THE UNIVERSITY OF WISCONSIN-MADISON
RESEARCH AND SPONSORED PROGRAMS
NOTICE 2016-1
January 21st, 2016

TO:

Deans, Directors, Department Chairs, and Department Administrators (for distribution to all Faculty)

FROM:

Kim Moreland, Associate Vice Chancellor

SUBJECT:

New Consequences for Failing to Complete Effort Certification

Effort certification is required by extramural sponsors including the Federal government. Failure to certify effort correctly and in a timely manner can jeopardize the UW-Madison’s Federal research funding. Several years ago UW-Madison instituted administrative consequences for failing to complete training and certify effort. Consequences for individuals who did not fulfill effort responsibilities include the removal of services associated with:

  • Submitting grant proposals or other project applications to sponsors for extramural projects
  • Negotiating and executing award agreements
  • Establishing accounts for spending extramural funds for new or continuing projects
  • Processing other documents such as material transfer agreements

Recent audits have raised concerns about late certifications of effort reports at UW - Madison. Given these findings, it is necessary to strengthen our internal controls by making revisions to the consequences for failure to comply with effort policy and procedures.

In addition to the consequences outlined above, UW-Madison will be implementing new fiscal consequences for incomplete effort statements. Effort statements must be completed during a 90-day certification period. To be considered complete, the effort statement must be:

  1. Certified by the principal investigator, non-PI faculty or academic staff member, and
  2. Reviewed and processed by the effort coordinator.

Only after both steps are accomplished is the effort statement regarded as complete. If effort statements are not completed by 30 days after the end of the effort certification period, the university will transfer sponsored salary charges corresponding to the incomplete effort statement to the Dean’s or Director’s suspense project. Fringe benefit charges associated with the sponsored salary charges and F&A charges associated with salary and fringe will also be transferred off the sponsored project. It is expected that Deans and Directors will flow these charges down to department chairs.

Accordingly, this means that July-December effort statements must be completed no later than April 30th. Effort statements for January-June must be completed no later than October 31st. In order to allow time for resolution of any issues, there will be a thirty day window after the certification period ends. At that point, fiscal consequences will be applied. No additional time can be taken, and costs moved into a suspense account cannot then be transferred to any sponsored project. The effort reporting and certification timelines are illustrated at the following link.

The new consequences are effective as of January 1st, 2016.

If you have any questions, please contact effort@rsp.wisc.edu.

cc:

College/School Research Administrators

Effort Coordinators