Event 09 | Effort Change

Story Background

The project is performing well, but Dr. Brown’s role is changing

The Community Access to Preventive Healthcare Initiative is performing well. Participant enrollment is exceeding expectations, community partnerships are expanding, and the project has gained visibility across the university.

Because of the project’s success, Dr. Aneka Brown is invited to lead a new university-wide initiative. The opportunity is a major recognition of her leadership, but it also adds significant new responsibilities to her workload.

Months later, Marcus Rivera identifies a possible change in effort during the annual effort review process.

The question is not whether Dr. Brown is working hard. The question is whether her current effort still aligns with the commitments made to the sponsor.

Training Concept

Salary and effort are related, but they are not the same

Salary answers: where was pay charged?

Payroll and salary distribution records show which funding sources paid an employee’s salary.

This was the focus of Event 08.

Effort answers: was the promised work performed?

Effort review asks whether key personnel are meeting the level of project involvement proposed and accepted as part of the award.

This is the focus of Event 09.

A person’s salary distribution may remain unchanged while actual effort changes. That is why Marcus looks beyond payroll and reviews project involvement, commitments, and supporting documentation.

Trigger Issue

A new leadership role may affect project effort

From: Department Chair

To: Dr. Aneka Brown

Cc: Marcus Rivera

Subject: University-Wide Health Equity Initiative

Dr. Brown,

Congratulations again on the strong progress of the Community Access to Preventive Healthcare Initiative. Because of your leadership in this area, we would like you to lead the new university-wide Health Equity Initiative.

This role will involve strategic planning meetings, coordination with campus leaders, and oversight of several new outreach activities.

We recognize this will increase your workload, but your experience makes you the right person to lead this effort.

Best,
Department Chair

What Marcus Reviews

Effort review focuses on commitments and current activity

Original Proposal Commitment

Shows the level of Dr. Brown’s effort proposed and accepted as part of the sponsored project.

Effort Certification Report

Verifies whether reported effort aligns with institutional records and project commitments.

Current Activity Allocation

Helps Marcus understand how Dr. Brown’s time is currently being divided across project, department, and university responsibilities.

Project Role and Key Personnel Status

Confirms whether Dr. Brown is identified as a critical contributor whose involvement matters to the sponsor.

Sponsor Requirements

Certain changes in project leadership or effort commitments may require sponsor notification or prior approval.

Meeting Notes and Communications

Document the discussion, the reason for the change, and the administrative response.

Effort Review

What appears different?

Marcus compares the original award commitment to the current project activity. Dr. Brown remains the PI, but her new university-wide initiative appears to reduce the time she can devote to the sponsored project.

Effort Comparison Snapshot

Dr. Brown’s project involvement

Review Required

Review Item Original Commitment Current Activity Status

Project leadership Principal Investigator Still PI Continues

Committed project effort 25% Estimated at 15% Needs review

Effort change No reduction approved Possible 10 percentage-point reduction Possible sponsor notification

Administrative concern Commitment should be met Workload has changed Documentation needed

Marcus is not questioning Dr. Brown’s commitment to the project. He is checking whether the project record still supports the level of effort promised to the sponsor.

Marcus’s Analysis

Questions before deciding next steps

What was promised?

Marcus reviews the original proposal and award records to understand Dr. Brown’s accepted effort commitment.

What is happening now?

Marcus compares the original commitment to Dr. Brown’s current responsibilities and project involvement.

Is this a temporary shift?

A short-term workload change may require different action than a long-term reduction in project involvement.

Does the sponsor need to know?

If the change affects key personnel effort or project direction, sponsor notification or prior approval may be required.

What documentation is needed?

Marcus documents the review, the facts gathered, the analysis, and the recommended administrative action.

How should the project be protected?

Marcus helps the team address the effort concern early so it does not become a compliance issue later.

Decision Point

What should Marcus do?

