FACETFaculty Assignments Commitments & Effort Certification Tracking Understanding Effort Commitments and Certification for Sponsored Projects
Today’s Topics • Effort Reporting Overview • Certification Report Structural Change • Effort Commitments • Effort Certification • Special Issues related to Sponsored Activity • Messages, Warnings, Errors, Parature Use
Effort Reporting Overview • What is effort? • Amount of time spent on a particular activity, whether directly charged to a project or cost-shared • Expressed as a percentage of the total amount (100%) of time spent on compensated work-related activities (instruction, research, service, administration, etc.) • Effort reporting (through FACET) is the official method of documenting to sponsors that the effort committed, charged, or cost shared was contributed
Effort Reporting Overview What is the difference between the Assignment of Responsibility and Effort Report? • The AOR is prediction of how a faculty member will spend his/her time. • The Effort Report is how a faculty member actually spent his/her time.
Effort Reporting Overview • What is the difference between payroll distribution and effort reported? • Payroll distribution shows how an individual's salary was charged • Effort report allocates an individual's actual effort to specific activities, regardless of where the salary was charged
Effort Reporting Overview Why it matters… • Satisfy Federal requirements (OMB Circular A-21, J. 10) • Support salaries charged and effort expended on sponsored projects • Demonstrate compliance with effort commitments made to agencies
Effort Reporting Overview Why it matters… • Demonstrate compliance with Florida’s 12-hour law through reporting to Board of Governors (s. 1012.945 Required number of classroom teaching hours for university faculty members, Florida Statutes)
Effort Reporting Overview Why it matters… • Consequences • Institutional Sanctions: fines and penalties; debarment from participating in federally-funded research. • Individual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research.
FACET Effort Certification Rick Burnette Director Institutional Research
What Has Changed? • Search Lite – Based on Roles • Department Search (multi-rows) • Retaining Last Record Information • Saving Searches • Categories – Activity Descriptions • Terminations
Search Lite For non-FACET representatives, just hit <Search>, or uncheck box to see all your reports
Detailed Search • Detailed Search is what FACET representatives will see • We were asked to add Employee Department to allow for searches by department like “All Level 3 with Instruction in Department X”
Managing Search • Search retains all the items in blue and last Employee ID when you return to search from a certification form • You can eliminate duplicate rows by entering your Employee Dept and Saving your Search Criteria • You will have to pay attention to Exempt vs. Non-exempt and Standard vs. Non-Standard.
Category Descriptions • You will need to drill down to this level on the main Certification screen to enter effort in categories that will eventually match the AOR categories. • It is important to know the differences in these categories as they should affect how AORs are done and effort is certified. • The definitions are from the BOG • Pay particular attention to Academic Support, Administrative Role, and Other Dept Admin. • Also look at Admin Committees and University Governance
Category Description Details Note: your browser must allow pop-up windows
What Has Changed? • Search Lite – Based on Roles • Department Search (multi-rows) • Retaining Last Record Information • Saving Searches • Categories – Activity Descriptions • Terminations – FACET available for 18 months
Effort/Activity Categories OLD NEW Sponsored Activities
AOR & Effort Certification AOR CERT
Preparing for Spring • Most FACET Effort Reporting problems are the product of bad data from one of the following: • Course data from CSM (Course Schedule Master File) • Commitments • Payroll • Job records management and appointments • We need a priori fixes by departments
CSM Issues • Departments should be auditing Spring now. • No instructor on course • Payroll/funding errors – especially with changing to Stimulus and Carry Forward funding • Instructional Contact Hours over 30 for person Reports are posted on the IR website at http://ir.fsu.edu
Commitment Issues • Over 100% commitment • Large commitments with little pay and small or zero commitments with a lot of pay • Work with your departmental FACET representative who will work with Sponsored Research and Institutional Research • Don’t certify if there are errors – fix them
Payroll and Job Records • Fix erroneous job records prior to certifying • Work with IR on Courtesy Appointments – to make sure they are necessary and correct • Consult with your FACET Representative if you suspect there are errors in your job, supervision, etc.
Other Reminders • Institutional Research (IR) is the initial point of contact for FACET Representatives for general questions – FACET@fsu.edu • FACET Representatives should be the initial point of contact for employees • IR has changed the automatic messages • We should be on a consistent schedule now
Questions? Remember, all FACET reports for Fall 2010 that do not have errors should be at Level 4 by the end of the day tomorrow. (Friday, March 4, 2011)
Effort Commitments in Proposals FSU defines a commitment as: “Quantified effort for named personnel whether direct charged or cost shared, as specified in the proposal or award.”
Key Personnel • Definition: • FSU will follow the sponsoring agency’s definition of Key Personnel if one exists. • If no agency definition exists, FSU will define Key Personnel as the PI and all Co-PIs identified as such in the proposal and/or award. • PI’s are encouraged to limit the number of key personnel identified in the proposal. • PI’s are encouraged to limit effort commitments that are not paid for by sponsor.
