Effort and Effort Reporting System (ERS)Financial Research ComplianceOctober 22, 2013

Financial Research Compliance (FRC) Contacts• Effort system is supported using an email address

effort@jhu.edu and phone line 443.997.3806• Rick Inglis, Manager• Laura Cardwell, Supervisor• Yimin Zhou, Shirley Stewart, Sam Mobry, Rhonda Jefferson

and Angela Euculano-Leigh Analyst

What is ERS?

• ERS is the web-based Effort Reporting System that JHU uses to certify effort.

• This system provides a means for the University to distribute paperless effort forms via the web to its employees who are required to certify their effort in accordance with university and federal policies.

What is Effort?

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• Effort is the proportion of time spent on any activity and expressed as a percentage of the total professional activity for which an individual is employed by JHU ▫ Effort is a reasonable estimate▫ Total effort must equal 100%

What is NOT Effort?• Effort is not a verification of the JHU payroll system’s

accuracy. ▫ The Effort Reporting System (ERS) relies on payroll

distributions to provide a general reminder of the projects on which an individual’s salary was charged during the certification period.

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Why do we complete effort forms?• To verify:▫ Effort supported (paid) by the project has been performed as

promised, and▫ Effort expended in support of a project but not paid by the

project has been performed as promised. • Effort forms are the primary auditable document to support

salary costs on an award.

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Federal requirements mandate• OMB Circular A-21, section J.10 requires & CFR Part 220:

▫ A payroll distribution system that reasonably reflects the activity for which the employee is compensated by the institution

▫ An effort reporting system that: Encompasses all employee activities Confirms effort expended after-the-fact Requires certification to be performed by an individual with knowledge of all

of an employee’s activities Requires certification to be performed regularly

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Who needs to complete effort forms?• Any personnel working on sponsored activity or who is part of a

department that has sponsored activity must complete an effort report.• Exceptions:▫ Weekly paid personnel▫ Pre and post-doctoral individuals supported 100% by a fellowship

(stipends) with no additional employment compensation▫ College Work Study employees ▫ Bargaining Units employees

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Who must certify effort?• Faculty are required to certify their own effort

using the Effort Reporting System (ERS). Faculty may also be required to certify effort for people who work in their labs.• Direct supervisors (Lab Managers, Program Coordinators,

etc.) can certify effort on behalf of non-faculty employees who work for them in recognition of the requirement that the person certifying the effort has knowledge of all the employee’s professional activities.

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How often are Effort Forms archived?

• Effort Forms are archived every quarter before the new quarter is initiated. Only certified and completed effort forms will be archived.

• Certified effort forms will be archived on or about the 20th of January, April, July and October for the quarters ending September 30, December 31, March 31 and June 30.

When do we complete effort forms?• Faculty and senior staff certify semi-annually▫ Semi-annual reports are distributed in January and July, for

the 6 month periods ending December 31 and June 30• Other ERS employees certify quarterly▫ Quarterly reports are distributed in January, April, July, and

October, for the quarters ending December 31, March 30, June 30, and September 30

How are the percentages calculated?• Each quarter the payroll distribution is loaded into the ERS

System. Only those transactions that are appropriate for the designated reporting period are included. The following are excluded:

College Work Study Wages Supplemental Pay Stipends Overseas Allowance Fringe Benefits Cost Transfers not applicable to the reporting period Termination/Vacation Leave Pay (E210)

• Outside consulting, bonuses, and stipends are not included under JHU employment.

Can I change payroll distribution after certification?

• Changes to a certified effort form are not allowed.

• Changes to payroll distribution that contradict certified effort forms are not allowed after certification.

Department Administrator• The Department Administrators are responsible for:▫ coordinating the monitoring of all effort forms for individuals

within their department, and▫ ensuring that payroll is in line with certified effort by completing

cost transfers and documenting cost sharing. • In most cases, the Department Administrator assumes the

role of the Department Coordinator. The Department Administrator also delegates or assumes the role of: the Sub Department Coordinator, the Pre-Reviewer, and the Post-Reviewer.

Department Coordinator• Responsible for the completion of all effort forms for

individuals in their department• Able to assign roles for others in the department• Able to delegate the ability to assign roles to others

Sub Department Coordinator• Perform departmental coordinator functions as delegated

by the department coordinator

Pre-Reviewer• Review effort form prior to certifier, all effort forms must

have a pre-reviewer. • Pre Reviewer must be someone other than the certifier• Adjust for errors in payroll distribution• Adjust for cost sharing ▫ NIH salary cap▫ Mandatory cost sharing

Post-Reviewer• Review the form after Certifier certifies with changes• Define any differences between payroll percentages and

certified effort percentages that were not defined in Pre-review▫ Necessary cost transfers ▫ Cost sharing

ERS Access• To log into the Effort Reporting System (ERS), you will

need to follow the steps below:Go to the University Finance websitehttp://finance.jhu.edu/Go to Launch ApplicationsGo to ERS-Effort Reporting

• You will need your JHED ID and password to log into ERS.

Retro cost transfers (RCT)• RCT is a cost transfer with prior effort reporting period

effective date range• E forms approved in SAP are loaded into ERS. ERS forms

will be updated with E form changes within 48 hours of final approval.• ERS Payroll distribution column reflects RCT loaded into

ERS.

Effort Reporting System

Role

ERS-Pre Review

Info Type 9030

• Infotype 9030 Payroll Distribution for Effort.• IT9030 is a view for semi-monthly employees salary

distribution by pay period. • IT9030 only includes base salary with exception to

fellowship payments. It does not include bonus or supplemental pays or weekly employees.

Info Type 9030Steps to View Infotype 9030

1-Click on folder HRPA-View2-Enter personnel number. 3-Enter in the Info type box at the bottom of the screen "9030" and

press enter. Payroll Distribution for Effort will appear in the box4-Click on eye glasses (upper left corner)5-Fill in the four date fields: Pay Period Begin, Pay Period End, Payroll

Post Begin, Payroll Post End.

Info Type 9030Recommended dates to enter for all payroll distribution for the effort period

ending 06/30/13:• Pay Period Begin – 01/01/2013• Pay Period End – 06/30/2013• Payroll Post Begin – 01/01/2013• Payroll Post End – 10/28/2013 (always make this at least out to the next

payroll posting date)• Hit the “Enter“ Key on keyboard6-In the table below the payroll selection dates, the aggregate amount of

payroll expense will appear for each account.• Highlight the accounts to be viewed in detail by clicking the far left box

next to each line of distribution.• Click on "DETAIL" (magnifying glass)

ERS-Certifying

ERS-Assignments

ERS-Reports

ERS-Reports• Completion reports

statistical reports by dept/subdept, list of forms, assignments and sponsored amounts

• Effort results reports▫ Reports by form status with drill down to form (form includes

payroll, E forms and Cost Sharing)• Administrative reports▫ Assignments, print forms (% only) by dept/subdept, alternate

dept, list of forms with no prereview

NIH Salary Cap• FY 2013 Awards Cap, $179,700

http://grants.nih.gov/grants/policy/salcap_summary.htm• NIH Salary Cap Calculations

http://finance.jhu.edu/depts/frc/data_files_frc/salary_cap_179700.pdf

Department ChangesThe new department has the authority to see and approve E

forms.The old department has a need for an E form for the period

the employee was in their department.The old department must request the new department to do

the E form. E form work flows to the old department because workflow looks at the begin date of the 9027 and

the appropriate position at that time.Old department must forward to new department approver

for approval.

Questions

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