LSA Tenured and Tenure Track Faculty Appointments

LSA Tenured and Tenure Track Faculty Appointments
Effort reporting for LSA Tenured and Tenure Track Faculty Appointments Deb Erskine Krista Farmer Peggy Westrick April 6, 2016

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

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

Effort Certification 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

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

Effort Certification Process
Online via Wolverine Access Employee Business Educational material and test Capability to 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

Effort Certification Questions

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.

Formalizing the Framework for 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 appointing a term the % doubles.)

Framework for Chairs 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

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 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.

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 examples show that administrative effort. One way in our examples is that they get a course release. In the other example they get additional compensation but continue to teach full load.

Scholarship / Research
Formalizing the Framework 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 Potential Supplemental or Replacement Funding Sources Sponsored Departmental College University Funded Summer Can be any of the above activities. The summer funding is NOT guaranteed by the College unless previously negotiated.

The Framework Didactic vs. Research Group Course Equivalent
Classroom contact Departments teach 2, 3, or 4 Didactic courses based on their research volume 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.

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 Krista

The Framework Course BuyOuts vs. Course Release
When funds are provided for buyout. Always at the discretion of the Chair. Each course is a minimum of 20% effort over the AY (doubles for a term only) 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 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 10%-LIREG Instructional Course Release (47000)

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

Setting up the framework with Shortcodes not all available class codes are typically used in LSA
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 Departmental Scholarship/Research - Individual unsponsored research, writing journal articles, books, writing and reviewing proposals. 21000 123458 Administration - Chairs, Directors, Associate Chairs effort that is not normal departmental service. Typically this would be associated with a formal HR title. 11100 123459 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 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 18 Krista

Recap ways to account for reduced teaching
Activity Classcode Notes 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/ 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) Please work with Deb Erskine. Work Connections approval of disability. Course Release 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. (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 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%.

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

MRS Report Example:

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

Framework for Summer Appointments on grants
SPG 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 cies%20and%20Procedures/All%20Policies%20and%20Procedu res/Guidelines%20for%20TT%20Faculty%20Requesting%20Sal ary%20on%20Sponsored%20Funds.pdf

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 (See handout Request for Summer Appointment in Excess of Two Months).

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.

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) res/allpolicies 26 Deb

DBE Example Faculty with no organized research (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research

Sponsored Funds (Fellowship)
DBE Example Faculty with SAL Full Pay Fellowship running through UM (1 Empl Record) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123457 55.00 9/1/2xxx 5/31/2xxx $55,000 10000 170000 LIREG 21000 Dept Scholarship/ Research (TOA) 352258 45.00 $45,000 20000 22100 N017824 Sponsored Funds (Fellowship)

DBE Example Faculty with SAL Reduced Pay Fellowship NOT running through UM (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123457 55.00 100.00 9/1/2xxx 5/31/2xxx $55,000 10000 170000 LIREG 21000 Dept Scholarship/ Research (TOA)

DBE Example Faculty with SAL full Pay for one term Fellowship running through UM (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123457 10.00 9/1/2xxx 12/31/2xxx $10,000 10000 170000 LIREG 21000 Dept Scholarship/ Research 352258 90.00 $90,000 20000 22100 N017824 Sponsored Funds

DBE Example Faculty with organized research (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 9/1/2xxx 5/31/2xxx $48,000 10000 170000 LIREG 11000 Instruction 123457 30.00 $28,800 21000 Dept Scholarship/ Research 023333 20.00 $19,200 20000 22000 F011111 Sponsored Funds

DBE Example Faculty with organized research with NIH Cap (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 9/1/2xxx 5/31/2xxx $48,000 10000 170000 LIREG 11000 Instruction 123457 37.78 $36,269 21000 Dept Scholarship/ Research 17xxxx 2.61 9/1/xxxx 5/31/xxx $2,505 22000 NIHCP UXXXXX NIH Salary Cap 02xxxx 12.22 9.61 5/31/xxxx $9,226 20000 F0xxxx Sponsored Funds

DBE Example Faculty with 1 summer month (1 Empl Record and 1 Summer Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research 023333 100.00 6/1/2xxx 6/30/2xxx $8,889 20000 22000 F011111 Sponsored Funds

