NCURA REGION III Spring Meeting
May 13, 2008
University of North Carolina
- Charlotte
Implementing a New Effort Reporting
System at a Non-Medical School
University
Presentation by:
Stephen E. Selby – Director, Office of Sponsored Programs
Karen J. Farley – Manager Cost Analysis
•
UNC Charlotte is one of 16 campuses that comprise the University of North
Carolina’s public state higher education system.
•
In 2000, UNC Charlotte met the criteria for Doctoral/ Research Intensive
Carnegie classification. UNC Charlotte offers a wide and diverse array of
liberal arts and professional programs to support baccalaureate and
masters degree programs as well as a number of doctoral programs. UNC
Charlotte does not currently have a medical school. UNC Charlotte
forecasts FY09 student enrollment of approximately 23,200 students.
•
In FY08, UNC Charlotte had 64% or 850 of total 1,327 Faculty/EPA
employees on 9 month salary appointment. In FY08, UNC Charlotte had
2,604 total employees.
•
UNC Charlotte forecasts FY09 sponsored project expenditures of $35
million, a 17% increase over FY08 sponsored project expenditures of $30
million. UNC Charlotte currently has a Long Form F & A Rate negotiated
with the Department of Health & Human Services until the end of FY09.
2
Motivation to Change Effort Reporting
System
• One of our sister campuses – Eastern Carolina University
(ECU) had an audit on 8/3/2004 by the National Library of
Medicine (NML) that resulted in disallowed charges of $565,820
to the grant. There was also a large set aside of $1,786,568 for
adjudication by MLS officials. Audit findings were that ECU
had inadequate internal and management controls over effort
reporting. Auditors concluded ECU had not implemented an
effort reporting system adequate to comply with the
requirements of OMB Circular A-21.
• UNC Charlotte transitioned from SCT’s Financial Reporting
System (FRS Plus) and implemented SCT Banner Finance as
it’s new enterprise reporting software application system in FY
2005. On January 1, 2006, UNC Charlotte implemented Banner
Human Resources Module. UNC Charlotte is currently
operating on Banner Version 7.3.
3
Motivation to Change Effort Reporting
System
• The January 1, 2006 Banner HR module implementation
required UNC Charlotte to update and replace our former
custom, ITS programmed Effort Reporting System.
SCT/Banner did not offer a functioning Time & Effort Reporting
System Module available for January, 2006 implementation.
•
UNC Charlotte wanted to make sure that the former, 18 year old
ITS custom paper Effort Reporting System was replaced with a
continuously updated, compliant, online Web based effort
system with written, well communicated, and enforced effort
reporting procedures.
• Internal work processes required revamping to ensure
accurate, timely effort reports were issued based on consistent
calculation methods for timely certification within federal
regulatory time requirement of 90 days.
4
Decision to purchase Maximus Effort
Reporting System as a Sole Source
•
A sole source purchase of the Maximus
Effort Reporting System (ERS) was justified
and approved on March, 2006 because due
to our knowledge UNC Charlotte’s
requirements for effort reporting could only
be met by one vendor - Maximus Inc., for
the following three reasons:
5
Decision to purchase Maximus Effort
Reporting System as a Sole Source
1. Software Complies with Federal
Requirements (see ECU Audit report by
DHHS August 2004 which approves
Maximus ERS on page 5.)
2. Software had to be ready to implement for
immediate use without major
customization in March 2006.
3. Software must be able to interface with
Banner Human Resources Software
6
Module.
Major Issues in Implementation
1. Reporting Frequency
2. Employee Groups to include/exclude in Effort
Reporting System
3. What Effort is Reported
4. Cost Sharing
5. ERS Cost Transfers
6. RCT revised effort forms
7. 9/12 conversion for 9 month paid employees in
Maximus Effort Reporting System (ERS)
7
Solutions to Major issues
1.
•
•
•
•
•
Reporting Frequency:
UNC Charlotte reviewed the effort reporting best practices of major
universities in US. We found universities were certifying Faculty/EPA,
Graduate Assistants, and SPA employees on either a monthly, quarterly, or
semester basis within their automated, on-line effort reporting systems like
Maximus ERS.
We found most major research universities modified their hourly employees
timecard to include an effort certification statement. The monthly paper time
card submitted to payroll office served as the effort certification form for
hourly paid temporary employees. Hourly employees were segregated and
not included in their automated effort reporting systems which often were
on a longer quarterly or semester reporting cycle.
UNC Charlotte received approval from NC State auditors and DHHS Division
of Cost Allocation to change to quarterly certification from monthly
certification for employees groups included in Maximus ERS.
