WELCOME TO PAYROLLPERSONNEL SYSTEM POLICY TRAINING 0402

1
WELCOME TO PAYROLL/PERSONNEL SYSTEM POLICY
TRAINING 04/02

• Dawn Thomas
• Human Resources

University of California Riverside
2
Introduction

• The purpose of this training session is to
  demonstrate how to use the resources you will
  need to perform Payroll/Personnel System (PPS)
  transactions accurately.
• You will also be shown how to appropriately
  interpret and apply policies relevant to the
  update feature of the Payroll/Personnel System
  (PPS)
• During this training you will be exposed to a lot
  of information
• The important thing is that you know how to
  access the information you need to update PPS

3
Introduction (Continued)

• This workshop has been designed to include
  presenters from central units that have direct
  involvement with the payroll/personnel system.
• Their role in this workshop is to provide you
  with an introduction of your responsibilities in
  interpreting and applying policy information.

4
Schedule

• Morning
• Staff Personnel Policies Dawn Thomas, Human
  Resources
• Benefits - Theron Lyon, Benefits
• Break
• Graduate Student Appointments - Karen Smith,
  Graduate Division
• Accountability, Responsibility and Controls
  Beth Clarke, Audit and Advisory Services
• Afternoon
• Academic Personnel Policies - Kathy Reed,
  Academic Personnel

5
Resource Material

• Your handouts include
• A complete outline of all information reviewed
  during the training
• HR Department Contacts
• Homework (optional)
• Evaluation

6
STAFF PERSONNEL POLICY

• Dawn Thomas
• Human Resources

University of California Riverside
7
Introduction

• Our goal for this training session is to show you
  how to access the HR policy information you will
  need as a PPS preparer.
• We will be showing you how to use a variety of
  resources to appropriately interpret and apply HR
  policies and local procedures.

8
Resources

• HRs World Wide Web site
• Personnel Policies for Staff Members and
  corresponding UCR Local Procedures
• Collective bargaining agreements
• Online Title and Pay Plan at
• http//famisdev.ucr.edu/tpp/owa/tpp_main.mainPage
• PPS help screens (F1)
• HR and other campus contacts

9
Types of Employees

• Non-represented employees
• Personnel Policies for Staff Members and
  corresponding UCR Local Procedures (title unit
  code 99)

10
Types of Employees (Continued)
Represented Employees

• Clerical unit (CX)
• Service unit (SX)
• Technical unit (TX)
• Research support unit (RX)
• Skilled crafts unit (K5)

• Police Officers (PA)
• Nurses (NX)
• Health care professionals (HX)
• Patient care technical unit (EX)

11
Types of Appointment

• Career
• Limited (replaces casual appointment)
• Casual-Restricted (UC students only)
• Contract
• Partial-Year Career
• Per Diem (seldom used on this campus)

12
Limited/Career Appointment

• Effective 1/1/2001, a limited appointment is an
  appointment established at any percentage of
  time, fixed or variable, which is expected to
  continue for less than 1,000 hours in a rolling
  12 month period.
• A limited appointment will be designated as a
  career appointment when the incumbent has
  attained 1,000 hours of qualifying service in any
  12 consecutive months without a break in service
  of at least 120 consecutive calendar days.

13
Limited/Career Appointment Continued.

• Qualifying service includes all time on pay
  status (includes sick leave, extended sick leave,
  vacations, CTO, military leave with pay,
  administrative leave with pay, and holidays) in
  one or more limited appointments (does not
  include time on pay status in casual restricted,
  per diem, by agreement, contract appointments) at
  the University.
• Career designation will be effective the first of
  the month following attainment of 1,000 hours of
  qualifying service.
• Once career status is attained, there is no
  requirement to maintain a minimum number of hours
  on pay status.

