Training outline:



SAS PAYROLL GUIDELINES

Training document

09 March 1999

table of contents

Introduction 3

I. Create a payroll record 4

Essential fields, Home department vs. job department, Correct amount for pay period amount field, Calculation of annual salary, Chart of accounts number, 99/99/99 end date, Temporary social security numbers, Hourly rate caps

II. Faculty and Staff 7

Reappointments, Reclassification, Salary increase, Leave of absence, Faculty summer salary, Faculty academic base, Staff attendance, Staff time reporting ,Overtime

III. Graduate Students 10

Appointment and reappointment to the same job class, Adding job assignments, Stipend limit, Additional payments

IV. Academic Support Staff and Adjunct Faculty 12

Postdoctoral appointments, Other Research appointments, Teaching appointments, Adjunct faculty, Termination policy

V. Foreign Nationals 13

VI. Student Workers and Work Study Students 13

Student Worker appointments, Work Study appointments, Limit on hours

VII. Other Processes and Procedures 14

Late pay, Termination, Salary Management

VIII. Appendix 17

List of Reference Documents, Table of Data Input Information, Summary of Tax Guidelines, Weekly Time Sheets, Request for Time Off form, Request for Additional Compensation-Overtime form, Certification of English Fluency in the Classroom, Request for Appointment/Reappointment of Academic Support Staff

Introduction

This document has been written to provide a source of information for the various decisions and actions which you will take when creating or updating a payroll action. Much of the information is standard and is based on Payroll Department training documents. We have tried to expand this base of information by adding SAS rules, guidelines, definitions and procedures.

The document will be used as an outline for SAS payroll training but it should also be used as a desktop guide and a reference for documents and web addresses when further information is required.

The document was prepared as a joint effort by the Best Practices Task Force and the Office of Administrative Services of the School of Arts and Sciences.

Evelyn Balabis

Barbara Greco

Laura Kornstein

Brent Parker

Best Practices Task Force

Margaret Harsch

Office of Administrative Services

21 January 1999

I. Create a payroll record

A. A new payroll record is established by choosing 001 Initial Employment on the Personnel Records Update Menu and filling in the employee’s social security number (temporary or permanent).

The first screen (screen 3) for the record has the following essential fields:

Name use last name,first name middle initial with no space after the comma and no period after the initial. Enter the employees legal name as shown on their social security card or other I-9 document(s); nicknames should never be used. Suffix and prefix

are entered where appropriate.

Employment Status A (active) is used for all new appointments.

Status Date and

Employment Date Use employment date

Reg or Temp R is used for all regular employees of the University of

Pennsylvania. T is used for temporary employees, term

appointments and undergraduate, graduate and post doctoral

appointments.

Salary Key F and P are used for full time and part time regular appointments, U is unsalaried, S signifies special benefits, T is used for temporary

categories and R is used for retirement status.

Employment Type E is used for employees exempt from the Fair Labor Standards Act N is used for employees who are non exempt from the FLSA.

For information on the FLSA, see the summary of information

from the Division of Human Resources in the appendix.

Pay Status S is used for salaried weekly regular F/T and monthly paid employees

H is used for weekly regular P/T employees and hourly paid temporary employees

Original Hire Date Use employment date

Department Number Use number for home or hiring department

Academic Base Base salary for standing faculty only

Supervisor Y indicates supervisory responsibility

For further information, see table of data input information.

The second screen (screen 4) is the job appointment screen . Information on the job class code and earnings type can be found in the table of data input information. Other input information can be found in sections B, C, D, E and F which follow. The position number is used for A-1 and A-3 appointments only and is found on the HR2 .

The third screen (screen 5) contains personal data. The employee’s local address (their residence while they are working at U.of Pa) is entered in the Current Address. The Permanent Address fields are filled in for employees who maintain a domicile elsewhere where they return when absent or separated from the U.of Pa.. The home telephone

number, work phone number and Emergency contact information must be filled in. Educational information should be entered if available. Visa, Country code, Visa Exp must be entered for foreign nationals. The entry codes can be found by tabbing to the field on the 005 screen and striking the F6 key. The PRSD field (foreign national only) is always entered as 9999.

Note: On-line information for all fields can be obtained by tabbing to the field on the Payroll Screen and striking the F6 key.

B. Home department vs. job department:

The home department:

Faculty and staff: the location of the primary job

Graduate student: matches the graduate group or discipline

must be SAS department

Student Worker: the location of the initial job assignment

The job department:

Faculty: matches the location of the individual job assignment

Staff (Reg): matches the home department

Staff (Temp): matches the home department

Graduate Student: within SAS: matches the location of the individual job assignment

outside SAS: Teaching Asst., Research Fellow and full time RA positions are assigned to the location of the job assignment; part time hourly compensated RA assignments should be reported as additional pay and paid on a RA job screen assigned to the home department. The reporting and payment of additional pay allows the home department BA to monitor the total stipend paid to the student.

