Sponsored Effort
Nuts and Bolts at UD
How to ensure accurate data for
effort certification…make your life
easier!
Revised 7/11
Training Objectives
• Introduction to the web process
• How do we employ the transactions to do
the work for us?
– Proposal submission data awarded effort
– ProjectID Chartfield
– Journal Vouchers
– LAM
• The live process
Assumptions
• You have attended or viewed the Effort
certification training session I.
• You are knowledgeable about your faculty
workload policy
• You are, or you will work closely with, the
effort administrator in your unit
(GMQ_DEPT_EFFORT_ADMIN)
Web Process
• Paper SARs (sponsored activity reports) used prior
to March 2005
• Web-enabled process effective March 1, 2005
• All certification and adjustments will be handled
electronically
• Most employees have 2 effort periods. Faculty on
academic year contracts have 3 as of 2011.
Web Process
3 effort periods for academic faculty, effective 2011
Reporting by semester
Period 1: Fall semester (September – January 15)
Period 2: Spring semester (January 16 – May)
Period 3: Summer research (June – August)
2 effort periods for everyone else (no change in 2011)
AY split into two, six month reporting periods
Period 1: September - February
Period 2: March - August
Web Process
Effort Periods for Faculty on Academic Contracts
* Indicates a change in practice
Web Process
Effort Periods for everyone except academic faculty
Effort Periods
Period 1
Period 2
Performance
Period
September – February
March - August
Payments made September – February
March - August
Release date
Sept 10
March 10
Web Process
• Effort administrators will receive
notification of release on or about March
10 (for period 1), September 10 (for period
2) & October 10 (for period 3)
• Certifications should be routed promptly
and must be completed by 60 days after
the end of the reporting period
Let’s see it!
Administrative Maintenance
Administrator View
Administrator View (dollar)
Administrator View (percentage)
Administrator View (dollar)
Administrator View (process JV)
Cost Transfers (JV’s)
• Must be appropriate/allowable
• Should be within 90 days
• Not needed if within 5% variance
• Recalculate upon ‘refresh’
Effort Journals
• UD WebForms FINJournal Voucher
– restricts users from submitting a journal for a
‘closed’ effort period
– Forces the use of the effort certification
process to manage these corrections
– ‘closed’ effort periods are restricted
• ‘Open’ effort period cost transfers can be
handled on the UD WebForms FINJournal
Effort Journals
• Journals processed for transactions Prior
to PS data (July 1, 2002) will be handled a
bit differently
– Pull down menu “Prior to PS”
– Routes to Research Office for approval
– Requires revised paper SAR
Admin View (approval)
Approval
• TWO (2) “review and certify” are
necessary to complete the process
– Effort admin reviews and certifies accuracy
and forwards to employee
– Employee reviews and certifies
• IF employee is no longer at UD, then effort
admin can select “certify for former
employee”
Annual YTD view (dollars)
Annual AYTD view (percentage)
Employee View (top half)
Employee View (bottom half)
Employee Annual YTD View
Maintaining Good Data
Employing the transactions to do
the work for you
Where does the data live?
• Proposed effort is added to the proposal
budget at submission stage in the Grants
System by department administrators
• Committed effort is added to the award budget
screens in the Grants System by Research
Office staff
• All the data from the pay transactions and any
Journal is captured in the UOD_Trans_DTL
table
Proposed Effort
Effort is
proposed
Salary is
charged
Effort is
reported
Proposal stage
• Data is added to the detail budget screens in UD
Grants System for all UD employee whether PI,
Co-PI or senior personnel, listed as resources
on your grant proposal
• Data should include effort percent and whether it
is a summer month(s)
• Data inputted at the proposal budget can be
queried in GMQ_EFFORT_BY_PI_PROPOSED
Resource page
Budget Line Summary
Budget Line Detail
Awarded Effort
Effort is
proposed
Salary is
charged
Effort is
reported
Award Stage
• Once awarded, the Research Office
confirms the proposed effort has not
changed and enters the effort percent on
the appropriate Grants System panel
• Data can be queried in
GMQ_EFFORT_BY_PI_CURRENT
Transactions
Effort is
proposed
Salary is
charged
Effort is
Reported
Project Chart Field
• Speedtypes include inherited chart fields
• ProjectID is auto-included with grants and
contracts
• Include ProjectID on non C & G speedtype
transactions to relate the transaction to the
award (grant or contract)
Labor Allocation Module (LAM)
• Use the LAM to discern workload
• Use the LAM to delineate the research workload
portion into grant related effort and match
• LAM is per pay
• LAM Percentages remain in effect until changed
Effort Percentages
How much to commit for whom
and when???
Effort Percentages
• Effort entries in your project budget on the personnelsalary and benefits detail page are used for faculty work
loads
• The minimum amount of effort allocated to a project
allowed is 1% for each of the key personnel listed on the
proposal (or the minimum required by the program if
greater than 1%)
• The vast majority of project budgets are for one (1) year.
Regardless of what type of appointment (9 month, 10
month, or 11 month) held by a faculty member, the base
for calculation of effort is one year (12 months).