UNC Charlotte aligned the effort reporting quarters to coincide with
Faculty’s academic working year instead of the University’s fiscal financial
reporting year.
UNC Charlotte revised the hourly and temporary monthly time card to
include an effort certification statement and all sources of the employee
institutional funding.
8
Solutions to Major issues
1. Reporting Frequency – (Quarterly)
•
•
•
•
•
4 quarterly certifications versus 12 monthly certifications an academic year for
Faculty. Tried to reduce certification administrative burden for busy faculty
Certifiers as much as possible.
4 quarterly certifications a year versus 2 semester certifications a year helps
ensure all Faculty changes in certification are reviewed and cost transfers are
exported from ERS into Banner HR within 90 days of charge to sponsored
funds. We felt certification on semester basis may result in non-timely cost
transfers being recorded outside of regulatory 90 day window.
Quarterly certifications has helped us achieve 100% certification of issued
effort forms from campus Certifiers by effort reporting deadlines.
Quarterly certification has focused more attention on accuracy of forms as the
forms more closely correlate with their research and teaching calendar
activities versus the institution’s fiscal accounting year calendar.
The following Effort Reporting Calendar is posted and updated each year
online in WEB Maximus ERS under Help Tab and online under OSP Effort
Reporting Procedures for campus community reference.
9
Office of Sponsored Programs
Effort Reporting Procedures Exhibit II:
Maximus Effort Reporting Calendar
Year 2008
Academic Period 1 (08/16/2007 - 11/15/2007)
Month
Begin Date End Date No. of days in month
Sept
8/16/2007 9/15/2007
31
Oct
9/16/2007 10/15/2007
31
Nov
10/16/2007 11/15/2007
31
Total no. of days P1
93
Year 2009
Academic Period 1 (08/16/2008 - 11/15/2008)
Month
Begin Date End Date No. of days in month
Sept
8/16/2008 9/15/2008
31
Oct
9/16/2008 10/15/2008
31
Nov
10/16/2008 11/15/2008
31
Total no. of days P1
93
Academic Period 2 (11/16/2007 - 02/15/2008)
Month
Begin Date End Date No. of days in month
Dec
11/16/2007 12/15/2007
31
Jan
12/16/2007 1/15/2008
31
Feb
1/16/2008 2/15/2008
31
Total no. of days P2
93
Academic Period 2 (11/16/2008 - 02/15/2009)
Month
Begin Date End Date No. of days in month
Dec
11/16/2008 12/15/2008
31
Jan
12/16/2008 1/15/2009
31
Feb
1/16/2009 2/15/2009
31
Total no. of days P2
93
Academic Period 3 (02/16/2008 - 05/15/2008)
Month
Begin Date End Date No. of days in month
Mar
2/16/2008 3/15/2008
31
Apr
3/16/2008 4/15/2008
31
May
4/16/2008 5/15/2008
31
Total no. of days P3
93
Academic Period 3 (02/16/2009 - 05/15/2009)
Month
Begin Date End Date No. of days in month
Mar
2/16/2009 3/15/2009
31
Apr
3/16/2009 4/15/2009
31
May
4/16/2009 5/15/2009
31
Total no. of days P3
93
Academic Period 4 (05/16/2008 - 8/15/2008)
Month
Begin Date End Date No. of days in month
June
5/16/2008 6/15/2008
31
July
6/16/2008 7/15/2008
31
Aug
7/16/2008 8/15/2008
31
Total no. of days P4
93
Academic Period 4 (05/16/2009 - 8/15/2009)
Month
Begin Date End Date No. of days in month
June
5/16/2009 6/15/2009
31
July
6/16/2009 7/15/2009
31
Aug
7/16/2009 8/15/2009
31
Total no. of days P4
93
10
Solutions to Major issues
2. Employee Groups
included/excluded
in Effort Reporting
System:
•
Included all permanent,
professional SPA & EPA
employees; 9 & 12 month
Faculty; Post-Doctoral, &
Graduate Assistants
•
Excluded all hourly, nonprofessional SPA ;
temporary and student
employees
EMPLOYEE CLASS
10
15
19
20
30
36
40
45
50
60
70
72
DESCRIPTION
SPA Permanent Employees
SPA Temporary Hourly
SPA Misc Hourly Payment
EPA Non-Faculty
EPA 9-month Faculty
EPA 12-Month Faculty
EPA Post-Doctoral
Special Pay - Salaried
EPA Temporary
Graduate Assistants
Student Wage Hourly
Student Miscellaneous Hourly
INCLUDE IN WEB ERS
EXCLUDE FROM WEB ERS
TIMECARD CERTIFICATION
11
Solutions to Major issues
3. What Effort is Reported:
•
OSP reviewed University’s Policy #99 Additional Compensation for
Professional Services to the University
•
Policy defines what constitutes “Institutional Base Salary” for Faculty when
working on sponsored activities within 9 month contract period and outside
9 month contract period (summer).
