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					EFFORT CERTIFICATION and REPORTING (ECR)

Information for Department Administrators

Revised – August 2010

Part II of III
           Table of Contents
Part I – see separate presentation
• Effort and ECR Background
• ECR Basics
• Establishing a New Department Administrator
Part II – this presentation
• Monthly FEI Process
• Effort Certification
• Contact Information
Part III – see separate presentation
• Reviewing Previous Certifications
• Recertification
• Reports
                                                2
           Monthly
FUNDING & EFFORT INFORMATION
             (FEI)
           Process
Reports – Monthly Funding & Effort Information
Report (FEI)                              The Monthly Funding
                                                  and Effort Information
                                                  Report shows all the
                                                  payroll information for a
                                                  certifier for a specific
                                                  period.

                                                  To run the report, the
                                                  user can select the link
                                                  on the Department
                                                  Dashboard page. This
                                                  method will run the
                                                  report for the department
                                                  being viewed for the last
                                                  month for which
                                                  information exists in the
                                                  system.

                                                  The report can also be
                                                  run from the View
                                                  Reports page. The user
                                                  enters the relevant
                                                  information in the search
                                                  boxes and selects „Run
                                                  Report‟.




                                                                   4
Reports – Monthly Funding & Effort Information
Report (FEI)
                                         Data within the FEI
                                         report is restricted by
                                         system security. An
                                         administrator can run the
                                         report for an entire
                                         department if they are
                                         setup within ECRT as an
                                         administrator for that
                                         department.

                                         They can also run it for a
                                         single employee if that
                                         employee has charged
                                         time to an award or
                                         account owned by their
                                         department.

                                         Note that when filling out
                                         the selection screen for
                                         the report, the user
                                         should fill in EITHER the
                                         employee line or the
                                   OR    department line. Do
                                         NOT fill in both.
                                  NOT
                                  BOTH



                                                            5
Reports – Monthly Funding & Effort Information
Report
                                             The Monthly
                                             Funding and
                                             Effort
                                             Information
                                             Report shows
                                             the account
                                             number,
                                             account title,
                                             account type
                                             indicator
                                             (master, sub,
                                             cost sharing, or
                                             grant related
                                             income), job
                                             code, account
                                             purpose, PI,
                                             and actual
                                             payroll
                                             percentage
                                             charged to each
                                             account.




                                                       6
Reports – Monthly Funding & Effort Information
Report                                  The second page of
                                                the FEI report
                                                provides space for
                                                requests to transfer
                                                salary charges as
                                                well as to capture the
                                                signatures necessary
                                                to process such a
                                                request.

                                                Please remember
                                                government
                                                regulations require
                                                that transfers must be
                                                completed within 90
                                                days of the original
                                                charge.
                                                In addition, transfers
                                                done on a monthly
                                                basis to capture the
                                                correct effort in an
                                                account, help
                                                eliminate questions,
                                                need for memos, etc.
                                                .




                                                                7
 Effort Certification

Certifier Perspective
Certification – Certifier Actions


                                    A certifier, such as a
                                    PI, has a limited
                                    number of links on
                                    their Welcome screen
                                    when they log into
                                    ECR. In general,
                                    they can certify their
                                    effort and the effort of
                                    research assistants
                                    that work for them.
                                    They can also see
                                    reports related to their
                                    projects.

                                    A certifier starts the
                                    effort certification
                                    process by clicking on
                                    the link to Certify My
                                    Effort.




                                                     9
                                   Note: names used are fictitious
Certification – Reviewing Effort                 The certifier is
                                                 brought to the Effort
                                                 Certification screen.
                                                 The screen must be
                                                 reviewed by the
                                                 certifier and then
                                                 approved to move to
                                                 the “certification
                                                 statement”.

                                                 The screen shows %
                                                 of effort spent on
                                                 each activity

                                                 The Certification
                                                 Payroll report link
                                                 shows the dollars
                                                 paid the researcher
                                                 and how the
                                                 percentages on this
                                                 screen were
                                                 calculated.

                                                 The screen will
                                                 reflect 100% from all
                                                 activities. This
                                                 example shows a
                                                 researcher with two
                                                 grants as well as
                                                 non grant activity.

                                                               10
Certification – Reviewing Effort
                                                                          This is the bottom ½
                                                                          of a certification
                                                                          screen.

                                                                          The Sponsored
                                                                          activity appears in
                                                                          the top part of the
                                                                          card and the Non
                                                                          Sponsored activity
                                                                          appears in the
                                                                          bottom part of the
                                                                          card. There are
                                                                          subtotals for each
                                                                          award as well as the
                                                                          Sponsored and Non
                                                                          Sponsored areas.

