Instruction means the preparation, evaluation, and delivery of the University’s teaching and training activities, regardless of whether offered on a credit or non-credit basis. It also includes instruction-related activities such as student advising, thesis advice, mentoring of undergraduate or graduate students, committee work that solely benefits instruction, and similar activities. Effort related to instruction is included in your total institutional effort.
For purposes of effort reporting, what does “service” mean?
Service includes activities that advance the University’s mission but do not relate solely to instruction or research and are not administrative in nature (e.g., the responsibilities of chairs, deans, or directors). This would include participation in Tenure and Promotion committees, search committees, University Senate Committees, faculty meetings and similar activities. It also includes non-compensated activities associated with outside professional service.
What proportion of my institutional effort is available for sponsored projects?
The proportion of a faculty member’s institutional effort that is available for sponsored activities varies with the individual, his/her department, and the home school/college.
For many schools and colleges, the effort available for tenure-track faculty to engage in academic year sponsored research is typically between 30% – 40% of institutional effort. Sponsored commitments in excess of 40% often require released time from teaching or other University responsibilities and must be approved by the chair and dean following procedures appropriate to the home school / college. The need for released time to accommodate effort proposed in a grant application is documented on the Internal Routing & Review of Sponsored Programs form (formerly the OSP Checklist).
What about mentoring of students engaged in my sponsored research?
Mentoring of students related to sponsored research is appropriately included in effort directly charged to your sponsored research agreement. Mentoring of students and being involving in thesis or dissertation activities for students whose work is not related to sponsored research or training are considered “instruction” and should be included in the “institutional bucket” for effort reporting purposes.
What about grant writing for future awards?
Writing applications or proposals for future grants or contracts does not benefit any existing award; therefore, federal regulation explicitly excludes this from allowable direct costs. Thus, effort expended on writing for future awards is to be included in institutional duties.
What about other kinds of activities I do for my sponsored research?
Uniform Guidance states that charges to sponsored agreements may include reasonable amounts for activities contributing and intimately related to work under the agreements, such as delivering special lectures about specific aspects of the ongoing activity, writing reports and articles, participating in appropriate seminars, consulting with colleagues and graduate students, and attending meetings and conferences.
Is consulting included in institutional effort?
No. Consulting, as permitted in the Faculty Manual, Sections 3.03 and 3.04, or other activities for which the employee is compensated by another entity, which is not part of Syracuse University, is not included in institutional effort. During the academic year, faculty members have the privilege of providing consulting services for up to one day per week. These activities should be reported to the chair or dean, i.e., whom ever is responsible for assuring that conflicts of commitment do not occur.
What about serving on review panels or other similar types of tasks – are they included in institutional effort?
Effort related to review panels or other advisory activities for which an honorarium, per diem, and/or travel reimbursement by an outside agency or organization, which is not part of Syracuse University, is provided is not included in your institutional effort for effort reporting purposes. However, the University encourages participation in such activities.
What is not included in institutional effort?
For faculty with academic year appointments, institutional effort does not include the summer period nor does it include short-term, special activities for which compensation may be provided but is not reflected in the institutional base salary, e.g., overload or extra service activities approved by their chair and dean. Also not included are those activities for which external compensation is received including consulting services.
What is overload?
Overload is engaging in short-term teaching activities unrelated to an exempt employee’s core responsibilities and associated competencies as conveyed in the appointment letter or job description. In general, the source of funds is not a consideration.
For faculty and other key personnel, explicit sponsor approval ordinarily is required for overload to be charged to grants or contracts. This is obtained either by disclosure in the application submitted and awarded, or requested post award by the Office of Sponsored Programs on behalf of the PI.
OSP reviews, approves, and if deemed appropriate forwards to the sponsor for prior approval proposed overload of exempt or key personnel to be charged on grants to ensure that the activities are unrelated to the employee’s job description, if such overload was not explicitly included in awarded application.
What is extra service?
Extra service is engaging in short-term non-teaching activities unrelated to an exempt employee’s core responsibilities and associated competencies as conveyed in the appointment letter or job description. In general, the source of funds is not a consideration.
