Transcript Chronology - Vanderbilt University College of Arts and Science

Effort Reporting at
Vanderbilt
Presentation to Faculty
Dennis Hall, Associate Provost,
Research & Graduate Education
Tim McNamara, Associate Provost,
Faculty
Chronology: A Few Dates
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Feb. 2003
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UAB settlement
$3.4M (effort reporting)
Jan. 13, 2006 Science article
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$5.5M Dept. of Justice settlement (effort reporting)
Spring 2005
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Northwestern audit
“U.S. Rules on Accounting for Grants Amount to More than
a Hill of Beans”
June 30, 2006 DGH Memo: NSF Labor Audit at VU
Chronology: A Few Dates
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July 24, 2007 Provost’s memo to Deans
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Oct. 19, 2007 Major Effort Meeting
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Deans of A&S, Engineering, Peabody; Associate Provosts;
representatives from GC, OCGA, Provost’s Office of F&A
Many issues surfaced
Nov. 19, 2007 Interim Chancellor’s memo to Deans
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“Effort Declaration and Certification”
“Our Continuing Work on Accounting for Effort”
Dec. 6, 2007 Interim Chancellor & VC-Health
Affairs memo to Deans
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“Transinstitutional Effort of Faculty”
Effort: Basic Principles
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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.)
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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.
Effort: Basic Principles
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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.
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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)
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.
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Effort certification cannot be based on the number of hours
worked; percentages are required.
Resources
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
Limit Summer Grant
Support
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Carnegie Mellon
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Cornell
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Dartmouth
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Duke
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Harvard
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Michigan State
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MIT
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Penn State
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U. Michigan
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U. Rochester
Aware, and ~
Working on it
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Emory
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Northwestern
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Stanford
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Washington U.
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USC
Not Yet Aware
 NYU
 Rutgers
 U. Kansas
 U. Nebraska
 U. Pittsburgh
Remaining Challenges,
Works in Progress
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Aligning the administrative and academic
calendars
Personnel paid 100% from federal
grants/contracts
The lack of an institutional policy on “vacations”
for faculty
Others