Effort Reporting System Beginner DEA training

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Effort Reporting SystemBeginner DEA training
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Agenda

• Effort Reporting and Policy
• Data and Report Flow
• Roles Responsibilities
• Training Resources
• Contact Information
• Demonstration of the system in Peoplesoft

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What is Effort?

• The proportion of time spent on any activity and
  expressed as a percentage of the total
  professional activity for which an individual is
  employed by ASU
• Effort must always equal 100

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What is Effort Reporting?

• Reporting occurs after-the-fact
• Process of verifying that the actual effort
  performed on a sponsored project during a period
  meets or exceeds directly paid effort and/or cost
  share commitments to sponsored projects
• In other words Actual Effort Pay Cost
  Sharing

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Why do we do Effort Reporting?

• Effort reporting is ASUs method of verifying
  that faculty, students, and staff worked on
  sponsored projects, and completed their
  commitments to sponsors.
• Offers a means to verify that personnel are paid
  correctly on sponsored dollars
• Some sponsors and auditors will request copies of
  the effort reports to verify payroll and cost
  share

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ASU Effort Reporting Policy

• ACD 303 RSP 502-03
• Employees who are paid from Sponsored projects or
  who have a stated cost share commitments to
  Sponsored projects must certify their effort on
  sponsored projects (Note Effort of Graduate
  Assistants is certified by lead PI per RSP
  502-03)
• Certification must be completed by someone with
  suitable means of verification of the work
  performed on the grant

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Suitable Means of Verification

• Includes, but is not limited to first hand
  observation of the individual, written
  confirmation from the individual or physically
  verifiable information (e.g. notebooks, sign in
  sheets).
• Therefore, person must meet this criteria to
  proxy certify when necessary
• Person of authority on the project (or in the
  department)
• Person who is aware that the employee completed
  their obligation to the project

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Effort Reporting Data
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(No Transcript)
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Report Flow Notifications

• (step 1) ORSPA ?
• Manual notification sent to DEAs
• (step 2) DEA ?
• Automated notification to Certifier
• (step 3) Certifier ?
• Automated notification to DEA
• (step 4) DEA
• (step 5) ORSPA

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Report Types Reporting Periods

• EXEMPT
• Faculty, staff, researchers
• Fall, Spring and Summer reports
• Self-certifiers
• GRAD_APPT
• Graduate appointments
• Fall, Spring and Summer reports
• Certified by Lead PI of project that Grad worked
  on

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Report Types Reporting Periods

• A12_EMP
• Faculty on a 9-month appointment but receive
  salary over 12-month period
• Bi-annual reports (Jan June, July Dec)
• Self-certifiers
• HRLY_STDT and NONEXEMPT
• Only released to dept if employee has a cost
  share commitments
• Fall, Spring and Summer reports
• Certified by Lead PI of project

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Current Period Deadlines

• Period 1-2009 (Spring 2009)
• Release date September 1st, 2009
• Due date October 15, 2009
• Period 2-2009 (Summer 2009)
• Release date September 1st, 2009
• Due date October 15, 2009
• Note, A12s will only have a 2009-1 six month
  report

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Report Routing and Re-routing

• Report is routed to current department per HR on
  the primary job
• Potential issues with logic
• Department which funds sponsored projects may be
  better DEA department
• Employees current department is not always the
  same as the effort period department
• To re-route to another department please email
  effort-q_at_asu.edu with Empl ID and new
  department

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Roles and Responsibilities (ORSPA)

• ORSPA Effort Team
• Generate forms each effort period
• Check data issues that will affect ER processing
• Provide learning materials to ER users
• Provide Help Desk support for Effort related
  issues

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Roles and Responsibilities (DEA)

• Promptly review and approve effort reports in
  your queue
• You have a 2 week window to review reports
• Sept 15 is the expected completion date
• Pass on training materials to their
  constituencies
• Provide first line of help to certifiers
• During certification period
• Determine which reports are outstanding for your
  department and take action to have Certifiers
  complete their reports before deadline

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Roles and Responsibilities (DEA Reviewer)

• Determine if employee belongs to your depart
• Request a re-route to another dept
  (effort-q_at_asu.edu)
• Check form for accuracy
• Are all of the proper grants listed?
• Are there any odd payroll issues?
• Credits, lump sum amounts
• Have all requested payroll redistributions
  processed?
• Is all known cost sharing listed?