For faculty and other key personnel, explicit sponsor approval ordinarily is required for extra service to be charged to grants or contracts. This is obtained either by disclosure in the application submitted and awarded, or requested post award by the Office of Sponsored Programs on behalf of the PI.
OSP reviews, approves, and if deemed appropriate forwards to the sponsor for prior approval proposed extra service of exempt or key personnel to be charged on grants to ensure that the activities are unrelated to the employee’s job description, if such extra service was not explicitly included in awarded application.
When might overload or extra service be appropriate?
Examples of when overload or extra service might be appropriate:
- Overload or extra service activities to be performed are distinctly different than competencies/responsibilities required in core appointment or job description
- Activities are performed at distinctly different location(s) than routine for the employee
- Activities are short term/non-routine
When overload or extra service is probably not appropriate:
- Activities performed based on expertise/skills reflected in appointment
- Activities are performed for programs within the employee’s unit
- Activities are performed at location(s) routine for the unit
- Not short-term (i.e., extend through entire multi-year grant period)
- Predictable need to be served
Because circumstances can be unique, the guiding consideration is the appointment letter or job description. The above examples are among the considerations, and are not meant to be all inclusive. OSP is responsible for determining allowability of overload or extra service on grants or contracts.
How many hours per week are faculty members expected to work?
The University does not specify the number of hours that faculty members are to work each week and recognizes that this number may vary with discipline or field. Because effort certification requires that the individual certifying have a general understanding of the average number of hours per week they work over the course of a semester (the base or denominator of effort certification), faculty members are encouraged to develop an appreciation of this average, recognizing that there may be significant fluctuations between weeks throughout the academic year.
What is committed effort?
Committed effort is that proportion of an individual’s institutional effort that will be devoted to a sponsored activity. Effort proposed for a PI or other key personnel in a grant application, typically in the budget and/or budget narrative, becomes a commitment (or obligation) the University must fulfill unless explicitly modified during award negotiations with the sponsor.
The cost associated with committed effort may be borne by the sponsor (charged to the grant or contract) or by the institution (documented as cost-sharing).
Can compensation for academic year sponsored research effort be deferred to the summer?
No. Effort expended during the academic year for sponsored activities must be charged to the sponsor, identified as project related cost-sharing and charged to the University, or some combination thereof for the corresponding time period.
For work begun during the academic year that extends into or is completed in the summer, effort would be considered to be expended in the summer, and may be charged to the sponsor, if allowable according to the sponsor’s terms and conditions, and if funds were available.
I’m the Principal Investigator (PI) on a number of grants, but never commit effort to a grant. Is this okay?
Ordinarily no, effort must be committed to a sponsored program. For sponsored research and most other activities, the PI and other key personnel (i.e., faculty named in the proposal narrative or budget narrative) ordinarily must devote some level of effort to the project.
This expectation results from federal requirements which state in part, that “most Federally-funded research programs should have some level of committed faculty (or senior researchers) effort, paid or unpaid by the Federal Government. This effort can be provided at any time within the fiscal year (summer months, academic year, or both).”
To comply with this requirement, at least 0.5 months effort (summer or academic year) should be proposed in research grant applications. This corresponds to ~4% effort over a calendar year.
In some instances effort need not be committed to the project. For example, if you are the PI on training, doctoral dissertation research grants or equipment grants, committed effort may not be needed. The Office of Sponsored Programs is responsible for determining whether the PI or other key personnel must commit effort on a sponsored project.
I received another award, and it will result in my having more than 8.5 months activity for all responsibilities and more than 3.5 summer months effort. What do I do?
Contact the Office of Sponsored Programs for assistance. You may not receive support from all sources for more than 8.5 months during the academic year. Sponsor approval will be required if committed effort for the PI or other key personnel (depending on Sponsor) will be reduced by 25% or more (e.g., a 25% reduction would be from 40% to 30% effort).
I am taking a research leave (or administrative leave) during my award’s project period. Is there anything I should do?
