Appointing and Appointing and Monitoring PersonnelMonitoring Personnel

March 8, 2006March 8, 2006

Questions before the AppointmentQuestions before the Appointment

Who will be working on the project?Who will be working on the project? Are they in the budget?Are they in the budget? What is the procedure for getting them paid?What is the procedure for getting them paid? Will the personnel be appointed to a clearing Will the personnel be appointed to a clearing

department?department? Does the Graduate Assistant Qualify for a Does the Graduate Assistant Qualify for a

Tuition Waiver?Tuition Waiver?

Qualifications for Qualifications for Tuition RemissionTuition Remission

Must be appointed by an academic Must be appointed by an academic unit or on a 1X5 department for .5 unit or on a 1X5 department for .5 FTE FTE

Must be appointed for the entire Must be appointed for the entire semester (may be appointed from semester (may be appointed from multiple academic or 1X5 multiple academic or 1X5 departments) from the first day of departments) from the first day of classes to the last day of final examsclasses to the last day of final exams

Must be enrolled in 6 hoursMust be enrolled in 6 hours

Account/Job Code for Account/Job Code for Graduate Student ClassificationGraduate Student Classification

Account Code 632505 (Tuition Remission)Account Code 632505 (Tuition Remission)

Job Codes:Job Codes:• 1777- Graduate Research Assistant (Qualified)1777- Graduate Research Assistant (Qualified)• 1778- Graduate Teaching Assistant (Qualified)1778- Graduate Teaching Assistant (Qualified)

Account Code 637005 (No Tuition Remission)Account Code 637005 (No Tuition Remission)

Job Codes:Job Codes:• 1760- Graduate Research Assistant (Nonqualified)1760- Graduate Research Assistant (Nonqualified)• 1783- Graduate Teaching Assistant (Nonqualified)1783- Graduate Teaching Assistant (Nonqualified)

Tips for the Appointment ProcessTips for the Appointment Process

Work with Department AdministratorWork with Department Administrator Prepare Personnel Action Form (PAF)Prepare Personnel Action Form (PAF) Submit PAF Submit PAF before deadlines!before deadlines!

TIPS

What Post Award Services Looks What Post Award Services Looks For on Personnel Action FormFor on Personnel Action Form

Department NumberDepartment Number Job Title & CodeJob Title & Code FTEFTE Rate of PayRate of Pay GRA Qualified or Non GRA Qualified or Non

QualifiedQualified

Account CodeAccount Code Begin DateBegin Date End DateEnd Date SignaturesSignatures

Monitoring PersonnelMonitoring Personnel PI ResponsibilityPI Responsibility

• Report hours worked for hourly employeesReport hours worked for hourly employees• Report paid, holiday, and other leave for all Report paid, holiday, and other leave for all

employeesemployees• Prepare extensions (e-mail if no change)Prepare extensions (e-mail if no change)• Prepare terminationsPrepare terminations• Prepare payroll correctionsPrepare payroll corrections• Distribute clearing department personnel, if Distribute clearing department personnel, if

applicableapplicable• Review, approve and submit “Confirmation of Review, approve and submit “Confirmation of

Direct and Contributed Labor” ReportDirect and Contributed Labor” Report

Monitoring Personnel, cont. Monitoring Personnel, cont.

PI Responsibility, cont.PI Responsibility, cont.• Notify ORS about changes in PI or Key Notify ORS about changes in PI or Key

PersonnelPersonnel

OMB Circular A-110 requires prior approval OMB Circular A-110 requires prior approval forfor

• 25% or greater reduction of effort for PI 25% or greater reduction of effort for PI or other key personnelor other key personnel

• Absence of PI for more than three monthsAbsence of PI for more than three months

Monitoring Personnel, cont.Monitoring Personnel, cont.

Post Award Services ResponsibilityPost Award Services Responsibility• Review PAF forReview PAF for

Availability of fundingAvailability of funding Allowable term of appointmentAllowable term of appointment Consistent job title, FTE, and account codeConsistent job title, FTE, and account code Verify GRA Qualifies for Tuition WaiverVerify GRA Qualifies for Tuition Waiver

• Approve and forward PAFApprove and forward PAF• Prepare “Confirmation of Direct and Prepare “Confirmation of Direct and

Contributed Labor” ReportContributed Labor” Report

Discussion QuestionsDiscussion Questions

1)1) Do I need to prepare a Do I need to prepare a termination PAF if I put the termination PAF if I put the end date on the original end date on the original PAF?PAF?

2)2) Do I need to prepare an Do I need to prepare an extension PAF for an extension PAF for an employee that will continue employee that will continue working on grant?working on grant?

Discussion QuestionsDiscussion Questions

3) What do I do if a GRA is 3) What do I do if a GRA is suppose to be receiving a suppose to be receiving a waiver and they are not on the waiver and they are not on the waiver list?waiver list?

4) What account code do I use for 4) What account code do I use for a non-qualified GRA?a non-qualified GRA?

5) What account code do I use for 5) What account code do I use for a qualified GRA?a qualified GRA?

Effort ReportingEffort Reporting

What is Effort Reporting?What is Effort Reporting?

Effort Reporting is the after-the-fact Effort Reporting is the after-the-fact confirmation of labor time spent on confirmation of labor time spent on all activity and expressed as a all activity and expressed as a percentage of total time.percentage of total time.

Why must I do effort reporting?Why must I do effort reporting?

