Effort reporting for LSA Tenured and Tenure Track Faculty Appointments 1 May 2011.

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Effort reporting for LSA Tenured and Tenure

Track Faculty Appointments

May 2011

This formalized the effort framework for the College

Shortcodes now are used appropriately to track the distribution of effort

By using the appropriate shortcodes throughout the year Effort Certification at the end of the year is correct

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LSA rolled out Effort Reporting in 2009 for the NS and 2010 for SS&HU

Compliance – Annual Certification Reporting

◦ Internal Control Compliance Certification◦ Annual Certification by the Dean

Activity Based Budgeting Effective planning

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Why is it important

Who Certifies?◦ Sponsored Activity◦ Cost Sharing Related to Sponsored Activity◦ More than one Functional Activity

Instruction/Service/Department Scholarship Research Administration Internally funded Organized Research (i.e. Rackham,

OVPR, College) Annually for faculty & staff

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Effort Certification

Attestation that work was performed Effort is NOT dollars Effort is 100% of what it takes to complete

your job responsibilities

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Effort Certification

Online via Wolverine Access◦ Employee Business◦ Educational material and test◦ Capability to email Admin Contact◦ Recertify if any change is made to DBE data

Certify before leaving/terminated from University

“As Needed” Paper Report Alternate signer ONLY in extenuating

circumstances

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Effort Certification Process

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Effort Certification Questions

We can track◦ Course Releases◦ Sabbaticals◦ Department Scholarship Research◦ Department Administration

We can pull this information through Pathways using MRS and Business Objects!

We are beginning to address significant sponsored research compliance issues.

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Since the implementation of Effort Reporting in LSA …

College & department/unit expectations – Academic Year Model (Framework)◦ Instruction

40% instruction - four course load for research active faculty (10% each)

10% departmental service◦ Organized & Departmental Scholarship/Research

50% scholarly work and research

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Formalizing the Framework for Faculty

◦ Faculty on sponsored funds 2.5 Monthshttp://spg.umich.edu/pdf/201.64-1.pdf

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Formalizing the Framework for Summer Appointments on grants

http://spg.umich.edu/pdf/201.64-1.pdf

http://spg.umich.edu/pdf/201.64-1.pdf

College & department/unit expectations – SUMMER Model (Framework)◦ New or Renewed Chairs and Directors with

appointments starting 7/1/2011 will be expected to show one summer month (summer ninth) as administration to cover work performed as Chair. These funds will come from the already committed to

Chair Flex funds (no additional contribution from College) The language introducing this expectation will be in the

new and reoccurring letters this year.◦ Existing Chairs and Directors continue with the

arrangement spelled out in their Chair agreement letters.

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Formalizing the Framework for Summer Appointments for Chairs and Directors

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Instruction / Service50% 9 months

Didactic Teaching Managing & Mentoring Research

Groups Service work in your unit Office hours Course development & planning Mentoring undergraduate

students

Standard: 4 courses or course equivalents

(10% each) 1 service credit (10%)

Scholarship / Research50% 9 months

Work on your individual research, non-sponsored

Reviewing journal articles/manuscripts Reviewing proposals Writing proposals Writing books Writing journal articles Cost Sharing Mentoring graduate students in your unit

Potential Supplemental or Replacement Funding Sources

Sponsored Departmental College University Funded

SummerCan be any of the above activities

The summer funding is NOT guaranteed by the College unless previously negotiated.

Formalizing the Framework

Service Activities Department Commitment Service work defined by

own department Inter-departmental

committees Departmental promotion &

review committees

\(doesn’t require effort certification)

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Formalizing the FrameworkService vs. Administration

Administration Activities

Activities compensated by the college

Chair, Associate Chair, Dean, Associate Dean

College committee work All leaves (sabbatical)

(does require effort certification)

Course BuyOuts The shortcode you use has

the intelligence built into it through the Class Code to describe the activity.

Units can charge more than 10% effort even though the effort from instruction is 10%. This would mean the rest of the effort would be captured in the available Scholarship side.

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Formalizing the FrameworkCourse BuyOuts vs. Course Release

Course Releases Mechanism for tracking Real cost to department if a

faculty member is allowed to bank.

