Effort reporting for
LSA Tenured and Tenure Track
Faculty Appointments
July 9, 2013
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 Peg




Compliance – Annual Certification
Reporting
Activity Based Budgeting
Effective planning
3Peg

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
Term by term for GSRAs
4Peg



Certifying that work was performed
Effort is NOT dollars
Effort is 100% of what it takes to complete
your job responsibilities
5 Peg

Online via Wolverine Access
◦
◦
◦
◦

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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
7Peg

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

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 looking at a term the
course % doubles.)
9Peg
Academic and Summer effort needed for Chairs.
 AY -- 50% Department scholarship/research—21000
 Or reduced if Chair is teaching (we will show
more later)
 AY -- 50% Department Administration—11100
 One summer month Department Administration –
11100
 Per Chair’s offer letter on source of funds to cover
this effort
10 Peg






As we said 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
One 1/9 effort required in summer during the three
month period for work as Chair.
11 Deb

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 1/9th; 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 show that administrative effort. One way
they get a course buyout the second they get additional
compensation but continue to teach full load.
12 Peg
Effort Framework for LSA Faculty
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
Leaves
Potential Supplemental or Replacement
Funding Sources

Sponsored

Departmental

College

University Funded
Summer
In general the College does not provide funding for
summer effort.
13 Krista
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
(does require effort certification)
14 Krista
Course BuyOuts

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


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
40%-LIREG Scholarship/Research
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)
15 Krista



Chartfields – the structure behind all
budgeting and reporting
Valid values vs. Correct chartfields
Telling the RIGHT story
16 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 . 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
Activity performed when using
shortcode
Class
Code
17 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),
Directors, and Associate Directors.
Modified Duties 21000/
11100
Situational based on actual
activities.
Modified duties are approved by DivAD.
Leaves
21000
Remember that Tom Hart
manages the HR paperwork
for leaves
Sabbatical, DOC, or SAL approved by College
Executive Committee.
11100
Please work with Deb
Erskine.
Work Connections approval of disability.
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.
47000
Could be real cost to unit
due to replacement
teaching. Captures instruction
Developing a new department course for unit and
chair/director gives a course release (rare).
(Scholarship/Research)
Medical Leaves
(administration)
Course Release
(administration)
Course Release
(instruction)
activity outside of classroom
teaching.
Course Buyout
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. Rate minimum is 20%.
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%.
18 Krista

LSA will be going to Real-Time Financials
eReconciliation for reconciling all financial
activity, including payroll this fall.
19 Krista


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
MRS Report
Example
21

College & department/unit expectations –
SUMMER Model (Framework)
◦ New or Renewed Chairs and Directors with
appointments starting 7/1/2011 or later 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)
22 Krista



