Effort Reporting

Effective Date: December 1, 2006

Executive Summary

Federal regulations require that the effort devoted to sponsored projects is appropriately documented, including an annual certification that the salaries charged are reasonable in relation to the effort devoted to those projects. Accordingly, it is University policy that:

While salary charges to sponsored projects are made initially based upon the planned or estimated workload of faculty and others, the actual effort of each individual working on sponsored projects must be monitored, with charges modified as necessary based on variances between the estimated and actual effort.

The required annual effort certification report (the "Effort Certification Report") must be signed by either the individual him/herself, or by a responsible official who has exercised suitable means of verification of the activities of the individual(s) for whom he or she is certifying. Comprehensive guidance on the annual certification process, including a description of best practices and institutional requirements for the certifier, is provided in the letter which transmits the annual certification.

The University is in the process of implementing an electronic effort reporting system which will be in place for the fiscal year ended June 30, 2007. When implemented, each Officer of the University who is subject to the effort reporting requirements of this Policy will be required to certify his or her own effort, as well as to review the effort of other individuals working on projects for which that individual is the Principal Investigator

Reason(s) for the Policy

Section J.10 of Federal OMB Circular A-21 provides the framework for acceptable methods of documenting the effort of employees devoted to sponsored projects. The University follows the "Plan-Confirmation" methodology described in section 10.c(1) of that Circular.

Primary Guidance to Which this Policy Responds

Federal OMB Circular A-21

Revision History

Not Applicable

Responsible University Office & Officer

Office of the Controller
Cheryl Ross, Controller

Who is Governed by This Policy

Faculty and staff who devote effort to one or more sponsored projects (whether funded by government agencies or other sponsors) , administrative staff responsible for monitoring such charges, and others who may be responsible for certifying the effort of others.

Who Should Know This Policy

1. All persons governed by this Policy [see above]
2. Departmental Administrators and other departmental staff
3. Deans and Departmental Chairs
4. Office of Research Administration staff
5. Office of the Controller staff
6. Employees who initiate, review and/or approve payroll transactions on behalf of the University

Exclusions & Special Situations

None.