Transcript Slide 1

FACET
Faculty Assignments Commitments & Effort Certification Tracking
Understanding the Effort
Certification Process in FACET
Summer 2012 Certification Cycle
FACET Department Support Staff Training
Today’s Topics
• Effort Reporting Overview
–
–
–
–
FACET Exempt Process
Effort Commitments
Effort Certification
Message Overview & Error Resolution
• FACET Non-Exempt Overview
– FACET Non-Exempt Process
– Effort Certification
– Message Overview & Error Resolution
• FACET Support
EFFORT REPORTING OVERVIEW
Certification Report – Enter Effort Page
000099999 Ginger Gilligan
Effort Reporting Overview
• What is effort?
– Amount of time spent on a particular activity
(including cost shared time on a sponsored project)
– Expressed as a percentage of the total amount (100%)
of time spent on compensated work-related activities
(instruction, research, service, administration, etc.)
– Effort reporting (through FACET) is the official method of
documenting to sponsors that the effort committed,
charged, or cost shared was contributed
Effort Reporting Overview
Why it matters…
– Satisfy Federal requirements (OMB Circular A-21, J. 10)
• Supports that salaries charged are reasonable in relation to
effort expended on sponsored projects
• Demonstrate compliance with effort commitments made to
agencies
– Demonstrate compliance with Florida’s 12-hour law
through reporting to Board of Governors (s. 1012.945 Required
number of classroom teaching hours for university faculty members, Florida Statutes)
Effort Reporting Overview
Why it matters…
– Consequences
• Institutional Sanctions: fines and penalties; debarment
from participating in federally-funded research.
• Individual Sanctions: civil and/or criminal sanctions (fines
and imprisonment); debarment from participating in
federally-funded research.
Inputs from Campus Systems
Sponsored
Project
Data
Payroll
Data
FACET
EX
Employee
Data
Course
Schedule
Master File
FACET EXEMPT PROCESS
Preparing for Certification Cycles
Course Schedule
Master
Commitments on
Projects
Job Appointments
Assignment of
Responsibilities
Preparing for Exempt Certification Cycle
•
•
•
Review data from Course Schedule Master File (CSM)
– No instructor
– Payroll/funding errors – especially with changes to Stimulus and Carry Forward funding
– Instructional contact hours over 30 for a person
– Error reports and verification reports are posted on the IR website at http://ir.fsu.edu
Commitments
– Review at appointment times/new assignment/new award received
– Direct charged salary vs. cost shared
– Key personnel changes
Job records management and appointments
– Courtesy appointments
– Supervisor changes
– Multiple job records
Preparing for Exempt Cycle-AORs
FACET Inquiry and Issue Resolution
• FACET Representatives
– Initial point of contact for staff/faculty
• Institutional Research (IR)
– General questions to [email protected]
• Sponsored Research (SR)
– Enter Case
– Commitment Issues (SRS – Katie Fletcher)
– SR Certification Errors (IR – Jaime Blue)
• Help sessions will be scheduled as needed
FACET Exempt Timelines
• SUMMER 2012 (Period Reporting Dates: 05/05/2012 – 08/06/2012)
– CSM Updates Completed October 10, 2012
– FACET Opens for Certification October 22, 2012
– Department Deadline for Level 3 Completion October 26, 2012
– Employees’ Deadline for Report Certification November 1, 2012
– Alternate Path Reports Available November 1, 2012
– Supervisor (Optional) Deadline Report for Certification November 8, 2012
– Department Deadline for Level 5 Approval November 16, 2012
– Deadline for FACET Issue Resolution November 30, 2012
• Reminder: Last day of classes for Summer 2012 term: August 10, 2012
Faculty appointment dates for term: May 7, 2012 – August 6, 2012
EFFORT COMMITMENTS
Effort Commitments in Proposals
FSU defines a commitment as:
“Quantified effort for named personnel
whether direct charged or cost shared, as
specified in the proposal or award.”
