University of CaliforniaUniversity of CaliforniaEffort Reporting SystemEffort Reporting System
An Overview for Health Sciences An Overview for Health Sciences Research Administration A-Z ProgramResearch Administration A-Z Program
Presenters:Presenters:Donna Smith, OPAFS Donna Smith, OPAFS
&&
Yvette Obando, PsychiatryYvette Obando, Psychiatry
March 26, 2009March 26, 2009
Today’s AgendaToday’s Agenda What is Effort Reporting?What is Effort Reporting?
– Federal GuidelinesFederal Guidelines– Electronic Certification of Effort and Reporting Tool (ECERT)Electronic Certification of Effort and Reporting Tool (ECERT)– Personnel Activity Reports (PARs)Personnel Activity Reports (PARs)– Faculty Effort and handling changes in effortFaculty Effort and handling changes in effort– Agency Requirements for adjusted effortAgency Requirements for adjusted effort– Principal Investigator (PI) and Departmental Roles and ResponsibilitiesPrincipal Investigator (PI) and Departmental Roles and Responsibilities
Demo and Mini-TrainingDemo and Mini-Training
Special Situations Often Encountered in Health SciencesSpecial Situations Often Encountered in Health Sciences– VMRF and Personnel Agreements VMRF and Personnel Agreements – NIH Salary CapNIH Salary Cap– K AwardsK Awards– MOUs - Joint VA/UC Appointments MOUs - Joint VA/UC Appointments
What are Federal Effort What are Federal Effort Reporting Requirements?Reporting Requirements? OMB Circular-A21 ComplianceOMB Circular-A21 Compliance
Effort reporting is the mandated method of certifying to Effort reporting is the mandated method of certifying to federalfederal granting agencies that the effort required as a granting agencies that the effort required as a condition of the award was actually completed.condition of the award was actually completed.
Effort Reports must be certified within 120 days after Effort Reports must be certified within 120 days after the end of the quarter.the end of the quarter.
Why is Effort Reporting Required Why is Effort Reporting Required and Important to UC Systemwide?and Important to UC Systemwide?
Accepting an award creates a contractual obligation to Accepting an award creates a contractual obligation to certify the proposed effort after it has been completed.certify the proposed effort after it has been completed.
Salary expense represents approximately 67% of the Salary expense represents approximately 67% of the direct cost component on these projects.direct cost component on these projects.
Adverse audit findings related to effort reporting could Adverse audit findings related to effort reporting could subject UC to:subject UC to:– Sizeable audit disallowance of expenses that are already incurred.Sizeable audit disallowance of expenses that are already incurred.– Withholding a % of the total award.Withholding a % of the total award.– Termination of active awards.Termination of active awards.– Extrapolation.Extrapolation.– Possibility of loosing future federally sponsored research funding.Possibility of loosing future federally sponsored research funding.
How we Calculate Effort?How we Calculate Effort? A person’s "effort" is all A person’s "effort" is all UCSDUCSD work performed over a work performed over a
defined period of time including sponsored research, defined period of time including sponsored research, teaching, service, clinical work, and administrative duties.teaching, service, clinical work, and administrative duties.
Note: Effort reports are not the same as progress reports, timesheets, or pay distribution.
Average Weekly Sponsored Project
Hours Charged to Award
Average Weekly UCSD Hours
% Project Effort
Project HistoryProject History
UCOP Developed the Effort Reporting System in 2003.UCOP Developed the Effort Reporting System in 2003.
6 campuses currently use the electronic effort reporting 6 campuses currently use the electronic effort reporting system. (2 campuses will join soon.system. (2 campuses will join soon.))
Collaborative effort involving department Collaborative effort involving department representatives, faculty, auditors, central offices, representatives, faculty, auditors, central offices, technical representatives and effort administrators.technical representatives and effort administrators.
