1315 PR.04 Effort Reporting

Revision Date: 
April 20, 2021

Contents

1.     Effort Reporting Overview

2.     Frequency of Effort Reporting

3.     Effort Certification Reviewer Training

4.     Accessing Effort Certification Statements in Workday

5.     Completing the Effort Certification Process

6.     Receiving Notifications During the Effort Certification Cycle

7.     Escalation Process

8.     Effort Report Template

9.     Effort Reporting Requirements for an Exiting PI/Faculty Member

10.   Effort Reporting Requirements for PI/Faculty Member Post-Departure

11.   Frequently Asked Questions

12.   Roles & Responsibilities

Effort reporting is the process the University utilizes to document effort expended on sponsored projects during each effort reporting period.  The Effort Certification Statement (ECS) is the mechanism through which effort devoted to sponsored projects, teaching, clinical practice, and other activities, expressed as a percentage of total University effort is documented.

Note:  Certification for certain personnel that are paid weekly, such as temporary employees and service and maintenance staff, is accomplished through signature verification by the appropriate individual within the certification block on Form 3502 FR.01 Temporary Employee Payment Request.  Certification for undergraduate students is accomplished through the eTimesheet system by the supervisor of the student certifying electronically to the hours worked.

Exceptions to completing an ECS apply to:

  • Graduate Students supported 100% by a training grant or partially supported by a training grant and university funds.
  • Yale personnel who are 100% devoted to an Interpersonnel Agency Agreement (IPA) with a federal agency.

The effort reporting periods (and the month in which the ECS is initiated) for individuals charged to sponsored awards are illustrated in the Table below.  It should be noted that shortly after the close of an effort reporting period, ECSs are initiated by the Sponsored Projects Financial Administration (SPFA) Effort Certification Manager (ECM).

Effort Period

Covered Individuals

Spring and Fall Academic Terms

(January & June)

Graduate students

Summer

(September)

Graduate students and 9-month Faculty summer compensation

Semiannual

(January & July)

Professionals, Faculty and Staff

To be better informed of effort reporting periods and processes, the ECM posts an Effort Reporting Calendar on the Effort Reporting website.  This calendar informs the community of current and subsequent effort schedules.   

Note:  It is the responsibility of the ECM to monitor the effort reporting process in Workday.  Such monitoring includes but is not limited to the rate of completion.  Effort reports are expected to be certified within 60 calendar days from the date of the availability notification.

Effort Certification Reviewer (ECR) assignment in Workday is managed by the ECR’s supervisor.  In order to participate in the effort certification process, the ECR must first review the following training guides and complete the required training courses:

Workday can be accessed via the Workday at Yale website or from the It’s Your Yale website.  If logging into Workday from an off-campus location, Multifactor Authentication is required.  Information regarding Multifactor Authentication and login is located at ITS Help Desk.

Certifiers and administrators responsible for the successful completion of ECSs can access ECSs via their Workday Inbox.  The Workday Inbox is accessed either by clicking the inbox icon in the upper right corner of the Workday screen or from the Inbox worklet on the Workday homepage.

The actions below support the effort reporting process and help ensure the timely and accurate completion of ECSs. 

Action 1:  Communicate Timelines and Expectations

ECRs in order to better manage the effort certification process, should establish a timeline and set expectations according to policy and procedure within the department to ensure the effort certification process is completed in a timely fashion.  At the initiation of an effort reporting period, ECRs need to inform the certifiers that an ECS will be available for their certification.  A sample email is provided in the attached Appendix.  This communication may assist in the identification of any individuals who are traveling or have left the University via an auto-response. 

Action 2:  Faculty No Longer at Yale

ECRs must ensure effort report templates for faculty that left Yale during the effort reporting period are completed and in accordance with the Effort Reporting Requirements for an Exiting PI/Faculty Member process described below.

If a PI/faculty member left Yale prior to completing an effort report template, the ECR should follow the Section 10: Effort Reporting Requirements for PI/Faculty Member Post-Departure process described below.