                                                                          The total effort may
                                                                          add to slightly more
                                                                          than 100% because
                                                                          of rounding. This will
                                                                          have no adverse
                                                                          effect on the
                                                                          certification process
                                                                          or statement.
 THIS TEXT BOX ALLOWS CERTIFIES AND ADMINISTRATORS TO SHARE INFORMATION
                                                                          The text box at the
                                                                          bottom allows
                                                                          certifiers to enter
                                                                          comments and
                                                                          notes.
                                                                                        11
Certification – Reviewing Effort


                                   This example shows
                                   a researcher with cost
                                   shared activity.

                                   Notice the subtotal for
                                   each award includes
                                   both direct and cost
                                   shared amounts.

                                   Totals are shown for
                                   sponsored and non-
                                   sponsored
                                   categories.
                                   .




                                                   12
Certification Payroll Report

                               This is the ECPR report
                               as it appears in HTML
                               format. It can be
                               created in Excel, PDF
                               or other formats by
                               clicking on the icons on
                               the lower right portion
                               of the screen.

                               There are two formats
                               available. The
                               Account View shows
                               the payroll dollar totals
                               and related
                               percentages calculated
                               by ECR and display on
                               the Effort Statement.

                               A researcher
                               questioning how effort
                               percentages were
                               derived, will find this
                               report useful as it
                               provides detail
                               information.


                                               13
Certification Payroll Report


                               This example shows the
                               ECPR report second
                               option: Pay Period
                               format.

                               This format sorts the
                               payroll dollars by pay
                               period and shows the
                               payroll totals for each pay
                               period and for the entire
                               certification period.

                               This report should be
                               used by Department
                               Administrators if they
                               need to reconcile the total
                               payroll dollars and
                               distribution sent to ECR
                               with Payroll system
                               reports.




                                                14
Certification – Effort Card Tools
                                    This example illustrates
                                    additional tools and links
                                    available to a researcher
                                    as they certify their effort.

                                    A link to an effort
                                    calculator is located above
                                    the column headings on
                                    the right side of the card.
                                    This tool can be used by a
                                    researcher to convert
                                    hours or dollars to a
                                    percentage.

                                    The Show Dollar Value
                                    link will translate the
                                    percentages into the
                                    underlying payroll dollars.

                                    The Refresh Statement
                                    link will recalculate the
                                    card percentages and
                                    totals.

                                    The Related Reports link
                                    is another way to access
                                    the Certification Payroll
                                    Report.
                                                       15
Certification – Effort Calculator
                                    If the user clicks the Effort
                                    Calculator link described
                                    on the previous page, a
                                    pop-up window appears
                                    with the information on the
                                    left.

                                    The first step in using the
                                    calculator is to fill in the
                                    average number of hours
                                    the researcher works in a
                                    week.

                                    Next the user enters
                                    values in either the Hours
                                    or the Percentage
                                    columns. After clicking on
                                    the “Calculate” box or
                                    moving to a new entry
                                    box, the system will
                  Entry   Result    calculate either the hours
                                    or the percentage,
                                    depending on which data
                                    was entered. In this
                                    example the hours were
                                    entered and the
                                    percentages calculated.

                                                      16
Certification – View Dollars
                               If the user clicks the Show
                               Dollar Value link above the
                               column headings, the view
                               at the left is displayed.
                               The percentages in each
                               column will be translated
                               to the payroll dollars
                               represented by the
                               percentages.

                               Clicking the Show Percent
                               Value link above the
                               columns returns the user
                               to the standard
                               certification view of the
                               effort card.

                               NOTE: When viewing
                               the effort card in dollar
                               values, the certification
                               button at the bottom is
                               not active. Certification
                               must be done in
                               percentages, not
                               dollars.



                                                17
Certification – View Line Dollars
                                    Another useful tool on the
                                    effort card is the View Line
                                    Dollars icon.

                                    Clicking this icon will
                                    display a section of the
                                    Certification Payroll
                                    Report report described
                                    earlier that shows the
                                    transactions summarized
                                    to arrive at the percentage
                                    on the individual line. This
                                    information is displayed in
                                    a pop-up window on top of
                                    the effort statement
                                    screen.

                                    The information on this
                                    report provides the detail
                                    behind the totals displayed
                                    when the View Dollars link
                                    is clicked. (See previous
                                    page.)




                                                     18
Certification – Certifying Effort   Returning to our
                                    example, we can
                                    see this certifier has
                                    two awards.

