Effort Reporting Departmental Administrator Manual MAXIMUS

Transcription

1 Effort Reporting Departmental Administrator Manual USING THE MAXIMUS Created by: Nancy Queen Office of Grants & Contracts Administration

2 INTRODUCTION This Departmental Administrators (DA)User s Manual is not only for the Maximus Effort Reporting System but everything related to guaranteeing an accurate and certifiable effort report. This includes the steps needed, and the forms to be filled out, from the day the Office of Research and Economic Development receives notice that a grant proposal is funded. Any questions regarding the topics in this document may be directed to the Office of Grants & Contracts Administration, Cost Analysis at (704) or njqueen@uncc.edu. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 2

3 TABLE OF CONTENTS PURPOSE... 4 ASSUMPTION OF RISK FORM....4 GUIDELINES FOR PROCESSING PAYROLL BASIC SALARY BASES AT UNCC DEFINITION OF PERSON MONTHS.13 RELEASE TIME. 13 PAYROLL APPOINTMENT FORMS RELEASE TIME FORM PC PD E-PAF.. 19 E-GA. 25 EFFORT REPORTING EXCLUSION RULES. 28 PAY NO. BY FISCAL YEAR. 28 EFFORT REPORTING FREQUENCY EFFORT REPORTING CALENDAR 29 LOGGING INTO THE EFFORT REPORTING SYSTEM MAXIMUS EFFORT REPORTING URL HOME PAGE AND DASHBOARD ASSIGNMENT - REASSIGNING ROLES AND SUB-DEPARTMENTS CHANGING ASSIGNMENTS FOR ENTIRE SUB-DEPARTMENT PRE-REVIEWING EFFORT FORMS THE EFFORT REPORT ADDING A FUND COST SHARE ENTERING COST SHARE ON THE EFFORT REPORT RETROACTIVE SALARY REDISTRIBUTIONS RECONCILING ERS TO BANNER NYIEDST CERTIFIER S VIEW OF EFFORT REPORT REPORTS.. 54 COMPREHENSIVE STATUS REPORT COST SHARE REPORT COST SHARE DETAILS BY SELECTED QUERY Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 3

4 PURPOSE The United States Office of Management and Budget (OMB) Circular A-21 Cost Principles for Educational Institutions (now referred to as 2 CFR 220) requires that any faculty member or staff employee with effort that results in salary costs charged to any sponsored projects, cost sharing, or any other University activities must be identified in an effort reporting system. UNC Charlotte utilizes the Maximus effort reporting system (ERS) for certifying, after-the-fact, that charges made to sponsored funds are at least equal to the salary paid and effort expended by the following categories of University employees paid on Sponsored Funds: a. Permanent Faculty and EPA Staff b. Permanent SPA Staff c. Graduate Assistants d. Post Doctoral employees This document was created to assist its users in the understanding of effort and all activity that leads up to the creation of the effort report in the Maximus Effort Reporting System. ASSUMPTION OF RISK FORM If a grant has been awarded and the agency allows pre-award spending, the PI can submit an ASSUMPTION OF RISK form up to 90 days prior to the start date for an amount no higher than $30,000 direct costs. The AOR MUST be completed by the Department or College taking responsibility for the funds to be expended until the grant funds arrive and be accompanied by a copy of the award notice or other documentation of the intent of award from the agency. At this point a grant fund number can be assigned and the PAF (Personnel Action Form) can be done in a timely manner. You can complete either a Paper AOR or you can complete an AOR in NORM. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 4

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6 PROCESSING ASSUMPTION OF RISK IN NORM NINER ON-LINE RESEARCH MANAGEMENT Login in to using your Novell username and password. Enter Novell Username and password Once logged in you will be taken to the NORM Homepage. On this page select PROPOSALS IN MY DEPARTMENT on the left side of the page. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 6

7 From the list of proposals, find and select the proposal for which you want to prepare and submit an Assumption of Risk AOR. The Status column will show the status of Proposal Approved which means it is pending and awaiting an award. (example ) Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 7

8 Once you select the proposal by clicking on the proposal number, you will see an orange tab ASSUMPTION OF RISK (AOR). Click on that tab. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 8

9 Click on ADD ASSUMPTION OF RISK (AOR) TO PROPOSAL. A small window will open where you need to provide information. Be sure to provide sufficient information in the text box such as an explanation on the assurance of funding from the sponsor and the fund number that will guarantee expenses will be covered by the department or college should the University not receive an award. Answer the question about whether or not the account is associated with ARRA. Under the Type of Account, select New Account. Fill in the Contact Information for the person requesting the AOR. Once all information is complete, click on the button SUBMIT ASSUMPTION OF RISK (AOR) FOR PROCESSING. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 9

