV $14,250.00 $14,250.00 Ogard, Elizabeth Assistance with Truck Trip Generation 2-495242-918000-156011-191100 PC $37.75 $37.75 Pitney Bowes Rental Monthly meter rental 2-200250-918000-143300-918003 TV $47.11 $47.11 Doe, J. Milage to attend METSI related meetings in July 2-599161-918000-132130-191100 Mics. $56.10 $56.10 Aramark Catering Beverage service for 30 at UTC advisory board meeting change 2-599161-918000-142502-191100 PC $8.24 UPS UPS*1ZAV70980194565849 V. Smith to IDOT 2-599161-918000-145300-191100 IV $45,211.28 $45,211.28 Northwestern University Payment for expenses from October 1, 2002-August 31, 2003. 2-509829-918000-156011-191100 IV $400.00 $400.00 CUTC Center membership for July 1, 2005-June 30, 2005 2-599161-918000-141700-191100 TV $50.22 $50.22 Doe, J. Milage for June and August to attend meetings in Lake County 2-599161-918000-132130-191100 TV $648.06 $742.79 Doe, J. Travel to attend conference in Ontario Canada August 2005 (air 2-494550-918000-131150-191100 TV $94.73 $742.79 Doe, J. Travel to attend conference in Ontario Canada August 2005 (ren2-494550-918000-131140-191100 TV $79.22 $79.22 Doe, J. Travel to attend conference in Ontario Canada August 2005 2-494550-918000-131120-191100 PC $215.00 $215.00 NORTH AMERICAN REGION Conference registration for P. Thakuriah, out of state travel adm2-494575-918000-132270-191100 PC $105.00 $105.05 NORTH AMERICAN REGION Conference registration for Y. Liao out of state travel administrat2-494575-918000-132270-191100 PC $23.13 $23.13 Dominicks Store Farewell day break for J.T. Lee 2-622442-918000-142504-191300 PC $13.05 $13.05 Radio Shack Batteries to power the remote mouse/laser pointer 2-599161-918000-124900-191100 IV $750.00 $750.00 XYZ Corp. Payment for services related to Truck Trip Generation 2-495242-918000-156011-191100 PC $11.20 $11.20 Dominicks Store Work break--Sue Final Farewell 2-622442-918000-124305-191300 PC $30.75 $30.75 Pitney Bowes Rental Machine and scale rental 2-200250-918000-143300-918003 Publica $45.00 $45.00 UIC Publication Services Business Cards for J. Doe 2-599180-918000-121100-191100 Transaction # 06-001 06-002 06-003 Date Transacti Received on Date Type NA 07/07/05 PC NA 07/06/05 PC 03/29/05 03/25/05 TV 06-004 06-005 06-006 06-007 06-008 06-009 06-010 06-011 06-012 06-013 06-013 06-014 06-015 06-016 06-017 06-018 06-019 06-020 06-021 06-022 07/14/05 07/21/05 07/25/05 07/27/05 NA 06/28/05 07/01/05 07/22/05 July 08/03/05 08/03/05 2002-2003 FY 06 08/03/05 08/03/05 07/11/05 08/11/05 08/07/05 08/11/05 08/07/05 08/11/05 08/03/05 NA 08/03/05 NA 08/04/05 NA 08/03/05 NA 08/03/05 NA 08/12/05 08/23/05 NA NA Page 18 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Parking Sticker Log UF-05.00 03/10/06 # Dated: P. Thakuriah UF-05.00 Parking Sticker Log Objective(s) The Parking Sticker log is to keep inventory and maintain accountability of the parking stickers issued by UTC. Risk(s) If the Parking Sticker log is not maintained, UTC will lose control over the asset of parking stickers. Staff Responsible Office Assistant or designee Policy/Procedure Parking stickers are to be kept in a secure place. The primary purpose for issuance is to accommodate official visitors to UTC and for UTC staff to use in the University’s parking lots when visiting other buildings. They are distributed at the discretion of the senior staff. They are not to be issued to UIC employees on a regular basis but can be issued to accommodate unusual circumstances. After a sticker is issued, record the pertinent information in the Parking Sticker log. A physical inventory is to be taken twice a year by the Business Manager or designee. This is to verify accuracy of the inventory balance. Page 19 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures P-Card Transactions UF-06.00 03/10/06 # Dated: P. Thakuriah UF-06.00 Purchase Card Transactions Objective(s) 1. To ensure that UTC follows reasonable practices in all aspects of the purchase of goods and services. 2. The Purchase card (P-card) is to be used whenever possible to purchase small miscellaneous items because it involves less time and paperwork than preparing an invoice voucher. Risk(s) If UTC does not follow sound purchasing practices, it may violate the University rules and regulations. Staff Responsible Office Assistant & Business Manager or designee(s) Policy/Procedure UTC follows OBFS rules and regulations regarding the use and recordkeeping for all P-card transactions. The use of the P-card is restricted to cardholders. Pre-approval for purchases is required from the Business Manager Business Manager encumbers the funds for P-Card purchases An original receipt is required to substantiate all purchases. Coordinator follows the University’s P-card policy and reconciles the transaction in the Pcard system within specified time limits. Business Manager reviews and approves the P-card purchases in the P-card system Page 20 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Employee Travel UF-07.00 03/10/06 # Dated: P. Thakuriah UF-07.00 Employee Travel Objective(s) 1. To ensure that there are adequate funds to cover necessary employee travel. 2. To ensure that employees get reimbursed for out-of-pocket travel expenses in a timely manner. Risk(s) 1. If employee does not fill out a travel request prior to travel, he or she cannot be assured that funding will be available to cover the travel expenses. 2. If employees are not reimbursed within 60 days of travel, the reimbursement becomes taxable income per University policy. Staff Responsible Business Manager & Office Assistant or designee(s) Policy/Procedure A minimum of ten days prior to travel, employee is to fill out a Travel Request form located in UTC’s shared P drive (Pigpen/Administrative Forms) folder. Business Manager is to encumber the amount indicated on the Travel Request form in the appropriate fund. Within five days after travel, employee is to fill out a Travel Reimbursement form. One can be found from the OBFS website: http://www.obfs.uillinois.edu/obfshome.cfm?level=2&path=Forms&xmldata=travelforms iv For air, train, or bus travel, employee is to turn in a boarding pass, passenger receipt, or other proof that travel actually took place. This form, along with original receipts is to be reviewed for accuracy by the Office Assistant or designee. The same procedures for UF-02.00 are to be followed for processing. Page 21 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Employee Travel UF-07.01 Exhibit – Employee Travel Request Form 03/10/06 # Dated: P. Thakuriah UF-07.01 Exhibit - Travel Request Form URBAN TRANSPORTATION CENTER - UIC / EMPLOYEE TRAVEL REQUEST FORM Form is to be completed at least 10 days prior to travel Name Date of Departure Date of Return Destination Purpose of Travel Method of Transportation: Air, Rail, Bus etc Car Rental Personal Auto Approximate Cost of Entire Trip $__________.____ Less: Reimbursement Expected from Outside UTC $__________.____ Approximate Cost to UTC $__________.____ Identify Funding Source: UTC Funding Source: Source: For Inclusion in Annual Report & Connector: Part of Book Conference w/paper published in conf. proceedings Invited presentation Journal Article Report Service Technical Paper Working Paper Other (please describe) Citation (please see examples for formatting questions): Signature: Employee Date Approved: Faculty approval needed if employee is an RA Date Approved: Finance Chart 2 2 2 2 C-FOAPAL Fund Orgn Date Page 22 of 80 Acct Prog Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) UF-08.00 03/10/06 # Dated: P. Thakuriah UF-08.00 Accounting for Active Funds (Projects) Objective(s) 1. To that UTC verifies the accuracy of the Banner generated reports and discrepancies between the ledgers and the Banner reports are detected and corrected so that the Banner reports accurately reflect the Fiscal condition of UTC. 2. To provide Principal Investigators with monthly Fiscal information for the funds for which they are responsible. 3. To comply with the Sponsors and the University’s policies on Fiscal record-keeping. Risk(s) 1. If errors are made in the Banner Fiscal reports and go undetected, UTC could be exposed to Fiscal loss, legal liability, Fiscal mismanagement, and UTC may over or under expend grants or expend them incorrectly etc. 2. Neither Principal investigators nor management will have the Fiscal information necessary to make decisions. 3. If Fiscal records are not kept according to the Sponsors policies, UTC risks the possibility of future funding. Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s) Policy/Procedure An electronic ledger should be set up for each fund and be maintained in Excel, Access or similar software. For sponsored projects, the ledger should contain work sheets for the following: 1. Summary of Budget and Expenditures 2. Detail Ledger with Running Totals for Budget Balances 3. Reconciliation of Ledger to Banner Statement 4. Match Reporting/Cost Sharing 5. Notes/Action Items for the Principal Investigator Staff should be charged to the specific project that they are budgeted and scheduled to work on. Designated staff and the budgeted salary amount should be encumbered in the ledger under the related project. For non-sponsored projects, the ledgers should contain worksheets, which are most suitable for the fund’s monitoring. The State fund is to be maintained and reported according to the Dean’s office policy. Four hard copies of the State report and one electronic version are to be given to the Business & Fiscal Systems Specialist in the Dean’s office by the 20th of each month. Page 23 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) UF-08.00 03/10/06 # Dated: P. Thakuriah Transactions are to be recorded to the ledger as they occur (see UF-02.00). After period close each month (usually on the 6th of the month, download from Banner and copy to the appropriate drive the following Banner Reports for UTC: 1. 2. 3. 4. 