14
Exempt Status

• Exempt
• Non-Exempt

15
Types of Compensation Programs

• Merit-Based
• Open salary ranges
• Merit increases annually based on performance
  (any amount)
• No automatic increases
• One merit date for all (usually October)

16
Types of Compensation Programs (Continued)

• Step-Based
• Represented employees only
• 4 or 5 salary steps for each classification
  narrow ranges
• Merit increases annually based on performance
  (1/2 step, 1 step, 1 1/2 steps)
• Automatic increases (range adjustments)
• Merit date varies by bargaining unit

17
Next Salary Review Date Exercise

• An employee is hired as a full-time career
  Administrative Assistant II (title code 4723) on
  February 1, 2001. What would his/her next salary
  review date be?

18
Limited Status Exercise

• An employee is hired as a full-time limited
  Administrative Specialist February 1, 2001. The
  employee reaches 800 hours in July 2001 and
  separates July 22. The employee begins a new
  limited, full-time appointment on August 15 (54
  days later). Does the employees hours start over
  with the new position?

19
Probationary Period End Date Exercise

• A full-time, career Administrative Analyst is
  hired June 1, 2001. What is the employees
  probationary period end date?

20
Leave Accrual Code Exercise

• What is the appropriate leave accrual code to
  enter on the EAPP screen for a full-time, career
  SX employee with 11 years of qualifying service?

21
Reclassification Salary Exercise

• A career Programmer/Analyst I (7278) is
  reclassified to a Programmer/Analyst II (7277)
  effective October 1, 2001. Her monthly salary
  prior to the reclassification is 3,300. What
  should her new monthly salary be as of October 1,
  2001?

22
Where To Get More Information

• Web site http//humanresources.ucr.edu
• Sue Anderson, x3145, sue.beckstrom_at_ucr.edu
• Holly Evans, x3237, holly.evans_at_ucr.edu
• Cynthia Seneriz, x2464, cynthia.seneriz_at_ucr.edu
• Laura Stansbury, x2463, laura.stansbury_at_ucr.edu
• Dawn Thomas, x5440, dawn.thomas_at_ucr.edu
• Labor Relations x3641 or x3196 (Tony, Jadie, and
  Nini)

23
BENEFITS POLICY

• Theron Lyon
• Human Resources

University of California Riverside
24
Introduction

• This segment of the presentation is intended to
  review certain benefits policies pertinent to the
  update feature of the Payroll/Personnel System
• Topics for this segment include Benefits
  Eligibility Level Indicator (BELI) and
  Retirement/Social Security

25
Benefits Eligibility Level Indicator

• Assigned BELI (entered)
• Derived BELI
• Status Qualifier Code (entered)

26
BELI (Continued)

• How to assign BELI codes (page 1 of handout)
• How to assign Status Qualifier codes (page 2 of
  handout)
• Change of Appointment or Paid Time (page 3 of
  handout)
• New Casual to Career rules.

27
Exercises

• A department hires an employee to work full time
  indefinitely, but for funding purposes the
  appointment time is stated for just 11 months at
  100 time.
• What BELI codes would you assign?
• What BELI codes are visiting title codes reserved
  for?

28
Retirement/Social Security

• University of California Retirement Plan (UCRP)
• Defined Contribution Plan (DCP)
• Social Security

29
Retirement/Social Security Codes

• Retirement codes (Page 4 of handout)
• Social Security codes (Page 5 of handout)

30
Helpful Hint

• Career appointments being reduced to casual with
  no break in service retain their retirement and
  FICA coding.

31
Where To Get More Information

• Web site http//humanresources.ucr.edu/
• Section 89 - Procedures Manual and Benefits at a
  Glance
• Theron Lyon, 4766 x1434, theron.lyon_at_ucr.edu
• Benefits Office, 4766
• Payroll Office, 3307

32
GRADUATE STUDENT APPOINTMENTS

• Karen Smith
• Graduate Division

University of California Riverside
33
Introduction

• We will be reviewing the policies and academic
  titles relating to graduate student employment
• Definition of a graduate student
• UC Student Status Codes
• Employment Limitations

34
Introduction (Continued)

• Academic Student Titles
• Eligibility Criteria
• Fee Remissions
• Resources

35
Definition Of A Graduate Student

• Graduate student degree programs
• Ph. D.
• M.A./M.S
• MBA

36
UC Student Status Codes

• Graduate student (Option 4)
• Not registered degree candidate (Option 2)
• Graduate student at another UC campus (Option 7)
• Not registered degree candidate at another UC
  campus (Option 5)