Action 3:  Administrative Review

ECRs should review ECSs with the faculty member as part of the “effort portfolio” review of the sponsored award(s) financial statement meeting.     

The ECR reviews the routing of ECSs as dictated by the grant costing information identified on the ECS.  It is possible that an ECS may have multiple ECRs.  In such cases, the ECS will appear in the Workday Inbox of each ECR.  The first ECR to complete the administrative review process will trigger Workday to automatically route the ECS to the certifier(s) even though the remaining ECRs may not have had the opportunity to view the ECS.  Therefore, it is highly recommended that the administrative review of ECSs is conducted by an ECR in the covered individual’s home cost center.  The ECR in the covered individual’s home cost center should have a complete understanding of the employee’s full payroll costing allocation.

If, however, there is no grant costing within the covered individual’s home cost center, the home cost center is not included and does not perform an administrative review.  In this situation, administrative review should then be performed by the ECR assigned to the grant with the largest percentage of effort.  The ECR would communicate with any remaining assigned ECRs in order to complete the review process.

In order to identify any other ECR(s) with an administrative review role within the effort process, the Workday report titled, “Effort Certification Status Report – Yale” should be utilized.

When an ECR runs “Effort Certification Status Report – Yale” and includes all grant hierarchy assignments in the Organization report prompt, the results will include a complete list of all ECSs assigned to the ECR for review.  It is recommended that ECRs use this report when reviewing ECSs and filter the results by the employee’s home cost center to review this population first. 

For assistance, an Effort Certification Reporting quick guide is located at the Workday@Yale Training website.

Action 4:  Payroll Changes

ECRs should discuss with the certifier any potential payroll changes early in the process and prior to certification.  Identified changes should already be made and incorporated in the ECS prior to the certifier receiving the ECS to certify.

If a certifier identifies a necessary change during the certification process, the certifier should “Send Back” the ECS.  The ECS will be sent back to the ECR that completed the administrative review.  If the ECR who performed the administrative review is:

  • assigned to the certifier that sent the ECS back, the ECR will make the requested change and submit the administratively reviewed ECS; or
  • not assigned to the certifier that sent the ECS back, the ECR should reassign the ECS to the ECR assigned to the certifier requesting the change.  Once reassignment to the appropriate ECR is completed, the ECR will make the requested change and submit the administratively reviewed ECS. 

Action 5:  Effort Certification

Faculty must certify their own ECSs.  All “Grant” Principal Investigators certify the ECSs of non-faculty and students. 

Certifiers should verify, prior to reviewing and certifying an ECS, the effort commitment made to the sponsor by reviewing the proposal and/or progress reports, as well as the award document.  Questions regarding allowable reductions in committed effort should be directed to OSP’s Award/Contract Manager, as appropriate.  

ECRs should monitor ECS completion on a weekly basis and provide assistance to certifiers. 

Action 6:  Payroll Accounting Adjustments (PAAs) for Certified Effort Certification Statements

A certified ECS that includes changes to effort percentages will automatically initiate a “Create Payroll Accounting Adjustment (PAA) for Effort Certification” task.  The “Create PAA for Effort Certification” task will route to the Cost Center Payroll Accounting Adjustment Specialist(s) assigned to the employee’s home cost center.  The PAA is populated with the journal lines impacted by the effort change made in the ECS.  The PAA should always be reconciled to ensure the journal lines accurately represent the effort change made in the ECS.  A retro payroll event that impacts pay period(s) included in the certified effort period could adversely impact the accurate population of journal lines of the PAA.  The PAA journal lines should not be changed since it represents the PI’s certification, however, if an inaccuracy is identified during reconciliation, the ECM should be contacted for resolution guidance. 

The Cost Center Payroll Accounting Adjustment Specialist is responsible for uploading supporting documentation and completing the cost transfer questionnaire, as required.  If a PAA is denied, canceled, or rescinded, a Workday notification is automatically sent to the ECR(s) assigned to the grant(s) identified in the PAA.  Denied, cancelled, or rescinded PAAs for Effort Certification must be resolved.  Contact the ECM for assistance.