5. Detail Operating Ledger Report (for non-sponsored funds) Detail Operating Ledger Report – Inception to Date (ITD) Labor Distribution Report-MN Personnel Encumbrance Statement Operating Ledger Transaction Statement By the 20th of each month, email the Detail Operating Ledger Report ITD report to the Principal Investigators. By the 25th of each month, the ledger for each fund is to be reconciled to the Banner statement for the current period close. Reconciling items are to be listed on the Accountant’s reconciliation sheet for correction. Rogue C-foaps and any other adjustments are to be made before the next accounting period begins. The entire ledger and all worksheets are to be e-mailed to the P.I. by the end of the current month. A hard copy of the ledger for the current period, along with the Banner reports and supporting documentation, are to be filed in the corresponding folder for the fund. Page 24 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) Exhibit - Summary of Budget & Exp. UF-08.01 03/10/06 # Dated: P. Thakuriah UF-08.01 Exhibit – Summary of Budget & Expenditures Fund Project Project Period P.I. John Doe as of 1/31/06 494xxx MRXYZ 06/15/05 to 8/15/06 Period 7 Cumulative Summary Account Description 212210 Research Asst. 219000 Fringes 132000 Domestic Travel 121000 Supplies 129000 Publications & Printing 141000 General Srvcs/ Workshops 145000 Mailing & Moving/Postage 150100 Phone SubTotal Direct 198150 R.A. Tuition Waiver 198100 Ind. F & A - MTDC 55% Total Budget 17,028.00 5.11 3,700.00 400.00 150.00 21,283.11 6,300.36 11,705.71 39,289.18 Cumulative Total Expended Encumbered Exp. & Enc. 8,335.00 6,668.00 15,003.00 2.50 2.00 4.50 1,816.26 200.00 2,016.26 144.00 144.00 87.00 87.00 10,384.76 6,870.00 17,254.76 3,083.95 2,467.16 5,551.11 5,711.64 3,778.50 9,490.14 19,180.35 13,115.66 32,296.01 Balance 2,025.00 0.61 1,683.74 400.00 (144.00) (87.00) 150.00 4,028.35 749.25 2,215.57 6,993.17 Prior Month Exp. & Enc. 15,003.00 4.50 2,016.26 144.00 87.00 17,254.76 5,551.11 9,490.13 32,296.00 Change from Prior Month Billing Information: Note: Grants dept. has done the billing for this grant Amount Billed to Date $ 19,180.35 $ Amount Sponsor Paid 7,012.61 Outstanding $ 12,167.74 Expenditures not Billed $ (0.00) ICR Earnings Information: $ If F & A rate >= 55%, unit does not receive a share of T/R Maximum ICR that can be earned for Unit F&A T/R Total $ 11,705.71 $ 11,705.71 Earned to Date $ 5,711.64 20% Unit's Share Max. Unit's Earned T.D. Future Earnings $ 1,142.33 $ 1,198.81 Page 25 of 80 0.00 0.00 0.01 0.01 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) UF-08.03 Exhibit Detail Ledger 03/10/06 # Dated: P. Thakuriah UF-08.02 Exhibit – Detail Ledger pg. 1 494xxx M R XY Z 06/15/05 to 8/15/06 Perio d 7 F iscal Period Y ear Accou nt 212210 D escrip tion R esearch Asst. D oe, Jill Expen ded 8/16/05-1/15/06 Accoun t T otal 219000 02 02 03 03 05 05 05 04 04 07 '06 '06 '06 '06 '06 '06 '06 '06 '06 '06 132000 131150 131140 131120 132250 132220 132240 132210 132250 132250 132210-250 Frin ges Fringes s/b .0003 of R A Salary plus .3428 of Academ ic Salary D om estic T ravel D oe, John, travel to W aterloo O ntario, 8/5/05-8/7/05 D oe, John, travel to W aterloo O ntario, 8/5/05-8/7/05 D oe, J. travel to O ntario, 8/5/05-8/7/05 Fee for Jill D oe's ticket to Kansas C ity C onf. D oe, J., travel to Kansas C ity, M O C onf.- Lodging 10/31-11/3/05 D oe, J., travel to Kansas C ity, M O C onf. Parking/T olls D oe, J., travel to Kansas C ity, M O C onf. --M eals D oe, J., travel to Kansas C ity, M O C onf. R egistration D oe, J., travel to Kansas C ity, 10/31/05 Air F are D oe, J., trave to W ash. D C & D E through Phil. PA D oe, J., travel to T R B, 1/06 Accoun t T otal Accoun t T otal 6,668.00 8,335.00 6,668.00 2,025.00 2.50 2.00 5.11 0.61 648.06 94.73 79.22 4.99 304.92 27.00 15.15 245.00 148.40 248.79 200.00 129000 129370 200.00 Sup plies Accoun t T otal '06 8,335.00 1,816.26 121000 05 En cum bered Pub licatio ns & Printing Fedex Kinko's Poster printing for M R U T C Project B ud get/ R u nning B alan ce 17,028.00 2,025.00 2,025.00 - 400.00 400.00 400.00 400.00 - (144.00) (144.00) (144.00) 144.00 Page144.00 26 of 80 3,700.00 3,051.94 2,957.21 2,877.99 2,873.00 2,568.08 2,541.08 2,525.93 2,280.93 2,132.53 1,683.74 1,932.53 1,683.74 1,683.74 1,683.74 1,683.74 1,683.74 1,683.74 1,683.74 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) UF-08.03 Exhibit Detail Ledger 03/10/06 # Dated: P. Thakuriah UF-08.03 Exhibit – Detail Ledger pg. 2 05 '06 141000 141600 General Srvcs/ Workshops Nat. Acad. Press TRB Regis. Fees - J. Doe Account Total 87.00 145000 - 150100 - (87.00) (87.00) (87.00) (87.00) - - - 150.00 150.00 150.00 150.00 150.00 Mailing & Moving/Postage Account Total Phone Account Total rand Total 87.00 - 198100 Ind. F & A - MTDC 55% F&A s/b 55% of Total Direct Cost -Excluding Equipment 5,711.64 3,778.50 198150 R.A. Tuition Waiver T.R. s/b 37% of RA Salary 3,083.95 2,467.16 Budget Page 27 of Expended 80 Encumbered Balance 11,705.71 2,215.57 (7,274.57) 6,300.36 749.25 39,289.18 19,180.35 13,115.66 6,993.17 Fiscal Policies & Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Accounting for Active Funds (Projects) Exhibit – Reconciliation of Ledger to Banner Statement UF-08.04 03/10/06 # Dated: P. Thakuriah UF-08.04 Exhibit – Reconciliation of Ledger to Banner Statement Fund 494xxx Project MRXYZ Project Period 06/15/05 to 8/15/06 Reconciliation of Ledger to Banner Statement as of 1/31/06 Period 7 Verify expend. or account 198150 are 37% of acct. 212210 Verify expend. for account 198130 are 55% of MTDC Verify correct staff are being charged Ledger Banner Variance Reconciling Items Account Desc. 219000 Fringes 132250 Travel 198100 F&A Details Doe, J., fringes not encumbered Doe, J., travel to TRB, 1/06 F & A not exp./encumbered Rounding off Total Expended $ 19,180.35 $ 19,180.35 $ (0.00) - Encumbered $ 13,115.66 $ 12,802.56 $ 313.10 Total $ 32,296.01 $ 31,982.91 $ 313.10 2.00 200.00 111.10 313.10 2.00 200.00 111.10 313.10 Page 28 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) Exhibit – Match Reporting/Cost Sharing UF-08.05 03/10/06 # Dated: P. Thakuriah UF-08.05 Exhibit – Match Reporting/Cost Sharing Fund Project Project Period P.I. John Doe as of 1/31/06 494xxx MRXYZ 06/15/05 to 8/15/06 Period 7 Cost Sharing/Match UTC Match Required Doe, J. State Salary 07/01/05 - 08/15/05 Fringes, Doe, J. Indirect Total Match Acquired Match Amount Needed 41,750.37 (12,354.42) (3,539.54) (8,741.68) Match Resource Account Fund 211300 555xxx 219000 555xxx 198100 555xxx (24,635.64) 17,114.73 Page 29 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Active Funds (Projects) Exhibit – Notes/Action Items for the P.I. UF-08.06 03/10/06 # Dated: P. Thakuriah UF-08.06 Exhibit – Notes/Action Items for Principal Investigator Fund Project Project Period P.I. John Doe as of 1/31/06 494xxx Midwest Reg. Univ. Trnsp. Ctr 06/15/05 to 8/15/06 Period 7 Action for P.I. To Take or to be aware of 1) On September 16, 2005 OBFS sent out a memo that the fringe rate has increased to 34.28% as of 7/1/05 2) Verify the match, review Cost Sharing section. Page 30 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for InActive Funds (Projects) UF-09.00 03/10/06 # Dated: P. Thakuriah UF-09.00 Accounting for InActive Funds (Projects) Objective(s) To close-out Inactive funds on a timely basis. Risk(s) 1. Leaving inactive funds open poses the risk of additional charges being posted to the fund. 2. Leads to inefficiency as additional manpower has to be used review the funds for accuracy and to correct the postings. 3. Leads to waste of resources as Banner statements will continue to print inactive funds until they are officially closed Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s) Policy/Procedure 1. Confirm in writing from the P.I. that the work for the project has been completed. 2. Make all necessary adjustments to the fund. Eliminate deficits, if any. 3. Confirm balance of fund using Banner form FZIGITD 4. Confirm all funds from Sponsor have been billed and received - use Banner form 5. Request and complete an ROE from the accountant in the Grants dept. 6. Grants dept. is to request and complete a closeout package from the Sponsor. Page 31 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting Procedures Billing Procedure for Sponsored Projects UF-08.00 03/10/06 # Dated: P. Thakuriah UF-10.00 Billing Procedures for Sponsored Projects Objective(s) To ensure that UTC gets reimbursed for all monies expended from Sponsored projects. Risk(s) Not billing Sponsors for monies expended imposes the risk that UTC will not be reimbursed for monies related to work on projects. This will lead to deficit spending. Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s) Policy/Procedure 1. The UIC Grants department is responsible for billing and has a system to automatically bill Sponsors on a monthly basis. However, some Sponsors have specialized forms and require certain documentation and/or billing procedures that only UTC can assist with. 2. Follow the billing procedure specified in the contract. If one is not specified, consult the Sponsor and the Grant’s accountant to get an understanding of how reimbursements will be made. 3. If no specialized forms, documentation or procedures are required, on a monthly basis review the FZIBDET report from Banner to confirm what has been billed and received. Record this data on the summary sheet in the fund’s ledger. 4. If specialized forms, documentation or procedures are required, bill Sponsor accordingly. Send copy of documentation to the Grant’s accountant and keep a copy in the fund’s file. Follow same procedure as #2. Page 32 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Annual Operating Budget UF-11.00 03/10/06 # Dated: P. Thakuriah UF-11.00 Annual Operating Budget Objective(s) To present an annual Fiscal plan of projected revenues and expenditures that will assist management in making decisions on adjusting staffing levels, making purchases, and incurring other expenditures. Risk(s) Without an annual budget, management will not know if a potential operating deficit will occur. The budget will help management deal with potential Fiscal problems before they come into existence. Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s) and the UTC Director Policy/Procedure UTC adopts the fiscal year of July 1st through June 30th to be consistent with the University’s fiscal year. In January of each year, the Business Manager prepares a draft budget based on historical, current and future fiscal information. Director reviews budget and makes adjustments as necessary. Page 33 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Accounting for Capital Assets UF-12.00 03/10/06 # Dated: P. Thakuriah UF-12.00 Accounting for Capital Assets Objective(s) To account for assets according to the University’s policies and procedures Risk(s) Without accurate accounting for assets, the University assets will be incorrectly stated Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s) Policy/Procedure Follow the University’s policy located at http://www.obfs.uillinois.edu/manual/central_p/sec12-2.html Page 34 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Fiscal Policies & Procedures Cost Sharing & Match – Acctg. & Rptg. UF-13.00 03/10/06 # Dated: P. Thakuriah UF-13.00 Cost Sharing & Match – Accounting & Reporting Objective(s) 1. To comply with Sponsors requirements to account for, and document the match to sponsored grants 2. To report cost sharing (the State dollars used to support sponsored grants) in the ARS system. Risk(s) 1. Without accurate accounting for match, the University will be subject to losing funding from Sponsors due to non-compliance with grant requirements. 