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DEA Refresher. Presented by: OKED/ORSPA Mary Lemon. Items for Review. Policy Refresher Dept Reviewer tips Certifier –Proxies Dept Approval tips Report status for Dept Help Hierarchy. Hold List on ER Dashboard. www.asu.edu/Dashboard Sponsored effort reporting Updated daily about 9am

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Dea refresher

DEA Refresher

Presented by:

OKED/ORSPA

Mary Lemon


Items for review
Items for Review

  • Policy Refresher

  • Dept Reviewer tips

  • Certifier –Proxies

  • Dept Approval tips

  • Report status for Dept

  • Help Hierarchy


Hold list on er dashboard
Hold List on ER Dashboard

  • www.asu.edu/Dashboard

    • Sponsored effort reporting

  • Updated daily about 9am

    • Delinquent (PIs and Certifiers on Hold List)

    • Uncertified Reports by College/Dept (Lists certifiers pending deadline for each unit)

    • By Certifier (by name)


Superccedded reports
Superccedded Reports

  • New process to prevent needless re-certifications

    • Effort > CS+ Pay by project, no need to certify again.

    • No recertification is required if:

      • Non Sponsored pay changes

      • Pay moves between accounts on same parent project

      • Effort only decreases on sponsored projects

      • Less than 1% change in effort


Why do we do effort reporting
Why do we do Effort Reporting?

  • As required by A-21, J.10c(2)

  • Effort reporting is after-the-fact

  • To verify to sponsors that the promised work on sponsored projects was completed

  • To verify personnel were paid correctly on sponsored projects

  • Effort >= Cost share + pay


Key er concepts
Key ER Concepts

  • Total effort always = 100%

  • 100% encompasses all base salary activities

  • Pie analogy is used to calculate

  • When certifying, person is attesting to what actually occurred

  • Changes to effort % may invalidate certification


Asu policy er is required
ASU Policy- ER is required

  • ACD 303

    • If you are paid from or cost share to sponsored projects

    • You must certify your effort in ER system

  • RSP 502-03

    • Effort comprises all of an employee’s regular activities, regardless of the number of hours worked.

    • Certification must be performed by an individual with suitable means of verification.


Reporting types and periods
Reporting Types and Periods

  • Exempt

    • Faculty, Staff, Researchers

    • Fall, Spring, Summer

    • Self-Certifiers

  • Grad_Appt

    • Graduate Appointtees

    • Fall, Spring, Summer

    • Lead PI certifies


Reporting types and periods1
Reporting Types and Periods

  • Hrly_Stdt and Nonexempt

    • Hourly positions

    • Only released if cost share commitments applies

    • Fall, Spring, Summer

    • Lead PI certifies

  • A12_EMP

    • Faculty, staff, researchers on 12 month pay cycle

    • 6 month periods (Jan-June, July-Dec)Self Certifiers


Report approval sequence flow
Report Approval Sequence Flow

  • (step 1) ORSPA 

    • Manual notification sent to DEAs

  • (step 2) DEA (Reviewer) 

    • Automated notification to Certifier

  • (step 3) Certifier 

    • Automated notification to DEA

  • (step 4) DEA (Approver)

  • (step 5) ORSPA


Department reviewer role
Department Reviewer Role

1) Determine if the employee “belongs” to your department

  • Routed to most recent home department

  • Problems with that logic:

    • Department which funds sponsored projects may be better DEA department

    • Employee’s recent department not the same as the effort period department

  • To re-route to another department: please email effort-q@asu.edu with Employee ID # and new department # if known


Department reviewer role1
Department Reviewer Role

2) Resolve any error conditions

3) Eyeball the report for omissions

4) If percentages are wrong on the form

  • Process payroll redistributions to correct the percentage

  • Cost Share updates: Work with PI, RA staff and GCO to get new OAF to ORSPA


Department reviewer role2
Department Reviewer Role

  • Reject to ORSPA?

    • Please do not unless Effort Team asks you to reject

      • Reports can be updated in your queue

    • Once re-routed, the form will disappear from your queue

    • Cost Sharing updates- can be done while form is in your queue.


