1. FACET FACET Faculty Assignments Commitments & Effort Certification Tracking Understanding the Effort Certification Process in FACET Summer 2012 Certification Cycle FACET Department Support Staff Training

2. Today’s Topics Effort Reporting Overview – FACET Exempt Process – Effort Commitments – Effort Certification – Message Overview & Error Resolution FACET Non-Exempt Overview – FACET Non-Exempt Process – Effort Certification – Message Overview & Error Resolution FACET Support

3. EFFORT REPORTING OVERVIEW

4. Certification Report – Enter Effort Page 000099999 Ginger Gilligan

5. Effort Reporting Overview What is effort? – Amount of time spent on a particular activity (including cost shared time on a sponsored project) – Expressed as a percentage of the total amount (100%) of time spent on compensated work-related activities (instruction, research, service, administration, etc.) – Effort reporting (through FACET) is the official method of documenting to sponsors that the effort committed, charged, or cost shared was contributed

6. Effort Reporting Overview Why it matters… – Satisfy Federal requirements (OMB Circular A-21, J. 10) Supports that salaries charged are reasonable in relation to effort expended on sponsored projects Demonstrate compliance with effort commitments made to agencies – Demonstrate compliance with Florida’s 12-hour law through reporting to Board of Governors (s. 1012.945 Required number of classroom teaching hours for university faculty members, Florida Statutes)

7. Effort Reporting Overview Why it matters… – Consequences Institutional Sanctions: fines and penalties; debarment from participating in federally-funded research. Individual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research.

8. Inputs from Campus Systems FACET EX Employee Data Payroll Data Sponsored Project Data Course Schedule Master File

9. FACET EXEMPT PROCESS

10. Preparing for Certification Cycles Course Schedule Master Commitments on Projects Job Appointments Assignment of Responsibilities

11. Preparing for Exempt Certification Cycle Review data from Course Schedule Master File (CSM) – No instructor – Payroll/funding errors – especially with changes to Stimulus and Carry Forward funding – Instructional contact hours over 30 for a person – Error reports and verification reports are posted on the IR website at http://ir.fsu.edu Commitments – Review at appointment times/new assignment/new award received – Direct charged salary vs. cost shared – Key personnel changes Job records management and appointments – Courtesy appointments – Supervisor changes – Multiple job records

12. Preparing for Exempt Cycle-AORs

13. FACET Inquiry and Issue Resolution FACET Representatives – Initial point of contact for staff/faculty Institutional Research (IR) – General questions to facet@fsu.edufacet@fsu.edu Sponsored Research (SR) – Enter Case – Commitment Issues (SRS – Katie Fletcher) – SR Certification Errors (IR – Jaime Blue) Help sessions will be scheduled as needed

14. FACET Exempt Timelines SUMMER 2012 (Period Reporting Dates: 05/05/2012 – 08/06/2012) – CSM Updates Completed October 10, 2012 – FACET Opens for Certification October 22, 2012 – Department Deadline for Level 3 Completion October 26, 2012 – Employees’ Deadline for Report Certification November 1, 2012 – Alternate Path Reports Available November 1, 2012 – Supervisor (Optional) Deadline Report for Certification November 8, 2012 – Department Deadline for Level 5 Approval November 16, 2012 – Deadline for FACET Issue Resolution November 30, 2012 Reminder: Last day of classes for Summer 2012 term: August 10, 2012 Faculty appointment dates for term: May 7, 2012 – August 6, 2012

15. EFFORT COMMITMENTS

16. Effort Commitments in Proposals FSU defines a commitment as: “Quantified effort for named personnel whether direct charged or cost shared, as specified in the proposal or award.”

