Payroll Confirmation & Service Centers

Payroll Confirmation and Service Centers assists campus with the management of the review and verification of cost distributions for faculty and staff working on sponsored projects.  Our office is also the contact for assistance with cost distribution entry for faculty in the Faculty Effort System.

We are utilizing ecrt for Project Payroll Confirmation. This interface enables our users and administrators to see all payroll expenditures associated with specific sponsored projects at varying increments of time. The payroll information is updated after the close of every payroll cycle and is incorporated into the reporting functionality to allow maximum benefit to our campus community. This web-based tool allows business officers, principal investigators and administrators to access information anytime, anywhere through the myUK portal.

Working closely with our campus service centers and recharge operations, we provide guidance surrounding the primary requirements of appropriate rate development. We review all new requests to establish service centers and recharge operations, providing feedback on the overall business plan, the various components associated with developing appropriate rate structures, and the requirements of the billing process. We also provide on-going oversight of service center account balances and work closely with our campus partners to determine any adjustments that may be needed.

Staff

Payroll Confirmation

Payroll Confirmation FAQs

Faculty Effort System (FES)

FES FAQs

DHHS Salary Cap

DHHS Salary Cap FAQs

Service Center Information

Service Center FAQs

 

 For general Payroll Confirmation inquiries, please email ecrt.help@uky.edu

 For general Service Center inquiries, please email svcctr.help@uky.edu 

 

Penelope Spradlin

 Payroll Confirmation & Service Centers Supervisor

(859) 257-9017

Cherri Wallace

Payroll Confirmation Specialist

(859) 257-1747

 

Payroll Confirmation

FY 19 Project Payroll Confirmation Schedule

FY 20 Project Payroll Confirmation Schedule

 

Principal Investigator Resources

Top 10 things Principal Investigators Need to know about Payroll Confirmation

ecrt Users Guide-Principal Investigator

ecrt Users Guide Non-Federal Projects - Principal Investigator

ecrt Quick Start Video - Principal Investigators

ecrt Missing Person on Project Statement - Principal Investigators

 

Quick Reference Cards

QRC - Total Payroll for Individual on a Project Statement

QRC - Payroll Confirmation Workflow Roles

QRC- ECRT Dept Dashboard Roles & Rights

QRC -Instructions to update Internet Explorer to IE9 within ecrt

QRC Project Statement Roles Rights

QRC-Status Icons within ecrt

QRC-ECRT College Effort Coordinators List

QRC-Cost Center Reports

QRC-Payroll Loaded to a PreReviewed Statement

QRC-Looking up Primary Department Effort Coordinator

QRC-Project Status Report

QRC-Missing Person on Project Statement

QRC-Project Statement Revision Requested

QRC-Process Project Statement Revision

 

ecrt User Guides

ecrt Users Guide - Primary Dept Effort Coordinator

ecrt Users Guide - Backup Dept Effort Coordinator

ecrt Users Guide-College Effort Coordinator.docx

 

Department Resources

Dept Point of View for Success with Project Payroll Confirmation

Primary Department Effort Coordinator Workflow

Principal Investigator Workflow

 

Reports

Running the Payroll Report-College Effort Coordinator

Running the Payroll Report-Primary Dept Effort Coordinator

Monitoring Reports - College Effort Coordinator

 

Presentations

Go Live Department Effort Coordinator Training

University Budget Officers Presented March 22, 2017

Deans Council Presented March 21, 2017

Faculty Workshop Presented March 1, 2017

ADR Meeting Presented December 19, 2016

University Budget Officers Presented December 15, 2016

 

Payroll Confirmation FAQ's

What is Project Payroll Confirmation?

How often do project statements need to be Pre Reviewed and/or Confirmed?

How will I know when it is time to complete the pre review and/or confirmation of my assigned project statements?

Why are my project statements in the Department Dashboard "In Progress" and why can I not Pre Review them? 

I am not seeing all of the payroll that I expected. How often is ecrt updated?

What project statements must be Pre Reviewed?

What project statements must be Confirmed?

Why does my cost center have a statement?

What am I supposed to do during pre-review?

If I am pre reviewing/ confirming payroll expenses, why am I seeing a percentage on the project statement?

