Tulane Effort Reporting-Systems, Tulane Effort Reporting-Systems, Policies, ProceduresPolicies, Procedures

• ERS (Effort Reporting System)• From paper to web based, remove from PAF • Move from planned/confirmation to after the fact• Critical choice is frequency of confirmation

– Motivated to keep it simple, each choice has pros & cons– Received input from certification groups, admin groups– Current plan would be to start with twice a year plan

• This is the A-21 minimum requirement• July 1 to December 31 and January 1 to June 30

• Current practice through June 30, 2007

Effort Certification Issues and Effort Certification Issues and Progress to dateProgress to date

• Trained Departmental Admnstrtrs or designates– DAs need to set up certification roles

• Responsibilities are online at http://tulaneeffortreporting.tulane.edu

• Other reference materials online, FAQs, flowchart, quiz, new policies, description of roles

• Some certifier training previously completed– More concepts training indicated,– Recommending mandated self study training,– Departments can get concepts training through Office

of Research Administration-Judy Wilks

Effort Certification PlanEffort Certification Plan

• Opened a test period for quarter ended 11/30/06– Data files to later be dropped, but user files retained– Certifiers can’t see forms until pre reviewed

• Roll out test certification for 6 mos endg 6/30/07– Certifier requirement will be to log in and review form– Test forms will be dropped

• First live certification period will be 6 mos ending December 31, 2007, period open in Jan 2008– Will be sending reminders, time for questions, etc.

Timely Cost TransfersTimely Cost Transfers

– The A-21 requirement is 90 days,– Too many late transfers,

• Reasons must be carefully documented

– This is the problem with infrequent periods,– Manage the “effort” in addition to the funding,– Lack of compliance will indicate need for more

frequency.

Certification in ERSCertification in ERS

An explanation of Effort Reporting An explanation of Effort Reporting and a step – by – step guide to and a step – by – step guide to

certifying your Effort Formcertifying your Effort Form

What is Effort Reporting?What is Effort Reporting?

The reporting and confirming of an individual’s actual time spent on and “identified” to sponsored agreements, instruction, administrative, and other institutional activities for which one is compensated and is considered the institutional base salary or appointment.

Account for time (effort) expressed in Percent spent (devoted) to Federal Awards in relation to total institutional activities (IBS)

Consist of both funded and non funded commitments (Cost Share)

Not Based on a Standard 40-hour Workweek

Everyone may have a Different Effort Denominator

Why is Effort Reporting Why is Effort Reporting Important?Important?

Required by OMB Circular A-21: Cost Principles for Educational Institutions - Section J.10) Compensation for Personal Services

• http://www.whitehouse.gov/omb/circulars/a021/a21_2004.html

Supported by Tulane University, Effort Reporting Policy

Ensure Labor costs charged to sponsored agreements are consistent with the effort expended

Labor charges to sponsored agreements are properly documented (Labor costs represent 75% of charges)

HOW TO CERTIFYHOW TO CERTIFY

• Go to the Tulane University Effort Reporting System Website

– https://ers.tcs.tulane.edu

Select the numeric link under Certification “Pending” for the Current or Select the numeric link under Certification “Pending” for the Current or Prior Reporting Periods.Prior Reporting Periods.

Click on the hyperlinked Number under ‘Pending’

Any forms listed under “Effort Forms Pending Certification for the Any forms listed under “Effort Forms Pending Certification for the Current Reporting Period” are ready to be certified. Current Reporting Period” are ready to be certified.

The Certifier will see the Name, Reporting Code, Sub Department, The Certifier will see the Name, Reporting Code, Sub Department, Title, and the Pre Review, Certify, and Post Review Status. Title, and the Pre Review, Certify, and Post Review Status.

Click on the name to Certify the Form

Review the effort form and effort percentages for every account, update the percentages Review the effort form and effort percentages for every account, update the percentages if necessary, then click the “Proceed” button. The system will notify you of any if necessary, then click the “Proceed” button. The system will notify you of any

errors. You may also notify the Pre Reviewer who completed the Pre Review by errors. You may also notify the Pre Reviewer who completed the Pre Review by clicking the “Notify” button at the bottom of the screen. clicking the “Notify” button at the bottom of the screen.

Update the effort % if they are incorrect. If they are correct, click

“Proceed”. The certified effort % must equal 100%

Review the summary to be certain it represents your effort for the entire Review the summary to be certain it represents your effort for the entire reporting period. If it is correct, read the attestation statement and click the reporting period. If it is correct, read the attestation statement and click the “Certify” button. Otherwise click “Notify” below the attestation statement to “Certify” button. Otherwise click “Notify” below the attestation statement to

send an e-mail to your administrator and/or to exit the form without certifying, send an e-mail to your administrator and/or to exit the form without certifying, click on the “Exit Form” button. click on the “Exit Form” button.

Click on “Certify” to attest to your effort for

the reporting period

Once, certified, the system will present a summary screen. You can Once, certified, the system will present a summary screen. You can print a copy of the final summary for your records using the print a copy of the final summary for your records using the

“Print Form” button.“Print Form” button.

The effort form is now complete.

Print Form

ERS-ConclusionsERS-Conclusions

• We have plenty of runway, please don’t let this change be a surprise

• Department Administrators should start now:– Set up certification responsibilities– Advise Certifiers

• We’ll learn some new stuff together• Call us with questions, observations, system not

perfect but it’ll be an improvement.