SERVICE REQUEST 15458 REQUIREMENTS ONE-TIME LUMP SUM PROCESS FOR

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SERVICE REQUEST 15458 REQUIREMENTS ONE-TIME LUMP SUM PROCESS FOR Powered By Docstoc
					                SERVICE REQUEST 15458
                    REQUIREMENTS
              ONE-TIME LUMP SUM PROCESS
      FOR RESEARCH SUPPORT PROFESSIONAL (RX) UNIT




                                                      September 16, 1999
                                             Human Resources and Benefits
                                                              S.Dommer




Approved: ________________________________
          Labor Relations
 Research Support Professional Unit Lump Sum Process Requirements
I. OVERVIEW ............................................................................................................................................. 1
     General Conditions of the Lump Sum .................................................................................................... 1
     Payment of the Lump Sum...................................................................................................................... 1
II. ELIGIBILITY.......................................................................................................................................... 3
     Contract Language Eligibility................................................................................................................. 3
     PPS Eligibility......................................................................................................................................... 3
III. 1997-1998 LUMP SUM DETERMINATION ..................................................................................... 6
     Contract Eligibility.................................................................................................................................. 6
     1997-1998 PPS Eligibility requirements:................................................................................................ 6
IV. 1998 – 1999 Lump Sum Eligibility:..................................................................................................... 10
     Contract Eligibility................................................................................................................................ 10
     1998-1999 PPS Eligibility requirements:.............................................................................................. 10
V. Special Lump Sums................................................................................................................................ 13
VI. RX Adjustment Holding File............................................................................................................... 17
VII. Lump Sum Rosters ............................................................................................................................. 18
     Preliminary Roster – Groups 1-9 .......................................................................................................... 18
     Final Roster – Groups 1-9..................................................................................................................... 18
     Preliminary Special Casual Signing Lump Sum Report – Groups 10-11 ............................................. 18
     Final Special Casual signing Lump Sum Report .................................................................................. 18
     Preliminary Career Step Based Move to October Merit Date Report ................................................... 19
     FINAL career Step Based Move to October Merit Date Report ........................................................... 19
     Roster Processing.................................................................................................................................. 19
VIII. Lump Sum Payment Transactions................................................................................................... 20
IX. Special Processing Requirements........................................................................................................ 21
     FAU Override ....................................................................................................................................... 21
     Compression of Range and Merit Pay Transactions ............................................................................. 21
Attachment A – Table A............................................................................................................................. 22
Attachment B – Table B ............................................................................................................................. 26
Attachment C – Preliminary Roster.......................................................................................................... 28
Attachment D – RX Final Roster............................................................................................................... 29
Attachment E – Preliminary Casual Special Lump Sum and Signing Bonus Roster........................... 30
Attachment F – Final Casual Special Lump Sum and Signing Bonus Roster....................................... 30
Attachment G – July to October Merit Date Roster................................................................................ 31




RX Lump Sum Requirements
               ONE-TIME LUMP SUM PAYMENT FOR RX SETTLEMENT

I. OVERVIEW

In settlement of the Research Support Professional contract (RX Unit), it is stipulated that
exclusively represented employees in the unit are to receive salary range and merit increases that
become effective with the contract ratification. The contract was ratified effective (August 20,
1999). The contract with the RX unit has been in negotiation since 1997; in lieu of retroactive
adjustments from 1997 to the ratification date, eligible employees are to receive a one-time lump
sum payment. The eligibility and conditions for these payments are described below. Payments
are due to employees within 150 days of the ratification date, by January 18, 2000.


Additionally, a Side Letter agreement to the contract provides for special ‘signing bonus’
payments to a small group of casual employees.


In order to validate eligibility for the lump sum payments, a roster of eligible employees and the
computed lump sum payment amounts should be produced for campus review. Three separate
rosters are specified: the general lump sum payments, special lump sum and signing bonus
payments, and the special lump sum for employees moving from a July to October merit date
cycle. The rosters will be provided to Labor Relations offices on campuses to distribute to
departments for verification of the information on the reports. The rosters must be turn around
documents in order that campuses may correct the derived information on the population.


GENERAL CONDITIONS OF THE LUMP SUM

The lump sum increase stipulated in the wage settlement is in lieu of retroactive adjustments.
The lump sum is intended to compensate employees for salary increases from 1997 to the date the
employees receives a base increase. Eligibility is based on conditions described below but the
determination of the lump sum payment is based on current appointment status regardless of
whether the employee may have had changes during the previous two-year period. For example,
an employee who is now a career employee at 100% time but was a 50% variable time casual
employees for part of the 11/97 to current period, receives the lump sum based on his/her current
career appointment title and percent time.




PAYMENT OF THE LUMP SUM


                                                                                                     1
One-time payment transactions FT transaction type must be generated from this lump sum
process. For purposes of this agreement, the lump sum payments are considered covered
compensation for UCRS purposes. A new DOS code, LSB (lump sum- UCRS Base building),
should be used for these adjustments. In order for UCRS to properly post the lump sum
adjustment, the payment transactions generated must record individual month end dates for each
eligible month the employee receives the lump sum payment for in lieu of retroactivity.


For contract and grant requirements, each lump sum, except the signing and special casual 99/200
lump sum, must be charged against the original fund source the employee received payment from.
When an employee was paid from multiple fund sources, the lump sum must be pro-rated to the
associated funds.


The process should categorize the lump sum payments by Primary Pay Schedule (EDB 0152) so
that campuses can run the transactions into the appropriate payroll compute cycle if desired.




