UNIVERSITY POLICY
Date Revised: July 2024
Date Effective: April 2014
Responsible University Official(s): Vice Chancellor for Administration & Finance and the Provost and Vice Chancellor for Academic Affairs
Policy Owner: Controller, Grant Accountant, Office of Research and Sponsored Programs
Policy Contact: Controller, Grant Accountant, Office of Research and Sponsored Programs
REASON FOR POLICY
This policy is created in order to comply with provisions of the Federal Office of Management and Budget 2 CFR 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, otherwise known as the Uniform Guidance (UG) Section 200.430 (Compensation-Personal Services).
To provide clear direction to faculty and staff for determining effort when preparing proposals and subsequently verifying effort.
To promote the best possible alignment between faculty and staff activity and funding sources and, in so doing, enhance work at UW-Platteville.
To establish expectations for tracking and confirming the certification of effort by University personnel.
SCOPE
Generally, compensation for personnel services is the largest expense charged to sponsored awards. As a condition to receive federal funding, institutions must maintain records that are supported by a system of internal control which provides reasonable assurance that the charges are accurate, allowable and properly allocated.
BACKGROUND
The University of Wisconsin-Platteville recognizes the importance of providing good stewardship in managing extramural funds. The University’s stewardship responsibilities include complying with federal requirements to certify faculty and staff effort on sponsored projects.
Support for the faculty’s research goals is critical to the success of the University. The purpose of this document is to foster excellence in research by promoting the successful management of effort and commitments throughout the sponsored project life cycle.
Activities during which effort issues are important include:
- Establishing faculty and staff appointments and professional duties
- Proposing effort in an application for a sponsored project
- Establishing effort commitments at the time an award is made
- Charging salary, documenting cost sharing, and expending effort during the life of a project
- Monitoring progress toward the fulfillment of effort commitments to specific projects
- Managing an individual’s total commitments across all projects
- Certifying that salary charges are reasonable in relation to the work performed, and that commitments to sponsors have been met.
DEFINITIONS
Effort Certification: The affirmation by an individual that their payroll allocation percentages were a reasonable reflection of actual effort devoted during a respective time period.
Effort Reporting: The mechanism used to confirm that payroll charged to sponsored agreements is a reasonable assurance that salaries paid from a grant are appropriate and reflect a reasonable estimation of time spent working on the project.
HRS: The University’s Human Resources System (referred to as the payroll system) which is integral to the University’s effort reporting.
Key Person/Key Personnel: Individuals making a substantial contribution to a sponsored project, either explicitly listed in the Notice of the Grant Award or, if not so listed, the principal investigator and faculty on a sponsored project.
Principal Investigator: The primary individual responsible for the preparation, conduct, and administration of a sponsored project.
Sponsored Project: A funded activity sponsored by an external organization, such as a federal, state, or private organization or agency that has a defined scope of work or set of objectives.
Total Effort: The total appointed time in the payroll system and all work-related activities paid is the total effort or 100% effort of the employee.
POLICY STATEMENT
It is the policy of the University of Wisconsin-Platteville that all researchers who engage in sponsored projects will comply with University polices and sponsoring agency regulations regarding the proposing, charging, and reporting of effort on those projects.
Faculty cannot commit 100% of their effort on sponsored projects during the academic year, as time must be reserved for other UW duties. Academic staff can devote up to 100% of their effort to sponsored projects. It is highly recommended that both faculty and academic staff not commit 100% effort to sponsored projects to allow for other incidental activities that they may participate in during the funded period. Allocations of effort to sponsored projects must be reasonable given the individual’s non-sponsored University activities.
Effort must be certified for all individuals who receive salary support from a sponsored project or who expended committed effort on a sponsored project without receiving salary support from the sponsor. Effort is certified by the Principal Investigator three times a year, after each Spring, Summer and Fall session. If the Principal Investigator is receiving payment, their effort is certified by their supervisor. Effort must be certified in a timely manner.
The effort devoted to a sponsored project should be consistent with the plan that was proposed to the sponsoring agency and agreed to at the time of the award. All principal investigators, faculty, and academic staff who are involved in proposing, executing, directing, or managing sponsored projects are responsible for:
- understanding the fundamentals of effort and commitment management and effort certification
- proposing, expending, and managing effort in accordance with all applicable sponsor policies and university procedures.
All employees involved in certifying effort must understand that inaccurate, incomplete, or untimely effort reporting could result in financial penalties, funding disallowances, and harm to the reputation of the individual and the University.
PROCEDURES
Spring Semester (January-May) Effort Certification due June 30th
Summer (June-August) Effort Certification due September 30th
Fall Semester (September-December) Effort Certification due January 30th
For each month, the Grant Accountant will run the PeopleSoft Financials Query: UW_EFFORT_CERTIFICATION_PERCEN and export into EXCEL. The Grant Accountant will email the Time and Effort Report and have the PI review, sign and return the signed copy to the Grant Accountant. If the PI is receiving payment, their effort must be certified by their supervisor.
Completed Time and Effort Certification Forms will be filed with the University Financial Services Department-Grant Accountant. Time and Effort Reports become subject to review during audits, monitoring, or other situations that require the recipient to provide evidence that time funded by the grant was spent working toward the grant’s objectives.
LTE’s and student employees are excluded from the effort report as their timesheets serve as the certification of effort.
RESPONSIBILITIES
Position/Office:
Grant Accountant/Financial Services: Create and review effort reports for accuracy prior to submitting for certification. Submit salary adjustments.
Office of Research & Sponsored Programs: Award administration. Ensure salary caps are calculated correctly and appropriate salaries are submitted to HR timely and properly.
Principal Investigator: Responsible for certifying reports in a timely manner.
CONTACTS
Those designated to receive questions and feedback on the policy.
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Subject
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Contact
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Phone
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Fax/Email
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Primary Contact
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Name
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Phone
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Fax/Email
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Post Award Grant Accountant
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Liz Schoenmann
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608.342.1310
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neise@uwplatt.edu
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PreAward Grant & Contract Specialist
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Sara Whitaker
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608.342.1985
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whitakers@uwplatt.edu
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RELATED DOCUMENTS
Electronic Code of Federal Regulations. Title 2 Grants and Agreements: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1
HISTORY
April 2014: Original issuance
June 2017: Removed procedural screenshots due to PeopleSoft upgrade
May 202: Moved to policy template format and changes quarterly reporting to term-based reporting
SCHEDULED REVIEW
August 2025