In general, all effort expended on a sponsored project must be certified using ECRT. However, there are situations when an individual will expend effort on a sponsored project but is not able to complete the certification using ECRT. In these situations, effort will be certified using a manual, paper-based process. There are two situations, described below, that will require a manual process:
1. Faculty members who are principal investigators/project directors or key personnel on a project, but are not paid through UW-Extension. For example, this may be the case for an emeritus professor.
2. An individual terminates their UW employment during the certification period.
9.1. Faculty members not paid through UW
There are circumstances when a faculty member will act as principal investigator/project director or a key person on a sponsored project, but is not paid by the UW for that time. In this situation, ECRT will not generate an effort card for this individual. However, because of the role the individual plays in the project, this unpaid effort has been committed in the proposal, is voluntary committed effort and must be certified.
If the individual is a PI/PD, they will be responsible to certify their own effort. If the individual is a key person on the project, it is the PI’s/PD’s responsibility to ensure that the certification is completed.
The effort coordinator will:
• Help the PI/PD determine that a manual process must be initiated
• Become familiar with the instructions for completing the “Report of Contributed Unpaid Effort/Activity on Sponsored Projects” form found at the ‘Effort Reference’ link on the left side of the ECRT page. See Appendix E for a sample of this report.
• Assist the PI/PD in completing the report, if necessary
• Process the form after the PI/PD has completed, signed, and returned it. The effort coordinator will sign the form and return the original to the effort administrator at OES, where this card will be available in the event of an audit.
The PI/PD will:
• Take the required effort reporting tutorial at the ‘Effort Reference’ link on the left side of the ECRT page
• Complete the form with accurate information
• Initial each line to certify its accuracy
• Read and sign the certification
• Return the signed card to the effort coordinator
9.2. Certifier who leaves the UW
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 issues, etc. 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/PD, faculty member, or academic staff member leaves, the following procedures should be followed. In addition, if a PI/PD leaves, the effort coordinator should make sure that a person with suitable means of verification is designated to certify for the PI’s/PD’s grad students and/or non-PI/PD classified staff members when the next certification window opens.
If an individual does not certify prior to his or her departure, the primary effort coordinator must make reasonable attempts to follow up with the individual to obtain the certification after the departure. If, after reasonable requests from the primary effort coordinator, an individual fails to certify his or her effort, the PI/PD or department chair must identify another person who can do so. As with all certifiers, the alternate must have suitable means of verifying that the work was performed. If the PI/PD or department chair has suitable means of verification, he or she can serve as the alternate.
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:
o payroll transactions that are not yet posted to ECRT o cost sharing information that is not yet posted to ECRT
• Give the printed effort certification card to the individual.
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 and initial each line to certify its accuracy.
• Read and sign the certification.
• Return the signed card to the effort coordinator.
The effort coordinator will complete the process by:
• Completing a Manual Certification Cover Memo (found at
http://www.uwex.edu/business-services/extramural/effort/documents/manual_certification_cover_form.pdf).
• Making a notation on the form as to the circumstances that required manual certification.
• Signing the form, attaching the ECRT card and submitting the originals to the effort administrator at OES, where the card will uploaded into the ECRT system, processed, and retained in the event of an audit.
• Initiating any necessary salary cost transfers, cost sharing adjustments, etc.