Sponsor approval ordinarily is required if the PI or other key personnel are on sabbatical, or will be absent or away from campus for 3 months or more, e.g., on research or administrative leave. Contact the Office of Sponsored Programs before your leave so prior approval can be obtained.
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Summer Effort
How many hours per week do I have to work during the summer to comply with regulations?
The University does not specify the number of hours per week faculty must work during the summer. However, since the rate of pay for summer effort is the same as for academic year effort, the number of summer hours worked per week ought to reasonably warrant this rate of compensation.
I have secured sponsored support for 3.5 summer months. Can I work on institutional duties during the summer?
No. The sponsor should be the sole beneficiary of effort charged to the award during the summer period. If multiple sponsors support summer effort, a sponsor should be charged in proportion to the benefit received (i.e., effort devoted).
The University cannot charge a sponsor for activities that do not benefit the sponsored award (e.g., grant writing, student training-related activities unrelated to the sponsored award, preparing and grading comprehensive exams, University projects, etc.).
Prior to the start of summer activities, faculty members who have secured 3.5 months sponsored support and who anticipate engaging in institutional activities during the summer (e.g., grant writing, etc.) should discuss alternative compensation strategies to accommodate those activities with their chair or dean.
Alternative compensation strategies to accommodate those activities makes it sound like there may be some way that both 3.5 months of sponsored support and institutional activities can occur during the summer – but they can’t.
I have secured 3.5 months summer support for a sponsored project. May I take vacation during the summer?
No. Faculty may not charge vacation to a sponsored project. Other employee categories may charge vacation or sick leave as per University policy.
Faculty who wish to take summer vacation should charge less than 3.5 summer months to sponsored activities.
I have secured sponsored support for 3.5 summer months but my compensation is capped by the sponsor. Will the University “make up the difference” between my rate of compensation and the sponsor’s cap?
Not ordinarily; however, please discuss this with your chair or dean.
My sponsor restricts compensation to 2 months. If I pay myself during the summer, do I need to be concerned about anything?
Maybe. Payment should be received for work performed during the period for which compensation was received. You may want to consider how your compensation is distributed over the summer period. For example, if your 2 (or 1.88) summer months are paid over four, bi-weekly pay periods, you can work only on sponsor-supported activities during those two months. So, you may not be ‘on vacation’ or engage in activities that do not benefit the sponsor during this time (i.e., grant writing, advising students not engaged in the sponsor activity, or other institutional duties).
To accommodate non-sponsored activities that may occur during the summer periods, faculty may want to consider having their 2-months effort and compensation distributed over more than four summer pay periods. This would make time available during the summer for effort and compensation pertaining to non-sponsored, institutional activities.
NOTE: Even though you will be less than 1.0 FTE during the months for which you are compensated, your effort report will indicate 100% effort during the compensation period (assuming you have no other sources of summer support).
I received another award, and it would result in my having more than 3.5 summer months of activity. What do I do?
Contact the Office of Sponsored Programs for assistance. You may not receive more than 3.5 summer month’s support from all sources. Sponsor approval may be required if the reduction in effort is 25% or more (i.e., from 2 summer months to less than or equal to 1.5 summer months).
Can I attend conferences during the summer and include this as effort charged to my grant?
Maybe. If your participation in the conference provides a direct benefit to the grant, then such time and associated costs ordinarily are allowable and may be charged to the grant. If the conference has no relevance to sponsor-supported summer activities, the costs of and your time associated with this activity would be unallowable.
My department seems to expect that I participate significantly in institutional duties during the summer. Does this mean that I can not charge 3.5 months summer support to the sponsor?
Yes. The sponsor should be the beneficiary of the effort-associated costs charged to the grant. Individuals who have successfully secured 3.5 months summer support, but are also required to engage in institutional responsibilities during the summer should work with their chair or dean for solutions that ensure that grant-related and institutional activities are charged appropriately.
Possible solutions include reducing effort and compensation charged to sponsors while using institutional (e.g., department, school or college or other) resources for the balance of effort and compensation for the period, or modifying the faculty member’s appointment to better reflect activities over a twelve-month period.
