1. Effort Reporting at Vanderbilt Presentation to Faculty Dennis Hall, Associate Provost, Research & Graduate Education Tim McNamara, Associate Provost, Faculty

2. Chronology: A Few Dates Feb. 2003Northwestern audit Feb. 2003Northwestern audit $5.5M Dept. of Justice settlement (effort reporting) $5.5M Dept. of Justice settlement (effort reporting) Spring 2005UAB settlement Spring 2005UAB settlement $3.4M (effort reporting) $3.4M (effort reporting) Jan. 13, 2006Science article Jan. 13, 2006Science article “U.S. Rules on Accounting for Grants Amount to More than a Hill of Beans” “U.S. Rules on Accounting for Grants Amount to More than a Hill of Beans” June 30, 2006DGH Memo: NSF Labor Audit at VU June 30, 2006DGH Memo: NSF Labor Audit at VU

3. Chronology: A Few Dates July 24, 2007Provost’s memo to Deans July 24, 2007Provost’s memo to Deans “Effort Declaration and Certification” “Effort Declaration and Certification” Oct. 19, 2007Major Effort Meeting Oct. 19, 2007Major Effort Meeting Deans of A&S, Engineering, Peabody; Associate Provosts; representatives from GC, OCGA, Provost’s Office of F&A Deans of A&S, Engineering, Peabody; Associate Provosts; representatives from GC, OCGA, Provost’s Office of F&A Many issues surfaced Many issues surfaced Nov. 19, 2007Interim Chancellor’s memo to Deans Nov. 19, 2007Interim Chancellor’s memo to Deans “Our Continuing Work on Accounting for Effort” “Our Continuing Work on Accounting for Effort” Dec. 6, 2007Interim Chancellor & VC-Health Affairs memo to Deans Dec. 6, 2007Interim Chancellor & VC-Health Affairs memo to Deans “Transinstitutional Effort of Faculty” “Transinstitutional Effort of Faculty”

4. Effort: Basic Principles Effort is more fundamental than compensation. Effort is more fundamental than compensation. Declare and certify all institutional (!) effort, specify each element as a percentage of the total institutional effort (T.I.E.) Declare and certify all institutional (!) effort, specify each element as a percentage of the total institutional effort (T.I.E.) Elements must sum to 100%. Charge federal sources for the appropriate shares of the T.I.E. Elements must sum to 100%. Charge federal sources for the appropriate shares of the T.I.E. Consulting, grant-review panels, etc. are not included in T.I.E. Consulting, grant-review panels, etc. are not included in T.I.E.

5. Effort: Basic Principles Corollary: When compensation for a particular period of time is charged to a federal source, the feds’ expectation is that the corresponding effort (i.e., via the base salary) has been expended entirely on the work funded by that source. Corollary: When compensation for a particular period of time is charged to a federal source, the feds’ expectation is that the corresponding effort (i.e., via the base salary) has been expended entirely on the work funded by that source. Incidental activities: 2.5% (1 hour per 40-hour week; 1.5 hours per 60-hour week) Incidental activities: 2.5% (1 hour per 40-hour week; 1.5 hours per 60-hour week) Effort spent writing proposals cannot be charged to grants (rare exceptions) Effort spent writing proposals cannot be charged to grants (rare exceptions) Reasonableness standard (very important) Reasonableness standard (very important) T.I.E = everything we do as part of our jobs as college professors, no matter when or where the activity is performed. T.I.E = everything we do as part of our jobs as college professors, no matter when or where the activity is performed. Effort certification cannot be based on the number of hours worked; percentages are required. Effort certification cannot be based on the number of hours worked; percentages are required.

6. Resources Limit Summer Grant Support Carnegie Mellon Carnegie Mellon Cornell Cornell Dartmouth Dartmouth Duke Duke Harvard Harvard Michigan State Michigan State MIT MIT Penn State Penn State U. Michigan U. Michigan U. Rochester U. Rochester Aware, and ~ Working on it Emory Emory Northwestern Northwestern Stanford Stanford Washington U. Washington U. USC USC Field Manual: “Policies and Practices: Compensation, Effort Commitments and Certification” (COGR, March 1, 2007) VU Websites: http://www.vanderbilt.edu/ocga/vupolicies/effortreporting/efforttableofcontent.htm http://www.vanderbilt.edu/ocga/vupolicies/vupolicies.htm Not Yet Aware NYU NYU Rutgers Rutgers U. Kansas U. Kansas U. Nebraska U. Nebraska U. Pittsburgh U. Pittsburgh

7. Remaining Challenges, Works in Progress Aligning the administrative and academic calendars Aligning the administrative and academic calendars Personnel paid 100% from federal grants/contracts Personnel paid 100% from federal grants/contracts The lack of an institutional policy on “vacations” for faculty The lack of an institutional policy on “vacations” for faculty Others Others