Effort reporting for LSA Tenured and Tenure Track Faculty Appointments Deb Erskine Krista Farmer...

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Effort reporting for LSA Tenured and Tenure

Track Faculty AppointmentsDeb Erskine

Krista FarmerPeggy Westrick

July 14, 2015

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 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 (no they roll up to the same activity)

Administration Internally funded Organized Research (i.e. Rackham,

UMOR, College) Annually for faculty & staff Term by term for GSRAs

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Effort Certification

Certifying 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 or 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

The College and departments ◦ can see:

Faculty not teaching full load (less than 50% instruction) Leaves Department Scholarship Research effort Department Administration effort

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

◦ can 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(Remember that if you are appointing a term the % doubles.)

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The Formalized Effort Framework for LSA Faculty

Academic and Summer effort needed for Chairs. AY -- 50% Department Administration—11100 AY -- 50% Department scholarship/research—

21000 Or reduced if Chair is teaching (we will

show more later) One summer month Department

Administration – 11100 Per Chair’s offer letter on source of funds to

cover this effort

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Framework for Chairs

As we said Chairs administrative effort is 50% If appointment in unit where they serve as Chair is

only 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 One 1/9 effort required in summer during the three

month period for work as Chair.

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

Currently we see two scenarios—either is fine:◦ With course release

40% Instruction/department service—11000 10% Administrative course release—46100 50% Department scholarship/research—21000

◦ With other compensation (Admin diff; summer 1/9th; research account; etc.) 50% Instruction/department service—11000 40% Department scholarship/research—21000 10% Department administration—11100

Since 10% is captured as administration which is the effort needed for associate chairs both examples show that administrative effort. One way in our examples is that they get a course buyout. In the other example they get additional compensation but continue to teach full load.

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Framework for Associate Chairs

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Instruction / Service50% 9 months

Didactic Teaching--Classroom RGCE (Research Group Course

Equivalent) --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 Leaves

Potential Supplemental or Replacement Funding Sources

Sponsored Departmental College University Funded

SummerIn general the College does not provide funding for

summer effort.

Effort Framework for LSA Faculty

Didactic Classroom contact Departments teach 2, 3, or

4 Didactic courses based on their research volume

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The Framework Didactic vs. Research Group Course Equivalent

Research Group Course Equivalent (RGCE)

Managing and Mentoring Research Groups

Departments who have sponsored research funding do some of their teaching by managing labs and research staff.

Depending on the department faculty may have credit for one or two RGCE. These take the faculty member to four.

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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The Framework Service vs. Administration

Administration Activities Activities compensated by

the college Chair, Associate Chair, Dean,

Associate Dean College committee work

(does require effort certification)

Course BuyOuts When funds are provided for buyout. Always at the discretion of the Chair. Each course is a minimum of 20%

effort as we must buyout of both course (10%) and corresponding research effort (10%). Course buyouts don’t reduce service expectation for faculty.

The shortcode you use to buyout has the intelligence built into it through the Class Code to describe the activity.

Example over 9month period:◦ 20%-shortcode from source of buyout◦ 40%-LIREG Instructional/Service◦ 40%-LIREG Scholarship/Research

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The FrameworkCourse BuyOuts vs. Course Release

Course Releases When a Chair excuses a faculty member

from teaching without expectation of funding from another source (example might be a new faculty member ramping up research per offer letter).

Always at the discretion of the Chair or Dean.

Shortcodes should be chosen based on actual activity. Examples below:

Increased Scholarship/Research example over 9 month period:◦ 40%-LIREG instructional ◦ 60%-LIREG Scholarship/Research

Adding Administrative Effort 40%-LIREG Instructional 50%-LIREG Scholarship/Research 10%-LIREG Administration Adding Instruction Course Release 40%-LIREG Instructional 50%-LIREG Scholarship/Research 10%-LIREG Instructional Course Release (47000)

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.

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 . Examples are Executive Committee service, DEC, Associate Chairs /Directors or service to Central Administration. Using this shortcode allows units to track the number of course releases related to administration within own unit.

46100

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

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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), Directors, and Associate Directors.

Modified Duties

21000/11100

Situational based on actual activities.

Modified duties are approved by DivAD.

Leaves(Scholarship/Research)

21000 Remember that Tom Hart manages the HR paperwork for leaves

Sabbatical, DOC, or SAL approved by College Executive Committee.

Medical Leaves(administration)

11100 Please work with Deb Erskine.

Work Connections approval of disability.

Course Release(administration)

46100 Could be real cost to unit due to replacement teaching. Requires effort certification.

Associate Chairs, Associate Directors, 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 Could be 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 (rare).

Course Buyout

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. Rate minimum is 20%.

