Reporting for Faculty and Exempt (Monthly) Staff

Federal regulations require that the University document and certify how effort and salary are spent in support of federally funded projects. Duke University meets this requirement using Effort Certification Cards available via the online system called Effort Certification Reporting Technology (ECRT).

Two Types Of Effort Certifications

Institutional Base Salary (IBS)

IBS is referred to as “University Salary” in School of Medicine Departments and as “9-month" or "academic year" salary for Provost-area Schools.

Note that IBS is used for the Faculty Effort Certification AND in the calculation of grant budgets, and must be based ONLY on University effort (excluding other outside effort).

Supplemental Pay

Supplemental and extraordinary pay is for assignments that fall outside the faculty member’s primary responsibilities. In Provost-area Schools, this includes summer effort beyond the 9-month appointment; additional examples include honoraria, teaching, course development, manuscript reviews, etc. that are paid through the University. This does not include pay for outside consulting.

Summary: IBS and Supplemental Pay must be certified separately.

Two Types of Notifications for Effort Certification

The following notifications are sent out by ECRT to qualified faculty and staff members:

Quarterly Effort Review Notices (OCTOber, JANUARY, APRIL)

• If your effort allocation averaged over the quarter is different than the Card indicates, contact your Effort Coordinator immediately for corrections to effort distribution records in Duke's payroll system.
• Effort Cards are not required to be certified quarterly but must be reviewed for accuracy.
• In the School of Medicine, clinical faculty members may also be required to separately confirm the details of their effort supporting the DU Health System (also referred to as ES-DUHS).

Annual Certification (AUGUST)

• If your effort allocation averaged over the fiscal year is different than the Card indicates, contact your Effort Coordinator immediately for corrections to effort distribution records in Duke's payroll system.
• Certify the Card. ECRT will automatically forward your Effort Card(s) to your Effort Coordinator for review and processing.  Be accurate!

Summary: Quarterly and annually, your Effort Cards (Base Salary and/or Supplemental Pay) needs to be verified and corrected immediately.

Remember: You are certifying how you spent your time, not how you are paid (although these two elements are usually related).

What If Your Effort Card Is Not Correct?

If your Effort Card is NOT reasonably aligned with your actual effort (averaged over the whole period covered), you need to inform your Effort Coordinator (to process payroll corrections) and contact your local grant manager to coordinate with your pre-award office if sponsor approval is required.

Your Certification

The annual certification should be made by the individual named on the report. A person with first-hand knowledge of your activities can certify if you are not available. First-hand knowledge means the person certifying MUST have verifiable details and supporting documentation.

Summary: Your certification conveys personal and institutional obligations and should not be taken lightly. Your certification attests that the effort reported is true and accurate.