1 EFFORT CERTIFICATION and REPORTING (ECR) Information for Department Administrators Revised – August 2010 Part III of III EFFORT CERTIFICATION and REPORTING (ECR) Information for Department Administrators Revised – August 2010 Part III of III

2 Part I - separate presentation Effort and ECR BackgroundEffort and ECR Background ECR BasicsECR Basics Establishing a New Department AdministratorEstablishing a New Department Administrator Part II – separate presentation Monthly FEI ProcessMonthly FEI Process Effort CertificationEffort Certification Part III – this presentation Reviewing Previous CertificationsReviewing Previous Certifications RecertificationRecertification ReportsReports Contact InformationContact Information Table of Contents

Reviewing Previous Certifications

4 Dept. Administrator – Viewing Prior Periods OPTION 1 ECR stores completed Certifications from prior periods. If a Researcher or Administrator wishes to view prior period records, they can do so in two ways. The first way is by clicking the “View My Historical Effort” link on their Home Page. This option will take the user to their most recently completed effort statement. The user is limited to seeing only their own cards through this option.

5 Dept. Administrator – Viewing Prior Periods OPTION 1 Once a user brings up their most recent effort statement, the drop down list of periods at the top of the cards is used to view completed effort statements from earlier periods of time.

6 Dept. Administrator – Viewing Prior Periods OPTION 2 A second option that allows a Researcher or Effort Coordinator to view prior period records for their research staff is to select the “Certify My Researcher – Single View” link..

7 Dept. Administrator – Viewing Prior Periods OPTION 2 ECR presents a list of all the researchers associated with the projects a PI is responsible for or the departments an effort coordinator is responsible for.. Clicking on a name in the list opens a yellow bar with two icons under the name. Clicking on View Current takes the user to the current period effort statement. Clicking on View Historical opens a new window on top of the list view. It shows the content of the historical effort cards associated with the user.

8 Dept. Administrator – Viewing Prior Periods OPTION 2 As described on the previous page, this example shows the result of clicking the View Historical icon. The user can change the viewing of historical statements by selecting the period date desired. This pop-up window can be closed by either clicking the “close” at the top right of the page or by pressing the “Esc” key at the top left of the keyboard..

9 Dept. Administrator – Viewing Prior Periods OPTION 3 Another option in ECR to view historical effort cards is to use the Effort Recertification link on the Home Page.

10 Dept. Administrator – Viewing Prior Periods The Administrator will first be prompted to enter the name of the researcher they will like to view or recertify.

11 Dept. Administrator – Viewing Prior Periods ECR will retrieve the prior period certification data. The pull-down box at the upper left allows the Administrator to choose the period to view.

12 Dept. Administrator – View Research Staff of a PI ECR maintains relationships between non-faculty staff and the PI’s that they work for. PI’s are required to certify the effort of their non- faculty staff if the non- faculty staff cannot do it accurately themselves. By selecting the link to View the Research Staff of a PI, a Dept. Administrator can see the same list of staff that a PI sees when they use Certify My Research Staff. This option is useful in helping the PI through the certification process if they have questions about their staff. To bring up this view, click the link at the bottom of the home page..

13 Dept. Administrator – View Research Staff of a PI To view the researchers related to a PI, enter three or more characters of the last name of the PI and wait several seconds. When the selection list shows the PI desired, click on the name in the list, then click the Submit button.

14 Dept. Administrator – View Research Staff of a PI ECR will return a list below the selection box. Each non-faculty employee who charged time to one of the PI’s projects will be listed along with their department and status icons for the last four certification periods. This view is especially useful for monitoring whether a PI has completed the certification process for his/her graduate students or lab technicians.

