1. Effort reporting for LSA Tenured and Tenure Track Faculty Appointments 1 May 2011

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 Deb

3.  Compliance – Annual Certification  Reporting ◦ Internal Control Compliance Certification ◦ Annual Certification by the Dean  Activity Based Budgeting  Effective planning 3Deb

4.  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

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

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/terminated from University  “As Needed” Paper Report  Alternate signer ONLY in extenuating circumstances 6 Deb

7. 7Deb

8.  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

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 9Deb

10. ◦ Faculty on sponsored funds 2.5 Months http://spg.umich.edu/pdf/201.64-1.pdf 10 Deb

11.  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

12. 12Deb 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. Formalizing the Framework

13. Service Activities  Department Commitment  Service work defined by own department  Inter-departmental committees  Departmental promotion & review committees \ (doesn’t require effort certification) 13 Deb Administration Activities  Activities compensated by the college  Chair, Associate Chair, Dean, Associate Dean  College committee work  All leaves (sabbatical) (does require effort certification)

14. 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 Course Releases  Mechanism for tracking  Real cost to department if a faculty member is allowed to bank.  Use it or lose it.

15.  Chartfields – the structure behind all budgeting and reporting  Valid values vs. Correct chartfields  Telling the RIGHT story 15 Krista

16. Fund NumberFund Name 10000General Fund 20000Federal Sponsored Fund 25000Non-Federal Sponsored Fund 30000Expendable Gift Fund 40000Designated Fund 50000 – 56500Auxiliary Fund 70000 – 79999Endowment Fund 80000 – 86500Plant Fund 16 Krista

17. CodeDefinitionCodeDefinition CSTSHCost SharingLFPRGFaculty Programs FACAWFaculty AwardsLFDEPDepartmental Scholarship LAFACFaculty AdministrationLIDEPInterdepartmental Instruction LASUPDepartmental Administrative Supplements LILECRecurring Lecturers LCRETSupplemental Retirement Commitments LIREGRegular Faculty LDEVPDevelopment ActivityLISECSection Commitments LDIFFResident/Non-Resident Differential LISUPSupplemental Instruction LDISCDiscretionary SupportLNCURCurrent Account 17 Krista

18. Class CodeClass Description 11000Instruction; scholarly activities; committees 21000Departmental Scholarship/Research–NOT supported by formal approval process; start-up research; research travel 22000On-Campus Organized Research – IS supported by formal approval process 22100Off-Campus Organized Research – formal approval; >50% effort in space NEITHER owned nor leased by U Michigan 31100Public Service 11100Departmental Administration – Dept Chair 46000Dean’s Office Administration 46100Professional Development 47000Course and Curriculum Improvement 18 Krista

19. 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 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

20. INDIRECT COST RECOVERY EXCLUDED ACTIVITIES Expenditures for these activities are ALWAYS ICRX  Alumni Activities  Commencement  Entertainment  Fund raising  Lobbying  Public relations  Student extracurricular activities INDIRECT COST RECOVERY EXCLUDED EXPENDITURES These expenditures are ALWAYS ICRX  Alcoholic beverages  Bad 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.  Advertising  Hosting  Meals and travel  Meetings and conferences  Memberships  Recruiting  Selling and marketing 20 Krista

21. 21 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), Leaves (Scholarship/Research) 21000 No HR appointmentSabbatical, DOC, or SAL. Remember that Tom Hart manages the HR paperwork for leaves. Medical Leaves (administration) 11100 No HR appointmentPlease 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%.

22.  LSA recommends using Real-Time Financials eReconciliation for reconciling all financial activity, including payroll 22 Krista

23.  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

24.  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

25.  For incidental work of less than 32 hrs/month or 2 weeks  When there is no effort for payment  Recruiting and retention 1/9 th (remember 1/9 is just a measurement of how much to pay someone)  NEVER FROM SPONSOR FUNDS 25 Deb

26. 26 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2009 5/31/201040,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2009 5/31/201040,00010000170000LIREG21000 Dept Scholarship/ Research

27. 27 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2009 5/31/201048,00010000170000LIREG11000 Instruction 12345730.0030.0009/1/2009 5/31/201028,80010000170000LIREG21000 Dept Scholarship/ Research 02333320.0020.0009/1/2009 5/31/201019,200200001700001000022000 F011111 Sponsored Funds

28. 28 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2009 5/31/201040,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2009 5/31/201040,00010000170000LIREG21000 Dept Scholarship/ Research Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 023333100.00100.0006/1/2009 6/30/20098,889200001700001000022000 F011111 Sponsored Funds

29. 29 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345650.0050.0009/1/2009 5/31/201040,00010000170000LIREG11000 Instruction 12345750.0050.0009/1/2009 5/31/201040,00010000170000LIREG21000 Dept Scholarship/ Research Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 023333100.00100.0006/1/2009 7/31/200917,778200001700001000022000 F011111 Sponsored Funds

30. 30 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.00250009/1/2009 5/31/201020,00010000189100LIREG11000 Instruction 12345725.0025.0009/1/2009 5/31/201020,00010000189100LIREG21000 Dept Scholarship/ Research 12355650.0050.0009/1/2009 8/31/201040,00010000202000LIREG22000 Dept Scholarship/ Research

31. 31 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345615.0030.009/1/2009 5/31/201048,00010000170000LIREG11000 Instruction 12345710.0020,009/1/2009 5/31/201028,80010000170000LIREG21000 Dept Scholarship/ Research 02333325.0050.009/1/2009 5/31/201019,200100005600001000022000 F011111 This is the ISR appt. with LSA Course buy- out

32. 32 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.00250009/1/2009 5/31/201020,00010000189100LIREG11000 Instruction 12345725.0025.0009/1/2009 5/31/201020,00010000189100LIREG21000 Dept Scholarship/ Research 12355650.0050.0009/1/2009 5/31/201040,00010000202000LIREG22000 Dept Scholarship/ Research

33. 33 Deb Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345625.00250009/1/2009 5/31/201020,00010000175500LIREG11000 Instruction 12345725.0025.0009/1/2009 5/31/201020,00010000175500LIREG21000 Dept Scholarship/ Research 12355625.0025.0009/1/2009 5/31/201020,00010000193000LIREG11000 Instruction 12355725.0025.0009/1/2009 5/31/201020,00010000193000LIREG21000 Dept Scholarship/ Research

34.  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

35. 35 Deb With additional pay – Chair Appt. Dry Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345750.0050.0009/1/2009 5/31/201040,00010000170000LIREG21000 Dept Scholarship/ Research 12345850.0050.0009/1/2009 5/31/201040,00010000170000LIREG11100 Administration

36. 36 Deb With additional pay – Chair Appt. Dry During AY Short Code% Effort% Dist Effective DateEnd Date Comp Rt DistFundDept IDProgram Class Project GrantActivity 12345750.0050.0009/1/2009 5/31/201040,00010000170000LIREG21000 Dept Scholarship/ Research 12345850.0050.0009/1/2009 5/31/201040,00010000170000LIREG11100 Administration Flex Funds100.00 6/1/20106/30/20108,88910000170000LAFLX11100 Administration

37. 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

38.  Calculator  Spreadsheet ◦ Replaced with the DBE Workflow Process 7/1/2011  Leave Forms  Management Reporting System (MRS) 38 Peggy

39.  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

40.  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

41.  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

42.  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

43. ? Your Questions ? 43 Peggy

44. 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 ReimbursementOpen 44 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