Why does the payroll % not match the effort percentage on the cost distribution?

How is payroll % calculated?

What if a person is missing on the project statement?

I have completed pre reviewing the projects on my work list, but the pre review period is still open. Will anything else post to my project statements?

I have a new tab on my homepage called "Pending Payroll Tasks".  What is this tab?

I have a "Project Statement Revision Requested" task on the Pending Payroll Tasks tab.  What should I do to resolve this task?

What happens if a revision was requested on a project statement but it is determined that the revision is not needed?

Will Primary Department Effort Coordinators be responsible for notifying the Principal Investigators that changes have been made during the pre-review process?

What is the "Statements Awaiting Confirmation" tab?

If a Principal Investigator makes changes to the percentages as they confirm, do those route back to the Primary Department Effort Coordinator for review?

My Principal Investigator confirmed a statement, but now recognizes there are some payroll charges that are incorrect.  What do I do?

My Principal Investigator is working on completing the confirmation process, but there is a person showing as $0.00 on the project statement.  Should my Principal Investigator confirm?

My Principal Investigator is not available to confirm his/her project statement.

My Principal Investigator has left the University.  What should I do to ensure the project statement is confirmed timely?

 

What is Project Payroll Confirmation?

An alternative to traditional effort reporting that uses a project based methodology and utilizes the concept that “charges are reasonable in relation to the work performed”. Project statements will be used to demonstrate actual payroll expenses per project as opposed to individual statements per person.

How often do project statements need to be Pre Reviewed and/or Confirmed?

Project statements must be pre reviewed and/or confirmed on a quarterly basis. Confirmation is only required on federal and federal flow through funds.

How will I know when it is time to complete the pre review and/or confirmation of my assigned project statements?

The ecrt system will automatically generate emails to the Primary Department Effort Coordinator when the pre review period is open. Principal Investigators will also receive a system generated email when the confirmation period opens.

Why are my project statements in the Department Dashboard "In Progress" and why can I not Pre Review them? 

All project statements will be in the ‘In Progress’ status until the Pre Review period beings. The statements can be reviewed from the Department Dashboard at any time but no action is required.

I am not seeing all of the payroll that I expected. HOw often is ecrt updated?

The ecrt system will be loaded and updated after every regular payroll run to ensure that department administrators have the most up to date and valid information possible.

What project statements must be Pre Reviewed?

All sponsored project statements, both federally funded and non-federally funded, must be pre reviewed by the Primary Department Effort Coordinator.

What project statements must be Confirmed?

The Principal Investigator must confirm all federally funded sponsored projects. This includes both directly federally funded as well as federally funded flow-through projects.

Why does my cost center have a statement?

All payroll expenses will be loaded into ecrt and will therefore produce a project statement. However, only sponsored projects will require the pre review and confirmation process. Cost centers are not required to be pre reviewed or confirmed, but the tool is available.

What am I supposed to do during pre-review?

As the Primary Department Effort Coordinator, you will need to log into ecrt and review the payroll expenses for each employee that was paid from or cost shared on the specific project during the reporting quarter. If corrections are needed, you will place the statement in “Revision Requested” status to prevent the statement moving on to the Principal Investigator for formal confirmation, until after the corrections have been made in SAP and subsequently loaded to ecrt.

If I am pre reviewing/ confirming payroll expenses, why am I seeing a percentage on the project statement?

The percentage is provided for ease of interpretation to the Principal Investigator. You are actually reviewing the overall payroll expenditures.

Why does the payroll % not match the effort percentage on the cost distribution?

The payroll % considers both base and non-base pay. The percentage could be different due to several items such as overtime payments, bonus payments, summer research payments, Wethington Awards, etc. 

How is payroll % calculated?

The payroll percentage is calculated based on the total payroll for the person for the quarter.

What if a person is missing on the project statement?

If someone is missing on the project statement, you will select the revise payroll checkbox for any person that is on the project statement to place the statement in Revision Requested Status. Once this is completed, work with the persons necessary to initiate the payroll changes in SAP. Please see QRC-Missing person on a Project Statement.

I have completed pre reviewing the projects on my work list, but the pre review period is still open. Will anything else post to my project statements?