Recertification

16 Dept. Administrator – Recertification Process If after clicking the Effort Recertification option the Administrator finds the statement needs to be changed, the Administrator should first select the period desired and click the button at the bottom right to “Open for Recertification”. This will cause an to be sent to the researcher saying they need to recertify their time for that period. Note: A Department Administrator can reopen a certification that has been completed for the current certification period only. If the certification is from a closed prior certification period, only the Central Administrator (Judy Mallon) has the security to perform this action. See last slide for contacts. Note: When a card is reopened an message is sent to the researcher to log in and recertify their effort. The Department Administrator should contact the researcher and let them know when all adjustments have been posted and the effort card is ready to recertify.

Reports

18 Reports – Certification Payroll Report Another report is the Certification Payroll Report. This report shows the payroll summary for an individual or entire department within a specific date range. To run the report, the user enters the relevant information in the search boxes as they appear here and then select ‘Run Report’. Security over payroll data is high. If the Administrator runs the report for an entire department, they are restricted to the departments they are assigned to as a Department Administrator.

19 Reports – Certification Payroll Report If the Administrator runs the report for a single employee, they will only be able to see those employees that are within their department, or those who have charge time to one of the awards owned by the department. When completing the report selection boxes, include either an EMPLOYEE or a DEPT. DO NOT select both at the same time. Don’t forget to click on Run Report Use only one!

20 Reports – Certification Payroll Report The Effort Certification Payroll Report (ECPR) default format as it appears in HTML format. It can be formatted in Excel, XML or PDF format by clicking on the icons at the bottom of the report. In this example, we ran the report for a researcher and used the date range December 1, 2008 through May 31, The Default format lists the transactions sorted by account. The total amount charged to each account during the period, and the percentage of the total amount charged for each account are also shown.

21 Reports – Certification Payroll Report The ECPR report – Pay Period Format as it appears in HTML. format. In this example, we ran the report for a researcher and used the date range December 1, 2008 through May 31, The Pay Period View is sorted by Pay Period and lists the account names and the amounts charged to each account per pay period. The percentages on each line are the percent of the total dollars for all months in the period. It shows subtotals for each pay period and the certification period. It is useful for reconciling ECR payroll with the payroll system reports.

22 Reports – Certification Status Report The Certification Status Report allows department administrators to see the status of certifications in their departments. The report is available in HTML and PDF formats. To run the report, the user will first enter the types of status they want to show. Click the status on the left with the mouse click the arrow in the middle to include in in the search parameters on the right side. The user should then select the department name and the start and end dates for the period in question. If desired, the report can be further filtered by the roles of the users. When all the criteria have been entered, select the run ‘Run Report’ button

23 Reports – Certification Status Report The Certification Status Report in HTML format is shown. The report can be created in PDF format by clicking on the PDF icon on the right side of the screen. The report shows the name of the certifier, the department of the certifier, the certification period, the status of the certification. Note: This report can be run for any combination of statuses shown at the top of the Department Summary page.

24 Reports – Cost Transfer Report The Cost Transfer Report summarizes all of the transfers that the system has calculated based on the effort that was certified. This report can be run by either employee type or by date. This example has the employee type option selected. The user is prompted to enter the type, certification period and the department they wish to view cost transfers for. Once the information has been entered, the user will select ‘Run Report’.

25 Reports – Cost Transfer Report This slide shows the results of the Cost Transfer Report. The report shows all of the calculated differences between certified effort and computed effort by person and account.

26 Reports – Cost Transfer Report The Cost Transfer Report in PDF format. The report initially will run in HTML but can be created in PDF format by clicking on the PDF icon at the bottom of the HTML results. The report shows the transfers that were calculated for each account for all certifiers within a department. It is grouped by certifier with subtotals for each to show that the transactions balance. The last column on the right is available space for written notes when the report is printed. See next slide

27 Reports – Cost Transfer Report The Cost Transfer Report should serve as a guide for the transfers and to keep a record of transfers already made. Transfers listed do require the action of the administrator in initiating a change to the account distribution for the period affected. However, the department administrator is responsible for verifying the amounts before processing a payroll journal entry transfer.