10 Once the AOR is submitted, the signed budget form will need to be scanned and attached. Click on the orange tab with the PAPERCLIP. This takes you to all of the proposal attachments. Make sure Doc type is OTHER To add the signed budget form, click on the BROWSE button to locate the file. Be sure you save the file as AOR Budget. Select Other as the Document Type and click on the >>NEXT button to upload the file. The AOR Budget file will now appear in the list of attachments. Once an AOR is submitted, an goes out to the AOR approver for the award admin department. This is typically the chair of the department. Once approved, another goes out to the next approval level, typically the Dean. The approval status can be checked at any time by going back to the orange AOR tab and looking under STATUS. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 10

11 When the status is listed as Authorized, the AOR is awaiting fund number set up by GCA. When assigned the status will change to Funded and the fund number will be listed under Account No. Once the Account (Fund) Number has been assigned, a Personnel Action Form can be prepared. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 11

12 GUIDELINES FOR PROCESSING PAYROLL Below is a chart of the forms that are used for the various types of appointment at UNC Charlotte and the Routing Process for each. UNCC BASIC SALARY BASES There are three basic salary bases for faculty at UNC Charlotte: Calendar year, Academic year and Summer Term. Following is a breakout for each based on month/week/days Calendar Year 12 months 52 weeks 365 days contract period is 7/1/XX 6/30/XX Academic Year 9 months 39 weeks 273 days contract period is 8/16/XX 5/15/XX Summer Term 3 months 13 weeks 90 days paid between 5/16/XX 8/15/XX There are three types of faculty. On average most faculty are 9-month, but there are 11 and 12 month faculty also. When a faculty is preparing a grant they should be using a person month calculation to estimate his/her effort percentage. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 12

13 WHAT IS THE DEFINITION OF PERSON MONTHS? Person months - Is the metric for expressing the effort (amount of time) PI(s), faculty and other senior personnel devote to a specific project. The effort is based on the type of appointment of the individual with the organization; e.g., calendar year, academic year, and/or summer term; and the organization's definition of such. For faculty on a 12 month appointment, payroll % is calculated using the 12 month contracted Base Salary. Each employee's payroll charged to sponsored and non-sponsored funds is divided by the employee's base salary to provide a Payroll % for each of the different activities on which the individual worked for the period. Currently any Incidental Compensation, Including ALL Summer Salary, is excluded from effort during the Academic Year (8/16/XX 5/15/XX). How do you calculate person months? Conversion of percentage of effort to person months is straight-forward. To calculate person months, multiply the percentage of your effort associated with the project times the number of months of your appointment. For example: 25% of a 9 month academic year appointment equals 2.25 person months (9 x.25= 2.25) 10% of a 12 month calendar appointment equals 1.2 person months (12 x.10 = 1.2) 35% of a 3 month summer term appointment equals 1.05 person months (3 x.35= 1.05) Another example: If the regular pay schedule of an institution is a 9 month academic year and the PI will devote 9 months at 30% time/effort and 3 months summer term at 30% time/effort to the project, then 2.7 academic months and.9 summer months should be listed in the academic and summer term blocks of the application (9 x 30% = 2.7 person months; 3 x 30%=.9) RELEASE TIME At UNC Charlotte, a full teaching load is considered four courses per semester. Typically faculty teach two courses, some more, some less, each semester. If the faculty member is teaching two courses only, then 50% of the individual s time is available to do other things, such as advise students, sit on committees, etc.... and... work on research projects. If the grant fund pays for the time during the contractual period for the work done, it is referred to as Release Time. In the case, where the grant is paying for the work done, a Release Time form must be processed to have the faculty members pay (or part of the pay) for that period of time come from the grant, thus freeing up the state funds that would normally pay the individual s salary. This is called lapse salary. The grant supported salary is calculated based on the agreed upon released time of the faculty from his academic responsibilities. (See Policy 99 for the course release (or buyout amounts.) Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 13