                                                                                                 2
II. ELIGIBILITY

CONTRACT LANGUAGE ELIGIBILITY

A. GENERAL PROVISIONS


4. Eligibility: - To be eligible employees must be on pay status (or on approved leave) on the
effective date of this agreement and have been on pay status in a position in this unit
continuously for the previous eight months without a break in service, for the 1998-99 lump
sum and base increases and from November 1, 1997 through June 30, 1998 continuously
without a break in service (or on approved leave) for the 1997-98 lump sum and base increases.
However, casual, step-based employees may have had a break in service of not more than 30
days during these two periods of time and still be eligible if they are otherwise eligible.
Employees must also be on pay status (or on approved leave) at the time of the base and
retroactive (lump sum) increase payment.




PPS ELIGIBILITY

Two methods of determining eligibility for the lump sum payment should be utilized. The first is
based on current appointment and distribution status from the EDB; the second requires that
Payroll Activity Records (PAR’s) be checked to confirm eligibility for the periods covered.
Based on current Appointment date, for 97/98 eligibility, the employee must have a current RX
covered appointment with a begin date prior to November 2, 1997. For 98/99 eligibility, the
employee must have a current RX covered appointment with a begin date prior to January 1,
1999. If the employee does not meet either of these conditions, then the employee must have a
current RX covered appointment with an Appointment Begin date of August 20, 1999 or earlier,
and, based on PAR activity, have received pay for each month from November 1997 through
August 1999 for 97/98 eligibility, or January 1999 through August 1999 for 98/99 eligibility.
This includes both career and casual employees – the employee cannot have any month without
covered RX pay during the qualifying periods except if there has been an approved leave of
absence. If an employee qualifies for the retroactivity on the basis of appointment alone, there
may not be a need to examine payment records for eligibility determination, unless to determine
funding information at this time. If the employee does not qualify based on appointment yet has a
Most Recent Hire Date (EDB 0113) earlier than November 2, 1997, then PAR records should be
examined to determine if the employee had RX Covered pay in each month – regardless of
whether the pay was career or casual. If the employee has a current casual appointment that does
not meet the eligibility qualification, again the PAR records should be examined to determine if

                                                                                                   3
the employee has RX Covered pay in months from 11/97 to current. For purposes of the ‘not
more than 30 day break in service’ allowed casual employees in determining qualifying service,
Labor Relations advises that casual employee must have pay in each month for determining either
the 97/98 and/or the 98/99 lump sum eligibility.


Current titles in the RX unit are:
     9520 Spectroscopist                           Open Range – Merit Based
     9610 Staff Research Associate IV              Open Range – Merit Based
     9611 Staff Research Associate III             Open Range – Merit Based
     9612 Staff Research Associate II              Open Range – Merit Based
     9722 Senior Museum Scientist                  Open Range – Merit Based
     9723 Museum Scientist                         Open Range – Merit Based
     9642 Marine Technician III                    Open Range – Merit Based
     9643 Marine Technician II                     Open Range – Merit Based
     9613 Staff Research Associate I               Step Based
     9644 Marine Technician I                      Step Based
     9724 Assistant Museum Scientist               Step Based




For purposes of this document, the eligibility for each contract clause has been identified with a
group number. These numbers will be used later to identify individual employee eligibility on the
roster report.


  Group          Contract Section    Year      Eligibility
    1               B.2.c.1.         97/98     Career, except Step-Based employees at Step 5.0,
                                               eligible for Table A increase for periods of 97 and
                                               98 to current
     2               B.2.c.2.        97/98     Career, Step-based at Step 5.0, eligible for Table B
                                               increase for periods of 97 and 98 to current – Title
                                               Codes 9613, 9644 & 9724
     3               B.2.c.3.        97/98     Casual, Step-based, eligible for Table B increase
                                               for periods of 97 and 98 to current, title codes
                                               9613, 9644 & 9724
     4               B.2.c.4.        97/98     Casual, Open Range, below minimum, eligible for
                                               salary difference for periods of 97 and 98 to current
     5               C.2.c.1         98/99     Career, except Step-based employees at Step 5.0,
                                               eligible for Table A increase from Oct 98 to current
     6               C.2.c.2.        98/99     Career, Step-based at Step 5.0, eligible for Table B
                                               increase for 98 to current – Title Codes 9613, 9644
                                               & 9724
     7               C.2.c.3.        98/99     Casual, Step-based, eligible for Table B increase
                                               for 98 to current, title codes 9613, 9644 & 9724

                                                                                                     4
8     C.2.c.4.     98/99    Casual, Open Range, below minimum, eligible for
                            salary difference for 98 to current
9      D.2.c.      98/99    Casual, Open Range – salary is 2% above range
                            minimum subsequent to 98/99 adjustment to salary
                            range, receives $300 lump sum
10   Side Letter   99/00    Casual, Open Range, (Non-step based casuals) at
                            B, D, I, SF, SC, R, SB, & SD in unit since 9/97, no
                            break in service greater than 30 days and
                            reappointment rate not at least 2% greater. Title
                            codes 9520, 9722, 9723, 9612, 9611, 9610, 9642,
                            9643
11   Side Letter   99/00    Open Range Casuals (Non-step based casuals) at
                            LA on pay status for eight consecutive and
                            reappointment rate not 2% greater. Title Codes
                            9722, 9610, 9611, 9612
12    D.2.a.2.     Oct 99   Career, Step Based with a July (delayed January)
                            merit date moving to October merit cycle – to
                            receive $300 lump sum




                                                                              5
III. 1997-1998 LUMP SUM DETERMINATION


CONTRACT ELIGIBILITY
B. SALARY INCREASES 1997-98
2.c. Lump Sum Payments – Retroactivity for Individual Increases
1) Individual career employees’ eligible for the base increases in sB.2.a. and b. above, shall
receive lump sum payments equal to the amount in Table A. times the number of months on
pay status from November 1, 1997 to the date of the adjustment of the (employee’s) base wage.
The amount shall be proportionate to the percent appointment in the bargaining unit at the
time the check is drawn.


