Sponsored Effort Nuts and Bolts at UD How
Sponsored Effort Nuts and Bolts at UD How to ensure accurate data for effort certification…make your life easier! Revised 7/11
Training Objectives • Introduction to the web process • How do we employ the transactions to do the work for us? – Proposal submission data awarded effort – Project. ID Chartfield – Journal Vouchers – LAM • The live process
Assumptions • You have attended or viewed the Effort certification training session I. • You are knowledgeable about your faculty workload policy • You are, or you will work closely with, the effort administrator in your unit (GMQ_DEPT_EFFORT_ADMIN)
Web Process • Paper SARs (sponsored activity reports) used prior to March 2005 • Web-enabled process effective March 1, 2005 • All certification and adjustments will be handled electronically • Most employees have 2 effort periods. Faculty on academic year contracts have 3 as of 2011.
Web Process 3 effort periods for academic faculty, effective 2011 Reporting by semester Period 1: Fall semester (September – January 15) Period 2: Spring semester (January 16 – May) Period 3: Summer research (June – August) 2 effort periods for everyone else (no change in 2011) AY split into two, six month reporting periods Period 1: September - February Period 2: March - August
Web Process Effort Periods for Faculty on Academic Contracts * Indicates a change in practice
Web Process Effort Periods for everyone except academic faculty Effort Periods Period 1 Period 2 Performance Period September – February March - August Payments made September – February March - August Release date March 10 Sept 10
Web Process • Effort administrators will receive notification of release on or about March 10 (for period 1), September 10 (for period 2) & October 10 (for period 3) • Certifications should be routed promptly and must be completed by 60 days after the end of the reporting period
Let’s see it!
Administrative Maintenance
Administrator View
Administrator View (dollar)
Administrator View (percentage)
Administrator View (dollar)
Administrator View (process JV)
Cost Transfers (JV’s) • Must be appropriate/allowable • Should be within 90 days • Not needed if within 5% variance • Recalculate upon ‘refresh’
Effort Journals • UD Web. Forms FINJournal Voucher – restricts users from submitting a journal for a ‘closed’ effort period – Forces the use of the effort certification process to manage these corrections – ‘closed’ effort periods are restricted • ‘Open’ effort period cost transfers can be handled on the UD Web. Forms FINJournal
Effort Journals • Journals processed for transactions Prior to PS data (July 1, 2002) will be handled a bit differently – Pull down menu “Prior to PS” – Routes to Research Office for approval – Requires revised paper SAR
Admin View (approval)
Approval • TWO (2) “review and certify” are necessary to complete the process – Effort admin reviews and certifies accuracy and forwards to employee – Employee reviews and certifies • IF employee is no longer at UD, then effort admin can select “certify former employee”
Annual YTD view (dollars)
Annual AYTD view (percentage)
Employee View (top half)
Employee View (bottom half)
Employee Annual YTD View
Maintaining Good Data Employing the transactions to do the work for you
Where does the data live? • Proposed effort is added to the proposal budget at submission stage in the Grants System by department administrators • Committed effort is added to the award budget screens in the Grants System by Research Office staff • All the data from the pay transactions and any Journal is captured in the UOD_Trans_DTL table
Proposed Effort is proposed Salary is charged Effort is reported
Proposal stage • Data is added to the detail budget screens in UD Grants System for all UD employee whether PI, Co-PI or senior personnel, listed as resources on your grant proposal • Data should include effort percent and whether it is a summer month(s) • Data inputted at the proposal budget can be queried in GMQ_EFFORT_BY_PI_PROPOSED
Resource page
Budget Line Summary
Budget Line Detail
Awarded Effort is proposed Salary is charged Effort is reported
Award Stage • Once awarded, the Research Office confirms the proposed effort has not changed and enters the effort percent on the appropriate Grants System panel • Data can be queried in GMQ_EFFORT_BY_PI_CURRENT
Transactions Effort is proposed Salary is charged Effort is Reported
Project Chart Field • Speedtypes include inherited chart fields • Project. ID is auto-included with grants and contracts • Include Project. ID on non C & G speedtype transactions to relate the transaction to the award (grant or contract)
Labor Allocation Module (LAM) • Use the LAM to discern workload • Use the LAM to delineate the research workload portion into grant related effort and match • LAM is per pay • LAM Percentages remain in effect until changed
Effort Percentages How much to commit for whom and when? ? ?
Effort Percentages • Effort entries in your project budget on the personnelsalary and benefits detail page are used for faculty work loads • The minimum amount of effort allocated to a project allowed is 1% for each of the key personnel listed on the proposal (or the minimum required by the program if greater than 1%) • The vast majority of project budgets are for one (1) year. Regardless of what type of appointment (9 month, 10 month, or 11 month) held by a faculty member, the base for calculation of effort is one year (12 months).