14 Appointments are completed when the Faculty or Departmental Adm. submits a signed Release Time Form (RTF) (example 1 below) to Awards Management. Awards Management then prepares a PC2 form (Example 2 below) that is submitted to Budget and entered into the Payroll system. If the work on the research project is done with no funds coming from the grant to pay for it, it constitutes cost sharing. Grant funds can be paid as summer salary, between May 16 and August 15 of each year. This is considered supplemental because it is in addition to their Academic Salary. Each granting agency has their own Salary limit on the amount a PI can be paid from their grant. a) NSF - A PI cannot receive more than the equivalent of 2/9 s salary from a grant in a FISCAL YEAR. This can be taken as summer salary or released time during the academic year. b) NIH A PI cannot receive more than 3/9 s salary from ALL Federal sources as Summer Salary. Additional released time during the academic year is dependent on what is approved when the award is made. RELEASE TIME FORM A Release Time Form is submitted by 9 month faculty to their Department Chair to request to be released from a portion of his/her academic responsibilities to do research during the academic year. The form states the Period of Release by listing the beginning and ending dates, the amount the grant is paying for the period, the fund number and an explanation of what the released funds in the department will be used for. Once this has been approved by the Chair of the Department and the Dean of the College, it is forwarded on to Awards Management. Once the Release Time Form is received by Awards management a PC2 is prepared. The salary on the PC2 should total 100% or the total amount of the faculty members Academic Salary. The Example below shows the PC2 form and the worksheet used by Award Management to complete the PC2. Examples of Release Time form and PC2 follow. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 14

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16 PC2 Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 16

17 Worksheet for PC2 Jane Smith Calculation for PC-2 Annual Base salary $ 100, Annual Base divided by 9 11, Annual Base divided by 12 8, Release Period: 8/16/09-12/31/09 # of Months. 4.5 Fund No Release Amount requested 1st grant 16, % Release Amount requested 2nd grant 13, % Release Amount requested 3rd grant 1, % Release Amount requested 4th grant 1, % TOTAL RELEASE AMOUNT $33, =+C14/(C9*C12) Annualized salary: $44, $35, $4, $4, =+(C14/(C12*2))*24 Release Period: 1/1/10-5/15/10 # of Months. 4.5 Fund No Release Amount requested 1st grant 16, % Release Amount requested 2nd grant 1, % Release Amount requested 3rd grant 1, % Release Amount requested 4th grant 0.00% TOTAL RELEASE AMOUNT $20, Annualized salary: $44, $4, $4, $0.00 Release Period: # of Months. Fund No. Release Amount requested 1st grant Release Amount requested 2nd grant Release Amount requested 3rd grant Release Amount requested 4th grant TOTAL RELEASE AMOUNT $0.00 Annualized salary: 0 #DIV/0! 0 #DIV/0! 0 #DIV/0! 0 #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 17

18 PD-7 The PD-7 is a payroll document that should be used for EPA Staff and Faculty appointments, and changes in payroll status. It is also the form used to supersede an E-PAF for 9 month Research Faculty Summer Salary appointments if a change needs to be made. The DATES on this form MUST BE Correct: Contract Dates MUST BE THE DATE WORK STARTED. Effective Payroll Dates MUST BE the FIRST Payroll date after the start of work (either the 1 st or 16 th of the month). Form PD-7 (February, 2010) UNC CHARLOTTE ACADEMIC PERSONNEL ACTION Date Submitted Superseding Previous PD-7 Dated Superseding Previous EPAF Transaction # (1) Legal Last Name Legal First Name Middle UNC Charlotte ID Department 9 Mos. 12 Mos. { Last 4 SSN (New Emp) Primary Employment Status: Full Time Part Time Other - Explain: (2) APPOINTMENT REAPPOINTMENT CHANGE Rank or Title This MUST BE the DATE WORK STARTED. Position# Contract Dates: From To Effective Payroll Dates: Remove from Payroll Index/Fund # Account Code Annual Salary Amount Stipend Amount - Total Annual Salary $0.00 Comments (3) PART-TIME OR EPA TEMPORARY OR POST-DOC APPOINTMENT REAPPOINTMENT Index/Fund # Salary Amount - - Account Code Rank or Position Position # Contract Dates: From To Effective Payroll Dates: Remove from Payroll Comments (4) SPECIAL PAYMENT (USED FOR FULL-TIME EMPLOYEES ONLY) Position # Dates of Service: From To Payment Dates(s) Note: If payment date is not indicated payment will be received on next pay period. Index/Fund # Amount - - Explanation Account Code (5) LEAVE OF ABSENCE EXTENSION OF LEAVE RETURN FROM LEAVE EFFECTIVE Leave w ithout Pay Leave w ith Partial Pay Leave w ith Full Pay Beginning Date End Date Salary (if applicable) Extended Contract Dates: From: To: Explanation Position # (6) NOTICE OF SEPARATION Position # Rank or Title Date Separated Remove from Payroll Adjusted Salary (for Section #3 only) Reason: Resigned Term Expired Deceased Terminated Retired Other - Explain TSERS Requested by Date Approved by Date Dr. Joan F. Lorden Provost and Vice Chancellor for Academic Affairs Academic Affairs Budget Payroll Sponsored Programs Date Date Date By By By Date By Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 18

