FACET - Florida State University

FACET Faculty Assignments Commitments & Effort Certification Tracking Exempt and Non-Exempt Effort Certification Overview Contents FACET Exempt Effort Reporting 1. 2.

3. 4. Overview Preparing for Certification Effort Certification Process Issues Resolution FACET Non-Exempt Effort Reporting 1. Differences from Exempt

FACET EXEMPT EFFORT REPORTING OVERVIEW Exempt Effort Reporting Overview What is effort? Amount of time spent on a compensated institutional activity (including time on a sponsored project). Expressed as a percentage of the total amount (100%) of time spent on compensated work-related activities per

job (instruction, research, service, administration, etc.) independent of FTE. Exempt Effort Reporting Overview Why effort reporting matters Satisfies Federal requirements (OMB Circular A-21, J. 10) 1. Supports that salaries charged to sponsored projects are reasonable in relation to the effort expended on the projects. 2. Demonstrates compliance with effort commitments made to sponsor agencies.

Demonstrates compliance with Floridas 12-hour law through reporting to Board of Governors (s. 1012.945 Required number of classroom teaching hours for university faculty members, Florida Statutes) Exempt Effort Reporting Overview Why effort reporting matters Consequences 1. Institutional Sanctions: fines and penalties; debarment from participating in federally-funded research.

2. Individual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research. Inputs from Campus Systems Sponsored Project Data Payroll Data

FACET EXEMPT Employee Data Student Central (Course Data)

FACET Effort Certification Report FACET Exempt Certification Process Information Message Warning Message - allows move to next level Error Message - needs resolution prior to allowing move to next level FACET Effort Certification Report

FACET Effort Certification Report A-21 View 000099999 Ginger Gilligan PREPARING FOR CERTIFICATION Preparing for Certification Cycles Student Central /

Course Data Commitments on Projects Job Appointments Assignment of Responsibilities

Preparing for Certification Cycles Student Central / Course Data Review data from Student Central in FACET Course Funding Interface. No instructor of Record (IOR) assigned Payroll/funding errors (instructor must have eligible funding source for Instruction) Instructional contact hours over 30 for a person (possible, but unusual) Preparing for Certification Cycles

Commitments on Projects FSU defines a commitment as: Quantified effort for named personnel whether direct charged or cost shared, as specified in the proposal or award. Review Sponsored Project Commitments Review commitments for new projects, before new appointments to projects, and beginning of semester periods Key personnel changes (named in grant) can affect commitment assignments Preparing for Certification Cycles

Commitments on Projects Key Personnel Definition: o FSU will follow the sponsoring agencys definition of Key Personnel if one exists o 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 PIs are encouraged to limit the number of key personnel identified in the proposal PIs are encouraged to limit effort commitments that are not paid for by sponsor

Preparing for Certification Cycles Commitments on Projects Proposal and award are source of commitments Commitments can be recorded in Budget Forms, Budget Justifications, and Available Resources sections of projects Commitments are entered for Key Personnel and non-Key Personnel that are cost-shared. Commitments are entered as percentages of total effort required Commitment period(s) are Life of Project, Academic Year (Fall, Spring), or

Summers Only. The commitments shown in FACET are only for the periods when funding is obligated. Preparing for Certification Cycles Commitments on Projects Commitments may be adjusted due to: 1. Increase or reduction in funding and/or period of performance 2. Changes in scope of work 3. Voluntary reduction of effort at PIs discretion if allowed by terms of the award

As long as the overall commitment is still met, period commitments may be moved to future periods depending on employee availability and schedule. Preparing for Certification Cycles Commitments on Projects Commitment Shown in FACET (A-21 Page): Preparing for Certification Cycles Commitments on Projects You may request changes to a commitment by sending an

Email to Sponsored Research: Kaytee Fletcher ([email protected]) Preparing for Certification Cycles Commitments on Projects OMNI Commitment Query: FSU_ER_SRS_CURRENT_COMMITMENTS Preparing for Certification Cycles

Job Appointments Verify courtesy appointments are valid for instruction Complete all pending position supervisor changes Note which individuals in your unit have multiple job records (with you or other departments) Preparing for Certification Cycles Assignment of Responsibilities

Estimate of effort a faculty member will work during the upcoming academic year Normally completed during Spring semester Can be updated as many times as needed Is available to review when entering effort into FACET FACET must accurately report effort during period. If different from AOR, an AOR amendment is recommended. Preparing for Certification Cycles Assignment of Responsibilities

Preparing for Certification Cycles Important Considerations Multiple jobs in different departments will require representatives to coordinate efforts Certification non-compliance will require sponsored project charges to be move to another funding source Please be proactive about supervisor changes, transfers, and separations.

