Forms, Policies and Procedures

 

Here you will find a repository of forms, policies and procedures related to research at the University of Delaware. This repository draws on sources throughout campus to provide quick and easy access to these resources in a variety of formats, such as html, MSWord and Adobe PDF. We encourage you to explore and use the tools provided to narrow your search by word, resource type or category in order to learn more about the content that governs research at UD.

Forms, Policies and Procedures (1 Procedures Entries)
Procedure: Effort Certification
Effort Certification Procedures
Procedure

Effort Certification Procedures

Each department assigns an effort administrator who has the procedural responsibility to oversee the reports for that department.

PROCEDURE STATEMENT:

A. Each department assigns an effort administrator who has the procedural responsibility to oversee the reports for that department.

B. Reports are required from every employee whose salary is either directly charged to a sponsored project or used as match/cost sharing for a sponsored project during a particular effort reporting period.

C. For faculty on academic contracts, there are three effort reporting periods. Period 1 includes effort provided during the fall semester of the academic year. Period 2 includes effort provided during the spring semester, and Period 3 includes summer research activity performed during the months of June through August. The following chart describes the three periods for academic faculty: Click to view the sample chart.

D. Following each reporting period, a web based electronic application will produce web views for review. This application will allow interaction (via web journal) to modify transactions through cost transfer submissions. Every certification must be reviewed by a designated Effort Administrator (each unit has one assigned staff member for this role) and the employee personally (unless that employee has terminated or retired from employment with the University in which case an employee with suitable means of verification evaluates effort in lieu of the particular employee). If an employee has an active HR status but is not capable of certifying their own report, the report may be completed by providing certifications (with suitable means of verification) from both the Effort Administrator and the Effort Manager or another Research Office

designee.

E. To facilitate accuracy in initial payroll allocations, the Labor Allocation Module (LAM) allows for timely changes made to an employee’s payroll distribution plan. A LAM calculator exists to assist in the accuracy of percentages to distribute.

F. It is expected that all certifications will be in “completed” status within 90 days of the end of the reporting period. Electronic copies are retained in the Research Office for the retention period required by the sponsored agreement, usually three years after the closeout or final payment of the project.

G. Email notification will be sent to effort administrators listing reports 40 days old in an effort to remind administrators of this responsibility. Notification of delinquent reports still outstanding beyond the 90 day certification period and again at 120 days past the last day of the effort certification period will escalate to the Department Chair, Assistant Dean and Dean. If any reports remain incomplete 150 days past the end of a reporting period, notification will be sent to the Associate Deputy Provost for Research Administration for review and action as necessary. If any reports remain incomplete 180 days past the end of a reporting period, notification will be sent to the Deputy Provost for Research & Scholarship for review and action as necessary. The effort administrator is responsible for completing these reports. Cost disallowances on sponsored projects resulting from the failure to complete an effort report will be removed from the sponsored project to a non-sponsored project.

H. In the event that an error was made during the routing process, the research office has the authority to create revised effort reports which must be completed within 30 days of release. These will be stamped with ‘[REVISION]’ so as to identify the report as such. In order to request a revision the effort administrator must have an adequate justification. Any changes must comply with all other UD policies and federal regulations.

University of Delaware Effort Certification Procedures

I. Routing is as follows:

a. Research Office creates the report (in batch three times annually, or one at a time as needed) (report is now in ‘UNSENT’ status)

b. Effort Administrator reviews and ‘forwards’ to employee (report is now in ‘IN PROGRESS’ status

c. Employee reviews and either clicks yes, I agree (‘review and certify’), or no I do not agree (‘forward’), and the system will require a comment stating what is wrong with the report. Either way it is routed back to the effort administrator.

d. Effort administrator selects ‘review and certify’ (if approved by employee in c.) or takes necessary action to correct the errors identified by the employee (if not approved in c.).

e. If approved in c and ‘review and certify’ in d., the system will set the certification report to ‘COMPLETE’status.

f. Once action is taken in step ‘d’, effort administrator will ‘forward’ back to the employee until the employee is satisfied that this report reflects the effort expended during that effort reporting period.

Revised July 2013

*If employee is terminated or otherwise incapable, someone with suitable means of verification may act as a substitute.Employee will REVIEW AND CERTIFYProxy* will REVIEW AND CERTIFY for otherwise incapable employeesEmployee supervisor * will REVIEW AND CERTIFY for Terminated employeesEA FORWARDS to Effort ManagerWith request for exceptionEffort Manager REVIEWS & CERTIFIES

 

Procedure Details:

OWNER: Research Office

RESPONSIBLE OFFICE: Research Office

Procedure Source Open Procedure



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Conflict of Interest
Contracts and Grant Management
Effort Certification
Export Regulations (ITAR/EAR/OFAC)
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Phone: (302) 831-2792

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