university of north carolina - charlotte implementing a new effort reporting system at a non-medical...

University of North Carolina University of North Carolina - Charlotte- Charlotte

Implementing a New Effort Reporting Implementing a New Effort Reporting System at a Non-Medical School System at a Non-Medical School

UniversityUniversity

NCURA REGION III Spring MeetingNCURA REGION III Spring MeetingMay 13, 2008May 13, 2008

Presentation by:Stephen E. Selby – Director, Office of Sponsored Programs

Karen J. Farley – Manager Cost Analysis

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• 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.

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Motivation to Change Effort Reporting Motivation to Change Effort Reporting SystemSystem

• 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.

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Motivation to Change Effort Reporting Motivation to Change Effort Reporting SystemSystem

• 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.

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Decision to purchase Maximus Effort Decision to purchase Maximus Effort Reporting System as a Sole SourceReporting System as a Sole Source

• A sole source purchase of the Maximus A sole source purchase of the Maximus Effort Reporting System (ERS) was justified Effort Reporting System (ERS) was justified and approved on March, 2006 because due and approved on March, 2006 because due to our knowledge UNC Charlotte’s to our knowledge UNC Charlotte’s requirements for effort reporting could only requirements for effort reporting could only be met by one vendor - Maximus Inc., for be met by one vendor - Maximus Inc., for the following three reasons:the following three reasons:

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Decision to purchase Maximus Effort Decision to purchase Maximus Effort Reporting System as a Sole SourceReporting System as a Sole Source

1.1. Software Complies with Federal Software Complies with Federal Requirements (see ECU Audit report by Requirements (see ECU Audit report by DHHS August 2004 which approves DHHS August 2004 which approves Maximus ERS on page 5.)Maximus ERS on page 5.)

2.2. Software had to be ready to implement for Software had to be ready to implement for immediate use without major immediate use without major customization in March 2006.customization in March 2006.

3.3. Software must be able to interface with Software must be able to interface with Banner Human Resources Software Banner Human Resources Software Module.Module.

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Major Issues in ImplementationMajor Issues in Implementation

1.1. Reporting FrequencyReporting Frequency

2.2. Employee Groups to include/exclude in Effort Employee Groups to include/exclude in Effort Reporting SystemReporting System

3.3. What Effort is ReportedWhat Effort is Reported

4.4. Cost SharingCost Sharing

5.5. ERS Cost TransfersERS Cost Transfers

6.6. RCT revised effort formsRCT revised effort forms

7.7. 9/12 conversion for 9 month paid employees in 9/12 conversion for 9 month paid employees in Maximus Effort Reporting System (ERS)Maximus Effort Reporting System (ERS)

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Solutions to Major issuesSolutions to Major issues1.1. Reporting FrequencyReporting 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.

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Solutions to Major issuesSolutions to Major issues 1.1. Reporting Frequency – (Quarterly)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.

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Office of Sponsored Programs

Year 2008 Year 2009

Month Begin Date End Date No. of days in month Month Begin Date End Date No. of days in monthSept 8/16/2007 9/15/2007 31 Sept 8/16/2008 9/15/2008 31Oct 9/16/2007 10/15/2007 31 Oct 9/16/2008 10/15/2008 31Nov 10/16/2007 11/15/2007 31 Nov 10/16/2008 11/15/2008 31Total no. of days P1 93 Total no. of days P1 93

Month Begin Date End Date No. of days in month Month Begin Date End Date No. of days in monthDec 11/16/2007 12/15/2007 31 Dec 11/16/2008 12/15/2008 31Jan 12/16/2007 1/15/2008 31 Jan 12/16/2008 1/15/2009 31Feb 1/16/2008 2/15/2008 31 Feb 1/16/2009 2/15/2009 31Total no. of days P2 93 Total no. of days P2 93

Month Begin Date End Date No. of days in month Month Begin Date End Date No. of days in monthMar 2/16/2008 3/15/2008 31 Mar 2/16/2009 3/15/2009 31Apr 3/16/2008 4/15/2008 31 Apr 3/16/2009 4/15/2009 31May 4/16/2008 5/15/2008 31 May 4/16/2009 5/15/2009 31Total no. of days P3 93 Total no. of days P3 93