2) Individual step-based career employees who would not have been eligible for a merit
increase shall receive lump sum payments equal to the 2% range adjustment in accordance
with Table B. times all months on pay status since November 1, 1997 up to the adjustment of
the base wage. The amount shall be proportionate to the percent appointment in the bargaining
unit at the time the check is drawn.


3) Eligible step-based casual employees shall receive lump sum payments equal to the amount
in Table B. times all months on pay status since November 1, 1997 up to the adjustment of the
base wage. The amount shall be proportionate to the percent appointment in the bargaining
unit at the time the check is drawn.


4) Eligible open range casual employees who were at or near the bottom of the range, shall
receive lump sum increases equal to the amount of any November 1, 1997 adjustment to the
range to the extent the new minimum exceeds their present rate, times all months on the
payroll since November 1, 1997 to the date of the adjustment of the base wage. The amount
shall be proportionate to the percent appointment in the bargaining unit at the time the check
is drawn.


5) All lump sums pursuant to this section shall be paid within 150 days of the effective date of
this Agreement.




1997-1998 PPS ELIGIBILITY REQUIREMENTS:




                                                                                                   6
It will be necessary for the program to know the effective month and year of the base wage
increase. Lump sum calculations are based on amounts contained in Table A, Attachment A and
Table B, Attachment B, specific to campus and title code. The amount from Table A or Table B
for 1997-98 is carried forward for an eligible employee up to the point the employee actually
receives the contractual wage increase. The same employee may also receive a second lump sum
amount for 1998-1999 as described below. The individual employee detail should be displayed
on the roster as described later in this document. A method to identify the approximately thirty
UCOP employees paid through the Berkeley campus is required as separate adjustment scales
exist for UCOP. With the transfer of a portion of the DANR RX employees to Davis effective
7/1/99, the eligibility determination for this group at Davis will be difficult because PAR records
will not exist and the Appointment Begin Date reflects a 7/1/99 date at Davis. If the employee is
selected for the roster, manual adjustments to the correct eligibility code will be required, as well
as establishing a default FAU to charge the lump sum payments.




Group 1 – B.2.c.1.
The selection and calculation of the lump sum payment for this period includes all exclusively
represented RX career employees, except career employees in title codes 9613, 9644, and 9724 at
Step 5.0, on pay status, at some time during the period from November 1, 1997 through June 30,
1998, with continuous service. A eligible career employee receives the Table A 1997-98 amount
for the appointment title code, prorated based on current appointment percent time, times the
number of months eligibility, to the effective base wage increase date.


Appointment Representation Code = C, and
TUC = RX, and
Appointment is currently active – End Date is greater than run date?
Appointment Type Code = 2 or 7


Group 2 - B.2.c.2

Exclusively represented career employees in title codes 9613, 9644, and 9724 at Step 5.0, receive
a lump sum based on Table B times the number of eligible months from 11/97 to base wage
increase, prorated based on current appointment percent time.


Appointment Representation Code = C, and
TUC = RX, and
Title Code = 9613, or 9644, or 9724, and

                                                                                                    7
At least one active distribution with Distribution Step = 5.0 and
Appointment is currently active – End Date is greater than run date?
Appointment Type Code = 2 or 7


Group 3 - B2.c.3.
An eligible casual employee in title code 9613, 9644, or 9724 receives the Table B amount time
the number of months from his/her eligibility to the effective base wage increase date, prorated
based on current appointment percent time.


Appointment Representation Code = C, and
TUC = RX, and
Title Code = 9613, or 9644, or 9724, and
Appointment is currently active – End Date is greater than run date?
Appointment Type Code = 3


Group 4 – B 2.c.4.
Eligible open range casual employees receive a lump sum payment for 97-98 if, after the 2%
range adjustment has been applied to the title salary range, the individual employee is below the
new minimum. The employee is to receive the difference between his/her base salary and the
adjusted new base minimum times the number of months on payroll since November 1, 1997 to
the date of the adjustment. The amount is to be proportionate to the percent time in the current
appointment at the time the check is produced.


Based on distribution pay rate, compare the current (pre-11/97) salary rate to the rate listed in the
table below. If the current distribution salary is below this minimum, the lump sum is based on
the difference times the number of months the employee has been on pay status since November
1, 1997 to implementation of the new wage structure at the campus. As well, the employee is to
receive the difference between the 10/1/98 wage minimum and his/her current (pre-11/97) salary
for the months on pay status from October 1998 to base implementation date.

                                    11/1/1997 Wage Minimum             10/1/1998 Wage Minimum
9520 Spectroscopist                          41,106                             41,928
9610 SRA IV                                  37,332                             38,079
9611 SRA III                                 33,966                             34,645
9612 SRA II                                  30,804                             31,420
9642 Marine Technician III                   33,966                             34,645
9643 Marine Technician II                    30,804                             31,420
9722 Senior Museum Scientist                 37,332                             38,079
9723 Museum Scientist                        30,804                             31,420

                                                                                                    8
9
IV. 1998 – 1999 Lump Sum Eligibility:


CONTRACT ELIGIBILITY


C. SALARY INCREASES 1998-99
2.c. Lump Sum Payments – Retroactivity for Individual Increases
1) Individual career employees’ eligible for the base increases in sB.2.a. and b. above, shall
receive lump sum payments equal to the amount in Table A. times the number of months on pay
status from November 1, 1997 to the date of the adjustment of the (employee’s) base wage. The
amount shall be proportionate to the percent appointment in the bargaining unit at the time the
check is drawn.