37
Employment Limitations

• Maximum percent of time 50
• Exceptions are made by the Graduate Division
• DCP and Medicare deductions if enrolled in less
  than 6 units
• Deduction total about 9

38
Academic Student Titles

• Title Codes GSHIP NONGSHIP
• Teaching Assistant (TA) 2310 2311
• Teaching Fellow 2300
• Associate In 1506 1507
• Graduate Student
• Researcher (GSR) 3276 3266
• Reader 2850 2851

39
Eligibility Criteria

• TAs, Teaching Fellows, Associate Ins
• Cumulative GPA 3.25
• 7 units of Incomplete grades or less
• Must be making acceptable progress

40
Eligibility Criteria (Continued)

• SPEAK test for non-native speakers of English
• Conditional pass is 40, 45 (students must work
  with the Learning Center)
• 50 and above clear pass
• 18 quarter limit in these titles

41
Eligibility Criteria (Continued)

• Graduate Student Researcher
• Cumulative GPA 3.00
• 7 units of Incomplete grades or less
• Must be making acceptable progress

42
Eligibility Criteria (Continued)

• Steps used at UCR
• Step 2 -First three quarters as a graduate
  student
• Step 3 - Beginning of 4th quarter (or July 1 if
  employed in Summer)
• Step 4 - The day after advancement to candidacy
  for Ph.D.

43
Fee Remissions

• Graduate Student Health Insurance Premium (GSHIP)
  and Partial Fee Remission (PFR)
• If employed in above titles at 25 or more for
  the full quarter
• Nonresident Tuition Remission
• Assessed to students who are not California
  residents

44
Fee Remissions (Continued)

• Employed as a GSR at 45 for the full quarter
• Note Students employed in teaching title codes
  are not eligible
• Must be pursuing the Ph.D. degree
• Contact Ruth Douglas by memo so remissions are
  credited in the Student Information System

45
Resources

• Student Information System (SIS)
• Screen 183 degree summary
• Screen 148/048 holds and comments
• Graduate Student Employment Manual
• Web Site http//www.graddiv.ucr.edu/

46
Summary

• Graduate students are limited to 50 time
• Must get approval for exceptions before entering
  appointment on PPS
• Students must be in at least 12 units to be
  eligible for employment in the academic student
  titles
• Contact Ruth Douglas for fee remission information

47
Exercise

• What is the maximum number of quarters a graduate
  student can work in teaching title codes?

48
Graduate Division Contacts

• Linda Scott, x3315, linda.scott1_at_ucr.edu
• Karen Smith, x3315, karen.smith_at_ucr.edu
• Ruth Douglas, x4139, ruth.douglas_at_ucr.edu

49
ACCOUNTABILITY, RESPONSIBILITY AND CONTROLS

• by
• Beth Clarke
• Audit and Advisory Services

University of California Riverside
50
What is Accountability?

• Accounting for ones actions
• Doing the right things right
• Following the rules
• Exercising sound judgment

51
Why the Need for New Systems?

• Reduced budget/fewer staff
• Heightened public awareness
• A changing political environment

52
Ongoing Management Initiatives

• Significant reengineering activity
• Increased focus on teams and processes
• High reliance on information technology

53
Empowerment

• Localized decision making
• Simplified processes
• Support for innovation

54
Internal Control

• Process effected by an entitys management and
  staff, designed to provide reasonable (not
  absolute) assurance regarding the achievement of
  objectives in
• effectiveness and efficiency of operations
• reliability of financial reporting
• compliance with applicable laws and regulations

55
Principles of Controls

• Personnel should have competence and integrity
• Staff selection
• Staff training and certification
• Academic leadership training and certification
• No incompatible functions separation of duties
• PPS requires assignment of primary preparers
  different from mandatory reviewers

56
Principles of Controls (Continued)

• Authorization for transactions issued by persons
  acting within their authority
• Job description
• Statutory and regulatory environment
• Policy and procedures
• Standards of business conduct
• Good business practices