Commitments in Proposals Effort commitments may be found in: • Budget Forms • Budget Justification • Current and Pending Support • Available Resources Section
Commitments After Award • Progress Reports: • Reporting past activity should be consistent with certified effort report • Anticipated changes in effort commitments in future periods • Change of key personnel (termination, retirement, etc.) • Effect of no-cost time extensions on existing commitments
Commitment Entry • Proposal and award are reviewed to determine: • Whether a commitment exists for Key Personnel and whether it is to be direct charged or cost shared • Whether a commitment proposed as cost sharing exists for non-Key Personnel • Percent of commitment (converting from dollars, or other values as needed) • What period(s) the commitment covers
Commitment Entry • Commitments are entered under one of two categories: • Direct Charged Salaries • Committed Cost Sharing • Depending on how the commitment was stated in the proposal, it may be entered for any of the following: • Life of Project • Academic Year (Fall, Spring) • Summers Only
Commitment Entry • Impact of entry on semesters: • Life of Project, overall 10%: Enter 10% for every semester, with the first and last semester percentages being prorated. • Academic Year, overall 10%: Enter 10% for every Fall and Spring semester • Summers Only, overall 10%: Enter 10% for every Summer semester • Entry is only for the period during which funding is obligated.
Commitment Adjustments • Overall commitment may be adjusted due to: • Increase or reduction in funding and/or period of performance • Changes in scope of work • Voluntary reduction of effort at PI’s discretion if allowed by terms of the award [FACET would not be adjusted for a voluntary increase in overall commitment.] • As long as the Overall commitment is met, commitments allocated to individual periods may be moved to future periods depending on when the employee plans to do the actual work and availability of time.
Viewing Commitments Navigation: OMNI > Human Resources > FACET > Project Data > Sponsored Commitments Search by: • Project ID • PI Emplid • Project Department
Commitment Overview • Scroll to the right and click . • Click to expand for details.
Changing a Commitment • Request change to a commitment by: • Submitting a Parature ticket: • Issue Area: FACET – Exempt • FACET-Exempt Sub Area: Sponsored Projects Commitments Issue • Submitting an email: • Kaytee Fletcher (email@example.com) • Diana Key (firstname.lastname@example.org)
References • OMB Circular A-21 • http://www.whitehouse.gov/omb/circulars_a021_2004/ • FSU Effort Commitment Policy • http://www.research.fsu.edu/contractsgrants/documents/effcomm.pdf • Effort Commitments During No-Cost Extension Periods • http://www.research.fsu.edu/contractsgrants/documents/effort_nocost.pdf • Effort Commitment Data Entry in FACET • http://www.research.fsu.edu/contractsgrants/documents/effentry.pdf • FSU Cost Sharing Policy • http://www.research.fsu.edu/contractsgrants/costsharing.html • FSU Campus Cost Sharing Procedures • http://www.research.fsu.edu/contractsgrants/documents/csprocedures.pdf
FACET Workflow • Level 3 – Department FACET Rep (Send/Deny Report) • Level 4 – Employee/Knowledgeable Person (Certify/Deny Report) • Level 5 – Department FACET Rep (Approve/Deny Report) • Level 6 – IR/SR (Finalize) • Certified reports with no errors = Final • Changes (e.g. funding) creates new sequence
Effort Entry Considerations • Planned activities for academic term = AOR • Activities performed for academic term = Effort Certification • Department process • FACET rep entry • Employee/Knowledgeable Person entry • Departmental Research Effort • SRAD/PI Support (Fund 550) • Projects will not display on Enter Effort page • FSU Foundation (Fund 547) • Projects will not display on Enter Effort page
Certifying Effort • Federal guidelines recognize that activities that constitute effort are often difficult to separate • Effort certification must rely on a reasonable estimate of effort, therefore, a degree of tolerance is appropriate • If actual effort differs from payroll by < 5% of an employee’s total effort, it is acceptable to enter effort = to funded % • Effort % entered that is less than funded % will require payroll corrections
Research Compliance Considerations • No new compliance requirements imposed with the introduction of FACET • Compliance with Effort Commitments • NSF 2 Months Rule • Agency Salary Caps • Grant Funding of Courses • Minimum Effort
NSF 2 Months Rule • NSF will ONLY pay 2 months of a key faculty salary during an calendar year • Exception: more than 2 months included in proposal • FSU’s year = Summer, Fall, Spring • Based on hours • For a full FTE: (40*2)*26.1÷12*2=348 Hours • Monitoring started with Summer 2010 term • Warning/Error message • SRAS Coordinators work with departments to resolve
Over the Salary Cap Rule • Certain agencies limit the amount they will reimburse for salaries (e.g. NIH, DJJ) • Sponsor level: applies to all awards of the Sponsor • Project level: only applies to salaries on that project • Salary level reviewed at appointment • OTC amount = Fund 556 • Funded from non sponsored source
Courses Funded by Sponsored Projects • Courses can be funded by a grant if: • Award purpose is INS • Award purpose is RES or OSA and • Course Section Type • Graduate Dissertation, Graduate Thesis or DIS and the work is directly related to the project OR • The Instruction attribute has been added to the project • Instruction Allowed • Cost Share Instruction Allowed • Requires cost share budget setup and appointment so that • Sponsored project funding source for course can be selected • Effort on grant funded course and effort on project combined for total effort on project