E120: Effort Reporting

Approved By: Faculty Senate and President
Effective Date: December 16, 2024
Responsible Faculty Committees: Research Policy Committee
Office Responsible for Administration: Vice President for Research (VPR) and Health Sciences Vice President for Research (HSVPR)

Applicability

This Policy applies to faculty and staff participating in sponsored research at or on behalf of UNM.

Policy Rationale

Conduct of research is a primary mission of The University of New Mexico (UNM). UNM is committed to ensuring that effort expended on federally sponsored agreements is appropriately documented, that salaries and wages charged to sponsored agreements reasonably reflect the effort expended on those agreements, that effort is certified by authorized personnel in a timely manner, and that effort certifications comply with sponsor requirements and federal regulations.

Policy Statement

Certification of effort is a federal requirement that UNM agrees to when a contract or grant is accepted that is fully or partly funded by the federal government. Timely effort reports, generated by UNM, are used to document the certification of effort. The federal requirement is designed to ensure that:

a) The percent of effort expended on each project is not less than the percent of effort committed to the sponsor to spend on the project; and

b) The percent of effort expended on each project is not less than the percent of salary charged to the project.

Procedures

To comply with federal requirements, an individual with first-hand knowledge of the work performed and the benefitting sponsored project shall certify effort reports in a timely manner.

Monitoring Uncertified Effort Reports: UNM is committed to ensuring that effort reports made in connection with federally sponsored projects are accurate, timely, reasonably reflect the actual level of effort expended, and comply with all agency requirements. It is each department’s responsibility to ensure that a process has been appropriately established to certify effort reports on a timely basis. Effort reports that are outstanding at the certification deadline may result in salary and related costs being disallowed by the federal funding agency. Principal Investigators, department chairs or equivalent, and deans/directors or above, as appropriate, will be notified of effort reports that have not been certified.

Independent Evaluation: The UNM President or designee will ensure that there are periodic reviews of the effort reporting system.

Definitions

Who Should Read This Policy

• Faculty
• Staff
• Department chairs, academic deans and other academic administrators and executives

Related Documents

• UNM Regents' Policy Manual Policy 5.13 “Research Fraud”
• Faculty Handbook Policy E30 “Research Data Management”
• Faculty Handbook Policy E40 “Research Misconduct”

Contacts

Direct any questions about this Policy or its components to the Office of the Vice President for Research (OVPR) or the Office of the Health Sciences Vice President for Research (HSVPR).

History

• December 16, 2024 - Approved by University President
• November 27, 2024 - Approved by Faculty Senate
• March 28, 2012 - Approved by Provost
• February 23, 2010 - Approved by Faculty Senate
• March 13, 1973 - Approved by University Faculty