Yes. Although the pre review process is completed, it is possible that retroactive pay adjustments could still occur in current payroll processing and post to the project statements automatically. So, it is very important to remain in communication with the payroll specialist for your area to ensure you are aware of any adjustments that could impact a statement in “Pre Reviewed” status.

I have a new tab on my homepage called "Pending Payroll Tasks". Whiat is this tab?

The Pending Payroll Tasks tab appears on the homepage for the Primary Department Effort Coordinator any time a request for a revision is made or payroll is loaded to a statement that has had a revision requested.

 I have a "Project Statement Revision Requested" task on the Pending Payroll Tasks Tab.  What should I do to resolve this task? 

Click on the task from the Pending Payroll Tasks tab. Review the request for the revision and communicate with anyone you need to in order to determine if the revision is necessary. If there is a revision required for the project statement, you will click the Approve button on the task and initiate a payroll change (either Retroactive Payroll Adjustment or Z4 document). If a revision is not necessary, this will return the task to the status where the revision was originally requested (Ready for Pre Review or Ready for Confirmation).

What happens if a revision was requested on a project statement but it is determined that the revision is not needed?

If the task has been resolved on the Pending Payroll Tasks tab, you will need to contact Research Financial Services to have the statement reopened and returned to the workflow. Please email ecrt.help@uky.edu for any of these requests.

Will Primary Department Effort Coordinators be responsible for notifying the Principal Investigators that changes have been made during the pre-review process?

We encourage you to work closely with your Principal Investigators on all payroll adjustments. The system will not notify the Principal Investigator of changes made during pre review. The payroll adjustments will be available to view in the transactions log of the project statement.

What is the "Statements Awaiting Confirmation" tab?

The Statements Awaiting Confirmation tab lists all project statements that are ready for confirmation. Only Principal Investigators will have project statements listed even though this tab appears on everyone’s home page.

If a Principal Investigator makes changes to the percentages during the confirmation period, do those route back to the Primary Department Effort Coordinator for review?

Yes. When the Principal Investigator clicks the “Revise Payroll” button, a “Revision Requested” task routes to the Primary Department Effort Coordinator for review and processing. Training materials are available on our website for more detailed instruction.

My Principal Investigator confirmed a statement, but now recognizes there are some payroll charges that are incorrect.  What should I do?

Please email Research Financial Services at ecrt.help@uky.edu about this situation. The statement can be reopened and sent back to the Principal Investigator to place in Revision Requested status.

My Principal Investigator is working on completing the confirmation process, but there is a person showing as $0.00 on the project statement.  Should my Principal Investigator confirm?

A person may show as $0 on a project statement if they charged a project even though they didn’t work on the project and were subsequently removed. There is not a way in the software to remove an individual from the project statement who shows $0. By confirming someone at $0 the Principal Investigator is confirming that the individual should not have charged the grant.

My Principal Investigator is not on campus to confirm his/her project statement.

The ecrt software can be accessed if the user has an internet connection.

My Principal Investigator has left the University.  What should I do to ensure the project statement is confirmed timely?

Please email ecrt.help@uky.edu to notify Research Financial Services of the situation. Research Financial Services will evaluate the situation and work with the Primary Department Effort Coordinator to resolve.

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Service Centers

Service Centers and Recharge Operations Policy

Service Center & Recharge Operations Contact List FY19

Service Center Recharge Operation Single Rate Request Summary Template

Service Center Recharge Operation Multiple Rate Request Summary Template

Service Center Instructions

UK Revenue questionnaire template

 

 Service Center Quick Reference Cards

How to determine a Service Center balance

PY Fund Balance Estimate

Key Considerations in Rate Development

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Service Center Presentations

Service Center & Recharge Operations Rate & Budget Development

Additional Examples for Rate Sheet & Budget Completion

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General Questions

What is the difference between a service center and recharge operation?

How do I become a Recharge Operation or Service Center?

Is there a fee charged to service centers or recharge operations?

What is the difference between a Minor and a Major Service Center?

How can I tell if an account is a recharge operation or service center?

Can I purchase capital on my Service Center (10438XXXXX) Account?

What can I use my Renewal and Replacement (14278XXXX) Account to purchase?

