Effort Reporting: What to Do When a Certifier Leaves UW?
Guidance for Effort Coordinators about what to do if an effort certifier leaves UW before completing effort tasks.
Certifier Leaves UWOverdue 'not certified, not processed' effort cards are often in that state because the 'certifier' has left the UW. These cards cannot be left in an incomplete state, and require certification by the absent person, or; if that person is no longer within reach, certification needs to be done by someone who remains at UW and has suitable means to verify effort that person expended.
*taken from section 8.2 of the UW-Madison Effort Coordinator's Guide to Certification Practices and Procedures.
There are situations when an individual will expend effort on a project, but is not able to complete the entire certification period due to a change in employment, unexpected leave of absence, health, or other issues. Because the certification window must be open before ECRT can be used, a modified process is required.
If the individual leaving is not required to certify for themselves, normal procedures can be followed and a manual process is not necessary.
If a PI, faculty member, or academic staff member leaves, the following procedures should be followed. In addition, if a PI leaves, the effort coordinator should make sure that a person with suitable means of verification is designated to certify for the PI’s grad students, postdoctoral researchers and/or non-PI classified staff members when the next certification window opens.
If an individual who would normally have certified for themselves does not certify prior to their departure, the primary effort coordinator must make reasonable attempts to follow up with the individual to obtain the certification after the departure. If the person has left university service but the NetID is still active, that person can log into ECRT to certify. It may be necessary for RSP to “reactivate” the person’s ECRT access to allow them to certify their own effort.
If the person who left was an Academic Staff member but not a PI, RSP can make it possible for the PI to certify for them. This is not a designee. It is the simple revocation of that person’s academic staff title in the ECRT system. This causes the person to show up under the PI’s Certify My Researchers page. In this case, email firstname.lastname@example.org and indicate the person’s name who has left. RSP will make the necessary change and let you know when the change has been completed.
If the person who left was a PI, RSP can make possible for another ECRT user to certify for them. As with all certifiers, the alternate must have suitable means of verifying that the work was performed. If the department chair has suitable means of verification, he or she can serve as the alternate. To do this, send an email to email@example.com and indicate that the PI has left. RSP will discuss the options with you. There are two ways to handle this situation; assigning a designee or certifying via paper. It is always preferable to use ECRT rather than paper when possible. If a designee assignment makes the most sense, use the designee form at www.rsp.wisc.edu/effort/piDelegationFormOct2007.pdf
When ECRT certification is not possible, the paper method must be used.*taken from section 8.2 of the UW-Madison Effort Coordinator's Guide to Certification Practices and Procedures.
The effort coordinator will:
- Navigate to the individual’s effort card.
- Select the option in the upper right-hand corner for Effort Card PDF Version.
- Generate and print the PDF document.
- Identify information that may not be reflected on the card, but should be considered in the certification, and communicate this to the individual. This may include:
- payroll transactions that are not yet posted to ECRT
- cost sharing information that is not yet posted to ECRT
- Give the printed effort certification card to the individual or to the person who has suitable means of verifying.
- Assist the PI in completing the report, if necessary.
The certifier will:
- Review the information on the form for accuracy and correction, if needed.
- Discuss any discrepancy with the effort coordinator.
- Enter the appropriate effort percentages
- Make sure the total effort equals 100%
- Read and sign the certification.
- Return the signed card to the effort coordinator.
The effort coordinator will complete the process by:
- Making a notation on the form as to the circumstances that required manual certification.
- Completing the “cover sheet” at
- http://www.rsp.wisc.edu/effort/manualCertCoverSheet.pdf, thus providing assurance that you have taken any necessary follow-up steps if needed
- Signing the form and returning the original to the effort administrator at RSP, where this card will be available in the event of an audit.
- Initiating any necessary salary cost transfers, cost sharing adjustments, etc.
RSP will manually certify and process the cards. The cards will change status on the Effort Coordinator’s Manage Department page and will also be updated in the certification status lookup tool.