Use it or lose it.

Chartfields – the structure behind all budgeting and reporting

Valid values vs. Correct chartfields Telling the RIGHT story

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Reminder on how the Structure allows the appointments to do the work.

Fund Number Fund Name

10000 General Fund

20000 Federal Sponsored Fund

25000 Non-Federal Sponsored Fund

30000 Expendable Gift Fund

40000 Designated Fund

50000 – 56500 Auxiliary Fund

70000 – 79999 Endowment Fund

80000 – 86500 Plant Fund

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Shortcode StructureFundSource of Revenue – Restrictions

Code Definition Code Definition

CSTSH Cost Sharing LFPRG Faculty Programs

FACAW Faculty Awards LFDEP Departmental Scholarship

LAFAC Faculty Administration LIDEP Interdepartmental Instruction

LASUP Departmental Administrative Supplements

LILEC Recurring Lecturers

LCRET Supplemental Retirement Commitments

LIREG Regular Faculty

LDEVP Development Activity LISEC Section Commitments

LDIFF Resident/Non-Resident Differential

LISUP Supplemental Instruction

LDISC Discretionary Support LNCUR Current Account

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Shortcode StructureProgram Defined by LSA for reporting purposes

Class Code Class Description

11000 Instruction; scholarly activities; committees

21000 Departmental Scholarship/Research–NOT supported by formal approval process; start-up research; research travel

22000 On-Campus Organized Research – IS supported by formal approval process

22100 Off-Campus Organized Research – formal approval; >50% effort in space NEITHER owned nor leased by U Michigan

31100 Public Service

11100 Departmental Administration – Dept Chair

46000 Dean’s Office Administration

46100 Professional Development

47000 Course and Curriculum Improvement18 Krista

Shortcode StructureClass Codes Available for faculty

Example LSA Shortcode number(Your five Shortcodes will be different)

LSA Program Code

Activity performed when using shortcode

Class Code

123456 LIREG Instruction - Courses both didactic and Research Group Equivalents. Also the regular departmental service.

11000

123457 LIREG Departmental Scholarship/Research - Individual unsponsored research, writing journal articles, books, writing and reviewing proposals.

21000

123458 LIREG Administration - Chairs, Directors, Associate Chairs effort that is not normal departmental service. Typically this would be associated with a formal HR title.

11100

123459 LIREG Instruction Course Release - Any effort that should still be counted in instruction. Using this shortcode allows units to track the number of course releases related to instruction within own unit.

47000

123460 LIREG Administration Course Release - This shortcode allows units to track course releases related to administrative activity OUTSIDE the unit when the faculty member does not have a formal administrative appointment outside the unit. Examples are Executive Committee service, DEC, or service to Central Administration.

46100

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Setting up the framework with Shortcodes—not all available class codes are typically used in LSA

INDIRECT COST RECOVERY EXCLUDED ACTIVITIES

Expenditures for these activities are ALWAYS ICRX

Alumni ActivitiesCommencementEntertainmentFund raisingLobbyingPublic relationsStudent extracurricular activities

INDIRECT COST RECOVERY EXCLUDED EXPENDITURESThese expenditures are ALWAYS ICRX

Alcoholic beveragesBad debts

SOMETIMES INDIRECT COST RECOVERY EXCLUDED EXPENDITURES

Review practices for these expenditures to determine the appropriate Class. Depending on the purpose of the expense, it may be ICRX.

AdvertisingHostingMeals and travelMeetings and conferencesMembershipsRecruitingSelling and marketing

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Shortcode StructureICRX – Indirect Cost Recovery Excluded Expenditures

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Recap ways to account for reduced teachingActivity Classcod

eNotes Examples

Administration

11100 Would expect to see a formal HR title if performing this activity. Requires effort certification.

Chairs, Associate Chairs (suggest making Associate chair’s appointment official through HR title),

Leaves(Scholarship/Research)

21000 No HR appointment Sabbatical, DOC, or SAL. Remember that Tom Hart manages the HR paperwork for leaves.

Medical Leaves(administration)

11100 No HR appointment Please work with Deb Erskine.

Course Release(administration)

46100 Real cost to unit due to replacement teaching. Requires effort certification.

College Executive Committee, service outside of unit, working for Central offices such as provost, director of unit outside of LSA, other department commitment to faculty member that doesn’t fall into any other category.

