Operational Excellence in Effort Reporting Phase 3 Testing Information Meeting: June , 2012 Vision Statement: Implement a compliant, streamlined, electronic effort reporting process that reduces administrative burden.

Agenda Topic Phase 3 Testing Objectives Phase 3 Testing Status Understanding the Data Files Test Scenarios Data Validation New Effort Reporting Roles Campus Support Next Steps 2

Phase 3 Testing Objectives 3 1.Simulate the “real life” effort reporting process using the following tools to determine if we are implementing an overall process that is streamlined, compliant and understandable:  Role-based testing scenarios organized by activities:  Pre-review  Certification  Post-Certification  Oracle applications—including reports and Discoverer queries  Effort Certification and Reporting Technology (ecrt)

Phase 3 Testing Objectives 4 2.View the following data in ecrt to decide if it meets expectations or if it needs to be updated before user acceptance testing:  Cost share awards  Committed effort  addresses  Actual department names and job titles for SUNY employees  Role assignments, e.g., effort coordinators and proxy certifiers

Phase 3 Testing Objectives 5 3.Determine if the following are ready for user acceptance testing:  Source data  Use of reports  ecrt features  Appearance of effort statement  System settings (configurations)

Phase 3 Testing Status 6  Central office is still preparing the environment  Uploading and validating data  Assigning primary effort coordinator and effort coordinator roles and rights  Entering effort reporting periods of performance  Assigning proxy certifiers  Each campus will receive an information package when their environment is ready  We anticipate sending this package the beginning of July  You will have the month of July to perform the test scenarios

Phase 3 Testing Status 7  The information package will include:  URL needed to access environment  Usernames and generic passwords for each tester  Test scenarios and testing summary document  Testing calendar  Understanding the Data document  Campus effort reporting periods of performance  Simple instructions and tasks for campus testers who have not used ecrt (department administrators)

Understanding the Data Files 8 Data FileDescription Department fileThe campus organizational hierarchy Sponsor fileAward types as defined by ecrt: Federal, e.g., National Institutes of Health Nonfederal, e.g., New York State Department of Education Nonsponsored, e.g., Other institutional activity (OIA) Data is as of June 9, 2012 Award fileSponsored programs information, e.g., award full name, cost share awards, start and end dates, award principal investigator (PI), budget amount, etc. Note: Federal flow-through awards are designated in this file Data is as of June 9, 2012 Certifier file PIs: An ecrt script will be run to assign them the role of self-certifier Includes address, actual department name and actual job title information

Understanding the Data Files 9 Data FileDescription Payroll fileSUNY monthly, RF biweekly and Nonexempt payroll data for July 1, 2011 – June 1, 2012 (except for confidential payroll data of staff in campus sponsored programs offices) Commitment fileCommitted effort data for PIs, co-PIs and other key personnel entered in Oracle as of June 9, 2012

Objective 1: Test Scenarios 10  Test scenarios are designed to more closely reflect the effort reporting process  /workflow functionality not enabled for Phase 3 testing  Single sign-on authentication not enabled for Phase 3 testing  Test scenarios include action steps to take in Oracle and ecrt  Role-based to reflect tasks performed by different roles  Organized into activities: Pre-review, certification and post certification  Refer to the “List of Phase 3 Scenarios and Testing Summary Template” Word document  Any comments or suggestions about using this as a testing summary?

Objective 1: Test Scenarios 11  Test scenarios include the following sections :  Purpose  Relevance to effort reporting process  Steps in Oracle and ecrt  Corrective actions  Refer to sample test scenarios:  9: Place an Individual Effort Statement or a Group of Effort Statements on Hold  21: Certify an Effort Statement for Projects at Multiple Campuses  We would appreciate your feedback:  Does this help you put ecrt tasks in context of effort reporting process?  Any suggestions about the format?

Objective 2: Data Validation 12  Oracle is the source system for all effort reporting data  ecrt is a repository that displays Oracle data  Phase 3 testing is the opportunity to review and correct any data in Oracle:  Cost share awards  Consistent campus naming convention for all cost share awards  No missing cost share awards  Committed effort data  First time we are seeing this in ecrt  addresses for all users  Actual department names and job titles for SUNY employees

Objective 2: Assignment Validation 13  Phase 3 testing also provides the opportunity to review the staff assigned to various roles in ecrt:  Campus administrator  Primary effort coordinator  Effort coordinator—campus sponsored programs office  Effort coordinator—departmental administrator  Self-certifier  Proxy certifier  Questions to ask:  Do I need to change someone’s role?  Do I need to add someone?  Are all my faculty and others who certify effort in ecrt?  Goal is to have this finalized for user acceptance testing

New Effort Reporting Roles 14  Campus administrator  “Owner” of ecrt for their campus  Responsible for high-level effort reporting process  Primary effort coordinator  Overall responsibility for effort reporting process and ecrt  Receives all the help s and effort processing tasks for assigned departments  s generated from Get Help button from an individual’s effort statement  Campus generic effort reporting mailbox can be copied  A campus may have multiple primary effort coordinators but only one primary may be assigned to a department

New Effort Reporting Roles 15  Effort coordinator—campus sponsored programs office  Responsible for monitoring, managing and handling the day-to-day ecrt tasks  Multiple effort coordinators may be assigned to a department  Effort coordinator—departmental administrator  Overall responsibility for effort reporting process and ecrt for assigned department(s)  Self-certifiers  Individuals responsible for certifying their effort in ecrt  May be responsible for certifying effort for their research staff  Proxy certifier  Delegated to certify effort for another individual in ecrt  Must have firsthand knowledge

New Effort Reporting Roles 16

Campus Support 17  Direct all questions to:  The staff member below will respond to your questions: CampusCentral Office Primary Contact CNSECarol Berdar University at AlbanyGarrett Kinne Binghamton UniversityGarrett Kinne University at BuffaloDonna Kiley Stony Brook UniversityAnne Connolly SUNY Downstate Medical CenterCarol Berdar Upstate Medical UniversityMark Abbey SUNY ESFMark Abbey SUNY New PaltzAnne Connolly Buffalo State CollegeDonna Kiley

Reminder 18 Certification of effort statements for 2012 Academic Year CampusesOracleecrt Spring 2012  Summer 2012  Fall 2012  Half-Year CampusesOracleecrt January 1 – June 30, 2012  July 1 – December 31, 2012 

Next Steps 19  Campus:  Send us any comments about the test summary and test scenarios as soon as possible  Campuses should complete data validation/clean up and final role assignments by July 31, 2012  Central office  the information package in early July  Schedule the next project team call for Wednesday, July 18  Send questions or comments to