The effort certification process is a critical financial responsibility required by University Policy RA64 Personnel Costs, Effort certification procedure RA2064 Effort Certification and Uniform Guidance 2 CFR 200.430. Principal Investigators are required to certify effort on an annual basis (periodic) and at the time of grant closure (upon closure) as part of their responsibility to be good stewards of funds, refer to RA02 Stewardship of Sponsored Programs.

Effort that is not certified by the deadline puts PSU at significant risk for audit findings that can lead to PSU returning funds back to sponsors, at each individual business area’s expense. Penn State reserves the right to implement administrative and financial sanctions against non-compliant PIs and their business areas. Please note, certifying incorrect effort against a sponsored award would be considered a false claim subject to federal prosecution and fines.

• Effort reporting is a process designed to ensure that effort was committed to a sponsored award, as noted in the awarded budget, budget narrative or proposal
• Confirmation of the actual effort worked allows the University to ensure that the sponsor is appropriately charged for actual effort worked.
• Effort certification is at the sponsored program level
• Mandatory and Voluntary Committed Cost Share is tracked in a separate sponsored program (52) and is certified separately.
• Sponsor salary cap is tracked in a separate internal order and is NOT certified.
• Effort certifications exclude fellowship and traineeship stipends as these are NOT payments for services.
• Part-time hourly positions are not part of the University’s official certification process. Approval of the timecard serves as the certification.
• Effort certification is based on the institutional base salary (IBS). Additional duties payments are not included in effort certification such as but not limited to Supplemental II, overtime, etc. Refer to policy RA64 Personnel Costs
• Effort certifications must be approved before the due date.
• Upon closure generate 30 days after the period of performance end date on the sponsored award and are due 90 days after the period of performance end date.
• Periodic (Annual) generate first week in August and are due September 30
• Effort Certification workflow verified by the department Research Administrator then released into the workflow for PI review/approval or rejection
• If you see an error or have questions, reach out to your department’s Research Administrator for assistance before rejecting. You will find the Research Administrator name listed on the effort certification.