Required by OMB Circular A-21, Required by OMB Circular A-21, Section J.10Section J.10

Salaries represent single largest item Salaries represent single largest item of expenditureof expenditure

Provides sponsors assurances that Provides sponsors assurances that effort is devoted to the projecteffort is devoted to the project

Who must confirm effort?Who must confirm effort?

A-21 states that effort may be A-21 states that effort may be confirmed by a responsible person confirmed by a responsible person with suitable means of verification with suitable means of verification that work was performed.that work was performed.

• Principal InvestigatorPrincipal Investigator• SupervisorSupervisor

How often must I confirm effort?How often must I confirm effort? The University of Oklahoma requires the The University of Oklahoma requires the

effort be confirmed once a montheffort be confirmed once a month Confirm and return to Post Award Services Confirm and return to Post Award Services

as soon as possible, preferably within 5 as soon as possible, preferably within 5 working daysworking days

Failure to return confirmation report Failure to return confirmation report violates PI’s responsibility and could result violates PI’s responsibility and could result in grant/contract being suspended by the in grant/contract being suspended by the UniversityUniversity

SRI will not be returned to departments SRI will not be returned to departments with delinquent effort reportswith delinquent effort reports

Tips on Effort ReportingTips on Effort Reporting

Make sure reports are confirmed and Make sure reports are confirmed and signed by someone with first-hand signed by someone with first-hand knowledgeknowledge

Confirm actual effort rather than Confirm actual effort rather than proposed effortproposed effort

Make sure cost shared effort is Make sure cost shared effort is confirmedconfirmed

Return in a timely mannerReturn in a timely manner

Tips on Effort ReportingTips on Effort Reporting

Total effort for each individual cannot Total effort for each individual cannot exceed 100 percentexceed 100 percent

Faculty effort must take into Faculty effort must take into consideration teaching, service and consideration teaching, service and committee commitmentscommittee commitments

Effort exceeding research Effort exceeding research appointment (usually 40 percent) appointment (usually 40 percent) requires release time from other requires release time from other dutiesduties

Confirmation ReportConfirmation Report Direct LaborDirect Labor - - Actual payroll expenditures Actual payroll expenditures

charged to sponsored agreement.charged to sponsored agreement. Contributed Direct LaborContributed Direct Labor - - Cost Shared Cost Shared

effort. This is considered documented effort. This is considered documented when the PI signs. Usually paid from the when the PI signs. Usually paid from the academic unit department academic unit department

ConfirmationConfirmation - When the PI signs - When the PI signs he/she is confirming the above effort he/she is confirming the above effort is accurate. is accurate.

Confirmation ReportConfirmation Report

NOTENOTE: Supplemental Pays, Clearing : Supplemental Pays, Clearing Departments and Payroll Expenses Departments and Payroll Expenses Transfers are not listed on report. Transfers are not listed on report. They have been previously confirmed They have been previously confirmed by your after-the-fact signature on by your after-the-fact signature on the:the:• Supplemental Pay FormSupplemental Pay Form• Clearing Department DistributionClearing Department Distribution• Payroll Expense Transfer FormPayroll Expense Transfer Form

Discussion QuestionsDiscussion Questions

1.1. What am I confirming? What am I confirming?

2.2. What do I do if I find an error on What do I do if I find an error on the Labor Confirmation Report?the Labor Confirmation Report?

3.3. May I process a Payroll Expense May I process a Payroll Expense Transfer after I have signed the Transfer after I have signed the Confirmation Report?Confirmation Report?

4.4. What is the 1% effort under What is the 1% effort under Contributed Direct Labor?Contributed Direct Labor?

Payroll OverpaymentsPayroll Overpayments

Payroll OverpaymentsPayroll Overpayments

Payroll overpayments are Payroll overpayments are unallowable costs on a sponsored unallowable costs on a sponsored agreement.agreement.

Must be reimbursed within 60 days of Must be reimbursed within 60 days of the overpayment.the overpayment.

If not reimbursed within 60 days, If not reimbursed within 60 days, Post Award Financial Services will Post Award Financial Services will transfer the overpayment to the transfer the overpayment to the responsible academic department.responsible academic department.

Repayment MethodsRepayment Methods

Method 1Method 1 – Withholding of – Withholding of overpayment from a future payroll overpayment from a future payroll period(s).period(s).• PI or Departmental Administrator must PI or Departmental Administrator must

notify Post Award Financial Services of notify Post Award Financial Services of which future payroll period(s) the which future payroll period(s) the reimbursement will be withheld.reimbursement will be withheld.

• Payroll will reimburse the sponsored Payroll will reimburse the sponsored agreement for the overpayment.agreement for the overpayment.

Repayment Methods, cont.Repayment Methods, cont.

Method 2Method 2 – Cash, Check or Money Order – Cash, Check or Money Order• Made payable to the University of Oklahoma.Made payable to the University of Oklahoma.• Send reimbursement to Payroll.Send reimbursement to Payroll.• Notify Post Award Financial Services that Notify Post Award Financial Services that

reimbursement was sent to Payroll.reimbursement was sent to Payroll.• Financial Support Services will reimburse the Financial Support Services will reimburse the

sponsored agreement by JV when tax sponsored agreement by JV when tax withholdings are received from the State.withholdings are received from the State.

Payroll OverpaymentsPayroll Overpayments

For either method, if the For either method, if the reimbursement occurs after Post reimbursement occurs after Post Award Financial Services has moved Award Financial Services has moved the overpayment to the responsible the overpayment to the responsible department; the reimbursement will department; the reimbursement will be transferred to the responsible be transferred to the responsible department.department.