Action 7:  Monitoring Completion of the Effort Certification Process

ECRs monitor the completion of ECSs and PAAs. The Workday report titled, “Effort Certification Status Report – Yale” is available and recommended in order to monitor the certification progress as well as, ECSs reviewed by other assigned reviewers.

For assistance in monitoring the effort process, an Effort Certification Reporting Training Guide is located at the Workday@Yale Training website.

Messages regarding the effort reporting cycle are delivered to ECRs and certifiers by email.

The following matrix describes the escalation process for those ECSs that have not been certified by the certification deadline.

Day 70 after initiation
(10 days overdue)

Day 90 after initiation
(30 days overdue)

Day 120 after initiation
(60 days overdue)

ECM escalates a list of all outstanding ECSs to the Lead Administrator and Operations Manager assigned in Workday to the home cost center of each employee with a pending action item.

ECM escalates a list of all outstanding ECSs to the Senior Director assigned in Workday to the home cost center of each employee with a pending action item, with a request for resolution and response.

ECM escalates the list of outstanding ECSs to the SPFA Senior Director who will contact cost centers informing them to remove payroll expenses related to the uncertified ECSs.

Under certain situations, an individual may have devoted some percent of committed effort to a Yale sponsored project, but Workday did not generate an ECS.  Examples of such situations are described below:

  • Covered individual is on the Executive (Confidential) Payroll;
  • Covered individual is on a sabbatical leave for the entire effort period and is continuing his/her commitment to the sponsored project;
  • Individual is paid 100% by a non-Yale source and devoting effort to Yale sponsored awards (i.e., Howard Hughes Medical Institute or the Veterans Affairs Connecticut Healthcare System); and
  • Covered individual plans to leave Yale prior to the close of an effort reporting period.

If an ECS is not generated, it is the responsibility of the Operations Manager or Lead Administrator to complete Form 1315 FR.01 Effort Report, ensure that it is appropriately certified, and submit Form 1315 FR.01 Effort Report according to the instructions on the form.

Prior to a PI’s or faculty member’s permanent departure from Yale, s/he is required to complete the requisite effort reports for him/herself and those for which they are directly responsible.

If the PI is transferring awards to another institution, effort reports should be submitted prior to Yale’s relinquishment or transfer of the award.

The steps below describe how to document effort when the certifier is leaving Yale during an effort reporting period and prior to a Workday generated ECS.  The completion of these steps does not replace certification in the system of record (Workday), but rather serves as supporting documentation for the certification of the Workday generated ECS.  

1.  ECR reviews the PI’s portfolio of awards and identifies effort commitments of personnel indicated in the proposal to the associated sponsored project accounts (including cost sharing).

2.  ECR ensures all individuals are charged appropriately to the awards.

3.  ECR confirms the distribution of salary of all individuals charged to the account(s) indicated in the costing allocation or via financial review is appropriate to the award(s).  ECR adjusts any labor that are on a suspense or incorrect account. 

4.  ECR uses Form 1315 FR.01 Effort Report to create an effort report for each individual identified, including the PI. 

5.  The appropriate individual (covered individual, PI, or designee) must sign the Effort Report template in accordance with Policy 1315 Effort Reporting: Certifying Effort on Sponsored Projects.

6.  When ECSs are initiated in Workday, if the payroll percentages do not match the actual effort certified by the PI (or designee) on the effort report template, ECR corrects the ECS accordingly.   

7.  ECR attaches the signed effort report and any supporting documentation to the ECS during the administrative review process. 

8.  ECR emails the signed effort report to effort.reports@yale.edu and requests the ECM to reassign the Effort Certification Reviewer (ECR) as certifier in order to complete the certification process.  This is permissible due to the existence of the attached signed effort report supporting the Workday certification process.

