1. Operational Excellence in Effort Reporting Conference Call: September 12, 2012 Vision Statement: Implement a compliant, streamlined, electronic effort reporting process that reduces administrative burden.

2. Agenda Topic Individuals with nonfederal activity Nonexempt employees User acceptance testing (UAT) objectives UAT status Understanding the environment UAT timeline E-mail testing during UAT Training Update 2

3. Individuals with Nonfederal Activity Current effort statement set up: 3 Award TypeLocation on Effort Statement RequirementHow Certified FederalSponsored sectionRequiredEffort statement created, PI certifies Federal flow-throughSponsored sectionRequiredEffort statement created, PI certifies NonfederalSponsored sectionNot requiredEffort statement created, PI certifies even if they only have nonfederal activity Other institutional activities, voluntary uncommitted cost share awards Nonsponsored sectionNot requiredEffort statement created, Automatically processed by ecrt if only nonsponsored activity

4. Individuals with Nonfederal Activity  Issue: Individuals with effort on nonfederal awards only will be prompted to certify an effort statement—these are not automatically processed by ecrt  Options to discuss: 1. Change the effort reporting policy to require certification for all sponsored activity 2. Campus effort reporting administrators would change the status of each effort statement to “No Certification Required” as part of the pre-review process 3. Change the data feed to flag nonfederal activity i. A “Non Federal” section would be added to all effort statements ii. Effort statements with only nonfederal and nonsponsored activity would be automatically processed 4

5. Individuals with Nonfederal Activity 5 CampusCount CNSE228 University at Albany484 Binghamton University300 University at Buffalo525 Stony Brook University627 SUNY Downstate Medical Center134 Upstate Medical University238 SUNY ESF145 SUNY New Paltz28 Buffalo State College267 All other campuses550 Total3,526 Number of Certifiers with 100% Nonfederal Activity  Spring 2012 data for academic semester campuses  First half of 2012 for half-year campuses  Nonexempt employees were eliminated

6. Individuals with Nonfederal Activity 6

7. Nonexempt Employees  Continue your current campus effort reporting process  Effort statements will be automatically processed in ecrt  Will show up on a principal investigator’s Work List but no action by PI needed 7

8. UAT Objectives 1.Gain confidence that ecrt meets previously defined business requirements  Overall process that is streamlined, compliant and understandable 2.Final test of critical success factors  Accurate data  Electronic tool with appropriate e-mail and workflow functionality  Appropriate training materials by audience 3.Final opportunity to uncover any issues not previously identified 8

9. UAT Status 9  Central office is preparing the environment  Brand new environment for UAT  We are not reusing the Phase 3 environment  All new files will be uploaded  Ready for campus testers the week of September 17 Item UAT Environment Effort Statement Statuses Fall 2011Will not be in the UAT environment Spring 2012Certified Summer 2012Ready to be Certified Fall 2012Building, Not Ready for Certification

10. UAT Status  Each campus will receive an information package when their environment is ready  We anticipate sending this package next week  You will have 3 weeks for user acceptance testing  The information package will include:  URL needed to access environment  Usernames  The usernames are the individual’s RF portal ID for UAT  The password will be the individual’s RF portal ID password  Campus effort reporting periods of performance  Test scenarios and testing summary document 10

11. Understanding the Environment 11 Oracle data from January 1 - August 31, 2012 File NameDefinition/What’s New Department FileThe campus organizational hierarchy. Sponsor FileDesignation of federal, nonfederal and nonsponsored award types. Award FileSponsored programs information, e.g., award names, start and end dates, award PI, cost share award information, etc. Voluntary uncommitted cost share awards are included in the nonsponsored section of the ecrt effort statement because regulations do not require it to be certified You cannot use the ecrt Look Up page to view awards that ended before the current date. Instead you will need to view those awards by opening the Department Dashboard for the department that “owns” the award Certifier FileInformation about SUNY and RF employees. Will include: SUNY and RF employees with an active assignment as of December 31, 2010 o Note: SUNY employees no longer at your campus will be in ecrt if you did not terminate their status E-mail addresses, actual department name/job title information entered as of August 31. RF portal IDs for SUNY and RF employees

12. Understanding the Environment 12 Oracle data from January 1 - August 31, 2012 File NameDefinition/What’s New Payroll FilePayroll data for the following employee types will be included: SUNY employees: Payroll data as of August 2012 RF employees: Payroll data as of August 24, 2012 Distribution adjustments made as of August 31, 2012 Commitment FileCommitted effort data for PIs, co-PIs and other key personnel. Any updates made in Oracle as of August 31 will be included

13. UAT Timeline 13 September 2012 SunMonTuesWedThursFriSat 1 2345678 9101112131415 16171819202122 23242526272829 30 October 2012 123456 78910111213 14151617181920 21222324252627 28293031  UAT  September 17 – October 5  Estimated timeframe  Pre-review activities  Week 1  Certification activities  Week 2  Post certification activities  Week 3  Weekly WebEx meetings:  September 19  September 26  October 3

14. E-mail Testing during UAT 14  E-mail testing will occur during the second half of UAT  How:  Controlled environment  Impact approximately five people at each campus  We will test all e-mail functionality during UAT  Start of certification  Reopening of an effort statement  On hold functionality  “Get Help” e-mails (from effort statement)  Sample certification e-mail will be sent to the project team for review  Can be customized by campus

15. PI Training 15  PI training curriculum:  Effort Reporting Essentials for PIs  Introduction to the Effort Reporting Electronic Tool  Will be changed based on today’s discussion  Certify My Effort  Certify My Effort and the Effort of My Staff  Both updated on project Web page to reflect new effort statement statuses  Campus feedback:  Content  Sufficient materials to meet your needs

16. Additional Training 16  Proxy certifier training curriculum  Certify Effort as a Proxy Certifier: Video in process  “How to” document  Administrator training curriculum  What do you need?

17. Summary  Minutes from this meeting will be posted on the Operational Excellence in Effort Reporting Web pageOperational Excellence in Effort Reporting Web page  Direct questions to: effort@rfsuny.orgeffort@rfsuny.org Anne Connolly Project Manager anne.connolly@rfsuny.org (518) 434-7240 17