Month Begin Date End Date No. of days in month Month Begin Date End Date No. of days in monthJune 5/16/2008 6/15/2008 31 June 5/16/2009 6/15/2009 31July 6/16/2008 7/15/2008 31 July 6/16/2009 7/15/2009 31Aug 7/16/2008 8/15/2008 31 Aug 7/16/2009 8/15/2009 31Total no. of days P4 93 Total no. of days P4 93

Effort Reporting Procedures Exhibit II:Maximus Effort Reporting Calendar

Academic Period 3 (02/16/2008 - 05/15/2008)

Academic Period 4 (05/16/2008 - 8/15/2008)

Academic Period 1 (08/16/2008 - 11/15/2008)

Academic Period 2 (11/16/2008 - 02/15/2009)

Academic Period 3 (02/16/2009 - 05/15/2009)

Academic Period 4 (05/16/2009 - 8/15/2009)

Academic Period 1 (08/16/2007 - 11/15/2007)

Academic Period 2 (11/16/2007 - 02/15/2008)

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Solutions to Major issuesSolutions to Major issues2.2. Employee Groups Employee Groups

included/excluded included/excluded in Effort Reporting in Effort Reporting

System:System:• Included all permanent, Included all permanent,

professional SPA & EPA professional SPA & EPA employees; 9 & 12 month employees; 9 & 12 month Faculty; Post-Doctoral, & Faculty; Post-Doctoral, & Graduate AssistantsGraduate Assistants

• Excluded all hourly, non-Excluded all hourly, non-professional SPA ; professional SPA ; temporary and student temporary and student employeesemployees

EMPLOYEE CLASS DESCRIPTION

10 SPA Permanent Employees15 SPA Temporary Hourly19 SPA Misc Hourly Payment20 EPA Non-Faculty30 EPA 9-month Faculty36 EPA 12-Month Faculty40 EPA Post-Doctoral45 Special Pay - Salaried50 EPA Temporary60 Graduate Assistants70 Student Wage Hourly72 Student Miscellaneous Hourly

INCLUDE IN WEB ERS

EXCLUDE FROM WEB ERS TIMECARD CERTIFICATION

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SSolutions to Major issuesolutions to Major issues

3.3. What Effort is Reported:What Effort is Reported:• OSP reviewed University’s OSP reviewed University’s Policy #99 Additional Compensation for Policy #99 Additional Compensation for

Professional Services to the UniversityProfessional Services to the University

• Policy defines what constitutes “Institutional Base Salary” for Faculty when Policy defines what constitutes “Institutional Base Salary” for Faculty when working on sponsored activities within 9 month contract period and outside working on sponsored activities within 9 month contract period and outside 9 month contract period (summer). 9 month contract period (summer).

• Policy #99Policy #99 defines what constitutes defines what constitutes Base Compensation; Supplemental Base Compensation; Supplemental Compensation (Summer)Compensation (Summer); and ; and Incidental Compensation.Incidental Compensation.

• OSP mapped all salary account codes for correct inclusion or exclusion as OSP mapped all salary account codes for correct inclusion or exclusion as Institutional Base Salary on effort forms. These inclusion/exclusion rules Institutional Base Salary on effort forms. These inclusion/exclusion rules change for 9 month Faculty depending on whether they are working on change for 9 month Faculty depending on whether they are working on sponsored activities insidesponsored activities inside the contract period or outside the contract the contract period or outside the contract period. We now joke these rules are the “Rosetta Stone” to 9 month effort period. We now joke these rules are the “Rosetta Stone” to 9 month effort reporting.reporting.

