ࡱ> ilhs '#bjbj\\ A>6ij6ijc$ $ 1118iD,1yY777YYYYYYYS\ _hY77777YH3Y3337Wp37Y33P$V f%xRR4WIY0yYRpq_q_h$V$Vq_8V`77377777YY777yY7777q_777777777$ : Office of Sponsored Programs & Research Effort Certification Policy As recipients of direct federal funding, the гƵ (гƵ) must abide by 2 CFR, Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The federal government requires that institutions receiving sponsored funds maintain documentation of employee effort that provides reasonable assurance that salary charges to federal awards are accurate, allowable, and properly allocated. This Effort Certification Policy establishes гƵs procedures for certifying and documenting effort on sponsored projects in accordance with federal requirements. After-the-Fact Reporting гƵ uses an After-the-Fact Activity reporting method to comply with the federal effort certification requirement under 2 CFR 200.430(i)(1)(viii). Under an After-the-Fact method, distribution of salaries and wages for employees working on externally funded projects are supported by activity reports. Salary charges are initially based on reasonable estimates of anticipated effort. After-the-Fact reports reflect the actual percentage of effort devoted to sponsored projects during the reporting period. If significant differences (greater than 10%) occur between estimated and actual effort, payroll charges will be promptly adjusted and documented to reflect the true distribution of work. These records are incorporated into гƵs official accounting system as part of its internal control framework. Employee Effort Certification Reports Employee Effort Certification Reports will reasonably reflect the percentage distribution of activity expended by гƵ faculty and professional staff involved in federally funded grants, contracts, and cooperative agreements. Reports must account for 100% of the individuals base compensated effort across all institutional activities (research, instruction, service, administration). 100% effort represents the total professional responsibilities encompassed by the employees гƵ appointment, not a fixed number of hours. Salary charges to sponsored projects must be based on records that accurately reflect the work performed, are supported by the payroll system, and are consistent with internal control requirements. Salary distributions are based on an individuals institutional base salary, which represents the annual compensation paid by гƵ for the employees appointment, excluding bonuses, overtime, or supplemental pay not part of regular duties. Cost Share Employees must account for all effort devoted to sponsored projects, including any effort not compensated by the sponsor (cost sharing). This can occur on a mandatory or voluntary basis. Mandatory cost sharing occurs when specifically required by the sponsor. Voluntary cost sharing occurs when additional effort is pledged in a proposal and must also be tracked and certified. The Principal Investigator (PI) is responsible for certifying all effort expended on projects, regardless of funding source. All cost-shared effort will be recorded in separate accounts for accurate reporting and audit purposes. Certification Responsibility and Other Requirements Certification Authority: The Office of Sponsored Programs & Research (OSPR) will initiate the electronic Effort Certification form. Effort must be certified by the employee, Principal Investigator, and Dean/Director, who have direct