Printed on: 08/17/2018. Please go to http://policy.umn.edu for the most current version of the Policy or related document.

ADMINISTRATIVE PROCEDURE

Effort Certification for Certifiers

There are three phases associated with the duties of a certifier with regard to reviewing and certifying effort: period of performance, pre-review period, and the actual effort certification period (see side B for a timeline).

Period of Performance and Pre-Review Period

If an effort period is not open for certification, effort data may be viewed, but not altered, during the period of performance and/or the pre-review period.

  • The period of performance begins after the first pay period has run for a new effort period and continues until the effort period opens for certification.
  • The pre-review period occurs six weeks before the effort period opens.
  • Notes may be created and saved during both the period of performance and pre-review period.

Effort Certification Period

When the effort certification period opens, the Principal Investigator (PI) and every researcher paid from a sponsored project will receive an email notification that the effort statement is ready to certify. Follow these steps to complete certification within the appropriate deadline:

  1. Go to the Effort Reporting website and click <Login to ECRT Information>.
  2. Enter  internet id and password.
  3. On the ECRT home page, click <Certify/View My Effort>.
  4. The PI or researcher will access the statement before the effort coordinator, unless the statement must be manually completed or the effort coordinator has placed the statement on hold.
  5. Once the statement appears, review the list of sponsored and nonsponsored activities appearing under the Accounts column.
    • If a project is missing, notify the department effort coordinator immediately so the proper changes can be made.
  6. Determine if the percentage in the Computed Effort column is consistent with the time spent working on sponsored and nonsponsored activities during the specific period of performance for which effort is being certified.
  7. If changes are needed, update the percentages in the Certified Effort column according to how the individual’s time was actually spent.
  8. If changes are made, an effort note should be added to justify the reason for the change. This note is viewable by the effort coordinator, who will review the changes and process a Retro Distribution if necessary. After entering a note, click <Save Effort Note>.
  9. If the percentages in the Certified Effort column are correct, click each checkbox in the Certify checkboxes column. The statement is not officially certified and will not route to the effort coordinator unless all of the checkboxes are checked.
  10. Confirm certification on the attestation statement by clicking <I Agree>, then click <OK> in the submission confirmation box.
  11. The statement will be routed to the effort coordinator who will review the statement. If a change was made to the statement, the effort coordinator may be required to complete a Retro Distribution in the payroll system to align the salary charged to the sponsored project(s) with the effort that was certified.
  12. If the effort coordinator does not agree with the statement or its changes, the effort coordinator may ask for more information or return the statement for re-certification. If this occurs, an email notification will be sent to the PI and researcher and the statement will need to be re-certified.
  13. Principal investigators (PIs) may need to certify the effort of their researchers. On the ECRT home page, the PI can click either <Certify My Researchers – Single View> or <Certify My Researchers – Group View> to process their effort statements.
  14. All effort must be certified within the published deadline. Please reference the posted dates for Effort Certification found at the Effort Reporting website.  

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