•
Policy #99 defines what constitutes Base Compensation; Supplemental
Compensation (Summer); and Incidental Compensation.
•
OSP mapped all salary account codes for correct inclusion or exclusion as
Institutional Base Salary on effort forms. These inclusion/exclusion rules
change for 9 month Faculty depending on whether they are working on
sponsored activities inside the contract period or outside the contract
period. We now joke these rules are the “Rosetta Stone” to 9 month effort
reporting.
12
UNC Charlotte
OSP
"Rosetta Stone to 9 Month Effort Reporting"
Banner HR Account Code Application to Compensation with Employee Class
Nine Months
(Maximus ERS Action)
Account Code
Type
Code
Perm Non-teaching Salary
EPA*
911100
Stu Non-Teaching Salaries
EPA/GRA
911250
Permanent Teaching Salaries EPA
913100
Permanent Teaching Salaries EPA
913100
Permanent Teaching Salaries EPA
913100
Non-Teaching Bonus
EPA
911150
Temp Non-Teaching Salaries
EPA
911200
Non-teaching Special Pmt
EPA
911300
Non-Teaching Spec Pmt Recharge
EPA
911340
Employee Dual Employment
EPA
911350
Severance Wages
EPA
911400
Teaching Bonus
EPA
913150
Temporary Teaching Salaries EPA
913200
Temporary Teaching Salaries EPA
913200
Student Teaching Salaries
EPA/GRA
913250
Teaching Special Payments
EPA
913300
Teaching Special Payments
EPA
913300
Teaching-Dual Employment
EPA
913350
Salary Reserve Teaching
EPA
913600
Salary Reserve Regular
EPA
913650
Temporary Disability
EPA
916000
* EPA = Faculty and Professional Staff
Summer Period------------
Emp
INCLUDE EXCLUDE INCLUDE EXCLUDE
Class
Base
X
X
10, 20
30
36
X
X
X
10,15,19,20,30,36,40,45, 50,60
X
10,20
X
30
10,15,19,20,36,40,45, 50,60
REV 10/26/2006
Incidental Supplemental
Incidental
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Comments (Summer Period)
Fund 102110
Fund 102110 - Sum m er Payroll Only
Research Summer Only.
All EPA Classes
Same logic as 911200.
Employee class 10 and 20 only
Teaching Summer Only
Teaching Summer Only
All 12 mo EPA employee classes
Not used in 10 years but in COA.
Not used in 10 years but in COA.
Summer Exclusion Rule:
1. Employee Class 10 and 20 under account code 913100 and 913200 are to be EXCLUDED ALL Year EVEN for Fund 102110.
2. Employee Class 20 under account code 913200 is to be EXCLUDED ALL Year, including summer.
3. Employee Class 36 under account code 913100 is to be INCLUDED All Year.
4. The following account codes are excluded from the summer: '911150','911350','911400','913150','913350','913600','913650','916000','912150','912350','912400','912600'
5. For Account code 913200, only employee class 10 and 20 should be excluded.
6. For Account Code 913300, all 12 month EPA employee classes (10,15,19,20,36,40,45,50,60) should be Excluded all year, including summer.
For EPA employee class 30, Account 913300 should be excluded during the 9 month academic period but Included as Supplement Pay in Summer.
New Incidental Exclusion Rule: New Account Code 911340 Non-Teaching Special Payment to Recharge Units. Salary charged to this account
Code is considered incidental pay in 9 month contract period and in the summer period.
13
Solutions to Major issues
4. Cost Sharing:
•
•
•
•
Maximus ERS reports committed salary cost share on a separate column
on the employee’s effort form.
Mandatory or Voluntary Committed Cost Share can be imported into ERS
to automatically populate the cost share column on the effort form if
budget data is available at the beginning of each effort reporting period.
Cost share can also be added on to an employee’s effort form by the
Department Administrator in online Pre –Review process, or by the
Certifier as part of the on line Certification process in ERS.
An automated ERS Salary Cost Share Summary Report is run by Central
Administrator at the end of each effort reporting cycle for export to
Contract & Grant’s Office to consolidate with non-salary and third party
cost share fiscal year to date expenses in cost share data base.
