[Plsfaculty] FW: Creation of Effort Certification Documents for July- December 2024 DUE MARCH 24TH

Wed Feb 12 09:55:00 MST 2025

Good morning, everyone,

Effort certifications for the period of July to December have been created. I will be reviewing over the next week or so and approving, which will send them to all PIs for approval. Please keep in mind that I am still rather new to SPLS so I will not know most employees that work in your labs so I will need all of you to review these certifications before approving. If you notice any issues, please email me directly to update.

Thank you,

[The University of Arizona block 'A' logo.]
Kevin K Teres
Manager, Finance and Administration
Environmental Science/Water Resources Research Center,
School of Plant Sciences
College of Agriculture, Life, and Environmental Sciences
THE UNIVERSITY OF ARIZONA

Shantz, 429F
PO Box 210038 | Tucson, AZ 85721
Office: 520-626-5881 |
kteres at arizona.edu<mailto:kteres at arizona.edu>
environmentalscience.cals.arizona.edu/<https://environmentalscience.cals.arizona.edu/>

[Integrity, Compassion, Exploration, Adaptation, Inclusion, Determination]<https://brand.arizona.edu/signature>

From: Holan, Tabatha M - (tholan) <tholan at arizona.edu>
Sent: Wednesday, February 12, 2025 9:04 AM
To: SPCS-financialcompliance <SPS-financialcompliance at email.arizona.edu>
Subject: Creation of Effort Certification Documents for July- December 2024 DUE MARCH 24TH

**Please share with your department as needed**

Good morning,

The federal effort certification reports for Base Pay certifications are now in your UAccess Financials action lists. On Friday, February 14th the reports for Supplemental compensation pay certification will be on your action lists. Below is information about effort reports, due dates, and report tracking. After reviewing the notes, I encourage you to contact the SPCS Financial Compliance Services team with questions or training needs. Online training and policy documents are on the research gateway at: https://research.arizona.edu/administration/managing-projects/effort-reporting

The team consists of:
Tara Gonzales, Senior Manager - tgonzale at arizona.edu<mailto:tgonzale at arizona.edu>
Tabatha Holan, Grants and Contract Analyst, Principal  - tholan at arizona.edu<mailto:tholan at arizona.edu>
Nathalie Zepeda, Grants and Contract Analyst, Principal - nathaliez at arizona.edu<mailto:nathaliez at arizona.edu>
Phone: 520-626-6000

Why am I receiving this email, and what are effort certification reports?

  *   Effort certifications are reports required by the federal government for all University employees who receive a portion of their pay from federally sponsored grants and contracts.
  *   The reports show the individual's pay distribution over a six month period and serve as after the fact confirmation that the percentage of pay charged to the federal projects is a fair representation of the time actually worked on the project.
  *   The reports have two sets of required approvals:
     *   Fiscal officers for all accounts the individual was charged to.
     *   Principal investigators for the federal projects the individual was charged to.

I am the fiscal officer for a unit that does not conduct sponsored research, what do I do?

  *   If you are the fiscal officer of a unit that does not normally conduct sponsored project activity, you are receiving the report because the individual charged to your non-sponsored account also has pay on federal research accounts. Please verify the charge on your non-sponsored account matches your reconciliations and approve the document.

I am the fiscal officer for a unit that does conduct sponsored research, what do I do?

  *   Review the policy and training materials at https://research.arizona.edu/administration/managing-projects/effort-reporting
If you are the fiscal officer of a research unit, you are responsible for verifying the charges on your accounts match your reconciliations.
  *   You are responsible for following up with the principal investigators for your federal accounts to ensure they approve the reports after you complete them. SPCS will also send reminder emails to PI's, but we need and appreciate your cooperation. Below you will find information about how to track reports.
  *   The principal investigator is the person responsible for certifying the work was performed according to the distribution and amount charged. Their approval is the official auditable certification that the distribution is correct.
  *   Contact us if you have questions, or problems getting a report approved by your PI's or fellow fiscal officers.

Due Dates:

  *   Reports are due within 30 business days of document creation date. The due date for the July- December 2024 effort certifications documents to be finalized is Friday, March 24th  . A finalized effort certification includes approval from both the fiscal officer(s) and project director(s).

  *   Federal grants policy does not allow delegation of PI approvals to business personnel.
  *   The reports first route to Fiscal Officers, and only after all the Fiscal Officers have approved, do they route to the Principal Investigator. For that reason, we ask Fiscal Officers to complete their approvals as soon as possible to ensure our PI's have ample time to review and approve.

Cost Share and NIH/HHS Salary Cap Cost Share

  *   All committed principal investigator effort should be listed on the effort report as either a direct charge or cost share.
  *   Please ensure all committed cost share is accurately charged on the effort report. Committed cost share includes mandatory cost share that was required by the sponsor, and/or voluntary cost share that was included in our proposal and budget. Both types must be tracked and charged.
  *   SPS will be adding notes to effort reports that have NIH salary cap cost share reminding you to check the NIH/HHS cap cost share. We will attach a worksheet that shows the amount that is required. We have worksheets on our website that assist with calculating the necessary NIH cap cost share, they can be found here: https://research.arizona.edu/administration/build-budget/budget-categories/Salaries-and-Wages/HHS-Salary-Cap
Report Tracking:
Fiscal Officers are responsible for tracking their unit's reports to ensure they are all approved in a timely manner. After approving reports, Fiscal Officers can monitor status in UAccess Financials with their choice of two tools.

  *   The Outstanding Effort Certifications dashboard located in UAccess Analytics within General - Sponsored Projects:
     *   This is the preferred report, as it includes approvers email addresses to facilitate contacting approvers. The report updates nightly.
     *   Can adjust view for report detail also
     *   adjust the fiscal year or your org code as needed.
     *   https://analytics.uaccess.arizona.edu/analytics/saw.dll?Dashboard&PortalPath=%2Fshared%2FFinancial%2F_portal%2FGeneral%20-%20Sponsored%20Projects&Page=Outstanding%20Effort%20Certifications&PageIdentifier=bt5krepk6va5fk25&BookmarkState=3o2c8sn6ulqq6glv7jrebrs41q&options=frd
  *   The Outstanding Certification Report within Financials which is located at this link<https://financials.uaccess.arizona.edu/kfs/kr/lookup.do?methodToCall=start&businessObjectClassName=org.kuali.kfs.module.ec.businessobject.OutstandingCertificationsByOrganization&docFormKey=88888888&returnLocation=https://financials.uaccess.arizona.edu/kfs/index.jsp&hideReturnLink=true>
     *   This report is useful if you need up to the minute tracking information. Set to fiscal year 2025 and your org code.

Thank you for your cooperation in completing this federally required procedure.

,
Tabatha Holan  [paw]
Grant and Contract Analyst, Principal, Financial Compliance Services
p. 520.626.6442 |e. tholan at arizona.edu<mailto:tholan at arizona.edu> | Hrs: M-Th 8 -5:30 & F 1:30-5:30
Sponsored Projects Services<http://www.rgw.arizona.edu/> | The University of Arizona<http://www.arizona.edu/> | Ethics & Compliance Hotline<hotline.arizona.edu> | 866.364.1908
Upcoming OOO:
March 17-20 NCURA- FRA

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We respectfully acknowledge the University of Arizona is on the land and territories of Indigenous peoples. Today, Arizona is home to 22 federally recognized tribes, with Tucson being home to the O'odham and the Yaqui. Committed to diversity and inclusion, the University strives to build sustainable relationships with sovereign Native Nations and Indigenous communities through education offerings, partnerships, and community service.

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