19 See back of PD7 for Instructions for Completion E-PAF An Electronic Personnel Action Form - E-PAF, is an online form originated by a department to communicate an employment decision about an employee to the Human Resources and Payroll Department. The E-PAF must be completed, approved, and applied in a timely manner so the employees job record can be updated. Timely completion of an E-PAF is essential to help the Payroll Department pay an employee accurately and on time. A complete E-PAF Submission Schedule can be found on the Payroll Calendar. Currently UNC Charlotte uses the following E-PAFS: Hire Part Time Faculty E50PTF Hire Continuing Ed Part Time Employee E50CE Special Pay for Full Time Employee E45SP The E-PAF we are concerned with is the Special Pay for Full Time Employee E45SP. This is the form that will be used for 9 month faculty summer salaries charged to sponsored projects. One of the important things to remember about the E-PAF is that these forms HAVE to be submitted on time because they will not do any kind of RETROACTIVE processing. To create an E-PAF you need to log-in to 49er Express Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 19

20 Select the EMPLOYEE HOME tab and then the highlighted BANNER SELF SERVICE under Employment & Benefits On the next screen select the EMPLOYEE tab. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 20

21 This will then take you to the page with E-PAF electronic Personnel Action form Once you have selected the highlighted E-PAF ELECTRONIC PERSONNEL ACTION FORM I t opens the E-PAF SCREEN. First select E-PAF ORIGINATOR SUMMARY. When the page opens, select DEFAULT ROUTING QUEUE at the bottom of the page. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 21

22 Select special payment for Full Time Employee, E45SP. Remember at this time only E-PAFs for full time employees are being processed. NOTE: If a default routing queue has already been established previously then double click on save add new rows and it will automatically populate the routing queue. There is a different routing queue for other approval categories and always select Awards Management Manager for fund approval. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 22

23 Now go back to E-PAF ORIGINATOR SUMMARY to create an E-PAF. Follow the procedures provided by academic affairs. Use the payroll calendar to determine whether you need to use the 1 st or 16 th of the month to process the E-PAF. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 23

24 NOTE: the Query Date, and under Create Assignment, Job Begin Date and Job Effective Date should all be the same date. They should be either the 1 st or 16 th of the month (the first day of the pay period). Pay periods run from the 1 st 15 th and 16 th last day of the month. The Personnel date in Create Assignment is the date the employee actually begins working. Fill in the title, salary (is the amount of summer salary), pay factor is how many pay periods the summer salary will be hitting. Timesheet org is your department org code. Under Assignment End Date the Jobs Effective Date is the last date that the person is to be paid. The Personnel Date is the end date of the of the last pay. Remember to save your information! Next select the funding source and the correct account code. Save again. Add a comment. NOTE: you will not see the comment once it is saved; however, it is there. Review your form and submit. You can look in the history tab as to the status of where the E-PAF is in the routing queue. The E-PAF history can be reviewed by selecting the tab and all the E-PAFS will be displayed. Click on the E-PAF for the status in the queue. If an E-PAF is pending feel free to call that person and let them know that there is an E-PAF to approve. Always verify in Banner that the individual has been paid. If an e-paf is returned for correction look in the comments section as there will be a note as to why the e-paf has been returned to you. Some may be an originator as well as an approver depending on your department setup. Superseding e-pafs: If an E-PAF must be superseded you will use the PD7. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 24

25 e_ga (electronic graduate assistantship appointment form) The URL to the e-ga is: Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 25

26 Initiating an Assistantship in ega 9 Day Rule In order to meet the published Payroll Deadline (avoid missed payments), the following four (4) criteria must be met - nine (9) or more business days prior to the Pay Date for the first Pay Period of the contract term: 1. Assistantship approved by all approvers listed in ega 2. Student s signed contract received by the Graduate School 3. Course registration 4. Completed I-9 Work Authorization documents certified by Human Resources Appointments may be entered into the ega system prior to enrollment, but the student won t be paid until the criteria listed above are met. Eligibility Requirements: 1. Undergraduate degree awarded 2. GPA greater than or equal to Greater than or equal to 6 graduate credit hours per term 4. If GASP, greater than or equal to 9 graduate credit hours per term NOTE: Students can be employed for up to 20 hrs/week for all jobs on and off campus. For summer employment over 20 hours, add Susan Sell as an approver and request additional hours in the Notes/Justification section. Appointment may be entered into ega system prior to enrollment. Student must be registered for classes in order to be paid as a Graduate Assistant. Please refer to the payroll calendar regarding Pay Periods, Payroll Deadlines, and Pay Dates when initiating an assistantship in ega Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 26