14
ERS Salary Cost Share Summary Report - 2008AP2
(11/16/2007 - 02/15/2008)
Sub
Employee
Dept # Dept # Id #
Employee Name
Title Code Account
Cost
Cost
Sharing Sharing Certified
Percent Amount Percent
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
12345
12345
12345
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
XXXX
1234
1234
1234
-11%
11%
-25%
25%
-10%
10%
-15%
15%
-25%
25%
-10%
10%
-10%
10%
5%
-10%
5%
-24%
24%
-38%
18%
20%
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
XXXXX
12345
12345
12345
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
XXXXXXXXX
123456789
123456789
123456789
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Last Name, First Name, I
Doe, John W
Doe, John W
Doe, John W
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
101XXX-XXXXX
5XXXXX-XXXXX
5XXXXX-XXXXX
($4,239.73) 89%
$4,239.73 11%
($4,060.00) 75%
$4,060.00 25%
($923.00) 90%
$923.00 10%
($2,247.00) 85%
$2,247.00 15%
($7,491.00) 75%
$7,491.00 25%
($875.00) 90%
$875.00 10%
($910.00) 90%
$910.00 10%
$2,203.44 5%
($4,406.88) 15%
$2,203.44 5%
($5,868.39) 40%
$5,868.39 30%
($11,347.43) 7%
$5,375.10 66%
$5,972.33 27%
Certified
Amount
$34,303.25
$4,239.73
$12,180.26
$4,060.00
$8,306.98
$923.00
$12,734.22
$2,247.00
$22,474.50
$7,491.00
$7,874.98
$875.00
$8,190.02
$910.00
$2,203.44
$6,610.54
$2,203.44
$9,862.10
$7,335.49
$2,140.39
$19,751.94
$7,969.31
15
Effort Reporting System
Reporting Period: 021508 (11/16/2007 - 02/15/2008)
Personal Information
Name: Doe, John W
SubDept: 12345
Review Process
Pre Review
Certify
Post Review
Flag
Payroll
Accounts
Employee ID: 123456789
Division: 1234
Effort Status As Of Thu May 01 11:34:30 EDT 2008
Review Flag
Reviewed By
2 (Pre Reviewed)
Department Administrator
Y (Effort Form Not Updated)
Faculty Certifier
N
Basic (BAS)
Reviewed At
03/17/2008
03/18/2008
Effort Form As Of Thu May 01 11:34:30 EDT 2008 (Form located in ERSEffort Table)
CT
CS
SubTL $ SubTL %
CT
CS
Certified Effort
from Pre
from Pre
from Pre from Pre
from Post from Post
Sponsored Accounts
48% 5XXX1-12345
Project ABC
7% 5XXX2-12345
Project DEF
55%
Total Sponsored Accounts:
Non-Sponsored Accounts
$13,487.82 45% 101XXX-12345
College Dept
$13,487.82 45% Total Non-Sponsored Accounts:
$29,861.64 100%
Grand Total:
$14,376.84
$1,996.98
$16,373.82
Title: Professor
Title Code: 00XXXX
$0.00 0%
$5375.10 18% $19,751.94
$0.00 0%
$5972.33 20% $7,969.31
$0.00 0% $11,347.43 38% $27,721.25
$0.00 0% $-11347.43 -38% $2,140.39
$0.00 0% $-11,347.43 -38% $2,140.39
$0.00 0%
$0.00 0% $29,861.64
66%
27%
93%
Adj.
TL $
66% $19,751.94 N/A N/A N/A N/A $19,751.94
27% $7,969.31 N/A N/A N/A N/A
$7,969.31
93% $27,721.25 N/A N/A N/A N/A $27,721.25
Adj.
TL %
66%
27%
93%
7%
7% $2,140.39 N/A N/A N/A N/A
$2,140.39
7%
7%
7% $2,140.39 N/A N/A N/A N/A $2,140.39
7%
100% 100% $29,861.64 N/A N/A N/A N/A $29,861.64 100%
Notes:
EXAMPLE OF CERTIFIED EFFORT FORM WITH SALARY
COST SHARE.
Print Return
16
Solutions to Major issues
5. Cost Transfers exported from ERS:
•
At the end of each reporting quarter, ERS Central Administrator runs the
automated ERS Cost Transfer Summary Report in Export Function
•
The ERS Cost Transfer Summary Report is reviewed and approved by the
Cost Analysis Manager & the Contracts & Grants Manager and then sent to
Budget Office to record in Banner HR.
•
An ERS salary redistribution Banner audit report is run after ERS Cost
Transfers are posted in Banner HR by Budget Office. The Banner audit
report is returned to Cost Analysis Manager to confirm 100% of Cost
Transfers are booked in Banner. ERS Central Administrator runs Accept
function in Cost Transfer Export in ERS.
•
Slide examples of ERS Cost Transfer Summary Report and Effort Form with
a Cost Transfer certification change follow.