Can I include indirect costs for depreciation in my Recharge Operation or Service Center billing rate?

Can I always carry forward the service center fund balance at the end of the fiscal year to the new fiscal year?

What do I do if the service center fund balance has a deficit over 10% of the expenditures?

How do I become a Recharge Operation or Service Center?

 

What is the difference between a service center and recharge operation?

Recharge Operations are departmental units that have direct costs less than $50,000 in a fiscal year. Service Centers are operational units that have direct costs greater than $50,000 in a fiscal year. Since a recharge operation is a departmental unit their fund balance at the end of the year rolls up with the other department accounts. A service center is unique because its fund balance can be carried forward, if it is less than 10 percent of expenditures for the year - surplus or deficit. A service center can also include indirect costs (depreciation) in their rate, but is not allowed on recharge operation accounts

How do I become a Recharge Operation or Service Center?

The first step is to establish whether a recharge or service center is the appropriate account to be established by completing the revenue questionnaire and information about the service or good to be provided. Second, rates will need to be developed using the Service Center Rate Request Form, a Request for Establishing/Revising Service Center Cost/Funds Centers and a Request GL Account/Commitment Item form will need to be completed, as well as a Budget Revision Request. Please see the service center policy section 4.7 for more detailed information.

Is there a fee charged to service centers or recharge operations?

No, there is not a fee charged to service centers or recharge operations

What is the difference between a Minor and a Major Service Center?

A minor service center has direct costs greater than $50,000, but less than $500,000 and can include equipment depreciation expenses in their rate. A major service center has direct costs greater than $500,000 and can include equipment and building depreciation and maintenance and operations costs in their rate

How can I tell if an account is a recharge operation or service center?

The budget family attribute on the Funds Center distinguishes the type of account. A recharge operation has a budget family of 23. The budget family for a minor service center is 22 and a major service center is 21. Also, all service center account numbers begin with the 10438XXXXX series

Can I purchase capital on my Service Center (10438XXXXX) Account?

No, federal guidelines do not allow the purchase cost of capital assets to be charged to the service center account, but capital assets can be purchased on a renewal and replacement account (14278XXXXX).

What can I use my Renewal and Replacement (14278XXXX) Account to purchase?

Only capital assets (55XXXX - g/l accounts) can be purchased with the money in your renewal and replacement account. Remember, to be considered capital the item must meet the University's policy on capital threshold limits. For more information please see the Business Procedures Manual or contact Plant Assets.

Can I include indirect costs for depreciation in my Recharge Operation or Service Center billing rate?

Recharge Operations cannot recover indirect costs for depreciation in their rates, but Service Centers are allowed to recover depreciation costs.

Can I always carry forward the service center fund balance at the end of the fiscal year to the new fiscal year?

If the service center fund balance (surplus or deficit) is less than or equal to 10 percent of the expenditures, then the fund balance can be carried forward. A prior year carry over is used in the calculation of the fund balance, but it is not considered an expenditure when calculating the 10 percent rule. When a balance is carried forward to the next fiscal year, it must be used in the calculation of rates.

What do I do if the service center fund balance has a deficit over 10% of the expenditures?

A subsidy will be needed from a general fund account to bring the service center account balance under the 10 percent of expenditures.

 

Faculty Effort System (FES)

Quick Reference Cards

QRC-Cost Distribution Processing

 

Faculty Effort System (FES) FAQ's

What is the FESClient?

Whose payroll distribution must be entered into FES?

What is the difference between FES and EPS?

EPS included a Payroll Distribution Block.  Why do we also enter the payroll distribution in FES?

Can a Version 1 cost distribution be entered in FES for a new faculty before their HR information is entered into SAP?

What happens if a new faculty needs to be paid and their payroll distribution has not been entered into FES yet?

What is the error that is still showing in the "Cost Distribution Valid" box after the payroll distribution has been entered?

What does the error message "Matrix change occurs prior to earliest retro date" mean and how can it be corrected?

What does the error message "Distribution has changed or has been deleted for a cost object which is no longer valid for posting" mean and how can it be corrected?

In the payroll distribution of an in-progress Version, -1.00's have appeard in some months, creating an error.  What does this mean and how can it be corrected?