28 Reports – Sponsored Project Employee Summary Report (SPES) The Sponsored Project Employee Summary Report shows all employees that have charged effort to a particular award or account. It shows the % of effort charged and the dollars of payroll. This report is run in PDF form. To run the report from the View Reports list, the user must enter an account name or number in the selection box and select ‘Run Report’. Suggestion, copy from FRS, DMAS or the sponsored system the award title. It can also be run from the Award Summary page.

29 Reports –Sponsored Project Employee Summary Report A sample SPES report is shown above

30 Reports – External Audit Report The External Audit Report can be used to look at historical effort statements or to print a certification statement for review by an external auditor. Selecting the External Audit Report from the drop-down list under View Reports gives the user the following selection screen. The report can be run for an individual researcher, for an entire department or for all researcher associated with a particular award. The user has the option to include effort notes and the transaction history with the report.

31 Reports – External Audit Report In this example, the External Audit Report has been run for an individual researcher. Clicking on the PDF icon above the line will bring back a formatted view of the effort statement that can be printed to paper and given to an external auditor. A detailed view and description of this report is shown on the next several pages.

32 Reports – External Audit Report This is an example of the first page of the PDF version of the External Audit Report. It shows the calculated and certified amounts recorded on the certification. It also show the name of the person who certified and the date.

33 Reports – External Audit Report This is an example of the final page of the PDF version of the External Audit Report. It shows the notes attached to the effort statement along with the key certification activity related to when the card was certified and processed and who performed each task..

34 Reports – External Audit Report This example shows the results when running the External Audit Report for an entire department. All personnel in the department that have completed effort statements will be displayed in the list at the bottom of the screen. Clicking the PDF icon below the results will create a PDF file containing the effort statements for everyone in the department. Creating this file can take a while so please be patient as the system builds the report. When completed, the formatted effort statements for everyone in the department can be printed.

35 Reports – External Audit Report – Grant Option This example shows the use of the Grant option for running the External Audit Report. By selecting the Employee Type and entering either an Award number or Account number, the results will be returned for all employees who have certified effort on the account or award. Opening the pdf file in this case would bring up effort reports for multiple periods for each of the employees shown at the bottom of the screen. If only a particular period’s certification reports were desired, the user should fill in the period selection box prior to running the report.

36 Reports – Department Award Report This example shows the results when running the Department Award Report for an entire department. All research awards related to the Department are listed along with the award name, the PI and the Sponsor Name. By clicking on the header title, the list can be sorted in alphabetic order by PI, Sponsor Name, etc. In addition, by clicking on the award name, the user will be taken to the Award Summary page. An example of the Award Summary screen is on the next page.

37 Reports – Award Summary Drill Down This example shows the results when the user clicks on an Award Name from the Department Award report. A further drill-down is offered into the Account Summary page by clicking on any of the account names associated with the award. The Account Summary is shown on the next page.

38 Reports – Award Summary Drill Down This example shows the results when the user clicks on an Account Name from the Award Summary page.

39 Reports – Certifier Salary Activity Report This example shows the results when running the Certifier Salary Activity Report. It’s purpose is to display the salary of all the research staff associated with a PI. The report selection requires the entry of a PI name and a beginning month for the report. The report results are shown below the selection boxes. Because 12 months of data are displayed, scroll bars are used to move up and down the list and across the months. Dollars and percentages correspond to what is shown on the effort statements for each employee. With this report, a PI can see what each person charged to the PI’s project over the last 12 months. A PDF version of the report is also available.

40 Reports – Sponsored Project Activity Report This report is used to identify researchers whose total certified sponsored research activity exceeds a user specified threshold. In this example, the Department Administrator has elected to see all dept. employees who certified more than 90% of their activity on sponsored projects. The report will return a list with the name, home department, calculated effort and certified effort for all who exceeded 90% on sponsored activity. The results can be exported into Excel or PDF format.

Contact Information

42 Questions? Judy Mallon Supervisor Sponsored Programs Maria V. Ortiz Director Sponsored Programs See separate presentations I and II for additional information