2. Without reporting the cost share in the ARS system, the University will not have an accurate accounting of the amount of State dollars used to support sponsored projects. Staff Responsible Assistant Director for Business & Finance (a.k.a. Business Manager) or designee(s). Policy/Procedure The accounting for the match should be maintained in the ledger of the fund that the match is related to. See the procedures for in UF-09 Accounting for Active Funds. If match is obtained from any source, it should be placed in a separate fund and never comingled with any other fund. The cost sharing is to be reported in the ARS in August of every year. Follow the instructions on the website - https://www.dria.uic.edu/ars/default.asp Page 35 of 80 Section UH-Human Resources Policies & Procedures Page 36 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures New Employee Benefit Materials UH-01.00 03/10/06 # Dated: P. Thakuriah UH-01.00 New Employee Benefit Materials Objective(s) To familiarize new employees with the benefits that the University provides. Risk(s) If employees are not familiar with the benefits, they will risk incurring unnecessary expense or take unnecessary unpaid time off. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure It is the responsibility of the Unit to provide benefits materials to prospective and recently hired employees. At the following University of Illinois Human Resources web site https://hrnet.uihr.uillinois.edu/dart-cf/index.cfm?Item_ID=1859 the unit will find a Departmental Benefits Orientation Resource Manual. The hiring unit can download information to be given to prospective and recently hired employees. Page 37 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures New Employee Checklist UH-02.00 03/10/06 # Dated: P. Thakuriah UH-02.00 New Employee Checklist Objective(s) To ensure that new employees have the necessary access to computer systems, physical facilities, office supplies etc. to perform their job. Risk(s) If employees do not have the necessary access, they may not be able to perform their duties or even access their job. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Follow the checklist provided by the University. See Exhibit UH-02.01 on next page. Page 38 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Exhibit - New Employee Checklist Form UH-02.01 03/10/06 # Dated: P. Thakuriah UH-02.01 Exhibit – New Employee Checklist Form E m p lo y e e A c c e s s a n d E q u ip m e n t N e w H ir e C h e c k L is t F o r m E m p lo y e e N a m e : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ U IN : ________________________________ T itle : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _________________ S o c ia l S e c u rity N u m b e r: D e p a rtm e n t: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ____________________________ D a te o f H ire : C o m p le te ID a u th o riz a tio n F o r m S c h e d u le H e a lth C le a ra n c e P ro v id e T e le p h o n e in fo r m a tio n o n : O rd e r B u s in e s s c a rd s (If a p p lic a b le ) - V o ic e m a il F a x m a c h in e a c c e s s L o c a te a n d Is s u e K e y s - O ffic e D e s k /C a b in e t( s ) E s ta b lis h B u ild in g a c c e s s a n d s e c u rity - P ro c e s s ID c o d in g Id e n tify E q u ip m e n t n e e d s O ffic e S u p p lie s - P -C a rd (If a p p lic a b le ) C o m p u te r P rin te r O th e r e q u ip m e n t E s ta b lis h L o g in s a n d p a s s w o r d s fo r: C o m p u te r ACCC N e s s ie DART NEW T O th e r a c c e s s W e b s ite d e p a rtm e n t lis t in fo r m a tio n - a d d /re v is e Id e n tify S o ftw a re A c c e s s n e e d s : E -m a il D e p a rtm e n ta l S h a re d D riv e B anner D e p a rtm e n t S p e c ific p ro g ra m a c c e s s (T o b e id e n tifie d b y s u p e rv is o r) ____________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ E m p lo y e e A c c e s s & E q u ip m e n t - H R F o r m 0 7 /2 0 0 4 Page 39 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring Process for New Graduate Research Assistants & Graduate Assistants – NonResident Aliens UH-03.00 03/10/06 # Dated: P. Thakuriah UH-03.00 Hiring Proc. for New Grad. Res. Asst. & Grad. Asst. – Non-Res. Aliens A non-resident alien is someone who is not a permanent resident or a U.S. citizen. A nonresident alien is in the U.S. on a Visa. Objectives 1. To hire new graduate research assistants and graduate assistants, non-resident alien status, in a timely manner. 2. To verify evidence of identity and employment eligibility of individuals. Risk(s) 1. If this process is not followed, the employee's job will not be established and the employee will not be paid on the scheduled pay date. 2. Failure to comply with the Immigration Reform and Control Act of 1986 could subject UTC and/or the University of Illinois at Chicago to civil or criminal penalties. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Process for New Graduate Research (GRA) and Graduate Assistants (GA)--NonResident Aliens 1. A letter of offer for a graduate research assistantship is mailed and/or e-mailed to student giving a deadline to accept offer. 2. Once the signed letter is received by UTC the hiring process can begin. 3. UTC establishes a position, a position budget and a job in HR Banner system. Positions for Graduate Research and Graduate Assistants in Banner are pooled positions. If a position has been established, the position number for GRA can be used for all GRAs hired and the position number for GA can be used for all GAs hired. 4. Students report to the Office of International Services (OIS) within the first few days of their arrival bringing their passport and other visa documents to the office. 5. The following forms need to be completed in person: a. Electronic Employee Clearance (EEC), this form is submitted electronically by HR representative to OIS for approval. To submit the EEC go to the Online Services link on the OIS web site http://www.ois.uic.edu/. For Employee Clearance Process click on link http://www.ois.uic.edu/index.php?section=ifa&page=ifa-gth-ec.pi Page 40 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring Process for New Graduate Research Assistants & Graduate Assistants – NonResident Aliens UH-03.00 03/10/06 # Dated: P. Thakuriah b. I-9 - Employment Eligibility Verification, OIS gives this form to student. To download form go to http://www.uic.edu/depts/hr/quicklinks/hrforms/I9.pdf c. U of I Statement of a Drug-Free Workplace (form given by HR representative). To download form go to http://www.uic.edu/depts/hr/quicklinks/hrforms/Drug_Free_WorkPlace.pdf d. UIC Assistantship Waiver Acceptance (form given by HR representative). To download form go to http://www1.cs.uic.edu/CSweb/forms/waiver.acceptance.pdf 6. A Temporary Control Number (TCN) is given to students by the UIC Admissions when they are admitted to a program. When they report to OIS they are given a University Identification Number (UIN). OIS also gives them a letter to apply for a Social Security Number (SSN). Students should wait 10 days after their arrival to apply for the SSN. OIS will give this and other information to them. Once the student receives the SSN card a Name and Social Security Number (SSN) Change Form needs to be completed by HR representative or designee http://nessie.uihr.uillinois.edu/pdf/personal_info/Name_SSN_changeform.pdf 7. A UIN search is performed in DART. This is important in order to prevent duplicate records of an employee. Enter the student’s UIN from his/her current i-card. Students are not required to provide their Social Security Numbers (SSN) before becoming employees. 8. A new hire logon is created in DART. Go to link http://nessie.uihr.uillinois.edu/pdf/training/DART_CreateNewHireLogon.pdf and follow instructions. The SSN is required in this step but if it is not available the TCN can be used. 9. Once item 8 is submitted, student receives logon information, directly by e-mail or from HR representative, they can use the logon ID and password to access their new hire forms in NESSIE New Hire. 10. Employee fills out all required information in NESSIE New Hire, including emergency contact information, dates for degrees received, etc. and submits information. 11. UTC HR representative or designee (who submits information in 8) receives e-mail informing that the New Hire information was submitted by employee. 12. PI or designee fills out a) UIC RA and TA Appointment (to download form go to http://www.uic.edu/com/dom/hr/FORM/ASSTFORM/ra_ta_form.doc or b)UIC Graduate Assistant (GA) Appointment (to download form go to http://www.uic.edu/com/dom/hr/FORM/ASSTFORM/ga_appt_form.doc. Completed form is kept in UTC’s file. Page 41 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring Process for New Graduate Research Assistants & Graduate Assistants – NonResident Aliens UH-03.00 03/10/06 # Dated: P. Thakuriah 13. After OIS sends an email of approval of the Electronic Employee Clearance and student brings approved I-9 form to the HR representative or designee, the job information submittal process can begin. 14. HR representative or authorized designee requests a Personnel Information Transmittal Report (PITR) from the UI Enterprise Human Resources Applications https://apps.uillinois.edu/HumanResources.html 15. Follow instructions on how to fill out a PITR https://hrnet.uihr.uillinois.edu/dartcf/index.cfm?Item_id=2034#PITR Print a copy of the PITR for UTC’s file. 16. The PITR is submitted via the Protective Email Attachment Repository (PEAR) (click on link in step 14) to the College for approval. College submits PITR to Central HR office for approval and entering information in Banner. 17. I-9 original form is sent to Academic HR Records along with a Banner Transaction Attachment Transmittal Sheet (to download sheet go to http://www.uic.edu/depts/hr/quicklinks/hrforms/Banner%20Transaction%20Attachm ent%20Transmittal%20Sheet.pdf , copies are kept in UTC personnel file. 18. Review new hire information in NZIESUM (Banner) to ensure process is completed and information is correct. 19. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See UH-21.00-Payroll Adjustments policy for information.) Page 42 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring Process for New Graduate Research Assistants & Graduate Assistants UH-04.00 03/10/06 # Dated: P. Thakuriah UH-04.00 Hiring for New Grad. Res. Asst. & Grad. Asst. Objective(s) 1. To hire new graduate research assistant and graduate assistants in a timely manner. 2. To verify evidence of identity and employment eligibility of individuals. Risk(s) 1. If this process is not followed, the employee's job will not be established and the employee will not be paid on the scheduled pay date. 2. Failure to comply with the Immigration Reform and Control Act of 1986, could subject UTC and/or the University of Illinois at Chicago to civil or criminal penalties. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Process for New Graduate Research and Graduate Assistants 1. A letter of offer for a graduate research assistantship is mailed and/or e-mailed to student giving a deadline to accept offer. 2. Once the signed letter is received by UTC the hiring process can begin. 3. UTC establishes a position, a position budget and a job in HR Banner system. Positions for Graduate Research and Graduate Assistants in Banner are pooled positions. If a position has been established, the position number for GRA can be used for all GRAs hired and the position number for GA can be used for all GAs hired. 4. The following forms need to be completed in person (form given by HR representative or designee): a. I-9 - Employment Eligibility Verification. To download form go to http://www.uic.edu/depts/hr/quicklinks/hrforms/I9.pdf b. U of I Statement of a Drug-Free Workplace. To download form go to http://www.uic.edu/depts/hr/quicklinks/hrforms/Drug_Free_WorkPlace.pdf c. UIC Assistantship Waiver Acceptance. To download form go to http://www1.cs.uic.edu/CSweb/forms/waiver.acceptance.pdf 5. A UIN search is performed in DART. This is important in order to prevent duplicate records of an employee. Enter the student’s UIN from his/her current i-card. Students are not required to provide their Social Security Numbers (SSN) before becoming employees. Page 43 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring Process for New Graduate Research Assistants & Graduate Assistants UH-04.00 03/10/06 # Dated: P. Thakuriah 6. A new hire logon is created in DART. Go to link http://nessie.uihr.uillinois.edu/pdf/training/DART_CreateNewHireLogon.pdf and follow instructions. 7. Once step 6 is submitted, student receives logon information, directly by e-mail or from HR representative, they can use the logon ID and password to access their new hire forms in NESSIE New Hire. 8. Employee fills out all required information in NESSIE New Hire, including emergency contact information, dates for degrees received, etc. and submits information. 9. UTC HR representative or designee (who submits information in 6) receives email informing that the New Hire information was submitted by employee. 10. PI or designee fills out a) UIC RA and TA Appointment (to download form go to http://www.uic.edu/com/dom/hr/FORM/ASSTFORM/ra_ta_form.doc or b)UIC Graduate Assistant (GA) Appointment (to download form go to http://www.uic.edu/com/dom/hr/FORM/ASSTFORM/ga_appt_form.doc. Completed form is kept in UTC’s file. 11. The job information submittal process can begins by HR representative or authorized designee requesting a Personnel Information Transmittal Report (PITR) from the UI Enterprise Human Resources Applications https://apps.uillinois.edu/HumanResources.html 12. Follow instructions on how to fill out a PITR https://hrnet.uihr.uillinois.edu/dartcf/index.cfm?Item_id=2034#PITR Print a copy of the PITR for UTC’s file. 13. The PITR is submitted via the Protective Email Attachment Repository (PEAR) (click on link in step 14) to the College for approval. College submits PITR to Central HR office for approval and entering information in Banner. 14. Original I-9 form is sent to Academic HR Records along with a Banner Transaction Attachment Transmittal Sheet (to download sheet go to http://www.uic.edu/depts/hr/quicklinks/hrforms/Banner%20Transaction%20Attac hment%20Transmittal%20Sheet.pdf , copies are kept in UTC personnel file. 15. Review new hire information in NZIESUM (in Banner) to ensure process is completed and information is correct. 16. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See UH-21.00-Payroll Adjustments policy for information.) Page 44 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Graduate Assistantship Salary Minima UH-05.00 03/10/06 # Dated: P. Thakuriah UH-05.00 Graduate Assistantship Salary Minima Objective(s) To assure that UTC’s salary rates for graduate appointments meet the Chicago campus stipend minima. Risk(s) If this process is not followed, UTC will not be in compliance with University’s policies and will not be competitive with other hiring units. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Graduate Assistantship Salary Minima The University of Illinois Chicago Campus Salary Minima for Graduate Appointments is in http://www.uic.edu/depts/hr/ahr/minimagrad.html and the UTC RA Salary rates are in exhibit-UTC Proposed Rates for Grad. Appointments #UH-05.01 Page 45 of 80 Human Resources & Payroll Policies & Procedures Exhibit – UTC Proposed Rates for Grad. Appointments UH-05.01 03/10/06 # Dated: P. Thakuriah Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: UH-05.01 Exhibit - UTC Proposed Rates for Graduate Appointments The Urban Transportation Center Proposed Rate of Pay for RA and GA for FY07 as of 2/15/06 Note: Tuition Differential is the same regardless of percentage of appointment 50% appointment Level Masters & PhD Masters & PhD Masters & PhD Masters & PhD Masters & PhD College CUPPA CUPPA CUPPA Engineering Other Tuition Monthly Program Base Differential Salary UPP 1,455.00 445.00 1,900.00 PA 1,455.00 445.00 1,900.00 Distinguished Grad Scholar 1,667.00 1,667.00 Engineering 1,675.00 1,675.00 Business & Other 1,455.00 1,455.00 College CUPPA CUPPA Engineering Other Program UPP PA Engineering Business & Other 25% appointment Level Masters & PhD Masters & PhD Masters & PhD Masters & PhD Tuition Monthly Base Differential Salary 727.50 445.00 1,172.50 727.50 445.00 1,172.50 837.50 837.50 727.50 727.50 Page 46 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring of Academic & Academic Professional Employees UH-06.00 03/10/06 # Dated: P. Thakuriah UH-06.00 Hiring of Acad. & Acad. Professional Employees Objective(s) To follow search procedures set forth by the University of Illinois, the Office of Access and Equity and CUPPA to hire Academic and Academic Professional employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure The Academic Search Coordinator for CUPPA serves as a liaison between the Office of Academic Human Resources, Access and Equity and academic departments or administrative units that seek to fill faculty and academic staff positions. The Academic Search Coordinator’s signature is needed on all Access and Equity forms. UTC follows policy set by the University of Illinois, the Office of Access and Equity and CUPPA on hiring faculty, academic and academic professional employees. See UIC Office for Access and Equity Academic Search Manual (http://www.uic.edu/depts/oae/Searchmanual.htm) for search process. [New Academic Professional Employee. This course outlines unit processes for hiring an Academic Professional employee through campus specific procedures, DART, and Banner. https://hrnet.uihr.uillinois.edu/dart-cf/hrpea/Hire_Ac/index.htm] -- Link doesn’t work. New Faculty or Other Academic Employee. This course outlines unit processes for hiring a Faculty or Other Academic employee through campus specific procedures, DART, and Banner. [Faculty positions are defined as tenure-track, tenured, or "Q" appointments. Other academic positions are defined as non-tenure track instructional, clinical, or research. These include Clinical and Research Faculty, Visiting Faculty, Lecturers, and Post-doctoral Research Associates. https://hrnet.uihr.uillinois.edu/dart-cf/HRPEA/HRPEA110_HIREfaculty/start.htm] -- Link doesn’t work. Page 47 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring of Civil Service Employees UH-07.00 03/10/06 # Dated: P. Thakuriah UH-07.00 Hiring of Civil Service Employees Objective(s) To follow search procedures set by the University of Illinois, the Office of Access and Equity and CUPPA to hire Civil Service employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure UTC follows policy set by the University of Illinois, the Office of Access and Equity and CUPPA on hiring Civil Service employees. Unit processes for Hiring a Civil Service employee through campus specific procedures, DART, and Banner. http://www.uihr.uillinois.edu/panda-cf/policies/index.cfm?Item_id=390 HR Banner Employment – Civil Service New Hire Process HR Banner Civil Service New Hire Process Page 48 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring of Employees UH-0.00 03/10/06 # Dated: P. Thakuriah UH-08.00 Hiring of Student Employees Objective(s) 1. To ensure UTC follows proper procedures when hiring student employees, which include the Federal Work Study program and Regular Student Employment program. 2. To submit all the paperwork required by the Student Employment Office correctly and in a timely manner. Risk(s) If this process is not followed the hiring process could be delayed. Also, for a FWS student, UTC will risk having to pay 100% of the salary instead of 25%. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring of Student Employees UTC follows procedures set by the UIC Student Employment for hiring student employees. The guide for hiring and processing transactions for student employees is PITR/PEAR Instructions for Student Employees For essential information regarding the administration of Student Employment go to http://www.vcsa.uic.edu/MainSite/departments/career_services/sub_student_employment/De partments/ Student Employment is located at 2200 SSB (mc 335), (312) 996-3130, Fax: 413-7944 Page 49 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Hiring of Employees UH-0.00 03/10/06 # Dated: P. Thakuriah UH-09.00 Hiring of Other Employees Objective(s) To ensure UTC follows proper procedures when hiring employees. Risk(s) Employees not hired under the proper procedures, may be subject to termination. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Hiring Other Employees (Academic Hourly, Graduate Hourly, Graduate Assistants, Academic Unpaid, and Extra Help Non-Clerical) UTC follows UIC and CUPPA policy and procedures for hiring other employees. Steps on how to hire other employees: Temporary/Extra Help Services hiring procedures: http://www.uic.edu/depts/hr/employment/tempservices/index.html Page 50 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Reappointments – Unit’s Responsibilities UH-10.00 03/10/06 # Dated: P. Thakuriah UH-10.00 Reappointments – Unit’s Responsibilities Objective(s) To ensure that there is no unnecessary break in employee’s service. Risk(s) If employees are not reappointed in a timely manner, they may not get paid on time and an unnecessary break in service can occur that may affect other benefits such as insurance. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Reappointments-Unit’s Responsibilities 1. A letter of reappointment is extended to employee giving a deadline to accept offer. 2. Once the signed letter is received by UTC the hiring process can begin. 3. When there is adequate funds Academic and Academic Professional employees are reappointed through Salary Planner by authorized designee (for instructions see https://hrnet.uihr.uillinois.edu/dart-cf/index.cfm?Item_id=2474) if their positions are budgeted or by submitting a PITR if their positions are not budgeted. Contract beginning date is August 16. 4. If funds are insufficient, employee will be reappointed as necessary as funds become available by submitting a PITR. 5. Research Assistants (RAs) or Grad Assistants (GAs) are reappointed by semester (Aug 16-Dec 31 or Jan 1-May 15) or academic year (Aug 16-May 15). 6. RAs and GAs reappointment may be process on NOAEPAF in Banner or PITR. The job aid for grad reappointments via EPAF is located at: http://nessie.uihr.uillinois.edu/pdf/Banner/JobAid_Grad_Reappt_EPAF.pdf 7. All 9-month or 10-month employees being appointed in the summer for more than 2 months are required to fill out a Request for Exception to the Limit on Summer Appointment form. To download this form go to http://www.uic.edu/depts/hr/quicklinks/hrforms/index.html and click on Summer Exception Form. 8. After five days of submitting, check daily in NZIESUM to make sure appointment is in the system. Review to ensure information is correct. 9. If the process is not completed prior to the end of the pay period and the payroll calculation date of that pay period, the employee will not be paid on the scheduled pay date. A payroll adjustment will have to be submitted. (See UH-21.00-Payroll Adjustments policy for information.) Page 51 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Academic Notices of Nonreappointments/Terminal Contracts UH-11.00 03/10/06 # Dated: P. Thakuriah UH-11.00 Academic Notices of Non-reappointments/Terminal Contracts Objective(s) To ensure UTC issues non-reappointments according to the University’s policies and by the deadlines set by the Board of Trustees Office. Risk(s) If non-reappointment policies are not followed in a timely manner, UTC risks having to pay employees beyond the availability of funding which will result in deficit spending. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Academic Notices of Non-reappointment/Terminal Contracts UTC follows the policies and procedures set by the University of Illinois and CUPPA. Any questions regarding notice of non-reappointment or terminal contracts may be directed to Business & Fiscal Systems Specialist for HR in CUPPA Dean’s office. Notices of Non-reappointment/Terminal Contract for Academic Professional Employees http://www.uic.edu/depts/hr/ahr/Terminal%20Notice%20Memo.htm Policies/Procedures for Notices of Non-Reappointment Tenure-Track and Non-Tenured Faculty Memo (February 5, 2007) Non-reappointment Policy Page 52 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Employee Exit Checklist UH-12.00 03/10/06 # Dated: P. Thakuriah UH-12.00 Employee Exit Checklist Objective(s) To ensure the proper termination process set forth by the University and UTC is followed. Risk(s) If the proper termination process is not followed, it may adversely affect the University’s obligation to continue to pay or not to pay former employee benefits Personnel records may not accurately reflect former employee’s employment status. Former employees may continue to have unauthorized access to computer systems and physical facilities. Former employees may continue to possess University and Unit’s property such as the I-card, P-Card, computer and office keys. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Follow the University’s policy, which can be found at http://www.uic.edu/depts/hr/quicklinks/hrforms/ExitChecklistfinal.pdf In addition, follow the Exhibit of UTC’s Graduate Research Assistant Exit Checklist #UH12.01. Be sure to collect items of importance such as computers and keys and cancel access to computer system and the building. Page 53 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Exhibit of Graduate Research Assistant Exit Checklist UH-12.01 03/10/06 # Dated: P. Thakuriah UH-12.01 Exhibit – UTC Grad. Res. Asst. Exit Checklist U T C E m p lo y e e E x it C h e c k lis t P le a s e p r o v id e th e fo llo w in g in fo r m a tio n b e fo r e le a v in g (p le a s e p r in t): N a m e : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ L a s t w o rk in g d a y : _ _ _ _ _ _ _ _ _ _ _ _ A d d r e s s : ( i f m o v i n g , c h a n g e y o u r a d d r e s s i n N E S S IE < h t t p s : / / n e s s i e .u i h r .u i l l i n o is .e d u / c f / i n f o / i n d e x .c f m > t o e n s u r e y o u r e c e i v e y o u r W - 2 f o r m . Y o u w i l l a l s o w a n t to u p d a te y o u r a d d re s s fo r a n y s u b s c rip tio n s y o u re c e iv e a t th e C e n te r; w e c a n fo rw a rd y o u r m a il f o r t h e n e x t t h r e e m o n t h s o n l y .) ____________________________________________________________________________ _____________________________________________________________________________ N o n -U IC e -m a il _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ I f g r a d u a tin g : S e m e s te r a n d y e a r o f g ra d u a tio n _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ D e g re e o b ta in e d _ _ _ _ _ _ _ _ _ _ _ _ _ _ A c a d e m ic d e p a rtm e n t _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T itle o f p ro je c t _ o r th e s is _ (c h e c k o n e ) __________________________________________________________________________ __________________________________________________________________________ N a m e o f p ro je c t a d v is o r o r c h a ir o f c o m m itte e _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ If k n o w n , p ro v id e n a m e o f y o u r fu tu re e m p lo y e r a n d y o u r c o n ta c t in fo rm a tio n th e re . ___________________________________________________________________________ ___________________________________________________________________________ P le a s e c o m p le te th e fo llo w in g ta sk s : _ T u rn in a ll m is s in g tim e re p o rts , s e e S ilv ia w ith a n y q u e s tio n s . _ If y o u a r e l e a v i n g t h e U n i v e r s i t y , r e t u r n y o u r I - C a r d ( p h o t o I D o f f i c e a t 1 7 9 0 S S B o r c a l l a t 3 1 2 - 4 1 3 5 9 4 0 w ith q u e s tio n s ). _ C a n c e l p a rk in g . _ R e tu rn a ll L ib ra r y b o o k s a n d U T C b o o k s to a p p ro p ria te lo c a tio n s / p a y U IC L ib ra r y fe e s _ T u rn in k e y s to S ilv ia . _ C le a n o u t a n d w ip e d o w n d e s k , c le a n in g s u p p lie s c a n b e fo u n d in th e k itc h e n . _ M a k e c o p ie s o f file s y o u w a n t to k e e p , a s a ll file s w ill b e e ra s e d , in c lu d in g file s o n P ig p e n . C o n ta c t G e o rg e w ith a n y q u e s tio n s . P le a s e re tu rn c o m p le te d fo rm to S ilv ia . D o n ’t fo rg e t to d ro p u s a lin e to le t u s k n o w h o w y o u a re d o in g o r to u p d a te y o u r c o n ta c t in fo rm a tio n . D ec 1 , 20 04 Page 54 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Employee Attendance UH-13.00 03/10/06 # Dated: P. Thakuriah UH-13.00 Employee Attendance Objective(s) To ensure UTC establishes policies for attendance so that Center operates at maximum capacity with existing manpower. Risk(s) If policy on attendance is not followed it will adversely affect production and performance. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Daily Attendance Employees are expected to work 8 hours a day starting at 9 a.m., unless other scheduled time is pre-approved by the Center Director. Employees must inform supervisor if arriving later than expected start time. If unable to report to work, inform supervisor 30 minutes before starting time and specify the type of time taking (sick, vacation, or floating holiday). Inform supervisor via email or telephone. If supervisor is not available, then send email to UTC listserv. Employees must also notify supervisor if leaving before scheduled time and specify the type of time taking. Working from Home In order to work from home, an employee has to have pre-approval from the Center Director and his/her supervisor. On a day the employee wants to work from home, he/she needs to notify the supervisor before his/her start time preferably via email. Taking Classes During Office Hours Employees taking classes during working hours need pre-approval of Center Director and his/her supervisor. Employee should submit a plan of make-up time for those hours away from work or take vacation time. Research assistants taking time off beyond scheduled holidays, must obtain written approval from supervisor and present a schedule of make-up time or submit a written request for a reduction in pay. Page 55 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Employee Time Reporting UH-14.00 03/10/06 # Dated: P. Thakuriah UH-14.00 Employee Time Reporting Objective(s) To ensure employees follow the University and UTC’s policy on recording vacation, sick, holiday, and other time off. Risk(s) If this process is not followed, employee vacation and sick time balances will be inaccurate and the University may be subject to paying out a higher vacation balance when employee leaves. Employees may take more vacation or sick time that they are entitled to which results in productivity loss. