Rice University Hyperion Smart View Budget Development Manual January 2016

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Table of Contents 3 Budget Calendar 3 Contacts 4 Budget Office Areas of Responsibility 5 Budget Overview Unrestricted funds and restricted endowment distributions Designated and gift funds Research grants 6 Connecting to Smart View 8 Budgeting Supplies and Expenses and Equipment Step-by-step update process Special cases

F&A, tuition remission, and training grant returns 11 Budgeting Revenues Step-by-step update process Special cases 12 Budgeting Salaries Step-by-step update process Modifying employees

Change Position, Fund, Org, Account, and Move employee to TBN

Unfilled positions and salary reserves TBN employees Move TBN to Employee, Add TBN, Delete TBN Graduate assistant and student assistant reserves 19 Budgeting Salaries – Special Cases Split-funded positions Split-org positions Hourly staff Reallocation between S&E and salary Calculating fringe benefit budgets 22 Tracking Changes – Audit trail 23 Finalizing the budget process Checklist

Completing Budgets Reviewing Budget Totals Additional Reports

What to expect next 26 Field definitions –Salary web forms

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FY 2017 Budget Preparation Calendar

Late December/ Early January

Budget Office trains new users in Hyperion Smart View

January Budget Office does kick-off session and issues budget guidelines

January and February

Schools and divisions update budget records in Hyperion Smart View

March Schools and divisions complete budget updates by February 29, 2016

March and April

Budget review meetings

April Budget Office issues draft salaries for sign off

June Budget Office submits new fiscal year data to Banner and Payroll and the final budget letters are issued

Introduction Welcome to the Hyperion Smart View budget development process. This process allows schools and divisions to log into Smart View for updating budget records for the new fiscal year. This manual provides step-by-step instructions for connecting to the system and logging into the Smart View Excel add-in for updating salary, supplies & expenses and revenue records. Contacts Budget Office Mia Culton, Sr Budget Analyst, Ext. 5987 mculton@rice.edu Donna Gilberg, Sr Budget Analyst, Ext. 5134 dgilberg@rice.edu Sharon Scoppa, Sr Budget Analyst, Ext. 5986 scoppa@rice.edu Office of Vice President for Finance Kathy Collins, VP for Finance, Ext. 5147 kcollins@rice.edu Gerilyn Gordon, Assistant to VP for Finance, Ext. 4193 ggordon@rice.edu

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Budget Office Areas of Responsibility

Mia Culton Baker Institute Boniuk Institute Continuing Studies Dean of Graduate & Postdoctoral Studies Engineering FE&P Jones School Kinder Institute Provost Rice Alliance VP Administration VP Enrollment VP Finance VP Investments VP Strategic Initiatives

Donna Gilberg Athletics BRC General Counsel Humanities Moody Center for the Arts Rec Center Social Sciences (including Economics) Vice Provost Academic Affairs Vice Provost Research Vice Provost Translational Bioscience

Sharon Scoppa Architecture Dean of Undergraduates The Doerr Institute for New Leaders Fondren Library Housing & Dining Natural Sciences Office of Transportation & Parking Shepherd School of Music VP Public Affairs VP Information Technology & CIO VP Development & Alumni Relations

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Overview Schools and divisions are responsible for updating budget records for the new fiscal year. In order to produce a balanced budget, the updated expense records must tie to projected revenues and to amounts given in budget guidelines. Budget updates include:

1. Updating salary records for pay raises, promotions, title changes (only if already approved by HR via RiceWorks), org, fund changes and any other salary administration.

2. Updating non-salary records for changes in account codes and reallocation between orgs.

There are several special cases where the amounts shown in the S&E records must be updated for the new fiscal year amount. (See page 9)

