1. Effort Certification at UACES SANDRA WILLIAMS Office of Sponsored Programs

2. Effort and Effort Reporting Effort is defined as the amount of time spent on a particular activity. It includes the time spent working on a sponsored project in which salary is directly charged or contributed (cost-shared effort). Effort reporting is the mandated method of certifying to the granting agencies that the effort charged or cost shared to each award has actually been completed.

3. Why do we certify Effort? Effort reporting is a federal requirement. As a condition to receive federal funding, institutions must maintain an accurate system for reporting the percentage of time (i.e., effort) that employees devote to federally sponsored projects (see OMB Circular A-21, Cost Principles for Educational Institutions - Compensation for Personal Services).

4. Who is eligible to Certify Effort? OMB Circular A-21, Section J.10 requires that the certification report be signed by “the employee, principal investigator, or responsible official(s) using suitable means of verification that the work was performed.”

5. Who Certifies Effort at UACES? For Classified and Non-Classified Employees Employee Self – Certifies For Temporary (Work Only When Needed) Employees Principal Investigator (PI) Certifies Or Proxy designated by PI

6. E-mail correspondence Direct supervisory responsibility Contact from the employee’s supervisor Establish a protocol with employee for communicating changes in effort Notes from meetings or discussions Calendars, travel records, teaching schedules and lab notes Time sheets and log books Examples of suitable means of verification:

7. Which Funds Do We Certify? Federal Smith Lever (14xxx) Federal Letter of Credit (21xxx) Federal Letter of Credit Matching (22xxx) Other Federal Grants and Contracts (23xxx) Other Federal Matching (24xxx) Note:Employees who receive any portion of their salary from the fund sources above will require effort certification.

8. Federal Smith-Lever (14xxx) Faculty Salaries & OSSDP –In addition to State Appropriated Funds, Federal Smith-Lever funds are sometimes used to pay salary for Extension Faculty. These funds support all Extension programs and Faculty must Certify Extension Program effort. – Organizational Salary Savings Distribution Plan (OSSDP Funds) Currently these funds are funded by Federal Smith-Lever and must be Certified.

9. When do we Certify Effort? Effective January 2016 UACES will have quarterly Effort Reporting periods: January 1 st to March 31 st  Effort Reports available for Certification and Post-Review May 1 st - May 31st April 1 st to June 30th  Effort Reports available for Certification and Post-Review August 1 st – August 31 st July 1 st to September 30 th  Effort Reports available for Certification and Post-Review November 1 st - November 30 th October 1 st to December 31 st  Effort Reports available for Certification and Post-Review February 1 st – February 31 st

10. What Effort Certification Is “NOT”. Effort certification is not how the payroll expense was distributed. If the payroll expense distribution does not match actual effort, a payroll correction will need to be processed. It is recommended that supervisors check expense distribution and effort at the beginning of each certification cycle to assure they will match.

11. Some Red Flags: Late effort certifications Certifier does not have firsthand knowledge of work performed or suitable means of verification Over 90% effort placed on the grant No effort placed on grant Untimely payroll redistributions and corrections without proper justification/explanation Significant amount of re-certifications Records do not match certification Effort on proposal is not reflected in certification

12. A-21 Time & Effort Certification Audit Results for FY12 : Finding #12-01: There are no written policies and procedures over federal time and effort reporting. Finding #12-02: Of the effort reports sampled over 30% of the forms were not signed timely by the employee or principal investigator on the project.

13. A-21 Time & Effort Certification Audit Results for FY13: Finding #13-01: The policies and procedures over federal time and effort reporting are general rather than specific in nature. Finding #13-02: Of the effort reports sampled 28% of the forms were either not signed timely or not dated making it not possible to determine whether they were timely. Additionally, three effort certification forms did not include 100% of the employee’s time and effort.

15. A-21 Time & Effort Certification Audit Results for FY14: Final Year Audit Results: Finding #14-01: Three late reports, all less than five days late.

16. REMINDERS Effort Reports for the Period 7/1/15 – 12/31/15 will be available for certification by April 1 st. Once the Effort Report has been Certified and Post- Reviewed, the report is locked and is not available for update. In unusual instances with appropriate PI justification AND approval by the following: Corresponding Asst/Assoc Director Associate VP for Agriculture - Extension The ERS Administrator (OSP Director) can unlock a previously certified report for payroll correction & re-certification.