2) Individual step-based career employees who would not have been eligible for a merit increase
shall receive lump sum payments equal to the 2% range adjustment in accordance with Table B.
times all months on pay status since November 1, 1997 up to the adjustment of the base wage.
The amount shall be proportionate to the percent appointment in the bargaining unit at the time
the check is drawn.


3) Eligible step-based casual employees shall receive lump sum payments equal to the amount in
Table B. times all months on pay status since November 1, 1997 up to the adjustment of the base
wage. The amount shall be proportionate to the percent appointment in the bargaining unit at the
time the check is drawn.


4) Eligible open range casual employees who were at or near the bottom of the range, shall
receive lump sum increases equal to the amount of any November 1, 1997 adjustment to the
range to the extent the new minimum exceeds their present rate, times all months on the payroll
since November 1, 1997 to the date of the adjustment of the base wage. The amount shall be
proportionate to the percent appointment in the bargaining unit at the time the check is drawn.


5) All lump sums pursuant to this section shall be paid within 150 days of the effective date of
this Agreement.


1998-1999 PPS ELIGIBILITY REQUIREMENTS:


It will be necessary for the program to know the effective month and year of the base wage
increase. Lump sum calculations are based on amounts contained in Table A and Table B
specific to campus and title code, Attachment A and B. The amount from Table A or Table B for
                                                                                                   10
1998-99 is carried forward for an eligible employees up to the point the employee actually
receives the contractual wage increase. The same employee may also receive a second lump sum
amount for 1997-1998 as described earlier. The individual employee detail should be displayed
on the roster as described later in this document. A method to identify the approximately thirty
UCOP employees paid through the Berkeley campus is required as separate adjustment scales
exist for UCOP.




Group 5 – C.2.c.1.
The selection and calculation of the lump sum payments for this period includes all exclusively
represented RX career employees, except career employees in title codes 9613, 9644, and 9724 at
Step 5.0, on pay status, during the period from October 1, 1998 through June 30, 1999. An
eligible career employee receives the Table A 1998-99 amount, based on the employee’s current
appointment title code, times the number of months from his/her eligibility month to the effective
base wage increase date times the percent of current appointment.


Appointment Representation Code = C, and
TUC = RX, and
Appointment is currently active with Begin Date earlier than August 21,1999 and
End Date is greater than run date, and
Appointment Type Code = 2 or 7




Group 6 – C.2.c.2.
Exclusively represented career employees in title codes 9613, 9644, and 9724 at Step 5.0, receive
a lump sum based on Table B times the number of eligible months from 11/97 to base wage
increase time the current appointment percent time.


Appointment Representation Code = C, and
TUC = RX, and
Title Code = 9613, or 9644, or 9724 and
At least one Distribution Step = 5.0
Appointment Begin Date is less than August 21, 1999, and
Appointment is currently active – Appointment End Date is greater than run date
Appointment Type Code = 2 or 7



                                                                                                   11
Group 7 – C.2.c.3.
An eligible casual employee in title code 9613, 9644, or 9724 receives the Table B amount time
the number of months from his/her eligibility to the effective base wage increase date times the
current appointment percent time.


Appointment Representation Code = C, and
TUC = RX, and
Title Code = 9613, or 9644, or 9724 and
Appointment Begin Date is less than August 21, 1999, and
Appointment is currently active – Appointment End Date is greater than run date
Appointment Type Code = 3


Group 8 – C.2.c.4.
Eligible open range casual employees receive a lump sum payment for 98/99 if, after the 2%
range adjustment has been applied to the title salary range, the individual employee is below the
new minimum. The employee is to receive the difference between his/her base salary and the
adjusted new base minimum times the number of months on payroll since November 1, 1997 to
the date of the adjustment. The amount is to be proportionate to the percent appointment at the
time the check is produced.


Appointment Representation Code = C, and
TUC = RX, and
Title Code = shown below
Appointment Begin Date is earlier than Base Adjustment Date
Appointment is currently active – End Date is greater than run date?
Appointment Type Code = 3



                                    10/1/1998 Wage Minimum
9520 Spectroscopist                          41,928
9610 SRA IV                                  38,079
9611 SRA III                                 34,645
9612 SRA II                                  31,420
9642 Marine Technician III                   34,645
9643 Marine Technician II                    31,420
9722 Senior Museum Scientist                 38,079
9723 Museum Scientist                        31,420

Special One-time Lump Sums and Signing Bonuses

                                                                                                   12
The contract and additional Side Letter specify special additional payments to casual employees.
The three eligible groups are defined below and may be reported separately as the eligibility
overlaps with previously defined groups.


V. Special Lump Sums

Group 9 - Casual Lump Sum Payment D.2.c.