What orspa can do from your queue or certifier queue
What ORSPA can do from your queue or Certifier queue…

  • ORSPA can:

    • Update Cost Share

    • Re route Effort Report to another department

    • Issue permission for Proxy of report to another Certifier

  • Note: ORSPA re-routes terminated employees to new certifier proactively. (usually PI)


Contacting another dea multi disciplinary employees
Contacting another DEA- Multi Disciplinary Employees

  • Determine the granting department by clicking on the Project link

    • A new window will appear (tab if using Firefox)

    • Select the Project 2 tab

    • Note the grant’s department

  • Go to the DEA Dashboard

    • http://www.asu.edu/dashboard/

    • Sponsored Effort Reporting

    • Enter Dept Code in the search field

    • Click Go

    • A listing of all DEA’s for the dept will appear


Common er messages dept reviewer role
Common ER messages-Dept Reviewer Role

  • Payroll percent cannot be negative

  • Pay period exceeds salary cap

  • Not enough Non Sponsored funding to cover cost share

  • Employee has another report

  • Pay occurs prior to project start date

  • Pay occurs after project end date

  • Certifier has entered the percent of effort on report

  • Linked Report – DEA/Certifier


Common er messages dept reviewer role1
Common ER Messages- Dept Reviewer Role

  • Payroll % cannot be negative

    • Likely a credit was made to the wrong account or pay periods (all repayments and overpayments must be transferred of the grant)

    • Create payroll redistribution for the proper account and time period

    • Employee received an raise during report period


Common er messages dept reviewer role2
Common ER Messages- Dept Reviewer Role

  • Pay period exceeds salary cap

    • Look at Annualized Salary- is the person over the cap?

    • Click on % amount in the OTC column

    • If not OTC- likely need redistribution to another period

    • If over the salary cap, check per pay period amounts to verify amount per pay period


Common er messages dept reviewer role3
Common ER Messages- Dept Reviewer Role

  • True Over-The-Cap example:

    • Does Annualized salary seem appropriate/possible? Review all open Position Numbers for a composite total

    • Check OTC % link

      • Every project period has a OTC limit

    • Will definitely need cost transfer to cover this amount with non-sponsored funding.



Common er messages dept reviewer role4
Common ER Messages- Dept Reviewer Role

  • False over-the-Cap example:

    • Use the OTC Calculator at http://researchadmin.asu.edu/effort_training

    • Does Annualized salary seem appropriate/possible? No!

    • Check HR records

      • Likely an FTE issue

    • Contact ORSPA at effort-q@asu.edu to have annualized salary reset.


Common er messages dept reviewer role5
Common ER Messages- Dept Reviewer Role

  • Not enough Non Sponsored funding to cover cost share

    • Need to create payroll redistributions to Non Sponsored sources- or-

    • Need to change cost share commitment - contact effort team

    • Discuss any payroll or cost share changes with GCP and the PI


Common er messages dept reviewer role6
Common ER Messages- Dept Reviewer Role

  • Report is linked to current user

    • If you are a certifier and a DEA

    • You cannot review and approve when you are also the certifier

  • Employee has another report

    • May have another appointment

    • Usually an hourly job causes this

    • Effort team can combine reports where necessary


Common er messages dept reviewer role7
Common ER Messages- Dept Reviewer Role

  • Pay occurs before project start date or

  • Pay occurs after project end date

    • Check with GCO to verify project start date. They may alter start date or end date if appropriate.

    • May need to create payroll redistribution to another account


Completing dept review
Completing Dept Review

  • Complete review before clicking “Department Reviewers Approval”

    • All Payroll Redistributions should be posted and report reflecting the update, before approving report (usually 3 days processing)

    • All Cost Sharing adjustments should appear on the report

  • Prevents multiple certifications


Certifier s role
Certifier’s Role

  • Make sure all sponsored projects are listed

  • Make sure that percentages is a reasonable reflection of the effort expended

    • 5% tolerance

  • Certification of their Effort Report


Who can certify
Who can certify?

