Effort Reporting System

1. Effort Reporting System Brown Bag Session Hope Auditorium 110 December 11, 2008 Presenter: Michele Greenhouse

2. Agenda • Enhancements - Current and Future • Preparation for Effort Period Releases • Frequently Asked Questions • Policy, Procedure and Forms • Q & A Discussion

3. Enhancements - Current

4. Current Enhancements • Multiple PI Line Item Certification • Sorting of cost sharing accounts • Payroll drilldown default – by month view • Removal of “sub-k” language • Reporting period definition • Critical list review

5. Current Enhancements • Pre Review confirmation email • Email to certifier, ‘From’ displays Pre Reviewer • Comprehensive Status Report • Version for PI Line Item • Dynamic link to individual effort report form • Attestation statement update, ‘effort charged’

6. Current Enhancements • Effort Form Not Completed report will now reflect correct status for line item forms • System outage message updated to provide better information

7. Enhancements - Future

8. Future EnhancementsCertifier Name in Pre Review Worklist

9. Future EnhancementsCertifier Checklist

10. Future EnhancementsView Read Only Effort Forms

11. Future EnhancementsView Read Only Effort Forms • When accessed, the Department Coordinator is presented with the account name, the account owning department number and department name. A small pencil icon opens a comments box.

12. Future EnhancementsView Read Only Effort Forms • By clicking on the icon, the Pre Reviewer can see if any comments have been posted by the “account-owning” department’s Department Coordinator. Any comments posted will assist with the Pre Review process.

13. Future EnhancementsComprehensive Status Report • Comprehensive Status Report • Combined for standard and PI Line Item forms • Shows sponsored dollar impact on pending forms • Graph for current period

14. Future EnhancementsComprehensive Status Report

15. Future EnhancementsComprehensive Status Report

16. Future EnhancementsOthers • First stages of effort on-demand • Notify button in Post Review • Glossary and My Profile links removed from home page

17. Enhancements - Being Considered

18. Future EnhancementsUnder Consideration by Maximus • Allow for selection of multiple reporting periods for some reports • Completed Percentage by Dept • Reports – download numbers as numbers not text • Creation of AuditDC role to view reports and status of forms • Allow multiple AuditDCs per department

19. Future EnhancementsUnder Consideration by Maximus • Notification (optional) to Pre/Post Reviewers when Certifier enters a note during certification • Prompt the user (Pre/Post/Certifier) to save when exiting effort form • Ad Hoc reports – value based security • Individuals Assigned to Your Department • Report allows for potential use of the Assign to a Different Subdepartment feature

20. EnhancementsStill on the ERS Users Wish List • Completion status bar that reflects all effort periods (not just current) • Add a Continue button at the top of the page (when required to scroll) • Before the attestation statement is displayed, provide and highlight the Notify feature

21. EnhancementsReviewed by Maximus and Yale • Roll up accounts to the project level in order to reflect effort as a whole percentage • This enhancement was reviewed, vendor specifications were created, and design discussions were held. • It was determined that this enhancement is not cost effective considering changes that could result from Yale Next.

22. Effort Period Preparation

23. Next Effort Reporting Periods • Fall 2008 • July 1 – December 31, 2008 • Scheduled release January 12, 2009 • Graduate Student Fall 2008 term • September 1, 2008 – January 15, 2009 • Scheduled release January 19, 2009 • Effort reporting calendar • www.yale.edu/gcfa/effort

24. Upcoming Effort Reporting Periods • Graduate Student Spring 2009 • January 16 – May 31, 2009 • Tentative date June 8, 2009 • Spring 2009 • January 1 – June 30, 2009 • Tentative date July 13, 2009

25. Preparation • Assignments • Reports • Line Item Eligibility • Employee Assignments • Complete assignment task upon notification of period release • Pre Reviewers can proactively notify DC and SubDCs of necessary upcoming assignment changes

26. Preparation • Pre Review • Fall 2008 by January 26 • Grad Student Fall 2008 term by February 2 • View Read Only Effort forms (DC/SubDC) • Complete all cost transfers prior to initiation of the period

27. Preparation • ERS User Workshops • January 15, 9 -12 • 155 Whitney Avenue, Room 220 • January 21, 9 -12 • 155 Whitney Avenue, Room 230 • Locations subject to change • Appointments for half and full hour • Come prepared to make progress!