ECRs must ensure effort report templates for faculty that left Yale during the effort reporting period are complete and in accordance with Section 9: Effort Reporting Requirements for an Exiting PI/Faculty Member process described above.

If the process was not followed, the ECR should contact the departed faculty member to collect a signed effort report template for him/herself and staff/students and continue to follow the established process.  If the ECR is unable to collect a signed effort report template, the ECR should communicate this matter with their Operations Manager or Lead Administrator for resolution.

11. Frequently Asked Questions

1. How is “total effort” defined?

Total effort is defined as actual effort devoted to all the activities for which Yale compensates an employee for their appointment.

For faculty at Yale, 100% effort is the total time spent conducting University business regardless of the number of hours worked and includes teaching, research, clinical, administrative, and public-service activities.  Most ladder faculty generally have responsibilities that would preclude them from devoting 100% of their time to sponsored activities.

For non-professional staff positions, 100% effort consists of total hours worked including overtime.

2. Can a faculty member who is working part-time at Yale use his/her uncompensated time to write and submit a Yale proposal?  

Yes.  For example, a Senior Research Scientist whose salary and corresponding effort is reduced from a 100% FTE to a 75% FTE due to a reduction in funding, may use the uncompensated time to prepare and submit proposals to sponsors.

3. Who are “covered individuals”?

Anyone who has committed effort to a sponsored project (excluding fellowships) or is paid by a sponsored project at Yale must have his or her activities certified in an effort report; thus, that person would qualify as a “covered individual” for whichever period(s) they perform sponsored activities.

4. When is it necessary to make changes to an Effort Certification Statement?

The percentages in the Certified Percentage of Total Estimated column of the Workday ECS are provided for informational purposes only.  They represent the payroll costing allocation (averaged over the reporting period) of the covered individual’s compensation among the listed sponsored projects and other activities.  That distribution may or may not be consistent with actual effort on the projects and activities and can be adjusted as appropriate. 

If the Certified Percentage of Total Estimated percentages on the ECS do not correspond to the percentages of the individual’s actual effort for the listed projects or activities (or other projects or activities that may not be listed), the person completing administrative review of the form should make the necessary changes to the ECS.

The Certified Percentage of Total Estimated percentages populated on the ECSs may not always represent the effort devoted; they reflect the percentage of salary charged to each account averaged over the reporting period.  When certifying the ECS, the criterion to be used is how the individual’s effort was expended for the reporting period ensuring that the effort devoted is not less than the salary charged.  Effort expended as voluntary uncommitted cost sharing should be reflected in the Comment box on the ECS.

5. Can a previously certified ECS be changed?

Salary reallocations made as a result of the effort certification process must be made in accordance with University policies and procedures on salary reallocations and cost transfers.

Once certification of effort has been completed in Workday, only in rare circumstances will subsequent salary adjustments be permitted.  If it is necessary to adjust the salary charges for a previously certified effort period, documentation must provide a detailed explanation of the need for the salary adjustment and subsequent recertification.  This documentation must be approved by the PI and be submitted to SPFA for approval.  If approved, a recertification of the effort period may be required.

6. For someone working on multiple sponsored projects, how should committed effort on a sponsored project be documented if paid for by the University (cost shared)?

Sponsored project effort not compensated by an award but committed as part of the proposal and subsequently awarded is a financial responsibility of the University.  In order to fulfill this responsibility, salary must be charged to cost sharing COA values.  Payroll costing allocations must be maintained in order to appropriately charge subsequent salaries to the cost sharing COA values.

7. If I worked on one or more sponsored projects and did not charge salary to any of them, do I need to submit an ECS?

Depending on the circumstances, there are situations when an ECS is not generated and committed effort was devoted to a sponsored project.  In such situations, the responsible ECR must access the effort report template: Effort Report for completion and certification purposes.  Instructions for completion are located here: Form 1315 FR.01 Effort Report Instructions.

8. What if I need to start my research and expend effort and incur costs on an award prior to receiving a fully executed contract, grant, or cooperative agreement?