On Version 2 and higher, what changes can be made in the Cost Objects (Commitments) section?

Why is the AVC check failing and how can it be corrected?

When does a new Version move from the "Submitted to RFS" tab to the "Activated" tab in FES?

Where in SAP can the activation date be seen?

What does the Pre-alert progam do?

Will an email be sent to a user when their department has Pre-alerts?

 

What is the FESClient?

The FESClient is the application that allows for data entry of payroll distribution in the Faculty Effort System (FES).   

Whose payroll distribution must be entered in FES?

Payroll distribution for all full-time faculty, including regular and temporary, is entered into FES, along with the distribution of all phased retirees.

What is the difference between FES and EPS?

While FES is used solely for the entry of payroll distribution, EPS (Effort Planning System) is used for the collection of mission area effort percentages and payroll distribution cost objects and percentages that make up the Distribution of Effort (DOE) Agreement.

EPS includes a Payroll Distribution Block.  Why do we also enter the payroll distribution in FES?

While FES is used solely for the entry of payroll distribution, EPS (Effort Planning System) is used for the collection of mission area effort percentages and payroll distribution cost objects and percentages that make up the Distribution of Effort (DOE) Agreement.

Can a Version 1 cost distribution be entered in FES for a new faculty before their HR information is entered in SAP?

Yes.  As long as the new faculty has been entered in the Faculty Database, the Version 1 cost distribution can be entered and processed in FES.

What happens if a new faculty needs to be paid and their payroll distribution has not been entered in FES yet?

The faculty will still be paid, with salary and benefits being charged to their position’s associated cost assignment, listed in SAP on their HR Info-type 1018-Cost Distribution for the Position.  When their Version 1 is processed in FES and monthly payroll runs again, the charges will be retroactively adjusted.

What is the Error that is still showing in the "Cost Distribution Valid" box, after the payroll distribution has been entered?

The error will appear under the CD/Matrix Messages tab in the Monthly Cost Distribution block.

FES PIC 1.png

FES PIC 2.png

What does the error message "Matrix change occurs prior to earliest retro date" mean?

This message means that a new Version was started prior to the changing of the earliest retroactive date by Payroll Services.  Any in-progress Versions affected by the ERD change must be deleted and re-inserted in order to be subject to the ERD edit check and continue thru the activation process.

What does the error message "Distribution has changed or has been deleted for a cost object which is no longer valid for posting" mean and how can it be corrected?

This message means that cost distribution changes are being attempted on a grant that is in a closing status on the Grant Master in SAP.  The Financial Administrator of the grant must be contacted and requested to open the grant for effort changes to be made in FES.  It is up to the discretion of the F.A. if the grant will be opened for the change or remain in a closing status.

In the payroll distribution of an in-progress Version, -1.00's have appeared in some months, creating an error.  What does this mean and how can it be corrected?

The grant has either been extended to include the months with the -1.00’s or has been shortened to eliminate those months, requiring replacement of the negative numbers with appropriate effort values.

On Version 2 and higher, what changes can be made in the Cost Objects (Commitments) section ?

Only new cost objects that have not been present on the previous Version can be added to the Commitments section on Version 2 and higher.  Cost objects cannot be removed or effort values be changed to 0 in this section, as this will produce errors and the new Version will have to be deleted and re-inserted.

Why is the AVC check failing and how can it be corrected?

When the AVC check fails and the grant that is failing is highlighted in FES on the results screen, the reason can be viewed at the bottom of the screen under the section “AVC Results for Selected Cost Object.”  This section shows the amount being charged on this Version and the available budget.  When the “Check Amt” exceeds the “Avail Bal”, the AVC check fails. To correct this error, either the effort percentage being charged on this Version must be lowered or a budget revision needs to be requested of the account’s Research Administrator at OSPA.

FES PIC 3.png

When does a new Version move from the "Submitted to RFS" tab to the "Activated" tab in FES?

Because FES is not on real time with SAP, where the activation actually occurs, the new Version will appear in the Activated tab in FES the day after it is activated in SAP. 

Where in SAP can the activation date be seen?

In the transaction code ZFESDOE, under the DOE Data tab, the activation date can be viewed.