Course Release(instruction)

47000 Real cost to unit due to replacement teaching. Captures instruction activity outside of classroom teaching.

Developing a new department course for unit and chair/director gives a course release. Advising within unit that c/d equates to time equal to a course and gives release.

Course Buyout (MUST BE APPROVED BY CHAIR/DIRECTOR)

Classcode is defined in Shortcode used

Appointing unit should check to ensure that shortcode is correct for activity performed

Working on sponsored projects (NSF, NIH, etc). Working in another unit who funds the course buyout rate of your unit. If rate exceeds 10% effort additional effort should be captured in the scholarship/research appointment.

New Faculty with reduced teaching load

21000 Appoint for actual activity performed.

One course reduction in a basic 50/50 scenario the submittal paperwork would have the Instruction-Service at 40% and the Scholarship-Research at 60%.

LSA recommends using Real-Time Financials eReconciliation for reconciling all financial activity, including payroll

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Monitoring and Reconciling LIREG Activity

MRS – HR Tab Department Employee Report

◦ Run controls Effective: Current Date Job Family: Regular Instructional Report Type: Funding Job Effective Dating: Current Earnings Effective Dating: Current Output Type: Excel Document

◦ Sort and subtotal distribution percentages by shortcode

Note: Departments can manipulate and subtotal data differently based on individual reporting needs

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Reporting on Faculty Effort Within Your Own Department

One size does NOT fit all (telling the story)◦ Course buy-outs

Cost to unit Need to commit funds if commitment for a prior

fiscal year◦ All Leaves, including Sabbaticals are

scholarship/research beginning 9-1-2011◦ Sponsored awards◦ Effort is not 40 hours – Effort is the amount of

time it takes one to complete their University responsibilities (more hours or less hours)

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Monitoring is Important—Update Information as needed during year

For incidental work of less than 32 hrs/month or 2 weeks

When there is no effort for payment Recruiting and retention 1/9th (remember

1/9 is just a measurement of how much to pay someone)

NEVER FROM SPONSOR FUNDS

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When should we use Additional Pay?

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DBE ExampleFaculty with no organized research

Short Code

% Effort % Dist

Effective Date End Date

Comp Rt Dist Fund Dept IDProgram

ClassProject Grant Activity

123456 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 11000 Instruction

123457 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 21000 Dept Scholarship/

Research

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DBE ExampleFaculty with organized research

Short Code

% Effort % Dist






Research

023333 20.00 20.000 9/1/2009 5/31/2010 19,200 20000 170000 10000 22000 F011111 Sponsored Funds

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DBE ExampleFaculty with 1 summer month

Short Code

% Effort % Dist



Class

Project Grant Activity



Research

Short Code

% Effort % Dist


Comp Rt Dist Fund Dept IDProgram Class



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DBE ExampleFaculty with 2 summer month

Short Code

% Effort % Dist



Class Project Grant Activity



Research

Short Code

% Effort % Dist





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DBE ExampleCurator – Faculty with 9 mo appt. in Dept. and 12 mo appt. in museum

Short Code

% Effort % Dist



Class Project Grant Activity

123456 25.00 25000 9/1/2009 5/31/2010 20,000 10000 189100 LIREG 11000 Instruction

123457 25.00 25.000 9/1/2009 5/31/2010 20,000 10000 189100 LIREG 21000Dept Scholarship/

Research


Research

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DBE ExampleFaculty with LSA 50% appointment and with course buyout outside of LSA

Short Code

% Effort % Dist





123457 10.00 20,00 9/1/2009 5/31/2010 28,800 10000 170000 LIREG 21000 Dept Scholarship/

Research

023333 25.00 50.00 9/1/2009 5/31/2010 19,200 10000 560000 10000 22000 F011111

This is the ISR appt. with LSA Course buy-

out

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DBE ExampleCurator – Faculty with 9 mo appt.