Preparing for Certification Cycles FACET EXEMPT TIMELINE FACET Exempt is available for department certification within 60 days after the end of a semester. Openings are announced prior to start date via FACET mailing list. 1. Student Central Course Updates Completed by Final Day of the Semester 2. Alternate Path Reports Available 7 Days Prior to Open Date 3. Employee/Supervisor Deadline for Report Certification (Level 4) is 14 Days after Open Date 4. Certification Deadline is 21 Days (3 weeks) after Open Date

Preparing for Certification Cycles FACET Department Representative Roles New Department Representatives must request the FSU_FACET_REP role from the OMNI eORR system (under Human Resources roles) Representatives must also be added to the OMNI Department Representative table. Preparing for Certification Cycles

FACET Department Representative Roles Preparing for Certification Cycles FACET Department Team FACET Exempt Rep. Time/Labor Rep. Course Schedule Rep. Grants Compliance Rep. HR/Appointment Rep.

Preparing for Certification Cycles Training Materials A complete set of training materials for department representatives and individuals required to certify effort can be located at: http:// omni.training.fsu.edu/OMNI-FACET/ Effort-Certification/FACET-Effort-Cer tification

EFFORT CERTIFICATION PROCESS FACET Exempt Certification Process Level 1: ERP Level 2: IR

Level 3: FACET REP Level 4: Employee/K P Level 5: Review/Erro r Resolution

Level 6: Final FACET Exempt Certification Process Effort Categories 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 FACET Exempt Certification Process Instruction Section Displays for-credit courses Instructor of Record Contact Hours Enter total effort at Courses Activity Level Effort automatically distributes to listed courses (use Show

More Detail to see individual courses) FACET Exempt Certification Process FACET Exempt Certification Process Courses Funded by Sponsored Projects Courses can be funded by a grant if: Award purpose is INS Award purpose is RES or OSA and: o Course Section Type is Graduate Dissertation,

Graduate Thesis, Supervised Research or DIS (or) o An Instruction attribute has been added to the project: Instruction Allowed or Cost Share Instruction Allowed FACET Exempt Certification Process Research/Creative Activity Section Enter effort individually for each listed project o If sponsored project not displayed, project will have to be added using Add Sponsored Project button (can be done at Level 3 or 4)

Project will automatically display on FACET report if: o Commitment entered for academic term o Salary funded from project FACET Exempt Certification Process FACET Exempt Certification Process A-21 View Page Effort entered on previous page transfers to A-21 View page Displays/compares commitments, funding, and entered effort

System automatically allocates to: o Direct Charge Salary, Committed Cost Sharing, Over the Salary Cap, Uncommitted Cost Sharing FACET Exempt Certification Process 000099999 Ginger Gilligan FACET Exempt Certification Process Changes to Certified Effort Certified effort reports assert that the entered information is

accurate and complete to the best of the certifiers knowledge Changes to previously certified effort erode the credibility of the certifier and present serious issues during external audits In the FACET system, retroactive funding adjustments after certification will trigger the need to re-certify an effort report FACET Exempt Certification Process Changes to Certified Effort Once a report has been certified and moved to Level 5, we recommend resolving any issues without pushing report back

to Level 4 whenever possible. ISSUES RESOLUTION Issues Resolution Common FACET Error Numbers Error Number Error Name

Resolution Notes Error Support Staff 1020 Payroll Distribution Percentage Cannot be Negative

A payroll correction may need to be processed. Contact: FACET Support Team ([email protected]) 1021

Payroll 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: FACET

Support Team ([email protected]) Issues Resolution 1020/1021 Error: Negative Payroll Distribution Issues Resolution Common FACET Error Numbers Error Number

Error Name Resolution Notes Error Support Staff 1030

Effort 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 FACET Support Team 1040 Effort 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 Department Coordinator Note: 1030 Error may occur when there is a change to a projects purpose code. Please contact the FACET Support Team if you believed this has occurred.