Key Personnel
• Definition:
– FSU will follow the sponsoring agency’s definition of Key
Personnel if one exists
– If no agency definition exists, FSU will define Key Personnel as
the PI and all Co-PIs identified as such in the proposal and/or
award
• PI’s are encouraged to limit the number of key personnel
identified in the proposal
• PI’s are encouraged to limit effort commitments that are
not paid for by sponsor
Commitments in Proposals
Effort commitments may be found in:
•
•
•
•
Budget Forms
Budget Justification
Current and Pending Support
Available Resources Section
Commitments After Award
• Progress Reports:
– Reporting past activity should be consistent with certified
effort report
– Anticipated changes in effort commitments in future
periods
• Change of key personnel (termination, retirement, etc.)
• Effect of no-cost time extensions on existing
commitments
Commitment Entry
• Proposal and award are source
• Commitments entered for Key Personnel
– Direct charged
– Cost shared
• Commitments entered for non-Key Personnel that is cost shared
• Commitments entered in percentages (converting from dollars/other
values)
• Commitment period(s)
– Life of Project
– Academic Year (Fall, Spring)
– Summers Only
• Entry is only for the period during which funding is obligated
Commitment Adjustments
• Overall commitment may be adjusted due to:
– Increase or reduction in funding and/or period of
performance
– Changes in scope of work
– Voluntary reduction of effort at PI’s discretion if allowed by
terms of the award [FACET would not be adjusted for a voluntary increase in overall
commitment]
• As long as the Overall commitment is met, commitments allocated to
individual periods may be moved to future periods depending on when
the employee plans to do the actual work and availability of time
Viewing Commitments
Navigation:
Search by:
•
•
•
OMNI > Human Resources > FACET > Project Data > Sponsored Commitments
Project ID
PI Emplid
Project Department
Viewing Commitments
• Scroll to the right and click
• Click to expand for details.
.
Viewing Commitments
Employee Commitments by Period
Changing a Commitment
• Request change to a commitment by
– Submitting a case in CRM
• Category = FACET
• Specialty Type = Sponsored Commitments
– Submitting an email
• Kaytee Fletcher ([email protected])
• Diana Key ([email protected])
References
•
OMB Circular A-21
– http://www.whitehouse.gov/omb/circulars_a021_2004/
•
FSU Effort Commitment Policy
– http://www.research.fsu.edu/contractsgrants/documents/effcomm.pdf
•
Effort Commitments During No-Cost Extension Periods
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•
http://www.research.fsu.edu/contractsgrants/documents/effort_nocost.pdf
Effort Commitment Data Entry in FACET
– http://www.research.fsu.edu/contractsgrants/documents/effentry.pdf
•
FSU Cost Sharing Policy
– http://www.research.fsu.edu/contractsgrants/costsharing.html
•
FSU Campus Cost Sharing Procedures
– http://www.research.fsu.edu/contractsgrants/documents/csprocedures.pdf
EFFORT CERTIFICATION
FACET Exempt Process
Level 1: ERP
Level 2: IR
Level 3:
FACET REP
Level 4:
Employee/KP
Level 5:
Review/Error
Resolution
Level 6: Final
Certification Report – Enter Effort Page
000099999 Ginger Gilligan
Effort Sections
• Displays effort categories (Show
More Detail)
• Enter effort at the activity level
• Click
for activity description
Effort Entry
• Each Empl Rcd must have 100% effort entered,
whole numbers ONLY (no decimals)
• Department Representatives: You can only enter
effort for records in your department
• Employees can enter effort on all their records
• Be alert to icons: Errors, Warnings, Information
Effort Entry Considerations
• Effort = Work on compensated activities
– Instruction
– Research/Creative Activity
• Sponsored activity whether sponsor paid or cost shared
– Service
– Leave of Absence/Sabbatical
• Departmental Research Effort Includes
– SRAD/PI Support (Fund 550)
• Projects will not display on Enter Effort page
– FSU Foundation (Fund 547)
• Projects will not display on Enter Effort page
Errors/Warnings/Information Messages
Information Message
Warning Message – allows move to next
level
Error Message – needs resolution prior
to allowing move to next level
Instruction Section
• Displays courses
– Instructor of Record
– Data extracted from CSM
• Enter total effort at Instruction Category Level
• Automatically distributes to courses (Show
More Detail)