The nature of my funding cycle requires me to spend some time during the summer to work on an application(s) to be submitted during the fall semester. I have successfully secured 3.5 summer months support from my sponsor. What can I do?
Since proposal writing may not be charged to federal sponsors, faculty members who find themselves in this situation should work with their chair or dean for possible solutions, such as reducing effort charged to sponsors while using institutional resources for the balance of the period.
Especially productive and successful faculty members who have secured academic year research support and have to write grant applications during a summer period for which they have received 3.5 months support should discuss alternative compensation options with their chair and dean.
Alternative compensation strategies to accommodate those activities makes it sound like there may be some way that both 3.5 months of sponsored support and institutional activities can occur during the summer – but they can’t.
I teach one course during summer session. How much of my summer effort is available for sponsored activities?
For regular faculty, one 3-hour course is considered one-half load for the period of the summer session. Time charged to a sponsored project during that session period may therefore not exceed 50%. Instruction during Maymester is considered full-load during that period; consequently, sponsored projects may not be charged. Please contact the Office of Sponsored Programs with any additional questions.
I am supported by a fixed price contract that does not explicitly commit any effort. Do I have to certify effort?
Yes. The costs of fixed price contracts result from budgets developed in support of the work plan. The effort for all personnel associated with these activities should therefore be known having been made explicit during proposal development. These obligations should be the basis for tracking effort. Depending on the terms of the contract, reductions in key personnel effort may or may not require sponsor approval. Please contact OSP for assistance.
My grant funds are exhausted; can I move students from one grant to another grant until a renewal or continuation is processed?
Perhaps, if both of the following apply – funds are available from the other grant, and if the student is appropriately qualified to work on the project in support of its objectives. A student, like any other employee, may only be compensated from a grant in proportion to the effort devoted in support of the project’s objectives. In no circumstances may a student or any other employee perform activities that do not benefit the award’s objectives.
NOTE: The frequent transfer of employees between projects is an audit flag and is strongly discouraged.
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Research Faculty
As a 1.0 full time equivalent research professor, how do I accommodate the requirement that effort spent on proposal writing can not be charged to sponsored awards?
The University is currently exploring strategies to ensure compliance with regulations. Please contact OSP for more information.
As a 1.0 full time equivalent research professor, can I charge vacation to my grant?
No. Research faculty members receive the same benefits as academic faculty and may not charge vacation to grants or contracts.
My appointment is for less than 1.0 full time equivalent; do I have anything to worry about?
Maybe. Your hours worked on sponsored activities should be proportional to the norm in your field for full time effort. In that context, your effort should benefit the sponsor providing you compensation.
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Staff and Graduate Assistants
I am not a faculty member. Do I have to certify my effort?
All individuals compensated by or engaged in sponsored activities must have their effort verified, either directly or by someone with suitable means of verification. Currently all exempt staff members are required to certify their effort directly. This includes technical staff and graduate assistants.
Non-exempt staff members certify their hours worked and their supervisors affirm the appropriateness of projects charged on the employee’s weekly timesheet.
I am being asked to certify that I have worked on a specific grant-funded project. I do not know if the work I am performing is in support of that project. What do I do?
You should consult with your supervisor or other appropriate individuals to learn what award your work supports. If your efforts are unsuccessful, consult with the administrator(s) in the unit in which you work.
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Plan Confirmation
What is plan confirmation?
Plan confirmation is the method the University has identified in its DS-2 (Disclosure Statement to the Department of Health and Human Services) for certification of effort on sponsored activities. Ideally it is based on an effort distribution plan mutually agreed upon by the faculty member and his/her chair and dean.
Plan confirmation of an employee’s appointment is represented by a Chart String Change Form which is entered into the HR/Payroll system by budget managers or other authorized department payroll administrators. The Chart String Change Form reflects the employee’s appointment distribution that will be charged to sponsored projects, cost sharing and/or department (institutional) funds. Your appointment is in the HR/Payroll system. Your departmental payroll administrator can provide you with the details of your appointment.