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UNC Charlotte OSP

Banner HR Account Code Application to Compensation with Employee Class REV 10/26/2006

(Maximus ERS Action) Emp INCLUDE EXCLUDE INCLUDE EXCLUDE

Account Code Type Code Class Base Incidental SupplementalIncidental Comments (Summer Period)

Perm Non-teaching Salary EPA* 911100 X XStu Non-Teaching Salaries EPA/GRA 911250 X XPermanent Teaching Salaries EPA 913100 10, 20 X X Fund 102110

Permanent Teaching Salaries EPA 913100 30 X X Fund 102110 - Summer Payroll Only

Permanent Teaching Salaries EPA 913100 36 X XNon-Teaching Bonus EPA 911150 X XTemp Non-Teaching Salaries EPA 911200 X XNon-teaching Special Pmt EPA 911300 X X Research Summer Only. Non-Teaching Spec Pmt RechargeEPA 911340 10,15,19,20,30,36,40,45, 50,60 X X All EPA ClassesEmployee Dual Employment EPA 911350 X XSeverance Wages EPA 911400 X XTeaching Bonus EPA 913150 X XTemporary Teaching Salaries EPA 913200 X X Same logic as 911200.Temporary Teaching Salaries EPA 913200 10,20 X X Employee class 10 and 20 onlyStudent Teaching Salaries EPA/GRA 913250 X X Teaching Summer OnlyTeaching Special Payments EPA 913300 30 X X Teaching Summer OnlyTeaching Special Payments EPA 913300 10,15,19,20,36,40,45, 50,60 X X All 12 mo EPA employee classesTeaching-Dual Employment EPA 913350 X XSalary Reserve Teaching EPA 913600 X X Not used in 10 years but in COA.Salary Reserve Regular EPA 913650 X X Not used in 10 years but in COA.Temporary Disability EPA 916000 X X* EPA = Faculty and Professional Staff

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.

Summer Period------------Nine Months

"Rosetta Stone to 9 Month Effort Reporting"

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Solutions to Major issuesSolutions to Major issues4.4. Cost Sharing:Cost Sharing:• Maximus ERS reports committed salary cost share on a separate column Maximus ERS reports committed salary cost share on a separate column

on the employee’s effort form. on the employee’s effort form. • Mandatory Mandatory or or Voluntary Committed Cost ShareVoluntary Committed Cost Share can be imported into ERS can be imported into ERS

to automatically populate the cost share column on the effort form if to automatically populate the cost share column on the effort form if budget data is available at the beginning of each effort reporting period.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 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 Department Administrator in online Pre –Review process, or by the Certifier as part of the on line Certification process in ERS.Certifier as part of the on line Certification process in ERS.

• An automated An automated ERS Salary Cost Share Summary ReportERS Salary Cost Share Summary Report is run by Central is run by Central Administrator at the end of each effort reporting cycle for export to Administrator at the end of each effort reporting cycle for export to Contract & Grant’s Office to consolidate with non-salary and third party Contract & Grant’s Office to consolidate with non-salary and third party cost share fiscal year to date expenses in cost share data base.cost share fiscal year to date expenses in cost share data base.

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Cost Cost

Sub Employee Sharing Sharing Certified CertifiedDept # Dept # Id # Employee Name Title Code Account Percent Amount Percent AmountXXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -11% ($4,239.73) 89% $34,303.25XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 11% $4,239.73 11% $4,239.73XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -25% ($4,060.00) 75% $12,180.26XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 25% $4,060.00 25% $4,060.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -10% ($923.00) 90% $8,306.98XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 10% $923.00 10% $923.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -15% ($2,247.00) 85% $12,734.22XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 15% $2,247.00 15% $2,247.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -25% ($7,491.00) 75% $22,474.50XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 25% $7,491.00 25% $7,491.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -10% ($875.00) 90% $7,874.98XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 10% $875.00 10% $875.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -10% ($910.00) 90% $8,190.02XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 10% $910.00 10% $910.00XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 5% $2,203.44 5% $2,203.44XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -10% ($4,406.88) 15% $6,610.54XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 5% $2,203.44 5% $2,203.44XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 101XXX-XXXXX -24% ($5,868.39) 40% $9,862.10XXXXX XXXXX XXXXXXXXX Last Name, First Name, I XXXX 5XXXXX-XXXXX 24% $5,868.39 30% $7,335.4912345 12345 123456789 Doe, John W 1234 101XXX-XXXXX -38% ($11,347.43) 7% $2,140.3912345 12345 123456789 Doe, John W 1234 5XXXXX-XXXXX 18% $5,375.10 66% $19,751.9412345 12345 123456789 Doe, John W 1234 5XXXXX-XXXXX 20% $5,972.33 27% $7,969.31