                                    Within each award,
                                    the accounts for the
                                    award are listed.
                                    To certify effort, a
                                    researcher enters
                                    the percentage of
                                    effort spent on each
                                    award/account
                                    representing the
                                    effort spent on each
                                    activity and clicks
                                    the checkbox next to
                                    each line.

                                    AMOUNTS NEED
                                    TO BE ENTERED
                                    AS WHOLE
                                    NUMBERS.

                                    The screen displays
                                    both sponsored and
                                    non sponsored
                                    accounts as the
                                    certification must
                                    account for 100% of
                                    UM effort.
                                                  19
Certification – Certifying Effort

                                    After all effort
                                    percentages are
                                    entered for all
                                    activity, the certifier
                                    will see an error
                                    message if the total
                                    certified effort is less
                                    than 100%.




                                    When all effort has
                                    been accounted for,
                                    the researcher clicks
                                    the “Certify” button
                                    below the totals.




                                                  20
Certification – Certifying Effort

                                    The researcher is
                                    then presented with a
                                    message which
                                    requires positive
                                    certification that the
                                    effort recorded in the
                                    screen is a
                                    reasonable
                                    approximation of the
                                    actual effort spent on
                                    all activities for which
                                    he/she is
                                    compensated by UM.

                                    In this example, we
                                    are showing the
                                    certification screen in
                                    two slides for easier
                                    viewing.




                                                    21
Certification – Certifying Effort

                                    In this example,
                                    there were no
                                    changes, so there
                                    was no need to add
                                    a note or
                                    attachment to the
                                    statement.

                                    After a final review
                                    of the information
                                    on the page and
                                    the certification
                                    statement at the
                                    top, the certifier will
                                    click the “I Agree”
                                    button under the
                                    message (see
                                    previous slide).

                                    At this point, the
                                    certifier is returned
                                    to the Home Page.




                                                     22
Certification – Certifying Effort
                                    Using a different
                                    example, the certifier
                                    entered effort
                                    percentages that
                                    differ from the
                                    „Computed Effort %”
                                    (Computed effort
                                    reflects how the
                                    salary was charged
                                    in the payroll
                                    system)

                                    The „Certified %‟ for
                                    the second award as
                                    entered by the
                                    certifier differs from
                                    the „Computed Effort
                                    %‟.

                                    The certification
                                    screen continues on
                                    the next slide.




                                                  23
   Certification – Certifying Effort                                                                                                      In this example, the
                                                                                                                                          certifier then enters
                                                                                                                                          an explanation for
                                                                                                                                          the changes in the
                                                                                                                                          text box for the
                                                                                                                                          Effort Note.

                                                                                                                                          In this example, the
                                                                                                                                          certifier‟s
                                                                                                                                          explanation states
                                                                                                                                          that extra work was
                                                                                                                                          done in the current
                                                                                                                                          period to offset an
                                                                                                                                          anticipated reduced
                                                                                                                                          amount of effort in
                                                                                                                                          the next period.

                                                                                                                                          The department
                                                                                                                                          administrator
                                                                                                                                          reviews the
                                                                                                                                          changed effort and
                                                                                                                                          initiates a payroll
                                                                                                                                          journal entry to
                                                                                                                                          change the account
                                                                                                                                          distribution in the
I put in extra time on this award this period because I have limited time next period. Overall effort should remain on budge t over the
current year.                                                                                                                             payroll system and
                                                                                                                                          reflect the correct
                                                                                                                                          effort on the grants.




                                                                                                                                                       24
Certification – Certifying Effort

                                    Below the note
                                    text box is the
                                    Effort Note
                                    History section.
                                    Clicking on the +
                                    sign will expand
                                    the history to
                                    show all notes
                                    entered, who
                                    entered them
                                    and when they
                                    were entered
                                    The expanded
                                    notes section is
                                    shown at the
                                    bottom.

                                    Tools are
                                    provided to allow
                                    the user to copy
                                    the contents of
                                    old notes into
                                    new notes
                                    above.



                                              25
   Certification – Certifying Effort                                                                                                      Need more
                                                                                                                                          information about
                                                                                                                                          an account?
                                                                                                                                          The account names
                                                                                                                                          are all links to a
                                                                                                                                          summary screen, an
                                                                                                                                          example of which is
                                                                                                                                          shown on the next
                                                                                                                                          slide.

                                                                                                                                          To get there, click on
                                                                                                                                          the account name.




I put in extra time on this award this period because I have limited time next period. Overall effort should remain on budge t over the
current year.