17. Key Personnel Definition: – FSU will follow the sponsoring agency’s definition of Key Personnel if one exists – If no agency definition exists, FSU will define Key Personnel as the PI and all Co-PIs identified as such in the proposal and/or award PI’s are encouraged to limit the number of key personnel identified in the proposal PI’s are encouraged to limit effort commitments that are not paid for by sponsor

18. Commitments in Proposals Effort commitments may be found in: Budget Forms Budget Justification Current and Pending Support Available Resources Section

19. Commitments After Award Progress Reports: – Reporting past activity should be consistent with certified effort report – Anticipated changes in effort commitments in future periods Change of key personnel (termination, retirement, etc.) Effect of no-cost time extensions on existing commitments

20. Commitment Entry Proposal and award are source Commitments entered for Key Personnel – Direct charged – Cost shared Commitments entered for non-Key Personnel that is cost shared Commitments entered in percentages (converting from dollars/other values) Commitment period(s) – Life of Project – Academic Year (Fall, Spring) – Summers Only Entry is only for the period during which funding is obligated

21. Commitment Adjustments Overall commitment may be adjusted due to: – Increase or reduction in funding and/or period of performance – Changes in scope of work – Voluntary reduction of effort at PI’s discretion if allowed by terms of the award [FACET would not be adjusted for a voluntary increase in overall commitment] As long as the Overall commitment is met, commitments allocated to individual periods may be moved to future periods depending on when the employee plans to do the actual work and availability of time

22. Viewing Commitments Navigation: OMNI > Human Resources > FACET > Project Data > Sponsored Commitments Search by: Project ID PI Emplid Project Department

23. Viewing Commitments Scroll to the right and click. Click to expand for details.

24. Viewing Commitments

25. Employee Commitments by Period

26. Changing a Commitment Request change to a commitment by – Submitting a case in CRM Category = FACET Specialty Type = Sponsored Commitments – Submitting an email Kaytee Fletcher (kfletcher@fsu.edu)kfletcher@fsu.edu Diana Key (dkey@fsu.edu)dkey@fsu.edu

27. References OMB Circular A-21 – http://www.whitehouse.gov/omb/circulars_a021_2004/ http://www.whitehouse.gov/omb/circulars_a021_2004/ FSU Effort Commitment Policy – http://www.research.fsu.edu/contractsgrants/documents/effcomm.pdf http://www.research.fsu.edu/contractsgrants/documents/effcomm.pdf Effort Commitments During No-Cost Extension Periods – http://www.research.fsu.edu/contractsgrants/documents/effort_nocost.pdfhttp://www.research.fsu.edu/contractsgrants/documents/effort_nocost.pdf Effort Commitment Data Entry in FACET – http://www.research.fsu.edu/contractsgrants/documents/effentry.pdf http://www.research.fsu.edu/contractsgrants/documents/effentry.pdf FSU Cost Sharing Policy – http://www.research.fsu.edu/contractsgrants/costsharing.html http://www.research.fsu.edu/contractsgrants/costsharing.html FSU Campus Cost Sharing Procedures – http://www.research.fsu.edu/contractsgrants/documents/csprocedures.pdf http://www.research.fsu.edu/contractsgrants/documents/csprocedures.pdf

28. EFFORT CERTIFICATION

29. FACET Exempt Process Level 1: ERPLevel 2: IR Level 3: FACET REP Level 4: Employee/KP Level 5: Review/Error Resolution Level 6: Final

30. Certification Report – Enter Effort Page 000099999 Ginger Gilligan

31. Effort Sections Displays effort categories (Show More Detail) Enter effort at the activity level Click for activity description

32. Effort Entry Each Empl Rcd must have 100% effort entered, whole numbers ONLY (no decimals) Department Representatives: You can only enter effort for records in your department Employees can enter effort on all their records Be alert to icons: Errors, Warnings, Information

33. Effort Entry Considerations Effort = Work on compensated activities –Instruction –Research/Creative Activity Sponsored activity whether sponsor paid or cost shared –Service –Leave of Absence/Sabbatical Departmental Research Effort Includes –SRAD/PI Support (Fund 550) Projects will not display on Enter Effort page –FSU Foundation (Fund 547) Projects will not display on Enter Effort page

