DEA Refresher

1. DEA Refresher Presented by: OKED/ORSPA Mary Lemon

2. Items for Review • Policy Refresher • Dept Reviewer tips • Certifier –Proxies • Dept Approval tips • Report status for Dept • Help Hierarchy

3. Hold List on ER Dashboard • www.asu.edu/Dashboard • Sponsored effort reporting • Updated daily about 9am • Delinquent (PIs and Certifiers on Hold List) • Uncertified Reports by College/Dept (Lists certifiers pending deadline for each unit) • By Certifier (by name)

4. Superccedded Reports • New process to prevent needless re-certifications • Effort > CS+ Pay by project, no need to certify again. • No recertification is required if: • Non Sponsored pay changes • Pay moves between accounts on same parent project • Effort only decreases on sponsored projects • Less than 1% change in effort

5. Why do we do Effort Reporting? • As required by A-21, J.10c(2) • Effort reporting is after-the-fact • To verify to sponsors that the promised work on sponsored projects was completed • To verify personnel were paid correctly on sponsored projects • Effort >= Cost share + pay

6. Key ER Concepts • Total effort always = 100% • 100% encompasses all base salary activities • Pie analogy is used to calculate • When certifying, person is attesting to what actually occurred • Changes to effort % may invalidate certification

7. ASU Policy- ER is required • ACD 303 • If you are paid from or cost share to sponsored projects • You must certify your effort in ER system • RSP 502-03 • Effort comprises all of an employee’s regular activities, regardless of the number of hours worked. • Certification must be performed by an individual with suitable means of verification.

8. Reporting Types and Periods • Exempt • Faculty, Staff, Researchers • Fall, Spring, Summer • Self-Certifiers • Grad_Appt • Graduate Appointtees • Fall, Spring, Summer • Lead PI certifies

9. Reporting Types and Periods • Hrly_Stdt and Nonexempt • Hourly positions • Only released if cost share commitments applies • Fall, Spring, Summer • Lead PI certifies • A12_EMP • Faculty, staff, researchers on 12 month pay cycle • 6 month periods (Jan-June, July-Dec)Self Certifiers

10. Report Approval Sequence Flow • (step 1) ORSPA  • Manual notification sent to DEAs • (step 2) DEA (Reviewer)  • Automated notification to Certifier • (step 3) Certifier  • Automated notification to DEA • (step 4) DEA (Approver) • (step 5) ORSPA

11. Department Reviewer Role 1) Determine if the employee “belongs” to your department • Routed to most recent home department • Problems with that logic: • Department which funds sponsored projects may be better DEA department • Employee’s recent department not the same as the effort period department • To re-route to another department: please email effort-q@asu.edu with Employee ID # and new department # if known

12. Department Reviewer Role 2) Resolve any error conditions 3) Eyeball the report for omissions 4) If percentages are wrong on the form • Process payroll redistributions to correct the percentage • Cost Share updates: Work with PI, RA staff and GCO to get new OAF to ORSPA

13. Department Reviewer Role • Reject to ORSPA? • Please do not unless Effort Team asks you to reject • Reports can be updated in your queue • Once re-routed, the form will disappear from your queue • Cost Sharing updates- can be done while form is in your queue.

14. What ORSPA can do from your queue or Certifier queue… • ORSPA can: • Update Cost Share • Re route Effort Report to another department • Issue permission for Proxy of report to another Certifier • Note: ORSPA re-routes terminated employees to new certifier proactively. (usually PI)

15. Contacting another DEA- Multi Disciplinary Employees • Determine the granting department by clicking on the Project link • A new window will appear (tab if using Firefox) • Select the Project 2 tab • Note the grant’s department • Go to the DEA Dashboard • http://www.asu.edu/dashboard/ • Sponsored Effort Reporting • Enter Dept Code in the search field • Click Go • A listing of all DEA’s for the dept will appear

16. Common ER messages-Dept Reviewer Role • Payroll percent cannot be negative • Pay period exceeds salary cap • Not enough Non Sponsored funding to cover cost share • Employee has another report • Pay occurs prior to project start date • Pay occurs after project end date • Certifier has entered the percent of effort on report • Linked Report – DEA/Certifier

17. Common ER Messages- Dept Reviewer Role • Payroll % cannot be negative • Likely a credit was made to the wrong account or pay periods (all repayments and overpayments must be transferred of the grant) • Create payroll redistribution for the proper account and time period • Employee received an raise during report period

20. Common ER Messages- Dept Reviewer Role • Pay period exceeds salary cap • Look at Annualized Salary- is the person over the cap? • Click on % amount in the OTC column • If not OTC- likely need redistribution to another period • If over the salary cap, check per pay period amounts to verify amount per pay period

21. Common ER Messages- Dept Reviewer Role • True Over-The-Cap example: • Does Annualized salary seem appropriate/possible? Review all open Position Numbers for a composite total • Check OTC % link • Every project period has a OTC limit • Will definitely need cost transfer to cover this amount with non-sponsored funding.

