Effort reporting for LSA Tenured and Tenure Track Faculty Appointments

1. Effort reporting for LSA Tenured and Tenure Track Faculty Appointments July 9, 2013

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

3. Why is it important • Compliance – Annual Certification • Reporting • Activity Based Budgeting • Effective planning

4. Effort Certification • 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 • Term by term for GSRAs

5. Effort Certification • Certifying that work was performed • Effort is NOT dollars • Effort is 100% of what it takes to complete your job responsibilities

6. Effort Certification Process • 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

7. Effort Certification Questions

8. Since the implementation of Effort Reporting in LSA … • 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.

9. The Formalized Effort Framework for LSA Faculty • 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 looking at a term the course % doubles.)

10. Framework for Chairs Academic and Summer effort needed for Chairs. • AY -- 50% Department scholarship/research—21000 • Or reduced if Chair is teaching (we will show more later) • AY -- 50% Department Administration—11100 • One summer month Department Administration – 11100 • Per Chair’s offer letter on source of funds to cover this effort

11. Chairs &Directors with Joint Appointments wishing to teach in unit where they serve as chair. • As we said 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 • One 1/9 effort required in summer during the three month period for work as Chair.

12. Framework for Associate Chairs • 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 show that administrative effort. One way they get a course buyout the second they get additional compensation but continue to teach full load.

13. Effort Framework for LSA Faculty Instruction / Service 50% 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 / Research 50% 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.

14. The Framework Service vs. Administration Service Activities • Department Commitment • Service work defined by own department • Inter-departmental committees • Departmental promotion & review committees (doesn’t require effort certification) Administration Activities Activities compensated by the college Chair, Associate Chair, Dean, Associate Dean College committee work (does require effort certification)

15. The FrameworkCourse BuyOuts vs. Course Release 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 • 40%-LIREG Scholarship/Research 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)

16. Reminder on how the Structure allows the appointments to do the work. • Chartfields – the structure behind all budgeting and reporting • Valid values vs. Correct chartfields • Telling the RIGHT story

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

18. Recap ways to account for reduced teaching

19. Monitoring and Reconciling LIREG Activity • LSA will be going to Real-Time Financials eReconciliation for reconciling all financial activity, including payroll this fall.

20. Reporting on Faculty Effort Within Your Own Department • 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

21. MRS Report Example

22. Framework for Summer Appointments for Chairs and Directors • College & department/unit expectations – SUMMER Model (Framework) • New or Renewed Chairs and Directors with appointments starting 7/1/2011 or later 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)

23. Framework for Summer Appointments on grants • 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%20and%20Procedures/All%20Policies%20and%20Procedures/Guidelines%20for%20TT%20Faculty%20Requesting%20Salary%20on%20Sponsored%20Funds.pdf

24. Framework for Summer Appointments on grants • 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).

25. Monitoring is Important—Update Information as needed during year • 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.

26. When should we use Additional Pay? • 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

27. DBE ExampleFaculty with no organized research(1 Empl record)

28. DBE ExampleFaculty with organized research(1 Empl Record)

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

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

33. 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

34. DBE ExampleFaculty with 3 summer months two different calendar years (LSMRN)

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

36. 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)

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

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

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

40. DBE Example for existing Faculty with Chair Appointment(1 Empl Record) With additional pay – Chair Appt. Dry

41. 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

42. Does Effort Reported Reflect Actual Activities for Past Year? Effort / Activities change • Best practice: 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. July 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

43. Tools • Calculator • DBE Workflow • Management Reporting System (MRS)

44. Frequently Asked QuestionsFAQs • 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 scholarly/research activity. Medical time-off is administration. Modified Duties can be a combination of Scholarship/Research and using Administration for balance will capture non-work costs.

45. 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.

46. Frequently Asked QuestionsFAQs • 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 .

47. Frequently Asked QuestionsFAQs • 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.

48. ? Your Questions ?

49. Resources