Effort reporting for
LSA Tenured and Tenure Track
Faculty Appointments
May 2011
1



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


Compliance – Annual Certification
Reporting
◦ Internal Control Compliance Certification
◦ Annual Certification by the Dean


Activity Based Budgeting
Effective planning
3Deb

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



Attestation that work was performed
Effort is NOT dollars
Effort is 100% of what it takes to complete
your job responsibilities
5 Deb

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
7Deb

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

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
◦ Faculty on sponsored funds 2.5 Months
http://spg.umich.edu/pdf/201.64-1.pdf
10 Deb

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
Instruction / Service
50% 9 months






Scholarship / Research
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%)








Work on your individual research, nonsponsored
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.
12Deb
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)
13 Deb
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.
14 Deb



Chartfields – the structure behind all
budgeting and reporting
Valid values vs. Correct chartfields
Telling the RIGHT story
15 Krista
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
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
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 Improvement
18 Krista
Example
LSA Shortcode
number
(Your five Shortcodes
will be different)
LSA
Program
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
Activity performed when using
shortcode
Class
Code
19 Krista
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
Advertising
Hosting
Meals and travel
Meetings and conferences
Memberships
Recruiting
Selling and marketing
Review practices for these expenditures to
determine the appropriate Class. Depending
on the purpose of the expense, it may be
ICRX.
20 Krista
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),
Leaves
21000
No HR appointment
Sabbatical, DOC, or SAL. Remember that Tom Hart
manages the HR paperwork for leaves.
11100
No HR appointment
Please work with Deb Erskine.
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.
47000
Real cost to unit due to
replacement 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.
(Scholarship/Research)
Medical Leaves
(administration)
Course Release
(administration)
Course Release
(instruction)
Course Buyout
(MUST BE APPROVED
BY CHAIR/DIRECTOR)
Captures instruction activity
outside of classroom teaching.
Classcode
is defined
in Shortcode
used
New Faculty
with reduced teaching
load
21000
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.
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%.
21 Krista

LSA recommends using Real-Time Financials
eReconciliation for reconciling all financial
activity, including payroll
22 Krista


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

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




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
Class
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Project
Grant
Dept ID Program
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
26 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
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
27 Deb
Class
Short
Code
Effective
Date
End Date
50.00
50.000 9/1/2009
5/31/2010
123457
50.00
Short
Code % Effort
50.000 9/1/2009
Effective
% Dist
Date
5/31/2010
123456
023333
% Effort
100.00
% Dist
100.000 6/1/2009
Comp Rt
Dist
Fund
Project
Grant
Dept ID Program
Activity
40,000 10000
170000
LIREG
11000
Instruction
40,000 10000
Comp Rt
End Date
Dist
Fund
170000
LIREG
21000
Dept Scholarship/
Research
6/30/2009
8,889 20000
Dept ID Program
Class
Project
Grant
170000
22000
F011111
10000
Activity
Sponsored Funds
28 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
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
023333
% Effort
100.00
% Dist
Effective
Date
100.000 6/1/2009
Comp Rt
End Date
Dist
7/31/2009
Class
Fund
17,778 20000
Dept ID Program
170000
10000
22000
Project
Grant
Activity
F011111
Sponsored Funds
29 Deb
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Dept ID Program
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
21000
Dept Scholarship/
Research
123556
50.00
50.000 9/1/2009
8/31/2010
40,000 10000
202000
LIREG
22000
Dept Scholarship/
Research
30 Deb
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Dept ID Program
Class
123456
15.00
30.00 9/1/2009
5/31/2010
48,000 10000
170000
LIREG
11000
123457
10.00
20,00 9/1/2009
5/31/2010
28,800 10000
170000
LIREG
21000
023333
25.00
50.00 9/1/2009
5/31/2010
19,200 10000
560000
10000
22000
Project
Grant
Activity
Instruction
Dept Scholarship/
Research
This is the ISR appt.
with LSA Course buyF011111
out
31 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
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
21000
Dept Scholarship/
Research
123556
50.00
50.000 9/1/2009
5/31/2010
40,000 10000
202000
LIREG
22000
Dept Scholarship/
Research
32 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
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
21000
Dept 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
21000
Dept Scholarship/
Research
33 Deb





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 nonChair department
34 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Fund
Dept ID Program
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
With additional pay – Chair Appt. Dry
35 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Fund
Dept ID Program
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
Flex
Funds
50.00
50.000 9/1/2009
5/31/2010
40,000 10000
170000
LIREG
11100
Administration
100.00
100.00 6/1/2010
6/30/2010
8,889 10000
170000
LAFLX
11100
Administration
With additional pay – Chair Appt. Dry During AY
36 Deb
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


Calculator
Spreadsheet
◦ Replaced with the DBE Workflow Process 7/1/2011


Leave Forms
Management Reporting System (MRS)
38 Peggy

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

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

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

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
? Your Questions ?
43 Peggy
Office
Contact Name
Email Address
LSA Faculty HR
Deb Erskine
derskine@umich.edu
LSA Research
Peggy Westrick
pegwest@umich.edu
LSA Finance
Krista Farmer
kfarmer@umich.edu
LSA GSA
Tom Hart
tjhart@umich.edu
Cost Reimbursement
Open
Documents
Contact Name
URL
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
44 Peggy