Effort Certification Roles and Responsibilities

Effort Certification Roles and Responsibilities

Each person in the process is responsible to understand their role and act accordingly in order for the university to be successfully compliant with the Uniform Guidance regulatory requirements. Listed below are the major responsibilities for each participant in the process:

Individuals Required to Certify Effort

  • For planned confirmation method, set anticipated effort in conjunction with the unit administrator and principal investigator as necessary by July 1st (September 1st for university-year faculty).
  • Periodically review the preview effort certification report available in Wolverine Access under 'Employee Business'.
  • (Recommended) Quarterly review of effort distribution to determine if it is still reasonable and make adjustments to the plan as needed.
  • Complete annual effort reporting education.
  • Review and sign effort certification report.

Supervisors

  • Develop an anticipated effort in conjunction with the employee and principal investigator as necessary for all required employees who certify via the planned confirmation method by July 1st of each year (September 1st for university-year faculty).
  • (Recommended) Quarterly review of effort distribution to determine if it is still reasonable and make adjustments to the plan as needed.

Unit Administrators (or designee)

  • Ensure compliance with the effort reporting policy (or more restrictive unit policy)
  • Generate as-needed effort reports for re-certification and for employees that terminate or are laid off from U-M
    • Situations include:
      • Employee terminates employment from the university after the effort certification period.
      • A retroactive change to an individual's effort was made AFTER the effort certification report was signed and submitted to the Payroll Office.
      • A change was made to an individual's effort after the final mailing in late-August.
      • Employee begins a Reduction in Force (RIF).
      • Employee begins a Leave of Absence (LOA).
      • An employee who meets the effort certification criteria was hired AFTER the report was printed.
      • A lecturer when put on layoff status under LEO.
  • Initiates a department budget earnings (DBE) correction when significant changes, i.e. 5% or greater, need to be made.
  • Coordinate distribution of review-only effort certification reports for accuracy. (This may be a review by the employee, the principal investigator, the unit administrator, or any combination of the three. If the review-only effort certification report is accurate, no action is needed. If the review-only effort certification report does not accurately reflect the employee's effort, the unit administrator (or designee) sends a submittal form to initiate a correction.)

Payroll Office

  • The Payroll Office sends email to certifiers and HR administrators when the certification period begins along with procedures.
  • Respond to questions and provide assistance regarding the effort reporting process throughout the year.
  • Provide education and training as requested.
  • Generate bi-weekly and monthly time reports for temporary and Non-instructional sponsored pool employees

Information Technology Services (ITS)

  • Information Technology Services (ITS) creates the electronic effort certification reports.