34. Errors/Warnings/Information Messages Information Message Warning Message – allows move to next level Error Message – needs resolution prior to allowing move to next level

35. Instruction Section Displays courses – Instructor of Record – Data extracted from CSM Enter total effort at Instruction Category Level Automatically distributes to courses (Show More Detail)

36. Courses Funded by Sponsored Projects Courses can be funded by a grant if: –Award purpose is INS –Award purpose is RES or OSA and Course Section Type –Graduate Dissertation, Graduate Thesis or DIS and the work is directly related to the project OR The Instruction attribute has been added to the project –Instruction Allowed –Cost Share Instruction Allowed Requires cost share budget setup and appointment so that –Sponsored project funding source for course can be selected –Effort on grant funded course and effort on project combined for total effort on project

37. SR Compliance Federal guidelines recognize that activities that constitute effort are often difficult to separate Effort certification must rely on a reasonable estimate of effort, therefore, a degree of tolerance is appropriate If actual effort differs from payroll by < 5% of an employee’s total effort, it is acceptable to enter effort = to funded % –E.g. Payroll = 45% charged to sponsored project and Actual Effort = 47% okay to enter Actual Effort = 45% Effort % entered < funded % on sponsored projects –Requires payroll correction(s)

38. SR Compliance - NSF 2 Months Rule NSF will ONLY pay 2 months of a key faculty salary during an calendar year –Exception: more than 2 months included in proposal FSU’s year = Summer, Fall, Spring Based on hours –For a full FTE: (40*2)*26.1÷12*2=348 Hours Monitoring started with Summer 2010 term –Warning/Error message –SRAS Coordinators work with departments to resolve

39. SR Compliance - Over the Salary Cap Rule Certain agencies limit the amount they will reimburse for salaries (e.g. NIH, DJJ) Current NIH = $199,700 Salary level reviewed at appointment – OTC amount = Fund 556 – Funded from non sponsored source

40. Research/Creative Activity Section Enter effort for each project on Enter Effort page – If sponsored project not displayed will have to Add Project Can be done at Level 3 or 4 Project will display on Enter Effort Page if: – Commitment entered for academic term – Salary funded from project If PI/Co-PI on project and none of the above – Warning message at Level 3 – Warning message at Level 4

41. Warning/Error Message – PI/Co-PI Level 3 Level 4

42. Minimum Effort for Sponsored Projects Clarification by OMB re: minimum effort –“…most Federally-funded research programs should have some level of committed faculty (or senior researcher) effort, paid or unpaid by the Federal Government.” Exceptions Equipment/instrumentation grants Doctoral dissertation support Student augmentation program > 0% over the life of the award

43. A-21 Page Overview Effort entered on previous page “transfers” to A-21 page Displays/compares commitments, funding, entered effort System automatically allocates to: – Direct Charge Salary – Committed Cost Sharing – Over the Salary Cap – Uncommitted Cost Sharing

44. A-21 Page 000099999 Ginger Gilligan

45. Changes to Certified Effort Report Certified effort reports assert that the information represented is to the best of the certifier’s knowledge, accurate and complete Changes to previously certified effort erode the credibility of the certifier as well as the entire effort certification process In the FACET systems, retroactive funding adjustments will trigger the need to re-certify an affected effort report

46. Denying Certified Effort Reports Reports at level 5 are official and legal documents Deny Reports back from level 5

47. MESSAGE OVERVIEW & ERROR RESOLUTION

48. FACET Exempt Errors & Resolutions Error Number Error NameResolution NotesError Support Staff 1020Payroll Distribution Percentage Cannot be Negative A payroll correction may need to be processed. Contact: Jaime Blue 1021Payroll distribution percentage cannot be negative A Warning for the E/KP as they are expected to enter their actual effort. The Dept Rep is responsible for making any payroll correction(s) required as a result of effort entered. Contact: Jaime Blue

49. 1020/1021 Error: Payroll Distribution Percentage Cannot be Negative

51. FACET Exempt Errors & Resolutions Error Number Error NameResolution NotesError Support Staff 1030Effort not sufficient to meet Pay Distribution A warning for the E/KP since they are expected to enter their actual effort. The FACET rep is responsible for any payroll correction(s) required as a result of effort entered. Contact: SRAS Dept Coordinator or Jaime Blue 1040Effort entered not sufficient to cover required over the salary cap cost share A payroll correction needs to be processed to allocate OTC amount – requires cost share budget. SRAS Dept Coordinator Note: 1030 Error may fire when there’s been a change in the project purpose code, resulting in effort not filtering through to A21 page.