17
ERS COST TRANSFER SUMMARY REPORT
E CT
NUM
CTNUM
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
E0092
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
PRE-1199375710109-00
1
EMPID
EMPNAME
RPCOD
E
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
800003201 Last name, First, I
Last name, First I Total
123456
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
111507
EMP
POS#SUF#
Earning
Fund
Code
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
xxxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
10 101xxx
10 5xxxxx
10 5xxxxx
Org Account Program
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
12345
913100
911100
911100
913100
911100
911100
913100
911100
911100
913100
911100
911100
913100
911100
911100
913100
911100
911100
ENDDAT
E
10100 2007-08-31
11000 2007-08-31
40100 2007-08-31
10100 2007-09-15
11000 2007-09-15
40100 2007-09-15
10100 2007-09-30
11000 2007-09-30
40100 2007-09-30
10100 2007-10-15
11000 2007-10-15
40100 2007-10-15
10100 2007-10-31
11000 2007-10-31
40100 2007-10-31
10100 2007-11-15
11000 2007-11-15
40100 2007-11-15
Payroll
ID#
2007SM16
2007SM16
2007SM16
2007SM17
2007SM17
2007SM17
2007SM18
2007SM18
2007SM18
2007SM19
2007SM19
2007SM19
2007SM20
2007SM20
2007SM20
2007SM21
2007SM21
2007SM21
9/12
DEBIT
9/12
DEBIT_CASH CREDIT_CASH APPT
CREDIT
1,310.50
873.91
436.59
1,310.50
873.91
436.59
1,710.66
1,140.70
569.96
1,377.19
918.35
458.84
1,377.19
918.35
458.84
1,377.15
918.12
459.03
$ 8,463.19 $ 8,463.19 $
982.88
982.88
1,283.00
1,032.89
1,032.89
1,032.86
6,347.40 $
655.43
327.44
655.43
327.44
855.53
427.47
688.76
344.13
688.76
344.13
688.59
344.27
6,347.38
XX
$8,463.19 Total Debit to
101XXX
$8,463.19 Total Credit to
5XXXXX’s
Reduction in effort to
sponsored fund from Budget
Personnel Action Form.
Salary Redistribution Total $ 8,463.19 $ 8,463.19
2008AP1 Summary
Employees with Salary Redistributions
Beginning E CT Number
Ending E CT Number
$XXXXXX
$XXXXX
XX
E0092
E0117
Approval:
Karen J. Farley, Manager, Cost Analysis
Karen J. Farley, Manager, Cost Analysis
3/10/2008
Date
Approval of Budget and Performance Period:
Deborah Fraser, Manager, Grants and Contracts
Deborah Fraser, Manager, Grants and Contracts
3/11/2008
Date
18
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
9
Effort Reporting System
Reporting Period: 111507 (08/16/2007 - 11/15/2007)
Personal Information
Name: Doe, John W
SubDept: 12345
Review Process
Pre Review
Certify
Post Review
Flag
Employee ID: 123456789
Division: XXXX
Title: Faculty
Title Code: XXXX
Effort Status As Of Thu May 01 16:15:40 EDT 2008
Review Flag
Reviewed By
2 (Pre Reviewed)
Department Administrator
Y (Effort Form Not Updated)
Faculty
N
Basic (BAS)
Effort Form As Of Thu May 01 16:15:40 EDT 2008 (Form located in ERSEffort Table)
CT
CS
SubTL $ SubTL %
CT
Payroll
Accounts
Certified Effort
from Pre
from Pre from Pre from Pre
from Post
Sponsored Accounts
$22,568.84 67% 5XXXX-12345
Project ABC
$-5643.34 -17% $0.00 0% $16,925.50
50% 50% $16,925.50 N/A N/A
$0.00 0% 5XXXX-12345
Project DEF
$0.00 0% $0.00 0%
$0.00
0% 0%
$0.00 N/A N/A
$11,283.03 33% 5XXXXX-12345 Project GHI
$-2819.85 -8% $0.00 0% $8,463.18
25% 25% $8,463.18 N/A N/A
$33,851.87 100%
Total Sponsored Accounts: $-8,463.19 -25% $0.00 0% $25,388.68
75% 75% $25,388.68 N/A N/A
Non-Sponsored Accounts
$0.00 0% 101XXX-12345
College Dept
$8463.19 25% $0.00 0% $8,463.19
25% 25% $8,463.19 N/A N/A
$0.00 0% Total Non-Sponsored Accounts: $8,463.19 25% $0.00 0% $8,463.19
25% 25% $8,463.19 N/A N/A
$33,851.87 100%
Grand Total:
$0.00 0% $0.00 0% $33,851.87
100% 100% $33,851.87 N/A N/A
Reviewed At
01/03/2008
01/04/2008
CS
from Post
N/A
N/A
N/A
N/A
Adj.
