Underlying Principles and Definitions in Effort Reporting

The underlying principles to the university's effort reporting policy are:

  1. University effort certified under the plan confirmation system reflects only the activities that the employee is paid for in her/his base compensation rate. Activities such as consulting, VA appointments, bonuses, and any other additional pay are not included.
  2. The effort reporting system reflects a reasonable estimate of university activities over the entire certified reporting period, recognizing that these activities are often inextricably intertwined.
  3. The employee is required to review and sign her/his own effort certification report. In limited circumstances and with the prior approval from the Cost Reimbursement Office, an alternate may sign to certify another employee's effort. The circumstances are when an employee cannot be reached by fax, email, or any other form of written communication. An alternate assumes all responsibility and liability for signing the effort certification report of another. The alternate must have 'direct knowledge of the work performed by the appointee' as reflected on the effort certification report.
  4. Effort recertification may be necessary for retroactive salary transfers. Refer to the Policy on Retroactive Salary Transfers and related procedures for details. An example is when a retroactive change is made for a faculty member's effort distribution for the prior fiscal year that has already been certified .
  5. Each university unit has the primary responsibility to ensure compliance with this policy. The unit may elect to have a more restrictive policy than described here.
  6. The effort distribution must be adjusted for a change in effort 5% or greater when it becomes known.

Definitions

Effort Reporting
A proportional distribution of 100% of an employee's university effort across categories of activity for a stated time period. Certification of reported effort is required by the federal government (OMB Circular A-21).
Effort
The expenditure of physical and mental energy to perform and/or support objectives of the university's mission.
Effort Certification
A self-attestation of an employee's university activities for a stated time period. Appropriately certified effort provides audit-able documentation to demonstrate to the university's sponsoring partners that the sponsor did in fact receive the level of effort committed through the award process.