Effort Certifications are going digital! As SPS continues to adapt to new realities brought on by COVID-19, we’re adjusting how we process effort certification reports (ECRs) accordingly.  For the Spring 2020 effort run, ECRs will be sent in email batches to department administrators for further distribution to appropriate signatories.  Effective immediately, for all outstanding ECRs and for scheduled effort runs through the implementation of Workday, ECRs must be returned to SPS in one of the following manners, in priority order:

#1: If the appropriate signatories already have software licensing in place to accommodate digital signatures, preferably with certificates and date/time stamps, please use this method.  Do not send paper copies or originals back to SPS – keep these at the department*.  In this case:

1. 1. Once fully signed, one of the signatories must email the ECR(s) directly to effort@wsu.edu; and
   2. All other signatories must be copied on the email transmission. 
   3. Note: for this method, senders may enclose more than one ECR per email, assuming the requirements above are met.

#2: If #1 above is not feasible, the ECR may be printed, wet-signed, and scanned** again.  Do not send paper copies or originals back to SPS – keep these at the department*.  In this case:

1. Once fully signed, one of the signatories must email the ECR(s) directly to effort@wsu.edu; and
2. All other signatories must be copied on the transmission; and 
3. In either the subject line or body of the email, the affected ORSO number(s) must be referenced.
4. Note: for this method, senders may enclose more than one ECR per email, assuming the requirements above are met.

#3: If #1 and #2 above are not feasible, the form may be returned to SPS unsigned.  Do not send paper copies or originals back to SPS – keep these at the department*.  In this case:

1. A signatory must return the ECR directly to effort@wsu.edu; and
2. The ECR itself must include a note in the Remarks section that it has been approved, or approved as modified, via email (the sender must be an authorized signatory and be listed by name as the approving party on the ECR); and
3. The email must come directly from one of the signatories, with all other signatories and the Chair(s) copied.  For the avoidance of doubt, all signatories and the Chair(s) must be included in the email transmission directly to SPS (not in a prior message in the conversation), and the email itself must come directly from one of the signatories; and 
4. In either the subject line or body of the email, the affected ORSO number must be referenced; and
5. The body of the email must include both the complete attestation language from Section I of the ECR and the sender’s own language indicating approval of the attachment’s contents. 
6. Note: for this method, only one ECR may be attached per email.

BPPM 40.34 and BPPM 40.35 are still good references for general questions regarding the Effort process.

*Please note the retention period for certain grant-related documents at BPPM 90.01, and work with your area’s research administration team to ensure proper retention in a known location.

**The scan quality requirements for the Washington Public Records Act can be found at WAC 434-663-305.  Please work with your assigned Information Systems group to ensure your scanning equipment is compliant – SPS is not equipped to provide assistance in meeting these requirements.

Any questions may be directed either to me or SPS’s Compliance Manager, Tyler Howard.  Thank you for your partnership and flexibility in ensuring this important compliance process still occurs, despite the times. 

WSU’s 2019 Federal Single Audit is available at the OFM and SPS websites.

Effective immediately, due to COVID-19 gathering size restrictions, SPS will be working remotely as much as possible.  SPS remains open to serve WSU system-wide, with the following modifications: During the COVID-19 pandemic, and until further notice, SPS will follow CDC, Washington DOH and Governor Inslee’s directives regarding social distancing, alternative work locations and teleworking.  There will be limited staffing on site in physical offices, with any on-site business being conducted with strict adherence to social distancing practices.  SPS will not have in-person meetings, but will be able to meet with you via Zoom or Teams.  SPS will be available via email, with managers also available by phone.  Business documents (i.e. ETRs) can be sent electronically to SPS (scan or photo) at sps@wsu.edu or to the accountant assigned to your award.