Student Worker: matches the location of the individual job assignment

Work Study: matches the location of the individual job assignment

C. Correct amount for pay period amount field:

Exempt: the recurring monthly amount

Non-exempt: Reg the recurring weekly amount

Temp the hourly rate for the job assignment

Graduate student: should show recurring monthly amount where possible

D. Calculation of annual salary:

Period covered for all categories except graduate students: 7/1/xx to 6/30/xx

Period covered for graduate students: 9/1/xx to 8/31/xx

Total annual salary for graduate students is the sum of the appointment annual salary for each job appointment. If any job appointment falling within the current year is overlaid with a new job appointment, then a copy of the earlier job screen must be kept on file so that all stipend payments are included in the calculation.

E. The chart of accounts number in each distribution line should include:

a program code (PROG) if available

a CREF which designates the source of funding by department, faculty member

or the P.I. for staff positions funded by grants.

F. Use of 99/99/99 end date:

99/99/99 should be used as the job end date for all regular employees in the A-1, A-3, A-4 categories and for A-2 tenured faculty.

It should not be used:

-as the job end date for student workers, temporary employees or for term or limited appointments

-as a distribution end date for any payroll category

G. Use of temporary social security numbers:

A temporary social security number is obtained for an individual (usually a Foreign National) who does not have a valid US social security number at the time of initial employment.

All temporary social security numbers to be used in the payroll system are assigned by Human Resources-Records (8-7288) and begin with 999

Temporary social security numbers, except those obtained for a courtesy appointment or an unfunded visiting scholar, should be updated as soon as possible by sending a copy of the individual’s signed social security card to Human Resources - Records. These appointments should be terminated immediately upon departure.

The Registrar issues temporary social security numbers beginning with 956, 957 and 958. These numbers should not be used in the payroll system. If a number in this category is found in a payroll record, it should be updated in the same manner. The student should also be sent to the Registrar’s office with their social security card so the correct number will appear in the student database.

H. Compliance with hourly rate caps for student workers, graduate students and

temporary staff:

Hourly rates above the following stated limits should be justified prior to the assignment of rate. This justification should be sent for approval by letter or e-mail to the appropriate contact in SAS Administrative Services. Current rates should be obtained from SAS contact for job category (see table of data input information).

FY 99 rate

Student worker $ 8.00

Graduate student $ 10.00

Temporary Extra $ 10.00

II. Faculty and staff

A. Reappointment:

Standing faculty: a reappointment is made at the end of the initial 4 year appointment period for an untenured faculty member. The second appointment period will be no longer than 3 years.

Research Associate: a reappointment is required each year up to a total of three years.

Postdoctoral Appointment: a reappointment is required each year up to a total of five years.

Lecturer(A): a reappointment is required each year up to a total of three years.

Additional reappointments can be made up to a total of six years with approval of

the Provost

For further information on A-2 appointments: see Policies and Procedures for Appointments and Promotions.

B. Reclassification and Salary Increase:

Reclassification and salary increase for regular full time faculty and staff is done only with approval as follows:

Faculty: approval by SAS Dean’s Office and the Provost

Staff: approval by SAS Dean’s Office and by Human Resources/Compensation

There are no approvals required for reclassification of other employee categories.

Recalculation of annual salary: the annual salary should be recalculated to equal the sum of all payments at the old rate plus the sum of all payments at the new rate for the current 7/1/xx to 6/30/xx period.

C. Leave of absence:

A leave of absence may be taken by standing faculty and full time staff after obtaining the required approvals.

The scholarly leave for faculty requires approval by the department chair, the associate Dean and the Provost. The approved leave period, in general, is funded by the Provost. Administrative leave for faculty should be initiated only after contacting the SAS Dean’s office for instructions. For additional information on faculty leave: see Policies and Procedures for Appointments and Promotions.

Personal leave for staff requires approval by the individual’s supervisor, the department chair where appropriate and the SAS Dean’s Office. Personal leave is without pay. See policy information at hr.upenn.edu/policy/.

Medical and Sick leave for staff; see policy information at hr.upenn.edu/policy/.

Leave status is entered in the EMPLMT status field of the 002 screen with the reason for the leave and the return date entered in the following fields. These fields should be modified after the payroll end date for the month prior to the beginning of the leave of absence status.