A casual employee in a open range (merit based) title is to receive a special $300 lump sum
payment if his/her salary is 2% or more above the range minimum after the 98/99 adjustment of
the rate structure. Like in Group 4 and Group 8, casual employees in these titles will not have
received a base wage increase as a result of this contract.
Appointment Representation Code = C, and
TUC = RX, and
Title Code = shown below
Appointment Begin Date is earlier than Base Adjustment Date
Appointment is currently active – End Date is greater than run date?
Appointment Type Code = 3




                                  1998/99           W/2%
                                  Annual Wage       Increase for
                                  (APPT Wage)       comparison
9520 Spectroscopist               41,928.00        42,767.00
9610 SRA IV                       38,079.00         38,841.00
9611 SRA III                      34,645.00         35,338.00
9612 SRA II                       31,420.00         32,049.00
9642 Marine Technician III        34,645.00         35,338.00
9643 Marine Technician II         31,420.00         32,049.00
9722 Senior Museum Scientist      38,079.00         38,841.00
9723 Museum Scientist             31,420.00         32,049.00




Group 10 – Side Letter Agreement – Non-step Casuals excluding LA


Non-step based casual employees at all campuses except UCLA who were in casual positions in
the unit as of September 1997 with a break in service or no more than 30 days and who were not

                                                                                                  13
reappointed at a rate of pay at least 2% or more (above their prior pay rate) are to receive a one-
time signing bonus. Note that this employee may also be eligible for a Group 4 adjustment. For
this group it is not possible for the system to accurately determine if a casual was re-appointed at
a rate of 2% or greater than his/her prior rate. Rather than try and determine this eligibility, if a
current casual employee has earnings in the RX unit for months from September 1997 through
August 1999, he/ she should be selected for a special ‘Casual’ roster and the campuses must
validate eligibility. The roster will reflect the lump sum signing bonus indicated below based on
the employee’s current title code.
                                   Bonus
9520 Spectroscopist                $715.32
9610 SRA IV                        $736.92
9611 SRA III                       $634.32
9612 SRA II                        $534.78
9642 Marine Technician III         $704.70
9643 Marine Technician II          $509.58
9722 Senior Museum Scientist       $664.92
9723 Museum Scientist              $549.54




Appointment TUC = RX
Appointment Title Code = see above
Appointment Rep Code = C
Appointment Type Code = 3
Appointment Begin Date is earlier than October 1, 1997 or PAR records show continuous service
in unit from September 1997 to current.


The payment amount is to be prorated based on the current appointment percent time. The
payment will be charged to employees current fund source.


Group 11 – Side Letter Agreement – Non-step Casuals at LA

Non-step based casual employees at the UCLA campus and Medical center who have been on
pay status for eight consecutive months prior to the date of payment and who were not
reappointment at a rate of 2% or more (above their prior rate) are to receive a one-time signing
bonus. Note that these employees may also be receiving a Group 8 adjustment. For this group it
is not possible for the system to accurately determine if a casual was re-appointed at a rate of 2%
or greater than his/her prior rate. Rather than try and determine this eligibility, if a current casual
employee has earnings in the RX unit for months from January 1999 through August 1999, he/
she should be selected for a special ‘Casual’ roster and the campuses must validate eligibility.
                                                                                                        14
The roster will reflect the lump sum signing bonus indicated below based on the employee’s
current title code.



                                   1998/99
                                   Wage
9610 SRA IV                        $736.92
9611 SRA III                       $634.32
9612 SRA II                        $534.78
9722 Senior Museum Scientist       $664.92

Appointment TUC = RX
Appointment Title Code = see above
Appointment Rep Code = C
Appointment Type Code = 3
Appointment Begin Date is earlier than (8 months earlier than payment date).


The payment amount is to be prorated based on the current appointment percent time. The
payment will be charged to employees current fund source.


Group 12 – Career Step Based Moving from July (delayed January) to Oct Merit
Date D.2.a.2

All employees in the unit move to a single October merit date. A non-probationary step-based
(TC 9613, 9644, 9724) career employee who would have been eligible for a July 99 merit
increase, or an employee newly hired into the unit on or before February 1, 1999, are to be
eligible for within range merit increases. Former July merit eligible (delayed from January) are to
receive a one-time, non-base building lump sum payment of $300 for the delay. Because of the
inconsistency in the use of the Next Review Date field by campuses, it is requested that a list of
all eligible step based employees be produced. For those employees who appear to meet the
defined eligibility criteria, the report should reflect the generation of the lump sum payment.
Campuses can review the inclusive list, and for employees for whom the lump sum has not been
initially generated, campuses can correct the listing to indicate eligibility.


Appointment TUC = RX
Title Code = 9613 or 9644 or 9724
Appointment Rep Code = C
Appointment Type Code = 2 or 7
Distribution Step not 5.0 (indicating employee is at the maximum step for the title)

                                                                                                  15
Appointment Begin Date is earlier than 2/2/99


A separate roster should be generated for this population with campuses having the ability to add
employees to the eligible pool. The payment amount is to be prorated based on the current
appointment percent time. The payment will be charged to employees current fund source.




                                                                                              16
VI. RX Adjustment Holding File

Actions from the calculation of the lump sum payments should result in a temporary RX
Adjustment holding file that may be adjusted before the generation of the actual payments to
employees. The RX Adjustment file should contain the following information and will be used to
generate the ‘lump sum rosters’ for the casual and career populations.
Employee #
Employee Name
Next Salary Review Date
Next Salary Review Reason
Appointment #
Distribution Step 5.0 Indicator – indicating if a career employee in a step based title is at Step 5.0
Appointment Begin Date
Appointment % Time
Appointment Title Code + translation
Appointment Type Code + translation
Current Appointment Salary
Appointment Representation Code
Title Unit Code
Primary Pay Cycle (? Not sure if this is needed if lumps are to be a separate payment?)
Calculated Number of Months – 1997-98
Calculated Amount – 1997-98
Calculated Number of Months 1998-99
Calculated Amount 1998-99
Signing Bonus Amount
Special Lump Sum amount
Table Utilized – (for lump sum calculation - A or B)
Total Lump Sum Payment
Employee Group Code




                                                                                                    17
VII. Lump Sum Rosters

Several reports should be provided from this process. The first report is a preliminary roster
allowing campuses to review and, if necessary, correct the population selection for Groups 1-9.
The second report is a ‘final’ roster showing the resulting final lump sum payments generated
from the process. A third and fourth report, for the casual employees receiving the $300 lump
sum or the Signing Bonus must be provided. The first phase of this report will be a turnaround
report for campus validation, the second report is after the fact showing all employees actually
receiving the special lump sum or signing bonus is also required. A turnaround and final report of
employees moving from a July to October merit date is also specified. Data to be displayed on
the reports is identified in the ‘RX Lump Sum Adjustment File’ section.


