GAP 200.172, Payroll Access for Effort Management on Sponsored Projects

Contents

1. General
2. Objective
3. Roles and Responsibilities
4. Best Practices
5. Exceptions
6. Resources

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I. General

This GAP addresses the management of access to payroll data and effort management tools applicable to Sponsored Research (20x-28x, A03, and 30x – 38x WBS Elements). It is critical that individuals accountable for effort management during the life cycle of sponsored projects have access to all necessary payroll and cost distribution information, including cross-organizational unit access (see GAP 200.171, Cross Organizational Unit Payroll Management on Sponsored Projects), to enable successful and efficient management of sponsored projects, support of the faculty, and timely and accurate closeout to reduce financial and compliance risk.

II. Objective

Individuals with responsibilities related to sponsored project effort management must be provided direct access to appropriate information, systems and tools to view cost distribution, Institutional Base Salary (IBS), and to submit relevant iForms as described below.

Appropriate access for the purposes of this GAP means that at a minimum, all designated individuals with effort management responsibilities including, Grant Managers and Departmental Administrators, as applicable, must have:

1. Visibility of cost distribution as a percent of effort for all Duke employees;
2. Visibility of one's total professional activities;
3. Ability to submit iForms cost distributions, manual salary cost transfers, and supplemental payments;
4. Visibility of Institutional Base Salary (IBS*) within the GM’s assigned organizational units.

Visibility for 1-3 above is provided through a tool on the Grants Management Tab on the Duke@Work portal and is available to everyone provided with that access. Visibility of IBS is granted through a separate security role, also visible on the Grants Management Tab.

* IBS is defined as the annual compensation paid by an Institution of Higher Education (IHE) for an individual's appointment, whether that individual's time is spent on research, instruction, administration, or other activities. IBS excludes any income that an individual earns outside of duties performed for the IHE, according to the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR 200.430 (h)(2).

III. Roles and Responsibilities

The Grant Manager is responsible for:

• Abiding by HR 04.12 Confidentiality Policy Statement
• Requesting access from their department, as appropriate and necessary, for managing projects within their portfolio.

The Department/Center/Institute is responsible for:

• Ensuring that all individuals managing effort on sponsored projects have appropriate and direct access, either granting this access themselves or requesting through the School/Management Center as procedures dictate.
• Removing access not necessary for fulfilling assigned functions.
• Regularly monitoring appropriate use by designated individuals and taking necessary actions for violation of policy.

The School/Management Center is responsible for:

• Responding to requests for payroll access by Department/Center/Institute
• Responding to matters of escalation
• Granting exceptions to payroll access, as appropriate.

IV. Best Practices

1. Primary responsibility for managing effort for personnel should be assigned to one responsible party at project award.

2. Active communication throughout the life cycle of the project.

3. If a Grant Manager doesn’t know where to move salary and associated compensation at a project's end, it should be allocated temporarily to a fund designated by the organizational unit in consultation with the Business Manager.

4. Organizational units should consider setting payroll distribution end dates on sponsored projects no later than the end date of the project.

V. Exceptions

Any organizational unit wishing NOT to grant these payroll accesses to individuals responsible for effort management on sponsored projects must request an exception from the School/Management Center in coordination with the appropriate central offices.

VI. Resources

Employee Data Search: (available at work.duke.edu > Grants Management Tab > Effort and Payroll Tools and Reports > Employee Data Search)

Institutional Base Salary Employee Search: (available at work.duke.edu > Grants Management Tab > Effort and Payroll Tools and Reports > Institutional Base Salary Employee Search)

Note: This guidance is administrative in nature and is not a cost reimbursement policy. Failure to comply may or may not result in adjustments of charges to the award. Noncompliance with this policy does not mean this cost is unallowable from an external perspective. Any adjustments of charges will be as required under applicable federal cost reimbursement principles. If a cost is removed from an award for any reason, whether or not related to this guidance, the cost will generally be charged to departmental funds.