1. Effort reporting for LSA Tenured and Tenure Track Faculty Appointments Deb Erskine Krista Farmer Peggy Westrick 1 July 14, 2015

2.  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 2 Peg

3.  Compliance – Annual Certification  Reporting  Activity Based Budgeting  Effective planning 3Peg

4.  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 4Peg

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

6.  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 6 Peg

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8.  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. 8Peg

9.  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.) 9Peg

10. 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 10 Peg

11.  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. 11 Peg

12.  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 1/9 th ; 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. 12 Peg

13. 13 Krista Instruction / Service 50% 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 / 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 Summer In general the College does not provide funding for summer effort. Effort Framework for LSA Faculty

14. Didactic  Classroom contact  Departments teach 2, 3, or 4 Didactic courses based on their research volume 14 Krista 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.

15. Service Activities  Department Commitment  Service work defined by own department  Inter-departmental committees  Departmental promotion & review committees (doesn’t require effort certification) 15 Krista Administration Activities  Activities compensated by the college  Chair, Associate Chair, Dean, Associate Dean  College committee work (does require effort certification)

16. 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 16 Krista 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)

17.  Chartfields – the structure behind all budgeting and reporting  Valid values vs. Correct chartfields  Telling the RIGHT story 17 Krista

18. Example LSA Shortcode number (Your five Shortcodes will be different) LSA Program Code Activity performed when using shortcode Class Code 123456LIREG Instruction - Courses both didactic and Research Group Equivalents. Also the regular departmental service. 11000 123457LIREG Departmental Scholarship/Research - Individual unsponsored research, writing journal articles, books, writing and reviewing proposals. 21000 123458LIREG Administration - Chairs, Directors, Associate Chairs effort that is not normal departmental service. Typically this would be associated with a formal HR title. 11100 123459LIREG 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 123460LIREG 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

19. 19 Krista Activity Classcode NotesExamples Administration11100 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 Duties21000/ 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%.

20.  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 20 Krista

21. MRS Report Example https://webapps.lsa.umich.edu/data/mrsframe.asp 21

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23.  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%2 0TT%20Faculty%20Requesting%20Salary%20on%20Sponsored%20Funds.pdf http://www.lsa.umich.edu/UMICH/facstaff/Home/Budget/Policies%20and %20Procedures/All%20Policies%20and%20Procedures/Guidelines%20for%2 0TT%20Faculty%20Requesting%20Salary%20on%20Sponsored%20Funds.pdf 23 Krista

24.  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). 24 Krista

25.  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. 25 Deb

26.  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 http://www.lsa.umich.edu/facstaff/budgetandfinance/policiesandprocedures /allpolicies 26 Deb

27. 27 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research

28. 28 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345755.0055.0009/1/2xxx 5/31/2xxx55,00010000170000LIREG21000 Dept Scholarship/ Research (TOA) 35225845.0045.0009/1/2xxx 5/31/2xxx45,000200001700001000022100 N017824 Sponsored Funds (Fellowship)

29. 29 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345755.00100.0009/1/2xxx 5/31/2xxx55,00010000170000LIREG21000 Dept Scholarship/ Research (TOA)

30. 30 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345710.0010..0009/1/2xxx 12/31/2xxx10,00010000170000LIREG21000 Dept Scholarship/ Research 35225890.00 9/1/2xxx 12/31/2xxx90,000200001700001000022100 N017824 Sponsored Funds

31. 31 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx48,00010000170000LIREG11000 Instruction 12345730.0030.0009/1/2xxx 5/31/2xxx28,80010000170000LIREG21000 Dept Scholarship/ Research 02333320.0020.0009/1/2xxx 5/31/2xxx19,200200001700001000022000 F011111 Sponsored Funds

32. 32 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx48,00010000170000LIREG11000 Instruction 12345737.78 9/1/2xxx 5/31/2xxx36,26910000170000LIREG21000 Dept Scholarship/ Research 17xxxx02.6109/1/xxxx5/31/xxx2,50522000170000NIHCP22000UXXXXX NIH Salary Cap 02xxxx12.229.6109/1/xxxx 5/31/xxxx9,226200001700001000022000 F0xxxx Sponsored Funds

