UCLA Office of the Vice Chancellor for Research

To:    Deans, Directors, and Department Chairs

In the last several years audits of educational institutions receiving federal contracts and grants have resulted in settlement agreements and/or the levying of multi-million dollar fines at Harvard University , Johns Hopkins, Northwestern University and others for non-compliance with federal regulations including effort reporting.

Since 1982, UC has relied on the Personnel Activity Report (PAR) to satisfy federal effort reporting requirements.  This paper-based, manually-intensive system is not only outdated from a technological perspective but also lacks mechanisms to meet changing regulations and conditions.

When the University Controllers determined the University would be at risk if it didn’t enhance its compliance capability through the deployment of automated tools and processes, five campuses ( Berkeley , Davis , Los Angeles , San Diego and San Francisco ) and UCOP funded a project to design, build and deploy a fully automated Effort Reporting System (ERS).  Representatives from academic departments were consulted during the requirements definition and design phases to ensure that the delivered system reflected department needs.

Pilot testing of ERS has been conducted at both the UCLA and UC Davis campuses during the first six months of 2006.  UCLA anticipates implementing ERS during mid-August for use with the Spring 2006 effort reports.

Training and documentation materials have been developed in modules for various audiences such as PIs, department administrators and fund managers.  The materials are comprehensive and web-based with audio narration so that each participant can review an individually tailored series of modules at his or her own pace and convenience.  Extramural Fund Management will establish a training website to host the training materials starting in mid-July.

ERS will streamline the effort reporting process and address issues that exist within the current PAR system, by refining and correcting calculations, eliminating paper reporting, and providing mechanisms to adequately monitor effort reporting and ensure compliance with federal reporting requirements.

Very shortly we will contact the Chief Administrative Officer for your department to describe the system functionality and talk about what the ERS will mean to your department, Principal Investigators and faculty members.  We will also work with your Chief Administrative Officer to determine the best method of sharing information about ERS with members of your department.

Additional updates and communications to the campus research community will be made in the ensuing months.  More information regarding ERS can be found at www.efm.ucla.edu/effortrpt.htm.

If you have further questions please contact Rick Valdivia at extension 4-2652, rvaldivia@resadmin.ucla.edu or Connie Brown at extension 4-2842, cbrown@resadmin.ucla.edu.

Sincerely,

Roberto Peccei
Vice Chancellor for Research