ERS Salary Cost Share Summary Report - 2008AP2(11/16/2007 - 02/15/2008)

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Effort Reporting System Reporting Period: 021508 (11/16/2007 - 02/15/2008)

Personal Information

Name: Doe, John W Employee ID: 123456789 Title: Professor

SubDept: 12345 Division: 1234 Title Code: 00XXXX

Effort Status As Of Thu May 01 11:34:30 EDT 2008

Review Process Review Flag Reviewed By Reviewed At

Pre Review 2 (Pre Reviewed) Department Administrator 03/17/2008

Certify Y (Effort Form Not Updated) Faculty Certifier 03/18/2008

Post Review N

Flag Basic (BAS)

Effort Form As Of Thu May 01 11:34:30 EDT 2008 (Form located in ERSEffort Table)

Payroll Accounts CT

from Pre CS

from Pre SubTL $ from Pre

SubTL % from Pre

Certified Effort CT

from Post CS

from Post Adj. TL $

Adj. TL %

Sponsored Accounts

$14,376.84 48% 5XXX1-12345 Project ABC $0.00 0% $5375.10 18% $19,751.94 66% 66% $19,751.94 N/A N/A N/A N/A $19,751.94 66%

$1,996.98 7% 5XXX2-12345 Project DEF $0.00 0% $5972.33 20% $7,969.31 27% 27% $7,969.31 N/A N/A N/A N/A $7,969.31 27%

$16,373.82 55% Total Sponsored Accounts: $0.00 0% $11,347.43 38% $27,721.25 93% 93% $27,721.25 N/A N/A N/A N/A $27,721.25 93%

Non-Sponsored Accounts

$13,487.82 45% 101XXX-12345 College Dept $0.00 0% $-11347.43 -38% $2,140.39 7% 7% $2,140.39 N/A N/A N/A N/A $2,140.39 7%

$13,487.82 45% Total Non-Sponsored Accounts: $0.00 0% $-11,347.43 -38% $2,140.39 7% 7% $2,140.39 N/A N/A N/A N/A $2,140.39 7%

$29,861.64 100% Grand Total: $0.00 0% $0.00 0% $29,861.64 100% 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

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Solutions to Major issuesSolutions to Major issues5.5. CostCost Transfers exported from ERS:Transfers exported from ERS:• At the end of each reporting quarter, ERS Central Administrator runs the At the end of each reporting quarter, ERS Central Administrator runs the

automated automated ERS Cost Transfer Summary ReportERS Cost Transfer Summary Report in Export Function in Export Function

• The ERS Cost Transfer Summary Report is reviewed and approved by the The ERS Cost Transfer Summary Report is reviewed and approved by the Cost Analysis Manager & the Contracts & Grants Manager and then sent to Cost Analysis Manager & the Contracts & Grants Manager and then sent to Budget Office to record in Banner HR.Budget Office to record in Banner HR.

• An ERS salary redistribution Banner audit report is run after ERS Cost An ERS salary redistribution Banner audit report is run after ERS Cost Transfers are posted in Banner HR by Budget Office. The Banner audit Transfers are posted in Banner HR by Budget Office. The Banner audit report is returned to Cost Analysis Manager to confirm 100% of Cost report is returned to Cost Analysis Manager to confirm 100% of Cost Transfers are booked in Banner. ERS Central Administrator runs Accept Transfers are booked in Banner. ERS Central Administrator runs Accept function in Cost Transfer Export in ERS.function in Cost Transfer Export in ERS.