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35. 35 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 023333100.00100.0006/1/2xxx 6/30/2xxx8,889200001700001000022000 F011111 Sponsored Funds

36. 36 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11000 Instruction 12345739.0050.0009/1/2xxx 12/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research F0111111.00 9/1/2xxx 12/31/2xxx40,000200001700001000021000 F01112 Sponsored Funds F0111150.00 6/1/2xxx6/30/2xxx$4,445200001700001000022000 F01112 Sponsored Funds 12345950.00 6/1/2xxx6/30/2xxx$4,44521000170000LSMRN21000 Dept Scholarship/Research

37. 37 Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 023334100.00 7/1/2xxx7/31/2xxx$40,000200001700001000022000 F011112 Sponsored Funds 023335100.00 8/1/2xxx8/31/2xxx$40,000200001700001000022000 F011113 Sponsored Funds Sort Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345850.0050.0006/15/2xxx6/30/2xxx$4,44510000170000LSMRN21000C123458 Research 02333450.00 6/1/2xxx6/15/2xxx$4,4445200001700001000022000 F011112 Sponsored Funds

38. 38 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 023333100.00100.0006/1/2xxx 7/31/2xxx8,889200001700001000022000 F011111 Sponsored Funds

39. 39 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.00250009/1/2xxx 5/31/2xxx20,00010000189100LIREG11000 Instruction 12345725.0025.0009/1/2xxx 5/31/2xxx20,00010000189100LIREG21000 Dept Scholarship/ Research 12355650.0050.0009/1/2xxx 8/31/2xxx40,00010000202000LIREG22000 Dept Scholarship/ Research

40. 40 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.00250009/1/2xxx 5/31/2xxx20,00010000189100LIREG11000 Instruction 12345725.0025.0009/1/2xxx 5/31/2xxx20,00010000189100LIREG21000 Dept Scholarship/ Research 12355650.0050.0009/1/2xxx 5/31/2xxx40,00010000202000LIREG22000 Dept Scholarship/ Research

41. 41 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.0025.0009/1/2xxx 5/31/2xxx20,00010000175500LIREG11000 Instruction 12345725.0025.0009/1/2xxx 5/31/2xxx20,00010000175500LIREG21000 Dept Scholarship/ Research 12355625.0025.0009/1/2xxx 5/31/2xxx20,00010000193000LIREG11000 Instruction 12355725.0025.0009/1/2xxx 5/31/2xxx20,00010000193000LIREG21000 Dept Scholarship/ Research

42. 42 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345615.0030.009/1/2xxx 5/31/2xxx48,00010000170000LIREG11000 Instruction 12345710.0020,009/1/2xxx 5/31/2xxx28,80010000170000LIREG21000 Dept Scholarship/ Research 02333325.0050.009/1/2xxx 5/31/2xxx19,200100005600001000022000 F011111 This is the ISR appt. with LSA Course buy- out

43. 43 Deb With additional pay – Chair Appt. Dry Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345750.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research 12345850.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11100 Administration

44. 44 Deb With additional pay – Chair Appt. Dry During AY Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345750.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG21000 Dept Scholarship/ Research 12345850.0050.0009/1/2xxx 5/31/2xxx40,00010000170000LIREG11100 Administration Flex Funds100.00 6/1/2xxx6/30/2xxx8,88910000170000LAFLX11100 Administration

45. 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 45 Deb

46.  Calculator  DBE Workflow  Management Reporting System (MRS) 46 Peggy

47.  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. 47 Peggy

48.  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. 48 Peggy

49.  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. 49 Peggy

50.  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. 50 Peggy

51. ? Your Questions ? 51 Peggy

52. OfficeContact NameEmail Address LSA Faculty HRDeb Erskinederskine@umich.edu LSA ResearchPeggy Westrickpegwest@umich.edu LSA FinanceKrista Farmerkfarmer@umich.edu LSA GSATom Harttjhart@umich.edu Cost ReimbursementChad Greenwellcdwell@umich.edu 52 Peggy DocumentsContact NameURL Standard 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