  • A-21 J10c(2)(c) states “the reports will be signed by the employee, principal investigator, or responsible official(s) using suitable means of verification that the work was performed"

  • ASU states:

    • Exempt, A12 report: Employee

    • Grad_Appt: Lead PI

    • Hrly_Stdt, Nonexempt: Lead PI


Suitable means of verification
Suitable Means of Verification

  • Includes but is not limited to:

    • First hand observations of the work being performed

    • Written confirmation from the individual

    • Physically verifiable information

      • Notebooks

      • Sign-in sheets


Certification proxies
Certification Proxies

  • Therefore, person must meet this criteria to proxy:

    • Person of authority on the project (or in the department)

    • Person who is aware that the employee completed their obligation to the project

  • When a proxy is appropriate:

    • Terminated certifier

    • Medical leave


Certification proxies1
Certification Proxies

  • 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 Chairman or Dean are suitable proxies


Certification proxies2
Certification Proxies

  • 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


Proxies of exempt employees
Proxies of Exempt Employees

  • Notify effort-q@asu.edu of terminations/medical leaves

  • Most exempts: Route to the lead PI

  • If lead PI is terminated, all projects (for Grads) and terminated faculty member reports are typically routed to proxy (ex. Co-PI, Chair/Dean)


Proxies for graduate students
Proxies for Graduate Students

  • Must be an extraordinary situation

  • Lead PIs are expected to be aware of their grad student’s activities

  • Re-routing is based on COEUS project #

    • We will add a 2nd certifier

    • We will not remove the lead PI’s access- as PI should be aware


Parent child accounts
Parent/Child Accounts

  • All “child” accounts are rolled up to the “parent” project account

    • Co-PIs of the child accounts are most appropriate proxy in this instance

  • Re-routing is based on COEUS project #

    • We will add a 2nd certifier

    • We will not remove the lead PI’s access- as PI should be aware


Proration of cs commitments
Proration of CS Commitments

  • The Effort period and CS period may not always match

  • Example:

    • Project Period starts 10/1/12

    • Effort Period starts 8/10/12

    • Commitment %= 10%

    • Therefore: 10% x (3 mos/4.5 mos)

      • Prorated Commitment= 6.66%

      • Rounds to 7% in Effort System


Pi viewer role
PI Viewer Role

  • Lead PI can view all people on their projects, at any point in the process.

  • Process:

    • Remove “My Queue Only” check

    • Limit on ER Year and ER Period

    • List will appear with people paid or cost shared to their projects

    • Proxies use the same process


Department approvers
Department Approvers

  • See if any changes were made by the certifier

    • Errors will appear on the form

  • If changes made, correspond with certifier:

    • May need to create Cost Transfer or Cost Share change

    • May need to verify that the certifier understands the %


Common er messages dept approver role
Common ER Messages- Dept Approver Role

  • Effort not sufficient to cover pay or cost share commitment

  • Voluntary cost share exists


Common er messages dept approver role1
Common ER Messages- Dept Approver Role

  • Effort not sufficient to cover pay or cost share commitment

    • Person did not meet their obligation to the sponsor

    • MUST create payroll redistribution, or modify cost share

    • Discuss any payroll or cost share changes with PI or employee


Common er messages dept approver role2
Common ER Messages- Dept Approver Role

  • Voluntary cost share exists

  • Check with PI or employee to determine correct course of action

    • Payroll Redistribution from another account onto the Sponsored account

    • Contact your GCO about Cost Sharing modifications, be sure revisions are routed to Effort Team

    • Recognize Voluntary Uncommitted Cost Sharing- override the error


Report status for dept
Report status for Dept

To determine the status of your dept’s reports:

On the Search Page:

Uncheck My Queue Only

Enter ER Year and ER Period

Ex. Year = 2011; Period = 3

Click Search

Note the Appr Seq column value on the search results:

1: ORSPA Initiator

2: DEA Reviewer (before certification)

3: Employee or PI Certifier

4: DEA Approver (after certification)

5: ORSPA Final (archived)


Report status for dept1
Report status for Dept

Please remember to check your queue even after initial release

Redistributions, new cost share commitments will generate new Effort Reports

You will be notified about new reports via automatic emails


Hold list delinquent reports
Hold List- Delinquent Reports

  • PIs are held up at activation or for modifications to their projects if:

    • The PI did not certify

    • Someone on their project didn’t certify

  • Very few exceptions to the Hold List

    • Effort Certification is required

    • This is the way to enforce timely 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


Help hierarchy
Help Hierarchy

  • Certifiers needing help:

    • DEA’s are first line of defense

    • Effort-q@asu.edu

  • DEA’s needing help:

    • Effort-q@asu.edu