PRELIMINARY ROSTER – GROUPS 1-9
The Preliminary Roster, Attachment C, is intended as a turn around report designed to allow
campus users to review the derived data and, where necessary, make changes to the derived
Group Code for an individual employee. The report should be sorted by Appointment
Department Code, displaying department code and name, with a page break at each department.
Within each department, eligible employees should be sorted by Career and Casual within Home
Department in order to provide departments the ability to review and correct as necessary.


FINAL ROSTER – GROUPS 1-9
The Preliminary Roster, Attachment D, should be produced after the changes and adjustments
have been processed. The report should be sorted by Appointment Department Code, displaying
department code and name, with a page break at each department. Within each department,
eligible employees should be sorted by Career and Casual within Appointment Department in
order to provide departments with a final report showing the lump sums paid.


PRELIMINARY SPECIAL CASUAL SIGNING LUMP SUM REPORT – GROUPS 10-11
This report is a turnaround report in which campuses can validate the derived eligibility code for
casual employees in Groups 10 and 11.       Attachment E


FINAL SPECIAL CASUAL SIGNING LUMP SUM REPORT
This report is to be produced after processing of the transactions to reflect a listing of the casual
employees for whom a special lump sum was generated. Attachment F




                                                                                                    18
PRELIMINARY CAREER STEP BASED MOVE TO OCTOBER MERIT DATE REPORT
This report is a turnaround report in which campuses validate the derived eligibility. The ability
to ‘delete’ an action as well as providing campuses with the ability to add employees not selected
in the initial processing is required. Attachment G1


FINAL CAREER STEP BASED MOVE TO OCTOBER MERIT DATE REPORT
This report reflects the final actions from the turnaround report. Attachment G2


ROSTER PROCESSING


Any changes noted on the roster should be key entered so that the initial roster holding file is
updated. This file should then be used in the generation of the payment transactions.




                                                                                                   19
VIII. Lump Sum Payment Transactions

Based on the final roster eligibility code, the original PAR records for each employee must be
examined to determine the correct FAU to charge the lump sum payment to.



Group Codes 1 - 8
For each month an eligible employee has RX covered payroll activity for the time period covered
by the employee group code, a payroll transaction(s) should be generated using the calculated
lump sum amount and charging the lump sum to the original payment source(s) and also
recording the original pay period end date on the transaction. Payroll Transaction type ‘FT’
should be used. A new DOS code, LSB (lump sum – base building) should be used.


Group Code 9, 10 and 11
A one-time payment transaction, ‘FT’ should be generated for these special lump sum and
signing bonus payments. The amount should be charged to the employees current fund source
and may be prorated based on current appointment percent time. The DOS code ‘LSB’ should be
used with a pay transaction date of August 20, 1999.


Group 12
A one-time payment transaction, ‘FT’ should be generated for this special lump sum payments.
The amount should be charged to the employees current fund source and may be prorated based
on current appointment percent time. The DOS code ‘LSP’ (non-base building) should be used
with a pay transaction date of August 20, 1999.




                                                                                                 20
IX. Special Processing Requirements


FAU OVERRIDE


Because many of the payments being generated may be charged to closed account fund sources, it
is desired that a method to determine if a source is closed, and if so, to allow campuses to provide
a default account against which the payment can be charged.



COMPRESSION OF RANGE AND MERIT PAY TRANSACTIONS


After campuses have executed the retroactive Range and Merit adjustment processes, the one-
time program should compress the pay transactions into a single or few transactions, using the
pre-existing convention of common attributes. The common attributes are the FAU, Title Code,
and Pay Rate. The one-time program should generate a report that displays the details of the
compressed pay transactions.


The one-time phase II should separate the retroactive adjustment pay transactions by primary pay
schedules so that campuses can apply the pay transactions with the employees regular pay dates.




                                                                                                 21
Attachment A – Table A
Campus: Berkeley
Title     Title Name               97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9520      Spectroscopist                176.18           182.32
9610      SRA IV                        144.45           149.51
9611      SRA III                       121.25           125.50
9612      SRA II                        105.84           109.55
9613      SRA I                         83.31             86.23
9642      Marine Tech III                 0                 0
9643      Marine Tech II                  0                 0
9644      Marine Tech I                   0                 0
9722      Sr.Museum Scientist           127.40           131.86
9723      Museum Scientist              103.90           107.53
9724      Asst.Museum Scientist         91.05            94.23

 Campus: Davis
Title     Title Name               97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9520      Spectroscopist                132.82           137.47
9610      SRA IV                        147.56           152.73
9611      SRA III                       122.77           127.07
9612      SRA II                        106.64           110.37
9613      SRA I                         88.49             91.58
9642      Marine Tech III                 0                 0
9643      Marine Tech II                  0                 0
9644      Marine Tech I                   0                 0
9722      Sr.Museum Scientist           121.19           125.43
9723      Museum Scientist              106.09           109.80
9724      Asst.Museum Scientist         82.82            85.72

