Effort Reporting Follow Up Process

Effort Reporting for the July 1 to December 31, 2016 period is due by April 30, 2017. If you have not yet certified, please complete the certification process as soon as possible so UCSF meets the required 100% certification rate.

CGA implemented an Effort Report Escalation Process to help ensure UCSF effort reports are certified within 120 days of the end of the effort reporting period and to prevent the need to move charges associated with uncertified reports to the department that owns the award. As a part of this process CGA will provide periodic, escalating notifications - first to department Effort Reporting Coordinator(s) (ERC), then to Principal Investigators (PIs) and department financial administrators, and finally to department chairs. The Effort Report Escalation Process quick reference guide is available on the Effort Reporting section of the Controller’s Office website.

This review by CGA is a secondary control to ensure the timeliness of effort reports. Primary control resides with the department, who is responsible for establishing and maintaining a business process to certify effort reports on a timely basis.

Please remind your Access Administrator to review the departmentally assigned Effort Report Coordinator (ERC) and update as necessary to ensure the ERS point of contact for all certification, monitoring and compliance issues is accurate.

To ensure that reopened effort reports are recertified in a timely manner, departmentally assigned ERCs or department research administrators should take the following steps:

  1. ERCs should review the effort reports of all staff within their department responsibility to identify those reports that need review, follow-up, or recertification on a regular basis. It is recommended that this review be completed monthly, and should be conducted at least quarterly. Similar to the normal reporting cycle, this process can include running and then saving searches as follows:
    1. Review reports by searching by Dept ID
    2. Review reports by searching by Awards/Projects
    3. Review reports by searching by Principal Investigator
  2. Have PIs run their My Certifications and My Projects searches to identify any reports that have been reopened and need review or follow-up
  3. PIs should also search for the specific employees for whom they have been delegated authority; these employees will not display in a My Certifications or My Projects search
  4. CGA will send monthly notifications to the appropriate ERC when a report in their department(s) has been opened or reissued due to a late posting payroll transaction
  5. Per the escalation policy, CGA will notify departments of reports that have not been certified at defined points after the reporting cycle has been completed (as described above)

Contact Contracts & Grants Compliance about any questions on follow-up or if you are uncertain about how to proceed or obtain recertification.