Effort Percentages
• On the most basic level, efforts are calculated as follows for a
typical 9 month faculty member with 3 months of summer
research:
– 1 month = 1/12 = 8% effort
– 2 months = 2/12 = 17% effort
– 3 months = 3/12 = 25% effort
• For portions of a month, use the decimal equivalent of the
fraction (or the percent ) of the month and divide by 12
– ½ month = 50% of month = .5, so 0.5/12 = 4% effort
– ¼ month = 25 % of month = .25, so 0.25/12 = 2% effort
– 1/3 month = 33% of month = .33, so 0.33/12 = 3% effort
Effort Calculations
Or…
50 ways to calculate one month
Workload Example
• Dr. Dots has a workload that combines teaching
and research
• Dr. Dots has a 9 month academic year faculty
appointment
• Dr.Dots teaches 3 courses in the first semester
and 2 in the second semester
• Each course is 3 credits
CBA 11.9
12 credit contact hours or 18 teaching contact hours per
week per semester constitutes a 100% workload for the
semester for the academic year. Assignment of a
workload of other credit-contact hours per week or
teaching contact hours per week per semester will be
prorated as a percentage of workload for the semester,
e.g. 9 credit-contact hours per week per semester
constitutes a 75% workload for the semester for the
academic year; 6 credit-contact hours per week per
semester constitutes a 50% workload for the semester
for the academic year; 3 credit-contact hours per week
per semester constitutes a 25% workload for the
semester for the academic year.
Faculty Workload
monthly distribution
Month
Teaching
Research
September
.75
.25
October
.75
.25
November
.75
.25
December
.75
.25
January
Summer Month
1.00
February
.5
.5
March
.5
.5
April
.5
.5
May
.5
.5
June
1.0
X
July
1.0
X
August
1.0
X
How much is a month?
Number of Months in
Appointment
% if +3
summer
months
% if +2 summer
months
% if +1 summer
months
9
8%
9%
10%
10
N/A
8%
9%
11
N/A
N/A
8%
12
8% for any month
Workload Calculation
Month
Teaching
Research
% Teaching
% Research
September
.75
.25
6%
2.3%
October
.75
.25
6%
2.3%
November
.75
.25
6%
2.3%
December
.75
.25
6%
2.3%
January
1.00
8.4%
February
.5
.5
4%
4.3%
March
.5
.5
4%
4.4%
April
.5
.5
4%
4.3%
May
.5
.5
4%
4.4%
June
1.0
8.3%
July
1.0
8.4%
August
1.0
8.3%
Totals
5
7
40%
60%
Dr. Dots Example
Workload
Category
Percentage
Research
(regardless of
funding)
60%
Instruction and
internal service
30%
Public Service
10%
• Dr. Dots has agreed to
spend
– 60% of his time (effort)
performing research
related activities,
– 30% of his time providing
instruction through
teaching or advisement of
students and
– 10% of his time providing
service to the public or the
institution.
• The total workload
needs to total 100%.
Dr. Dots Example
Proposal/Grant
Title
Amount
Budgeted
Research
Effort
Committed
Related Months
A—Happy
Widgets
$4,000
8%
1 (S – contract)
B—Sad Widgets
$0
2%
.25
C—Mad Widgets
$2,000
4%
.5
Total committed
$6,000
14%
1.75
Total
uncommitted
46%
So this is good news. We only have 14% committed for Dr. Dots. We
still have 46% left to commit or leave uncommitted.
Dr. Dots LAM Example
Speedtype
Project
Program
% for LAM
Distribution
1
ABCD110000
INST1
40%
2
ABCDDRES
INST2
54%
3
ABCD11MTCH
B—Sad Widgets
RSCH6
2%
4
C—Mad
Widgets
C—Mad Widgets
RSCH6
4%
Total
100%
LAM example (left)
LAM example (right)
LAM (left-more typical)
LAM (right-more typical)
How do I verify the accuracy of
my data?
• GMQ_EFFORT_BY_PI_CURRENT
• GMQ_EFFORT_BY_PI_PROPOSED
• C & P (other support report) accessible off
of the UD Processes menu
GMQ_EFFORT_BY_PI_XXX
Tips and Hints
Tips & Hints
• Always LOGOUT before ending your
session
– This allows a refresh at next log on which will
enable any changes to be viewable
• Be VERY careful where you send screens
– This is salary data and in the wrong hands
could be embarrassing
– Research Office can redirect to the correct user
– Once the WRONG recipient has received it,
that person will ALWAYS be able to view it
even if redirected
Tips & Hints
• Must refresh after a journal is processed to
see the recalculated amounts
• Do not try to open the Effort System in
more than one window at a time
• Use standard udel.edu email addresses,
not secondary email servers (ee.udel.edu)
Summary
• Use tools available to maintain accurate data
– Use Project Chart Field to delineate cost share and
direct sponsor charges
• Reduce cost transfers and other corrections
through attentive discussions with faculty about
effort
For more information
UD Effort Policy (6-5)
http://www.udel.edu/ExecVP/policies/research/6-05.html
Effort training
http://www.udel.edu/research/training/efforttraining.html
Effort FAQs
http://www.udel.edu/research/preparing/faq.html#effort
Manager of Effort Certification
effortcert@udel.edu or x4956