3. Updating revenue records for new fiscal year projections and to match expenses budgeted

in fund groups other than A1. Updated budget records are due to the Budget Office by February 29, 2016. Unrestricted (A1 or A2) and Restricted Endowment (H) Funds Budgeting of unrestricted (A1 or A2) and restricted endowment (H) funds is required. Budget preparations begin with guidelines issued by the Budget Office for all schools and divisions. The guideline tables reflect total available A1, A2 and H funds for the new fiscal year by department in categories of faculty salaries, staff salaries, graduate research and teaching assistants, student assistants including graduate stipends, fringe benefits, S&E, equipment, restricted endowment distributions and departmental revenues. The guidelines incorporate base transfers and adjustments that occurred during the current year. The new fiscal year budget records supported by unrestricted funds must reconcile to the guideline totals provided by the Budget Office. The endowment expenses must match the new fiscal year distribution. The Treasurer's Office will release the new fiscal year endowment distribution amounts in March. The amount budgeted includes a percentage increase or decrease from the prior year and activation of new gifts to endowment. The Budget Office will incorporate the endowment updates and issue budget reports to each school and division to review. Designated (D) and Gift (G) Funds As a general principle, schools and divisions are expected to incorporate designated and gift funds into their budget plans, consistent with fund restrictions. Rice requires budgeting of designated and gift funds when payroll costs are supported (in full or in part) by the funds and in those units and programs where designated or gift funds constitute the full or major resources of the organization. When budgeting designated or gift funds, there must be a companion record for new revenues or use of fund balance to cover the expenses budgeted from these funds. Research (R) Grants Budgets for research grants are not part of this process (unless an employee paid from an R fund is split funded with another non-R fund). Research Accounting handles them separately.

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Totals at the bottom of the data are updated upon submit and refresh. Note: If you refresh your data prior to submitting it, all changes will be lost. You must submit your changes prior to refreshing. These forms allow for entry of accounts and/or funds not already listed. Prior to adding a new account, be sure to submit any changes you have made thus far, or you will lose them upon new account entry. To enter a new account, do the following: Right-click and navigate to Smart View in the menu. Select Add SE Account Complete the information in the Run Time Prompts fields (be sure to scroll down). Select OK (a business rule launches and the account should appear) Equipment is budgeted in the second tab of the Excel workbook. When adding a new account, follow steps above, but select “Add Equipment Account”. Returns to Schools – Review in Smart View F&A, Tuition Remission, and Training Grant returns will be budgeted centrally by the Budget Office, based on the PI Credit Report provided by Research Accounting. This data can be reviewed within Smart View by expanding: Forms – Departmental Use – Returns for Departments The webworms for review are:

Summary of F&A byOrg_Div Summary of Training Grants_byOrg_Div Summary of Tuition Remission_byOrg_Div

The return amounts will also appear in the S&E web form under the appropriate account codes (73900, 73910, 71240). Budgeting Revenues The update process for revenue is the same as the S&E update process. This applies to departments that budget revenues from internal sales or external sources. The Budget Office will update the revenue records for amounts received through distributive charges. Updates will be shown in the revenue form under account 58050. Expenses budgeted in A2, D, G, H and R funds must have revenue records to support the expenses.

Use account code 85100 to budget fund balances.

Match totals against guideline amount.

Any reduction from the guideline revenues (from A1 or A2 sources) must be offset by a reduction in expenses.

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In those areas where A1 revenues are expected to be higher than the guideline amount, there needs to be a discussion with the Budget Office before adjustments are made. In most cases, the expense budget will increase by the amount of the revenue increase. Special Cases Graduate tuition revenue records must be updated to reflect enrollment projections and new tuition rates. Updating Revenue and Internal Sales (and Transfers) - Smart View To budget revenue and internal sales, click on the plus sign next to Departmental Use, then the plus next to Revenue. There are two types of forms (composite and Ad Hoc). The composite forms show all orgs and accounts. Update any of the yellow fields for base or one-time funds. For changes to be retained, you must use “Submit Data” in either the Planning or Smart View menu located at the top of the Excel sheet. Totals at the bottom of the data are updated upon submit and refresh. The Ad Hoc forms show the same information, but allow filtering on the org, fund or revenue account that cannot be performed on the regular data forms. This is beneficial for large schools and divisions so that the user can look at a smaller data set or department-specific budget. These forms allow for entry of accounts and/or funds not already listed. Prior to adding a new account, be sure to submit any changes you have made thus far, or you will lose them upon new account entry. To enter a new account, do the following: Right-click and navigate to Smart View in the menu. Select Add Revenue Account Complete the information in the Run Time Prompts (be sure to scroll down). Select OK (a business rule launches and the account should appear) Internal Sales is budgeted in the second tab of the Excel workbook. When adding a new account, follow steps above, but select “Add Internal Sales Account”. Transfers are budgeted in the same tab as Revenue. Budgeting Salaries The salary administration process includes increasing salaries and updating position information. (e.g., for proposed changes in title, grade (must still go through the HR approval process) or FTE status, and funding source – fund, org and account). Key in updates:

a. Fill in recommended Base salaries for salaried employees (Exempt). b. Fill in New Pay Rate for B2 (hourly) staff ONLY (if any) – Please note this rate

is required for non-exempt employees. The Base salary will be calculated on these employees.