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Roles and Responsibilities (DEA Reviewer)

• Do not reject report to ORSPA unless requested
• Updates to effort reports will occur while the
  report is in your queue
• If percentages are wrong on the form
• Process any Payroll Redistributions as necessary
• Work with PI, RA staff and SPO to get new green
  sheets (Form 305) to ORSPA for entry in the
  Effort System
• Resolve any error conditions
• Review and release reports to Certifiers within
  two weeks of period release to departments

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Roles and Responsibilities (DEA Approver)

• Read Certifier comments (DEA Approver) before
  giving final approval
• Certifier may not understand Effort
• Certifier may have certified more or less effort,
  which will require DEA action
• Resolve error messages as needed
• Payroll redistributions
• Form 305 Cost Share updates
• Verify that all payroll redistributions have
  posted and all cost share commitments have been
  updated

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Roles and Responsibilities (Employee)

• Employee Certifier
• Required to promptly certify their own form
• Indicate the effort expended on each sponsored
  project during the effort period(s)
• Communicate any cost transfers needed to DEA
• Communicate any changes in cost sharing
  commitments to DEA

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Roles and Responsibilities (PI)

• PI / Designee Certifier
• Required to certify effort for graduate
  appointments who worked on PIs project(s)
• Indicate the effort expended on each sponsored
  project during the effort period(s)
• Communicate any cost transfers needed to DEA
• Communicate any changes in cost sharing
  commitments to DEA

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Certification Proxy (Designee)

• When a proxy is appropriate
• Terminated certifier
• Medical leave
• Standard proxy chain
• PI
• Co-PI
• Lab Manager or Program Manager or someone who has
  suitable means of verification.
• In case of a PIs report, only co-PI or
  department chair are suitable proxies

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Certification Proxies (Designee)

• People who should not proxy
• DEAs, unless they serve a role within
  the project's scope
• Other departmental administrators, who assist
  with accounting or payroll within the department,
  but have no involvement in the project itself
• Effort Team proactively re-routes all employees
  who have terminated prior to the initial release
  date
• If employee terminated in HR after initial
  release date, please notify effort-q_at_asu.edu

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Hold List Delinquent Reports

• PIs are held up at activation or for
  modifications to their projects if
• The PI did not certify (for themselves and/or
  their Grads)
• Someone on the PIs project didnt certify
• Very few exceptions to the Hold List
• We require certification of sponsored projects
  and need a way to enforce the certification of
  outstanding reports
• If a hold will cause a serious detriment to a
  projects ability to continue or receive funding,
  contact Effort Team

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Training Materials ER Website

• Comprehensive documents
• http//researchadmin.asu.edu/effort_reporting

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Help Hierarchy

• Certifiers needing help
• DEAs are first line of defense
• Effort-q_at_asu.edu
• Help Desk (CRM Tickets)
• DEAs needing help
• Effort-q_at_asu.edu
• Anne and Aaron
• Help Desk (CRM Tickets)

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Effort Team Contacts

• General Effort Questions
• effort-q_at_asu.edu
• Aaron Stetts, Mgmt Research Analyst Sr.
• Aaron.Stetts_at_asu.edu
• [phone]
• Anne Feuerborn, Manager
• Anne.Feuerborn_at_asu.edu
• [phone]

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Demonstration of ER System

• Basic flow of an Effort Report
• DEA Reviewer/Approver
• Effort form review
• Projects, payroll, accounts, etc.
• Reviewing messages
• Potential solutions
• Certifier form modifications

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Demonstration of ER System

• Effort/PI Certifier
• Modifying effort
• Creating VUCS
• Certifying for Graduate Assistant appointments
• Reviewing messages

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Questions?