New Faculty with reduced teaching load

21000 Appoint for actual activity performed.

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

MRS – HR Tab Department Employee Report

◦ Run controls Effective: Current Date Job Family: Regular Instructional Employee Status: Active, Leave with Pay, Leave of Absence, Short

Work Break Employee Type: Regular POI Type: Employee Class Indicator: Regular, Acting, Overload Report Type: Funding Job Effective Dating: Current Earnings Effective Dating: Current Output Type: Excel Document

◦ Sort and subtotal distribution percentages by shortcode

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Reporting on Faculty Effort Within Your Own Department

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MRS Report Example

https://webapps.lsa.umich.edu/data/mrsframe.asp



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Department Employee Report on HR Tab (must have HR access)

SPG 201.04 limits summer appointments on sponsored research to 2.5 months

Faculty may be permitted to fund another .5 month from Program LSMRN (See: Request Form for Summer Appointment in Excess of Two Months)

Funds must be available in LSMRN◦ accrued by paying academic year salary on

grants◦ faculty may request approval to move

discretionary research funds to LSMRN◦ http://www.lsa.umich.edu/UMICH/facstaff/Home/Budget/Policies%20

and%20Procedures/All%20Policies%20and%20Procedures/Guidelines%20for%20TT%20Faculty%20Requesting%20Salary%20on%20Sponsored%20Funds.pdf

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Framework for Summer Appointments on grants

http://www.lsa.umich.edu/UMICH/facstaff/Home/Budget/Policies%20and%20Procedures/All%20Policies%20and%20Procedures/Guidelines%20for%20TT%20Faculty%20Requesting%20Salary%20on%20Sponsored%20Funds.pdf




Work on multiple grants should be spread appropriately

Academic year appointment should typically remain 50% teaching and service and

50% research (combination of LIREG and sponsored funds). Make sure that the

AY sponsor effort is over at least one term. Summer .5 appointment should be on

LSMRN with Class 21000 (See handout Request for Summer Appointment in Excess of Two Months).

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Framework for Summer Appointments on grants

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

Real cost to unit ◦ All Leaves are scholarship/research ◦ Medical Absences are Administration◦ Modified Duties should be Scholarship/Research (for

actual activities) and Administration for balance to capture the costs.

◦ Effort is not 40 hours – Effort is the amount of time it takes one to complete their University responsibilities (more hours or less hours)

◦ Sponsored awards change at all times during the year.

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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

NEVER FROM SPONSOR FUNDS Not for 1/9ths requiring effort (see

procedure for Effort Bearing 1/9ths) http://www.lsa.umich.edu/facstaff/budgetandfinance/policiesandprocedures/allpolicies

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When should we use Additional Pay?

http://www.lsa.umich.edu/facstaff/budgetandfinance/policiesandprocedures/allpolicies



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DBE ExampleFaculty with no organized research(1 Empl record)

Short Code

% Effort % Dist

Effective Date End Date

Comp Rt Dist Fund Dept IDProgram

ClassProject Grant Activity

123456 50.00 50.000 9/1/2xxx 5/31/2xxx 40,000 10000 170000 LIREG 11000 Instruction

123457 50.00 50.000 9/1/2xxx 5/31/2xxx 40,000 10000 170000 LIREG 21000 Dept Scholarship/

Research

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DBE ExampleFaculty with SAL Full Pay Fellowship running through UM(1 Empl record)

Short Code

% Effort % Dist




123457 55.00 55.000 9/1/2xxx 5/31/2xxx 55,000 10000 170000 LIREG 21000 Dept Scholarship/ Research (TOA)

352258 45.00 45.000 9/1/2xxx 5/31/2xxx 45,000 20000 170000 10000 22100 N017824Sponsored Funds

(Fellowship)

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DBE ExampleFaculty with SAL Reduced Pay Fellowship NOT running through UM(1 Empl record)

Short Code

% Effort % Dist




123457 55.00 100.000 9/1/2xxx 5/31/2xxx 55,000 10000 170000 LIREG 21000 Dept Scholarship/ Research (TOA)

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DBE ExampleFaculty with SAL Full Pay for One TermFellowship running through UM(1 Empl record)

Short Code

% Effort % Dist




123457 10.00 10..000 9/1/2xxx 12/31/2xxx 10,000 10000 170000 LIREG 21000 Dept Scholarship/

Research

352258 90.00 90.00 9/1/2xxx 12/31/2xxx 90,000 20000 170000 10000 22100

N017824

Sponsored Funds

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DBE ExampleFaculty with organized research(1 Empl Record)

Short Code

% Effort % Dist






Research

023333 20.00 20.000 9/1/2xxx 5/31/2xxx 19,200 20000 170000 10000 22000 F011111 Sponsored Funds

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DBE ExampleFaculty with organized research with NIH Cap(1 Empl Record)