• Slide examples of ERS Cost Transfer Summary Report and Effort Form with Slide examples of ERS Cost Transfer Summary Report and Effort Form with a Cost Transfer certification change follow.a Cost Transfer certification change follow.

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ERS COST TRANSFER SUMMARY REPORTERS COST TRANSFER SUMMARY REPORT

$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.

E CT NUM

CTNUM EMPID EMPNAMERPCOD

E

EMP POS#-SUF#

Earning Code

Fund Org Account ProgramENDDAT

EPayroll

ID# 9/12

DEBIT 9/12

CREDIT DEBIT_CASH CREDIT_CASH APPT

E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-08-31 2007SM16 1,310.50 - 982.88 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-08-31 2007SM16 - 873.91 - 655.43 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-08-31 2007SM16 - 436.59 - 327.44 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-09-15 2007SM17 1,310.50 - 982.88 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-09-15 2007SM17 - 873.91 - 655.43 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-09-15 2007SM17 - 436.59 - 327.44 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-09-30 2007SM18 1,710.66 - 1,283.00 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-09-30 2007SM18 - 1,140.70 - 855.53 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-09-30 2007SM18 - 569.96 - 427.47 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-10-15 2007SM19 1,377.19 - 1,032.89 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-10-15 2007SM19 - 918.35 - 688.76 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-10-15 2007SM19 - 458.84 - 344.13 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-10-31 2007SM20 1,377.19 - 1,032.89 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-10-31 2007SM20 - 918.35 - 688.76 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-10-31 2007SM20 - 458.84 - 344.13 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 101xxx 12345 913100 10100 2007-11-15 2007SM21 1,377.15 - 1,032.86 - 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 11000 2007-11-15 2007SM21 - 918.12 - 688.59 9E0092 PRE-1199375710109-00 800003201 Last name, First, I 111507 xxxxxx 10 5xxxxx 12345 911100 40100 2007-11-15 2007SM21 - 459.03 - 344.27 9

1 Last name, First I Total 8,463.19$ 8,463.19$ 6,347.40$ 6,347.38$ 123456

XXSalary Redistribution Total 8,463.19$ 8,463.19$ $XXXXXX $XXXXX

Employees with Salary Redistributions XXBeginning E CT Number E0092

Ending E CT Number E0117

Approval:

3/10/2008Karen J. Farley, Manager, Cost Analysis Date

Approval of Budget and Performance Period:

Deborah Fraser, Manager, Grants and Contracts 3/11/2008Deborah Fraser, Manager, Grants and Contracts Date

2008AP1 Summary

Karen J. Farley, Manager, Cost Analysis

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Name: Doe, John W Employee ID: 123456789 Title: Faculty

SubDept: 12345 Division: XXXX Title Code: XXXX

Effort Status As Of Thu May 01 16:15:40 EDT 2008


Pre Review 2 (Pre Reviewed) Department Administrator 01/03/2008

Certify Y (Effort Form Not Updated) Faculty 01/04/2008

Post Review N

Flag Basic (BAS)

Effort Form As Of Thu May 01 16:15:40 EDT 2008 (Form located in ERSEffort Table)

Payroll Accounts CT

from Pre CS


SubTL % from Pre

Certified Effort CT

from Post CS

from Post Adj. TL $

Adj. TL %

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 N/A N/A $16,925.50 50%

$0.00 0% 5XXXX-12345 Project DEF $0.00 0% $0.00 0% $0.00 0% 0% $0.00 N/A N/A N/A N/A $0.00 0%

$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 N/A N/A $8,463.18 25%

$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 N/A N/A $25,388.68 75%


$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 N/A N/A $8,463.19 25%

$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 N/A N/A $8,463.19 25%

$33,851.87 100% Grand Total: $0.00 0% $0.00 0% $33,851.87 100% 100% $33,851.87 N/A N/A N/A N/A $33,851.87 100%

Notes: EXAMPLE OF CERTIFIED EFFORT FORM WITH COST TRANSFER DUE TO CHANGE IN EFFORT (REDUCTION)

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Solutions to Major issuesSolutions to Major issues6.6. RCT Revised Effort Forms:RCT Revised Effort Forms:• RCT Feature in ERS imports retroactive payroll RCT Feature in ERS imports retroactive payroll

adjustments made in Banner HR so an employee’s adjustments made in Banner HR so an employee’s current or prior certified effort form can be revised if the current or prior certified effort form can be revised if the impact on the effort form is material (>1%). impact on the effort form is material (>1%).

