Effort Reporting Policy for Sponsored Programs Policy

Policy Statement

Effort reporting is the process by which the University determines and documents the effort expended on sponsored projects during each reporting period. The University maintains an effort reporting system and obtains signed effort reports from employees in compliance with applicable federal regulations. Employees who are compensated in whole or in part by sponsored projects and/or whose compensation is cost-shared in connection with a sponsored project must confirm their effort allocation twice a year to provide reasonable assurance of its accuracy.

Reason for Policy

Federal government regulations require that institutions receiving federal funds for sponsored projects maintain an effort reporting process that complies with the requirements set forth inOMB Uniform Guidance 2 CFR §200andOMB Circular A-21, Cost Principles for Educational Institutions for funding effective before December 26, 2014, collectively referred to as Federal Guidance. This policy establishes the University’s standards for obtaining required effort reports for employees who are compensated in whole or in part by sponsored projects or whose compensation is cost shared on a sponsored project and must be based on records that accurately reflect the work performed.

Who Is Governed by this Policy

Faculty

Policy

Federal and University Requirements

The university receives federal funding for sponsored projects and is required to comply withOMB Uniform Guidance 2 CFR §200andOMB Circular A-21, Cost Principles for Educational Institutions for funding effective before December 26, 2014), collectively referred to as Federal Guidance. The Federal Guidance addresses ‘Standards for Documentation of Personal Expenses’ by requiring that the university have a system of internal control which provides reasonable assurance that charges are accurate, allowable and properly allocated.

大学鼓励教师通过“教师负荷报告”前瞻性地计划他们预期的努力水平。在学年结束时，根据反映秋季和春季学期努力报告过程的最终教员负荷报告进行收费。为了满足联邦政府的要求，该大学要求完成工作报告的员工必须全部或部分获得赞助项目的补偿，或者其补偿由赞助项目的成本分摊。这些报告用于确认分配给受资助项目和非受资助活动的大学总工作量的百分比。首席研究员(pi)还负责不断监测其他人在其职权范围内的所有资助项目上所花费的努力水平。

Explanation of the Effort Reporting Process

The effort reports must account for 100% of an employee’s Total University Effort. Total University Effort includes research, teaching, administration, clinical activity and any other activity for which an individual receives compensation of salary, wages, supplementary salaries and overloads (but not bonuses) from the university. Activity that is not included in Total University Effort, such as outside consulting, is not included in the university’s effort reporting process. Activity within Total University Effort must be reasonable, allowable and allocable in order to be properly charged and verified to a sponsored project.

所资助项目的成果以大学总体成果的百分比分布来表示。在Adelphi，我们多年来一直使用“教员负荷报告”来解释PI和CO-PI在学年中的努力。我们适用“集体谈判协议”第2条h“自愿减少工作量”的“第十四条”。每减少3学分的负荷“释放时间”是10%的学术工资。

Frequency of Reports

Adelphi has two faculty load reporting periods: September 1 through December 30 (Fall Semester) and January 31 through May 31 (Spring Semester). At the end of each academic year, salary charges are calculated based on percentage of effort for each sponsored project. This process forms the basis for the effort reports.

Signing the Faculty Load Report

Each faculty load report must be confirmed and checked by the PI, the department chair, department dean and the provost to attest that the distribution of activity represents a reasonable estimate of the work performed by the employee during each academic semester.

Effort Commitments

PIs, Co-PIs, and other sponsored project staff identified as Key Personnel are required by many external sponsors to fulfill their committed effort obligations, sometimes with a permissible degree of variance (e.g., federal sponsors generally permit variance so long as it is less than 25% between the committed effort and actual effort devoted before prior approval is required from the sponsor).

It is the responsibility of the PIs, Co-PIs, and Key Personnel to evaluate their ability to manage their effort commitments and to promptly notify the Office of Research and Sponsored Programs if a reduction in effort or change in PI, Co-PI or Key Personnel needs to be communicated to the sponsor to obtain approval or other guidance.

Definitions

Key Personnel: The PI, Co-PI and other individuals who contribute to the scientific development or execution of a sponsored project in a substantive, measurable way, whether or not they receive salaries or compensation under the award. Typically these individuals have doctoral or other professional degrees, although individuals at the masters or baccalaureate level may be considered senior/Key Personnel if their involvement meets this definition. “Zero percent” effort or “as needed” is not an acceptable level of involvement for senior/Key Personnel.

Total University Effort: The effort that an employee devotes in the aggregate to the professional activities for which he or she receives compensation from the university, whether full-time or part-time, and regardless of the number of hours the person is expected to work based on his or her full-time and/or part-time appointment. Faculty members with multiple appointments consider their combined responsibilities to arrive at their Total University Effort.

Forms

This policy does not have forms associated with it at this time. Upon periodic policy review this area will be evaluated to determine if additional information is needed to supplement the policy.

Related Information

This policy does not have related information at this time. Upon periodic policy review this area will be evaluated to determine if additional information is needed to supplement the policy.

Document History

• Last Reviewed Date: December 13, 2017
• Last Revised Date: May 1, 2018
• 政策发放日期:Not Known

Who Approved This Policy

Michael J. McLeod, Director of Financial Operations and Associate Vice President