D. Faculty summer salary:

A faculty member may receive up to one-ninth of his or her academic base salary times the number of months spent in full-time service on a research project during the months of June, July and August. The source of funds for these payments is normally the research project with certain restrictions as follows:

- funds expended from a sponsored research project for summer salary payments cannot exceed effort on project.

- the National Science Foundation restricts summer salary payments to two months

- NIH funds may not be used to fund a single payment in excess of 1/12 of $125,900

- no vacation may be taken during the period of salaried service

For additional policy information on Extra Faculty Compensation: see .

E. Faculty academic base:

Academic base salary is the salary paid to a faculty appointee for the 9 month academic year (9/1/xx - 5/31/xx). This salary may be paid over 9, 10, 11 or 12 months. If a schedule of greater than 9 payments is used, 9 of the payments must be made in the 9/xx - 5/xx period. The earliest payment date for the academic base is 7/xx (i.e. 2 mos. prior to the beginning of the academic year.)

Total salary is the sum of academic base salary, summer salary and other extra compensation salary payments.

F. Staff attendance:

Attendance policy information: see hr.upenn.edu/policy/.

A-1 and A-3 employees must report time off for vacation, sick leave or other reasons using the Request for Time Off form. This request must be approved by the supervisor and a copy should be kept on file in the Business Office. A copy of this form can be found in the Appendix.

G. Staff time reporting:

Time reporting for weekly and hourly paid employees is based on the appropriate SAS time sheet for either A-3 or A-4 and A-5 employees. All non-exempt employees are required to submit a time sheet each Friday by 5:00 PM certifying their hours or days worked during the weekly pay period which begins Monday at 12:01 a.m. and ends the following Sunday at 12:00 midnight. Time reporting is entered in the 05 Time Reporting Data Entry area in the On-line Payroll System Function Menu.

Overtime pay at a rate of one and one-half times the regular pay rate must be paid to weekly and hourly paid employees for hours worked in excess of 40 during the pay period. Hours worked in excess of 35 and less than 40 are reported as overtime either at the regular rate or for compensatory time. All overtime hours must be reported on a Request for Additional Compensation - Overtime Form with certification by the employee and approval by the supervisor. For additional information on overtime compensation, see .

III.Graduate Students

A. Initial appointment and reappointment to the same job class:

Graduate students are normally appointed as Teaching Assistants, Educational Fellowship Recipients, Predoctoral Trainees, Research Fellows or Research Assistants in their home department. These appointments should be made with the approval of the Graduate Group Chair or the Department Chair.

Job class information for graduate students: see summary of tax guidelines in the Appendix

Appointment period is 9/1/xx to 8/31/xx. Reappointment to a job is made annually in this time frame. Any change in an appointment within this time frame should be accomplished by retracting or extending the end date of the appointment period to a date < 8/31/xx.

All job screens should contain appointments; unused screens should be filled with unfunded Research Asst. B appointments for the appointment year using the home department as the job department. Only one job appointment should be made for each job class within a job department with the exception of the unfunded RA-B appointments

Total salary for all job appointments must be < stipend limit for appointment year (see C. stipend limit which follows)

The appropriate job department number should be used for each job appointment

The initial appointment of a graduate students as a Teaching Assistants or Teaching Fellows must be accompanied by the submission of a Certification of English Fluency in the Classroom to the SAS Dean’s Office. A copy of this form can be found in the Appendix.

B. Adding job assignments:

The Business Administrator must verify that any additional job assignments have been approved by the Graduate Group Chair or the Department Chair before adding the job assignment to the payroll system or releasing the job screen to the paying department.

All payments for non-dissertation or non-degree work other than teaching assistance should be made on a Research Assistant A job appointment if the student is enrolled in courses during the term or on a Research Assistant B job appointment during the summer if the student is not enrolled in courses.

Job appointments are added by replacing a prior year appointment or an unfunded RA-B appointment

The total salary for all job appointments should be recalculated to verify that it is < stipend limit for appointment year (see stipend limit below).

The job department number should be checked and changed to the paying department if necessary.

When the job department is another department in SAS, the home department Business Administrator releases the job screen to the paying department. The screen is then monitored by the home department Business Administrator to insure that the cumulative monthly stipend is correct and that the cumulative annual stipend does not exceed the SAS cap.

When the job department is outside of SAS, the home department Business Administrator must inform the paying department of the SAS rule that graduate students are paid only on a monthly basis. If the paying department intends to pay the student at an hourly rate, then an arrangement must be in place for processing the weekly hours as monthly additional payments.