57
Principles of Controls (Continued)

• Transactions recorded in proper amounts
• Access limited to authorized users
• Independent comparison with recorded
  accountability
• DOPE review by someone other than the preparer

58
Principles of Controls (Continued)

• Other Controls
• Performance evaluation
• A strong audit program
• Goal setting, measurement, and feedback

59
What Internal Controls Can Do

• Help an entity achieve its performance and
  profitability targets, and prevent loss of
  resources. (UC not profit-oriented but more on
  cost controls.)
• Help ensure reliable financial reporting.

60
What Internal Controls Can Do (Continued)

• Help ensure that the entity complies with laws
  and regulations, preserving its reputation and
  avoiding adverse consequences.
• In summary, they can help an entity to get where
  it wants to go, and avoid pitfalls and surprises
  along the way.

61
Responsibilities

• For correct payroll information is shared by the
  preparer and reviewer.
• Critical that the preparer enter accurate
  information into the system and the reviewer
  reviews the PAN notifications for accuracy and
  validity.
• No further checks once the reviewer reviews the
  information.

62
Basic Responsibilities of a Preparer

• A preparer must ensure that he/she has prior
  authorization before implementing a change or
  entering a transaction to the system, understands
  UCR systems, policies, and purpose of the
  transaction.
• Record complete and proper explanation
• Enter valid account/fund numbers

63
Basic Responsibilities of a Preparer (Continued)

• Enter accurate data into all fields on PPS system
  screens edits available on some fields
• Know basic policy, regulatory, and other
  requirements
• Resolve all questions that come to mind during
  the completion of the transaction that are
  automatically raised via online edits and related
  error or warning messages

64
Basic Responsibilities of a Preparer (Continued)

• Use system in a manner consistent with UCR
  policies and procedures
• Make arrangements with unit head or back-up
  preparer for absences
• Note Preparers cannot (system blocks them
  access) access their own PPS records any
  transactions affecting the preparers records
  should be entered on PPS by a back-up preparer.

65
References Available in WWW

• UC Systemwide Policies Guidelines
• http//www.ucop.edu/ucophome/system/swpolicy.html
  - hrpolicy
• Academic Affairs
• Business Finance
• Contracts Grants
• Human Resources
• Personnel Policy Manuals

66
References Available in WWW (Continued)

• UCR
• Campus Accounting Website http//accounting.ucr.ed
  u/
• UCR Policies Procedures, Accounting Manual
• Campus Human Resources Website
  http//humanresources.ucr.edu/

67
Post-Audit Notifications (PAN)

• Certain transactions generate PAN notifications
  some transactions do not generate PAN
  notifications.
• Preparer pressing the update key (F5) will
  automatically generate the corresponding PAN
  notification that is forwarded to the mandatory
  reviewer and other reviewers/recipients via email.

68
Post-Audit Notification (Continued)

• PPS is equipped with a transaction log, i.e.,
  listing of transactions entered on the system.

69
Responsibilities of a Reviewer

• Review daily transactions within two business
  days of receipt
• Notifications retrieved from email mandatory or
  backup reviewer reviews and accountable for the
  validity and accuracy of transactions entered.
• Ensure preparer fulfilled their responsibility

70
Responsibilities of a Reviewer (Continued)

• Review for compliance with policy and other
  requirements
• Resolve questions within two business days or
  reverse transaction until resolved
• Only a preparer can correct or reverse a
  transaction
• Contact preparer (personally or through email or
  phone) to make the necessary correction or
  reverse the transaction

71
Responsibilities of a Reviewer (Continued)

• If transaction was reversed and the question has
  been resolved, the preparer will re-enter the
  transaction and another PAN notification will be
  generated for the corrected transaction for
  review by the mandatory reviewer with copies sent
  to the back-up reviewer and other recipients

72
Responsibilities of a Reviewer (Continued)

• Two individuals (a preparer and a reviewer)
  always involved in a transaction
• Inform control units/back-up reviewer when absent
  for two or more business days