For situations where an award is delayed, contact OSP to determine if an At-Risk Account is appropriate to request/create.  No work for an award should begin until such determinations are made.  Remember, At-Risk Accounts are subject to compliance requirements contained in Guide 1304 GD.01 At-Risk Accounts.

9. What if my effort on a particular grant changes over time or is significantly different from committed effort?

It is the PI’s responsibility to obtain University (Chair and OSP) and sponsor prior approval for absences greater than 3 months or significant (25% or more) reductions of effort of the PI or others named in the award notice (check sponsor specific terms and conditions and sponsor policy manuals).  Salary charged to an award that is greater than the effort devoted must be adjusted accordingly.

10. How is “cost sharing” defined?

A portion of total sponsored project costs not funded by the sponsor (unless otherwise authorized by Federal statute).  Refer to Policy 1306 Cost Sharing on Sponsored Projects for additional information on Cost Sharing.

11. How should salary over a sponsor-imposed salary rate cap be captured?

When a salary over the cap situation occurs, both the salary charged to the award and the salary representing the capped amount must together fulfill the commitment of effort made to the sponsor.  It is imperative that the capped amount/% is properly coded so it is reflected in the sponsored awards section of the Effort Certification Statement.

Irrespective of a sponsor-imposed salary cap, all individuals impacted by the cap must devote the effort to which they committed in the proposal and subsequently awarded.  (Review Policy 1316 Effort Commitment: Managing Effort Associated with Sponsored Projects).

The salary exceeding the sponsor’s “capped amount” must be accounted for with COA values that include the same grant worktag as the reimbursed salary.  (Refer to Procedure 1315 PR.03 Salaries Above a Sponsor Imposed Rate Cap). 

Note:  Carefully check award notices and referenced manuals/handbooks (both federal and non-federal) to determine if sponsors other than those applicable DHHS agencies apply a sponsor imposed rate cap.

12. Why does a graduate student’s ECS often show 100% funded research while being supported by a training grant?

The Uniform Guidance (2 CFR Part 200) exempts effort devoted to training grants from the effort reporting requirement.  Therefore, if a graduate student is a trainee supported by a training grant and also supported on a research award, only the research award will appear on the ECS as 100%.  This means that 100% of the pay received for that reporting period was for the effort devoted to the research award only.

However, if the graduate student is supported on a research award, a training grant, and is also receiving compensation for teaching, both the compensation for teaching and the research will appear on the ECS.

13. If a postdoc is both a PDA and a PDF during a reporting period, why is it the effort percentages do not include compensation received as a PDF

The Uniform Guidance (2 CFR Part 200) exempts all remuneration paid on fellowships from the effort reporting process.  PDFs may also receive salary compensation for research services.  Refer to Guide 3550 GD.01 Postdoctoral Fellows: Sponsored Payments of Compensation, Augmentation of Stipends.

14. As a faculty member, in order to receive summer salary, when must I expend the effort?

Faculty who receive summer salary from sponsored projects are required to certify to the effort devoted during the summer effort reporting period.  Effort expended during the academic year on a sponsored project cannot be applied to the summer effort reporting period.  A request to the Provost’s Office for summer salary indicates a commitment to put forth the comparable effort on the particular project during the summer, not the academic year.  Effort expended during the academic year does not satisfy a commitment related to the receipt of summer salary.

15. Can I claim three months of summer compensation and still have other summer activities?

Faculty compensated for 9-month academic appointments are permitted to expend up to an additional 2.5 months of summer effort on one or more sponsored projects in the period beyond the academic year (i.e., during the summer research period) and earn up to 2.5 months of additional salary for that effort, subject to sponsor and University policies and the approval of the department chair and dean/provost.

If a faculty member has administrative or other non-research responsibilities during the summer period, they are precluded from devoting 100% effort to sponsored projects and thus from requesting 3 months of salary from those sponsored projects. 