Effort Percentages • On the most basic level, efforts are calculated as follows for a typical 9 month faculty member with 3 months of summer research: – 1 month = 1/12 = 8% effort – 2 months = 2/12 = 17% effort – 3 months = 3/12 = 25% effort • For portions of a month, use the decimal equivalent of the fraction (or the percent ) of the month and divide by 12 – ½ month = 50% of month =. 5, so 0. 5/12 = 4% effort – ¼ month = 25 % of month =. 25, so 0. 25/12 = 2% effort – 1/3 month = 33% of month =. 33, so 0. 33/12 = 3% effort
Effort Calculations Or… 50 ways to calculate one month
Workload Example • Dr. Dots has a workload that combines teaching and research • Dr. Dots has a 9 month academic year faculty appointment • Dr. Dots teaches 3 courses in the first semester and 2 in the second semester • Each course is 3 credits
CBA 11. 9 12 credit contact hours or 18 teaching contact hours per week per semester constitutes a 100% workload for the semester for the academic year. Assignment of a workload of other credit-contact hours per week or teaching contact hours per week per semester will be prorated as a percentage of workload for the semester, e. g. 9 credit-contact hours per week per semester constitutes a 75% workload for the semester for the academic year; 6 credit-contact hours per week per semester constitutes a 50% workload for the semester for the academic year; 3 credit-contact hours per week per semester constitutes a 25% workload for the semester for the academic year.
Faculty Workload monthly distribution Month Teaching Research September . 75 . 25 October . 75 . 25 November . 75 . 25 December . 75 . 25 January Summer Month 1. 00 February . 5 March . 5 April . 5 May . 5 June 1. 0 X July 1. 0 X August 1. 0 X
How much is a month? Number of Months in Appointment % if +3 summer months % if +2 summer months % if +1 summer months 9 8% 9% 10 N/A 8% 9% 11 N/A 8% 12 8% for any month
Workload Calculation Month Teaching Research % Teaching % Research September . 75 . 25 6% 2. 3% October . 75 . 25 6% 2. 3% November . 75 . 25 6% 2. 3% December . 75 . 25 6% 2. 3% January 1. 00 8. 4% February . 5 4% 4. 3% March . 5 4% 4. 4% April . 5 4% 4. 3% May . 5 4% 4. 4% June 1. 0 8. 3% July 1. 0 8. 4% August 1. 0 8. 3% Totals 5 7 40% 60%
Dr. Dots Example Workload Category Percentage Research (regardless of funding) 60% Instruction and internal service 30% Public Service 10% • Dr. Dots has agreed to spend – 60% of his time (effort) performing research related activities, – 30% of his time providing instruction through teaching or advisement of students and – 10% of his time providing service to the public or the institution. • The total workload needs to total 100%.
Dr. Dots Example Proposal/Grant Title Amount Budgeted Research Effort Committed Related Months A—Happy Widgets $4, 000 8% 1 (S – contract) B—Sad Widgets $0 2% . 25 C—Mad Widgets $2, 000 4% . 5 Total committed $6, 000 14% 1. 75 Total uncommitted 46% So this is good news. We only have 14% committed for Dr. Dots. We still have 46% left to commit or leave uncommitted.
Dr. Dots LAM Example Speedtype Project Program 1 ABCD 110000 INST 1 % for LAM Distribution 40% 2 ABCDDRES INST 2 54% 3 ABCD 11 MTCH B—Sad Widgets RSCH 6 2% 4 C—Mad Widgets Total C—Mad Widgets RSCH 6 4% 100%
LAM example (left)
LAM example (right)
LAM (left-more typical)
LAM (right-more typical)
How do I verify the accuracy of my data? • GMQ_EFFORT_BY_PI_CURRENT • GMQ_EFFORT_BY_PI_PROPOSED • C & P (other support report) accessible off of the UD Processes menu
GMQ_EFFORT_BY_PI_XXX
Tips and Hints
Tips & Hints • Always LOGOUT before ending your session – This allows a refresh at next log on which will enable any changes to be viewable • Be VERY careful where you send screens – This is salary data and in the wrong hands could be embarrassing – Research Office can redirect to the correct user – Once the WRONG recipient has received it, that person will ALWAYS be able to view it even if redirected
Tips & Hints • Must refresh after a journal is processed to see the recalculated amounts • Do not try to open the Effort System in more than one window at a time • Use standard udel. edu email addresses, not secondary email servers (ee. udel. edu)
Summary • Use tools available to maintain accurate data – Use Project Chart Field to delineate cost share and direct sponsor charges • Reduce cost transfers and other corrections through attentive discussions with faculty about effort
For more information UD Effort Policy (6 -5) http: //www. udel. edu/Exec. VP/policies/research/6 -05. html Effort training http: //www. udel. edu/research/training/efforttraining. html Effort FAQs http: //www. udel. edu/research/preparing/faq. html#effort Manager of Effort Certification effortcert@udel. edu or x 4956
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