Effort reporting systems at PUI’s – Pros and Cons

1. Effort reporting systems at PUI’s – Pros and Cons Lindsey Demeritt, Children’s Hospital Los Angeles Charla Campbell, University of West Georgia Pamela Whitlock, University of North Carolina Wilmington (emeritus) Rick Roberts, Emory University

2. Effort reporting systems at PUI’s – Pros and Cons From paper-based forms to university-wide, web-based applications, Effort Reporting Systems run the gamut. At PUI’s, this is only magnified by a perceived lower audit risk, fewer overhead dollars to spend, and a smaller research endeavor in many cases. How do we help our organizations choose the right “system”? What are the pros and cons of the various options?

3. Effort reporting systems at PUI’s – Paper-Based v.1 University of West Georgia Charla Campbell Research Compliance Officer

4. UWG Paper Based System • History • Previous paper-based everyone had to compete their own form • Many questions, late or missing reports • Revamped office, centralized authority

5. UWG Paper Based System • Utilizes database based on effort committed in contracts/agreements • Utilizes report pulled from university payroll system • Forms are completed by ORSP office and emailed • Hard copies are printed and mailed back to office

6. UWG Paper Based System • ROLES • Compliance Officer • PIs (budget contact) • Post-Award Manager

7. UWG Paper Based System

8. UWG Paper Based System

9. UWG Paper Based System • What we have learned • Pre-award files must be good and account for effort • Getting payroll information can be problematic • Get everyone around the table • Be very patient

10. UWG Paper Based System Pros • Good starting point for PIs • ORSP can document what goes out and track what comes back • Have control and accountability Cons • Time consuming • Risk that effort will just be signed and not verified • Time consuming

11. Effort reporting systems at PUI’s – Paper-Based v.2 Seattle University Lindsey Demeritt Sponsored Research Officer (fmr)

12. Seattle University Paper-Based System History Previous paper-based system was all or nothing; 100% or 0% were the only choices for each project. Highly confusing and lacked meaning No reconciliation between Pre- and Post-, or between Effort and Payroll Audit dings for two Fiscal Years

13. Seattle University Paper-Based System New forms are hand-populated using excel database of effort commitments, along with payroll data pull, and cost share information. Populated forms are sent to employees to be completed, initialed, and signed. Employee must physically input for themselves their actual certified effort percentage. Reconciliation done in ORSSP; any resulting expense transfers would be done by departments.

16. Seattle University Paper-Based System Does it work? Yes, but faculty must be trained properly Undoing bad information is HARD No, because changes cannot be made in real time Any expenses moved will be after 90-days Yes, one of the few systems that allows quick and easy reconciliations of payroll, effort, and commitment—all of which come up in audit.

17. Seattle U Paper Based System Pros • Good starting point for PIs • ORSSP populates and reconciles document from first-hand information • Auditors love the one form for reconciliation of payroll, effort, and commitment • Easy to understand Cons • Time consuming—two full work days each quarter; 3 for summer • Risk that effort will just be signed and not verified • Journal Entries would never be captured within 90-day window • PI’s have to have excel and be able to print

18. Effort reporting systems at PUI’s – Electronic SystemsBanner University of North Carolina Wilmington Pamela Whitlock (Emeritus) Director of Sponsored Programs Office of Research Services

19. BANNER Effort Certification Banner Effort is electronic certification system with electronic approvals and routing via Employee self-service Developed by ellucian (Sungard HE) as component in BANNER finance module Uses Human Resources, Position Control and Payroll data

27. BANNER – Pros and Cons Pro’s • UNCW has control and accountability • Less time spent on certifying effort • One touch - Web based system - certify anywhere • Redistribution of dollars/effort in payroll easier • Same login as university system Con’s • HR paperwork must post timely • Must have good training program • 1 point of contact for system • Requires a person to send emails • Payroll based • Graduate Students cannot certify own effort

28. Effort reporting systems at PUI’sElectronic SystemsEffort Reporting System (ERS)MAXIMUS Emory University Rick Roberts Associate Director of Grants and Contracts, College of Arts and Sciences

29. Emory-ERS ERS is a web-based system with electronic routing and e-mail notification for updating and certifying effort Developed by MAXIMUS (higher education consulting firm) Forms are accessible via the Web using the same login as Compass Introduces a structured discipline throughout the effort reporting process Email notifications for current and delinquent certification Provides Management Reports

30. Emory - ERS ROLES IN ERS Central Administrator Division Head Departmental Coordinators Pre Reviewer Certifier

31. Effort forms needing to be pre-reviewed. Emory - ERS

32. Emory - ERS

33. Cost transfers are entered as a negative and a positive. Emory - ERS

34. Emory - ERS Enter a date range. This is to tell the system what months you would like to move charges in. Normally you can leave the default of the full period.

35. Emory - ERS The amounts in this UNDEFINED section need to be zero before you are complete. DEC JAN FEB

36. Certification Screen (1 of 3) Only percentage amounts are provided to faculty Emory - ERS

37. Emory - ERS Certification Screen (2 of 3) Certification checklist and accountability statement are provided. Only options available are certify or return form.

38. Emory - ERS Certification Screen (3 of 3) Who certified the effort form and on what date. Printable options available.

39. Emory - ERS Pros • Electronic • Web base – Accessible • Variety of Reports • Same login as University system • Transfers easily done • Secure and Self contained system • Defined system roles Cons • Minimal Face to Face interactions (track down PI) • Email notification system • System Design and Layout • Tutorial High level only • Reporting only one period at a time • Stand alone system (data entry maybe required) • Defined system roles

40. Effort Reporting System at PUI’sPros and Cons • There are pros and cons to all systems • Define needs of your organization • Look at faculty/institutional culture • The systems only work if there is reconciliation and follow through • Try to best reconcile the efforts necessary to execute any of these systems, and how best to utilize those resources • Find your allies!

41. Effort Reporting System at PUI’sPros and Cons Questions?

42. Effort Reporting System at PUI’sPros and Cons Thank you • Lindsey Demeritt, Children’s Hospital Los Angeles • Charla Campbell, University of West Georgia • Pamela Whitlock, University of North Carolina Wilmington • Rick Roberts, Emory University