The Historical The Historical Effort Reporting ProcessEffort Reporting Process Personnel Activity Reporting (PAR) System developed in Personnel Activity Reporting (PAR) System developed in
1982.1982.
The PAR System had become outdated from a The PAR System had become outdated from a technology perspective.technology perspective.
There was a recognized need to:There was a recognized need to:– Streamline the effort reporting processStreamline the effort reporting process– Reduce compliance risks inherent in the PAR SystemReduce compliance risks inherent in the PAR System
Current Effort Reporting Current Effort Reporting System Benefits!System Benefits!
Electronic Certification of Effort and Reporting Tool Electronic Certification of Effort and Reporting Tool (ECERT)(ECERT)– Online, 24 hrs per dayOnline, 24 hrs per day– More accurate effort projectionsMore accurate effort projections– System is auditable “Office of Record”System is auditable “Office of Record”– Interacts with PPS and drills down to DOPE dataInteracts with PPS and drills down to DOPE data– Eliminates loss of paper reportsEliminates loss of paper reports– On-line editing and edit checksOn-line editing and edit checks– Report status changes when a PET is processedReport status changes when a PET is processed– Uses the current campus security & access controlsUses the current campus security & access controls
(Single Sign-on)(Single Sign-on)
What Does an Effort Report What Does an Effort Report look like to a certifier?look like to a certifier?
Employee and Report Information
Awards that require certification
Private Awards and Non-Research Activities
P
A
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R
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L
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A
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U
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Cost Sharing Certified in UCSD’s Cost Sharing Subsystem
Certify 100% Effort
Comments
Who Receives an Effort Report?Who Receives an Effort Report?
Effort Reports are required for all personnel paid directly Effort Reports are required for all personnel paid directly from sponsored projects from sponsored projects funded by federal sourcesfunded by federal sources, , including private and state federal flow-through funds. including private and state federal flow-through funds.
NoteNote: : ECERT will generate reports for PIs regardless of whether or not they ECERT will generate reports for PIs regardless of whether or not they were paid from federal funds. If they were not, the effort report will were paid from federal funds. If they were not, the effort report will be marked Not Required. be marked Not Required.
Who Certifies an Effort Report?Who Certifies an Effort Report?
Effort Reports will be certified by a “responsible official with Effort Reports will be certified by a “responsible official with first hand knowledge” of the employee’s work. first hand knowledge” of the employee’s work. This is usually either: This is usually either:
The PI The PI oror TheTheEmployeeEmployee
What is the Reporting Cycle?What is the Reporting Cycle?
Effort Quarter EndsMarch 31
Reports ProducedMid-May
Interim Status Report SentEarly July
Reminders Sent/Status Report
IssuedMid-July
Reports DueEnd of July
Day 0
Day 45 Day 90 Day 105
Day 120
How often do we need to do this?How often do we need to do this?
REPORTSREPORTS REPORTSREPORTSMONTHS AVAILABLEAVAILABLE OVERDUEOVERDUE
January, February, MarchJanuary, February, March May 15May 15 July 29July 29
April, May, JuneApril, May, June August 15August 15 October 28October 28
July, August, SeptemberJuly, August, September November 15November 15 January 28January 28
October, November, DecemberOctober, November, December February 15February 15 April 29April 29
• Reports must be certified within 120 days after the end of each quarter.• Reports will be made available after one ledger close following the end of each quarter.• Status reports will be sent to your departmental manager twice each quarter.
What is the role of the Dept.?What is the role of the Dept.?
Job Aide forEffort Administrators
Faculty Effort & Handling Faculty Effort & Handling Changes in EffortChanges in Effort Federal Insights on Faculty with Effort >95% on Federal Insights on Faculty with Effort >95% on
Research Funds.Research Funds. Corresponding Payroll Adjustments.Corresponding Payroll Adjustments.
Comment Log.Comment Log.
First Hand Knowledge of the Effort Actually Expended.First Hand Knowledge of the Effort Actually Expended.
