1. Electronic Effort Certification 1

2. Effort Certification Effort Certification is required with receipt of Federal funding. Effort Certification is required with receipt of Federal funding. If any portion of salary/pay comes from a sponsored project, the entire salary/pay must be certified. If any portion of salary/pay comes from a sponsored project, the entire salary/pay must be certified. Federal Government wants assurance that if they pay an individual, the individual worked on the sponsored project. Federal Government wants assurance that if they pay an individual, the individual worked on the sponsored project. 2

3. Current Effort Report 3

4. Current Effort Certification Program Creates Reports in ePrint (NZREFRT) Program Creates Reports in ePrint (NZREFRT) Reports are pulled/generated based on home orgs Reports are pulled/generated based on home orgs Reports are hand delivered for signatures to/from departments, Principal Investigators, etc. Reports are hand delivered for signatures to/from departments, Principal Investigators, etc. Reports are sent to Contracts & Grants Reports are sent to Contracts & Grants 4

5. Issues with Current Method Not 100% compliant Not 100% compliant Paper Paper Labor intensive Labor intensive Unsure of document status Unsure of document status Manual collection & monitoring Manual collection & monitoring Scanned into digital storage Scanned into digital storage 5

6. Overall Objectives for a New Effort Certification System Effort Certification Generating Program Effort Certification Generating Program Create Approval Queues for Each Certification Create Approval Queues for Each Certification Control End-User Certification Control End-User Certification Control End-User Approval Actions Control End-User Approval Actions Notify Appropriate Contacts Notify Appropriate Contacts Store Effort Certification Electronically Store Effort Certification Electronically 6

7. New Online Effort Certification System Increase Efficiency Increase Efficiency Increase Compliance (in an increasing audit environment) Increase Compliance (in an increasing audit environment) Allows Simultaneous Certification Allows Simultaneous Certification Paper Reduction Paper Reduction System developed internally (external costs ~ $1 Million) System developed internally (external costs ~ $1 Million) Automatic email notification Automatic email notification Implementation to begin with quarter ending 3/31/11 (Training of faculty, researchers and personnel in mid- Feb/Early March) Implementation to begin with quarter ending 3/31/11 (Training of faculty, researchers and personnel in mid- Feb/Early March) New Online system will be accessed through Banner Self Service New Online system will be accessed through Banner Self Service 7

8. Electronic/Web-based Effort Certification SSB SSB Banner Security Banner Security Single Sign-on Single Sign-on Menu Item Menu Item 8

9. Effort Reporting Webpage 9

10. Log into the Training System 10 BANNER 902# Assigned Pin

11. Log into the Training System 11

12. Log into the Training System 12

13. Main Page 13

14. Principal Investigators & Co-Principal Investigators 3 Ways to certify effort 3 Ways to certify effort a.Individual certification b.Grant certification c.Multiple Grant certification 14

15. Individual Certification 15

16. Individual Certification 16

17. Individual Certification 17 Person’s Information Status for Document Certify Warnings per FOAP line Routing Queues Line Certification

18. Grant Certification 18

19. Multiple Grant Certification 19

20. Multiple Grant Certification 20

21. eCert Effort Certification System Allow Principal Investigators to certify their funds Allow Principal Investigators to certify their funds Allow Department Heads to certify their employees or organizations Allow Department Heads to certify their employees or organizations Allow authorized employees/research personnel to certify their own labor distributions Allow authorized employees/research personnel to certify their own labor distributions Allow authorized departmental administrators to save or certify unrestricted/non-sponsored FOAPs Allow authorized departmental administrators to save or certify unrestricted/non-sponsored FOAPs Allow FYI contacts to view and save reports Allow FYI contacts to view and save reports 21

22. eCert Effort Certification Outcomes Increased Rate in Effort Certified Increased Rate in Effort Certified (Goal = 100%) Ability to Track an Effort Certification Document Ability to Track an Effort Certification Document Immediate Information to all Stakeholders involved in the Effort Certification Immediate Information to all Stakeholders involved in the Effort Certification Retrieval of Effort Certification Documents Retrieval of Effort Certification Documents 22

23. Departmental Administrators “SAVE” Options 23 Blue – saved value Yellow – unlocked row Certified Person / Date

24. GOAL - Individual 24

25. Goal Department(s) 25

26. Monitoring the Status by the P.I. 26

27. Personnel View for P.I. 27

28. Basic Labor View 28

29. Advanced Labor View 29

30. Departmental Views Department Heads Department Heads Department Financial Administrators Department Financial Administrators Department PAR Administrators Department PAR Administrators Department Actions Department Actions Department Personnel Views Department Personnel Views Department Sponsored Programs Department Sponsored Programs Department Non-Sponsored Programs Department Non-Sponsored Programs Department Overview Department Overview 30

31. Department Actions 31

32. Department Personnel View 32

33. Department Sponsored Programs 33

34. Department Non-Sponsored Programs 34

35. Department Overview 35

36. Request to Unlock A Row Only rows which have been certified are available Only rows which have been certified are available After selecting which rows in a certification need to be unlocked, give a reason After selecting which rows in a certification need to be unlocked, give a reason This now appears under “Awaiting Action” This now appears under “Awaiting Action” Contracts and Grants Accounting will have to approve the request Contracts and Grants Accounting will have to approve the request 36

37. Request to Unlock A Row Go To Other Tab and select Request a document unlocked 37

38. Request to Unlock A Row Only rows which have been certified are available 38

39. Request to Unlock A Row After selecting which rows in a certification need to be unlocked, give a reason 39

40. Request to Unlock A Row This now appears on the Awaiting Action 40

41. Request to Unlock A Row Upon Certification, a note is made to the document 41

42. Person Search 42

43. Show Effort Certification Schedule 43

44. Departmental Contacts 44

45. Salary Wage Transfers (In Development) 45

46. Email Notification System Automatic notifications to be emailed: Automatic notifications to be emailed: 1.5 th day after quarter end -PAR Administrators; Dept. Financial Administrators 2.10 th day after quarter end -PI, Co-PI, Faculty, Research Personnel, Dept Head, ADR, Dean’s Contact 3.30 th day after quarter end -PI, Co-PI, Faculty, Research Personnel PAR Administrator 4.35 th day after quarter end -PI, Co-PI, Faculty, Research Personnel, PAR Administrator, Dept Financial Administrator, Dept Head, ADR, Dean’s Contact, Dean 5.40 th day after quarter end -End of business day: System is closed 46

47. Consequence of Not Certifying an Effort Report within 40 Days of Quarter End Expense related to the effort recorded on a sponsored or cost share FOP will be transferred to an unrestricted departmental funding source. Expense related to the effort recorded on a sponsored or cost share FOP will be transferred to an unrestricted departmental funding source. 47

48. Questions? Contact information: Melanie Cosby cannoms@auburn.edu844-6183 David Hennessey hennedw@auburn.edu844-6184 Robert Campbellcampbr1@auburn.edu 844-3612 Effort Certification effcert@auburn.edu844-4847 48