Effort reporting systems at PUI’s – Pros and Cons

Lindsey Demeritt, Children’s Hospital Los AngelesCharla Campbell, University of West Georgia

Pamela Whitlock, University of North Carolina Wilmington (emeritus)

Rick Roberts, Emory University

Effort reporting systems at PUI’s – Pros and Cons

From paper-based forms to university-wide, web-based applications, Effort Reporting Systems run the gamut.

At PUI’s, this is only magnified by a perceived lower audit risk, fewer overhead dollars to spend, and a smaller research

endeavor in many cases. How do we help our organizations choose the right “system”?

What are the pros and cons of the various options?

Effort reporting systems at PUI’s – Paper-Based v.1

University of West GeorgiaCharla Campbell

Research Compliance Officer

UWG Paper Based System• History

—Previous paper-based everyone had to compete their own form

—Many questions, late or missing reports—Revamped office, centralized authority

UWG Paper Based System• Utilizes database based on effort committed in

contracts/agreements• Utilizes report pulled from university payroll

system• Forms are completed by ORSP office and emailed• Hard copies are printed and mailed back to office

UWG Paper Based System• ROLES

—Compliance Officer—PIs (budget contact)—Post-Award Manager

UWG Paper Based System

UWG Paper Based System

UWG Paper Based System• What we have learned

—Pre-award files must be good and account for effort

—Getting payroll information can be problematic

—Get everyone around the table—Be very patient

UWG Paper Based SystemPros

• Good starting point for PIs

• ORSP can document what goes out and track what comes back

• Have control and accountability

Cons• Time consuming• Risk that effort will just

be signed and not verified

• Time consuming

Effort reporting systems at PUI’s – Paper-Based v.2

Seattle UniversityLindsey Demeritt

Sponsored Research Officer (fmr)

Seattle University Paper-Based System• History

— Previous paper-based system was all or nothing; 100% or 0% were the only choices for each project.

— Highly confusing and lacked meaning— No reconciliation between Pre- and Post-, or

between Effort and Payroll— Audit dings for two Fiscal Years

Seattle University Paper-Based System• New forms are hand-populated using excel

database of effort commitments, along with payroll data pull, and cost share information.

• Populated forms are sent to employees to be completed, initialed, and signed.

• Employee must physically input for themselves their actual certified effort percentage.

• Reconciliation done in ORSSP; any resulting expense transfers would be done by departments.

Certifier Name: Grant Key PersonTitle: Ms.Department: Center for ServiceEmail: person@seattleu.edu

Accounts Payroll Cost Share Computed Effort Certified Effort InitialSponsored

34-230526 Federal Flow Thru Grant 0 10 10 GKP

Sponsored Total 0 10 10

Non-Sponsored11-230500 University Department 90 0 90 GKP

Non-Sponsored Total 90 0 90

Grand Total 90 10 100 GKP

I certify that the information contained above is a true and accurate representation of my professional effort during the period listed. I certify that any salary direct-charged, transferred, cost-shared, or otherwise committed towards any externally funded project wasfor the benefit of that project, and consistent with proposal and award requirements. I further certify that I have first-hand knowledgeof all effort certified herein.

Print Name: Grant Key Personnel Signature: Date:

Comments:

90

100

Effort Certification Report Spring 2012

3/15/2012-6/15/2012

10

Certifier Name: Grant PITitle: DrDepartment: College of NursingEmail: gpi@seattleu.edu

Accounts Payroll Cost Share Committed Effort Certified Effort InitialSponsored

44-165058 Private Nursing Grant 0 0 0 GPI

34-165061 Federal Nursing Grant 40 0 40 40 GPI

Sponsored Total 40 0 40

Non-Sponsored11-165000 College of Nursing 60 0 60 GPI

Non-Sponsored Total 60 0 60

Grand Total 100 0 100 GPI

I certify that the information contained above is a true and accurate representation of my professional effort during the period listed. I certify that any salary direct-charged, transferred, cost-shared, or otherwise committed towards any externally funded project wasfor the benefit of that project, and consistent with proposal and award requirements. I further certify that I have first-hand knowledgeof all effort certified herein.

Print Name: Grant PI Signature: Date: 4/25/2012

Comments:

60

100

Effort Certification Report Winter 2012

12/15/2011-3/15/2012

0

Seattle University Paper-Based System• Does it work?

