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Salary Planning

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Salary Planning & Effort Reporting . January 24, 2012. Northwestern University Feinberg School of Medicine – PowerPoint PPT presentation

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Title: Salary Planning


1
Salary Planning Effort Reporting
  • January 24, 2012

2
What you will expect today
  • Part I Salary Planning and Distribution
  • Introduction and principles
  • Planning for 12-month appointments
  • Planning for 9-month appointments
  • Part II Effort Reporting
  • Introduction and principles
  • Effort Certification and commitment

3
Part I Presentation Overview
  • Introduction and Principles
    Eric Boberg
  • Putting Principles to Practice
  • in 12-month appointments
    Michelle Grana
  • Planning for 9-month appointments
  • and Impact of Practice
    Marsha McClellan

4
Principals of Salary Planning
  • Eric Boberg, PhD
  • Executive Director for Research

5
  •  
  • Get it right the first time Cause that's the
    main thing Can't afford to let it pass Get it
    right the next time That's not the same thing
  • Its much, MUCH Harder!
  • With apologies to Billy Joel

6
Measure Twice, Cut Once
  • Planning begins with pre-award budget
  • Adjust/finalize plan with awarded budget
  • When planning well, effort reporting is simple
    and seamless

7
Principles Policies
From NIH Grants Policy Statement (10/10) Salary
and wage amounts charged to grant-supported
projects for personal services must be based on
an adequate payroll distribution system that
documents such distribution in accordance with
applicable Federal Cost Principles and
consistently applied institutional policy and
practices.
8
Key Principles
  • Salary tracks with effort, but is not always
    equivalent
  • Institutional base salary (and effort) includes
    both NU and NMFF
  • Cost sharing (including over the cap salary) must
    come from non-sponsored source
  • Identify cost-sharing sources early

9
Key Principles
  • A PIs career is NOT all one big project effort
    must be allocated to specific projects/activities
  • Not all faculty activities can come from
    extramural funding
  • Instruction
  • Administration
  • Grant writing (usually)
  • No PI should ever be 100 funded

10
Key Principles
  • When things go wrong
  • You cant just use up the money
  • Salary changes need scientific justification
  • Review systems may be frustrating, but they are
    there to ensure compliance

11
Putting Principles to Practice
  • Michelle Grana
  • Buehler Center on Aging, Health and Society

12
Putting Principles to Practice
  • Pre-award planning
  • Post-award planning
  • Dual appointments
  • Cost sharing
  • Practical solutions

13
Putting Principles to Practice
  • Pre-award Planning Consider proposed commitment
  • Other support
  • Other commitments
  • clinical, teaching, administrative, external
    commitments (VA)

14
Putting Principles to Practice
  • Post-award Planning
  • Consider proposed commitment (again)
  • Consider any changes from pre-award budget
  • Reduced award?
  • Change in personnel?
  • Change in start date?
  • Change in salary?

15
  • A PI is funded for a new award from the NIH.
    Through routine budget cutbacks, the NIH has
    reduced the award by 30. The PI has insisted he
    can still meet the all of the study aims within
    the reduced award budget.
  • Do you need to do anything?
  • What is the research administrators role in
    advising PIs of appropriate steps?

16
Further complications
  • Dual (NUNMFF)
  • appointments
  • Cost Sharing

17
NU NMFF Appointments
  • NU NMFF Base Salary
  • Institutional base salary represents the combined
    salary from both NU and NMFF
  • Paid by NU under common paymaster
  • Number of person months represents NU effort in
    relation to professional effort encompassed by
    the dual NU and NMFF appointments

18
NU NMFF Appointments
  • NMFF appointment is based on clinical
    commitment
  • Faculty appointment letter other documentation
    of clinical commitment (clinic notes, clinical
    billing)
  • 2 half-days clinic 20 NMFF appointment

18
19
NU NMFF Appointments
  • NU appointment represents total effort
    available for research, teaching, administrative
    duties
  • NMFF salary represents compensation for clinical
    activities and may NOT be used in payroll
    distribution to support cost sharing on grants