Issues Resolution 1030 Error: Effort Not Sufficient for Pay Distribution Issues Resolution Common FACET Error Numbers Error Number Error Name

Resolution Notes Error Support Staff 1050 Pay 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 SRAS Department Representative or FACET Support Team

1060 Pay 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 SRAS Department Representative or FACET Support Team Issues Resolution 1050/1060 Error: Pay Occurs Before/After Project Dates Issues Resolution

1050/1060 Error: Pay Occurs Before/After Project Dates Issues Resolution 1050/1060 Error: Pay Occurs Before/After Project Dates Issues Resolution 1050/1060 Error: Pay Occurs Before/After Project Dates Issues Resolution Common FACET Error Numbers

Error Number Error Name Resolution Notes Error Support Staff

1120 Effort entered is less than commitment Contact SRAS to correct/adjust commitment in future periods SR: Kaytee Fletcher

Issue Resolution 1120 Error: Effort Entered is Less Than Commitment Issues Resolution Issue Resolution Contacts General FACET Questions Department Representative (recommended starting point for staff/faculty) FACET Support Team ([email protected])

Sponsored Research Questions (Commitments, Sponsored Funds, etc.) Your SRA Coordinator Commitment Issues: Kaytee Fletcher ([email protected]) Additional Contacts Institutional Research Phone

Email FACET Support Team N/A [email protected] Rick Burnette

644-1532 [email protected] Matthew Earhart 644-0398 [email protected]

Mev Verzaal 645-0285 [email protected] Sponsored Research Administration Phone

Email Diana Key 644-8648 [email protected] Kaytee Fletcher

645-1947 [email protected] 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 FACET NON-EXEMPT EFFORT REPORTING OVERVIEW Non-Exempt Effort Reporting Overview Differences between Exempt and Non-Exempt certification? Reporting effort hours instead of percentages

1 hour tolerance on NX reports Reports are certified monthly Reports rely on timely timesheet submissions Hours are based on pay periods, not calendar month Inputs from Campus Systems Payroll Data Sponsored

Project Data Employee Data FACET NX FACET NX A-21 View Page

PREPARING FOR CERTIFICATION Preparing for Certification Cycles Important Considerations for NX Certification

Timeliness of certification is extremely important! Non-Exempt employees not having FSUIDs or OMNI system access Payroll corrections effecting prior reporting periods One Time Pays not allowed on NX appointments (1022 Errors) Preparing for Certification Cycles Important Considerations for NX Certification Timesheets 90 days past due (per HR deadlines) will require cost

transfers to add charges to sponsored projects Multiple jobs in different departments will require representatives to coordinate efforts Certification non-compliance will require sponsored project charges to be move to another funding source Please be proactive about supervisor changes, transfers, and separations. Preparing for Certification Cycles FACET NON-EXEMPT TIMELINE

FACET Non-Exempt is available for department certification 28 days after the last pay period on the report. Opening will be announced prior to start date via FACET mailing list. Deadline for completion (Level 6) is 14 days after NX period opens to campus. Preparing for Certification Cycles FACET Department Team FACET Non-Exempt Rep. Time/Labor Rep.

Grants Compliance Rep. HR/Appointment Rep. EFFORT CERTIFICATION PROCESS FACET Non-Exempt Certification Process FACET Non-Exempt Workflow

ISSUES RESOLUTION Issues Resolution Common FACET Error Numbers Error Number Error Message Resolution Notes

1022 Salary paid on funding source with no hours associated Review payroll records to determine if this error is due to a One-time pay transaction. 1031

Effort Hours entered are not sufficient to cover funded hours Entered effort must cover the funded hours. 1032 Effort Hours entered exceed funded hours

Review payroll records and timesheets to determine if a timesheet has not been processed. Issues Resolution Common FACET Error Numbers Error Number

Error Message Resolution Notes 1140 The project is not 'sponsored Enter effort in the 'Other NonSponsored Activities' Section 1180

Effort must be entered as whole numbers Enter effort in whole numbers.

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