TL $
Adj.
TL %
N/A $16,925.50 50%
N/A
$0.00 0%
N/A $8,463.18 25%
N/A $25,388.68 75%
N/A N/A $8,463.19 25%
N/A N/A $8,463.19 25%
N/A N/A $33,851.87 100%
EXAMPLE OF CERTIFIED EFFORT FORM WITH COST TRANSFER DUE TO
19
CHANGE IN EFFORT (REDUCTION)
Notes:
Solutions to Major issues
6. RCT Revised Effort Forms:
•
RCT Feature in ERS imports retroactive payroll
adjustments made in Banner HR so an employee’s
current or prior certified effort form can be revised if the
impact on the effort form is material (>1%).
•
ERS Central Administrator imports the RCT file into
Maximus ERS from Banner HR with retro pay
transactions on a weekly basis. Each institution
determines own schedule (daily, weekly, etc) depending
on volume of retro pay transactions made by Payroll
Office.
•
ERS Central Administrator then issues RCT revised effort
form and sends to Department Administrator (DA) to
complete online PreReview. DA notifies Certifier to 20
recertify effort form due to retro pay adjustments.
Original Effort Form Copied on 2008-04-24 16:03:28.312
Effort Reporting System
Reporting Period: 021508 (11/16/2007 - 02/15/2008)
Personal Information
Name: Doe, John
SubDept: 12345
Employee ID: 123456789
Division: 1234
Title: Faculty
Title Code: XXXX
Effort Status
Review Process
Pre Review
Certify
Post Review
Flag
Payroll
Review Flag
Y
Y
N
Basic (BAS)
Accounts
Sponsored Accounts
37% 5XXXXX-12345
Project ABC
37%
Total Sponsored Accounts:
Non-Sponsored Accounts
$29,832.16 63% 101XXX-12345
Campus Dept
$29,832.16 63%
Total Non-Sponsored Accounts:
$47,434.97 100%
Grand Total:
$17,602.81
$17,602.81
Completed By
Department Administrator
Faculty Certifier
Effort Form
CT
CS
SubTL $
from Pre from Pre from Pre
$0.00 0% $0.00 0% $17,602.81
$0.00 0% $0.00 0% $17,602.81
$0.00 0% $0.00 0% $29,832.16
$0.00 0% $0.00 0% $29,832.16
$0.00 0% $0.00 0% $47,434.97
SubTL %
from Pre
37%
37%
Completed At
03/18/2008
03/28/2008
Certified
CT
CS
from Post from Post
Adj.
TL $
Adj.
TL %
37% $17,602.81 $0.00 0% $0.00 0% $17,602.81
37% $17,602.81 $0.00 0% $0.00 0% $17,602.81
37%
37%
63% 63% $29,832.16 $0.00 0% $0.00 0% $29,832.16 63%
63% 63% $29,832.16 $0.00 0% $0.00 0% $29,832.16 63%
100% 100% $47,434.97 $0.00 0% $0.00 0% $47,434.97 100%
ORIGINAL EFFORT FORM CERTIFIED PRIOR TO
RETROACTIVE PAYROLL ADJUSTMENT THAT
IMPACTED THE FORM BY MORE THAN 1%
Notes:
21
Effort Reporting System
Reporting Period: 021508 (11/16/2007 - 02/15/2008)
This Effort Form is a newly created RCT form. Click here to view the original effort copy.
Personal Information
Name: Doe, John
SubDept: 12345
Review Process
Pre Review
Certify
Post Review
Flag
Employee ID: 123456789
Division: 1234
Title: Faculty
Title Code: XXXX
Effort Status As Of Fri May 02 18:36:57 EDT 2008
Review Flag
Reviewed By
N (Saved)
N
N
Basic (BAS)
Effort Form As Of Fri May 02 18:36:57 EDT 2008 (Form located in ERSEffort Table)
CT
CS
SubTL $ SubTL %
CT
Payroll
Accounts
Certified Effort
from Pre from Pre from Pre from Pre
from Post
Sponsored Accounts
$12,000.00 25% 5XXXXX-12345 Project ABC
$0.00 0% $0.00 0% $12,000.00
25% N/A
N/A N/A N/A
$12,000.00 25%
Total Sponsored Accounts: $0.00 0% $0.00 0% $12,000.00
25% N/A
N/A N/A N/A
Non-Sponsored Accounts
$35,434.97 75% 101XXX-12345 CAMPUS DEPT $0.00 0% $0.00 0% $35,434.97
75% N/A
N/A N/A N/A
$35,434.97 75%
Total Non-Sponsored Accounts: $0.00 0% $0.00 0% $35,434.97
75% N/A
N/A N/A N/A
$47,434.97 100%
Grand Total: $0.00 0% $0.00 0% $47,434.97
100% N/A
N/A N/A N/A
Notes:
Reviewed At
CS
from Post
Adj.