73
Back-up Preparer/Reviewer

• Receive training at a level equivalent to the
  primary preparer or mandatory reviewer
• Fulfill the same responsibilities required of the
  primary preparer or mandatory reviewer
• Maintain currency of knowledge

74
Back-up Reviewer/Recipients

• Both receive copies of PAN notifications via
  email
• Recipients do not have the same responsibilities
  as the reviewer but may notify departments of any
  concerns regarding the PAN notification they
  receive

75
Responsibilities System Access and Usage (UCR
PPM 400-35)

• Users required to sign Log-on ID Request/Computer
  Security and Use Agreement
• Log-on ID or user name equivalent to signature
  responsible for all entries made under that
  log-on ID
• Dont reveal passwords to anyone
• Dont leave terminal unattended while logged on
  to the system

76
Responsibilities System Access and Usage
(Continued)

• Suspected security violations to be reported
• Privacy and confidentiality of data to be
  maintained
• Data to be used only for Universitys legitimate
  business for which authorized
• Failure to comply may result in disciplinary
  action, up to and including dismissal

77
Summary and Key Messages

• Accountability
• Is a key management priority
• Is not just the auditors job to enforce
• Effective control is multifaceted
• More procedures is not more control
• More auditors is not more control
• Good control system an honest and educated
  workforce

78
Where to Get More Information

• Beth Clarke, UCR Internal Audit Department
• University Village
• Tel. Ext.4667
• Email elizabeth.clarke_at_ucr.edu
• Fax [phone]
• Visit our website at http//ia5.ucr.edu/audit/De
  fault.htm

79
ACADEMIC PERSONNEL POLICY

• Kathy Reed
• Academic Personnel

University of California Riverside
80
Introduction

• This segment of the presentation is intended to
  acquaint the PPS preparer with academic
  personnel policies pertinent to the Payroll/
  Personnel System and to emphasize responsibility
  and accountability of the preparer.

81
Academic Positions

• Academic Personnel Definitions are located in
  APM 110-4. An academic appointee is defined as
  one who is engaged primarily in one or more of
  the following teaching, research, and public
  service, and whose duties are closely related to
  the Universitys instructional and research
  functions

82
Academic Positions (Continued)

• Title Codes for academic positions are within a
  range of 0800 to 3999 inclusive.
• Title Code Index in Academic Salary Scales, Table
  of Contents
• In general there are ten categories of academic
  titles which are referred to as series used at
  the Riverside campus

83
Academic Positions (Continued)

• Terms of Service
• Reference APM 220-17
• Computation of Years of Service - APM 133-17
• 8 year limit for academic year Assistant
  Professor equals 24 quarters
• 8 year limit for fiscal year Assistant Professor
  equals 96 months (including vacation)

84
Appointment Process, Reappointment/ Renewal of
Appointment

• Recruitment
• Chairs responsibility
• Appointment File Preparation, including
  Affirmative Action Compliance Report

85
Appointment Process (Continued)

• Reviewing Agencies
• Department
• Dean
• Committee on Academic Personnel (CAP)
• Executive Vice Chancellor/Chancellor

86
Appointment Process (Continued)

• Approval Authority
• Dean
• Executive Vice Chancellor/Chancellor
• APM 133 - Titles which count toward the
  eight-year limitation rule
• Rehire/Reappointment with a Break in Service
• Any break in service for an academic will be
  treated as a new hire and requires full review

87
Appointment Process (Continued)

• Titles for academics employed on a year-to-year
  basis and subject to appointment renewal must be
  apprised that the appointment is for a specified
  term, i.e. an ipso facto statement.
• Approval documentation for on-line entry
  according to appointment authority (this includes
  a signature of acceptance for faculty
  appointments)

88
Merit, Promotions and Appraisals

• Merit Advancement in step within the same rank
• Promotion Advancement from one rank to a higher
  rank within the same title series
• Appraisal Preliminary assessment of the
  candidates prospect for eventual promotion
  (usually done 5th year)

89
Merit, Promotions and Appraisals

• Eligibility and Mandatory Review
• Eligibility does not imply automatic advancement
• Superior intellectual attainment, as evidenced
  both in teaching and in research or other
  creative achievement, is an indispensable
  qualification for promotion to tenure (APM
  210-1-d.)