Marcus sees that Dr. Brown’s new university-wide leadership role may reduce the amount of time she can devote to the sponsored project. What is the best next step?

Resolution

Marcus documents the effort change and routes it for review

Marcus does not stop after identifying the possible effort reduction. He follows up with Dr. Brown and department leadership to determine whether the change is temporary, whether the project can still meet its obligations, and whether the sponsor needs to be notified.

Effort Review Notes

Prepared by Marcus Rivera

Issue Identified Dr. Brown has taken on a major new university-wide leadership role that appears to reduce her available project effort.

Original Commitment Dr. Brown was committed at 25% effort as Principal Investigator.

Current Estimate Current project involvement appears closer to 15% effort based on workload, meeting participation, and current activity allocation.

Administrative Concern The change may represent a 10 percentage-point reduction in key personnel effort and may require sponsor notification or prior approval depending on the award terms.

Records Reviewed Original proposal commitment summary, Notice of Award terms, effort certification information, current activity allocation, meeting records, and project role documentation.

Recommended Action Route the effort change for internal review, confirm sponsor requirements, prepare documentation for sponsor notification or approval if required, and update the internal project management plan.

The issue is not whether Dr. Brown cares about the project. The issue is whether the project record accurately reflects the work being performed and the level of effort promised to the sponsor.

1. Marcus confirms the facts

Marcus meets with Dr. Brown and department leadership to confirm that the new leadership role is not a one-week scheduling issue. It is an ongoing responsibility that affects her available project time.

2. The award terms are reviewed

Marcus checks the Notice of Award and sponsor requirements to determine whether the reduction in PI effort requires notification or prior approval.

3. The project response is documented

The team documents the effort change, identifies how project responsibilities will be covered, and routes the matter through the proper institutional and sponsor review process.

How the issue is resolved

Marcus helps the team move from an informal workload change to a documented administrative action. Dr. Brown remains the PI, but the project file now explains the effort concern, the records reviewed, the sponsor requirement check, and the plan for maintaining project oversight.

If sponsor notification or prior approval is required, Marcus does not approve the change on his own. He helps prepare the documentation and routes it through the appropriate institutional process before the change is treated as accepted.

Common Misconceptions

What learners should not assume

“Effort equals salary.”

Salary and effort are related but distinct. Salary shows where pay was charged. Effort reflects the work performed and the commitments made.

“Only large effort changes matter.”

Administrators should review significant changes and evaluate applicable sponsor requirements, even when the payroll record has not changed.

“Effort reporting is only a payroll process.”

Effort reporting is a compliance and project oversight function. It connects salary, work performed, sponsor expectations, and project outcomes.

Resources

References behind this scenario

These references show why Marcus reviews effort changes as both a sponsor commitment issue and a project management issue. A post-award research administrator must compare the approved award record, current project activity, effort documentation, institutional policy, and sponsor notification requirements before deciding what should happen next.

2 CFR 200.430 — Compensation: Personal Services

This federal cost principle explains how salary, wages, effort, and compensation charged to a federal award must be supported by records that reflect work performed for the project.

Connection to Event 09: effort records must support the work performed on the project and align with the salary charged to the award.

2 CFR 200.308 — Revision of Budget and Program Plans

This section matters when changes to project scope, key personnel, or committed effort may affect the approved project plan or require sponsor notification or prior approval.

Connection to Event 09: a meaningful reduction in Dr. Brown’s committed project effort may require sponsor review.

Notice of Award Terms

The Notice of Award identifies sponsor-specific requirements, approved commitments, key personnel expectations, and any conditions that may apply when project involvement changes.

Connection to Event 09: Marcus must check the award terms before deciding whether notification or prior approval is required.

Institutional Effort Reporting Policy

The institution’s effort reporting policy explains how effort is reviewed, certified, corrected, and documented when payroll support or project involvement changes.

Connection to Event 09: institutional policy guides how Marcus reviews and documents the effort concern.