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RSA Town Hall


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Title: RSA Town Hall

RSA Town Hall
  • Thursday, August 11, 2011
  • 900-1100 PM
  • Parnassus Campus, HSW-300 w/ a live broadcast to
    Genentech Byers Auditorium at Mission Bay Room
    201 at the Fresno Campus

  • EMF Organizational Changes Susan Lin
  • Effort Reporting Training Debbie Caulfield
  • Research Management and Contracts Grants
    Recruitment Process John Radkowski

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Effort ReportingTrainingDebbie Caulfield,
Compliance Manager
Controllers Office
Typical Effort Reporting Process
How can we achieve 100 compliance?
  • First, you must understand your role

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What is a reasonable estimate of effort?
  • Sponsors recognize the activities that constitute
    effort are often difficult to separate. Effort
    certification must rely on a reasonable estimate
    of effort, and when estimating, a degree of
    tolerance (at UC, up to 5) is appropriate.
  • It would be reasonable for a faculty member who
    was awarded and expended 40 effort on a grant to
    sign an effort report stating 35 payroll support
    for that grant.
  • It would not be reasonable for a full-time
    faculty member who works 2 days a week in a
    clinic to certify that she worked 95 on
    sponsored research.

How Precise Does My Stated Effort Have to Be?
  • UCOP policy states that Effort Reports at UC may
    be completed with a preciseness tolerance of
    /-5 per activity. If 32 of the salary was
    charged to the grant then the report can be
    certified at 32 as long as the actual effort was
    anywhere between 27-37.

July 20, 2011 Memo to Campus
  • The following activities must be paid from
    sources other than sponsor funds unless they are
    specifically approved activities of a sponsored
  • teaching
  • clinical and professional activities such as
    seeing patients outside of the context of a
    sponsored human subject study, patient
    consultation, patient care, etc.
  • university and public service (University service
    includes institutional governance, service on
    institutional committees, and department
    administrative activities)
  • preparation of new or competing proposals (unless
    current funding allows it, such as a K award)

July 20, 2011 Memo to Campus contd
  • faculty in the In Residence series must have at
    least 5 effort from a non-contract or grant
  • faculty in the Adjunct series must have at least
    5 effort from a non-contract or grant source in
    any quarter in which he/she submits a proposal.

How do I report effort if I am only appointed at
  • An individual must report effort on 100 of a
    professional appointment, in this case, 100 of
  • Therefore, if an individual was appointed at 50,
    he/she is reporting on 100 of this 50

Appointment/ Total University Paid Effort Salary per Six-Month Reporting Period Effort on Fed Effort on non-Fed Amount Charged on Fed Amount Charged on non-Fed
100 50,000 95 5 47,500 2,500
50 25,000 95 5 23,750 1,250
What activities are included in the calculation
of total University effort?
  • Externally sponsored research including
    activities such as delivering special lectures
    about specific aspects of the ongoing sponsored
    project, writing reports and articles,
    participating in appropriate seminars, consulting
    with colleagues and graduate students, and
    attending meetings and conferences.
  • Departmental/University research including
    uncompensated participation in study sections,
    peer review of manuscripts, or unfunded effort on
    externally sponsored research.

Activities included, continued.
  • Instruction/University Supported Academic Effort
    including presentations to student/trainee
    groups, mentoring trainees (unless specifically
    part of a sponsored project), and participation
    in resident training.
  • Clinical Service Effort including activities
    for Universitys Faculty Compensations Plan
    other affiliated Hospitals.
  • Administrative Effort including administrative
    activities, (e.g. Department Chair, Program
    Director, service on institutional committees).

What Activities are Outside of Total University
  • Consulting and other outside compensated
    professional work including service on Scientific
    Advisory boards or similar boards.
  • Volunteer (individual community or public
    service), other activities over and above or
    separate from assigned responsibilities in the
    primary position, including serving as primary
    editor of a journal.
  • Veterans Administration Hospital compensated
    activities documented in a Memorandum of
    Understanding (MOU) even if paid through
    Universitys payroll system.