Courses Funded by Sponsored Projects
• Courses can be funded by a grant if:
– Award purpose is INS
– Award purpose is RES or OSA and
• Course Section Type
– Graduate Dissertation, Graduate Thesis or DIS and the work is directly related to the
project OR
• The Instruction attribute has been added to the project
– Instruction Allowed
– Cost Share Instruction Allowed
• Requires cost share budget setup and appointment so that
– Sponsored project funding source for course can be selected
– Effort on grant funded course and effort on project combined for
total effort on project
SR Compliance
• Federal guidelines recognize that activities that constitute
effort are often difficult to separate
• Effort certification must rely on a reasonable estimate of
effort, therefore, a degree of tolerance is appropriate
• If actual effort differs from payroll by < 5% of an employee’s
total effort, it is acceptable to enter effort = to funded %
– E.g. Payroll = 45% charged to sponsored project and Actual Effort
= 47% okay to enter Actual Effort = 45%
• Effort % entered < funded % on sponsored projects
– Requires payroll correction(s)
SR Compliance - NSF 2 Months Rule
• NSF will ONLY pay 2 months of a key faculty salary
during an calendar year
– Exception: more than 2 months included in proposal
• FSU’s year = Summer, Fall, Spring
• Based on hours
– For a full FTE: (40*2)*26.1÷12*2=348 Hours
• Monitoring started with Summer 2010 term
– Warning/Error message
– SRAS Coordinators work with departments to resolve
SR Compliance - Over the Salary Cap Rule
• Certain agencies limit the amount they will
reimburse for salaries (e.g. NIH, DJJ)
• Current NIH = $199,700
• Salary level reviewed at appointment
– OTC amount = Fund 556
– Funded from non sponsored source
Research/Creative Activity Section
• Enter effort for each project on Enter Effort page
– If sponsored project not displayed will have to Add Project
• Can be done at Level 3 or 4
• Project will display on Enter Effort Page if:
– Commitment entered for academic term
– Salary funded from project
• If PI/Co-PI on project and none of the above
– Warning
– Warning
message at Level 3
message at Level 4
Warning/Error Message – PI/Co-PI
Level 3
Level 4
Minimum Effort for Sponsored Projects
• Clarification by OMB re: minimum effort
– “…most Federally-funded research programs should
have some level of committed faculty (or senior
researcher) effort, paid or unpaid by the Federal
Government.”
• Exceptions
• Equipment/instrumentation grants
• Doctoral dissertation support
• Student augmentation program
• > 0% over the life of the award
A-21 Page Overview
• Effort entered on previous page “transfers” to A-21
page
• Displays/compares commitments, funding, entered
effort
• System automatically allocates to:
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–
–
–
Direct Charge Salary
Committed Cost Sharing
Over the Salary Cap
Uncommitted Cost Sharing
A-21 Page
000099999
Ginger Gilligan
Changes to Certified Effort Report
• Certified effort reports assert that the information
represented is to the best of the certifier’s
knowledge, accurate and complete
• Changes to previously certified effort erode the
credibility of the certifier as well as the entire effort
certification process
• In the FACET systems, retroactive funding
adjustments will trigger the need to re-certify an
affected effort report
Denying Certified Effort Reports
• Reports at level 5 are official and legal documents
Deny Reports back from level 5
MESSAGE OVERVIEW
&
ERROR RESOLUTION
FACET Exempt Errors & Resolutions
Error
Number
Error Name
Resolution Notes
Error Support
Staff
1020
Payroll Distribution Percentage
Cannot be Negative
A payroll correction may need to be
processed.
Contact: Jaime Blue
1021
Payroll distribution percentage
cannot be negative
A Warning for the E/KP as they are
expected to enter their actual effort.
The Dept Rep is responsible for making
any payroll correction(s) required as a
result of effort entered.
Contact: Jaime Blue
1020/1021 Error: Payroll Distribution
Percentage Cannot be Negative
1020/1021 Error: Payroll Distribution
Percentage Cannot be Negative
FACET Exempt Errors & Resolutions
Error
Number
Error Name
Resolution Notes
Error Support
Staff
1030
Effort not sufficient to meet Pay
Distribution
A warning for the E/KP since they are
expected to enter their actual effort.
The FACET rep is responsible for any
payroll correction(s) required as a
result of effort entered.
