Transcript Office of Research and Sponsored Projects Restricted

Effort Certification and
Reporting Technology
(ECRT) System Training
J. Lilia Treviño
Project Effort Reporting Specialist
Office of Research Administration
ECRT Roles / Rights
Assigned to each user:
 Supporting Individuals: All users


Secondary (College) Effort Coordinators: Selected by
PI’s


View effort card (report discrepancies)
Review, Enter and Save the Certified Effort %’s for PI’s to certify
Primary Individuals (Principal Investigator, project
director, co-investigator, or co-project director on a
sponsored proposal):

Edit/Review certified effort to ensure accuracy and Certify their
own effort and the effort of any supporting individuals that work
on their projects
Office of Research Administration
ECRT Roles / Rights
Continue:
 Primary Effort Coordinator: Myself (J. Lilia Trevino)



Central Administrators: Dr. Wendy A. LawrenceFowler, Vice Provost for Research and Sponsored
Projects and myself (J. Lilia Trevino)


Process Effort Cards
Reopen Effort Cards (post payroll adjustments)
Responsible for Managing the Users, Departments,
Adding/Changing Roles and Rights
System Administrators: Dr. Wendy A. LawrenceFowler, Vice Provost for Research and Sponsored
Projects and Roy Rodriguez (IT)

Responsible for Monitoring the system
Office of Research Administration
Purpose

The purpose of this course is to familiarize Primary
Individuals (PI’s), Secondary Effort Coordinators (SEC),
and Supporting Individuals (SI’s) with the University’s
new Effort Certification and Reporting Technology
(ECRT) system, in order to comply with federal
regulations and UTPA’s policies and procedures that
govern effort on sponsored projects.
Office of Research Administration
Objectives
After Completing this course, you will be able to:

Understand the concept of time and effort

Appreciate the importance of time and effort reporting
and certification

Understand the process by which time and effort is
reported and certified at UTPA
Office of Research Administration
Time and Effort Certification
Description
Before: Paper
Time and Effort
Interim/Certification
After: ECRT
Method of distribution
Paper – based
Web – based
Frequency of
distribution
Interims – Monthly
Certifications- Semester
basis
View – Monthly
Supporting Individuals
n/a
View effort card only
Pre-Review Period
n/a
10 days prior to
certification
Certify
PI’s
PI’s
Certification Period
30 days
30 days
Office of Research Administration
Certify – Semi-annually
ECRT Activities Schedule
Payroll Reporting Period
Pre-Review Period
Certification Period
1-Sep-08
28-Feb-09
30-Mar-09
10-Apr-09
15-Apr-09
15-May-09
1-Mar-09
31-Aug-09
28-Sep-09
9-Oct-09
14-Oct-09
13-Nov-09
1-Sep-09
28-Feb-10
29-Mar-10
9-Apr-10
14-Apr-10
14-May-10
1-Mar-10
31-Aug-10
27-Sep-10
8-Oct-10
13-Oct-10
12-Nov-10
1-Sep-10
28-Feb-11
28-Mar-11
8-Apr-11
13-Apr-11
13-May-11
1-Mar-11
31-Aug-11
3-Oct-11
14-Oct-01
19-Oct-11
18-Nov-11
1-Sep-11
29-Feb-12
2-Apr-12
13-Apr-12
18-Apr-12
18-May-12
1-Mar-12
31-Aug-12
1-Oct-12
12-Oct-12
17-Oct-12
16-Nov-12
Office of Research Administration
Requirements for Time &
Effort Reporting &
Certification
Compliance
External funding for sponsored projects often times comes
with strings attached

Accepting federal funds means compliance with applicable
cost principles (OMB A-21, OMB A-110)

Universities receiving sponsored research dollars should
have appropriate systems, policies and procedures in place
to properly document all commitments, including effort