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d. Fill in New FTE for changes in FTE (if any) * d. Adjust Fund, Org, Account codes (if necessary) * e. Insert TBN lines for vacant positions and key in salary budgets (if any) f. Insert lines for faculty or staff salary reserves and pools (if any) g. Insert lines for Student Assistant salary reserves and pools (if any)

h. Add back lines for positions paid on STD or LTD (if any)

All changes in FTE, Fund, Org, Account Code, Grade, Title, and Position number require a PA form, to be effective in Banner Payroll. This includes any changes in labor distribution percentage allocations.

The changes keyed on the budget template are for budget letter reports only. Before the final letters are issued, the grade and title of positions will be updated from Banner NBAPOSN file and will reflect only the changes that have been processed and approved through RiceWorks and PAs.

FTE column should be filled ONLY if there is a change in current FTE. Base column - This salary should be the salary amount supported by the stated org, fund, and account.

Please check account codes (see pg. 23, sections 1 and 5). Faculty on sabbatical or leave will have different account codes that need to be updated for the new fiscal year. The account codes drive the fringe calculations in Banner. Note: Faculty returning from sabbatical requires completion of a PAF. Faculty going on leave must complete a leave form.

Combined Salary column is a calculated field. It will be the sum of all records for a given position. New Pay Rate column MUST be filled for non-exempt (hourly) positions with Employee Class of 9B, HF, HO, HP, H9, HS OR HT. Confirm that amounts budgeted for salaries match the salary amounts on the guidelines. a. Amounts budgeted for faculty and staff salaries must tie in total to the guidelines.

b. If necessary, shifts can be made between faculty and staff salaries and student salaries and stipends. Transfers out of the student category must accommodate the higher fringe rate on faculty and staff positions.

Note: The federal minimum wage increased to $7.25 per hour effective 7/24/2009. Updating Salaries – Smart View For salaries, click on the plus sign next to Departmental Use, then the plus next to Salary. You will see a list of data forms (below).

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Reallocation between S&E and salary Within a fund, the budget from one expense category can be reallocated to another. When converting S&E dollars into salary funds, fringe benefits must be covered. For example: if $1,000 of staff salary dollars are needed and brought from S&E, the S&E budget must be reduced by $1,000 plus the fringe amount. A fringe rate of 25.6% will require $1,256 in S&E dollars to create $1,000 additional salary funds. For A1 funded budgets, fringe benefit dollars are not convertible. For example, if $1,000 of S&E funds is converted from staff salary reserve, the staff salary reserve will be reduced by $1,000 and the associated fringe budget will be removed from the department budget. Different fringe rates apply for faculty, staff and students. The student rate covers hourly wages for graduate assistants and student assistants as well as stipends paid to graduate stipends. A tuition

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The fund, org, account code and budget amounts are necessary for reporting student salary budgets. 6. Revenue budgets must accompany any A2, D, G, and R expense budget. The total revenues should account for fringe benefits. 7. Budgets should match Guideline totals for the division or school. 8. Submit a PAF for:

Changes in title, grade, classification or FTE, as well as corresponding changes in pay (Please note: Prior to submitting a PAF, changes to title, grade or classification for staff must be submitted to HR for review via RICEWorks first.)

One-time payments/bonuses (departments should use the online form rather than the PAF in most circumstances)

After salary sign-off, any changes to proposed salaries submitted via the Budget Load will require a PAF

Pay increases retroactive to July 1, 2016 for staff completing their probationary periods Reappointments for positions with end dates prior to July 1, 2016 Faculty going on sabbatical (Leave form is required) Faculty returning from sabbatical (PAF form is required) Staff going on leave (Leave form is required) Staff returning from leave (PAF is required) Pay changes for employees in pooled positions (pooled positions are not loaded

through the Budget Load process) Conversion of individual from pooled to unique position number New College Masters only (returning Masters are set up via the budget load) Pay changes for employees 100% funded on research grants (these are not part of

the budget load process)

Completing Budgets Once budgets are complete, the overall totals for Salaries, S&E and Equipment and Revenues must balance to the budget guidelines for the division or school. Match category totals (such as faculty, staff, s&e) to guideline categories unless funds have been reallocated between them. Such reallocations should be emailed to the Budget Office. Reviewing Budget Totals – Smart View To review budget totals, click the plus next to Forms, click the plus next to Departmental Use, click the plus next to Review Forms. Once Review Forms is expanded, you will see the following forms:

Consolidated Budget Totals Guideline Variances Guideline Variances – All

26

The Guideline Variances form will show you 3 rows of data: Draft1 category totals (the sum of your FY 2017 budget data), Guideline1 category totals (the sum of the FY 2017 budget guidelines to tie to), and Guideline Variances, which is the delta between the two rows by category. Before reviewing the totals, make sure to aggregate the budget data. To do this, open the Guideline Variances form. Once open, go to the Planning tab at the top of the sheet. Click the menu option “Calculate”, and select “Rules on Form”. A box will open. First, aggregate the WF (workforce) business rule, “Rounding Departmental Salary Calc”. Complete the Run Time Prompts and Launch the rule. Once the WF agg is complete, run the Core database aggregation. Select and launch the rule called “Agg DivSet – Core”. Your totals in the Guideline Variances form should be refreshed. If there are any variances, you will need to review your line item budgets to see what might need to be fixed or updated. The Guideline Variances – All form shows the same information as the Guideline Variances form, but breaks the division total into separate Div/Set totals if applicable. The Consolidated Budget Totals are displayed in a format that looks like the summary budget letter. This form requires the same database aggregations for WF and Core. Be sure to refresh after running the business rules for aggregation. The consolidated form will show all budgeted fund types: A1, A2, D, G, H, R. It also shows any budgeted one-times funds. Additional Reports Additional reports have been added to assist with review of fund balances for D, G and H funds. These reports will be as current as the last closed month for the current (FY16) fiscal year. They are:

D Fund Balance Reports G Fund Balance Reports H Fund Balance Reports

To access these reports, navigate to the Reports folder and click the plus sign. This will expand the folder. Double-click the desired report, or right-click and select Open Form. What to expect next A. Budget Hearings in March and April B. Salary detail reports for sign off (April) C. Final budget letters (June) Once budgets are complete, the Budget Office reviews against the guidelines. Restricted endowment distributions for the new fiscal year are incorporated from the Treasurer's Office files. Draft Salary Detail reports will be printed and sent for approval and sign off. After sign-off, all changes must be submitted through a PAF. Final budget letters will be printed and distributed in June.

27

Field (column) Definitions For Faculty & Staff Forms

Org- Org code the salary is charged to Employee – Employee ID and name of individual faculty or staff member Position – Position and current job title Fund- Fund code the salary is charged to Account code the salary is charged to Employee Class - Employee class codes: 9B 9 Month Hourly Employees (B2) HN Professional Svcs, Etc. (SM) 9S 9 Month Salaried Employees(SM) HO Non regular, hourly (B2) DS Disability - Employees (DS) HP Regular, Hourly Part-time (B2) EM Emeritus Faculty (AJ) HS 12 Month hourly shift eligible (B2) F1 Faculty Fellows (SM) HT 12 Month hourly shift pooled (B2) F2 DO NOT USE; Faculty < 9 Mo. (SM) RE Retired Employees (AJ) F3 Paid Faculty, Non-Ten/Ten Track (SM)) RS Students w/Stipend/Fellowship (GR) FA Faculty-Tenured & Tenure-Track (SM) RT Work Study Students (B1) FJ Adjunct, Unpaid Faculty (AJ) RW Rice Work Students (B1) FO Active unpaid faculty (AJ) SC Complimentary Staff (No salary) FV Visiting Faculty SF Salaried Full-Time (SM) H9 9 Month hourly shift eligible (B2) SO Non regular, salaried (SM) HF Regular Hourly Full-time (B2) SP Regular, Salaried PT (SM) PayGrade - Position grade FTE - Full time equivalent New FTE – Full time equivalent (update if necessary for new fiscal year) SplitPercent - Percent of salary paid from the fund/org/acct listed Pay Rate – Current hourly pay rate New Pay Rate - blank for new FY entry (applies to all hourly emp class staff only) Combined Salary - blank for new FY entry (will be calculated during daily batch process) Current % Increase- (calculated daily during batch process) Percent increase from prior year salary to current annual salary Base – for new fiscal year entry – populated with current annual salary (salary supported by the stated org and fund) Current Annual Salary - Annual salary at the time of download BLSort- Budget Office use only (used for ordering budget letters)