27 Three things that are very important when appointing a graduate student for an assistantship: 1. A graduate student appointed on sponsored funds is a Research Assistant (RA). Principal Investigators are very sensitive about this. 2. You need to be very conscious about the dates you are appointing a student. 3. Under Term of Appointment a. The Start Date should be either the 1 st or 16 th of the month (the first day of the pay period). Pay periods run from the 1 st 15 th and 16 th last day of the month. If you appoint graduate student with the start date of the 14 th of the month, they WILL receive a check on the 15 th of that same month. b. The End Date is the last date that the person is to be paid. For further instruction on how to fill out the e-ga you can go to: Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 27

28 Effort Reporting System Payroll Exclusion Rules There are two Exclusion Rules used by the Effort Reporting System to accurately reflect the payroll to be included in the certification of effort. 1. Academic Rule - Permanent teaching salaries (account code ) charged to departmental state funds ONLY show on effort reports between August 16 and May months of the faculties Institutional salary assigned to this account code (913100) and paid on fund that falls between May 16 and August 15 is excluded from the effort report 2. Summer Rule Sponsor funded summer salary is ONLY paid between May 16 and August 15. All Salary paid on account after August 15 is Excluded from the effort report Summer Salary payment requests after August 15 will require additional documentation and rationale for delayed payment. Below is the Effort Reporting table showing the Payroll numbers, the dates each covers and the Effort Reporting Period they fall in. Pay ID Pay Number Pay No. by Fiscal Year Start Date End Date SM 13 July 1 July 15 SM 14 July 16 July 31 AP4 SM 15 Aug 1 Aug 15 SM 16 Aug 16 Aug 31 SM 17 Sept 1 Sept 15 SM 18 Sept 16 Sept 30 AP1 SM 19 Oct 1 Oct 15 SM 20 Oct 16 Oct 31 SM 21 Nov 1 Nov 15 SM 22 Nov 16 Nov 30 SM 23 Dec 1 Dec 15 SM 24 Dec 16 Dec 31 AP2 SM 1 Jan 1 Jan 15 SM 2 Jan 16 Jan 31 SM 3 Feb 1 Feb 15 SM 4 Feb 16 Feb 28 SM 5 Mar 1 Mar 15 SM 6 Mar 16 Mar 31 AP3 SM 7 Apr 1 Apr 15 SM 8 Apr 16 Apr 30 SM 9 May 1 May 15 SM 10 May 16 May 31 SM 11 June 1 June 15 AP4 SM 12 June 16 June 30 Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 28

29 EFFORT REPORTING FREQUENCY UNC Charlotte issues effort reports for all employees on a quarterly reporting basis. Below is the Effort Reporting Calendar with completion timeline for each period. Please follow this dates as closely as possible. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 29

30 LOGGING INTO THE EFFORT REPORTING SYSTEM The URL: for the Maximus Effort Reporting Website is: Please save this to your favorites. When you log on to the ERS site: Your username is your UNCC Employee ID #: Your Password should be your birthdate: 800XXXXXX mmddyy If you have trouble with logging in, please contact your Central Administrator. Enter your User ID (800 Banner ID#) & Password (unique -- not Novell password) accordingly. Enter your Banner 800# and Password here Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 30

31 HOME PAGE AND DASHBOARD Upon logging in you will see your home page. This page contains data related to ALL departments you are in charge of. 1. If you click on the blue highlighted here you receive the list of the departments you are responsible for. 2. This dashboard shows you ALL outstanding effort reports and at what point they are hung up. By selecting the Total numbers in Blue, you will open a Comprehensive Progress Report for the current period. 3. In the STATUS/MY TO DO BOX click the number link for the Current Period to see a list of pending effort reports. 1. Click here 2. Select Total to get comprehensive Progress report with graph. 3. Click the number link here Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 31

32 1. When you select the highlighted Here it opens to Departments that are Under your Control. 2. When you click on the highlighted Total 0 of XX forms completed you open a Comprehensive Status report, with names of employees, their status and if you click on the blue highlighted Employee ID number, you will open their effort report. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 32

33 3. When you click the number link for the Current Period in the STATUS/MY TO BOX A screen listing the names of the employees that effort forms are pending for will appear. Click the names to view the effort forms to ensure whether or not they belong to your department/org. Click Name links opens effort report This gives you the current status of the effort form. After clicking the name from the prior screen/step, view the form to ensure it belongs to your department. Home Dept. Grant funded through different dept/org. requiring a reassignment of the form. Note: the effort report will be sent to the home department of employee. The 5 digit SubDept: number under the employees name is their home department. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 33