20
Cost Sharing
  • Cost sharing occurs when a cost specifically
    benefits a sponsored project but is not charged
    to that project.
  • Can be mandatory (matching funds) or voluntary
    (NIH cap gap)
  • Most common type of cost sharing on the Chicago
    campus is the NIH statutory cap and the salary
    limitation on NIH career (K) awards

21
Voluntary Committed Cost Sharing Cap Gap
  • NIH statutory cap - tied to Executive Level II of
    the Federal Executive Pay scale
  • K-award salary cap - typically limited to only
    75K allowable salary recovery (for min. 75
    effort)
  • Commitments must be met and tracked for sponsor
    verification in the University's records. (Use
    your 192s!)

22
Practical Solutions
  • Worksheets for 12-month and 9-month appointments
    available at ASRSP website
  • Plan faculty salary distribution among grant and
    non-grant chart strings
  • Track cost sharing commitments
  • Track effort commitments on sponsored projects

23
12-Month Tool
  • Includes instruction sheet
  • Unprotected Excel worksheet edit to fit needs
  • Summarizes effort _at_ end of each quarter
  • Provides guidance on NU salary based on NMFF
    appointment

24
Instructions - Use
  • Complete specific instructions available in excel
    file
  • Organized by three chart string categories
  • Sponsored projects
  • Non-sponsored chart strings
  • Associated cost sharing chart strings

24
25
Features of the Tool
  • Worksheet auto-calculates monthly NMFF salary
  • Worksheet auto-calculates monthly NU salary
    based on committed effort
  • Worksheet auto-calculates and tracks effort
    reporting and cost sharing
  • Math checks built in (TRUE) track monthly
    totals and also to confirm base salary cost
    share committed effort

25
26
12-Month Tool
27
12-Month Tool
28
12-Month Tool
29
12-Month Tool
30
12-Month Tool
31
Summary Pages
  • Provides for both quarterly and annual summaries
  • Tracks annualized effort based on number of award
    months in fiscal year
  • Use for department budget projections
  • Use for projecting future sponsored awards
  • Auto-calculates difference between annualized
    effort and committed effort

31
32
Year-end summary
32
33
Sample Questions
  • PIs often add effort/salary for employees if
    they see there is money left. Is this just a
    matter of continually informing them that they
    are not to escalate expenses near the end of a
    grant or is there something else we can use to
    encourage them not to follow this practice?
    Also, this is often retroactive which involves
    90-day letters.

34
Locating the answers
  • COME TO THE EXPENSE MONITORING SESSION ON
    TUESDAY, FEBRUARY 7TH FROM 1PM-4PM
  • Meet with PIs regularly regarding budget balance
    and projections
  • Monitor funds so that there is not a large
    balance or deficit at the end of the project
  • Know what the non-salary funds are planned to be
    used for
  • If the budget changes from what was planned
    pre-award, alert your PI that you need to revise
    the planned projections for the account (ie. S/he
    decides not to hire a support staff or it doesnt
    happen until 6 months into the project. Is this
    rebudgeting allowable? How will it be
    accomplished?

35
12-Month Planning Summary
  • When?
  • Pre-award
  • Post-award
  • Special considerations?
  • Dual appointments
  • Cost sharing
  • How?
  • Practical solutions

36
Planning for 9-month appointments and Impact of
Planning
  • Marsha McClellan
  • Director of Financial Management

37
9-month Faculty
  • Appointment Ph.Ds
  • Investigator track/Tenure eligible
  • 9-month base salary
  • Salary cap
  • Research quarter

38
9-month Base
  • 9-month base is guaranteed
  • Faculty monthly earnings is 1/9th of base
  • Faculty monthly pay is 1/12th of base

39
9-month Base
  • To determine salary charged to grants, two pieces
    of information are needed
  • Academic year effort (AY)
  • Summer month effort (SM)
  • 9-month base charged directly in FASIS
  • FASIS will allow up to 75 of monthly earnings to
    be directly charged in a given month.
  • Effort in excess of 75 is charged outside of
    FASIS via a salary distribution adjustment (SDA).