• ERS Central Administrator imports the RCT file into ERS Central Administrator imports the RCT file into Maximus ERS from Banner HR with retro pay Maximus ERS from Banner HR with retro pay transactions on a weekly basis. Each institution transactions on a weekly basis. Each institution determines own schedule (daily, weekly, etc) depending determines own schedule (daily, weekly, etc) depending on volume of retro pay transactions made by Payroll on volume of retro pay transactions made by Payroll Office.Office.

• ERS Central Administrator then issues RCT revised effort ERS Central Administrator then issues RCT revised effort form and sends to Department Administrator (DA) to form and sends to Department Administrator (DA) to complete online PreReview. DA notifies Certifier to complete online PreReview. DA notifies Certifier to recertify effort form due to retro pay adjustments.recertify effort form due to retro pay adjustments.

21

Original Effort Form Copied on 2008-04-24 16:03:28.312 Effort Reporting System

Reporting Period: 021508 (11/16/2007 - 02/15/2008)


Name: Doe, John Employee ID: 123456789 Title: Faculty

SubDept: 12345 Division: 1234 Title Code: XXXX

Effort Status

Review Process Review Flag Completed By Completed At

Pre Review Y Department Administrator 03/18/2008

Certify Y Faculty Certifier 03/28/2008

Post Review N

Flag Basic (BAS)

Effort Form

Payroll Accounts CT

from Pre CS


SubTL % from Pre

Certified CT

from Post CS

from Post Adj. TL $

Adj. TL %

Sponsored Accounts

$17,602.81 37% 5XXXXX-12345 Project ABC $0.00 0% $0.00 0% $17,602.81 37% 37% $17,602.81 $0.00 0% $0.00 0% $17,602.81 37%

$17,602.81 37% Total Sponsored Accounts: $0.00 0% $0.00 0% $17,602.81 37% 37% $17,602.81 $0.00 0% $0.00 0% $17,602.81 37%


$29,832.16 63% 101XXX-12345 Campus Dept $0.00 0% $0.00 0% $29,832.16 63% 63% $29,832.16 $0.00 0% $0.00 0% $29,832.16 63%

$29,832.16 63% Total Non-Sponsored Accounts: $0.00 0% $0.00 0% $29,832.16 63% 63% $29,832.16 $0.00 0% $0.00 0% $29,832.16 63%

$47,434.97 100% Grand Total: $0.00 0% $0.00 0% $47,434.97 100% 100% $47,434.97 $0.00 0% $0.00 0% $47,434.97 100%

Notes: ORIGINAL EFFORT FORM CERTIFIED PRIOR TO RETROACTIVE PAYROLL ADJUSTMENT THAT IMPACTED THE FORM BY MORE THAN 1%

22


This Effort Form is a newly created RCT form. Click here to view the original effort copy.



SubDept: 12345 Division: 1234 Title Code: XXXX

Effort Status As Of Fri May 02 18:36:57 EDT 2008


Pre Review N (Saved)

Certify N

Post Review N

Flag Basic (BAS)

Effort Form As Of Fri May 02 18:36:57 EDT 2008 (Form located in ERSEffort Table)

Payroll Accounts CT

from Pre CS


SubTL % from Pre

Certified Effort CT

from Post CS

from Post Adj. TL $

Adj. TL %

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 N/A N/A $12,000.00 25%

$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 N/A N/A $12,000.00 25%


$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 N/A N/A $35,434.97 75%

$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 N/A N/A $35,434.97 75%

$47,434.97 100% Grand Total: $0.00 0% $0.00 0% $47,434.97 100% N/A N/A N/A N/A N/A N/A $47,434.97 100%