Additional payments are made to a graduate student when they are employed by someone at a stipulated hourly rate for a yet to be determined number of hours. These hourly payments are converted to a monthly amount each month and entered by the home department on the appropriate job screen. The home department must review all payments to verify that the new total stipend < stipend limit for appointment year

C. Stipend limit

The annual stipend for the year 9/1/xx to 8/31/xx is set by the Associate Dean for Graduate Students. There must be compliance with this cap and any salary payment which causes the total stipend to exceed the cap must be approved by the Associate Dean in writing.

D. AIF

The AIF (Graduate Student and Postdoctoral Appointment Information Form) should be submitted when an individual in either category is appointed to a new job classification or when their source of support is changed. The funding change should be other than a new account number issued for a continuation year.

E. Unfunded graduate students may be compensated on an hourly basis.

IV. Academic Support Staff and Adjunct faculty:

A. Postdoctoral appointments:

The appointment period is normally one year starting on the date of initial employment.

Reappointment to a job is made for additional years annually on the anniversary.

Initial appointment and reappointment up to a maximum of five years are made only with the approval of the SAS Dean’s Office.

SAS form Request for Appointment/Reappointment of Academic Support Staffshould be submitted to the SAS Dean’s Office for initial and reappointment approval.

The AIF (Graduate Student and Postdoctoral Appointment Information Form) should be submitted when an individual in either category is appointed to a new job classification or when their source of support is changed. The funding change should be other than a new account number issued for a continuation year.

Postdoctoral appointments carry EB at the part time rate and in addition, the individual must be covered by health insurance available through the Benefits Office unless they choose to waive this coverage.

Job classes information for postdoctoral fellows: see summary of tax guidelines

B. Other Research Appointments:

A Research Associate is appointed for one year. This appointment is renewable for a total of three years. The position carries full EB. The appointment must be approved by the Department Chair and the SAS Dean’s Office.

A P/T Research Associate is appointed to do research for a limited period of time. The appointment requires approval by the Department Chair and the SAS Dean’s Office and carries p/t EB.

A Visiting Scholar is appointed to teach or do research for a limited period of time. The appointment requires approval by the Department Chair and the SAS Dean’s Office. There is p/t EB for this appointment type.

SAS form Request for Appointment/Reappointment of Academic Support Staff should be submitted to the SAS Dean’s Office for initial and reappointment periods.

C. Teaching Appointments:

A Lecturer A is appointed for one year on a full time basis. This appointment is renewable for a total of three years. The position carries full EB. The appointment must be approved by the Department Chair and the SAS Dean’s Office.

A Lecturer B is appointed to teach one or more courses but is not appointed on a full time basis. The appointment requires approval by the Department Chair and the SAS Dean’s Office. The appointment is without limits and carries p/t EB.

SAS form Request for Appointment/Reappointment of Academic Support Staff should be submitted to the SAS Dean’s Office for initial and reappointment periods. Initial requests for teaching appointments must be accompanied by a Certification of English Fluency in the Classroom

D. Adjunct faculty are appointed on a part time basis and are usually reappointed every three years without limit. The appointment must be approved by the SAS Dean’s Office and the Provost. The appointment is unsalaried or partially salaried with p/t EB.

E. Termination: The department chair or the P.I. should notify the Business Administrator when any individual in an Academic Support position or an Adjunct Faculty appointment is terminated. The Business Administrator must assure that any salary distribution is ended on the appropriate date and that a forwarding address is obtained.

V. Foreign Nationals: see Introduction to the Payroll/Personnel system and The Guidelines For Hiring International Scholars.

VI. Student Workers and Work Study Students

A. Student Workers:

An undergraduate student appointed to work during the school year uses the Student Worker A designation, job class 599070. One screen per job department should be used for this job class.

An undergraduate student appointed to work during the summer should be appointed as a Student Worker A during the time they are enrolled in courses and as a Student Worker B when they are not enrolled in courses. The Student Worker B job class is 599071. This job classification cannot be used during the Academic school year.

If a student worker drops out of school or graduates and continues to be employed in the department, their job classification should be changed to Temporary Extra Person, Job class 599050.

B. Work Study Students

Work study students hold positions which are funded by the Federal Work-Study Program. The positions are approved by the Student Employment Office and rate of pay is fixed for each class of positions.

The Business Administrator appoints a Work Study student in the payroll system using the job class code and the rate assigned to the job. The distribution line in the payroll record should contain the 26 digit account number which funds the department’s 35% portion of the stipend. The Percent field in the distribution line should read 100%. The payroll system reads the Work study job class code and the 5139 Object code and will assign 35% of each weekly payment to the department account.

C. Limits on hours:

Student workers and Work study students may not work more than 20 hours per week while classes are in session. When classes are in recess, students may work up to 40 hours per week.