40
9-month Base
  • To calculate the dollar amount charged to grants
    each month, two pieces of data are used.
  • Monthly earnings (1/9th)
  • Academic year effort (AY)
  • To calculate the percent entered in FASIS
    deployment, two pieces of data are used.
  • The dollar amount calculated above
  • Monthly pay (1/12th)

41
Salary Cap
  • NIH Cap limits the amount of salary that can be
    charged to federal awards (179,700 or 14,975
    per month).
  • To calculate the dollar amount charged to grants
    when Cap is in play, two pieces of data are used.
  • Monthly cap (14,975)
  • Academic year effort (AY)

42
Salary Cap
  • To calculate the percent entered in FASIS
    deployment when Cap is in play, two pieces of
    data are used.
  • The dollar amount calculated above
  • Monthly pay (1/12th)
  • Salary in excess of NIH Cap is cost shared on a
    192 fund. Some non-federal sponsors also use the
    NIH Cap to limit the amount of salary charged
    (e.g. JDRF)
  • Other salary restrictions may apply to
    non-federal awards. For example, a sponsor may
    require a minimum of 15 effort to charge salary.
    Effort less than 15 must be cost shared.

43
9 Month Salary Calculation Template
References and Templates www.northwestern.edu/cos
tstudies/effort.html Click here to proceed
(Northwestern Net Id and Password are required to
access this page).
44
Research Quarter
  • Research quarter payments are made using the
    Summer/Research Quarter Salary Request Form.
  • To calculate the dollar amount charged to grants,
    two pieces of data are used.
  • Monthly earnings (1/9th) or monthly cap
  • Summer month effort (SM)

45
Forms-Where Do I get Them?
  • Summer Salary Forms Found under Human Resources-
    Payroll-Administrators Payroll Payment forms
    website http//www.northwestern.edu/hr/payroll/ad
    ministratorpayments.html.
  • Also under Med Finances website
  • SDA Forms-Salary Direct Charging form for 9 month
    faculty- HR website http//www.northwestern.edu/hr
    /payroll/administratorinfo.html, under Forms

46
Pseudo 12 Month Appts.
  • Faculty with 9-month appointments can be treated
    as if they have 12-month appointments in FASIS
    and grant applications if the department
    GUARANTEES full 12-month salary for a defined
    period of time.
  • Allows you to use 12-month salary in grant
    applications.
  • Simplifies Effort Reporting.
  • Can be done with both tenured and tenure-eligible
    faculty.
  • Must pay full 12-month salary regardless of grant
    funding.

47
Cost Transfers
  • What is a cost transfer?
  • A cost transfer is the assignment of an expense
    or expenditure (charge) to a federally or
    non-federally funded account that was initially
    recorded in another account.
  • A-21 regulations any costs allocable to a
    particular sponsored agreement under the
    standards provided in this Circular may not be
    shifted to other sponsored agreements in order to
    meet deficiencies caused by overruns or other
    fund considerations, to avoid restrictions
    imposed by law or by terms of the sponsored
    agreement, or for other reasons of convenience.

48
Transfers That Increase Audit Risk
  • Red Flags
  • Transfers in the last month of the award or after
    the award has ended
  • Transfers of costs in round numbers
  • Transfers without a full detailed explanation
  • Transfer to or between sponsored projects

49
Cost Transfers Policies Procedures
  • Cost transfers over 1 year from the original
    transaction date will not be accepted unless
    it benefits the sponsor (credits the sponsored
    projects).
  • Cost transfers must be supported by timely
    certified effort reports. If the certification is
    over 6 months delinquent past the last date of
    the reporting period, the cost transfer may not
    be accepted.
  • 3. Certified effort must be greater than or
    equal to the salary charged to the same sponsored
    project per effort reporting period. To review
    the certified but not charged (cost sharing)
    amounts, refer to the Cost Sharing report via ERS
    -gt CERT -gt Reporting.

50
Cost Transfers Policies Procedures-Cont.
  • Submit the 90-day justification memo with
    complete responses to the questions and
    appropriate signatures. Copies of certified
    effort reports need to be attached to the 90-day
    justification for the Deans office review.
  • 5. Complete the SDA or 90-day journal with
    appropriate signatures.