The intent of the plan confirmation method is to allow individuals, i.e., PIs and other key personnel, on sponsored projects to review the plan at times of significant change or at least annually. When there are changes, e.g., receipt of an award, the review provides the PI and other key personnel with an opportunity to reflect on the effort reported, and either confirm or adjust effort as appropriate. This verification then allows the costs associated with actual effort to be charged to the sponsor or the University. At this time, the PI would also confirm that the plan (as verified or adjusted) also reasonably reflects the planned effort moving forward.
What is an effort distribution plan?
An effort distribution plan is the allocation of institutional effort, by percent, into major functions (i.e., teaching, research, and service).
Can my effort distribution be changed during the year?
Yes, the effort distribution may be changed when a significant change occurs (e.g., from 40% teaching to 20% teaching and 40% research to 60% research upon receipt of a new sponsored project) subject to the approval of the chair and/or dean. This change in appointment is reflected in the HR/Payroll system when the budget manager submits a chart string change form to adjust the appointment.
Proposed modifications to the effort distribution (e.g., released time from teaching) should be considered when the application is internally reviewed and approved by the chair and/or dean. The need for and approval of released time to accommodate effort proposed in a grant application is documented on the OSP checklist.
What constitutes certification or verification?
For exempt employees: certification or verification is performed electronically using the University’s online Effort Certification System.
For non-exempt employees: certification or verification is indicated by the signature of the principal investigator or in some cases an individual with direct knowledge (e.g., co-PI or supervisor) that the time reported has been worked on the project.
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Procedural Questions for Effort Certification
How often will exempt employees have to certify effort?
Exempt employees will certify effort during Syracuse University’s certification window. Each certification window can be up to three times a year and can be subject to change based upon system upgrades or other needs.
If an exempt employee has no effort charged directly to a sponsored project or as cost share during a certification time period, they will not receive the certification report for that period. Exception: employees whose compensation is from a salary-holding account will receive an effort certification form.
How often will non-exempt employees have to certify their hours?
Effective June 2007, weekly paper time sheets and the on-line payroll approval system have been modified to allow these resources together to fulfill effort certification requirements. Consequently the time sheet, signed by the employee and supervisor, will serve as the certification report. These time sheets are to be retained in the department program office according to the sponsor’s records retention period. The Office of Sponsored Programs will communicate this date upon award close-out.
Will individuals whose effort is supported solely by restricted accounts (i.e., fund 15) have to certify their effort?
Maybe, if these funds are used for cost sharing. Only those individuals who are supported by sponsored funds (fund 13) or whose effort is cost shared by a fund other than 13 (fund XX plus the “project tail” for cost-sharing) have to certify effort.
My grant’s project period started in the middle of the semester, but I did not receive award materials from the sponsor or University until the next semester. What do I do?
If you worked on the project during the fall semester, and your effort certification does not reflect this award, use the “Notify” feature on the certification screen to communicate with your pre-reviewer (usually your award’s budget manager) so that a Cost Transfer can be prepared and your certification form can be corrected for your approval.
What happens if I don’t complete the certification?
Depending on facts and circumstances, charges associated with uncertified effort may be moved from the award to departmental funds.
I did not in fact work the effort that was committed. What do I do?
Use the “Notify” feature on the certification screen to communicate with your pre-reviewer so that a Cost Transfer can be prepared and your certification form can be corrected for your approval.
I have effort committed to a grant award, but it is not showing up on the report. What do I do?
Use the “Notify” feature on the certification screen to communicate with your pre-reviewer so that a Cost Transfer can be prepared and your certification form can be corrected for your approval.
I worked more effort than I committed to a grant award. What do I do?
Use the “Notify” feature on the certification screen to communicate with your pre-reviewer so that a Cost Transfer can be prepared and your certification form can be corrected for your approval.
When I reviewed my effort information, some of my salary was excluded. Why?
Effort certification pertains only to those activities for which an individual is compensated for their institutional employment (institutional base salary) or for faculty summer research or other activities.
Extra service, overload, variable pay compensation as well as some kinds of ‘benefit pay-outs’ are excluded from effort reporting.
Earning codes and descriptions
Is training in effort reporting required, and if so, how will it be made available?
