1. Operational Excellence in Effort Reporting Conference Call: November 14, 2012 Vision Statement: Implement a compliant, streamlined, electronic effort reporting process that reduces administrative burden.

2. Agenda Topic Upcoming Activities E-mail Testing Summary User Acceptance Testing Phase 2 (UAT-2) Update and Timeline Proxy Certifier or Restricted Effort Coordinator? Training Update Effort Certification Committed Effort Reports Pre-production Campus Meetings 2

3. Upcoming Activities 3

4. E-Mail Testing Summary  Completed in ecrt DEV  Very controlled (selected approximately 5 PIs from each campus and a few bi-weekly staff)  All core campuses included  E-mail addresses for selected individuals changed to the effort reporting e-mailbox provided by the campus  Included:  ecrt-generated e-mails (certification start, certification reminder, place/remove a hold placed on an effort statement, proxy created/updated/deleted)  “On-demand” e-mails (sent to groups of people from the department dashboard or manage roles and rights page) 4

5. UAT-2 Update  UAT-2 environment created and new ecrt build deployed  NCCIT found a firewall issue preventing access to UAT-2 and worked to resolve  Tuesday 11/6 – Friday 11/9  Campus periods of performance and certification periods entered and verified  Department, sponsor, certifier, and project files loaded 5

6. UAT-2 Update Remaining steps:  Load payroll files  Data from January 1 – October 19, 2012  Note/resolve any errors  Validate data  Load committed effort file  Complete campus PEC, EC, REC and proxy assignments  Change effort statement statuses for spring, summer and first- half of 2012 from “Ready to be Certified” to “Certified”  Configure ecrt for regular data updates from Oracle production 6

7. UAT-2 Timeline 7 November 2012 SunMonTuesWedThursFriSat 11121314151617 18192021222324 252627282930 December 2012 1 2345678 9101112131415 16171819202122 23242526272829 3031  UAT-2  December 3 - 14  Estimated timeframe  Campus approval to move to production  December 21  Weekly WebEx meetings:  December 5  December 12  December 19

8. Proxy Certifier or Restricted Effort Coordinator? 8 Proxy CertifierRestricted Effort Coordinator (REC) Has first-hand knowledge of the effort of those he/she is certifying May often be a supervisor within a department May be used when there is a need to divide responsibilities within a department(s) Use when a PI has few staff associated with a project Use when a PI has many staff associated with a project Assigned on a 1-to1 basis Excludes staff associated with a PI’s project Assigned through the department dashboard Department staff are assigned to the REC ecrt Work List will include the individuals for whom they must certify Staff the REC will certify appear in the department dashboard instead of the Work List

9. 9 Training Update

10. Effort Certification Federal regulations require effort certification for anyone with salary charges that are reimbursed or cost shared to a federal or federal flow-through award Reimbursed Effort Sponsor reimbursing salary charges (salary charged directly to sponsored award) Unreimbursed Effort Salary charges are cost shared and charged to another source Committed Effort and/or Sponsored award established in Oracle Committed effort information is recorded on this award Companion cost share award is established and linked to the sponsored award (if applicable) Labor distribution schedule needed to charge salary expenses to the sponsored award Companion cost share award established in Oracle Sponsored award is linked to this award (1-to-1 match) Labor distribution schedule needed to charge salary expenses to the companion cost share award Must be recorded in Oracle for PIs, co-PIs and all persons identified as senior/key personnel in the award document Recorded on the sponsored award May be entered as a percent or in person months BudgetActuals Whose effort is certified?Who certifies that effort? Principal investigator (PI)PI, proxy certifier or a restricted effort coordinator Co-PICo-PI, proxy certifier or restricted effort coordinator Key/Senior personnelPI, proxy certifier or restricted effort coordinator Research staffPI, proxy certifier or a restricted effort coordinator 10

11. Committed Effort Reports 11 Discoverer Reports

12. Committed Effort Reports 12 Oracle Reports  Responsibility needed:  ORG Account Establishment Administrator  ORG Account Establishment Specialist  ORG Account Establishment Specialist with Budget approval  Report name:  RF Committed Effort Monitoring Report  RF Committed Effort Monitoring Report – Excel  RF Missing Committed Effort Monitoring Report  RF Missing Committed Effort Monitoring Report - Excel

13. Committed Effort Reports 13 ecrt Reports  Reports that need to be customized:  Certified Effort Less Than Effort Commitment  Certifiers with commitments but no effort statements  Reports currently in ecrt for Primary Effort Coordinator and Effort Coordinator:  Commitment Listing Report

14. Pre-Production Campus Meetings Goal: Review/verify campus configuration setup for the ecrt production environment.  Review e-mail functionality and options  Review ecrt reports  Are their faculty at your campus who should never receive an e-mail from ecrt?  Other campus questions/comments/concerns as we move toward a production system?  A checklist will follow to start the discussion 14

15. Summary  Direct questions to: effort@rfsuny.orgeffort@rfsuny.org Anne Connolly Project Manager anne.connolly@rfsuny.org (518) 434-7240 15