Effort Reporting at UTHealth

Risks of Effort Reporting Non Compliance

Corrective Action Concerning the Untimely Completion of Effort Certification Reports

The following guidelines shall be followed in cases of untimely completion of effort certification reports.  These are considered the minimum actions; additional corrective elements may be included as appropriate.   “Untimely” is defined as any report that has not been certified within thirty calendar days.  Corrective action will begin after the 31st day of non certification.

First Report of Untimely Completion of Effort Certification Reports: 
The Office of Research Financial Management will inform the respective departmental academic and administrative leadership.  The Chair (or equivalent) and business management director (DMO or equivalent) will communicate with the researcher to ensure that the researcher understands the specific issues and to receive assurance from the researcher that the delinquent reports will be completed immediately and that efforts will be made to reduce the likelihood of future non-compliance.

Second Report of Untimely Completion of Effort Certification Reports: 
Six weeks following the First Report of Untimely Completion, the Office of Research Financial Management will inform the respective Dean of the second report of noncompliance.  The Dean will communicate with the researcher in order to receive assurance from the researcher that the delinquent reports will be completed immediately and that efforts will be made to reduce the likelihood of future non-compliance.

Third Report of Untimely Completion of Effort Certification Reports: 
Six weeks following the Second Report of Untimely Completion, the Office of Research Financial Management will inform the Provost and Executive Vice President of Research of the third report of noncompliance.  The Provost and Executive Vice President of Research will communicate with the researcher to receive assurance from the researcher that the delinquent reports will be completed immediately and that efforts will be made to reduce the likelihood of future non-compliance.  The Provost and Executive Vice President of Research will also communicate the consequences of any future non-compliance.

Fourth Report of Untimely Completion of Effort Certification Reports:

  1. Six weeks following the Third Report of Untimely Completion, the Executive Vice President for Academic & Research Affairs (EVPARA) will inform the President of the noncompliance. 
  2. The EVPARA will evaluate the noncompliance.  If the EVPARA determines that the noncompliance does not rise to intentional, willful, or reckless disregard for effort certification requirements, the researcher will meet with the President (or his/her designee) to propose a corrective action plan, consistent with the Disciplinary Guidelines below, that assures compliance with the applicable standards of effort reporting.
  3. If the EVPARA determines that the noncompliance is the result of a researcher’s intentional, willful, or reckless disregard for the effort certification requirements, including, but not limited to, evidence of repeated failure to heed the recommendations of the Office of Research Financial Management with respect to effort certification, or where the evidence supports a finding that there is a pattern of disregard for the effort certification requirements, then disciplinary action shall be initiated, consistent with the Disciplinary Guidelines below.
  4. Other action may be implemented as determined by the Chief Compliance Officer and by the Executive Vice President for Academic & Research Affairs.
     

Disciplinary Guidelines: 

If, as part of the corrective action plan, disciplinary action is recommended, such action will be taken based on the facts and circumstances relating to the incident(s) of non-compliance.  Disciplinary actions may include, but are not limited to: 

  • Focused retraining of the faculty regarding compliance with effort certification issues and standards until he/she has demonstrated competency on the issue(s) in question;
  • Moving all non-certified salary expenses off the sponsored account and to a departmental unrestricted account;
  • A recommendation for suspension, without pay, or termination of the offending faculty member or employee. 

Disciplinary action(s) involving UTHealth faculty, administrative and professional staff, or classified staff members shall be administered in accordance with The University of Texas System Board of Regents’ Rules and Regulations and the UTHSC-H HOOP 133 Faculty Termination, 153 Termination of Employment, or 187 Disciplinary Actions, respectively, as applicable.
 

Report Schedule

Distributed to:

1st report > 31 days old

Departmental academic and administrative leadership

2nd report >73 to 114 days old

Departmental academic and administrative leadership and Deans

3rd report >115 to 156 days old

Departmental academic and administrative leadership, Deans,
EVP of Academic & Research Affairs

4th report >157 days old

Departmental academic and administrative leadership, Deans,
EVP of Academic & Research Affairs and President