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
23 Krista



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

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



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
26 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 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11000
Instruction
123457
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
27 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 9/1/2xxx
5/31/2xxx
48,000 10000
170000
LIREG
11000
Instruction
123457
30.00
30.000 9/1/2xxx
5/31/2xxx
28,800 10000
170000
LIREG
21000
Dept Scholarship/
Research
023333
20.00
20.000 9/1/2xxx
5/31/2xxx
19,200 20000
170000
10000
22000
F011111
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 9/1/2xxx
5/31/2xxx
48,000 10000
170000
LIREG
11000
Instruction
123457
37.78
37.78 9/1/2xxx
5/31/2xxx
36,269 10000
170000
LIREG
21000
Dept Scholarship/
Research
17xxxx
0
2.610 9/1/xxxx
5/31/xxx
2,505 22000
170000
NIHCP
22000 UXXXXX
02xxxx
12.22
9.610 9/1/xxxx
5/31/xxxx
9,226 20000
170000
10000
22000
F0xxxx
NIH Salary Cap
Sponsored Funds
29 Deb
30
31
Class
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Project
Grant
Dept ID Program
Activity
123456
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11000
Instruction
123457
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
Short
Code
023333
% Effort
100.00
% Dist
Effective
Date
100.000 6/1/2xxx
Comp Rt
End Date
Dist
6/30/2xxx
Class
Fund
8,889 20000
Dept ID Program
170000
10000
22000
Project
Grant
Activity
F011111
Sponsored Funds
32 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 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11000
Instruction
123457
39.00
50.000 9/1/2xxx
12/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
F01111
11.00
11.00 9/1/2xxx
12/31/2xxx
40,000 20000
170000
10000
21000 F01112
Sponsored Funds
F01111
50.00
50.00 6/1/2xxx
6/30/2xxx
$4,445 20000
170000
10000
22000 F01112
Sponsored Funds
123459
50.00
50.00 6/1/2xxx
6/30/2xxx
$4,445 21000
170000
LSMRN
21000
Dept
Scholarship/Research
33 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
Grant
Activity
023334
100.00
100.00 7/1/2xxx
7/31/2xxx
$40,000 20000
170000
10000
22000
F011112
Sponsored Funds
023335
100.00
100.00 8/1/2xxx
8/31/2xxx
$40,000 20000
170000
10000
22000
F011113
Sponsored Funds
Project
Grant
Activity
21000 C123458
Research
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
123458
50.00
50.000 6/15/2xxx
6/30/2xxx
$4,445 10000
170000
LSMRN
023334
50.00
50.00 6/1/2xxx
6/15/2xxx
$4,4445 20000
170000
10000
22000
F011112
Sponsored Funds
34
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
Grant
Activity
123456
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11000
Instruction
123457
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
Short
Code
023333
% Effort
100.00
% Dist
Effective
Date
100.000 6/1/2xxx
Comp Rt
End Date
Dist
7/31/2xxx
Class
Fund
8,889 20000
Dept ID Program
170000
10000
22000
Project
Grant
Activity
F011111
Sponsored Funds
35 Deb
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Dept ID Program
Class
Project
Grant
Activity
123456
25.00
25000 9/1/2xxx
5/31/2xxx
20,000 10000
189100
LIREG
11000
Instruction
123457
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
189100
LIREG
21000
Dept Scholarship/
Research
123556
50.00
50.000 9/1/2xxx
8/31/2xxx
40,000 10000
202000
LIREG
22000
Dept Scholarship/
Research
36 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
Grant
Activity
123456
25.00
25000 9/1/2xxx
5/31/2xxx
20,000 10000
189100
LIREG
11000
Instruction
123457
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
189100
LIREG
21000
Dept Scholarship/
Research
123556
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
202000
LIREG
22000
Dept Scholarship/
Research
37 Deb
Short
Code
% Effort
% Dist
Effective
Date
Comp Rt
End Date
Dist
Class
Fund
Dept ID Program
Project
Grant
Activity
123456
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
175500
LIREG
11000
Instruction
123457
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
175500
LIREG
21000
Dept Scholarship/
Research
123556
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
193000
LIREG
11000
Instruction
123557
25.00
25.000 9/1/2xxx
5/31/2xxx
20,000 10000
193000
LIREG
21000
Dept Scholarship/
Research
38 Deb
Short
Code
% Effort
% Dist
Effective
Date
End Date
Comp Rt
Dist
Fund
Dept ID Program
Class
123456
15.00
30.00 9/1/2xxx
5/31/2xxx
48,000 10000
170000
LIREG
11000
123457
10.00
20,00 9/1/2xxx
5/31/2xxx
28,800 10000
170000
LIREG
21000
023333
25.00
50.00 9/1/2xxx
5/31/2xxx
19,200 10000
560000
10000
22000
Project
Grant
Activity
Instruction
Dept Scholarship/
Research
This is the ISR appt.
with LSA Course buyF011111
out
39 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 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
123458
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11100
Administration
With additional pay – Chair Appt. Dry
40 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 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
21000
Dept Scholarship/
Research
123458
Flex
Funds
50.00
50.000 9/1/2xxx
5/31/2xxx
40,000 10000
170000
LIREG
11100
Administration
100.00
100.00 6/1/2xxx
6/30/2xxx
8,889 10000
170000
LAFLX
11100
Administration
With additional pay – Chair Appt. Dry During AY
41 Deb
Effort / Activities change
◦ Best practice: 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.
July 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
42 Deb



Calculator
DBE Workflow
Management Reporting System (MRS)
43 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 scholarly/research
activity. Medical time-off is administration. Modified Duties
can be a combination of Scholarship/Research and using
Administration for balance will capture non-work costs.
44 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.
45 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
.
46 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 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.

47 Peggy
? Your Questions ?
48 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
TBN
@umich.edu
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
49 Peggy