Effort Certification

This procedure establishes the University's policy for obtaining effort certifications for employees whose salaries are paid under sponsored agreements.  OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR 200) requires effort to be substantiated for charges to a sponsored project. 
Per Section D-04 of the Accounting and Administrative Manual, exempt employees will certify effort three times per year.  Non-exempt employees certify effort upon timesheet submittal.

What is the process?

Based on the effort reporting schedule released by Statewide annually, OSP Post-Award prints all Grant Effort Certification Statements (GECs) for the entire UAA MAU.

OSP scans the printed GECs per Time Keeping Location (TKL) and routes to key departmental fiscal managers/fiscal officers. The departmental fiscal staff distributes the GECs to the employees for their review and signature. Individuals with first hand knowledge of 100% of all activities can sign the GEC.

If the employee agrees to the effort percentages generated by Banner, they will need to signs the form manually or digitally.

If the employee does not agree with the percentages generated by Banner, they will have to write the correct percentage/s on the GEC and signs the form.

The departmental fiscal staff gathers all completed GECs and returns to OSP Post-Award for uploading to OnBase. Department’s are responsible for maintaining original files.

If recertification is needed for any prior period, the employee will need to submit the GEC Recertification form along with the corrected GEC statement.  In accordance with Uniform Guidance, effort needs to be accurately reported and certified.

 For informational purposes, fiscal managers can run a Mid-Term Report (FGR2MTC) at the department level either by TKL or by individual employee to provide the percentage of time spent on each project as translated in dollar amounts:

  1. Run a Mid-Term Report (FGR2MTC) – This will provide the Fiscal staff at each department with a list of exempt employees (incudes faculty) on restricted funds (also known as sponsored programs).   This report can be run by the fiscal officers at the department levels either by TKL (Payroll location) or by individual employee to provide the percentage of time spent on each project. 
  2. Run the actual Certification Form (FGR2CRT) – Each exempt employee on a restricted fund will need to sign this form, certifying actual percentage of effort. 
  3. Upload signed Effort Certification Forms onto Sharepoint. They must be .pdf and must be scanned in landscape orientation.