Definition of Faculty Effort

Faculty effort is the compensated time faculty members spend on University activities including research, instruction, administration, service and clinical activity.

Faculty Effort Certification is a process the University of Washington uses to document the time spent on University activities. As required by federal guidelines, individual activities are displayed as a percentage of total activity. 

Effort Reporting Cycle

1. Terms of employment are established for faculty member.
2. Faculty member prepares proposal.
3. University receives award.
4. Faculty member performs research and charges grant or performs cost sharing.
5. FEC is created and faculty member certifies effort.
6. FEC is retained in accordance with the records retention requirements.

Institutional Base Salary (IBS)

Institutional base salary is the annual compensation paid by the University of Washington for an employee's appointment, whether that individual's time is spent on research, instruction, administration, service or clinical activity. Institutional base salary excludes any income that an individual is permitted to earn outside of duties for the University of Washington. 

The following identifies the salary sources and components considered part of the UW IBS:

Salary Sourcesⁱ

• State
• Grants and Contracts
• Gifts and Endowments
• Other UW funds including local funds and departmental clinical salary paid through the UW payroll system
• Clinical Practice Plan salary paid by UW Physicians (UWPⁱ) and Children's University Medical Group (CUMGⁱ)

Salary Components

• Regular Salary (REG)
• Summer Salary (SUM)
• Paid Professional Leave (PLP)
• Salary for Retired Faculty (TFA)
• Administrative Supplements (ADS)
• Endowed Supplements (ENS)

Additional information on Components of IBS

Harborview Medical Center (Harborview) is operated and managed by the UW. Salary support funded by Harborview is considered part of the UW IBS, and time spent at Harborview is included in the faculty work week for effort reporting. Similarly, salary support funded by UW Medical Center (UWMC) or Seattle Care Alliance (SCCA) is considered part of the UW IBS, and time spent at UWMC or SCCA is included in the faculty work week for effort reporting.

Faculty Work Week

A faculty work week is the average number of hours a faculty member normally works during a week. Hours are to be averaged over the effort reporting period. For many faculty members, this number will vary from one week to another.

Example: if, within a six month cycle, a faculty member worked thirteen 60 hour weeks and thirteen 40 hour weeks, his/her average work week would be 50 hours. Hours are averaged over the six month reporting cycle.

Other Examples:

• Faculty A: Commits 10% effort in a grant proposal and works 40 hour weeks on average
  •  10% * 40 = 4 hours (average) per week
• Faculty B: Commits 10% effort in a grant proposal and works 50 hour weeks on average
  • 10% * 50 = 5 hours (average) per week
• Faculty C: Commits 10% effort in a grant proposal and works 60 hour weeks on average
  • 10% * 60 = 6 hours (average) per week

It is not required that faculty keep track of hours on a daily or even weekly basis. Faculty are expected to maintain a good sense/estimate of what they do on an average per week over the FEC reporting period to be able to provide a reasonably accurate breakdown on the FEC report and therefore, be able to certify in good faith.

The Code of Federal Regulations Title 2, Subtitle A, Chapter II, Part 220, J 10 (formerly known as Office of Management and Budgetⁱⁱ Circular A-21ⁱⁱ, "Cost Principles for Educational Institutions") recognizes that effort is an estimate by stating:

"In the use of any methods for apportioning salaries, it is recognized that, in an academic setting, teaching, research, service, and administration are often inextricably intermingled. A precise assessment of factors that contribute to costs is not always feasible, nor is it expected. Reliance therefore, is placed on estimates in which a degree of tolerance is appropriate."