51
Where Are My 90 Day Journals?
  • 90 day salary journals take time to get
    processed.
  • They require at least 3 to 4 approvals before
    arriving at Payroll.
  • What approvals are required?
  • What is the approval workflow for 90 day
    journals?

52
90 Day Payroll Journal Approval Workflow
53
The Perfect 90 Day Journal
  • Never having to do a 90 day journal is the
    perfect journal!
  • To avoid 90 day salary journals, set up
    pre-spending chart strings.
  • If a salary cost transfer is required make sure
    that the journals are completed correctly and
    have all supporting documentation.

54
90 Day Justification Memo
  • Examples of answers to the 90 day memo questions
    that you should never use
  • I needed to have the expenses match the grant
    budget.
  • Needed to park the expenses somewhere.
  • Wanted to use up all the money.Really????

55
Poor Planning Loss
  • Waiting too long to submit 90 day salary
    journals-not approved because they are too old.
  • The grant closed and a final invoice has been
    submitted- Cant spend the remaining balance.
  • Grant is overcharged and must be covered by
    non-sponsored dollars.
  • Make sure that the salary expenses that are to be
    cost shared are charged to a 192 chart string-do
    not put them on a regular non-sponsored chart
    string.
  • Be proactive instead of reactive.

56
References
  • Effort Reporting 90-day Cost Transfer Checklist
  • http//www.northwestern.edu/asrsp/docs/Effort_c
    hecklist.pdf
  • ORI Training Materials (including Effort
    Reporting 101) Download
  • http//www.research.northwestern.edu/guide/trai
    ning
  • (Click on Research Administration Training
    Seminar Materials)
  • Effort Reporting System (ERS) Logon Page
  • https//ersweb.itcs.northwestern.edu/GenericERS
  • Note URLs are case-sensitive

57
Break/Questions
57
58
Part II Effort Reporting
59
Part II Presentation Overview
  • Why does effort reporting
    take so much
    effort? Eric Boberg
  • Effort Certification Commitment
    FSM Workshop
    Jennifer Wei

60
Why do we care about effort?
  • Required by Federal regulation
  • OMB Circular A-21, section J.10
    http//www.whitehouse.gov/omb/circulars_a021_2004
    j
  • Documents that effort commitments have been met
  • Paid effort
  • Mandatory and voluntary committed cost share
  • Provides support for salary charged to grants
    contracts
  • Labor 75 of direct research costs

61
Why is Effort Reporting Especially Tough in
Medical Schools?
  • No timesheets
  • Inconsistent of hours
  • Varying schedules
  • Differing relationships between university,
    practice plan, VA, etc.
  • Research and clinical care can overlap
  • Many faculty dont really care!

62
What is 100 effort?
  • It is the individual faculty members effort
    required to meet the contracted obligations.
  • Usually described in appointment letter
  • Delineates allocation of time

STUDY SECTIONS
TEACHING
CLINIC
RESEARCH
ADMIN
SERVICE
OUTSIDE CONSULTING
GRANT WRITING
63
Institutional Base Salary (IBS)
  • Annual compensation
  • Paid appointment(s) including NU, NMFF,
    chair/center director
  • Additional Points about IBS
  • Defined in appointment letter
  • Consistent with the definition of 100 effort
  • Salary cap may apply by certain agencies

64
Is NMFF salary included in IBS?
  • YES, because it is
  • 1) Guaranteed by the university
  • 2) Reported on the university's appointment form
    and paid by the university
  • 3) Included and accounted for in the university's
    effort reports

65
Why Include NMFF Salary in IBS?
  • Common pay master
  • Included in both Proposal Submission and Effort
    Reporting
  • Allows easier changes in effort and charging
    salary during year as grants begin and end
  • You cannot give a raise (i.e. increase university
    salary) just because someone got a grant

66
What About the VA?
  • At NU, VA salary is EXCLUDED from IBS and 100
    effort
  • Separate job, not controlled by University
  • VA salary is not guaranteed
  • Language in salary letters must be clear