DBE Example Faculty with 3 summer months (LSMRN)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 50.000 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 11000 Instruction 123457 39.00 39.000 12/31/2xxx 21000 Dept Scholarship/ Research F01111 11.00 20000 F01112 Sponsored Funds 1/1/2xxx 023334 100.00 06/01/2xxx 06/30/2xxx 2000 22000 023335 7/01/2xxx 7/31/2xxx F01113 8/1/2xxx 8/31/2xxx $4,445 123459 LSMRN Dept Scholarship/Research

DBE Example Faculty with 2 summer months (1 Empl Record and 1 Summer Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 50.00 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research 023333 100.00 6/1/2xxx 7/31/2xxx $8,889 20000 22000 F011111 Sponsored Funds

DBE Example Faculty with 9 month appt. in dept
DBE Example Faculty with 9 month appt. in dept. (lines one and two) and 12 month Curator appt. in museum (line three) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 25.00 50.00 9/1/2xxx 5/31/2xxx $20,000 10000 189100 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research 123556 100.00 8/31/2xxx $40,000 202000 22000

DBE Example Faculty with 9 month appt. in dept
DBE Example Faculty with 9 month appt. in dept. (lines one and two) and 9 month Curator appt. in museum (line three) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 25.00 50.00 9/1/2xxx 5/31/2xxx $20,000 10000 189100 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research 123556 100.00 $40,000 202000 22000

DBE Example Faculty with joint appointment (first dept
DBE Example Faculty with joint appointment (first dept. lines one and two, second dept. lines three and four) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 25.00 50.00 9/1/2xxx 5/31/2xxx $20,000 10000 175500 LIREG 11000 Instruction 123457 21000 Dept Scholarship/ Research 123556 193000 123557

This is the ISR appt. with LSA Course buy-out
DBE Example Faculty with LSA 50% appointment and with course buyout outside of LSA (1 Empl Record) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 15.00 30.00 9/1/2xxx 5/31/2xxx $48,000 10000 170000 LIREG 11000 Instruction 123457 10.00 20.00 $28,800 21000 Dept Scholarship/ Research 023333 25.00 50.00 $19,200 560000 22000 F011111 This is the ISR appt. with LSA Course buy-out

This is the ISR appt. with LSA Course buy-out
DBE Example Faculty with LSA 100% UYR appointment and with course buyout outside of LSA for one term (1 Empl Record) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123456 30.00 9/1/2xxx 12/31/2xxx $48,000 10000 170000 LIREG 11000 Instruction 123457 20.00 $28,800 21000 Dept Scholarship/ Research 023333 50.00 $19,200 560000 22000 F011111 This is the ISR appt. with LSA Course buy-out

DBE Example for existing Faculty with Chair Appointment (1 Empl Record)
Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123457 50.00 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 21000 Dept Scholarship/ Research 123458 11100 Administration With additional pay – Chair Appt. Dry

DBE Example for new or renewal Faculty with Chair Appointment (1 Empl Record-lines one and two) (1 Summer Empl Record- line three) Short Code % Effort % Dist Effective Date End Date Comp Rt Dist Fund Dept ID Program Class Project Grant Activity 123457 50.00 9/1/2xxx 5/31/2xxx $40,000 10000 170000 LIREG 21000 Dept Scholarship/ Research 123458 11100 Administration Flex Funds 100.00 6/1/2xxx 6/30/2xxx $8,889 LAFLX With additional pay – Chair Appt. Dry

Does Effort Reported Reflect Actual Activities for Past Year?
Effort / Activities change Best practice: Chief Ad monitor at least each term Faculty can review their own Effort Certification Reports online via Wolverine Access, Employee 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 45 Deb

Tools Calculator DBE Workflow Management Reporting System (MRS)

Frequently Asked Questions FAQs
How often will the appointment have to be changed? Most will only change when they go on leave and the leave is managed 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.

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.

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

Does the effort for the activity Administration Course Release 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 should be sent with the PAR. 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.

? Your Questions ?

Resources Office Contact Name Email Address LSA Faculty HR Deb Erskine
LSA Research Peggy Westrick LSA Finance Krista Farmer LSA GSA Tom Hart Cost Reimbursement Chad Greenwell Documents Contact Name URL Standard Practice Guide Policy on Effort Certification Standard Practice Guide Summer Appointment-UM Campus

LSA Tenured and Tenure Track Faculty Appointments

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