Research & Sponsored Projects (HOP 4.10.4)
University Payroll Distribution Confirmation for Grants, Contracts and
Other Agreements (HOP 4.10.5) (under review)
Cost Sharing Policy (HOP 4.10.6) (new)
Cost Transfer Policy on Sponsored Research (HOP 4.10.7) (new)
Office of Research Administration
Government focus……
Areas government focus in audits/investigations related to
effort reporting:

Salary charges

Over-commitments

Salary cost transfers and cost sharing

Integration with systems that report time and effort

Roles and Responsibilities



Who ensures appropriate salary is charged?
Who ensures level of commitment is reasonable?
Who certifies the time and effort reports?
Office of Research Administration
Why is there so much emphasis on time
and effort reporting?
Office of Research Administration
So what is effort?


Effort is the amount of time spent on any activity
expressed as a percentage of Total Institutional Activities
for which an Individual is compensated by UTPA.
Effort includes:





Sponsored Programs (e.g. grants and contracts)
Non-Sponsored Research
Teaching
Administrative Duties
Other Institutional Activities
Office of Research Administration
What is effort certification?
A means of confirming:

The percentages of Effort spent in support of each
sponsored project and all other institutional
activities for a given period of time.

Requires that both effort paid by the sponsor and
effort paid by the institution be confirmed.

Each Individual’s Effort Certification must account
for total certified effort of 100%

Payroll distribution and Effort Certification are not
the same thing. (Payroll – allocation of individual’s
salary & Effort – allocation of individual’s effort)
Office of Research Administration
Keep in mind…

Effort is NOT defined as a percent of a 40 hour
workweek or any other standard workweek, nor is it
defined by the percent FTE of an academic or staff
appointment.

An individual’s total Effort must equal 100%. For
example, if an individual averages 60 hours per week
during the reporting period and spends an average of 15
hours on a Sponsored Program that represents 25%
Effort and the other 45 hours, allocated to other
institutional activities, represents 75% Effort.
Office of Research Administration
How do we calculate effort?
Certified Effort %
for Sponsored Activity +
Certified Effort %
for Non Sponsored Activity
Sum of UTPA Activities (100% total effort)
Office of Research Administration
Why do we report effort?
Office of Management and Budget (OMB) Circular A-21,
Section J.10 (Compensation for Personal Services)

Time and Effort reporting requirements

The system must be incorporated into the official
records of the institution

Certification which encompasses both sponsored
and all other activities on an integrated basis (i.e.
100% effort)

After-the-fact confirmation of or determination so
that costs distributed represent actual costs

Certification by an individual with suitable means of
verification that the work was performed
Office of Research Administration
Who certifies effort?

It is the responsibility of every Primary Individual (PI) to
certify his/her own Effort Certification report as well as
reports for all Supporting Individuals who have expended
Effort on his/her Sponsored Programs.
(UTS163 Guidance on Effort Reporting and Certification
Policies)
Office of Research Administration
What happens if a PI does not certify?

Failure to certify during the certification period is failure
to comply with UT Pan American, UT System, and
federal policy. This can result in having all sponsored
projects frozen until the certification is complete.
(HOP 4.10.5 University Payroll Distribution Confirmation for
Grants, Contracts and Other Agreements – under review)
Office of Research Administration
ECRT
Version 2.3.3
Effort Card Functionality

The ability or option to…………….

display the payroll reporting period in the title of the
effort card

view certification frequency above the demographic
data on effort card

display a due date above the demographic data on
the effort card
Office of Research Administration
Additional Effort Card Functionality

The ability or option to…………….

display an icon to identify a closed Grant / Award on
the effort card

show the institution’s name at the top of the effort
card PDF

highlight the category totals on the effort card

Instead of Save, Certify and Cancel buttons

Save to Complete Later (Save Effort Card)

Certify (Certify Effort Card)