67
What Else is Excluded from IBS?
  • Outside consulting (1 day/week per NU policy)
  • Private Industry
  • Speaking honoraria
  • NIH or other Study Sections

68
The K Award Blues
  • Usually require 75 effort

69
The K Award Blues
  • K awards have 100,000 salary cap

75K
25K
100,000 salary can be 75 funded and fit under
the cap
100K TOTAL
70
The K Award Blues
  • 100K cap may not cover 75 of the salary

75K
50K
200K TOTAL
With a 200,000 salary, cap only covers 1/2 of
75 of salary
75K
71
More K Award Blues
  • Effort on other grants can sometimes be
    subsumed in K effort
  • Unpaid commitment on another NIH grant in the
    same field of study (approved by the sponsor)
    salary paid by the K
  • Must review terms/conditions of the K award
  • During last 2 years of K, may be PI on a NIH
    project (with approval)
  • Effort on non-federal grants usually excluded
  • Constant pressure in some specialties for MDs to
    do more clinical work

72
What About Clinical Trials?
CLINICAL CARE
RESEARCH
  • You CANNOT double-dip (i.e. bill for clinical
    care and then charge effort to the grant/trial).
  • Some level of effort should be assigned to
    clinical trial activity, even if it is not
    committed or directly paid.
  • No clear answers

73
When Effort ? Salary
  • Salary above cap
  • K cap 100,000
  • Other NIH cap currently 179,700
  • Both count as cost sharing
  • Voluntary Committed Cost Share (donated effort)
  • Cost sharing must be accounted for, and funding
    source identified at time of application

74
Rules of Thumb
  • No PI should be 100 funded
  • There is ALWAYS some NU effort that must be paid
    from non-sponsored accounts
  • Do not use unreasonable number of hours per week
    to make effort numbers work
  • Clinic schedules may be discoverable
  • Effort may vary within a certification period as
    long as overall percentages are maintained
  • Even when regulations are unclear or
    contradictory, you need a plausible, defensible
    story for how effort was arrived at
  • NIH and DOJ may disagree on interpretation you
    cannot rely on the The Project Officer said it
    was OK defense

75
Effort Certification Commitment
  • Jennifer Wei
  • Director of Cost Studies Effort Reporting
  • Office of Financial Operations

76
Risk of Non-compliance
Institution Period Alleged Issues Settlement
Yale Univ 2007 Cost transfers summer salary 7.6 million
Univ of Massachusetts Medical School 2006 Cost transfers unsupported labor charges 24K triggered Yale Roger Williams Hospital audits
California Institute of Technology 2006 Timeliness NSF grants N/A
Howard Univ 2006 Cost sharing on NSF grants N/A
Univ of Pennsylvania 2006/ NSF Timeliness cost transfers 3.3 million
Univ of Alabama, Birmingham 2005 Research work overstated Medicare billed for research 3.4 million
Harvard Univ 2004 Billed for sal expenses unrelated to federal grants 2.4 million
Johns Hopkins Univ 2004/ NIH Faculty time effort overstated 2.6 million
Florida International 2004 Cost transfers and direct costs 11.5 million
Northwestern 2003 Institutional base salary (NMFF-NU) K awards Assigned certifier 5.5 million
77
  • Northwestern Findings in 2003
  • 5.5 million
  • Institutional Base Salary presented in Proposal
    Submission (pre-award) and Effort Certification
    (post-award)
  • NU NMFF salaries
  • Career (K) awards effort -gt 75
  • Appropriate certifier

78
After-the-Fact Effort Reporting Practice
79
Schedule of Effort Reporting
  • Effort reports are generated 4 times a year (on a
    quarterly basis)
  • Calendar