Contact: SRAS
Dept Coordinator
or Jaime Blue
1040
Effort entered not sufficient to cover
required over the salary cap cost
share
A payroll correction needs to be
processed to allocate OTC amount –
requires cost share budget.
SRAS Dept
Coordinator
Note: 1030 Error may fire when there’s been a change in the project purpose code,
resulting in effort not filtering through to A21 page.
1030 Error: Effort not sufficient to meet
Pay Distribution
1030 Error: Effort not sufficient to meet
Pay Distribution
Denying Certified Effort Reports
• Reports at level 5 are official and legal documents
Deny Reports back from level 5
Payroll Cost Transfers
• Guidelines on RDFs
– Moving salary off of sponsored project onto
non sponsored funding source – APPROVE
– Moving salary between or onto projects
reallocating original ePAF distribution –
APPROVE (in most cases)
– All other situations – CASE BY CASE
FACET Exempt Errors & Resolutions
Error
Number
Error Name
Resolution Notes
Error Support
Staff
1050
Pay occurs on this project prior
to the project start date
Error also triggered when an RDFF affects
the pay period that includes the project
start date.
Contact SRS if
you feel the start
date is not
correct
1060
Pay occurs on this project after
the project end date
Error also triggered when a personnel
appointment (including RDF) affects the
pay period that includes the project end
date.
Contact: Jaime
Blue
1050/1060 Error: Pay occurs on project prior to
project start date or after the end date
1050/1060 Error: Pay occurs on project prior to
project start date or after the end date
1050/1060 Error: Pay occurs on project prior
to project start date/after the end date
1050/1060 Error: Pay occurs on project prior
to project start date/after the end date
FACET Exempt Errors & Resolutions
Warning Warning Name
Number
Resolution Notes
Error Support
Staff
1110
SRAS staff may contact
department reps to discuss
resolution approach.
Contact: Jaime
Blue
More than 2-months
salary has been charged
to an NSF project
FACET Exempt Errors & Resolutions
Error
Error Name
Number
Resolution Notes
Error Support Staff
1120
Contact SRS to correct/adjust
commitment in future periods
SRS FACET Support:
Kaytee Fletcher or
Diana Key
Effort entered is less
than commitment
1120 Error Example
FACET Dept Rep Role(s) Required
General Information
•
•
•
•
Department Search (multi-rows)
Saving Searches
Activity Category Descriptions
Terminations – Available for 18 months after
leave FSU; do not forget OMNI User ID and
password
FACET NON-EXEMPT OVERVIEW
FACET Non-Exempt Report Main Page
Non-Exempt Reporting Overview
What is effort?
• Effort is the amount of time spent on a
particular activity, whether directly charged to
a project or cost-shared.
• Effort for Non-Exempt employees is expressed
as the number of hours spent on project/grant
compensated work.
Non-Exempt Reporting Overview
What is the difference between FACET Exempt
and FACET Non-Exempt certifications?
• Reporting hours not percentages
• 1 hour tolerance at header level
• Reports rely on timely timesheet submissions
• Reports are certified monthly
Non-Exempt Reporting Overview
• Why it matters…
– Satisfy Federal requirements (OMB Circular A-21,
J.10)
• Support salaries charged and effort expended on
sponsored projects
Non-Exempt Reporting Overview
Why it matters…
– Consequences
• Institutional Sanctions: fines and penalties; debarment
from participating in federally-funded research.
• Individual Sanctions: civil and/or criminal sanctions
(fines and imprisonment); debarment from
participating in federally-funded research.
Non-Exempt Reporting Overview
• All project related effort will be reported at
the project level and the “category” of the
effort driven by project purpose (RES, INS, or
OSA). The other reporting categories will only
apply to non-sponsored funding.
• Jobs with non-sponsored funding excluded.
• No report generated if funded from SRAD.