Notes: EXAMPLE OF RCT REVISED EFFORT FORM

23

Solutions to Major issuesSolutions to Major issues7.7. 9/12 conversion for 9 month paid 9/12 conversion for 9 month paid

employees in effort reporting:employees in effort reporting:• In FY08, UNC Charlotte had 64% or 850 of total 1,327 Faculty/EPA In FY08, UNC Charlotte had 64% or 850 of total 1,327 Faculty/EPA

employees on 9 month salary appointmentemployees on 9 month salary appointment

• 9 month Faculty employees are paid on 12 month or 12/12 basis via 9 month Faculty employees are paid on 12 month or 12/12 basis via 24 semi-monthly pay periods at UNC Charlotte24 semi-monthly pay periods at UNC Charlotte

• However, Sponsored Awards budget salary dollar amounts and However, Sponsored Awards budget salary dollar amounts and effort % on a 9 month or 9/12 basis to conform with these employees effort % on a 9 month or 9/12 basis to conform with these employees academic year appointment period. academic year appointment period.

• Therefore, payroll dollar amounts imported into ERS from Banner HR Therefore, payroll dollar amounts imported into ERS from Banner HR must be converted from 12/12 cash basis to 9/12 (aka as accrual 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 basis) for certification on effort forms. This is necessary to achieve consistency in certification of actual effort % compared to consistency in certification of actual effort % compared to budgeted effort % for the sponsored fund activity for 9 month budgeted effort % for the sponsored fund activity for 9 month employees paid on a 12 month basis. employees paid on a 12 month basis.

24

Payroll Details By Transaction Reporting Period: 021508 (11/16/2007 - 02/15/2008)


SubDept: 12345 Division: 1234 Title Code: xxxx

Fund-Org Begin Date End Date Fund Org Account

Code Program Hours

Actual Payroll

DatePaid Appt Converted

Payroll

Non-Effort

Payroll

Effort Payroll

Effort Payroll

%

5XXXX-12345 11/16/2007 11/30/2007 5XXXXX 12345 911100 11000 0.0 $2,400.00 11/30/2007 9 $3,200.00 $0.00 $3,200.00

540589-21900 11/16/2007 11/30/2007 5XXXXX 12345 911100 11000 0.0 $-600.00 11/30/2007 9 $-800.00 $0.00 $-800.00

5XXXX-12345 12/01/2007 12/15/2007 5XXXXX 12345 911100 11000 0.0 $2,400.00 12/14/2007 9 $3,200.00 $0.00 $3,200.00

540589-21900 12/01/2007 12/15/2007 5XXXXX 12345 911100 11000 0.0 $-600.00 12/14/2007 9 $-800.00 $0.00 $-800.00

5XXXX-12345 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 12/16/2007 12/31/2007 5XXXXX 12345 911100 11000 0.0 $-600.00 12/21/2007 9 $-800.00 $0.00 $-800.00

5XXXX-12345 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 01/01/2008 01/15/2008 5XXXXX 12345 911100 11000 0.0 $-600.00 01/15/2008 9 $-800.00 $0.00 $-800.00

5XXXX-12345 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 01/16/2008 01/31/2008 5XXXXX 12345 911100 11000 0.0 $-600.00 01/31/2008 9 $-800.00 $0.00 $-800.00

5XXXX-12345 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

SubTL: $12,000.00 $0.00 $12,000.00 25%

EXAMPLE OF 9 MONTH FACULTY EFFORT FORM PAY DETAIL WITH 9/12 PAYROLL CONVERSION

25

Payroll Details By Transaction Reporting Period: 021508 (11/16/2007 - 02/15/2008)