Qtr Period Effort Forms Available
Q 1 Sept to Nov January
Q 2 Dec to Feb March
Q 3 Mar to May July
Q 4 June to Aug October
79
80
Follow-up Process of Effort Certification
Timeframe Action
Day 0 Effort Reports available
Week 4 1. Effort Report Initial due (30 days from Day 0)
Week 7 2. Delinquency sent to Chair
Week 10 3. Delinquency sent to Deans Office
Week 14 4. Final Due Date Delinquency sent to Provost / VPR
80
81
Key Principle of Effort Reporting
Principle In Practice
In a given quarter, the certified of effort must be equal to or more than the of salary charged and cost-shared to the grant If salary charges are greater than effort expended, salary must be adjusted per Quarter Effort commitments (paid and cost shared effort) should be met within the Budget Period
82
  • More on Cost Shared Effort
  • Mandatory Cost Share (MCS)
  • - Fund 191 per Dept/Project
  • Voluntary Committed Cost Share (VCCS)
  • - Fund 192 per Dept/Project
  • - Salary over the cap difference
  • Voluntary Uncommitted Cost Share
  • DO NOT need to be tracked

83
Effort Confirmation on a Quarterly Basis
  • Confirming Effort is the process of verifying
    that salary (payroll) charged to the project does
    not exceed actual effort expended.

Payroll
Effort
Per Quarter
84
Payroll exceeds Effort after the Certifier
attested his/her Effort expended on the project
for the reporting period
  • The sponsored account should be credited
    (refunded) so the sponsor is not overcharged
  • Special terms and conditions should be reviewed
    on a case by case basis (i.e. NIH career awards)

Effort
Payroll
Per Quarter
85
Effort exceeds Payroll after the Certifier
attested his/her Effort expended on the project
for the reporting period
  • Provided there is available budget and approved
    by the PI, the additional effort may be charged
    to the project.
  • If the project budget cannot cover the extra
    effort expended, the excess effort must be
    charged to a non-sponsored source such as a
    departmental account. This is called Cost
    Sharing.

Payroll
Effort
Per Quarter
86
Payroll Charges vs. Certified Effort
  • Charges to the sponsored accounts (payroll )
    should Not be higher than the Certified Effort
  • Example Under the Certified Effort generally
    should not be lower the Payroll

87
Key Topics
  • Who should certify effort?
  • Faculty must certify their own effort
    certifications and their research staffs. BAs
    and RAs cannot certify effort for the department
  • Safeguard NetID and Password
  • Never give NetID and password to others
  • Reporting effort must be consistent among all
    reports
  • Effort reports
  • Progress reports
  • Current pending support pages (JIT submission)
  • Financial status reports

87
88
Key Topics
  • What Effort Related Issues do we check during
    Account Close-out?
  • Effort certified?
  • Payroll charges against effort certified
  • NIH salary cap / cost share
  • Certified effort on Career awards
  • Anything else we are aware
  • If you receive a notice from the Effort team,
    please address the issue(s) as soon as possible
  • If you never receive a notice from the Effort
    team
  • THANK YOU!!!

88
89
Question 1
  • When is it too late in the effort reporting
    quarter to have a certified effort form dropped
    for corrections/changes?

89
90
  • Question 1
  • When is it too late in the effort reporting
    quarter to have a certified effort form dropped
    for corrections/changes?
  • Response
  • The current effort form can be accessed again by
    the Certifier as long as it has not been post
    reviewed
  • ERS Logon -gt Click on Cert Menu option -gt Click
    on the current reporting period

90
91
Question 2
  • If waiting on a late SDA or payroll change, is it
    better to go ahead and have the PI certify an
    effort form by putting in cost shared effort in
    place of the SDA/payroll and then correct at
    post-review or have the form dropped and
    re-certified correctly OR tell the PI to wait
    (past the effort certification deadline) in order
    to certify effort that appropriately reflects the
    SDA or payroll? Where is the bigger audit risk?

91
92
Response to Question 2
  • Please Do Not wait till it is past the deadline
    to have effort certified
  • Faculty have No chance to certify Effort before
    the deadline if Administrator waits for cost
    transfer and not complete pre-review
  • Both Late/missing effort certification and late/
    inappropriate cost transfers are major risks...
    However, Effort should be driving the Payroll
    distribution

92
93
Question 3
  • Several of our faculty members are listed on
    industry clinical trials but no other sponsored
    projects.  As there is 0 effort, they only end
    up certifying for their non-sponsored portion and
    have asked me frequently why they are
    certifying.  Would you recommend that they be
    removed from the ERS system?