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s) for collecting the timesheet. Every employee is responsible for filling out a timesheet with the exception of faculty. Policy/Procedure UTC policy is that all employees, excluding faculty, who are paid on a monthly basis, submit a timesheet/report to their supervisor for approval by the 16th of every month. The HR representative or designee should receive the signed and approved time report by the 20th . For bi-weekly employees, including civil service and student employees, time and attendance is processed through Web Time Entry. Each employee enters their own time and attendance for that pay period via a self-service web application. The form is routed to a designated departmental approver who then forwards it to Payroll for processing. Employees can access the web application at https://apps.uillinois.edu , go to Employee Self-Service link. To ensure that bi-weekly employees are paid on the scheduled pay date, time entry originators (employees for Web time entry and department originators for department time entry) must submit timesheets on the day of the bi-weekly payroll calculation for approvers to meet the Tuesday noon payroll approval deadline (5:00 p.m. deadline on Tuesday for superusers). Student employee timesheet http://www.uic.edu/depts/st_empl/dept/pdf/timesht.pdf. UTC uses this form as a way for student employees to sign in and out and keep track of their hours. Exhibit UH-14.01 Timesheet for Employees Paid Monthly (academic, academic professional, graduate research assistant, etc.) Exhibit UH-14.02 Timesheet for Employees Paid Bi-weekly. Page 56 of 80 Human Resources & Payroll Policies & Procedures Employee Time Reporting Exhibit UH14.01Timesheet for Employees Paid Monthly 03/10/06 # Dated: P. Thakuriah Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: UH-14.01 Exhibit - Timesheet for Employees Paid Monthly Urban Transportation Center - Time Sheet DATE: 16 17 18 19 Payperiod 20 21 22 23 24 01/16/06-02/15/06 25 26 27 28 John Doe 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 TOTAL PROJECT NAME: AASHTO III 0 CATS-Disruption Mgnt 0 CTP (CTA) 0 CTAA (Study on Empl) 0 FHWA-Community Svy 0 FHWA-Economic Impacts 0 FHWA-Regional Freight 0 FHWA-Transf. Hsehld Svy 0 FTA PP & ET 0 Hamos Project 0 IDOT Internship 0 JARC 0 METRA 0 METSI MRUTC-Strategic Planning 4 4 4 4 3 1 1 3 4 3 3 4 0 12 3 3 0 4 4 4 4 4 5 4 61 Outer Circumferential Rail 0 PACE 0 Ramp Hov 0 RTA-Cmac 0 RWJ-ALPES (Nursing) 0 Administration 0 Other (V, S, O, M) 0 TOTAL HOURS 0 Employee Name: John Doe 4 4 4 4 Employee Signature: 0 0 4 4 Date V=Vacation hours taken Date(s) taken S= Sick hours taken Date(s) taken O= Other time off Date(s) taken M= Make up hours Date(s) taken 3 3 0 0 0 4 4 3 3 0 0 0 4 4 4 4 Supervisor Signature Page 57 of 80 0 0 0 4 5 4 73 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Exhibit UH14.02 Timesheet for Employees Paid Bi-Weekly UH-14.02 03/10/06 # Dated: P. Thakuriah UH-14.02 Exhibit – Timesheet for Students Paid Bi-weekly Page 58 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Unit’s Reporting of Academic Vacation & Sick Leave UH-15.00 03/10/06 # Dated: P. Thakuriah UH-15.00 Unit’s Reporting of Academic Vacation & Sick Leave Objective(s) To ensure UTC reports vacation and sick time in accordance with the University’s policy. Risk(s) If this process is not followed, employee vacation and sick time balances will be inaccurate and the University may be subject to paying out a higher vacation balance, and in some cases sick leave, when employee leaves. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Unit’s Reporting of Vacation and Sick Leave to the University The units reporting of academic vacation and sick leave occurs twice a year-- in May and August, to the Human Resources office by the unit HR representative or designee. The data to report is taken from the timesheets that employees complete as explained in Policy/Procedure #UH12. For additional information, visit the following websites. Vacation leave For specific information go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1403&rlink=1194 Sick leave For specific information go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1366&rlink=1194 Page 59 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Other Types of Time Off & Leaves UH-16.00 03/10/06 # Dated: P. Thakuriah UH-16.00 Other Types of Time off & Leaves Objective(s) To ensure UTC employees are familiar with the other types of time off such as FMLA, VESSA, etc. Risk(s) Employee could be subject to termination for being absent without being on an appropriate leave. Employee may unnecessarily use vacation or sick time instead of appropriate leave time. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Other Types of Time Off and Leave All these leave should be reported in the timesheet as described in Policy/Procedure# UH14.00. UTC follows the University of Illinois and CUPPA policies and procedures on the following leaves: 1. Family and Medical Leave The Family and Medical Leave Act (FMLA), enacted in 1993, is designed to help employees balance the demands of the workplace with the needs of families and to promote stability and economic security of families. It gives employees the right to a 12-week paid or unpaid leave for each consecutive 12-month period for which eligibility criteria have been met for the following events: Birth or placement of a child for adoption or foster care. Serious health condition of an employee. Serious health condition of a spouse, child or parent. For specific information on the family and medical leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1288&rlink=1194 2. Victims Economic Security and Safety Leave The Victims Economic Security and Safety Act (VESSA), enacted in 2003, is designed to promote the State's interest in reducing domestic violence, dating violence, sexual assault, and stalking by enabling victims of domestic or sexual violence to maintain the Fiscal independence necessary to leave abusive situations, achieve safety, and minimize the physical and emotional injuries from domestic or sexual violence, and to Page 60 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Other Types of Time Off & Leaves UH13 03/10/06 # Dated: P. Thakuriah reduce the devastating economic consequences of domestic or sexual violence to employees. It gives employees the right to a 12-week paid or unpaid leave for each consecutive 12month period for which eligibility criteria have been met. For specific information on the victims economic security and safety leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=2594&rlink=1194 3. Parental Leave Parental leave grants eligible employees up to two weeks of paid leave following the birth of a child, or upon the initial placement or legal adoption of a child under age 18. For specific information on parental leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1343&rlink=1194 4. Pregnancy Leave Pregnancy leave may be granted for the purpose of pregnancy unless there is sufficient justification to deny the request, and is based upon disability or incompatibility between an employee's pregnant state and the regularly required duties of her position. For specific information on pregnancy leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1350&rlink=1194 5. Disability Leave Disability leave is used for employees who have been absent because of an occupationally incurred disability, or who have been on leave for illness, injury, or disability including pregnancy using accumulated sick leave, family and medical leave, or State Universities Retirement System disability payments. For specific information on disability leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1279&rlink=1194 6. Holidays The Board of Trustees determines the University recognized holidays and delegates authority to the President of the University to determine other such days to be designated. The President shall determine or may delegate to the campus Chancellors the authority to determine the facilities to be open for the University recognized holidays. Page 61 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Other Types of Time Off & Leaves UH13 03/10/06 # Dated: P. Thakuriah For specific information on holidays go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1309&rlink=1194 7. Military Leave A leave of absence shall be granted to an eligible employee who is a member of any reserve component of the United States Armed Forces or of any reserve component of the Illinois State Militia for any period actively spent in military service, in accordance with State and Federal law. For specific information on military leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1334&rlink=1194 8. Special Leave Special leaves may be granted for the purpose of continuing employment for individuals whose performance warrants it and who request such leave for sufficient cause. For specific information on special leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1377&rlink=1194 9. Shared Benefits A pool has been established which will provide eligible employees who have exhausted all accumulated sick leave and, if applicable, vacation leave with the opportunity to receive additional leave days when a disability claim is pending before the State Universities Retirement System (SURS) or when experiencing a catastrophic injury or illness, depending on the type of employee. Employees must donate to the pool to receive leave from the pool. For specific information on shared benefits go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1358&rlink=1194 10. Jury Duty Employees are granted leave with pay to satisfy jury duty obligations within their civic jurisdiction. For specific information on jury duty go to: Page 62 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Other Types of Time Off & Leaves UH13 03/10/06 # Dated: P. Thakuriah https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1317&rlink=1194 UTC requires that employees bring a copy of the jury summons and a copy of jury payment check should be attached to the time report. 11. Funeral Leave Funeral leave grants employees paid time to attend the funeral and for travel and bereavement time, upon the death of an employee's immediate family or certain other relatives For specific information on funeral leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1301&rlink=1194 12. Administrative Leave Administrative leave allows administrators the opportunity for a paid leave of absence to stay abreast of developments in their profession to enhance the university environment. For specific information on administrative leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1272&rlink=1194 13. Sabbatical Leave Under certain circumstances, a member of faculty with the rank of professor, associate professor, or assistant professor, may be granted a sabbatical leave of absence with pay for the pursuit of study or research. The object of sabbatical leave is to increase the individual's value to the University; however, work toward a graduate degree is not a qualifying basis for a sabbatical leave. For specific information on sabbatical leave go to: https://nessie.uihr.uillinois.edu/cf/leave/index.cfm?Item_ID=1386&rlink=1194 Page 63 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Ethics Training UH-17.00 03/10/06 # Dated: P. Thakuriah UH-17.00 Ethics Training Objective(s) To ensure UTC employees follow the University of Illinois policy regarding proper professional conduct when representing it. Risk(s) Employees that do not complete the annual ethics training are subject to a fine of up to $5,000. The Ethics Office also will report those who fail to do their training to the respective chancellors, provosts and vice presidents to take into account during annual evaluations and for consideration of University disciplinary action. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s) keeps track of employees that have completed the training and reporting ones who have not complied. All employees are responsible for completing the training on their own. Policy/Procedure As determined by state law all University of Illinois employees must be trained annually, based on the calendar year. UNIVERSITY ETHICS OFFICE – ETHICS QUESTIONS & OFFLINE TRANING: The University Ethics Office should be contacted with any questions related to the content of the training or to schedule offline training for individuals who cannot use or do not have access to a computer. Toll-free Help Line: 866-758-2146 E-Mail: ethicsofficer@uillinois.edu Website: www.ethics.uillinois.edu *PLEASE BOOKMARK OUR WEBSITE IN YOUR FAVORITES University Ethics Office Public Affairs Center, Room 590 One University Plaza, PAC 591 Springfield, IL 62703-5407 Page 64 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Sexual Harassment UH-18.00 03/10/06 # Dated: P. Thakuriah UH-18.00 Sexual Harassment Objective(s) To ensure UTC employees know that the University of Illinois will not tolerate sexual harassment of students or employees and will take action to provide remedies when such harassment is discovered. The University environment must be free of sexual harassment in work and study. Risk(s) Creates a hostile working environment. Appropriate sanctions will be imposed on offenders in a case-by-case manner Subjects UTC and the University to lawsuits. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure UTC follows University of Illinois policy and procedures on sexual harassment. For policy go to http://www.uic.edu/depts/oae/Harassment.htm Page 65 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Occupational Injury or Illness Report UH-19.00 03/10/06 # Dated: P. Thakuriah UH-19.00 Occupational Injury or Illness Report Objective(s) To ensure UTC reports injuries and illnesses as required by the University. Risk(s) If this process is not followed, the University may be subject to fines from governmental agencies and lawsuits. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure UTC follows UIC’s policy and procedures to report an on-the-job accident. As soon as possible after an on-the-job accident occurs, an employee must complete a University of Illinois Employee's Injury Report. Employees should fill out the accident report form as completely as possible, sign the form at the bottom and give the form to their supervisor to complete and sign. To report work-related incidents the employee should: 1. Immediately contact your supervisor to report the incident 2. Complete a University of Illinois Employee’s Injury Report Form 3. Promptly seek medical care if appropriate. You can find more information and procedures on reporting an injury on the Office of Claims Management Workers' Compensation web site http://www.legal.uillinois.edu/wc/index.html Page 66 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Exhibit - Occupational Injury or Illness Report UH-19.01 03/10/06 # Dated: P. Thakuriah UH-19.01 Exhibit – Occupational Injury or Illness Report For the report, follow the link: UIC Employee's Injury Report (PDF) Page 67 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Employee Training & Development UH-20.00 03/10/06 # Dated: P. Thakuriah UH-20.00 Employee Training & Development Objective(s) To ensure UTC employees stay abreast of the latest policies, updated software, the University’s Banner system, etc. Risk(s) Employees will not be able to perform their duties efficiently. Work would not get done in a timely manner. Staff Responsible All employees Policy/Procedure Subscribe to the OBFS News Services e-mailing list for upcoming events, classes and training sessions. Go to http://apps.obfs.uillinois.edu/news/dsp_newsservice.cfm to subscribe and to http://www.obfs.uillinois.edu/obfshome.cfm?level=1&Path=training&XMLData=training1 for information on training, job aides and course registration. The UIC Office of Human Resources Development (HRD) offers training workshops and development program to faculty, staff, students, alumni and the public. For more information go to http://www.uic.edu/depts/hr/develop/index.html. The Research and Development Services offers campus-wide workshops on the various aspects of grant development. For more information go to http://tigger.uic.edu/depts/ovcr/research/funding/workshops_training/index.shtml Page 68 of 80 Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Human Resources & Payroll Policies & Procedures Payroll Adjustments UH-21.00 03/10/06 # Dated: P. Thakuriah UH-21.00 Payroll Adjustments Objective(s) To ensure UTC follows procedures on processing payroll adjustments, i.e. overpayments or underpayments. Risk(s) In case of an underpayment, payment that is due to employee will be delayed more. In case of an overpayment, UTC will have to wait longer to get the money that the employee owes. Staff Responsible Program Coordinator for Human Resources (HR) or designee(s). Policy/Procedure Payroll Adjustments UTC follows University of Illinois and Office of Business and Fiscal Services policy and procedures for payroll transactional processing. Employees of the University are paid either on a bi-weekly or a monthly basis. Monthly employees are paid based on jobs information. Bi-weekly employees are paid via time entry. University Payroll publishes a payroll schedule (see Exhibit UH18-1) to help units meet important deadlines to ensure timely payment to employees. If job record or time entry information is incorrect at the time of payroll calculation, an overpayment or underpayment may occur. For instructions on how to process an adjustment go to http://www.obfs.uillinois.edu/banner/calendar/pop/1229B.htm. And for more information on payroll transaction processing go to http://www.obfs.uillinois.edu/obfshome.cfm?level=2&Path=earnings&XMLData=transactio n Payroll adjustments need to be submitted and approved through Workflow by noon on Tuesday in order for the payment to occur on the Friday of same week. For processing, follow the link: https://apps.uillinois.edu/HumanResources.html. Adjustments that comply with University policy and are submitted by Tuesday at noon will be paid that Friday. However, when a large volume of adjustments is received by the University’s Payroll Office, some adjustments may be processed for payment on the following Wednesday. Page 69 of 80 Human Resources & Payroll Policies & Procedures Exhibit - Payroll Schedule UH-21.01 03/10/06 # Dated: P. Thakuriah Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: UH-21.01 Exhibit - Payroll Schedule University of Illinois Payroll Schedule Pay Year 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 2007 # of Pay Pay Work Days ID Number BW 1 21 MN 1 BW 2 BW 3 23 MN 2 BW 4 BW 5 20 MN 3 BW 6 BW 7 21 MN 4 BW 8 BW 9 22 MN 5 BW 10 BW * 11 BW 12 23 MN 6 BW 13 20 MN 7 BW 14 BW 15 BW 16 23 MN 8 BW 17 BW 18 22 MN 9 BW 19 BW 20 21 MN 10 BW 21 BW * 22 BW 23 23 MN 11 BW 24 BW 25 21 MN 12 BW 26 BEGIN AND Job Change SystemCutoff * ENDING DATES 12/17/2006 thru 12/30/2006 12/16/2006 thru 1/15/2007 12/31/2006 thru 1/13/2007 1/14/2007 thru 1/27/2007 1/16/2007 thru 2/15/2007 1/28/2007 thru 2/10/2007 2/11/2007 thru 2/24/2007 2/16/2007 thru 3/15/2007 2/25/2007 thru 3/10/2007 3/11/2007 thru 3/24/2007 3/16/2007 thru 4/15/2007 3/25/2007 thru 4/7/2007 4/8/2007 thru 4/21/2007 4/16/2007 thru 5/15/2007 4/22/2007 thru 5/5/2007 5/6/2007 thru 5/19/2007 5/20/2007 thru 6/2/2007 5/16/2007 thru 6/15/2007 6/3/2007 thru 6/16/2007 6/16/2007 thru 7/15/2007 6/17/2007 thru 6/30/2007 7/1/2007 thru 7/14/2007 7/15/2007 thru 7/28/2007 7/16/2007 thru 8/15/2007 7/29/2007 thru 8/11/2007 8/12/2007 thru 8/25/2007 8/16/2007 thru 9/15/2007 8/26/2007 thru 9/8/2007 9/9/2007 thru 9/22/2007 9/16/2007 thru 10/15/2007 9/23/2007 thru 10/6/2007 10/7/2007 thru 10/20/2007 10/21/2007 thru 11/3/2007 10/16/2007 thru 11/15/2007 11/4/2007 thru 11/17/2007 11/18/2007 thru 12/1/2007 11/16/2007 thru 12/15/2007 12/2/2007 thru 12/15/2007 Disp 10-20 12/31/2006 1/8/2007 1/14/2007 1/28/2007 2/8/2007 2/11/2007 2/25/2007 3/8/2007 3/11/2007 3/25/2007 4/5/2007 4/8/2007 4/22/2007 5/9/2007 5/6/2007 5/20/2007 6/3/2007 6/7/2007 6/17/2007 7/10/2007 7/1/2007 7/15/2007 7/29/2007 8/7/2007 8/12/2007 8/26/2007 9/6/2007 9/9/2007 9/23/2007 10/4/2007 10/7/2007 10/21/2007 11/4/2007 11/8/2007 11/18/2007 12/2/2007 12/6/2007 12/16/2007 UIC UIS PITR DUE PITR DUE 12/18/2006 12/19/2006 12/21/2007 12/21/2006 1/3/2007 1/9/2007 1/16/2007 1/23/2007 2/1/2007 2/1/2007 1/30/2007 2/6/2007 2/13/2007 2/20/2007 3/1/2007 3/1/2007 2/27/2007 3/6/2007 3/13/2007 3/20/2007 3/29/2007 3/29/2007 3/27/2007 4/3/2007 4/10/2007 4/17/2007 5/1/2007 5/3/2007 4/24/2007 5/1/2007 5/8/2007 5/15/2007 5/22/2007 5/29/2007 5/25/2007 5/31/2007 6/5/2007 6/12/2007 6/28/2007 6/28/2007 6/19/2007 6/26/2007 7/3/2007 7/10/2007 7/17/2007 7/24/2007 7/25/2007 7/31/2007 7/31/2007 8/7/2007 8/14/2007 8/21/2007 8/23/2007 8/28/2007 8/28/2007 8/29/2007 9/11/2007 9/18/2007 9/25/2007 9/27/2007 9/25/2007 10/2/2007 10/9/2007 10/16/2007 10/23/2007 10/30/2007 11/1/2007 11/1/2007 11/6/2007 11/13/2007 11/20/2007 11/27/2007 11/27/2007 11/29/2007 12/4/2007 12/11/2007 UIUC Calc Pay Monthly CHKLIST DUE Date Date AVSL 12/20/2006 1/3/2007 1/10/2007 12/20/2006 1/8/2007 1/16/2007 1/5/2007 1/17/2007 1/24/2007 1/19/2007 1/30/2007 2/7/2007 1/25/2007 2/8/2007 2/16/2007 2/2/2007 2/13/2007 2/21/2007 2/16/2007 2/27/2007 3/7/2007 2/22/2007 3/8/2007 3/16/2007 3/2/2007 3/13/2007 3/21/2007 3/16/2007 3/27/2007 4/4/2007 3/22/2007 4/5/2007 4/16/2007 3/30/2007 4/10/2007 4/18/2007 4/13/2007 4/24/2007 5/2/2007 4/25/2007 5/9/2007 5/16/2007 4/27/2007 5/8/2007 5/16/2007 5/11/2007 5/22/2007 5/30/2007 5/25/2007 6/5/2007 6/13/2007 5/24/2007 6/7/2007 6/15/2007 6/8/2007 6/19/2007 6/27/2007 6/26/2007 7/10/2007 7/16/2007 6/22/2007 7/3/2007 7/11/2007 7/6/2007 7/17/2007 7/25/2007 7/20/2007 7/31/2007 8/8/2007 7/24/2007 8/7/2007 8/16/2007 8/3/2007 8/14/2007 8/22/2007 8/17/2007 8/28/2007 9/5/2007 8/7/2007 9/6/2007 9/14/2007 8/31/2007 9/11/2007 9/19/2007 9/14/2007 9/25/2007 10/3/2007 9/20/2007 10/4/2007 10/16/2007 Yes 9/28/2007 10/9/2007 10/17/2007 10/12/2007 10/23/2007 10/31/2007 10/26/2007 11/6/2007 11/14/2007 10/25/2007 11/8/2007 11/16/2007 Yes 11/9/2007 11/20/2007 11/28/2007 11/21/2007 12/4/2007 12/12/2007 11/22/2007 12/6/2007 12/14/2007 12/7/2007 12/18/2007 12/26/2007 Holidays 12/25, 12/26 12/25, 12/26, 1/1, 1/15 1/15 2/19 2/19 Feeder File Feeder File InBound Due Load Date 1/2/2007 1/3/2007 1/16/2007 1/17/2007 1/29/2007 1/30/2007 2/12/2007 2/13/2007 2/26/2007 2/27/2007 3/12/2007 3/13/2007 3/26/2007 3/27/2007 4/9/2007 4/10/2007 4/23/2007 4/24/2007 5/28 5/28 5/7/2007 5/8/2007 5/21/2007 5/22/2007 6/4/2007 6/5/2007 6/18/2007 6/19/2007 7/4 7/4 7/2/2007 7/3/2007 7/16/2007 7/17/2007 7/30/2007 7/31/2007 8/13/2007 8/14/2007 8/27/2007 8/28/2007 9/3 9/3 9/10/2007 9/11/2007 9/24/2007 9/25/2007 10/8 10/8 10/10/2007 10/9/2007 10/22/2007 10/23/2007 11/5/2007 11/6/2007 11/12 11/12 11/22, 11/23 11/22, 11/23 11/19/2007 11/20/2007 12/3/2007 12/4/2007 12/17/2007 12/18/2007 * denotes no voluntary deductions taken Page 70 of 80 Section UO-Operational Policies & Procedures Page 71 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: IT Operations & Maintenance UO-01.00 03/10/06 # Dated: P. Thakuriah UO-01.00 Information Technology - Operations & Maintenance Objective(s) 1. To assure that the logical controls (which are not physical and focus on the data, systems, file organization etc.) within UTC are in place. 