Financial Administration

APPENDIX A

APPENDIX A

POSITION CONTROL GUIDELINES

This is a summarized version of the position control policies and procedures. Refer to FAP - Position Management Policy (G40) and FAP - Position Management Procedures (G40A) for complete guidelines.

  1. Introduction

    Position control policies require that procedures be in place to assure that:

    1. Vacant positions must exist prior to recruiting and filling.

    2. Timely reports will be available comparing position authorizations with the number of filled classified and unclassified positions on the payrolls.

    3. Appropriate justification will be provided to document the need for additional positions.

    4. Management flexibility authorized by statute is being used properly.

  2. Position Authorizations

    The legislative budget process establishes a Full-Time Equivalent (FTE) position authorization for the University of Wisconsin System (UWS) by revenue source, and the annual budget process allocates the position authorization to the institutions. The allocated positions represent the initial authorization levels against which institutions are held accountable. Upon System Administration (SA) approval, the requests and reports will be forwarded when they satisfy the statutory requirement summarized in the following sections.

    Appropriation Definitions (Wis. Stats. 20.001) :

    General Purpose Revenue (GPR)
    General purpose revenues consist of general taxes, miscellaneous receipts and revenues collected by state agencies which are paid into a specific fund, lose their identity and are then available for appropriation by the legislature.

    Program Revenue (PR)
    Program revenues consist of revenues which are paid into the general fund and are credited by law to an appropriation to finance a specified program or state agency.

    Federal Revenues (PRF)
    Federal revenues are moneys received from the federal government which may be deposited as program revenues in the general fund or as segregated revenues in the segregated fund.

    Segregated Funds (SEG)
    Segregated fund revenues are revenues, which by law, are deposited into funds other than the general fund and are available for the purposes for which such funds are created.

    Statute Language:

    Section 16.505 (1) (c):
    This statute allows the governor, without Joint Committee on Finance concurrence, to create or abolish positions supported from federal funds, except for positions supported by federal contract funds. Federal contract funds are covered by Section 16.505 (2m).

    Section 16.50 (3):
    General Purpose Revenue (GPR) and Segregated Funds (SEG) are covered by this statutory section. The reporting and approval requirements for these funds are the most rigorous. "No change in the number of full time equivalent positions authorized through the biennial budget process or other legislative act may be made without the approval of the joint committee onfinance." This section gives the secretary the authority to withhold funds, in total or in part, until the secretary determines the funding is in accordance with 16.505 or the action ofRegents is accordance with 16.505 (2m). "Until the release of funding occurs, recruitment or certification for the position may not be undertaken."

    Section 16.505 (2):
    This section covers Program Revenue (PR) appropriations. The approval process for this section is less rigorous than those positions covered by section 16.50 (3) "upon receiving such a request, the governor may change the authorized level of full-time equivalent positions funded from such revenues in the agency in accordance with this subsection. The governor may approve a different authorized level of positions than is requested by the agency. If the governor proposes to change the number of positions.....the governor shall notify the joint committee on finance in writing of his or her proposed action. If the cochairpersons of the committee do not notify the governor that the committee has scheduled a meeting for the purpose of reviewing the proposed action within 14 working days after the date of the governor's notification, the changes may be made as proposed. If the cochairpersons schedule a meeting .........changes may be made under this subsection only upon approval of the committee."

    Section 16.505 (2m):
    This section covers Gifts(PR); Federal Contract (PRF)and Endowment (SEG) funds. "The Board of Regents of the University of Wisconsin System may create or abolish a full-time equivalent position or portion thereof from revenues appropriated under s. 20.285 (1) (h), (ip), (iz),(j), (m), (n), (u) or (3) (iz) or (n). No later than the last day of the month following completion of each calendar quarter, the Board of Regents shall report to the department and the cochairpersons of the joint committee on finance concerning the number of full-time equivalent positions created or abolished under this subsection during the preceding calendar quarter and the source of funding for each such position."

    Appropriation Types (Wis. Stats. 20.001):

    Annual Appropriations
    are appropriations which are expendable only up to the amount shown in the schedule and only for the fiscal year for which made. At the end of the fiscal year the unencumbered balances shall revert to the fund from which appropriated unless the appropriation is program revenue (PR, PRF) and indicates the moneys are to be credited to the account for that appropriation, in which case all unencumbered balances shall be retained in that appropriation account.

    Biennial Appropriations
    are appropriations which are expendable only for the biennium for which made. The amounts in the schedule represent the most reliable estimates of the amounts which will be expended in each fiscal year. The appropriation for the first year of a biennium shall be the sum of the expenditures for such year plus the outstanding encumbrances at the close of such year; the unencumbered balance at the close of the first year shall constitute the appropriation for the second year of the biennium. At the end of the biennium, the unencumbered balances shall revert to the fund from which appropriated unless the appropriation is a program revenue appropriation and indicates the moneys are to be credited to the account for that appropriation, in which case all unencumbered balances shall be retained in that appropriation account.

    Continuing Appropriations
    are appropriations which are expendable until fully depleted or repealed by subsequent action of the legislature. The amount of a sum certain continuing appropriation for a given fiscal year consists of the balance in the appropriation account at the end of the previous fiscal year, if any, together with any moneys appropriated under s. 20.005 for that fiscal year. The amount of a continuing appropriation from program revenues or segregated revenues or segregated revenues from program receipts consists of the balance in the appropriation account at the end of the previous fiscal year, if any, together with any revenues received during the fiscal year that are directed by law to be credited to the appropriation account.

    Sum Sufficient Appropriations
    are appropriations which are expendable from the indicated source in the amounts necessary to accomplish the purpose specified. Dollar amounts represent the most reliable estimate of the amounts which will be needed.

  3. Position Control Policies

    The management of the UWS position authorization will be consistent with the operating policies identified below:

    1. The Authorized Position Control Report will represent the authorized number of FTE positions by revenue type against which institutions will control filled and vacant positions. The report, which is prepared by SA, starts with the annual budget allocation, and is adjusted for interinstitutional reallocations and approvals under ss. 16.505 (1) (c), 16.505 (2), 16.505 (2m), and 16.50 (3).

    2. The chancellor's designee will be responsible for compliance with all position control policies and procedures.

    3. The announcement, recruitment, and filling of positions on GPR, PR (other than gift and grant), PRF (overhead and financial aids), and SEG (other than trust funds) will be limited to the availability of authorized, uncommitted, vacant positions. An exception to the announcement and recruitment condition is permitted when the officer responsible for position control is able to confirm that an existing filled position will become vacant and available prior to filling a new position. However, recruitment initiated in anticipation of a vacancy is not justification for exceeding the authorized position level; if hiring must occur, an appropriate revenue source with uncommitted positions must be used.

    4. The net change in the number of positions funded from PR (gift and grant), PRF (contracts), and SEG (trust funds) revenues from the number shown on the Authorized Position Control Report at the end of the previous quarter must be reported to SA on a quarterly basis. The chancellor's designee is authorized to create PR, PRF and SEG positions to enable the faculty to satisfy the terms of Regent-approved gifts, grants and contracts provided that a report of such action is filed quarterly with SA. The report shall be filed no later than the tenth day of the quarter following the month when the position was first payrolled on the gift, grant, or contract.

    5. Filled positions in excess of authorized levels will not be payrolled from any appropriate fund with out sufficient FTE position authority.



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Created: 10/20/98
Last Updated: 06/16/2003