16. What are the special requirements for Veterans Affairs Connecticut Healthcare System appointments?

Refer to Guide 1411 GD.01 Memorandum of Understanding Requirements: Faculty with both a Veterans Administration Medical Center and Yale University Joint Appointment

17. What are the typical effort requirements for NIH Career Development (K) Awards?

The NIH requires that total salary requested on a K Award be based on a full-time, 12-month staff appointment requiring the candidate to devote a % of full-time professional effort (usually 75%) to conduct health-related research.  The remaining effort may be devoted to clinical, teaching, or other research pursuits and activities consistent with the objectives of the award.  Please review the following NIH requirements:

18. Should PI effort, devoted to other research awards and charged to the K award, be explained in the ECS Comments box? 

Salary for effort related to the career development plan is typically supported by the K award funds to provide protected time (usually a minimum of 50% or 75% effort) required for the training experience; therefore, the effort report will reflect only the salary percentage charged specifically to the K award.  Though not required, the administrator or the faculty certifier are encouraged to explain (in the ECS Comment box) the concurrent effort devoted to other research awards that are in support of the career development plan.  The inclusion of the % effort devoted to other research awards supports the commitments made to those sponsors.     

Note:  The K award proposal or annual progress reports must include references to all related research and clinical activities consistent with the objectives of the K award.

19. Is it required to account for salary in excess of a Career Development (“K”) award program’s salary limitation as well as, document effort that meets the minimum effort requirement? 

Yes.  The maximum salary that is allowed to be charged directly to a K award is limited by the NIH’s institute or center (or other sponsoring agency who award Career awards).  If the PI’s salary exceeds the limit, the University must account for that salary in excess of the salary limit.  However, the salary in excess of the limit is not considered institutional cost sharing. 

The table below illustrates three salary limit scenarios.  In the first two examples, the PI’s salary exceeds the sponsor’s limit.  In general, to account for the excess salary (supporting the effort requirement) the excess is normally charged to a non-sponsored award COA value that includes the Grant and the University source of funds supporting the salary excess amount.

PI’s IBS

Career Program Salary Limitation

Minimum Effort Required

Payroll %

K Award

Payroll % Unrestricted (KSL)

$130,000

$90,000

75%

69%

6%

$125,000

$90,000

75%

72%

3%

$90,000

$90,000

75%

75%

0%

If a linked account cannot be achieved (e.g., the CMHC staffing contract), a note can be entered in the Effort Certification Statement’s Comment box reflecting the percent effort being supported by unrestricted funds.  Illustrative Comment box example: “The PI’s salary representing the 75% effort commitment to the K award exceeds the amount allowable by the sponsor and is additionally supported by the CMHC staffing contract.  Therefore, only 69% of the PI’s salary is directly charged to the K award and the remaining 6%, fulfilling the 75% commitment, is supported by XXXXX account.”  

20. Should PI/Key Personnel committed effort devoted during sabbatical or triennial leave and charged to University funds, be noted in the ECS comment box?

Yes.  If the faculty member is charging his/her salary to both a sponsored award(s) and the sabbatical account during the effort reporting period an ECS will be generated.  In this situation, any portion of committed effort devoted to a sponsored award and charged to the sabbatical account must be identified as a note in the ECS Box.  The notated effort documents the cost shared effort supporting the commitment to the sponsor.  

If the faculty member is on sabbatical/triennial leave for 6-months/4-months and entirely paid by the University (non-sponsored funds) and devoted effort on a sponsored award(s), a paper form must be completed.  Also, the salary charged would be considered cost sharing (Refer to Section 8 above) and accounted for accordingly.

21. What happens if a PI refuses or otherwise fails to certify?

If the PI refuses to certify to his/her effort and salary on a sponsored project, then that salary must be removed from the award.  The certifier will need to send back the ECS so that the ECR can move charges from the associated award(s) to a Yale Designated, gift or other non-sponsored, unrestricted account.