28. Preparation • Certifier Workshops • Scheduled in advance/must occur after completion of Pre Review • Scheduling can begin now for February 2009 • Communicated to all certifiers by the Department Chair • Preference is that the Department Chair send the message stressing importance of effort reporting and completing the process • Representative from department should be present

29. Frequently Asked Questions

30. Frequently Asked Questions • A faculty member, who is also a Principal Investigator, is leaving the University on March 31st. This departure date is mid-effort reporting period. What steps should be taken to ensure correct and timely certification of the January – June Spring period for this faculty member and any staff working on his/her sponsored projects?

31. Frequently Asked QuestionsFaculty Member is Leaving Yale • Refer to Procedure 1315 PR.04 for guidance

32. Frequently Asked Questions • A faculty member has left Yale and no longer has access to ERS but has an effort report to certify. What steps should be taken to ensure compliance with Policy 1316?

33. Frequently Asked QuestionsFaculty Member Left Yale • Assign the Department Coordinator of the home organization as the certifier • Pre Review the effort report(s) • From the Certifier’s “view”, create a .pdf of the effort report • Email the report to the faculty member(s)

34. Frequently Asked QuestionsFaculty Member Left Yale • Certification can be via email response or the individual can sign, scan and send the document back. • Complete authorization in the system. • Enter a note in the Notes box that contains the date certification was received and any other relevant explanation. • Print all correspondence to/from the faculty member and the certified effort statement. • Retain a copy on file and send a copy to GCFA, Attn: Michele Greenhouse. 

35. Frequently Asked Questions • How long does it take before a cost transfer is reflected in the effort report? • When are effort reports ? • Regeneration is a term commonly used for effort reports in the Legacy system. Regeneration is not applicable to ERS. regenerated

36. Frequently Asked Questions • The Effort Reporting System is maintained daily. In general, cost transfers approved by 1pm on a given day are available in the data warehouse the next. • ERS pulls information from the data warehouse; daily ERS production occurs between 10 and 12. • Therefore, for example, a cost transfer approved by 1pm on Monday will be processed in ERS between 10 and 12 on Tuesday. • This is a general outline which can change based on data warehouse updates and General Accounting production.

37. Frequently Asked Questions • What is the University’s notification process and escalation procedure regarding the completion of effort reports?

38. Frequently Asked QuestionsNotification/Escalation

39. Frequently Asked Questions • An individual is assigned to my home organization but the home organization is not the charging organization, and I have no direct knowledge of his/her effort and/or funding sources. What should I do with this person?

40. Frequently Asked QuestionsHome v. Award Owning Organization • Use the View Read Only Effort Forms feature • Reassign Pre/Post Reviewer to charging organization

41. Frequently Asked Questions • The certifier cannot log in to the system. What should s/he do?

42. Frequently Asked QuestionsCertifier Cannot Login • Determine whether or not the individual is on campus. If the certifier is not on campus, a Virtual Private Network (VPN) connection must be established prior to navigating to the URL for system login. Information about VPN is provided in the certifier’s email (above), certifier instructions (located at the URL above and in the Help menu of the ERS application). Installation instructions as well as the software download are located at: www.yale.edu/its/software.

43. Frequently Asked Questions • When is the next effort reporting period going to be released? • When is certification due on existing periods? • How is the certification due date determined? • When should Pre Review be complete?

44. Frequently Asked Questions • Where can I view information about system updates or upcoming enhancements?

45. Policy, Procedure and Forms

46. Policy 1315 • Effort reporting frequency for C&T staff and Graduate Students • Any covered individual may sign his/her own effort report. However, in order to do so, the individual must fully understand his/her sources of support and level of effort committed to each sponsored project.

47. Policy 1315 • In accordance with the Procedures on Effort Reporting, faculty and other employees are responsible for completing effort certifications within 60 calendar days from the time that effort report statements are available for certification.

48. Procedure 1315 PR.04 • Effort reporting requirements for exiting PI/Faculty Members • Timing: 2nd Monday of the month according to the procedure • Access monitoring (CA and DC/SubDC) • Assignments task • View Read Only Effort Forms

49. Procedure 1315 PR.04 • Pre Review: completion within the first fifteen days of the effort reporting period’s release • Post Review of multiple PI line item certification enabled forms • Notifications and escalation • Updated FAQ section

50. Forms • The Effort Report Form template will be modified to include Graduate Student effort reporting periods • The ERS Access form will be modified to include review of training requirements and clarify access change type • New, optional Delegation of Certification form