17. THE PROCESS SHERYL BAKER Information Technology

18. OLD EFFORT REPORT

19. Why Change?? Better Review Process to Increase Accuracy –Process allows reviews by OSP, Certifier and PI Efficient Monitoring and Routing of Effort Report –The disposition/location of an Effort Report is available real time. –Electronic Routing. No paper to move from location to location or office to office. It’s all available online and in real time.

20. Why Change?? (Cont.) Payroll Corrections to Effort Reporting are Processed More Effectively Able to Monitor Process to Ensure Reporting is Complete and Digitally Stored to Prevent Lost Records Quick Access for Audit Reviews to Demonstrate Compliance and Avoid Audit Findings.

21. New Effort Reporting Steps Pre-Review Prior to the Certification Period Completed by OSP Grant & Contract Analyst (PI receives FYI copy) Certification During this period appointed employees will self-certify and PI/PI designee will certify for temporary staff Post-Review After effort report is certified Principal Investigators will perform post-review for reports reflecting effort on their projects

22. New Effort Reporting Process Demonstrate 8 Actions to Perform by Users 1.Getting to Effort Reporting in SSB 2.All Certifying Employees - Self Certification 3.All - Submitting Change Requests 4.Entering Comments 5.Printing New Effort Report 6.PI’s – Temp (Graduate) Certification 7.PI Proxies – How to Certify & Review as Proxy 8.PI’s – Post Review

23. Getting to Effort through Self Service Go to Banner Self Service

24. Getting to Effort through Self Service

27. Certifying The Certify My Effort page is displayed. This is for the certifier. Double-click on the reporting period line to open the record. The Status column should display ‘Awaiting Certification’ and the ‘Unlocked/Locked’ column must be ‘Unlocked’.

28. Certifying The Effort Report consists of two sections: Sponsored and Non-Sponsored activity. Sponsored activity – activity supported by funding outside the university. Non-sponsored activity – all other activity (usually university funding).

29. Certifying Review the accounting distribution(s) and the effort percentage(s). To certify the effort reported is accurate, click on the ‘Certify’ button..

30. Certifying If you agree, Click “I Agree”

31. Requesting Changes Review the accounting distribution(s) and the effort percentage(s). To Request Changes click the ‘Request Changes’ button..

32. Requesting Changes Email Effort_Reporting@uaex.edu with Changes Effort_Reporting@uaex.edu CC: Admin Responsible for EHIRE Changes Include “From” and “To” Fund Information Send the email

33. Entering Comments ALWAYS enter comments when requesting changes. Click on Comments

34. Entering Comments (Cont.) Click on “Add Comment at the bottom

35. Entering Comments (Cont.) Enter Comment Describing Changes or any other information Click Save

36. Printing Your Effort Report Click on the “More Actions” drop-down arrow, and click Print. A separate window will open displaying your report in adobe reader. Click on the Print icon. Close the window

37. PI’s – Temp/Terminated Employee Certification Go to “Review or Certify Reports” Click on “Advanced Search’

38. PI’s – Temp/Terminated Employee Certification Click on the Drop Down Beside “Select Attribute” Select “Chart of Account code”

39. PI’s – Temp/Terminated Employee Certification Click on the “…” to the Right of the Block

40. PI’s – Temp Employee Certification Select the “Z” Code from the Available Chart Codes Click on Select

41. PI’s – Temp/Terminated Employee Certification Click on “Go’ The System Will List Participants Tied to your Project Screen will Look like Below

42. Double-click on the employee line to open the record. The Status column should display ‘Awaiting Certification’ PI’s – Temp/Terminated Employee Certification

43. Review the accounting distribution(s) and the effort percentage(s). To certify the effort reported is accurate, click on the ‘Certify’ button.

44. PI’s – Temp/Terminated Employee Certification If you agree, Click “I Agree”

45. PI Proxies Available Contact OSP at Effort_Reporting@uaex.edu if you wish to assign someone as a proxyEffort_Reporting@uaex.edu You will be able to do the following actions on behalf of the person you are acting as a proxy. –Certify for Them –Certify for Temps –Review

46. PI Proxies Go to “Proxy or SuperUser” Select Drop Down and Select Person You are Acting as a Proxy Select ADD PROXY

47. Questions