knowledge of the work performed and with suitable means of verification. Certification may be completed via secure electronic approval or manual signature. Absence from Project: Sponsor approval is required if a PI or key personnel will be absent from a project for more than 90 consecutive days. Changes in Effort: Any changes in effort levels for key personnel must be approved by the appropriate Dean/Supervisor and the sponsoring agency and reported to OSPR. Proposal Preparation Time: Time spent developing or submitting proposals for new funding cannot be charged to an active sponsored project, unless prior approval from funding agency and Dean/Supervisor. Proposal preparation effort must be charged to departmental or other non-sponsored accounts. Payroll Adjustments: If discrepancies are identified between certified effort and payroll charges, OSPR will ensure corrections are made promptly (within the same reporting cycle when possible) and documented in the project file. Reporting Procedures Effort Certification Reports are required three times annually. Following the close of each reporting period, OSPR will initiate the Effort Certification Reporting eForm. The eForm will be routed electronically from OSPR to the Employee for certification, then to the applicable Principal Investigator (PI), followed by the Employee's Supervisor, and finally returned to OSPR for final processing. Upon completion of all required approvals, the finalized Effort Certification Report will be electronically stored in the University's eTrieve content management system for record retention and audit retrieval. The eForm includes routing logic to accommodate situations in which the Employee, Principal Investigator (PI), and/or Supervisor are the same individual. Built-in Yes/No routing questions automatically adjust the approval workflow to ensure the appropriate routing sequence is followed. The eForm requires the entry of effort percentages for Award Activities, Non-Award Activities, and Cost Share/Matching. The system automatically calculates these percentages, and the combined total must equal 100% before the eForm can be submitted for certification. Reporting Periods: Fall (August 1 December 31); submission deadline January 31 Spring (January 1 April 30); submission deadline May 31 Summer (May 1 July 31); submission deadline August 31 Electronic Certification and Record Retention гƵ may use electronic effort certification systems that include secure login, audit trail functionality, and verification mechanisms that meet federal internal control standards. Effort certification records and supporting documentation must be retained for at least three years after submission of the final financial report to the sponsoring agency, in accordance with 2 CFR 200.334. Special Notes Graduate students as well as hourly staff/students who submit weekly time sheets are exempt from completing separate effort certification reports. Principal Investigators are responsible for verifying the accuracy of effort certifications for all employees working on their sponsored projects. OSPR maintains oversight of institutional compliance and provides training and guidance on effort reporting procedures. For additional information, contact: Office of Sponsored Programs & Research гƵ Webb Hall Station 47, Livingston, AL 35470 Phone: (205) 652-3403     гƵ Effort Certification Policy, Revised July 2026 Page  PAGE \* MERGEFORMAT 1 '(CDEF     ³}nnn_N_?