1. Effort Reporting Initiative December 2003

2. What is Effort Reporting? Federal regulations require that the University certify effort devoted to sponsored projects including committed cost sharing effort (OMB Circular A-21) Federal regulations require that the University certify effort devoted to sponsored projects including committed cost sharing effort (OMB Circular A-21) Since 1982 the University has used a paper based Personnel Activity Reporting System (PARS) to satisfy this requirement Since 1982 the University has used a paper based Personnel Activity Reporting System (PARS) to satisfy this requirement PARS, however, has become outdated from a technology perspective and lacks the ability to meet changing regulations and conditions PARS, however, has become outdated from a technology perspective and lacks the ability to meet changing regulations and conditions

3. Why is Effort Reporting Important? Volume of activity from grants and contracts for UC in FY 02-03: Volume of activity from grants and contracts for UC in FY 02-03: Amount % Amount % Federal C&G$2.37 Billion67.1 Federal C&G$2.37 Billion67.1 State Agencies $408 Million11.6 State Agencies $408 Million11.6 Private$620 Million17.6 Private$620 Million17.6 Local Governments$131 Million 3.7 Local Governments$131 Million 3.7 TOTAL$3.53 Billion 100%

4. Why is Effort Reporting Important? Risk Exposure: Risk Exposure: Northwestern University received audit disallowances related to problems with effort reporting of $5.5 Million on a grants and contract base of $325 Million in FY01-02Northwestern University received audit disallowances related to problems with effort reporting of $5.5 Million on a grants and contract base of $325 Million in FY01-02 University of South Florida returned $ 4.1 Million to the federal government to settle a number of charging issues, including effort reportingUniversity of South Florida returned $ 4.1 Million to the federal government to settle a number of charging issues, including effort reporting UC paid a total of $2.1 Million to settle the NIH salary limitation disallowance for the period 7/1/95 through 6/30/02UC paid a total of $2.1 Million to settle the NIH salary limitation disallowance for the period 7/1/95 through 6/30/02 Importance of Good Business Practices: Importance of Good Business Practices: Meeting fiduciary and stewardship responsibilitiesMeeting fiduciary and stewardship responsibilities Maintaining Credibility with Funding Agencies,External Donors and Constituent GroupsMaintaining Credibility with Funding Agencies,External Donors and Constituent Groups Leveraging off of UC New Business Architecture InitiativeLeveraging off of UC New Business Architecture Initiative Facilitating user convenience and responsivenessFacilitating user convenience and responsiveness Encouraging active participation by faculty and staff required to complete an Effort ReportEncouraging active participation by faculty and staff required to complete an Effort Report

5. Current Effort Reporting Initiative Goal: Identify requirements for a new effort reporting system, including: Goal: Identify requirements for a new effort reporting system, including: Online and fully distributed accessOnline and fully distributed access Web-based interfaceWeb-based interface Ability to interface with other existing enterprise systems to both gather and pass required information (e.g. Payroll, committed cost sharing)Ability to interface with other existing enterprise systems to both gather and pass required information (e.g. Payroll, committed cost sharing) On line editing and edit checksOn line editing and edit checks Maintaining or importing campus security and access controlsMaintaining or importing campus security and access controls Distributing reports and capturing certifications electronicallyDistributing reports and capturing certifications electronically Providing ad hoc and management reporting capabilitiesProviding ad hoc and management reporting capabilities Maintaining historical information and audit trailMaintaining historical information and audit trail Web-based training/compliance componentWeb-based training/compliance component

6. Current Effort Reporting Initiative Process: Process: Collaborative:Collaborative: 5 campuses and UCOP working together to develop specifications 5 campuses and UCOP working together to develop specifications All participants have committed both time and direct financial support to the project All participants have committed both time and direct financial support to the project Task Force and Work Groups have included representatives from: Admin. Affairs; Budget and Finance; Research; Information Technology; and Campus Departments Task Force and Work Groups have included representatives from: Admin. Affairs; Budget and Finance; Research; Information Technology; and Campus Departments Consultative:Consultative: Project staff and Task Force members have met with staff in departments and central units on all 5 campuses and UCOP to receive input and review draft documents Project staff and Task Force members have met with staff in departments and central units on all 5 campuses and UCOP to receive input and review draft documents Comprehensive:Comprehensive: Project members have met with representatives of other institutions that are in the process of developing or implementing on line effort reporting systems Project members have met with representatives of other institutions that are in the process of developing or implementing on line effort reporting systems Task Force has identified both technical and cultural issues that must be addressed Task Force has identified both technical and cultural issues that must be addressed

7. Current Effort Reporting Initiative Status: Status: Draft requirements document prepared and out for reviewDraft requirements document prepared and out for review Comments due in DecemberComments due in December Technical fit and preliminary cost estimates to be developed in DecemberTechnical fit and preliminary cost estimates to be developed in December Revisions to be incorporated and final requirements due in JanuaryRevisions to be incorporated and final requirements due in January Consultation with key stakeholders scheduled for December and January, including:Consultation with key stakeholders scheduled for December and January, including: Council of Vice Chancellors Administration Council of Vice Chancellors Administration COVC COVC VCs Research VCs Research Budget and Planning Officers Budget and Planning Officers Controllers Controllers IT Leadership Council IT Leadership Council Others Others

8. Next Steps We need your support to move to the next phase--System Development We need your support to move to the next phase--System Development We need your support to make this initiative a funding priority both at your campus and for the system We need your support to make this initiative a funding priority both at your campus and for the system We need you to work with your colleagues to support a culture of collaboration and accountability We need you to work with your colleagues to support a culture of collaboration and accountability