Inputs from Campus Systems
Payroll
Data
Sponsored
Project
Data
Employee
Data
FACET
NX
FACET Non-Exempt Main Page
A-21 View Page Overview
• Effort entered on previous page “transfers” to A-21
View page
• Displays/compares funded hours & entered hours
• System automatically allocates to:
– Direct Charge Salary
– Over the Salary Cap
– Uncommitted Cost Sharing
76
Non-Exempt FACET A21 View Page
FACET Non-Exempt Payroll Details
FACET Non-Exempt Process
Level 1: ERP
Level 2: IR
Level 3: NX
REP
Level 4:
Employee/KP
Level 5: NX
Rep (Error
Resolution)
Level 6:
IR/Final
FACET Non-Exempt Workflow
Level 1: ERP
Level 2: IR
Level 3: NX
REP
Level 4:
Employee/KP
Error(s)
Level 6:
IR/Final
Level 5: NX
Rep
FACET Dept Rep Role(s) Required
Errors/Warnings/Information Messages
Information Message
Warning Message – allows move to
next level
Error Message – needs resolution prior
to allowing move to next level
FACET Non-Exempt Errors & Resolutions
Error
Number
1022
Error Message
Resolution Notes
Salary paid on funding source
with no hours associated
Review payroll records to determine if
this error is due to a One-time pay
transaction.
1031
Effort Hours entered are not
sufficient to cover funded
hours
Entered effort must cover the funded
hours.
1032
Effort Hours entered exceed
funded hours
Review payroll records and timesheets
to determine if a timesheet has not
been processed.
FACET Non-Exempt Errors & Resolutions
Error
Number
Error Message
Resolution Notes
1140
The project is not 'sponsored’
Enter effort in the 'Other
Non-Sponsored Activities'
Section
1180
Effort must be entered as whole
numbers
Enter effort in whole
numbers.
Changes to Certified Effort Report
• Certified effort reports assert that the information
represented is to the best of the certifier’s
knowledge, accurate and complete
• Changes to previously certified effort erode the
credibility of the certifier as well as the entire effort
certification process
• In the FACET systems, retroactive funding
adjustments will trigger the need to re-certify the
affected effort report
Concerns
• Timeliness of certification is extremely important!
• Non-Exempt Employees not having user ID’s
• Payroll corrections effecting prior reporting periods
• Reporting periods
NX Issues
• Timesheet submission per HR deadlines
– > 90 days past due
• Cost Transfer standards will be applied
• Multiple jobs in different departments
– Reps need to coordinate
• Non-timely certifications
– Charges will have to be moved off of project!!
• Supervisor changes / Employee Turnover
– Be proactive
Payroll Cost Transfers
• Guidelines on RDFs
– Moving salary off of sponsored project onto
non sponsored funding source – APPROVE
– Moving salary between or onto projects
reallocating original ePAF distribution –
APPROVE (in most cases)
– All other situations – CASE BY CASE
FACET Dept Team
•
•
•
•
•
FACET Exempt Rep
FACET Non-Exempt Rep
Time/Labor Person
Grants Compliance Person
Appointment Person
FACET Support Queries
• Queries available
– Commitments = FSU_ER_SRS_CURRENT_COMMITMENTS
– Reports with errors =
FSU_ER_SRAS_DEPT_ERROR_SUMMARY
– Employee hours worked and earnings information =
FSU_ER_DAILY_EARNS
– Identify FACET department reps by Department =
FSU_ER_FACET_DEPT_REP_LIST
FACET Support
• CRM-Cases (Essential info: Empl ID# & Reporting period)
– Category = FACET
– Specialty Type
• Effort Certification-Exempt
• Sponsored Commitments (Commitment issues)
• Non-Exempt
FACET Support
• Web resources
– IR FACET page
(http://www.ir.fsu.edu/pars.cfm?ID=er_intro)
– OMNI FACET training site
(http://omni.training.fsu.edu/OMNI-FACET)
– SR Training site
(http://www.research.fsu.edu/contractsgrants/wor
kshops.html)
Contacts & Help Links
Institutional Research
Phone
Email
IR-FACET Contact
N/A
[email protected]
Rick Burnette
644-1532
[email protected]
Jaime Blue
644-1417
[email protected]
Mev Verzaal
645-0285
[email protected]
Jay Gelin
645-7474
[email protected]
Sponsored Research Services
Phone
Email
Diana Key
644-8648
[email protected]
Kaytee Fletcher
645-1947
[email protected]
QUESTIONS?