34 If the fund that the employee was paid from of does not belong to your department, reassign the employee s form to the appropriate department. (In the case where there are several accounts/orgs involved, the department with the most effort on a sponsored fund should certify the form by Assigning.) Suggestion: print out or make note of the dept/org for the forms that should be certified by another department to easily assign in the next step. ASSIGNMENT Click ASSIGNMENT at your menu in the far left. On this screen you can either Change Assignments for Departments/sub-departments or Change Assignments for Individuals. The later is the most common assignment used. Click Change Assignments for Individuals You will get a list of all departments assigned to you. Select the department of the person you need to reassign. When you select proceed you will get a second screen to select the department, then proceed again. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 34

35 Select appropriate Employee Name at the Change Individual Assignments screen. Hint: if more than one employee needs to be reassigned to one particular department, select all the applicable names at this time. Then scroll down and click on Proceed. Click Proceed You can now reassign an individual s Pre-Reviewer, Certifier, Post Reviewer and Sub-Department. You can only make One change at a time. The first screen will show ALL the people in your domain. If the person that is going to be the new Certifier is not in your domain you will need to select Assign somebody not in your domain. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 35

36 It will bring up the following screen. At this screen you can enter the Employee ID, Name or Sub-Department to find the new reviewer. If you enter either the sub-department or a partial name, you will receive a list of all people with the name or in the sub-department to select from. (as seen below) Select the employee you are making a change to, then select Proceed. Once the change is made you will receive the notification screen below. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 36

37 If a person is being paid from a grant in another department, the home department will get the effort report. At this point the DA will go into ERS and reassign the person to the department in which the grant is awarded. REMEMBER: If you reassign a persons Sub Department, it will still show on the original department s reports, but is forwarded to the new department to be certified. It will not default back to the home department! Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 37

38 Select Assign to a different Sub Dept then Click Proceed You will receive a Screen listing ALL of the organizations (sub-departments) in the University. Scroll down until you find the sub-department you want to reassign the person to. Then click on the red box. It will open a second box with the description of the organization. 1. Select Red Box of correct dept. 2. Select the blue highlighted number You will get a confirmation screen showing the change in sub department entitled Alternate Sub-Dept. Select Apply and you receive a screen showing the employee roles. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 38

39 When you select Apply again you get a confirmation screen with the change on it. Change in sub-department CHANGING ASSIGNMENTS FOR SUBDEPARTMENT. You would use Change Assignments for Department or Sub-Departments if there has been a change in the Departmental Coordinator (DC), or the Sub-Departmental Coordinator (Sub-DC). Someone that can reassign individuals, as well as, pre-review/post-review and edit effort reports. Select Assign to a different Sub Department and click Proceed at the next screen: Select Change Assignments for Dept or Sub-Dept. Scroll down to find and select Applicable Sub Department number. Then Proceed! Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 39

40 On the next screen, select which action(s) you would like to commit. You can ONLY reassign one role at a time. When you select the Proceed button, you will once again get a list of all people in the specified subdepartment to select from. And if you are choosing someone not in your domain, you can select the highlighted Assign somebody not in your domain Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 40

41 Once the person for the new Role has been selected, select Proceed. You will receive the above screen. Please NOTE THE WARNING! IF you want to make the change select APPLY to complete the reassignment. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 41

42 PRE-REVIEWING EFFORT FORMS Click on Home. You will see the Dashboard for your College or Department. This page shows you your Completion Status and has a STATUS/My To Do box that indicates not only current pending effort reports, but prior period outstanding Effort Reports as well. There are two ways of accessing your Effort Reports to Pre-review. 1. Select Pre-Review on the Left side bar. 2. Click on the number(s) link under Pending Pre Review: 1. Pre-Review 2. If there were forms from previous periods, you would click on the number link located here also. 1. If you select the Pre-Review on the left hand column you will open the following page. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 42

43 Pre Review All covers all the employees in all of the departments you are in charge of. Most DA s and sub-dc s only have one, but DC s would see the total college. Pre Review - those effort reports for employees that have been assigned to you. These are employees that are from another department but being paid from one of your grants. View Read Only Effort Forms - This is to view employees that have been charged to your department but were not reassigned to you for pre-review. Selecting any of these links will open a list of Sub-departments. Selecting any one or all of the sub-departments opens a page with a list of all employees with effort reports that you are responsible for. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 43