Yes, all department coordinators and sub-department coordinators are required to attend ERS training. In addition to training, all policies and procedures should be carefully reviewed to ensure compliance and accountability. Training is not mandatory for faculty and staff, although it’s strongly recommended that the home department provide some type of training or communication prior to their first online certification, as well stress the significance of certifying within a timely fashion (certification due date).
Are there any other obligations related to Effort Reporting that I am obligated to fulfill in addition to certifying after each semester?
It depends on your role on the award.
If you are the Principal Investigator or a key personnel on a sponsored project, you must also monitor your effort throughout the course of the award’s budget year. Many sponsors require that prior approval be obtained if effort committed to an award will be reduced by 25% or more, or if the PI or other key personnel will be absent from campus for 3 months or more. This absence includes research or administrative leave, even if you remain in Syracuse during leave.
If you reasonably anticipate your effort changing in the future, you should also work with your PI or budget manager to ensure that appropriate adjustments in your appointment are made as soon as practical and appropriate to do so.
Who manages ERS (Effort Reporting System)?
ERS, as part of the University’s financial system for grants management, is under purview of the Comptroller’s office.
The key ERS point of contact (CA – Central Administrator) is Kelly Moshier, a member of the Office of Sponsored Accounting (OSA). Kelly can be reached at x1764 or at ershelp@syr.edu. Other members of OSA are responsible for pre-audit of personnel charges, and also for assisting with the preparation of effort certification reports requested by sponsors or auditors.
What is ERS, and what is its relationship to Effort Reporting?
The Effort Reporting System (ERS) is an on-line proprietary software packaged licensed by the University that electronically calculates effort of individuals paid semi-monthly who have any of their compensation directly charged to a federal, state, foundation, corporate or private award or to University funds in support of the award (voluntarily committed effort or cost shared effort). ERS is accessed via a secure Syracuse University network.
How do I access ERS?
You access ERS through the MySlice portal using your existing MySlice NetID and password. You will see a link within the Administrative Applications box under the heading Effort Reporting called ERS. Click the link.
ERS is an administrative function within MySlice that can only be accessed from on campus or via a secure Syracuse network. If off campus, a VPN or similar secure remote connection must be obtained to access the system. If additional assistance is needed, please on contact your DSP (technical support personal) within your home department.
What is my NetID?
Your NetID is a personal identifier that is used to access SU computing resources. Please visit the ITS website for all NetID issues, or call (315) 443-2775.
What is my password?
Please visit the ITS website for all password issues or contact the ITS office for immediate assistance: (315) 443-2775.
How are employees assigned to departments in ERS?
Employees are assigned to departments in ERS based upon their “home” or “admin” department assignment in PeopleSoft.
How are accounts and awards assigned to departments in ERS?
Accounts/Awards are assigned to departments as they are assigned in the Financial Accounting System.
How do I fix incorrect data, such as the PI on a particular sponsored project or an incorrect home department, in ERS?
Incorrect data must be corrected in the source system for it to be corrected in ERS. For example, an incorrect home or admin department of an employee must be fixed in PeopleSoft. If project or user information is incorrect in ERS, please email ershelp@syr.edu and the Effort Reporting team will review your request and update as needed.
How do I handle situations when someone who worked on one or more of my projects also worked on projects directed by other Principal Investigators during the year?
The “Read Only” functionality has been created to help facilitate the certification process. This feature allows you (pre-reviewer) to view the sponsored effort and salary for individuals who work on awards belonging to your home department. It also allows you (pre-reviewer) to effectively communicate, by submitting notes to assist in the pre-reviewing of the form. The department/sub-department coordinator of the individual’s home department is responsible for checking the notes prior to completing pre-review.
Whom should I contact if I have questions or concerns about effort and effort reporting that are not addressed in this FAQ?
A dedicated email address, ershelp@syr.edu has been created to expedite responses to any additional questions or concerns you may have. All questions will be promptly answered.
An employee should’ve been charged to a sponsored/cost-shared award and received and effort form, but I don’t see a form for them in the pre-review section, what should I do?
Contact the Central Administrator (CA) and inform them of the issue.
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