Academic Certifications.Academic Certifications.
Principal Investigator Certifications.Principal Investigator Certifications.
Agency Requirements for Agency Requirements for Adjusted EffortAdjusted Effort Effort cannot exceed 100% across all projects.Effort cannot exceed 100% across all projects.
Changes to Key Personnel.Changes to Key Personnel.
When effort changes more than 25%, it is considered a When effort changes more than 25%, it is considered a change in scope and requires agency approval.change in scope and requires agency approval.
Do I use ECERT or a PAR?Do I use ECERT or a PAR?
Every department used PARs prior to transitioning to Every department used PARs prior to transitioning to ECERT for meeting federal effort reporting requirements.ECERT for meeting federal effort reporting requirements.
ECERT Pilot Programs began FY07 JAN-MAR QuarterECERT Pilot Programs began FY07 JAN-MAR Quarter– FY07 JAN-MAR quarter represents January 2007-March 2007FY07 JAN-MAR quarter represents January 2007-March 2007
All of Campus switched to ECERT FY08 OCT-DEC QuarterAll of Campus switched to ECERT FY08 OCT-DEC Quarter– FY08 OCT-DEC quarter represents October 2007-December 2007FY08 OCT-DEC quarter represents October 2007-December 2007
The answer depends on when your department stopped using the paper PARs and began using ECERT.
ECERT Pilot DepartmentsECERT Pilot DepartmentsPilot I – FY07 JAN-MAR Pilot II – FY07 APR-JUN
(Plus Depts. In Pilot I)Pilot III – FY08 JUL-SEP(Plus Depts. In Pilots I & II)
IPAPS Bioengineering Campus Recreation
Ophthalmology CalIT2 Comp. Sci. & Engineering
Physics Cardiology CRBS
Physiology Economics Ctr. for Energy Research
Psychiatry GCRC Elect. & Comp. Engineering
Supercomputer JSOE Dean’s Office Endo-Met
Mathematics Linguistics
Neurosciences Pediatrics
Pathology Rheumatology
Skagg’s School of Pharmacy Sea Grant
Effort Considerations when Processing a PETEffort Considerations when Processing a PET
ECERT ECERT Live System DemoLive System Demo
http://myEffort-qa.ucsd.eduhttp://myEffort-qa.ucsd.edu
Effort-Pay Relationships Effort-Pay Relationships in Health Sciencesin Health Sciences VMRF and Personnel Agreements VMRF and Personnel Agreements
– JPAsJPAs– IPAsIPAs
NIH Salary CapNIH Salary Cap
K AwardsK Awards
Personnel AgreementsPersonnel Agreements
JPA- VMRF Personnel AgreementJPA- VMRF Personnel Agreement IPA- VA Personnel AgreementIPA- VA Personnel Agreement Both are Federal Flow-ThruBoth are Federal Flow-Thru Must be certified via ECERTMust be certified via ECERT
NIH Salary CapNIH Salary Cap
Effective 01/01/2009: $197,600Effective 01/01/2009: $197,600 Should not affect ECERTShould not affect ECERT
K AwardsK Awards
Most K Awards have a Cap amount of $90kMost K Awards have a Cap amount of $90k Since K awards do not allow PI’s to have Since K awards do not allow PI’s to have
other federal funding they will be 100%other federal funding they will be 100%
Sweet!Sweet!We achieved 100% CertificationWe achieved 100% Certification
within 120 days after the end of the quarter.within 120 days after the end of the quarter.
Dept.Dept.ManagerManager
PILab
Resources on BlinkResources on Blink
ECERT OverviewECERT Overview Best PracticesBest Practices FAQ’sFAQ’s Job AidsJob Aids
Questions?Questions?
ECERT Helpdesk
Please Contact:Please Contact:
OPAFS helps you to achieve 100% compliance within 120 Days after the end of the quarter.OPAFS helps you to achieve 100% compliance within 120 Days after the end of the quarter.
