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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
2 Deb
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
3Deb
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
4Deb
Effort Certification
Attestation that work was performed Effort is NOT dollars Effort is 100% of what it takes to complete
your job responsibilities
5 Deb
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
6 Deb
Effort Certification Process
7Deb
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.
8Deb
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
9Deb
Formalizing the Framework for Faculty
◦ Faculty on sponsored funds 2.5 Monthshttp://spg.umich.edu/pdf/201.64-1.pdf
10 Deb
Formalizing the Framework for Summer Appointments on grants
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.
11 Deb
Formalizing the Framework for Summer Appointments for Chairs and Directors
12Deb
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)
13 Deb
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.
14 Deb
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
15 Krista
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
16 Krista
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
17 Krista
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
19 Krista
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
20 Krista
Shortcode StructureICRX – Indirect Cost Recovery Excluded Expenditures
21 Krista
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
22 Krista
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
23 Krista
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)
24 Deb
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
25 Deb
When should we use Additional Pay?
26 Deb
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
27 Deb
DBE ExampleFaculty with 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 48,000 10000 170000 LIREG 11000 Instruction
123457 30.00 30.000 9/1/2009 5/31/2010 28,800 10000 170000 LIREG 21000 Dept Scholarship/
Research
023333 20.00 20.000 9/1/2009 5/31/2010 19,200 20000 170000 10000 22000 F011111 Sponsored Funds
28 Deb
DBE ExampleFaculty with 1 summer month
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
Class
Project 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
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram Class
Project Grant Activity
023333 100.00 100.000 6/1/2009 6/30/2009 8,889 20000 170000 10000 22000 F011111 Sponsored Funds
29 Deb
DBE ExampleFaculty with 2 summer month
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
Class Project 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
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
ClassProject Grant Activity
023333 100.00 100.000 6/1/2009 7/31/2009 17,778 20000 170000 10000 22000 F011111 Sponsored Funds
30 Deb
DBE ExampleCurator – Faculty with 9 mo appt. in Dept. and 12 mo appt. in museum
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
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
123556 50.00 50.000 9/1/2009 8/31/2010 40,000 10000 202000 LIREG 22000 Dept Scholarship/
Research
31 Deb
DBE ExampleFaculty with LSA 50% appointment and with course buyout outside of LSA
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram Class
Project Grant Activity
123456 15.00 30.00 9/1/2009 5/31/2010 48,000 10000 170000 LIREG 11000 Instruction
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
32 Deb
DBE ExampleCurator – Faculty with 9 mo appt.
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
ClassProject 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
123556 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 202000 LIREG 22000 Dept Scholarship/
Research
33 Deb
DBE ExampleFaculty with Joint Appointment
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram
ClassProject Grant Activity
123456 25.00 25000 9/1/2009 5/31/2010 20,000 10000 175500 LIREG 11000 Instruction
123457 25.00 25.000 9/1/2009 5/31/2010 20,000 10000 175500 LIREG 21000Dept Scholarship/
Research
123556 25.00 25.000 9/1/2009 5/31/2010 20,000 10000 193000 LIREG 11000 Instruction
123557 25.00 25.000 9/1/2009 5/31/2010 20,000 10000 193000 LIREG 21000Dept Scholarship/
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
34 Deb
Chairs &Directors with Joint Appointments wishing to teach in unit where they serve as chair.
35 Deb
DBE Example for existing Faculty with Chair Appointment
With additional pay – Chair Appt. Dry
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram Class
Project Grant Activity
123457 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 21000 Dept Scholarship/
Research
123458 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 11100 Administration
36 Deb
DBE Example for new or renewalFaculty with Chair Appointment
With additional pay – Chair Appt. Dry During AY
Short Code
% Effort % Dist
Effective Date End Date
Comp Rt Dist Fund Dept IDProgram Class
Project Grant Activity
123457 50.00 50.000 9/1/2009 5/31/2010 40,000 10000 170000 LIREG 21000 Dept Scholarship/
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
37 Deb
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)
38 Peggy
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.
39 Peggy
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.
40 Peggy
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 .
41 Peggy
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 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.
42 Peggy
Frequently Asked QuestionsFAQs
? Your Questions ?
43 Peggy
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
44 Peggy
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