Effort Reporting System DEA Training

1. Effort Reporting SystemDEA Training Rev. 4/15/13

2. Agenda Effort Reporting and Policy Data and Report Flow Roles & Responsibilities Training Resources Contact Information Demonstration of the ER system in Peoplesoft

3. 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%

4. 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

5. Why do we do Effort Reporting? Effort reporting is ASU’s method of verifying that faculty, students, and staff worked on sponsored projects, and completed their commitments to sponsors. Student Workers/Hourly wages requirements are met by approvals in Payroll. 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

6. 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

7. 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/department • Person who is aware that the employee completed their obligation to the project

8. 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 PI’s report, only co-PI or department Chair/Dean are suitable proxies

9. Effort Reporting Data

11. Effort Report Approval Sequence & Notifications (step 1) ORSPA  Manual notification sent to DEAs (step 2) DEA (Department Reviewer)  Automated notification to Certifier (step 3) Certifier  Automated notification to DEA (step 4) DEA (Department Approver)  (step 5) ORSPA Finalization updates Dashboards and invoice of Sponsors

12. 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(s) that Grad worked on • Each PI will need to certify for their project

13. 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

14. 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

15. Roles and Responsibilities for DEA’s • Promptly review and approve effort reports in your queue • You have a 2 week window to review reports before the Certifiers are notified of the report release • Pass on training materials to your 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

16. Roles and Responsibilities (DEA Reviewer) Determine if employee “belongs” to your depart Request a re-route to another dept via effort-q@asu.edu Check form for accuracy Are all of the proper grants listed? Are there any odd payroll issues? Credits, overpayments and lump sum amounts Have all requested payroll redistributions processed? Is all known cost sharing listed?

17. 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 • Employee’s current department is not always the same as the effort period department • To re-route to another department: please email effort-q@asu.edu with Employee ID #

18. Roles and Responsibilities (DEA Reviewer) Do not reject a report to ORSPA unless requested to do so 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 GCO. Send new and revised commitments to Notifications@asu.edu Resolve any error conditions Review and release reports to Certifiers within two weeks of period release to departments. Federal regulations require a 45 day window for certification.

19. Roles and Responsibilities (DEA Approver) • Resolve error messages as needed • Payroll redistributions • Cost Share updates • Certifier may have changed the percent of effort on the report which will require the DEA to reject the report back to the Certifier and have them change back to the original percentages. • All changes to the percent of effort must be done with PRR’s (Payroll Redistribution Request) • Verify that all payroll redistributions have posted and all cost share commitments have been updated

20. Roles and Responsibilities (Certifier) Employee Certifier Required to promptly certify their own form Review the effort expended on each sponsored project during the effort period(s) Communicate any cost transfers or cost share commitments that are needed to DEA PI is held accountable for certifications on project(s) via Hold List PI must certify for Graduate Appointees and reports for Student Workers/Non-Exempt reports with commitments All employees who worked on PI’s grant(s) must be certified

21. Training Materials & ER Website Comprehensive documents http://researchadmin.asu.edu/effort_reporting 1:1 training Contact Effort-q@asu.edu for support or training

22. Certification Proxies (Designee) People who should not proxy: DEAs, unless they serve a role within the project's scope If so another person must serve as DEA for their report 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@asu.edu

23. 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 PI’s project didn’t certify

24. Hold List - Exceptions • Very few if any exceptions are granted 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 project’s ability to continue or receive funding, contact Effort Team

25. Effort Recertification • New process to prevent needless re-certifications • Recertification not required if: • Non Sponsored pay changes • Pay moves between accounts on same parent project • Effort only decreases on sponsored projects • Less than 1% change on effort • Recertification is required if: • Cost Share changes or (Pay) Effort changes the percent of Effort on a Certified report.

26. Help Hierarchy • Certifiers needing help: • DEA’s are first line of defense • DEA’s and Certifiers in need of help: • Effort-q@asu.edu

27. ORSPA Effort Team Contacts ORSPA - For general Effort Report questions contact Mary Lemon, Grant & Contract Officer effort-q@asu.edu (480) 965-0490

28. Effort Report Training Applying for DEA permissions http://researchadmin.asu.edu/effort_reporting Effort Report Training http://researchadmin.asu.edu/effort_training Effort Report Information Updates http://researchadmin.asu.edu/

29. Many Thanks!Your professionalism is reflected in your work.