Do Nothing (Cancel Changes)
Office of Research Administration
ECRT cycle
begins
Email: 10 day Pre-Review Period
Subject: Effort cards are now available for the 10 day Pre-Review Period
College Effort
Coordinators
The Time and Effort Certification reports for the first 6-month cycle are now available for
preparation and review in the online Effort Certification and Reporting Technology (ECRT)
system. You are receiving this e-mail because you have been identified as the Secondary (College)
Effort Coordinator for your department/area.
In order to access ECRT you must have successfully completed these preliminary steps:


The Special ECRT hands-on Training Session and
Cleared by the ECRT Primary Effort Coordinator
If you have met these requirements, please access ECRT through the Office of Research
Administration’s website at: http://www.utpa.edu/ora and then from the Menu Bar select “Time & Effort”.
After you select our home institution, “The University of Texas-Pan American”, you can log on by
entering your username and password.
You may now begin the pre-review of effort cards for individuals in your department/area.
The 10 day Pre-Review Period will be from March 29, 2010 through April 9, 2010. The Primary
Individuals (PI’s) will be able to access the effort cards for their review and certification for
30 days beginning on April 14, 2010.
If you have any questions or need extra assistance, please send an email to [email protected] or
contact your ECRT Primary Effort Coordinator at 956/318-8991.
Office of Research Administration
Email: T&E Certification Reports 6-month
cycle now available
PI’s &
SI’s
The Time and Effort Certification reports for the first 6-month cycle are now available for review and
certification in the Effort Certification and Reporting Technology (ECRT) system. You are
receiving this notice because you are a:
Supporting Individual (SI): Expended Effort on Sponsored Programs, you can only view your
effort card and report any discrepancies
Primary Individual (PI): Required to certify your own time and effort certification report as well
as the reports for all Supporting Individuals who have expended Effort on your Sponsored
Programs.
Certifications must be completed within 30 days of today, to meet University of Texas System
regulations. Time and Effort Certification reports will be available April 14, 2010 – May 14, 2010.
Your certification(s) may be completed by logging into ECRT through the Office of Research
Administration’s website at: http://www.utpa.edu/ora and then from the Menu Bar select “Time &
Effort”. After you select our home institution, “The University of Texas-Pan American”, you
can log on by entering your username and password.
Time and Effort Certification occurs semi-annually at UTPA, for the months of September – February
and March – August.
If you have any questions or issues logging into the system or regarding your Time and Effort
Certification Reports, please send an email to [email protected] or contact your ECRT Primary
Effort Coordinator at 956/318-8991.
Office of Research Administration
ECRT Navigation – Login Screens
In order to
access the
ECRT Login
Page, go to our
UTPA home
page at
www.utpa.edu
and click on
Research
Administration.
Office of Research Administration
ECRT Navigation – Login Screens
This will
take you to
the ORA
web page
and then
from the
Menu Bar
select
“Time &
Effort”.
Office of Research Administration
Time and Effort Home (under construction)
Office of Research Administration
ECRT Navigation – Login Screens
Choose ”The
University of
Texas-Pan
American” from
the Institution
drop-down list
and click
<Select>.
Office of Research Administration
ECRT Navigation – Login Screens
Enter your
<User name>
and
<Password> in
the User name
and Password
fields.
Then click
<OK>
Office of Research Administration
Prepare Effort Cards
Secondary (College) Effort
Coordinators
ECRT Navigation – Welcome to ECRT
Read
important
information.
Check
this area
for useful
internal
and
external
links as
well as
training
material.
Click Continue to
access ECRT
Office of Research Administration
Department Dashboard
PI’s submit a
request to me
with the name of
the individual
they want to
assign the role of
Secondary
(College) Effort
Coordinator and
I enter it in ECRT.
Office of Research Administration
The links that you can see are limited by
security rights within the system – depending
on the role that you have.
These links are
available for
Secondary
(College) Effort
Coordinators.
Department Dashboard
Check
departmental
status here.
Office of Research Administration
Department Dashboard, Continues……
Other CEC will be added here.
If you click on the + sign, it will expand and list the individuals
for that particular selection.
Office of Research Administration
View Reports
Select View
Reports and
compare any
given report to
your
departmental
records.
Office of Research Administration
View Reports
This Report will also
appear on your effort card
for quick selection.
Certification Payroll Report: For a query about an individual, the report will show the amount of money that
was charged to each Oracle Project during each pay period within the certification period, the total amounts
charged to each Oracle Project during the period, and the percent of total pay during the period for each Oracle
Project.
The Default Format shows the breakdown by Oracle Project. The Alternate Format shows the breakdown by
pay period.
To run the payroll report for a Department, the user will enter the employee type but will enter a Department
name instead of an individual’s name.
Office of Research Administration
View Reports – Certifier Salary Activity Report
Certifier Salary Activity Report: This report will produce a list of all
individuals charging a certifier’s Oracle Projects and their activities.
Select a given PI and a starting month. The report will show the
associated certifiers for that PI along with 12 months of payroll activity
starting with the month that you selected.
Office of Research Administration
View Reports – SPES (Sponsored Project Employee Summary) Report
SPES – The
Sponsored Project
Employee
Summary Report:
This report allows
certifiers and Effort
Coordinators to
review the
employees that were
paid from the grant,
verify the accuracy
of the charges, and
make changes, if
necessary. The
dollar amounts
should be reflected
on the PDF view.
Office of Research Administration
View Reports - SPES (Sponsored Project Employee Summary) Report
Office of Research Administration
Prepare your Effort Card – (CEC)
The user will select
“Certify / View My
Effort”. Either from the
drop down menu under
the “Certification” menu
box or by clicking on the
link that is located below
the Certification section
of “The Effort Lifecycle”
wheel.
Office of Research Administration
Prepare your Effort Card
Sort by
months or by
projects.
Secondary Effort
Coordinators
prepare effort
cards for PI’s by
entering the
certified effort
%’s, checking off
the certify
checkbox for the
non sponsored
activity, and by
clicking the
<Save to
Complete Later>
button.
Office of Research Administration
Examples – Cost Share

