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Effort reporting for LSA Tenured and Tenure Track Faculty Appointments. May 2011. 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
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Effort reporting for LSA Tenured and Tenure Track Faculty Appointments May 2011
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 • Internal Control Compliance Certification • Annual Certification by the Dean • 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 • Administration • Internally funded Organized Research (i.e. Rackham, OVPR, College) • Annually for faculty & staff
Effort Certification • Attestation 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 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
Since the implementation of Effort Reporting in LSA … • 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.
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
Formalizing the Framework for Summer Appointments on grants • Faculty on sponsored funds 2.5 Months http://spg.umich.edu/pdf/201.64-1.pdf
Formalizing the 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 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.
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 SummerCan be any of the above activitiesThe summer funding is NOT guaranteed by the College unless previously negotiated.
Formalizing the FrameworkService 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 All leaves (sabbatical) (does require effort certification)
Formalizing the FrameworkCourse BuyOuts vs. Course Release 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. Course Releases Mechanism for tracking Real cost to department if a faculty member is allowed to bank. Use it or lose it.
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
Shortcode StructureProgram Defined by LSA for reporting purposes
Setting up the framework with Shortcodes—not all available class codes are typically used in LSA
Shortcode StructureICRX – Indirect Cost Recovery Excluded Expenditures
Monitoring and Reconciling LIREG Activity • LSA recommends using Real-Time Financials eReconciliation for reconciling all financial activity, including payroll
Reporting on Faculty Effort Within Your Own Department • 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
Monitoring is Important—Update Information as needed during year • 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)
When should we use Additional Pay? • 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
DBE ExampleCurator – Faculty with 9 mo appt. in Dept. and 12 mo appt. in museum
DBE ExampleFaculty with LSA 50% appointment and with course buyout outside of LSA
Chairs &Directors with Joint Appointments wishing to teach in unit where they serve as chair. • 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
DBE Example for existing Faculty with Chair Appointment With additional pay – Chair Appt. Dry
DBE Example for new or renewalFaculty with Chair Appointment With additional pay – Chair Appt. Dry During AY
Does Effort Reported Reflect Actual Activities for Past Year? 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
Tools • Calculator • Spreadsheet • Replaced with the DBE Workflow Process 7/1/2011 • Leave Forms • Management Reporting System (MRS)
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 research activity.
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.
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 .
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.