— Yes, but faculty must be trained properly— Undoing bad information is HARD

— No, because changes cannot be made in real time— Any expenses moved will be after 90-days

— Yes, one of the few systems that allows quick and easy reconciliations of payroll, effort, and commitment—all of which come up in audit.

Seattle U Paper Based SystemPros

• Good starting point for PIs • ORSSP populates and

reconciles document from first-hand information

• Auditors love the one form for reconciliation of payroll, effort, and commitment

• Easy to understand

Cons• Time consuming—two full work

days each quarter; 3 for summer

• Risk that effort will just be signed and not verified

• Journal Entries would never be captured within 90-day window

• PI’s have to have excel and be able to print

Effort reporting systems at PUI’s – Electronic SystemsBanner

University of North Carolina WilmingtonPamela Whitlock (Emeritus)

Director of Sponsored ProgramsOffice of Research Services

BANNER Effort Certification• Banner Effort is electronic certification system with electronic approvals and routing via Employee self-service• Developed by ellucian (Sungard HE) as component in BANNER finance module• Uses Human Resources, Position Control and Payroll data

Effort starts with setup in FRAGRNT tab. Requires Effort Certification box MUST be checked.

Effort Reporting tab must be completed for Effort Certification to work

Grant Requires Effort Certification box must be checked.

First screen once individual logs into Banner self-service to certify effort.

More complicated example.

Effort certification screen.

Individual certifying effort can make comment if effort is not correct.

BANNER – Pros and Cons

Pro’s• UNCW has control and

accountability• Less time spent on certifying

effort • One touch - Web based system

- certify anywhere• Redistribution of dollars/effort

in payroll easier• Same login as university

system

Con’s• HR paperwork must post

timely• Must have good training

program• 1 point of contact for system• Requires a person to send

emails • Payroll based• Graduate Students cannot

certify own effort

Effort reporting systems at PUI’sElectronic Systems

Effort Reporting System (ERS)MAXIMUS

Emory University Rick Roberts

Associate Director of Grants and Contracts, College of Arts and Sciences

Emory-ERS

• ERS is a web-based system with electronic routing and e-mail notification for updating and certifying effort

• Developed by MAXIMUS (higher education consulting firm)• Forms are accessible via the Web using the same login as

Compass• Introduces a structured discipline throughout the effort

reporting process

• Email notifications for current and delinquent certification

• Provides Management Reports

Emory - ERS• ROLES IN ERS– Central Administrator– Division Head– Departmental Coordinators– Pre Reviewer– Certifier

Emory - ERSEffort forms

needing to be pre-reviewed.

Emory - ERS

Emory - ERSCost transfers are

entered as a negative and a

positive.

Emory - ERS

Enter a date range. This is to tell the system

what months you would like to move charges in. Normally you can leave the default of the full

period.

Emory - ERS

DEC

JAN

FEB

The amounts in this UNDEFINED section need to be zero before

you are complete.

Emory - ERSCertification Screen

(1 of 3) Only percentage

amounts are provided to faculty

Emory - ERS

Certification Screen (2 of 3)

Certification checklist and accountability

statement are provided. Only options available

are certify or returnform.

Emory - ERS

Certification Screen (3 of 3)

Who certified the effort form and on what date.

Printable options available.

Emory - ERS

Pros• Electronic• Web base – Accessible• Variety of Reports • Same login as University

system• Transfers easily done • Secure and Self contained

system• Defined system roles

Cons• Minimal Face to Face

interactions (track down PI)• Email notification system• System Design and Layout • Tutorial High level only• Reporting only one period

at a time• Stand alone system (data

entry maybe required)• Defined system roles

Effort Reporting System at PUI’sPros and Cons

• There are pros and cons to all systems• Define needs of your organization• Look at faculty/institutional culture• The systems only work if there is reconciliation and

follow through• Try to best reconcile the efforts necessary to execute

any of these systems, and how best to utilize those resources

• Find your allies!

Effort Reporting System at PUI’sPros and Cons

Questions?

Effort Reporting System at PUI’sPros and Cons

Thank you

• Lindsey Demeritt, Children’s Hospital Los Angeles• Charla Campbell, University of West Georgia• Pamela Whitlock, University of North Carolina

Wilmington• Rick Roberts, Emory University