1. Appointing and Monitoring Personnel March 8, 2006

2. Questions 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 department? Will the personnel be appointed to a clearing department? Does the Graduate Assistant Qualify for a Tuition Waiver? Does the Graduate Assistant Qualify for a Tuition Waiver?

3. Qualifications for Tuition Remission Must be appointed by an academic unit or on a 1X5 department for.5 FTE Must be appointed by an academic unit or on a 1X5 department for.5 FTE Must be appointed for the entire semester (may be appointed from multiple academic or 1X5 departments) from the first day of classes to the last day of final exams Must be appointed for the entire semester (may be appointed from multiple academic or 1X5 departments) from the first day of classes to the last day of final exams Must be enrolled in 6 hours Must be enrolled in 6 hours

4. Account/Job Code for Graduate Student Classification Account Code 632505 (Tuition Remission) Account Code 632505 (Tuition Remission) 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)

5. Tips for the Appointment Process Work with Department Administrator Work with Department Administrator Prepare Personnel Action Form (PAF) Prepare Personnel Action Form (PAF) Submit PAF before deadlines! Submit PAF before deadlines! TIPS

6. What Post Award Services Looks For on Personnel Action Form Department Number Department Number Job Title & Code Job Title & Code FTE FTE Rate of Pay Rate of Pay GRA Qualified or Non Qualified GRA Qualified or Non Qualified Account Code Account Code Begin Date Begin Date End Date End Date Signatures Signatures

7. Monitoring Personnel PI Responsibility PI Responsibility Report hours worked for hourly employeesReport hours worked for hourly employees Report paid, holiday, and other leave for all employeesReport paid, holiday, and other leave for all employees 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 applicableDistribute clearing department personnel, if applicable Review, approve and submit “Confirmation of Direct and Contributed Labor” ReportReview, approve and submit “Confirmation of Direct and Contributed Labor” Report

8. Monitoring Personnel, cont. PI Responsibility, cont. PI Responsibility, cont. Notify ORS about changes in PI or Key PersonnelNotify ORS about changes in PI or Key Personnel OMB Circular A-110 requires prior approval for OMB Circular A-110 requires prior approval for 25% or greater reduction of effort for PI or other key personnel25% or greater reduction of effort for PI or other key personnel Absence of PI for more than three monthsAbsence of PI for more than three months

9. Monitoring Personnel, cont. Post Award Services Responsibility Post Award Services Responsibility Review PAF forReview PAF for Availability of funding Availability of funding Allowable term of appointment Allowable term of appointment Consistent job title, FTE, and account code Consistent job title, FTE, and account code Verify GRA Qualifies for Tuition Waiver Verify GRA Qualifies for Tuition Waiver Approve and forward PAFApprove and forward PAF Prepare “Confirmation of Direct and Contributed Labor” ReportPrepare “Confirmation of Direct and Contributed Labor” Report

10. Discussion Questions 1) Do I need to prepare a termination PAF if I put the end date on the original PAF? 2) Do I need to prepare an extension PAF for an employee that will continue working on grant?

11. Discussion Questions 3) What do I do if a GRA is suppose to be receiving a waiver and they are not on the waiver list? 4) What account code do I use for a non-qualified GRA? 5) What account code do I use for a qualified GRA?

12. Effort Reporting

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

14. Why must I do effort reporting? Required by OMB Circular A-21, Section J.10 Required by OMB Circular A-21, Section J.10 Salaries represent single largest item of expenditure Salaries represent single largest item of expenditure Provides sponsors assurances that effort is devoted to the project Provides sponsors assurances that effort is devoted to the project

15. Who must confirm effort? A-21 states that effort may be confirmed by a responsible person with suitable means of verification that work was performed. A-21 states that effort may be confirmed by a responsible person with suitable means of verification that work was performed. Principal InvestigatorPrincipal Investigator SupervisorSupervisor

16. How often must I confirm effort? The University of Oklahoma requires the effort be confirmed once a month The University of Oklahoma requires the effort be confirmed once a month Confirm and return to Post Award Services as soon as possible, preferably within 5 working days Confirm and return to Post Award Services as soon as possible, preferably within 5 working days Failure to return confirmation report violates PI’s responsibility and could result in grant/contract being suspended by the University Failure to return confirmation report violates PI’s responsibility and could result in grant/contract being suspended by the University SRI will not be returned to departments with delinquent effort reports SRI will not be returned to departments with delinquent effort reports

17. Tips on Effort Reporting Make sure reports are confirmed and signed by someone with first-hand knowledge Make sure reports are confirmed and signed by someone with first-hand knowledge Confirm actual effort rather than proposed effort Confirm actual effort rather than proposed effort Make sure cost shared effort is confirmed Make sure cost shared effort is confirmed Return in a timely manner Return in a timely manner

18. Tips on Effort Reporting Total effort for each individual cannot exceed 100 percent Total effort for each individual cannot exceed 100 percent Faculty effort must take into consideration teaching, service and committee commitments Faculty effort must take into consideration teaching, service and committee commitments Effort exceeding research appointment (usually 40 percent) requires release time from other duties Effort exceeding research appointment (usually 40 percent) requires release time from other duties

19. Confirmation Report Direct Labor - Actual payroll expenditures charged to sponsored agreement. Direct Labor - Actual payroll expenditures charged to sponsored agreement. Contributed Direct Labor - Cost Shared effort. This is considered documented when the PI signs. Usually paid from the academic unit department Contributed Direct Labor - Cost Shared effort. This is considered documented when the PI signs. Usually paid from the academic unit department Confirmation - When the PI signs he/she is confirming the above effort is accurate. Confirmation - When the PI signs he/she is confirming the above effort is accurate.

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

21. Discussion Questions 1. What am I confirming? 2. What do I do if I find an error on the Labor Confirmation Report? 3. May I process a Payroll Expense Transfer after I have signed the Confirmation Report? 4. What is the 1% effort under Contributed Direct Labor?

22. Payroll Overpayments

23. Payroll overpayments are unallowable costs on a sponsored agreement. Payroll overpayments are unallowable costs on a sponsored agreement. Must be reimbursed within 60 days of the overpayment. Must be reimbursed within 60 days of the overpayment. If not reimbursed within 60 days, Post Award Financial Services will transfer the overpayment to the responsible academic department. If not reimbursed within 60 days, Post Award Financial Services will transfer the overpayment to the responsible academic department.

24. Repayment Methods Method 1 – Withholding of overpayment from a future payroll period(s). Method 1 – Withholding of overpayment from a future payroll period(s). PI or Departmental Administrator must notify Post Award Financial Services of which future payroll period(s) the reimbursement will be withheld.PI or Departmental Administrator must notify Post Award Financial Services of which future payroll period(s) the reimbursement will be withheld. Payroll will reimburse the sponsored agreement for the overpayment.Payroll will reimburse the sponsored agreement for the overpayment.

25. Repayment Methods, cont. Method 2 – Cash, Check or Money Order Method 2 – 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 reimbursement was sent to Payroll.Notify Post Award Financial Services that reimbursement was sent to Payroll. Financial Support Services will reimburse the sponsored agreement by JV when tax withholdings are received from the State.Financial Support Services will reimburse the sponsored agreement by JV when tax withholdings are received from the State.

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