TL $
Adj.
TL %
N/A N/A $12,000.00 25%
N/A N/A $12,000.00 25%
N/A N/A $35,434.97 75%
N/A N/A $35,434.97 75%
N/A N/A $47,434.97 100%
EXAMPLE OF RCT REVISED EFFORT FORM
22
Solutions to Major issues
7. 9/12 conversion for 9 month paid
employees in effort reporting:
•
In FY08, UNC Charlotte had 64% or 850 of total 1,327 Faculty/EPA
employees on 9 month salary appointment
•
9 month Faculty employees are paid on 12 month or 12/12 basis via
24 semi-monthly pay periods at UNC Charlotte
•
However, Sponsored Awards budget salary dollar amounts and effort
% on a 9 month or 9/12 basis to conform with these employees
academic year appointment period.
•
Therefore, payroll dollar amounts imported into ERS from Banner HR
must be converted from 12/12 cash basis to 9/12 (aka as accrual
basis) for certification on effort forms. This is necessary to achieve
consistency in certification of actual effort % compared to budgeted
effort % for the sponsored fund activity for 9 month employees paid
on a 12 month basis.
23
Payroll Details By Transaction
Reporting Period: 021508
(11/16/2007 - 02/15/2008)
Name: Doe, John
SubDept: 12345
Employee ID: 123456789
Division: 1234
Title: Faculty
Title Code: xxxx
NonEffort
Payroll
$3,200.00 $0.00
Account
Program Hours
Code
Actual
Payroll
12345
911100
11000
0.0
$2,400.00
11/30/2007
9
5XXXXX
12345
911100
11000
0.0
$-600.00
11/30/2007
9
$-800.00
$0.00
$-800.00
12/15/2007
5XXXXX
12345
911100
11000
0.0
$2,400.00
12/14/2007
9
$3,200.00
$0.00
$3,200.00
12/01/2007
12/15/2007
5XXXXX
12345
911100
11000
0.0
$-600.00
12/14/2007
9
$-800.00
$0.00
$-800.00
12/16/2007
12/31/2007
5XXXXX
12345
911100
11000
0.0
$2,400.00
12/21/2007
9
$3,200.00
$0.00
$3,200.00
540589-21900
5XXXX-12345
12/16/2007
12/31/2007
5XXXXX
12345
911100
11000
0.0
$-600.00
12/21/2007
9
$-800.00
$0.00
$-800.00
01/01/2008
01/15/2008
5XXXXX
12345
911100
11000
0.0
$2,400.00
01/15/2008
9
$3,200.00
$0.00
$3,200.00
540589-21900
5XXXX-12345
01/01/2008
01/15/2008
5XXXXX
12345
911100
11000
0.0
$-600.00
01/15/2008
9
$-800.00
$0.00
$-800.00
01/16/2008
01/31/2008
5XXXXX
12345
911100
11000
0.0
$1,202.11
01/31/2008
9
$1,602.81
$0.00
$1,602.81
540589-21900
01/16/2008
01/31/2008
5XXXXX
12345
911100
11000
0.0
$-1,202.11
01/31/2008
9
$-1,602.81
$0.00
$-1,602.81
540589-21900
5XXXX-12345
01/16/2008
01/31/2008
5XXXXX
12345
911100
11000
0.0
$-600.00
01/31/2008
9
$-800.00
$0.00
$-800.00
01/16/2008
01/31/2008
5XXXXX
12345
911100
11000
0.0
$2,400.00
01/31/2008
9
$3,200.00
$0.00
$3,200.00
Fund-Org
Begin Date
End Date
Fund
Org
5XXXX-12345
11/16/2007
11/30/2007
5XXXXX
540589-21900
5XXXX-12345
11/16/2007
11/30/2007
12/01/2007
540589-21900
5XXXX-12345
SubTL:
$12,000.00
$0.00
DatePaid Appt
Converted
Payroll
Effort
Payroll
Effort
Payroll
%
$3,200.00
$12,000.00
EXAMPLE OF 9 MONTH FACULTY EFFORT FORM
PAY DETAIL WITH 9/12 PAYROLL CONVERSION
25%
24
Payroll Details By Transaction
Reporting Period: 021508
(11/16/2007 - 02/15/2008)
Name: Doe, John
SubDept: 12345
Employee ID: 12345678