Campus: Irvine
Title      Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9520       Spectroscopist                 0                 0
9610       SRA IV                       149.36           135.92
9611       SRA III                      136.28           124.01
9612       SRA II                       115.74           105.33
9613       SRA I                        97.23             88.48
9642       Marine Tech III                0                 0
9643       Marine Tech II                 0                 0
9644       Marine Tech I                  0                 0
9722       Sr.Museum Scientist          136.67           125.28
9723       Museum Scientist             122.88           122.88
9724       Asst.Museum Scientist          0                 0




                                                                     22
Campus: Los Angeles
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist               134.33           122.24
9610      SRA IV                       164.12           149.35
9611      SRA III                      138.78           126.29
9612      SRA II                       119.36           108.62
9613      SRA I                        101.13           92.03
9642      Marine Tech III                0                0
9643      Marine Tech II                 0                0
9644      Marine Tech I                  0                0
9722      Sr.Museum Scientist          143.24           130.35
9723      Museum Scientist             120.90           110.01
9724      Asst.Museum Scientist        98.83            89.94

Campus: Riverside
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist               162.59           147.95
9610      SRA IV                       162.52           147.89
9611      SRA III                      137.32           124.96
9612      SRA II                       120.20           109.38
9613      SRA I                        98.69             89.81
9642      Marine Tech III                0                 0
9643      Marine Tech II                 0                 0
9644      Marine Tech I                  0                 0
9722      Sr.Museum Scientist          140.24           127.62
9723      Museum Scientist             122.15           111.15
9724      Asst.Museum Scientist          0                 0

Campus: San Diego
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist                 0                 0
9610      SRA IV                       160.01           166.41
9611      SRA III                      138.50           144.04
9612      SRA II                       115.95           120.59
9613      SRA I                        95.70             99.53
9642      Marine Tech III              156.60           162.86
9643      Marine Tech II               107.67           111.98
9644      Marine Tech I                94.66            98.44
9722      Sr.Museum Scientist          154.23           160.40
9723      Museum Scientist             111.99           116.47
9724      Asst.Museum Scientist        109.69           114.08




                                                                    23
Campus: San Francisco
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist                 0                 0
9610      SRA IV                       165.02           150.17
9611      SRA III                      142.61           129.78
9612      SRA II                       118.04           107.42
9613      SRA I                        97.16             88.42
9642      Marine Tech III                0                 0
9643      Marine Tech II                 0                 0
9644      Marine Tech I                  0                 0
9722      Sr.Museum Scientist            0                 0
9723      Museum Scientist               0                 0
9724      Asst.Museum Scientist          0                 0

Campus: Santa Barbara
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist                 0                 0
9610      SRA IV                       151.66           138.01
9611      SRA III                      135.58           123.38
9612      SRA II                       112.75           102.60
9613      SRA I                        96.74             88.04
9642      Marine Tech III                0                 0
9643      Marine Tech II                 0                 0
9644      Marine Tech I                  0                 0
9722      Sr.Museum Scientist          145.60           132.50
9723      Museum Scientist             128.27           116.73
9724      Asst.Museum Scientist          0                 0

Campus: Santa Cruz
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist                  0                0
9610      SRA IV                       152.19           157.52
9611      SRA III                      115.59           119.63
9612      SRA II                        99.94           103.43
9613      SRA I                        88.18             91.27
9642      Marine Tech III                 0                0
9643      Marine Tech II               108.77           112.57
9644      Marine Tech I                   0                0
9722      Sr.Museum Scientist             0                0
9723      Museum Scientist                0                0
9724      Asst.Museum Scientist           0                0




                                                                    24
Campus: UCOP
Title     Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                  Amount           Amount
9520      Spectroscopist                 0                 0
9610      SRA IV                       156.60           142.51
9611      SRA III                      156.18           142.13
9612      SRA II                       109.06            99.25
9613      SRA I                        93.75             85.31
9642      Marine Tech III                0                 0
9643      Marine Tech II                 0                 0
9644      Marine Tech I                  0                 0
9722      Sr.Museum Scientist            0                 0
9723      Museum Scientist               0                 0
9724      Asst.Museum Scientist          0                 0




                                                                    25
Attachment B – Table B

Campus:   Berkeley
Title       Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613       SRA I                          47.57           48.52
9644       Marine Tech I                    0               0
9724       Asst.Museum Scientist          49.97           50.97
Campus:   Davis
Title      Title Name               97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613         SRA I                        47.85           48.81
9644        Marine Tech I                   0               0
9724        Asst.Museum Scientist         48.89           49.87
Campus:   Irvine
Title        Title Name             97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613        SRA I                         46.70           47.64
9644        Marine Tech I                   0               0
9724        Asst.Museum Scientist           0               0
Campus:   Los Angeles
Title       Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613        SRA I                         47.88           48.84
9644        Marine Tech I                   0               0
9724        Asst.Museum Scientist         50.11           51.11
Campus:   Riverside
Title       Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613        SRA I                        48.86            49.84
9644        Marine Tech I                  0                0
9724        Asst.Museum Scientist          0                0
Campus:   San Diego
Title       Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613        SRA I                        45.80            46.71
9644        Marine Tech I                 45.80           46.71
9724        Asst.Museum Scientist           0               0
Campus:   San Francisco
Title       Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                    Amount           Amount
9613        SRA I                        47.12            48.06
9644        Marine Tech I                  0                0
9724        Asst.Museum Scientist          0                0




                                                                      26
Table B continued:
Campus: Santa Barbara
Title      Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9613       SRA I                         46.08           47.00
9644       Marine Tech I                   0               0
9724       Asst.Museum Scientist           0               0
Campus: Santa Cruz
Title      Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9613       SRA I                          0                0
9644       Marine Tech I                  0                0
9724       Asst.Museum Scientist          0                0
Campus: UCOP
Title      Title Name              97-98 Lump Sum   98-99 Lump Sum
Code                                   Amount           Amount
9613       SRA I                         45.80           46.71
9644       Marine Tech I                   0               0
9724       Asst.Museum Scientist           0               0