How Often do we Certify Effort Reports?
Academic Non-Academic Semiannual Reporting Period Adjustment Period ERS Availability ERS Certification Deadline
1st Semiannual Period (January 1 June 30) July-August September 1 October 31
2nd Semiannual Period (July 1-December 31) January-February March 1 April 30
Case Study Typical Effort Situation A
  • From January through June 2010, Dr. Smith
  • Estimates that, on average, he worked the
  • Half of his institutional time on funded research
  • Roughly 10 on Dr. McGees grant C but with no
    salary support (committed cost sharing)
  • The rest of his time on research projects was
    spent evenly between Grants A and B
  • The remainder of his institutional time was spent
    on the following types of activities
  • New research areas
  • Proposal development
  • Administration
  • Teaching

Case Study Typical Effort Situation A (contd)
  • What would be a reasonable estimate of effort for
    Dr. Smith on his effort report?
  • Activity Effort
  • Sponsored Activities
  • Grant A ________
  • Grant B ________
  • Grant C ________
  • Sub-Total Sponsored ________
  • University Activities ________
  • (teaching, administration, etc.)
  • Total ________

Case Study Typical Effort Situation A (contd)
  • Effort Report for Dr. Smith
  • Activity Effort
  • Sponsored Activities
  • Grant A __20__
  • Grant B __20__
  • Grant C __10__
  • Sub-Total Sponsored __50___
  • University Activities __50___
  • (teaching, administration, etc.)
  • Total __100_____

For Faculty members, do annual progress reports
count as proposals or only new competing grant
proposals on which the faculty member is the
PI?Also, do subcontract proposals where the
potential funder is an NIH institute count as
proposals ?
  • The rule applies to the preparation of new or
    competing proposals only. This would include the
    submission of subcontract proposals.

Effort Reporting Resources http//controller.ucs
Goal Complete 100 effort reportON TIME,
October 31
  • September 1, first notification to PIs and depts.
  • Effort Reporting Coordinators Responsibility
  • Run Open reports
  • Contact and follow up with PIs and
  • Get assistance from EMF Compliance Unit
  • 10 days prior to October 31st , second
    notification to PIs.
  • EMF Escalation process
  • Effort Reporting Coordinators
  • MSOs
  • Control Points
  • Department Chair or Director for resolution
  • Dean
  • Vice Chancellor of Research and/or
    Provost/Executive Vice Chancellor

ERS Case Studies
  • Certified/Adjusted Status
  • Certified/Adjusted Status /- 5 of Original
  • Negative Original Payroll

Certified/Adjusted Status
ERS Case Studies contd
  • 1) Check under the Comment Log tab in the ERS
    Report that a payroll transfer was done.
  • Comment for Version 2.1
  • 08/27/08 1004 PM by Late Pay Job
  • Payroll activity received after initial report
  • 2) Run DPE to verify original payroll is
    correct after DPE charged to fund.
  • 3) Have PI re-open effort report, change adjusted
    to match the original payroll and re-certify.
  • 4) Status will simply change to Certified.

Certified/Adjusted Status /- 5 of Original
Certified/Adjusted Status /- 5 of Original
  • 1) UCOP policy states that Effort Reports at UC
    may be completed with a preciseness tolerance of
    /-5 per activity.2) /-5 per activity
    means if you run the funds DPE, the /-5 is
    compared to original payroll . 3) If the
    adjusted payroll is changed, EMF compliance
    will expect a PET.

Negative Original Payroll
1) Run DPE report for fund with negative payroll
Negative Original Payroll
  • 2) In DPE, April 2010 salary received duplicate
    credit creating negative original in ERS
    Report.3) Payroll transfer must be completed to
    clear duplicate credit and correct negative
    original in ERS report.4) If fund ended, need
    to request to lift stop code on fund.5) When
    payroll transfer is complete, FSR needs re-filing.