90
Merit, Promotions and Appraisals (Continued)

• A merit file contains contributions since last
  advance
• A promotion review file looks at a candidates
  entire record, including contributions since
  appointment or last advancement
• Review File Preparation - The Call

91
Merit, Promotions and Appraisals (Continued)

• Reviewing Agencies
• Department
• Ad Hoc Committee (Appraisals, Promotions, Career
  Reviews, Advancement to Above-Scale)
• Dean
• Committee on Academic Personnel (CAP)
• Executive Vice Chancellor/Chancellor

92
Merit, Promotions and Appraisals (Continued)

• Approval authority
• Dean
• Executive Vice Chancellor/Chancellor
• Documentation for on-line entry according to
  approval authority
• Enter 04 for merits and enter 10 for promotions
  on EAPP after the Governors Budget is approved
• Approval of a different rank, step, effective
  date, or salary may occur

93
Sabbatical Leaves, Other Leaves With/Without
Salary

• Types of Leaves - UPAY 573 Form requesting all
  academic leaves with or without salary
• Refer to APM section 740 - Sabbatical Leaves
  (Regular and In Residence) are Deans authority
• Approval authority - Executive Vice Chancellor
  approves all leaves other than Sabbatical Leaves

94
Sabbatical Leaves, Other Leaves With/Without
Salary(Continued)

• Childbearing or Parental Leave - Stop the Clock,
  APM 133 and APM 760
• Family Medical Leave Act -FMLA
• PPS Leave codes and Leave Accrual Codes

95
Sabbatical Leaves, Other Leaves With/Without
Salary(Continued)

• Impact of periods of leaves on eight-year limit
  reviews exceptions must be based on petitions
  filed at the time the leave is requested or in
  the case of sick leave within one quarter after
  the leave is taken. The request for an exception
  must be for an activity, which is substantially
  unrelated to the individuals academic career.

96
Separations

• Documentation required
• A letter of resignation
• Reason for Separation
• Destination
• Future Institution
• If a letter of resignation is not available, a
  short memo with available separation information
  is requested

97
Access to Academic Personnel Records

• Reference APM 160 and APM 220-80-d,-e,-h, and -i
• Reference also The Call for confidentiality and
  redaction regarding letters of evaluation

98
Resources

• Academic Personnel Manual O.P. Website
• Policy in Review Informal, Formal, and Final
  Review
• http//www.ucop.edu/acadadv/acadpers/apm
• Handbook for Academic hiring (EVC Warren, June
  2000)

99
Resources (Continued)

• The Call issued annually in the spring
• Academic Personnel Office Website -
  http//www.ucr.edu/acadper
• Salary Scales
• Academic Salary Scales O.P. Website
• http//www.ucop.edu/acadadv/acadpers/tab0001/tabco
  nt.html
• Pay periods for academic-year pay basis and
  fiscal-year pay basis

100
Resources (Continued)

• Collective Bargaining Agreements
• MOU for non-Senate Instructional Unit
• http//www.ucop.edu/humres/contracts/nsi/
• MOU Professional Librarian Unit
• http//www.ucop.edu/humres/contracts/lib/
• Deans Offices and Academic Personnel Staff

101
Access to Records Exercise

• What specific policy will provide you with
  guidance when an individual requests access to
  his/her confidential academic review records?

102
Sabbatical Leave Exercise

• What are the restrictions in the maximum number
  of credits which may be accrued for a fiscal-year
  employee?
• What are the restrictions in the maximum number
  of credits which may be accrued for an
  academic-year employee?

103
Appointment Terms of Service Exercise

• What is the normal end date for an Acting
  Assistant Professor who completes all degree
  requirements and is changed to an Assistant
  Professor title during the first or second year
  of his/her appointment?

104
Where to Get More Information

• Kathy Reed, Academic Personnel
• kreed_at_admin.ucr.edu or extension 5384