FACET F aculty A ssignments C ommitments & E ffort Certification T racking

1. FACETFaculty 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

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.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) • Diana Key (dkey@fsu.edu)

27. References • OMB Circular A-21 • http://www.whitehouse.gov/omb/circulars_a021_2004/ • FSU Effort Commitment Policy • 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.pdf • Effort Commitment Data Entry in FACET • http://www.research.fsu.edu/contractsgrants/documents/effentry.pdf • FSU Cost Sharing Policy • http://www.research.fsu.edu/contractsgrants/costsharing.html • FSU Campus Cost Sharing Procedures • http://www.research.fsu.edu/contractsgrants/documents/csprocedures.pdf

28. Effort Certification

29. FACET Exempt Process

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 InstructionCategory 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

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

50. 1020/1021 Error: Payroll Distribution Percentage Cannot be Negative