Sponsored Projects Administration

A Retroactive Personnel Action is any personnel action that affects a prior payroll period.  It is the policy of the University to assure that submitting and processing Retro PAs that affect funding, salary, or position is truly on an exception basis only. It is also the policy of the University to assure that all Retro PAs are accurate and in compliance with all applicable rules and regulations.

This policy applies only to those PAs affecting funding, salary, or position, including changes in fund source; fund extensions; changes in percent time, and terminations.

SPONSORED PROJECTS ACCOUNTS & ALL OTHER ACCOUNTS

Sponsored Project Accounts are those accounts involving sponsored projects, and include:

  • Grants
  • Contracts
  • Gifts
  • Endowments

All Other Accounts are all accounts other than those defined as Sponsored Project Accounts (e.g. state accounts, designated accounts, service department accounts, etc.).

For the purposes of applying the Retro PAs policy, any Sponsored Project Account that does not require external financial reporting will be treated as an All Other Account. Confirmation of external financial reporting requirements is the responsibility of the PAF team.

Established Timeframes

Retro PAs are not allowed to cross fiscal years. This includes processing after fiscal year end.

Retro PAs for Sponsored Project Accounts will only be processed if initial submission is within sixty (60) calendar days from the end of the month when the expense was incurred, unless the Retro PA request is to move the expense from a Sponsored Project Account to an All Other Account. In addition, a Retro PA cannot be requested past the termination date of the sponsored project, unless the Retro PA request is to move an expense off the terminated account.

Any other Retro PA request should be submitted and processed as soon as possible after the need has been identified.

PROCEDURE

Departments

University departments are responsible for submitting Retro PA requests to the System Data Resources (SDR) team on a timely basis within the established timeframes described in the policy overview above. Upon completion of the process, departments will receive notification from SDR concerning the processing of their request.

A Retro PA request submitted to the SDR team also requires a completed Cost Transfer Request signed by the PI and the department's business officer of the appropriate operating unit attached to the Personnel Action at the time of submission

SDR (System Data Resources) Team

The SDR team will review the Retro PA request to determine if it meets the criteria for processing. If the request involves a Sponsored Project Account, the SDR Team will submit it to the PAF team for review.

If PAF disapproves a request, the SDR team will notify the department of the disapproval and forward the PAF team’s reasons for disapproval.

PAF (Post Award Finance) Team

PAF will review those Retro PA requests affecting Sponsored Project Accounts to:

  • Determine with the department if the request is the best option
  • Determine whether the request is allowable within the rules and institutional policy governing the accounts
  • Ensure that the Cost Transfer Request has been reviewed and approved in accordance with the Cost Transfers Policy.

Processing Retroactive PAs - Procedures

The SDR team shall receive the request for a Retroactive Personnel Action from a department and determine if the request crosses fiscal years. If the request for a Retro PA crosses fiscal years, the request will be denied and the SDR team will not process the request. SDR will notify the department that their request has been denied and returned.

If the request for a Retro PA does not cross the fiscal year, SDR will determine if the request involves a Sponsored Project Account and therefore requires review by the PAF team. PAF must review all Retro PA requests effecting Sponsored Project Accounts. If the request for a Retro PA must be reviewed by PAF, the SDR team will forward the request to PAF for their review and approval or disapproval.

Note that Sponsored Project Accounts are those accounts involving sponsored projects: grants, contracts, gifts, and endowments. All Other Accounts are all accounts other than those defined as Sponsored Project Accounts (e.g. state accounts, designated accounts, service department accounts, etc.).

However, for the purposes of Retro PAs, any Sponsored Project Account that does not require external financial reporting will be treated as an All Other Account. Confirmation of external financial reporting requirements is the responsibility of the PAF team.

If the request for a Retro PA does not involve a Sponsored Project Account, SDR will review the request for allowability. If the request is allowable, SDR will approve and process the Retro PA. If the request IS not allowable, SDR will not approve and process the Retro PA. In both cases, SDR will notify the department.

Note that all Retro PA requests received by the PA cutoff date, if approved, will be entered for the upcoming payroll and available for online review within the system. The SDR team will also notify the department once the Retro PA has been completed.

If the Retro PA request is disapproved, SDR will notify the department of the disapproval and forward the PAF team’s reasons for disapproval.

The SDR team receives notification from PAF whether they have approved the request for a Retro PA effecting a Sponsored Project Account. If PAF approves the request, SDR will process the Retro PA. If PAF does not approve the request, SDR will not process the request. In either case, SDR will notify the department.

All Retro PA requests received by the cutoff date, if approved, will be entered for the upcoming payroll and available for on-line review within the system. The SDR team will also notify the department once the Retro PA has been completed.

If PAF disapproves a Retro PA request, SDR will notify the department of the disapproval and forward the PAF team’s reasons for disapproval.