Short Code

% Effort % Dist






Research

17xxxx 0 2.610 9/1/xxxx 5/31/xxx 2,505 22000 170000 NIHCP 22000 UXXXXX NIH Salary Cap

02xxxx 12.22 9.610 9/1/xxxx 5/31/xxxx 9,226 20000 170000 10000 22000 F0xxxx Sponsored Funds

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DBE ExampleFaculty (1 Empl Record) with1 summer month (1 Summer Empl Record)

Short Code

% Effort % Dist



Class

Project Grant Activity



Research

Short Code

% Effort % Dist





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DBE ExampleFaculty academic year effort for .5 summer months (Request for Summer Appointment in Excess of Two Months http://www.lsa.umich.edu/facstaff/academicaffairs/policiesandprocedures/hiringappointments

Short Code

% Effort % Dist



Class




Research

F01111 11.00 11.00 9/1/2xxx 12/31/2xxx 40,000 20000 170000 10000 21000 F01112 Sponsored Funds

F01111 50.00 50.00 6/1/2xxx 6/30/2xxx $4,445 20000 170000 10000 22000 F01112 Sponsored Funds

123459 50.00 50.00 6/1/2xxx 6/30/2xxx $4,445 21000 170000 LSMRN 21000Dept

Scholarship/Research

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DBE ExampleFaculty with 3 summer months (LSMRN)

Short Code

% Effort % Dist



Class


023334 100.00 100.00 7/1/2xxx 7/31/2xxx $40,000 20000 170000 10000 22000 F011112 Sponsored Funds


Sort Code

% Effort % Dist


Comp Rt Dist Fund Dept ID

Program


123458 50.00 50.000 6/15/2xxx 6/30/2xxx $4,445 10000 170000 LSMRN 21000 C123458 Research


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DBE ExampleFaculty (1 Empl Record)with 2 summer months (1 Summer Empl Record)

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. (1 Empl Record for lines one and two) and 12 mo appt. in museum (2 Empl Record)Short Code

% Effort % Dist



Class Project Grant Activity

123456 25.00 25000 9/1/2xxx 5/31/2xxx 20,000 10000 189100 LIREG 11000 Instruction

123457 25.00 25.000 9/1/2xxx 5/31/2xxx 20,000 10000 189100 LIREG 21000Dept Scholarship/

Research


Research

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DBE ExampleFaculty with 9 mo appt.(1 Empl Record lines-one and two below)Curator (line three different Empl Record #)

Short Code

% Effort % Dist




123456 25.00 25000 9/1/2xxx 5/31/2xxx 20,000 10000 189100 LIREG 11000 Instruction


Research


Research

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DBE Example Faculty with Joint Appointment.(1 Empl Record lines-one and two below)(line three different Empl Record)

Short Code

% Effort % Dist






Research



Research

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DBE ExampleFaculty with LSA 50% appointment and with course buyout outside of LSA (1 Empl Record)

Short Code

% Effort % Dist


Comp Rt Dist Fund Dept IDProgram Class



123457 10.00 20,00 9/1/2xxx 5/31/2xxx 28,800 10000 170000 LIREG 21000 Dept Scholarship/

Research

023333 25.00 50.00 9/1/2xxx 5/31/2xxx 19,200 10000 560000 10000 22000 F011111

This is the ISR appt. with LSA Course buy-

out

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DBE Example for existing Faculty with Chair Appointment(1 Empl Record)

With additional pay – Chair Appt. Dry

Short Code

% Effort % Dist





Research

123458 50.00 50.000 9/1/2xxx 5/31/2xxx 40,000 10000 170000 LIREG 11100 Administration

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DBE Example for new or renewalFaculty with Chair Appointment(1 Empl Record-lines one and two)(1 Summer Empl Record- line three)

With additional pay – Chair Appt. Dry During AY

Short Code

% Effort % Dist





Research

123458 50.00 50.000 9/1/2xxx 5/31/2xxx 40,000 10000 170000 LIREG 11100 Administration

Flex Funds 100.00 100.00 6/1/2xxx 6/30/2xxx 8,889 10000 170000 LAFLX 11100 Administration

Effort / Activities change◦ Best practice: Key Ad monitor at least each term◦ 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. June 15) 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 DBE Workflow Management Reporting System (MRS)

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Tools

How often will the appointment have to be changed? Most will only change when they go on leave and the leave is processed 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 scholarly/research activity. Medical time-off is administration. Modified Duties can be a combination of Scholarship/Research and Administration. The Administrative Shortcode will capture non-work costs.

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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 appoint as associate chair. This would mean an internal posting to be sent with the appointment paperwork to Deb Erskine.

When someone is given a course release that isn’t Instruction Course Release or Administration Course Release how should it be captured on the DBE Workflow? 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 Chad Greenwell [email protected]

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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 Deb Erskine Krista Farmer...

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