SubDept: 12345 Division: 1234 Title Code: XXX

Change to All

Fund-Org Begin Date End Date Fund Org Account

Code Program Hours

Actual Payroll

DatePaid Appt Converted

Payroll

Non-Effort

Payroll

Effort Payroll

Effort Payroll

%

101XXX-12345 11/16/2007 11/30/2007 101XXX 12345 911100 10100 0.0 $2,711.12 11/30/2007 9 $3,614.83 $0.00 $3,614.83

101XXX-12345 11/16/2007 11/30/2007 101XXX 12345 913100 10100 0.0 $818.25 11/30/2007 9 $1,091.00 $0.00 $1,091.00

101XXX-12345 11/16/2007 11/30/2007 101XXX 12345 913100 10100 0.0 $600.00 11/30/2007 9 $800.00 $0.00 $800.00

101XXX-12345 12/01/2007 12/15/2007 101XXX 12345 911100 10100 0.0 $2,711.12 12/14/2007 9 $3,614.83 $0.00 $3,614.83

101XXX-12345 12/01/2007 12/15/2007 101XXX 12345 913100 10100 0.0 $818.25 12/14/2007 9 $1,091.00 $0.00 $1,091.00

101XXX-12345 12/01/2007 12/15/2007 101XXX 12345 913100 10100 0.0 $600.00 12/14/2007 9 $800.00 $0.00 $800.00

101XXX-12345 12/16/2007 12/31/2007 101XXX 12345 911100 10100 0.0 $2,711.12 12/21/2007 9 $3,614.83 $0.00 $3,614.83

101XXX-12345 12/16/2007 12/31/2007 101XXX 12345 913100 10100 0.0 $818.25 12/21/2007 9 $1,091.00 $0.00 $1,091.00

101XXX-12345 12/16/2007 12/31/2007 101XXX 12345 913100 10100 0.0 $600.00 12/21/2007 9 $800.00 $0.00 $800.00

101XXX-12345 01/01/2008 01/15/2008 101XXX 12345 911100 10100 0.0 $2,711.12 01/15/2008 9 $3,614.83 $0.00 $3,614.83

101XXX-12345 01/01/2008 01/15/2008 101XXX 12345 913100 10100 0.0 $600.00 01/15/2008 9 $800.00 $0.00 $800.00

101XXX-12345 01/01/2008 01/15/2008 101XXX 12345 913100 10100 0.0 $818.25 01/15/2008 9 $1,091.00 $0.00 $1,091.00

101XXX-12345 01/16/2008 01/31/2008 101XXX 12345 911100 10100 0.0 $1,509.01 01/31/2008 9 $2,012.01 $0.00 $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 01/16/2008 01/31/2008 101XXX 12345 913100 10100 0.0 $600.00 01/31/2008 9 $800.00 $0.00 $800.00

101XXX-12345 01/16/2008 01/31/2008 101XXX 12345 913100 10100 0.0 $818.25 01/31/2008 9 $1,091.00 $0.00 $1,091.00

101XXX-12345 02/01/2008 02/15/2008 101XXX 12345 911100 10100 0.0 $2,711.12 02/15/2008 9 $3,614.83 $0.00 $3,614.83

101XXX-12345 02/01/2008 02/15/2008 101XXX 12345 913100 10100 0.0 $3,218.25 02/15/2008 9 $4,291.00 $0.00 $4,291.00

SubTL: $35,434.97 $0.00 $35,434.97 75%

Total: $47,434.97 $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

26

Other Issues in ImplementationOther Issues in Implementation

• Assigning Department Administration and Assigning Department Administration and Faculty Roles within Effort Reporting Faculty Roles within Effort Reporting SystemSystem

• Determination of who is allowed to certify Determination of who is allowed to certify effort forms at UNC Charlotteeffort forms at UNC Charlotte

• Training on transition from paper based Training on transition from paper based effort certification and reporting to online, effort certification and reporting to online, WEB based effort reporting systemWEB based effort reporting system

• UNC Charlotte ERS Help Desk for Password UNC Charlotte ERS Help Desk for Password resets, training and online assistanceresets, training and online assistance..

27

QUESTIONS ?QUESTIONS ?

CONTACT INFORMATION:

• STEVE SELBYEMAIL: [email protected]

• KAREN FARLEY EMAIL: [email protected]

mailto:[email protected]

mailto:[email protected]

university of north carolina - charlotte implementing a new effort reporting system at a non-medical...

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