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24. Common ER Messages- Dept Reviewer Role • False over-the-Cap example: • Use the OTC Calculator at http://researchadmin.asu.edu/effort_training • Does Annualized salary seem appropriate/possible? No! • Check HR records • Likely an FTE issue • Contact ORSPA at effort-q@asu.edu to have annualized salary reset.

26. Common ER Messages- Dept Reviewer Role • Not enough Non Sponsored funding to cover cost share • Need to create payroll redistributions to Non Sponsored sources- or- • Need to change cost share commitment - contact effort team • Discuss any payroll or cost share changes with GCP and the PI

28. Common ER Messages- Dept Reviewer Role • Report is linked to current user • If you are a certifier and a DEA • You cannot review and approve when you are also the certifier • Employee has another report • May have another appointment • Usually an hourly job causes this • Effort team can combine reports where necessary

29. Common ER Messages- Dept Reviewer Role • Pay occurs before project start date or • Pay occurs after project end date • Check with GCO to verify project start date. They may alter start date or end date if appropriate. • May need to create payroll redistribution to another account

30. Completing Dept Review • Complete review before clicking “Department Reviewers Approval” • All Payroll Redistributions should be posted and report reflecting the update, before approving report (usually 3 days processing) • All Cost Sharing adjustments should appear on the report • Prevents multiple certifications

31. Certifier’s Role • Make sure all sponsored projects are listed • Make sure that percentages is a reasonable reflection of the effort expended • 5% tolerance • Certification of their Effort Report

34. Who can certify? • A-21 J10c(2)(c) states “the reports will be signed by the employee, principal investigator, or responsible official(s) using suitable means of verification that the work was performed" • ASU states: • Exempt, A12 report: Employee • Grad_Appt: Lead PI • Hrly_Stdt, Nonexempt: Lead PI

35. Suitable Means of Verification • Includes but is not limited to: • First hand observations of the work being performed • Written confirmation from the individual • Physically verifiable information • Notebooks • Sign-in sheets

36. Certification Proxies • Therefore, person must meet this criteria to proxy: • Person of authority on the project (or in the department) • Person who is aware that the employee completed their obligation to the project • When a proxy is appropriate: • Terminated certifier • Medical leave

37. Certification Proxies • Standard proxy chain: • PI • Co-PI • Lab Manager or Program Manager or someone who has suitable means of verification. • In case of a PI’s report, only co-PI or department Chairman or Dean are suitable proxies

38. Certification Proxies • People who should not proxy: • DEAs, unless they serve a role within the project's scope • Other departmental administrators, who assist with accounting or payroll within the department, but have no involvement in the project itself

39. Proxies of Exempt Employees • Notify effort-q@asu.edu of terminations/medical leaves • Most exempts: Route to the lead PI • If lead PI is terminated, all projects (for Grads) and terminated faculty member reports are typically routed to proxy (ex. Co-PI, Chair/Dean)

40. Proxies for Graduate Students • Must be an extraordinary situation • Lead PIs are expected to be aware of their grad student’s activities • Re-routing is based on COEUS project # • We will add a 2nd certifier • We will not remove the lead PI’s access- as PI should be aware

41. Parent/Child Accounts • All “child” accounts are rolled up to the “parent” project account • Co-PIs of the child accounts are most appropriate proxy in this instance • Re-routing is based on COEUS project # • We will add a 2nd certifier • We will not remove the lead PI’s access- as PI should be aware

42. Proration of CS Commitments • The Effort period and CS period may not always match • Example: • Project Period starts 10/1/12 • Effort Period starts 8/10/12 • Commitment %= 10% • Therefore: 10% x (3 mos/4.5 mos) • Prorated Commitment= 6.66% • Rounds to 7% in Effort System

43. PI Viewer Role • Lead PI can view all people on their projects, at any point in the process. • Process: • Remove “My Queue Only” check • Limit on ER Year and ER Period • List will appear with people paid or cost shared to their projects • Proxies use the same process

44. Department Approvers • See if any changes were made by the certifier • Errors will appear on the form • If changes made, correspond with certifier: • May need to create Cost Transfer or Cost Share change • May need to verify that the certifier understands the %

45. Common ER Messages- Dept Approver Role • Effort not sufficient to cover pay or cost share commitment • Voluntary cost share exists

46. Common ER Messages- Dept Approver Role • Effort not sufficient to cover pay or cost share commitment • Person did not meet their obligation to the sponsor • MUST create payroll redistribution, or modify cost share • Discuss any payroll or cost share changes with PI or employee

48. Common ER Messages- Dept Approver Role • Voluntary cost share exists • Check with PI or employee to determine correct course of action • Payroll Redistribution from another account onto the Sponsored account • Contact your GCO about Cost Sharing modifications, be sure revisions are routed to Effort Team • Recognize Voluntary Uncommitted Cost Sharing- override the error