Research Management and Contracts Grants
Recruitment Process John Radkowski, Director of
Contracts and Grants
  • The Research Management Services organization
  • Implementation Timeline
  • Phase IA Update
  • Recruitment Process

Advisory Board is comprised of department
Managers and Chairs
Sample Team Structure in RMS
Each team will have approximately 6-8 RSCs and 2
Associate RSCs
Implementation Timeline
Phase Date Teams
IA August 15, 2011 IA
IB December, 2011 E, F and part of D
II April 2012 C, G, H and part of D
III August 2012 A, B, I and J
Find a list of departments in each team here
put link to Team list Phase IA team members
will seed future teams.
Phase IA Update
  • Consists of 12 Departments representing all four
  • Phase IA Team
  • Team Manager, 11 RSCs and 2 Associate RSCs
  • In addition to providing full pre-award services
    for the12 departments, the Team also will provide
    backfill support to other departments in need.
  • Training program participation from July 15- Aug
  • Will begin providing service to faculty on Aug 15
  • Located at Laurel Heights

Recruitment Timeline
Position Timing
Contracts Grants Contracts Grants
1 CG Director Open job posting July 22 August 5 Interviews week of August 8
2 CG Managers Open job posting August 12 August 26 Interview dates TBD
7 CG Specialists Open job posting Post August 15 August 29 Interview dates TBD
6 CG Associates Open job posting August 15 August 29 Interview dates TBD
Research Management Services Research Management Services
9 Team Managers Open job posting August 12 August 26 Interviews beginning week of August 29
51 Research Service Coordinators (RSC) Open job posting August 15- TBD Interviews beginning mid-September
17 Associate RSCs Open job posting August 15- TBD Interviews beginning mid-September
OE Pre-Award Positions
  • Transitioning to a specialized unit responsible
    for review, negotiation and execution of unique
    and/or complex proposals, awards and business
    contracts, issuance of subcontracts, policy
    development analysis and communication, data
    collection and reporting, electronic research
    administration systems, and pre-award training.

OE Pre-Award Positions
  • 2 CG Managers - MSP2 Level1 Manager
    responsible for award negotiation and award
  • 1 Manager responsible for sub-awards, limited
    submission, RAP Program, policy, communications
    and website content.
  • 7 CG Specialists Analyst 5Unique awards
    including Federal contracts, State, City/ County,
    TAAs, Pro-Fee, complex non-profits. May involve
    proposal support. Reports to CG Manager
  • 6 CG Associates Analyst 23 Tracks, sub-award,
    award-set-up, and award intake and support.

OE Pre-Award Positions
Position Level
Team Manager MSP 2
  • Key elements of the Team Manager position
  • Expert in pre-award research administration
  • Responsible for
  • the day to day management of the team
  • quality of service delivered
  • workload distribution, faculty assignments
  • team building
  • Reports to the Cluster Director

OE Pre-Award Positions
Position Level
Research Services Coordinator (RSC) Analyst 4/5 Level increases to Analyst 5 with Certification
  • Key elements of the RSC position
  • Expertise in pre-award research administration
  • Assigned to a specific number of faculty to
    provide support for proposal submissions, post
    award correspondence with sponsors, sponsor
  • Through rigorous training, have opportunity to be
    certified and obtain signature authority
  • Member of a team housed together, provide back-up
    and pooled knowledge base
  • Reports to the Team Manager

OE Pre-Award Positions
Position Level
Associate RSC Analyst 2
  • Key elements of the Associate RSC position
  • Supports 6-8 RSCs and 1 Team Manager
  • Independently gathers and follows up on proposal
    preparation materials
  • Develops preliminary budget information
  • Monitors award, report and proposal milestones
  • Proactively manages electronic document
  • Reports to the Team Manager

Applying for Positions
  • Internally recruiting now for all CG and RMS
  • Recruitment is open to all UCSF career employees
  • Apply on the internal job postings website at
  • When you apply, indicate your team preferences
  • Apply early for all positions of interest
  • Team Manager interviews will begin week of August
  • RSC and Associate RSC postings will be kept open
    until Team Managers are selected

Interview Process
  • Resumes screened for qualification
  • Qualified candidates interviewed by panel
    composed of upcoming team representation
  • References current and past supervisors
  • Personnel files reviewed
  • Offer letters issued
  • Note Process will move quickly be prepared to
    respond quickly!

When do I start in my new position?
  • CG Positions
  • The start dates for the CG positions will be
    determined after selections have been made.
  • Research Management Services
  • Successful candidates for RMS will be selected
    and assigned to a team taking into account stated
  • Training begins approximately 4 weeks before
    start date of Phase
  • During the training period, RSCs and Associate
    RSCs work 50 time in current department and 50
    in training.
  • Team Managers will start full-time approximately
    5 weeks before start of their Phase

  • For More Information
  • http//

  • Thank You

Controllers Office