For additional information on Student work appointments, see Introduction to the Payroll/Personnel System and information packets from the Student Employment Office.

VII. Other Procedures and Processes:

A. Late pay:

A request for late pay is submitted when the input for a monthly salary payment or weekly payroll payment has not met the deadline for the appropriate period.

Monthly late pay can be submitted on-line by accessing the 05 Time Reporting Data Entry area in the On-line Payroll System Function Menu and completing the required fields for each salary payment . The appropriate contact at the SAS Dean’s Office should be notified of the late payment request and he/she should be asked to approve the payment. All late payments must be reflected in the distribution lines of the job appointment. Payment for on-line requests are processed during the next monthly payroll period with the late payment included in the monthly check.

A monthly late pay which requires immediate action should be submitted by writing a memorandum to the Payroll Office defining the request and providing the reasons for the late payment and the need for a hand drawn check. A copy of the

the approved on-line late pay screen must accompany the request. These requests, if approved, are usually processed in the next weekly pay period.

Note: New restrictions have been place on requests for hand drawn checks.

Additional information can be obtained from the Payroll Department.

Weekly late pay is submitted as a entry in the weekly time reporting using the late pay region and completing the required fields for each entry. Each pay period payment should be entered separately. All late payments must be reflected in the distribution lines of the job appointment.

B. Termination:

Termination is implemented in the payroll system by choosing 010 on the

Personnel Records Update Menu. Required fields on the screen (screen 3):

Employment Status change to T

Status Date insert termination date

Separation Reason (tab to field and strike the F6 key)

The termination procedure is carried out when an individual leaves the University

of Pa.. Faculty and staff teminations are processed after approvals by the SAS

Dean’s Office and the Provost (faculty) or Human Resources (staff). Termination

of graduate students, postdoctoral appointees and temporary appointees requires a letter of resignation or the completion of their appointment.

Student appointees should not be terminated when their appointment is complete.

Student payroll records should be retained until a home department change is

implemented or until the student has graduated and left the university.

C.. Salary Management:

Salary management is a separate payroll application which can be accessed in the NATCICS region. This application provides data on all payroll payments which have been made since 7/1/96. The data can be accessed on-line as detail by person or account and summary by person and account. Data can also be accessed in a report format which can be sent to your printer or extracted and transferred via FTP to your hard drive.

Data extraction:

The data reports can be extracted and transferred to the user’s computer for use in spreadsheets utilizing the following procedure:

1. Run salary management report(s), submit job as usual

2. Note the number given to the job

3. Go to FTP:

Host Name/Address: ivy.umis.upenn.edu

User ID: UMIS logon (Pxxxxxx)

Password: current UMIS password

4. When list of files that are currently available comes up:

Change from binary to ASCII

Hit left arrow key (this brings the data to your computer)

When input box comes up asking for name of file, type:

PRIVQRY.SEQXXX.EXTXXXX

Where XXX = last three digits of number given to report

Where XXXX = type of report run

5. Data can be transferred to the spreadsheet by retrieving the above named file.

VIII. Appendix:

Reference documents:

1. SAS Policies and Procedures for Appointments and Promotions

This document is a detailed source of rules and policies for standing faculty, associated faculty and academic support staff. An updated copy is provided to each SAS department on an annual basis. For further information, contact Kathy Fey 116 College Hall, 8-5369.

2. Guidelines for Hiring International Scholars: Faculty, Researchers, Staff and Students At the University of Pennsylvania

This document is a detailed factual source of rules, regulations and procedures to be used in the appointment of foreign nationals to positions in the university. For information and copies of this handbook, contact the Office of International Programs, 133 Bennett Hall, 3340 Walnut Street, 8-4661.

3. Introduction to the Payroll/Personnel System

This document is the training manual provided to each trainee by the Payroll Department as part of the formal payroll training course. It is a comprehensive source of rules and procedures for hiring and appointing an individual at the University.

4. User’s Guide to Payroll/Personnel System

This document is available from the Payroll Department and provides screen illustrations, field definitions and valid codes.

5. Personnel/Payroll System Reference Guide

The multipage “blue card” provides critical information in a condensed form for access and input in the Payroll system.

Reference websites:

1. Staff : for policies covering attendance, compensation , leave of absence,

medical and sick leave and overtime compensation



2. Faculty: summer salary

other faculty and administrative policies

provost/handbook/

Attachments:

1. Payroll System: Table of Data Input Information

2. Summary of Tax Guidelines for Graduate Student and Postdoctoral Appts

3. Table of Payroll Menu Choices vs. Field Changes

4. Academic Support Staff Appointment Information

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