52. 1030 Error: Effort not sufficient to meet Pay Distribution

54. Denying Certified Effort Reports Reports at level 5 are official and legal documents Deny Reports back from level 5

55. Payroll Cost Transfers Guidelines on RDFs –Moving salary off of sponsored project onto non sponsored funding source – APPROVE –Moving salary between or onto projects reallocating original ePAF distribution – APPROVE (in most cases) –All other situations – CASE BY CASE

56. FACET Exempt Errors & Resolutions Error Number Error NameResolution NotesError Support Staff 1050Pay occurs on this project prior to the project start date Error also triggered when an RDFF affects the pay period that includes the project start date. Contact SRS if you feel the start date is not correct 1060Pay occurs on this project after the project end date Error also triggered when a personnel appointment (including RDF) affects the pay period that includes the project end date. Contact: Jaime Blue

57. 1050/1060 Error: Pay occurs on project prior to project start date or after the end date

59. 1050/1060 Error: Pay occurs on project prior to project start date/after the end date

61. FACET Exempt Errors & Resolutions Warning Number Warning NameResolution NotesError Support Staff 1110More than 2-months salary has been charged to an NSF project SRAS staff may contact department reps to discuss resolution approach. Contact: Jaime Blue

62. FACET Exempt Errors & Resolutions Error Number Error NameResolution NotesError Support Staff 1120Effort entered is less than commitment Contact SRS to correct/adjust commitment in future periods SRS FACET Support: Kaytee Fletcher or Diana Key

63. 1120 Error Example

64. FACET Dept Rep Role(s) Required

65. General Information Department Search (multi-rows) Saving Searches Activity Category Descriptions Terminations – Available for 18 months after leave FSU; do not forget OMNI User ID and password

67. FACET NON-EXEMPT OVERVIEW

68. FACET Non-Exempt Report Main Page

69. Non-Exempt Reporting Overview What is effort? Effort is the amount of time spent on a particular activity, whether directly charged to a project or cost-shared. Effort for Non-Exempt employees is expressed as the number of hours spent on project/grant compensated work.

70. Non-Exempt Reporting Overview What is the difference between FACET Exempt and FACET Non-Exempt certifications? Reporting hours not percentages 1 hour tolerance at header level Reports rely on timely timesheet submissions Reports are certified monthly

71. Non-Exempt Reporting Overview Why it matters… – Satisfy Federal requirements (OMB Circular A-21, J.10) Support salaries charged and effort expended on sponsored projects

72. Non-Exempt Reporting Overview Why it matters… – Consequences Institutional Sanctions: fines and penalties; debarment from participating in federally-funded research. Individual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research.

73. Non-Exempt Reporting Overview All project related effort will be reported at the project level and the “category” of the effort driven by project purpose (RES, INS, or OSA). The other reporting categories will only apply to non-sponsored funding. Jobs with non-sponsored funding excluded. No report generated if funded from SRAD.

