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The Office of the Vice President for Research (OVPR), in conjunction with Associate Dean for Research for each unit, has the authority to decertify an individual's status as a Certified Approver (CA).

"Decertification" is defined as removing not only the individual's ability to approve financial transactions on sponsored projects, but also their certification.

The following criteria should aid in determining whether decertification is appropriate:

1. The individual has demonstrated unsatisfactory performance, or other circumstances of concern, or
2. The individual has not met the continuing education requirements.

The process usually used for decertifying an individual's CA status is outlined below:

CRITERION 1: Unsatisfactory performance or other circumstances of concern: Case-by-case examination of unsatisfactory performance or other circumstances of concern is necessary.

1. OAR generally should collaborate with both the OVPR and the Associate Dean for Research or equivalent for the CA's unit to determine the activities that may be cause for decertification, which may include, but are not limited to:
   • not properly addressing or making changes based on findings from transaction reviews.
   • lack of change in improper activity after having participated in additional required training.
2. OAR and the Associate Dean for Research or equivalent for the CA's unit generally will work together to set and communicate clear expectations about what steps the CA can follow to avoid decertification.
3. OAR and the Associate Dean for Research or equivalent for the CA's unit generally will work together to provide opportunities for the CA to respond and/or receive coaching or mentoring to avoid decertification.
4. Any disciplinary measures shall follow the procedures set forth in the applicable University policy, rules, or collective bargaining agreements for that employee classification. Otherwise, the University reserves the right to assign work duties, such as Certified Approver work, as it sees fit.

CRITERION 2: Continuing Education Requirements Have Not Been Met:

Note: This criterion alone generally should not be the basis for decertification, unless it is demonstrated to be a consistent pattern. Rather, it could initiate an evaluation that may result in decertification.

Certified Approvers must meet continuing education requirements by the end of each fiscal year. Prior to that deadline, the Office of Oversight, Analysis and Reporting (OAR) will send a reminder notice to all CAs, to review their progress, and make arrangements for completing the requirement. The OAR office also conducts a review of all CAs to determine their completion status. Notices will be sent to the individuals who have not completed the requirement, along with being sent to the primary Certified Approver for the individual's unit. If the individual CA does not make specific plans for completing the requirement, an additional notice may be sent, along with a copy to the unit's Associate Dean for Research or equivalent.

If the individual has not met the requirements after July 1, OAR will notify him or her that an evaluation process will begin, with the possible result of decertification. This letter will ask the individual to respond with a plan to meet the education requirements within a specific period of time.

If the individual does not respond adequately, OAR will work with the unit's Associate Dean for Research or equivalent to determine the appropriate action, up to decertification. If the individual establishes a plan and meets the deadline, that person can retain his or her status as CA. However, if that individual fails to meet continuing education requirements a second time, he or she will be decertified without being allowed to make these special arrangements.

1. The Associate Dean for Research for the unit should inform the individual that he/she is being decertified,
2. The Associate Dean for Research for the unit should inform the office of Oversight, Analysis and Reporting of the action being taken to decertify the individual,
3. The OAR office will remove the individual's name from the list of active Certified Approvers in the financial system,
4. The Principal CA for the Unit or the CA's supervisor should collect the individual's Certified Approver stamp and return it to the OAR office, and
5. The OAR office will remove the CA from the list of CAs who are eligible for appointment.

Depending on the criteria (see Step I above) giving rise to the decertification, the individual must complete the following to once again be eligible to be appointed as a Certified Approver:

• Wait for a period of one year,
• Participate in additional training, as appropriate,
• Pass both parts of the certified approver exam, and
• Be appointed as a CA by the Associate Dean for Research or equivalent for their unit.