_hihmBB*CJaJph hih[5B*CJaJphhih[B*CJaJphhihiB*CJaJphhihdB*CJaJphhihtwB*CJaJphh2B*CJaJphhiB*CJaJphhih:vB*CJaJph hihtw5B*CJaJphhihtw5B*aJphhihmB5B*aJphhihi5B*aJph(DEF A x  & F7$8$H$gdj" 7$8$H$gdj" & F 7$8$H$gd2 & F 7$8$H$gdi & F7$8$H$gd[ 7$8$H$gdi 7$8$H$gd[ $7$8$H$a$gdtw     & ' 1 2 R T ] g h k Ŷԧࠜ~o~cWKh[B*CJaJphhsB*CJaJphh~>cB*CJaJphh~>c6B*CJ]aJph#h~>ch26B*CJ]aJphh2B*CJaJphhi hihihihIB*CJaJphhihmBB*CJaJphhihJ(B*CJaJphhiB*CJaJphhih[B*CJaJph hih[6B*CJaJph ? @ A O P   Y w x mv$)ƺ󫜋؜|p_Q_h:`CJOJPJQJaJ hihiCJOJPJQJaJhj"B*CJaJphhih7jB*CJaJph hih[5B*CJaJphhih[B*CJaJphh2hvS-B*CJaJphh~>cB*CJaJph#h~>ch~>c6B*CJ]aJphhiB*CJaJphhihiB*CJaJphhvS-B*CJaJph &'+,j\@ABynjjfjjbjjj^fjj^^Zjh2hqhgJEhihj"hih:`CJaJh:`h[CJaJ hihV5B*CJaJphhj"5B*CJaJphh:`hiB*CJaJphh2CJOJPJQJaJ hj"hj"CJOJPJQJaJhj"hj"B*CJaJphhihiB*CJaJph hihiCJOJPJQJaJ# \BCwx0 & Fgdo & Fgdo h7$8$H$^hgdj" & F7$8$H$gdV 7$8$H$gd[ & Fgdj"gdo h7$8$H$^hgd:`  & F7$8$H$gdV & F 7$8$H$gd[ & F 7$8$H$gdiBCdjvwx>FOPRY*./0VW=>?ȷtthihk1B*CJaJphhh7jh:`hj"ho h\th:` h\th\thi h\thc h\thj" hihj"5B*CJaJphhV5B*CJaJph hihV5B*CJaJphhj"5B*CJaJphhih[CJaJ'0W=>TUa o hd^hgdY h7$8$H$^hgdj" & F7$8$H$gdj" 7$8$H$gdY h7$8$H$^hgdYh^hgdh^hgdo h7$8$H$^hgdY  & F7$8$H$gdo 7$8$H$gd & Fgdo ?STU(2UU13moɽ}nbbQ hj"hj"CJOJPJQJaJhj"B*CJaJphhihIB*CJaJph#hj"hj"5B*CJ\aJphhYhYB*CJaJphhYB*CJaJph hhhk1h6666666666666666666666666666666666666666666666666hH6666666666666666666666666666666666666666666666666666666666666666662&6FVfv2(&6FVfv&6FVfv&6FVfv&6FVfv&6FVfv&6FVfv8XV~ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@ 0@66666 OJPJQJ_HmH nH sH tH L`L [Normal$CJOJPJQJ_HaJmH sH tH DA D Default Paragraph FontRiR 0 Table Normal4 l4a (k ( 0No List HH [0 Balloon TextCJOJQJ^JaJR/R [0Balloon Text CharCJOJPJQJ^JaJ44 [0Header H$F/!F [0 Header CharCJOJPJQJ^JaJ4 @24 [0Footer H$F/AF [0 Footer CharCJOJPJQJ^JaJ@@R@ V List Paragraph ^m$PK![Content_Types].xmlN0EH-J@%ǎǢ|ș$زULTB l,3;rØJB+$G]7O٭Vzt7.??Źڨd/L+[梃 _¯UjyA_/֖j-A %4\/%ި+K|h(Kmgk):b| H$Y 9DZ.6)A2&`RV!*_[`dI+^DL-)>qfoΟ~_'ҨrQrW_ƿw!pƦ7/_zqԵbp@m ?ItDl,(CjLQc׎O9!N@Iw{Xe3b|`:2˭A9Tn$ءy@Q&Q3,;sg8v%= CN4I ~> zHzw0u $J}*;(wL|$C޳q-!1,hEX>ZN yݾKt l&;HPm%6sq !&}] ~@Lw?%q d98@7C̜mia_Y㩓b8F vB{cNQqsu;6~@VƾzXU+f:OllD,E|=mVePاcGxe_+gj=HSԳ;{yи½|mHmA`0D_cU\+w/ 9MOJK:WnǯIUsffn`<"K*2:&w4]3۸cB/br;}̸uF̘G}ҙ3>-=k&ڂE%睸 |Te6pp1GZ&L~AdNPjĢP gFFz٫[ euRTVxC'c*ibQTz:"dC%1!4ZŲR?rՔ)Zf\5GμMO20V4'|:xt&Ԯiv +nD?TWq]_7.u)S 4?⦾@3;S,8;^K=7>̌cC ^$77&%Bn"cy@I K?L'CWc%WSc#^w}ܓ߭ei)$ Z`%v]:Blqwae&De*2JǐYG4OPQRlnຠtSi832IQ QrZ.afٽ\HYʚU6iaT&ly*o]M̹Qh2/woQoPSJŪ[lDY&`Riڊ0z۶ܫ/PK! ѐ'theme/theme/_rels/themeManager.xml.relsM 0wooӺ&݈Э5 6?$Q ,.aic21h:qm@RN;d`o7gK(M&$R(.1r'JЊT8V"AȻHu}|$b{P8g/]QAsم(#L[PK-![Content_Types].xmlPK-!֧6 0_rels/.relsPK-!kytheme/theme/themeManager.xmlPK-!wG theme/theme/theme1.xmlPK-! ѐ'Q theme/theme/_rels/themeManager.xml.relsPK]L '7> bbbe B?"'#0o "'#D\^e!T # @ 0(  B S  ?H0(   jq%(%(YwSTU``"(YwSTU``"(fW 4~GW|W8 bY HaPj>R8)X@(N3 "4H26`m8SN A$8o&FJgZGPR2`i./&bZ2~?d\ddU"ZQpF/3r4.}v i-Vyx<4{}vZ!}h^`OJQJo(hHh^`OJ QJ ^J o(hHohp^p`OJ QJ o(hHh@ ^@ `OJQJo(hHh^`OJ QJ ^J o(hHoh^`OJ QJ o(hHh^`OJQJo(hHh^`OJ QJ ^J o(hHohP^P`OJ QJ o(hH^`OJQJo(hH^`OJ QJ ^J o(hHop^p`OJ QJ o(hH@ ^@ `OJQJo(hH^`OJ QJ ^J o(hHo^`OJ QJ o(hH^`OJQJo(hH^`OJ QJ ^J o(hHoP^P`OJ QJ o(hH^`o(.^`.pLp^p`L.@ @ ^@ `.^`.L^`L.^`.^`.PLP^P`L.h^`OJQJo(hHh^`OJ QJ ^J o(hHohp^p`OJ QJ o(hHh@ ^@ `OJQJo(hHh^`OJ QJ ^J o(hHoh^`OJ QJ o(hHh^`OJQJo(hHh^`OJ QJ ^J o(hHohP^P`OJ QJ o(hH^`o(. ^`hH. pL^p`LhH. @ ^@ `hH. ^`hH. 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