Financial Administration

Position Management Procedures (G40A)

Revised: December 19, 1996


  1. Introduction

    This paper provides the procedures necessary for the University of Wisconsin System (UWS) to carry out the policies contained in FAP - Position Management Policy (G40), including: procedures specific to the institutions which will assure that vacant authorized positions are available prior to recruiting and hiring, procedures for the preparation of reports comparing position authorizations to classified and unclassified payrolls, and procedures for the preparation of position requests and/or reports to confirm the status of position additions and/or deletions.

  2. Institution-Specific Procedures

    Because of differing organizational structures and assignment of position control responsibilities, each institution shall develop and implement operating procedures appropriate to the institution, including procedures that ensure before-the-fact knowledge of all GPR, PR (other than gift and grant), PRF (overhead and financial aids), and SEG revenue-supported positions authorized for recruitment or filled. These positions may not be authorized for recruitment or filled unless there is an existing vacancy of the same revenue type. 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 hiring a new employe.

    Positions supported by gift and grant PR or from PRF (contracts) may be filled in excess of the authorization, but the Chancellor's designee must report the number of additional positions to System Administration (SA) not later than the tenth day of the month following the end of the quarter in which the positions were first payrolled. The report shall contain the name of the awarding agency, the title of the grant or contract, fund number, account number, and the award amount.

    The institutions shall be responsible for developing and maintaining appropriate position management procedures, and SA shall be responsible for monitoring systemwide compliance. Each institution shall submit a procedure statement to SA for review and approval.

  3. Request Procedures for Additional Positions

    1. Form #1 shall be used to request positions, under ss. 16.50(3), 16.505(1)(c), and 16.505(2), for the following fund sources:

             General Purpose Revenues (GPR)               Fund
                Institutions and Systemwide               101 - 106
                System Administration                     301
                Family Medicine and Practice              116
                State Lab of Hygiene                      117
                Industrial and Economic Development       118
                Distinguished Professorships              119
                Minority and Disadvantaged Program        402
      
             Segregated Trust Funds (SEG)
                Trust Funds                               161
                Drivers Training                          163
      
             Federal Indirect Cost Reimbursement (PRF)
                Institutions                              150
                System Administration                     350
      
             Program Revenues (PR)
                Service Departments Shops                 120
                Auxiliary Enterprises                     128
                State Lab of Hygiene                      127 and 130
                Stores                                    129
                General Operating Receipts                132
                Other Operating Receipts                  136
                University Hospital                       139
      
             Federal Aid Loans and Grants
                Work Study                                145
                Student Loans                             147
      

      The request shall include program descriptions, evidence of need, efforts to reallocate, number of FTE, position types, and institution approval signature.

    2. Institutions shall be prepared to report, during the biennium in which new positions are approved, or for the length of time specified in the approval from state government, the status of positions added under ss. 16.50(3), 16.505(1)(c), or 16.505(2).

  4. Reporting Procedures

    The reports required by statute or agreement with the Department of Administration (DOA) shall include six computer-generated reports prepared by SA from budget and payroll data, and two reports prepared by the institutions. The institutions shall prepare a report on vacant classified positions and the quarterly report on the number of gift, grant, and federal contract positions. All reports are dependent upon payroll data that reflect accurate appointment designations and FTE counts.

    1. System Administration-Produced Reports

      A summary-level, computer-produced, monthly report (Schedule 1) provides: FTE payrolled positions by institution, revenue source, and position type (i.e., unclassified, classified, and graduate assistants); authorized positions by institution and revenue source (position authorizations are not made by position type); and vacant positions by institution and revenue source (the calculated difference between payroll and authorization). This report is prepared for the months of September through May and is used to monitor compliance with position control.

      A computer-produced report for the months of October and March showing positions payrolled on November 1 and April 1 (Schedule 2) provides filled classified positions by institution, budget activity, and fund source.

      A computer-produced report (Schedule 3) provides, upon request only, filled classified positions by institution, department, and fund source.

      A computer-produced, monthly report (Schedule 4) provides payroll data on filled unclassified positions by institution, activity, fund source, and position types (i.e, faculty, academic staff, and graduate assistants).

      A computer-produced report (Schedule 5) provides, upon request only, payroll data on filled unclassified positions by institution, department, fund source, and position types (i.e., faculty, academic staff, and graduate assistants).

      A summary-level, computer-produced, monthly report provides a headcount of all filled unclassified, classified, graduate assistant, and LTE employees. The executive and legislative branches require all agencies of the State to provide information on the number of payrolled employees regardless of employe category.

      A computer tape which contains detailed classified payroll data is produced biweekly for DOA (detailed employe information on each classified employe is formatted according to DOA/PMIS specifications). Although the payroll data do not match all elements of the State's s. 16.004(7) PMIS or include position numbers, all UWS data availability and comparability requirements, as defined by the PMIS data element dictionary, are met. This tape is used to load university classified employe payroll data into the DOA/PMIS computer system.

    2. Institution-Produced Reports

      The institutions are responsible for the preparation, upon request only, of a report (Form #2) on the status of vacant classified positions for the current fiscal year, to include the number of months vacant and/or reallocations to other classifications and/or departments. A statement on the status of positions that have been vacant in excess of nine consecutive months, shall be provided; the statement shall be by department, fund source, and position classification. The institutions shall submit reports (two copies) to SA not later than the twenty-third of the month following the period covered in the report.

      The institutions are responsible for the preparation of a s . 16.505(2m) quarterly report (Form #3) on the number of gift, grant, and federal contract funded positions created (from existing or new awards) and/or abolished during the preceding quarter. The report shall not include the reallocation of positions from terminated awards to new awards. The definition of positions created and abolished for reporting purposes shall be the net change experienced during the quarter. For example, if the number of positions payrolled at the end of the quarter is greater than the number at the beginning of the quarter, positions will have been created and an authorization granted equal to the position increase. Therefore, the documentation requirements described below must be prepared for that number of positions. On the other hand, if the number of positions at the end of the quarter is less than at the beginning of the quarter, a position authorization deletion will have been made and supporting documentation must be provided. The report shall include positions payrolled from the following fund sources:

           Purpose Revenues (PR)             Fund
            Gifts and Donations General      133
            Gifts - WARF                     135
      
          Purpose Revenues - Federal (PRF)
            Federal Aid - Morrill Nelson     141
            Federal Aid - Hatch Adams        142
            Federal Aid - Smith Lever        143
            Federal Aid - Special Projects   144
      

      The report shall identify the granting organization or donor, award title, period of the award funding source, award amount and the number of FTE positions added or deleted. Also, institutions are to provide, as needed, analyses of award activity and additional position information. In order for the report to be submitted to DOA and JCOF by the fifteenth of the month following the end of each quarter (i.e., October 15, January 15, April 15, and July 15), the institutions shall submit reports (two copies) to SA not later than the tenth of the month following the quarter (i.e., January 10, April 10, July 10, and September 10).

NOTE: Three forms and 5 schedules are referenced in this document but are missing from this file. They are included with hard copies of this document.