74. Inputs from Campus Systems FACET NX Employee Data Payroll Data Sponsored Project Data

75. FACET Non-Exempt Main Page

76. A-21 View Page Overview Effort entered on previous page “transfers” to A-21 View page Displays/compares funded hours & entered hours System automatically allocates to: – Direct Charge Salary – Over the Salary Cap – Uncommitted Cost Sharing 76

77. Non-Exempt FACET A21 View Page

78. FACET Non-Exempt Payroll Details

79. FACET Non-Exempt Process Level 1: ERPLevel 2: IR Level 3: NX REP Level 4: Employee/KP Level 5: NX Rep (Error Resolution) Level 6: IR/Final

80. FACET Non-Exempt Workflow Level 1: ERPLevel 2: IR Level 3: NX REP Level 4: Employee/KP Level 5: NX Rep Level 6: IR/Final Error(s)

81. FACET Dept Rep Role(s) Required

82. Errors/Warnings/Information Messages Information Message Warning Message – allows move to next level Error Message – needs resolution prior to allowing move to next level

83. FACET Non-Exempt Errors & Resolutions Error Number Error MessageResolution Notes 1022Salary paid on funding source with no hours associated Review payroll records to determine if this error is due to a One-time pay transaction. 1031Effort Hours entered are not sufficient to cover funded hours Entered effort must cover the funded hours. 1032Effort Hours entered exceed funded hours Review payroll records and timesheets to determine if a timesheet has not been processed.

84. FACET Non-Exempt Errors & Resolutions Error Number Error MessageResolution Notes 1140The project is not 'sponsored’Enter effort in the 'Other Non-Sponsored Activities' Section 1180Effort must be entered as whole numbers Enter effort in whole numbers.

85. Changes to Certified Effort Report Certified effort reports assert that the information represented is to the best of the certifier’s knowledge, accurate and complete Changes to previously certified effort erode the credibility of the certifier as well as the entire effort certification process In the FACET systems, retroactive funding adjustments will trigger the need to re-certify the affected effort report

86. Concerns Timeliness of certification is extremely important! Non-Exempt Employees not having user ID’s Payroll corrections effecting prior reporting periods Reporting periods

87. NX Issues Timesheet submission per HR deadlines –> 90 days past due Cost Transfer standards will be applied Multiple jobs in different departments –Reps need to coordinate Non-timely certifications –Charges will have to be moved off of project!! Supervisor changes / Employee Turnover –Be proactive

88. Payroll Cost Transfers Guidelines on RDFs –Moving salary off of sponsored project onto non sponsored funding source – APPROVE –Moving salary between or onto projects reallocating original ePAF distribution – APPROVE (in most cases) –All other situations – CASE BY CASE

89. FACET Dept Team FACET Exempt Rep FACET Non-Exempt Rep Time/Labor Person Grants Compliance Person Appointment Person

90. FACET Support Queries Queries available – Commitments = FSU_ER_SRS_CURRENT_COMMITMENTS – Reports with errors = FSU_ER_SRAS_DEPT_ERROR_SUMMARY – Employee hours worked and earnings information = FSU_ER_DAILY_EARNS – Identify FACET department reps by Department = FSU_ER_FACET_DEPT_REP_LIST

91. FACET Support CRM-Cases (Essential info: Empl ID# & Reporting period) – Category = FACET – Specialty Type Effort Certification-Exempt Sponsored Commitments (Commitment issues) Non-Exempt

92. FACET Support Web resources – IR FACET page (http://www.ir.fsu.edu/pars.cfm?ID=er_intro)http://www.ir.fsu.edu/pars.cfm?ID=er_intro – OMNI FACET training site (http://omni.training.fsu.edu/OMNI-FACET)http://omni.training.fsu.edu/OMNI-FACET – SR Training site (http://www.research.fsu.edu/contractsgrants/wor kshops.html)http://www.research.fsu.edu/contractsgrants/wor kshops.html

93. Contacts & Help Links Institutional ResearchPhoneEmail IR-FACET ContactN/Afacet@fsu.edu Rick Burnette644-1532rburnette@admin.fsu.edu Jaime Blue644-1417jblue@admin.fsu.edu Mev Verzaal645-0285mverzaal@admin.fsu.edu Jay Gelin645-7474jgelin@admin.fsu.edu Sponsored Research ServicesPhoneEmail Diana Key644-8648dkey@admin.fsu.edu Kaytee Fletcher645-1947kfletcher@admin.fsu.edu