Cost Share from Project

Cost Share to Project
Office of Research Administration
View the Researchers and Support Staff
of a PI
This link will help you
identify all of the
individuals that ECRT
shows under the PI
selected.
Office of Research Administration
View the Researchers and Support Staff
of a PI
Enter part of PI’s name and select from database
Not Certified, Not Processed
Office of Research Administration
Certified, Processed
Manage Users
Please review them
individually to see which
role is active. If a PI role
is assigned then that PI
will have to certify
his/her own effort card.
Office of Research Administration
Manage Users for Supporting Individuals
Enter name and submit
Click on the ecrt
icon to View
Effort Card
If a user has
a PI role,
then they
certify their
own effort
card.
Office of Research Administration
View/Prepare Effort Card–for Supporting Individuals
After the reports
have been
reviewed and
compared to your
departmental
records, then enter
a whole number as
the Certified Effort
%, check off the
certify
checkboxes for
NS activity and
Save so PI can
complete later.
1
2
3
Office of Research Administration
Save Effort Notes
Office of Research Administration
Prepare Effort Cards – Group View
To prepare the effort
cards for the
Supporting
Individuals/Staff
select <Certify My
Researchers and
Support Staff-Group
View> from the drop
down menu under
Effort Certification or
from the Certification
section of the wheel.
Office of Research Administration
Prepare Effort Cards – Group View
Enter a whole number as
the Certified Effort %,
check off the certify
checkboxes for NS
activity and Save All so
PI can certify later.
In case you want
to see this
particular effort
card, click on the
“View Effort
Card” icon. You
can see certain
reports and enter
effort notes if
needed.
Office of Research Administration
Are there any
Questions??
[email protected]
J. Lilia Treviño, Project Effort Reporting Specialist
Office of Research Administration, REIN 1.106J
Office: 956/318-8991
Fax: 956/381-2940
E-mail: [email protected]