FES PIC 4.png

What does the Pre-alert program do?

The Pre-alert program runs daily against activated Versions to alert departments that changes in HR data or in cost object master data have occurred that could impact the monthly payroll distribution and require a new Version.

Will an email be sent to a user when their department has Pre-alerts?

No.  Pre-alert messages should be checked at least monthly, or preferably more frequently, and new Versions generated when appropriate.

 

DHHS Salary Cap

DHHS Salary Cap Template

DHHS Salary Cap Summer Salary Template

DHHS Salary Cap Template Instructions

DHHS Salary Cap Calculation Examples

 

DHHS Salary Cap FAQ's

What is the DHHS Salary Cap?

Why do we need to be compliant with DHHS salary cap requirements?

Where can I find information about the DHHS Salary Cap?

Does the University of Kentucky use one salary cap per award?

Where can I find a list of the historical salary cap amounts?

Why does the University of Kentucky treat salary amounts over the salary cap as cost share?

How do I calculate the requirement for DHHS Salary Cap?

Are benefits included in the DHHS Salary Cap calculation?

What types of agreements/grants are subject to DHHS Salary Cap?

What can I use to identify if my grant is a DHHS grant?

Does the DHHS Salary Cap only apply to full-time faculty and staff?

If my faculty or staff is not direct charging my grant, are they subject to the DHHS Salary Cap?

Is Summer Salary paid to Faculty on a DHHS award subject to salary cap? 

How does the University of Kentucky monitor compliance with the Salary Cap requirements?

 

What is the DHHS Salary Cap?

The DHHS salary cap is a rate of pay limitation that is legislatively-mandated by the Federal government, specifically limiting the maximum amount of salary an individual can charge to a DHHS award.

Why do we need to be compliant with DHHS salary cap requirements?

Due to the large volume of Federal dollars received by the University via grant awards, our compliance with the salary cap restrictions is mandatory to demonstrate diligent oversight of the use of these funds.

Where can I find information about the DHHS Salary Cap?

Current guidance under a Continuing Resolution can be found at: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-18-137.html,

Subsequent publishing of the actual DHHS Appropriation for FY 2018 can be found at: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-18-181.html.

Does the University of Kentucky use one salary cap per award?

No.  The salary cap amount is legislatively-mandated annually, with active awards being subject to the cap in effect at the time. 

Where can I find a list of the historical salary cap amounts?

https://grants.nih.gov/grants/policy/salcap_summary.htm

Why does the University of Kentucky treat salary amounts over the salary cap as cost share?

Salary amounts over the cap are considered unallowable expenses and as such, cannot be direct-charged to the sponsor; however, they must remain tied to the project.

How do I calculate the requirement for DHHS Salary Cap?

Please refer to the PDF document “DHHS Salary Cap Calculation" in the section above.

Are benefits included in the DHHS Salary Cap calculation?

No, benefit expenses are excluded from the calculation because benefit expense amounts are allocated based on the salary percentage.

What types of agreements/grants are subject to DHHS Salary Cap?

Cost-reimbursement grants and cooperative agreement awards are subject to the salary cap.

What can I use to identify if my grant is a DHHS grant?

DHHS grants are denoted in SAP on the Reference tab in GMGrantD with a CFDA Number 93.XXX series. 

Does the DHHS Salary Cap only apply to full-time faculty and staff?

No.  The salary cap applies to anyone charging a DHHS grant, regardless of FTE.

If my faculty or staff is not direct charging my grant, are they subject to the DHHS Salary Cap?

No.  The salary cap is a restriction on the amount that can be direct-charged to the sponsor.  If not direct-charging, then no salary cap applies.

 Is Summer Salary paid to Faculty on a DHHS award subject to Salary Cap?

Yes.  All salary direct charged to a DHHS award regardless of type is subject to the salary cap requirements.

How does the University of Kentucky monitor compliance with the Salary Cap requirements?

A quarterly review of all individuals whose salaries are over the cap and who are direct-charging a DHHS grant is performed by Research Financial Services.  Notification is sent to campus to initiate corrections timely to coincide with the earliest retroactive payroll dates.  A final review is performed at the close-out of the grant to ensure compliance.   

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