2. To assure that the physical information systems resources are secured against theft, physical damage etc. 3. To assure that the management protects the data sensitive to UTC’s operations. 4. To assure that all software on UTC’s computers have proper licenses and that use of software adheres to all licensing agreements. 5. To assure that environmental controls provide a conditioned environment to the information systems assets at UTC. 6. To assure that a recovery plan is in place for the timely recovery of the information systems. Risk(s) 1. Without proper logical security access including segregation of duties, the integrity of the system, data, and availability of the system may be compromised. Such compromise may result in: • Theft of proprietary data • Unauthorized (malicious, non malicious, or accidental) disclosure, modification, or destruction of information. • Non malicious errors and omissions • Unauthorized access to other network systems and devices through a compromised system. 2. Without proper physical security access the information systems assets may not be properly controlled and identified. The campus unit may: • Incur loss due to theft, and intentional or unintentional misuse • Have the software stolen and/or counterfeited. 3. Data sensitive to UTC’s operations may be compromised or lost due to poor data stewardship and may • Pose adverse affects on the business operations, competitiveness, and public relations, and • Result in monetary loss if the compromise is severe. Page 72 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: IT Operations & Maintenance UO-01.00 03/10/06 # Dated: P. Thakuriah 4. Commercial software vendors are becoming aggressive in enforcing their rights under the copyright laws. Virtually all software products are licensed to the user under the copyright laws of the United States. The unauthorized duplication, operation on machines other than for which licensed or other piracy is a violation of the federal law and may expose the individual and UTC to legal actions which could lead to monetary loss and adverse publicity. 5. If environmental concerns are not addressed properly, the information systems assets and data may be lost because of: Fire damage Water damage, and Hardware failure 6. Information systems play a very vital role in UTC operations. Even a minor glitch in power can cause operations to be interrupted. Such interruptions can cause: Hardware damage Software corruption of proprietary systems Loss of productivity Loss of proprietary data and Loss of information resources. Staff Responsible Principal Research Programmer or designee(s) Policy/Procedure UTC follows the following IT policies and procedures set forth by CUPPA to protect its computer systems and operations. 1) Acceptable Use Policy 2) Password Policy 3) Information Sensitivity Policy 4) Server Security Policy 5) Physical Security Policy Page 73 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: IT Operations & Maintenance UO-01.00 03/10/06 # Dated: P. Thakuriah 6) Email Use Policy 7) Guidelines on Anti-Virus Process Page 74 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Office Operations UO-0.00 03/10/06 # P. Thakuriah Dated: UO-02.00 Emergency Evacuation/Bldg. Safety & Access Objective(s) To ensure staff evacuates the premises is a safe, timely and orderly manner in the event of an emergency. Risk(s) If the procedures are not followed, bodily harm may result Staff Responsible All staff Policy/Procedure For CUPPA building access procedures, follow the CUPPA procedures at http://www.uic.edu/cuppa/admin/howto/bldgaccess.html Reporting Facility Management issues and Environmental Health and Safety issues http://www.uic.edu/cuppa/admin/howto/servdesk.html For CUPPA Emergency procedures follow CUPPA procedures at http://www.uic.edu/cuppa/admin/howto/cuppasecure.html For emergency preparedness follow UIC policies at http://www.uic.edu/index.html/emergency_preparedness.shtml Page 75 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Office Operations UO-0.00 03/10/06 # P. Thakuriah Dated: UO-03.00 Office Operations Objective(s) To ensure that the UTC office operates with adequate supplies, office machinery, etc. to carry out the day-to-day functions of the Center. Risk(s) If the procedures are not followed, UTC may not meet it’s objectives in delivering the research products and services as required by the Sponsors and the University. Staff Responsible Office Assistant, Office Aide or designee(s) Policy/Procedure(s) Mailing In accordance with university practices mail usually arrives twice daily at approximately 10:00 a.m. 3:30 p.m. UTC Mailbox is located on the 1st floor by the freight elevator, as is Regular USPS mail, Campus mail. Center’s mail should be picked up and dropped off at least once daily. Center occasionally sends larger Non-profit mailings. These mailings should be submitted in accordance with University and USPS guidelines. http://www.uic.edu/depts/avcad/mail/index.htm . Mail should be counted, bundled, and sorted by zip code. The more you sort, the sooner it arrives. Plan on delivery taking 2 weeks. There is a UPS box outside building. UPS packages can be dropped off there or you can call/use online account to have them pick up from the front desk. www.ups.com or 1.800.pick.ups. A label has to be prepared in order to mail the package. Office Keys A spreadsheet is to be maintained on keys assigned to UTC staff. Staff should have no more keys than necessary. Staff should sign for keys when issued and returned. Office Machines UTC maintains machines for copying, faxing, printing and mailing. Maintenance issues should be addressed to the respective vendor. Office Supplies All office supplies are to be ordered by the designated employee. Page 76 of 80 Operational Procedures Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Office Operations UO-0.00 03/10/06 # P. Thakuriah Dated: Computer Supplies All computer equipment and supplies are to be ordered by the Principal Research Programmer. Page 77 of 80 Gifts Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Gift Acceptance and Accounting UG-01.00 03/10/06 # Dated: Section UG. - Gifts Page 78 of 80 Gifts Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Gift Acceptance and Accounting UG-01.00 03/10/06 # Dated: UG-01.00 Gift Acceptance and Accounting Objective(s) To assure that all private, and non - sponsored foundation funds pertaining to CUPPA are properly accepted and administered. To accurately record the gift/donation amount and date within 24 hours of receipt into the University’s Foundation a/c. To assure that the gifts receipting process at CUPPA protects the interests of both the institution and its donors. To assure that adequate documentation is in place for all gifts accepted by CUPPA. To accurately post the gift/donation deposits in UIF/Banner Finance. Risk(s) Donations will not be accurately accounted for in UIF system leading to inaccurate financial reporting/position of the University. Contributions are not acknowledged contemporaneously after the gifts are entered in UIF System. If gifts valuations are done inaccurately, University's assets may be overstated/understated. Inadequate documentation leads to inadequate record of ownership of assets as well as no aid in recovery from theft, litigation, insurance settlements etc. All gift/donation transactions do not post accurately to Banner Finance. Policy/Procedure (1) Gift solicitations determined by the CUPPA Dean and Departmental Directors must be approved in writing by the designated CUPPA/UIC authority to assure that these support the University's campaign priorities. (2) Promptly acknowledge the gifts after they are entered in Banner development module in the appropriate gift account established by the OBFS for recording gifts to depict proper stewardship responsibilities to donors. The Director of Advancement at CUPPA may verify that the documentation and the date in which gifts are received (noted from the preserved postmarked envelope in which gifts received by mail are delivered) match with the kind of gift (real property, stocks etc) and the gift date recorded in Banner system and with the acknowledgement date of the gift mailed to the donor. (3) Obtain valuations only from IRS certified valuers. (4) The Director of Advancement at CUPPA may train employees to accept gifts that are only contributions made to the University for which the provider receives no direct benefit and requires nothing in exchange beyond a general assurance that the intent of the contribution will be honored in compliance with University's published policies and procedures. Entry other than a deposit should be put on a separate spreadsheet to ensure the month end reconciliation balances. Page 79 of 80 Gifts Section Policy/Procedure Policy/Procedure # Effective Date Supersedes Policy/Procedure Approved by: Gift Acceptance and Accounting UG-01.00 03/10/06 # Dated: (5) The Director of Advancement at CUPPA verifies that all deposits posted on UIF/Banner Finance reconcile to development accounts and contacts the concerned department for any discrepancies the same day. Page 80 of 80
