Time & Effort Methodology
The current time and effort certification methodology at Texas Southern University consists of the following processes: 1) generating the certification reports, 2) dissemination, 3) certification, 4) sample review 5) reconciliation for changes to the report. Time and effort certification is conducted quarterly for the periods of September – November, December – February, March –May, and June – August. Currently, samples of salaries listed on the Time and Effort Certification Reports are tested each quarter. Responsible parties for the processes are the Office of Information Technology, the Department of Human Resources, the Payroll Department, the Office of Research (OR), and the Principle Investigators (PI’s).
- Currently, Effort Certification Reports are printed by the Office of Research from data input by Human Resource and Payroll Departments. Quarterly, the OR attaches a memorandum from the Provost and Vice President for Academic Affairs/ Research to each Effort Certification Report that outlines the importance of accurate time and effort reporting. The memos and Certification Reports are disseminated via campus mail.
- Within 1 week of failures to return Effort Certification Reports by the specified due dates, the OR notifies the PI in writing of the failure to comply with the reporting process. Incidences of PI failures to correct noncompliance are reported to the Provost and Vice President for Academic Affairs/Research.
- PI’s with time and effort corrections are to indicate the changes on the Effort Certification Report.
- The OR checks the accuracy of the changes against the source document (Grant Application). If the changes are accurate the PI is given a payroll reallocation form to complete. If the changes are not accurate, the OR may modify the information on the general ledger in accordance to the reallocation form and the source document.
- The Compliance Officer of the Office of Research randomly chooses Effort Certification Reports for testing and requests the corresponding Personnel Action forms from the Human Resources Department and time sheets from the Payroll Department. Salary information listed on each Effort Certification Report is matched against the employee’s base salary listed on their personnel action form. Additionally, the Compliance Officer reviews payroll time sheets to ensure that any unexcused absences or other no-pay situations are accounted for.
- The Compliance Officer submits a report outlining the findings of the testing and makes recommendations for corrective actions to the Director of Research Enhancement and Regulatory Services.
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