                                                                                                                                                       26
Certification – Account Summary Page
                                       Need more
                                       information about an
                                       account?
                                       The account names
                                       clicked on the previous
                                       slide bring you to the
                                       Account Summary
                                       screen.

                                       The summary screen
                                       shows more
                                       information about the
                                       account, including a
                                       longer name, the
                                       number, a description,
                                       amount, the sponsor
                                       name and number, the
                                       PI, and the start and
                                       end dates.

                                       The department that is
                                       associated to the
                                       account is shown in
                                       the middle section.

                                       The summary screen
                                       also shows all of the
                                       certifiers charging time
                                       to the award and their
                                       related departments.
                                                     27
Administrator Perspective
Dept. Administrator – Certification Review


                                      Once a researcher has
                                      certified their effort, it is
                                      the responsibility of the
                                      Department Administrator
                                      to review what has been
                                      submitted.

                                      In ECR, the review
                                      process is done by
                                      selecting the Manage
                                      Effort Tasks link on the
                                      home page.

                                      The number in
                                      parentheses at the end of
                                      the link indicates how
                                      many tasks have been
                                      routed by the system to
                                      the Dept. Administrator
                                      and need to be
                                      completed.




                                                            29
Dept. Administrator – Certification Review
                                        The Dept. Admin. Is
                                        taken to their “To Do
                                        List”. Each line in the
                                        list represents a
                                        certification that needs
                                        to be processed.

                                        Note that in the earlier
                                        version of ECR a
                                        double asterisk was
                                        used to denote
                                        certifications that had
                                        no changes made by
                                        the certifier. In the new
                                        version of ECR, forms
                                        with no changes are
                                        completed automatically
                                        after being certified by
                                        the user. Therefore,
                                        only certifications with
                                        changes will appear on
                                        this list.

                                        Each line will now need
                                        to be reviewed due to
                                        changes. The next step
                                        is to click on one of
                                        these lines.

                                                       30
Dept. Administrator – Certification Processing
                                    When changes have been made to
                                    the certification statement by the
                                    researcher, ECR calculates the
                                    dollars related to the changes and
                                    shows them to the right of the
                                    changed lines.

                                    In this example, $819.43 is
                                    reflected as the amount that would
                                    be potentially transferred to the
                                    non-sponsored account from the
                                    sponsored account. Typically, the
                                    researcher should include notes in
                                    the bottom section if the effort lines
                                    were changed. THIS AMOUNT IS
                                    A GUIDE AND NEEDS TO BE
                                    VERIFIED BY THE
                                    ADMINISTRATOR. PAYROLL
                                    JOURNALS NEED TO BE DONE
                                    BY PAY PERIOD, NOT FOR THE
                                    TOTAL OF THE CERTIFICATION
                                    PERIOD.

                                    It is the administrator‟s
                                    responsibility to review the
                                    appropriateness of the cost
                                    transfers based on the effort that
                                    has been certified and initiate a
                                    payroll transfer for the correct
                                    amount within the 90 day period
                                    required by the government.

                                    See next slide             31
Dept. Administrator – Certification Processing

                                    After review, the administrator
                                    clicks the “Process” button at
                                    bottom of the page.

                                    It is recommended that the
                                    administrator add notes in the
                                    box at the bottom of the screen
                                    for future reference. An
                                    example may be: Payroll
                                    Journals completed on 9/30/09.

                                    After processing, the item is
                                    moved from the administrator‟s
                                    task list and the status is set to
                                    “completed”.




                                                                32
Dept. Administrator – Certification Re-Processing
                                                                                                           If after reviewing the
                                                                                                           Certification the Administrator
                                                                                                           believes there is an error, they
                                                                                                           should indicate the reason why
                                                                                                           there is a problem in the notes
                                                                                                           box and click the “Return To
                                                                                                           Certifier” button at the bottom
                                                                                                           of the screen.

                                                                                                           This action causes an email to
                                                                                                           automatically be sent from the
                                                                                                           Administrator to the
                                                                                                           Researcher telling them that
                                                                                                           the certification needs further
                                                                                                           review and requires the
                                                                                                           administrator to contact the
                                                                                                           researcher. It also changes the
                                                                                                           status of the certification from
                                                                                                           “Certified” back to “Not
                                                                                                           Certified”.

This does not appear to be a valid distribution of ef fort. I will be contacting you shortly to discuss.   The researcher would then
                                                                                                           reopen the certification, review
                                                                                                           the administrator‟s notes, and
                                                                                                           take appropriate action if
                                                                                                           needed, and resubmit for
                                                                                                           processing.

