Summary Statement

Effort Certification documents the effort of a person who worked on a federally funded grant, contract or cooperative agreement; it is the equivalent of a receipt for items purchased using grant money. Each individual must certify in writing the amount of time (or percent of effort) spent working on the grant-funded project for a given period of time. Because personnel are paid from grants based on the anticipated amount of time they will spend on the project in a future period (such as paying a month of faculty salary for a summer project), they need to certify retroactively that they did in fact devote the commensurate amount of time to the work. An Effort Certification report should reasonably reflect the activity for which the employee is compensated.

Authorities Delegated and Retained (Administrative Responsibility)

The President of the College delegates administration of the College's research activities to the Dean of the Faculty. The Dean of the Faculty delegates responsibility for Effort Reporting oversight to the Director of Faculty Research Support.

Purpose of These Procedures

As a recipient of federal funds, Colorado College must comply with the Office of Management and Budget (OMB) §200.430 Cost Principals of the Uniform Guidance (UG), which went into effect December 26, 2014, and requires that any compensation for personal services be based on the institution’s records and those records must accurately reflect the work performed.

While UG has shifted focus towards internal controls rather than specific documentation, Colorado College will continue to utilize the after-the-fact effort reporting system currently in place. This process ensures that salary and wages are properly expended and that actual effort is consistent with the originally budgeted effort. 

Employees to Whom These Procedures Applies

The distribution of salaries for employees working on federally funded projects will be supported by the Effort Certification Report form. Hourly employees and student workers will not use this form as their time is certified via electronic time sheets. 

Definition of Effort

Effort Certification reporting will reasonably reflect the percentage distribution of effort by Colorado College faculty and exempt employees charged to federally funded projects. Effort is not determined based on a 40-hour week but rather on total hours worked. It is based on 100% of activities for which you are being compensated, including sponsored and non-sponsored activities, for a given time period. Effort is expressed as a percentage. 

Roles and Responsibilities

The Director of Faculty Research Support will complete the Effort Certification form based on the anticipated amount of effort and will send it to exempt employees for review and updating. Once final, the employee will sign his/her effort certification. The certification form will then be routed to the employee's supervisor - their chair or director in the case of faculty - for review and approval. If the faculty member completing the certification is a chair or director, it will go to the Dean of Faculty for review and approval.

Reporting Periods

Effort Certification reports will be completed on a semi-annually basis.

For individuals who have worked on an external grant in the Jan. 1 through May 31 period, the Director of Faculty Research Support will distribute the form for review by the end of June. Signed certifications should be received by July 31.

For individuals who have worked on an external grant in the June 1 through December 31 time period, the Director of Faculty Research Support will distribute the form for review by the end of February. Signed certifications should be received by March 31.