Division: 1234
Change to
Title: Faculty
Title Code: XXX
All
Account
Program Hours
Code
NonEffort
Converted
Effort
Effort
Payroll
Payroll
Payroll
Payroll
%
$3,614.83 $0.00 $3,614.83
$1,091.00 $0.00 $1,091.00
Actual
Payroll
DatePaid
Appt
0.0
0.0
$2,711.12
$818.25
11/30/2007
11/30/2007
9
9
10100
0.0
$600.00
11/30/2007
9
$800.00
$0.00
$800.00
911100
913100
10100
10100
0.0
0.0
$2,711.12
$818.25
12/14/2007
12/14/2007
9
9
$3,614.83
$1,091.00
$0.00
$0.00
$3,614.83
$1,091.00
12345
913100
10100
0.0
$600.00
12/14/2007
9
$800.00
$0.00
$800.00
101XXX
101XXX
101XXX
12345
12345
12345
911100
913100
913100
10100
10100
10100
0.0
0.0
0.0
$2,711.12
$818.25
$600.00
12/21/2007
12/21/2007
12/21/2007
9
9
9
$3,614.83
$1,091.00
$800.00
$0.00
$0.00
$0.00
$3,614.83
$1,091.00
$800.00
01/15/2008
01/15/2008
101XXX
101XXX
12345
12345
911100
913100
10100
10100
0.0
0.0
$2,711.12
$600.00
01/15/2008
01/15/2008
9
9
$3,614.83
$800.00
$0.00
$0.00
$3,614.83
$800.00
01/01/2008
01/16/2008
01/15/2008
01/31/2008
101XXX
101XXX
12345
12345
913100
911100
10100
10100
0.0
0.0
$818.25
$1,509.01
01/15/2008
01/31/2008
9
9
$1,091.00
$2,012.01
$0.00
$0.00
$1,091.00
$2,012.01
101XXX-12345
01/16/2008
01/31/2008
101XXX
12345
911100
10100
0.0
$1,202.11
01/31/2008
9
$1,602.81
$0.00
$1,602.81
101XXX-12345
101XXX-12345
101XXX-12345
101XXX-12345
01/16/2008
01/31/2008
101XXX
12345
913100
10100
0.0
$600.00
01/31/2008
9
$800.00
$0.00
$800.00
01/16/2008
02/01/2008
02/01/2008
01/31/2008
02/15/2008
02/15/2008
101XXX
101XXX
101XXX
12345
12345
12345
913100
911100
913100
10100
10100
10100
0.0
0.0
0.0
$818.25
$2,711.12
$3,218.25
01/31/2008
02/15/2008
02/15/2008
9
9
9
SubTL:
Fund-Org
Begin Date
End Date
Fund
Org
101XXX-12345
101XXX-12345
11/16/2007
11/16/2007
11/30/2007
11/30/2007
101XXX
101XXX
12345
12345
911100
913100
10100
10100
101XXX-12345
101XXX-12345
101XXX-12345
11/16/2007
11/30/2007
101XXX
12345
913100
12/01/2007
12/01/2007
12/15/2007
12/15/2007
101XXX
101XXX
12345
12345
101XXX-12345
101XXX-12345
101XXX-12345
12/01/2007
12/15/2007
101XXX
12/16/2007
12/16/2007
12/16/2007
12/31/2007
12/31/2007
12/31/2007
01/01/2008
01/01/2008
101XXX-12345
101XXX-12345
101XXX-12345
101XXX-12345
101XXX-12345
$1,091.00 $0.00
$3,614.83 $0.00
$4,291.00 $0.00
$35,434.97 $0.00
Total: $47,434.97
$1,091.00
$3,614.83
$4,291.00
$35,434.97
75%
$0.00 $47,434.97
100%
Note:
RCT Records are highlighted in yellow with R.
EXAMPLE OF 9 MONTH FACULTY EFFORT FORM
PAY DETAIL WITH 9/12 PAYROLL CONVERSION
25
Other Issues in Implementation
•
•
•
•
Assigning Department Administration and
Faculty Roles within Effort Reporting
System
Determination of who is allowed to certify
effort forms at UNC Charlotte
Training on transition from paper based
effort certification and reporting to online,
WEB based effort reporting system
UNC Charlotte ERS Help Desk for Password
resets, training and online assistance.
26
QUESTIONS ?
CONTACT INFORMATION:
• STEVE SELBY
EMAIL: seselby@uncc.edu
• KAREN FARLEY
EMAIL: kjfarley@uncc.edu
27