93
94
  • Question 3 Response
  • Key personnel are listed per sponsored project,
    which will trigger ERS to generate an effort
    report
  • Effort forms are still needed to jog the memory
    when effort was expended
  • If the clinical trials are not listed under the
    Sponsored Account Session, the effort can be
    entered on the second screen (see the next slide)

94
95
If the clinical trials are not listed on the
effort form, enter the effort in the Last
university effort category
95
96
Question 4
  • For the odd start dates, how can we correctly
    determine the first quarter of effort for that
    grant?  For example, one of my PIs has his start
    date listed as 05-21-11 on his NOGA and hes at
    30 effort.  Hes been at 30 effort, but not for
    the full 31 days of May, so how to calculate?

96
97
  • Question 4 Response
  • Chicago Q3 is from 3/1 to 5/31, below is an
    estimate
  • Estimate his effort is 3 to 4 on this project
    for Q3
  • March 0 Effort
  • April 0 Effort
  • May 7 days out of 21 days 30 10 (not
    exact)
  • Next Quarter, effort commitment is 30 as it will
    be 30 for each month

97
98
Question 5
  • What is 100 effort for someone with a 50
    faculty appointment at NU? For a contributed
    services faculty appointment at NU? Can a
    contributed services faculty member apply for a
    grant at NU with salary? How does a contributed
    services faculty member certify effort on a grant
    at NU? Is it required?

98
99
  • Question 5 Response
  • 100 Effort Estimated total time spent on
    University activities defined by the Appointment
  • May not mean 12 months/Year (depending on
    appointment)
  • May not mean 3 months/Quarter (i.e. floating
    summer)
  • Contributed Services Appointment at FSM
  • Generally, No salary from NU
  • ERS does not generate Effort reports since NO
    salary
  • If Salary is required, potential option
    Subcontract
  • If listed as PI or senior researcher, a paper
    effort report should be generated as Effort is
    required

99
100
Effort Reporting Training Sessions
  • Effort 101 (4 times a year)
  • Effort 101 is required to gain access to the
    Effort Reporting System (ERS)
  • Federal regulations, NU policies Procedures,
    Audit updates, key compliance issues, etc.
  • Hands-on training (lab)
  • Pre Review / Certification / Post Review
  • Assignment Reporting
  • Faculty Effort Reporting Session per Dept
  • Audience Faculty
  • On demand as requested by the department (let us
    know!)
  • Brown Bag Sessions
  • ERS system update, Reports overview, Others as
    requested
  • One-on-one assistance
  • Contact your Effort coordinator

101
Have you attended these classes? Trainings
Classes Available for Effort Administrators
  • Attend the Research Administration Training
    Seminar offered by Office of Research Integrity
    (ORI) prior to attending Effort 101
  • Attend Effort 101 (contact your Effort
    Coordinator)
  • In addition to Effort 101, the following classes
    are strongly recommended before or soon after
    Effort 101
  • FASIS
  • HRS101 FASIS Lookup Training
  • HRS102 FASIS Deployed Funding
  • HRS103 FASIS Temp Administration
  • http//www.northwestern.edu/hr/hris/training/index
    .html
  • Project Café NUFinancials/InfoEd class
  • FMS505 Managing Sponsored Projects
  • http//cafe.northwestern.edu/cafe/calendar/course.
    jsp?uidFMS505-0001-edev2ical_at_cafe.northwestern.ed
    u

102
Effort Reporting System Support Project Contact
  • NetID and password support
  • 1-4357 (NUIT)
  • NetID and Password Security
  • http//www.it.northwestern.edu/netid/security.htm
    l
  • Effort Reporting Operational Support
  • Jennifer Wei (7-2473)
  • Tina Mete (Chicago/Evanston, 1-6755)
  • Erin Farlow (Chicago, 3-0323)

103
Thats all Folks!
  • Questions?
  • Suggestions?
  • Comments?
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