Failure to comply with the requirements of Yale’s effort reporting policies and procedures may subject the individual and DBO to administrative and/or disciplinary actions in accordance with University disciplinary procedures.  Specifically, and without limitation:

  • If ECS are not completed and returned in a timely manner, salary costs associated with uncertified grant activity may be removed and charged to a departmental account;
  • OSP may suspend submission of any new proposals on behalf of a noncompliant PI (or inclusion of a noncompliant researcher) in proposals until ECSs are up-to-date and properly completed and certified; or
  • Certification of ECSs that are known at the time of submission to be materially inaccurate may expose the individual who completed the reports to personal disciplinary action.

Effort Certification Manager (ECM)

  • Determines which reporting periods need to be initiated and when initiation will occur;
  • Generates ECSs for all departments;
  • Notifies ECRs via e-mail when ECSs are ready for the certification process;
  • Monitors overall completion for the University;
  • Performs review to ensure data integrity;
  • Supports the certification process; and
  • Escalates outstanding ECSs, as appropriate.

Effort Certification Reviewer (ECR)

  • Understands Yale’s policies/procedures and has completed related required training;
  • Facilitates a timely and efficient process for those individuals required to certify effort;
  • Reviews ECSs and makes appropriate adjustments both prior to and post certification;
  • Understands the sponsored accounts included on the ECSs assigned to them for review, including but not limited to proposal budgets, effort commitments, the terms and conditions of the sponsored award as well as sponsor handbooks, policies, and guidance;
  • Provides assistance to faculty with the use of Workday and the effort certification process;
  • Captures cost sharing properly;
  • Ensures that ECSs are reviewed and properly escalated for timely certification in accordance with the due dates established by the University; and
  • Monitors the processing of PAAs resulting from the certification process.

Effort Certification Analyst (ECA)

  • Understands and has a working knowledge of Yale’s policies/procedures including but not limited to effort commitments, effort reporting, and cost transfers; and
  • Responds to department personnel questions regarding effort reporting policies and procedures.

Lead Administrator, Operations Manager and Senior Director

  • Acts on escalated ECSs to ensure completion.

Certifier

  • Is aware of his/her level of committed effort to sponsored projects;
  • Ensures that changes to an ECS are communicated to the ECR;
  • Ensures that any effort changes requiring sponsor prior approval to committed effort are appropriately communicated to the OSP Award Manager;
  • Notes voluntary uncommitted cost sharing in the ECS comments field;
  • Reviews the ECS to ensure the percentages correctly represent the covered individual’s effort based on salary charged to the award and the commitments made to the sponsor;
  • Communicates any significant changes in level of sponsored projects effort to his/her Grant Manager;
  • Has the necessary knowledge and understanding of the committed effort expectations for those individuals assigned to his/her projects; and
  • Reviews and certifies ECSs.

Appendix

Sample Email to Certifiers – Announcing Effort Certification Cycle

To:  Department Certifiers

From:  Department Business Office

Subject:  Effort Reporting Period is Open in Workday

On [insert initiation date] the effort reporting period was initiated and Effort Certification Statements (ECS) will be available for your certification.

Certifying effort is a condition of receiving sponsored awards.  The University must assure sponsors that the salary charged to the sponsored award is at a minimum commensurate with the effort devoted.  In addition, the University must assure sponsors that the commitment indicated (including mandatory and voluntary committed cost sharing) in the proposal and subsequent award is met in accordance with the sponsor’s terms and conditions.  The University provides this assurance by requiring the completion of periodic ECS for each individual whose salary is charged to one or more sponsored projects and/or cost sharing accounts during the effort reporting period.  Yale Policy 1315 Effort Reporting: Certifying Effort on Sponsored Projects.

The effort period covering [insert dates] is now open.  Certification is due [insert date].                

It is recommended that you meet with your business office support contact to review the ECS assigned to you for certification.

An additional resource, found at the Workday@Yale Training website, is available to walk you through the certification process in Workday.

If you are accessing Workday while off-campus; please note that a Virtual Private Network (VPN) connection is required to log into Workday.  All technical questions related to establishing a VPN connection should be directed to the ITS Help Desk.