                                                                                                                                    33
Manual Certifications
Dept. Administrator – Manual Certifications

                                     University of Miami policy
                                     prohibits Department
                                     Administrators from
                                     certifying effort on behalf
                                     of researchers. If a
                                     researcher does not want
                                     to use ECR to certify their
                                     effort, the DA will have to
                                     print out a certification
                                     form, have the researcher
                                     sign it, and then upload
                                     the form into the system.

                                     This process is started
                                     from the Department
                                     Dashboard screen. To
                                     access that screen and
                                     begin the process, the
                                     user will select the
                                     „Department Dashboard‟
                                     link.




                                                           35
Dept. Administrator – Manual Certifications

                                       In anticipation that
                                       some researchers will
                                       not use the system to
                                       certify their time, ECR
                                       accommodates manual
                                       processing of their
                                       forms.

                                       The Administrator
                                       should first select the
                                       Department Dashboard
                                       Link on the home page.

                                       Go to the Certifer List
                                       and select the
                                       researcher to process
                                       by clicking on the icon
                                       for the appropriate
                                       certification period.




                                                        36
Dept. Administrator – Manual Certifications

                                        It is against UM policy
                                        for an Administrator to
                                        certify time for a
                                        researcher. So if the
                                        certifier will not fill out
                                        his/her effort
                                        statement, the
                                        Administrator must
                                        coordinate the
                                        certification.

                                        The Administrator‟s
                                        first step is to print the
                                        certification form by
                                        clicking the Link at
                                        the top of the screen.




                                                         37
Dept. Administrator – Manual Certifications
                                        The Administrator should
                                        return to the Department
                                        Dashboard page and again
                                        click on the researcher to
                                        be processed after the
                                        manual certification card
                                        has been signed This will
                                        bring up the certification
                                        page.

                                        STEPS:
                                        1. Print certification form,
                                        and have it manually
                                        certified by researcher
                                        (include the certifier's
                                        signature and date).

                                        2. Scan the form and save
                                        it to your computer (save it
                                        to a place in your computer
                                        you will remember later).

                                        3. Enter the percentages as
                                        certified on the paper
                                        certification form and check
                                        each of the boxes.
                                        (Continues on next slide)



                                                              38
Dept. Administrator – Manual Certifications
                                                                                     (Continued from previous
                                                                                     slide)

                                                                                     4. Upload form from
                                                                                     where you saved it in
                                                                                     your computer by using
                                                                                     the Attach File button.
                                                                                     See Next Slide for
                                                                                     detailed examples.
                                                                                     5. You must add a note
                                                                                     to reflect that the
                                                                                     certification was
                                                                                     completed manually.
                                                                                     Please remember to
                                                                                     save your note by
                                                                                     clicking Save Effort Note
                                                                                     button.
                                                                                     6. Finally, click the
                                                                                     “Certify” button and
                                                                                     complete the certification
                                                                                     process.
                                                                                     The electronic record
                                                                                     now reflects what was
   Certification was manually completed by Mr. Esxxx on 9/16/09 and it is attached   certified, the record is
                                                                                     marked as completed,
                                                                                     the scanned document is
                                                                                     stored in ECR as well as
                                                                                     the note for audit trail
                                                                                     purposes.
                                                                                                        39
Dept. Administrator – File Attachments
                                         To upload an attachment,
                                         first click on the Attach
                                         File link on the effort
                                         card.

                                         The pop-up box to the
                                         left will appear. In this
                                         box, click the Browse
                                         button.

                                         A second pop-up window
                                         will appear for your
                                         desktop or local disk
                                         drives. Locate where the
                                         attachment was stored
                                         and click the file name. It
                                         will be populated to the
                                         File Name box at the
                                         bottom of the window.

                                         Next click “Open” on the
                                         second pop-up.




                                                              40
Dept. Administrator – File Attachments
                                         The file name from the
                                         second pop-up box will
                                         be populated into the first
                                         pop-up window.

                                         Now click “Attach File”.
                                         Once the file is attached,
                                         the pop-up window
                                         disappears and the name
                                         of the attachment is
                                         shown on the effort card.

                                         Clicking on the Action
                                         icon with the page and
                                         arrow will allow the user
                                         to open the attachment –
                                         the signed effort form.




                                                             41
Contact Information
Questions?
   Judy Mallon
    Supervisor
Sponsored Programs
                      See separate
   305-284-3223
jmallon@miami.edu
                     presentations I
        Or
                        and III for
   Maria V. Ortiz
                        additional
     Director          information
Sponsored Programs
   305-284-2375
 mortiz@miami.edu
                                       43

				
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