                                                                     27
Attachment C – Preliminary Roster

RX Preliminary Roster

                                    1997/98 and 1998/99 Research Support Professional Lump Sum Payments
                                                                 Preliminary
Appointment Department: xxxxxx _______________

Employee Name             Appointment Title Unit    Type      % Begin Date Group Table  97-98              98-99        99 Casual Total
ID#                          At Step 5.0*                                       Mths Amount Mths         Amount Lump Sum Lump Sum Action
(1……….9)                                                                    (10)                                                                  (11)
Career
Smith,Joe                      10       9611 RX/C Career 100% 8/01/96             1     A     11   1333.75   12   1506.00               2839.75
123456789                                Staff Research Associate III            ___                                                               ____


Casual
Carter,Patty                   20      9613 RX/C Casual 100% 2/13/93              3     B     11    523.27   12       582.24            1105.51
Xxxxxxxxxx                          Yes Staff Research Associate I 9/15/97        ___                                                             ____

Porter,Paul                    10      9613 RX/C Casual 100% 2/13/93              9                                            300.00    300.00
Xxxxxxxxxx                          Yes Staff Research Associate I 9/15/97        ___                                                             ____

                                                                                                   Department Total

*If Career, and with a current active (appointment) Distribution at Step 5.0, display ‘Yes’

Actions: blank = process, D = Delete




                                                                                                                                                         28
Attachment D – RX Final Roster
                                    1997/98 and 1998/99 Research Support Professional Lump Sum Payments
                                                                   FINAL
Appointment Department: xxxxxx ______________

Employee Name            Appointment Title Unit     Type      % Begin Date Group Table         97-98         98-99      99 Casual  Total
ID#                             At Step 5.0                                                  Mths Amount    Mths Amount Lump Sum Lump Sum
Career
Smith,Joe                      10       9611 RX/C Career 100% 8/01/96             1     A    11   1333.75   12   1506.00            2839.75
123456789                                Staff Research Associate III            ___



Casual
Carter,Patty                   20      9613 RX/C Casual 100% 2/13/93              3     B    11   523.27    12   582.24             1105.51
Xxxxxxxxxx                          Yes Staff research Associate I 9/15/97       ___

Porter,Paul                    10      9613 RX/C Casual 100% 2/13/93             9                                         300.00    300.00
Xxxxxxxxxx                          Yes Staff research Associate I 9/15/97       ___

If Career, and with a current active (appointment) Distribution at Step 5.0, display ‘Yes’


                                                                                                  Department Total
Three Sorts; 1) Appointment Department, 2) Employee Name, 3) FAU




                                                                                                                                              29
Attachment E – Preliminary Casual Special Lump Sum and Signing Bonus Roster


                                                 PRELIMINARY CASUAL SIGNING BONUS ROSTER

Appointment Department: xxxxxx ______________________

Name                           Appointment Title                                      Signing
ID#                               Begin Dt     Type    % Time     Rate                Bonus        Action

Xxxxxxxxxxxxxxxxxxxxxxxxx             xx     xxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx   xxxxxxx.xx   ____
                                      Xx/dd/yy    Casual x.xx      xxxxxxxx.xx


Action: blank = process, D = Delete

Attachment F – Final Casual Special Lump Sum and Signing Bonus Roster


                                                      FINAL CASUAL SIGNING BONUS ROSTER

Appointment Department: xxxxxx ______________________


Name                           Appointment Title                                      Signing
ID#                               Begin Dt     Type    % Time     Rate                Bonus

Xxxxxxxxxxxxxxxxxxxxxxxxx             xx    xxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx    xxxxxxx.xx
                                      Xx/dd/yy   Casual x.xx      xxxxxxxx.xx


Three Sorts; 1) Appointment Department, 2) Employee Name, 3) FAU




                                                                                                            30
Attachment G – July to October Merit Date Roster
G.1. Preliminary Career Step Based July Merit Date to October Roster


                               PRELIMINARY CAREER JULY MERIT DATE to OCTOBER LUMP SUM BONUS ROSTER

Appointment Department: xxxxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

Name                            Sal Review      Appointment Title                                   Lump Sum
ID#                              Date/Rea        Begin Dt   Type       % Time   Rate                  Bonus       Action
(1…….9)                                                                                              (xx…….xx)
Xxxxxxxxxxxxxxxxxxxxxxxxx        mm/dd x         xx    xxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx     xxxxxxx.xx     ____
 xxxxxxxxx                                       Xx/dd/yy    Career x.xx    xxxxxxxx.xx


Action: blank = process, D = Delete

G.2. Final Career Step Based July Merit Date to October Roster

Appointment Department: xxxxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx


                                      FINAL CAREER JULY MERIT DATE to OCTOBER LUMP SUM BONUS ROSTER

Appointment Department: xxxxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx


Name                            Sal Review      Appointment Title                                  Lump Sum
ID#                              Date/Rea        Begin Dt   Type       % Time   Rate                Bonus

Xxxxxxxxxxxxxxxxxxxxxxxxx        mm/dd x         xx    xxxx xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx     xxxxxxx.xx
                                                 Xx/dd/yy   Career x.xx     xxxxxxxx.xx

                                                                                           Total: xxxxxxxxxxx

Three Sorts; 1) Appointment Department , 2) Employee Name, 3) FAU




                                                                                                                           31