44 THE EFFORT REPORT There are three different views of the Effort Report 1. The DA, DC and sub-dc view as you see it here. 2. The Certifier s view which ONLY shows effort percentage unless they drilldown. A sample of this report is in the appendix of this document. 3. The Central Administrators view Remember when talking to your faculty that they are seeing something different than you. DA, DC, Sub-DC view By selecting the link for View Previously Certified Effort Statements, you will receive a list of all effort reports that have been generated and certified for the person. If you select the date, the effort report for that period will open. 2. By selecting the payroll dollar amount for one fund, you will open a screen showing you the charges JUST for that fund (if there is more than one fund). You can get Detail by Month or Detail by Transactions. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 44

45 Select to see Detail by Month View by month 3. If you select the highlighted fund-org link, you will get details from the Chart of Accounts Table on the particular fund-org. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 45

46 4. The highlighted dollar amount for the Grand Total you will open a page showing you all the charges for all of the funds on the effort report. This is called the Drilldown. ADDING A FUND If you need to add a fund for cost share on a grant. Select the Add Account Button. Selecting the Add Account Button opens the Search Accounts Screen. On this screen enter the fund number then click Continue. The Add Account Screen will open. Click in the box for a drop down list of funds-orgs. Select one. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 46

47 Once you have selected the fund-org the Add Account screen will pre populate the rest of the boxes. If this is correct, click on the Add Account button. You will now see the effort report with the new fund-org added. If you need to delete the newly added fund click on the BLACK X. COST SHARE As of January 2011 NSF Chapter II.C.2.g(xi), Cost Sharing, has been revised to implement the National Science Board s recommendations regarding cost sharing. Inclusion of voluntary committed cost sharing is prohibited. Awardees are informed, however, that they remain subject to the 2 CFR 220 (OMB Circular A-21) Clarification memo regarding committing and tracking faculty effort Mandatory cost sharing will ONLY be required when explicitly authorized by the NSF Director. Mandatory or Voluntary Committed Salary Cost Sharing must be reported. If some or all effort an individual expends on a specific sponsored research project is not funded by the project sponsor, but is mandated by the sponsor to be funded by UNC Charlotte or if cost sharing was offered by a UNCC Faculty and has become a binding term of the award, that cost shared effort must be reported in the Cost Sharing column (see UNC Charlotte Policy 120 on Cost Sharing). Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 47

48 ENTERING COST SHARE ON THE EFFORT REPORT An effort report is only generated if an employee has sponsor funded payroll activity. If an employee has effort cost shared by UNC Charlotte and no Effort Report was generated, it is because there is only state funded payroll activity and the DA must contact the CA to generate an Effort Form for cost shared employees in the Pre-Review Process. The DA is responsible for entering the cost share on the impacted employee s effort form during the Pre- Review process. The Cost Share should be entered as dollar amount. If you switch the input method to the percentage amount you will need to change it back to Input as $ in order to proceed. The total under Sponsored Accounts must equal the amount under Non-Sponsored Accounts. (NOTE: DO NOT use a + sign, you can use the -.) Enter the Cost Share as a $. Select PROCEED. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 48

49 An is sent to the certifier to complete the certification process. RETROACTIVE Salary Redistributions (RCT in Maximus) A Retroactive Salary Redistribution happens when a superseding Personnel Action Form (RTF Release Time form resulting in a PC2; PD7; HRMS; E-PAF; GPAF) is processed through the budget office for Previous or the Current effort reporting period. A payroll redistribution is completed in Banner Payroll and a new redistribution extract is created to be imported into Maximus. If the impacted effort report has already been certified, the RCT will cause the system to DROP the certified effort report and generate a new effort report reflecting the corrections caused by the RCT. ERS will then send the DA an notifying her/him that there an effort report to be pre-reviewed. If the impacted effort report has not been certified, the RCT will make the changes and send a notification to the DA to pre-review the effort report. Any transactions that are result of the RCT will be indicated by an R on the Effort Report Drilldown screen. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 49

50 Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 50

51 RECONCILING ERS TO BANNER NYIEDST NYIEDST is a modification of form NHIDEST that shows not only a summary of payroll expenses or encumbrances by employee, but also shows the results of all redistributions in the correct period. This form also shows students and non-student temps in the month that the service was performed instead of the month the payment was made. For instance, if they are paid on December 15th for November hours, the expenses show in the November 1-30 period on NYIEDST. At the BANNER General Menu Application Form type NYIEDST in the text box next to Go To Enter the persons Employee ID number and the reporting period the RCT is covering. Select Help then Scroll down to Extract Data No Key Dbl click Start and end dates of Reporting period Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 51

52 (If you select F7 then type in HGN under the Rule Class column then select F8 you will pull up just the salary amounts. You can then go to the Help tab and on the scroll down select Extract Data No key while holding down the Control key and it will open it in an excel table that you can sort and sum total by fund number.) NYIEDST in Excel When the file opens, it will be listed by payroll period. Choose Data on the top of the tool bar. SORT on Fund then SUBTOTAL by Fund The salary you see in the table above is the actual salary for the person. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 52