Short Code

% Effort % Dist






Research


Research

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DBE ExampleFaculty with Joint Appointment

Short Code

% Effort % Dist






Research



Research

Chairs administrative effort is 50% If appointment in unit where they serve as

Chair is 50% all their effort is required for serving as Chair

Chairs or Directors wishing to teach in the unit where they serve as Chair use effort available in their other appointing unit from their scholarship/ research “bucket”.

This requires that both units agree. HR paperwork will be completed in their

non-Chair department

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Chairs &Directors with Joint Appointments wishing to teach in unit where they serve as chair.

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DBE Example for existing Faculty with Chair Appointment

With additional pay – Chair Appt. Dry

Short Code

% Effort % Dist





Research

123458 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 11100 Administration

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DBE Example for new or renewalFaculty with Chair Appointment

With additional pay – Chair Appt. Dry During AY

Short Code

% Effort % Dist





Research

123458 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 11100 Administration

Flex Funds 100.00 100.00 6/1/2010 6/30/2010 8,889 10000 170000 LAFLX 11100 Administration

Effort / Activities change◦ Best practice: monitor at least each term◦ Reasonably over the fiscal year◦ Faculty can review their own Effort Certification

Reports online via Wolverine Access, Employee Business @ umich.edu

◦ Units will get a two week advance notification (approx. July 15) from Tom Hart in the Dean’s Office so they can review appointments one last time and make corrections, if needed, before faculty get notification from the Cost Reimbursement Office

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Does Effort Reported Reflect Actual Activities for Past Year?

Calculator Spreadsheet

◦ Replaced with the DBE Workflow Process 7/1/2011 Leave Forms Management Reporting System (MRS)

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Tools

How often will the appointment have to be changed? For most faculty, only once. Most will only change when they go on leave and that is done by Tom Hart in the Dean’s Office.

Who will have to certify? Only faculty that have administrative or organized research appointments in addition to their instruction and department scholarship/research.

How are leaves reflected? Leaves are a research activity.

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Frequently Asked QuestionsFAQs

Does the source of the administrative differential and additional pay matter for effort reporting? No, since these are payments and don’t generate effort. Remember to use the appropriate shortcode for these types of payments (can’t use sponsored funds).

What if faculty teach more than four courses? When effort goes beyond 40% for teaching the additional instructional effort should come from Department Scholarship Research. You should not change the service portion of the appointment in this scenario.

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What activity is course buyout? The activity they are doing in place of teaching.

What percent effort should the Chair have for administration? 50% AY and One Summer Month.

What category should I take effort from if a Chair wants to teach a course? Scholarship/Research.

What if the Chair only has 50% effort available in my unit and wants to teach in my unit? You must negotiate an agreement with other appointing unit to use available effort from the scholarship/research bucket.

When does service become administration? When service goes beyond the expectation/norm for your unit and is approved by the unit’s Chair or Director .

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Does the effort for the activity Administration Course Release--46100 require effort certification? YES.

Should the Associate Chairs have a formal HR title? Best practice would be to officially appointment as associate chair. This would mean a brief job description with the appointment paperwork should be sent to Deb Erskine.

Typically, when someone is given a course release that isn’t Instruction Course Release or Administration Course Release how should it be captured on the submittal worksheet? You should reduce the instruction % to reflect the actual teaching assignment and increase the department scholarship research.

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? Your Questions ?

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Office Contact Name Email Address

LSA Faculty HR Deb Erskine [email protected]

LSA Research Peggy Westrick [email protected]

LSA Finance Krista Farmer [email protected]

LSA GSA Tom Hart [email protected]

Cost Reimbursement Open

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Resources

Documents Contact Name URLStandard Practice Guide 501.10

Policy on Effort Certification http://spg.umich.edu/pdf/501.10.pdf

Standard Practice Guide 201.04

Summer Appointment-UM Campus

http://spg.umich.edu/pdf/201.04.pdf

mailto:[email protected]




Effort reporting for LSA Tenured and Tenure Track Faculty Appointments 1 May 2011.

Documents

Transcript of Effort reporting for LSA Tenured and Tenure Track Faculty Appointments 1 May 2011.