53 CERTIFIER s VIEW OF EFFORT REPORT As with the Pre-reviewer s view of the Effort Report 1. By selecting the link for View Previously Certified Effort Statements, the certifier will receive a list of all effort reports that have been generated and certified for the person. If you select the date, the effort report for that period will open. 2. By selecting the highlighted payroll % for one fund, you will open a screen showing you the charges JUST for that fund (if there are more than one fund). You can get Detail by Month or Detail by Transactions. 3. If you select the highlighted Accounts/Sponsored Accounts link, you will get details from the Chart of Accounts Table on the particular fund-org. 4. If you select the highlighted % (percentage) for the Grand Total you will open a page showing you all the charges for all of the funds on the effort report. This is called the Drilldown. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 53

54 REPORTS On the left side of the home page select REPORTING Selecting REPORTING will open the Reports page that follows: Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 54

55 There are numerous forms available for your use, but the two you will use on a regular basis are: 1. Comprehensive Status Report 2. Cost Sharing COMPREHENSIVE STATUS REPORT Select COMPREHENSIVE STATUS REPORT It will open the following screen. Select the Reporting Period you want to receive the report for. It will open a screen listing ALL of the departments you are responsible for. Most DA s and Sub-DC s will only see one. Departmental Coordinators (DC) should see all of the departments in her/his college. At this point you can either select ALL or just the department you want to see the report for. If there are numbers across the top or a section that shows PER PAGE 10/25/50/100, I suggest you select 100 before you select CHECK ALL, otherwise it will only give you a report for those departments on that page. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 55

56 When you select PROCEED it will firstly open the same page and you repeat the steps you just completed. When you select PROCEED for the second time you receive the Comprehensive Status Report for the selected departments. This report shows the status of each Effort Report in your department. It tells you if it is still Pending Prereview, Pending Certification, Pending Post Review or is completed. It gives you the dates each step has been completed and who the pre-reviewer, certifier and post reviewer is. It shows you if the Effort Report has been impacted by an RCT (Retroactive Cost Transfer) and the date of the RCT. If you select any of the blue highlighted Employee ID s it will open that particular effort report for you to view. NOTE: You cannot take any action on the effort report from this report. You can select download and create an excel file. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 56

57 COST SHARE REPORT As with the Comprehensive Status report you select REPORTING on the left side of the Home Page. Now go down to COST SHARING. You will receive the page listing all of the reporting periods. Select the Reporting Period you want the report for. NOTE: You can get a report for ONLY one period at a time. If you need a combined report you will need to download the reports and combine them in an excel spreadsheet. After you select the department you want to obtain a cost share report for, select PROCEED. You will open the following screen showing all people in the department that could have Cost Share and their effort reports are completed. At the bottom of the page you have a list of all the people that could have cost share that have not completed certification of their effort reports. Remember that you CANNOT include NON-Certified cost share in your reports. From this point you can select if you want to see just the fund the Cost Share is to or just the fund the Cost Share is from or Both. I recommend selecting Both. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 57

58 Next you can either select one or multiple individuals or the entire department or college. Can select individuals or entire dept. Can select Cost Share To, From or Both Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 58

59 Excel Spreadsheet of Cost Share There is a second Cost Share Report. COST SHARE DETAILS BY SELECTED QUERY In this report the first two pages are the same as other reports. The third page is below. Just select CONTINUE. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 59

60 The next page lists all of the Employees in the Dept. You can select either one or All Employees then select CONTINUE. The next page that opens is where you can select your parameters for your report. 1. View Detail by Employee or View Subtotal by Employee or View Employees Over the CAP. 2. Sort Employee by Sub Dept., Employee ID, Employee Name, or Title Code. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 60

61 3. Sort Account Per Employee by Account ID, Account Type, Cost Share, or Certified Amount. As you can see in the below report if you select to sort by department it combines all personnel according to departments. You can also select the blue highlighted Name and it will open the person s effort report. I suggest you investigate these various reports and find the ones that may help you the most, then share with your fellow Departmental and College Administrators. Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 61

62 REFERENCE DOCUMENTS Certifiers Instructions for Certifying Effort Forms using the Effort Reporting System Key Points in Understanding Effort Banner Position Control Inquiry Forms Banner 8 Human Resources E-PAF Special Pay for Full Time Employees. Payroll Calendar Rev 3/5/2012 J:\RCM\Cost Analysis\EFFORT\Documentation\DA Manual\DA ERS Manual.docx 62