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Theme:Personnel
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Agenda for today’s sessionWe will start with the input from several different department
people with regards to HR so you can compare and contrast with your own areas (Networking!!)
We will look at some specific situations when dealing with peopleHSIPInternational Center
We will wrap up with some lesson’s learned and findings from Internal Audits
Then…time for the Ask the Experts portion!!!
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Catherine Seay-Ostrowski, MA, SPHR06/22/2012
RAN Meeting, Ann Arbor, MI
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What Unique Context Does Sponsored Research Suggest?
Budget ConstraintsBudget specific requirementsTotal budget constraints
Time ConstraintsCompletion requirementsDeliverable deadlines
Regulatory RequirementsCommon such as A-21Specialized such as E-Verify or ITAR
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Advertising/RecruitmentAlignment of job requirements with project
timelines and needs.
Thinking ahead and posting before the award
Function/Title Alignment and Flexibility in Projects
Temporary vs Regular, TERM vs Open-Ended
Considering possibility of hiring foreign national
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Getting Research Staff On Board and WorkingLargest and most elusive need: ensuring clarity of
expectations
Offer letters with terms and conditions of employment, expectations on projects, rules of work, and understanding about regular deliverables
Lab training requirements, Safety Training, PEEERS training (or whatever your organization has for this)
Full debrief on project milestone schedules?
Allowances for time off (especially for those without timecards!)
Duration of appointments: TERM vs REG
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Getting Research Staff Up and RunningE-verify requirements on effort (contracts > $500K);
ITAR restrictions
Clear understanding of effort certification
Sponsor-delineated requirements
Appropriate use of procurement tools /transaction norms
New employee runs rampant with the procurement card! It has happened.
Dealing with confidential proprietary information
Future funding possibilities and opportunities
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Getting Staff Up and RunningBudget Knowledge for projects?
Expectations for self-support?
Salary caps on projects and coverage for salary over the cap
Ensuring that no commitments are made without unit approvals
System/facility access
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Maintaining Smooth Employment and Project Management
Monitor Progress on Projects
Tracking Budgeted Fringes vs. Real Fringes
Impact of Pay Increases/promotions/compensation adjustments (+ or -) on project budgets and expenditures
Prospective Re-budgeting to Reflect REAL project effort needs
Tracking TERMS of employment, funding and potential for renewals
The Year-Rule on Temps
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Employment Maintenance for Smooth Sponsored Projects
Tracking of vacation use, vacation payouts, extended sick (and utilization of organizational resources to respond to these special cases).
Funding of additional eligible benefits (tuition reimbursement, other professional development, released time from work)
Clear rules and tracking and pre-approvals of OT (usually NONE approved on sponsored funds)
Staff Effort Plans
GSRA vs. student temps, scholarship stipend support
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Employee Maintenance (cont’d)
Impacts of budget changes on IDC
Summer benefits for GSRAs
Timely and accurate effort certification
CoI/CoC and annual certifications
Coordinating IPA agreements and appt conversions
Proration of costs on projects for U-Year (9-month) employees
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Handling Ending Projects and Employee Terminations
Replacement effort for unexpected staff changes
Succession planning and mitigating impacts of gone-staff on project needs
Acquisition and retrieval of scientific/project work (data, reports, key information) from exiting staff
Planning for and accommodating vacation payouts
Final Effort Certification
Changes in PI? Smoothing sponsor and organizational rules on this issue
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Smooth Project Closeout and Employee Terminations
Transferring of projects to other institutions (staff layoff or move to new organizations)
Who gets the equipment? Any equipment at the home of staff people?
Removal of subcontractors/cancellation
Work Study Funding Gone- what next?
Organizational downsize or center shut-downFunding and exit plan for all faculty, staff, and students
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FINAL THOUGHTSMake Friends With your HR People
Learn to almost BE an HR People
Be Forward-Thinking
Succession Planning or Scenario Planning
Managing UP
Staff Effort Planning System
Make Friends with your International Specialists
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A second departmental perspective…
Now let’s see what LSA thinks about in regards to HR…
Is the the same in my Unit???
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LSA Research HRPeople make up 80% of the costs in grants which mirrors the
University costs for people. In LSA we do not allow overloads and anyone working over 32
hours or two weeks are required to be hired. Whenever there is an expectation of a certain effort level or outcome in exchange for pay, an employment relationship exists.
LSA Fin Team, LSA HR, and LSA Research have partnered to make research appointments and reporting on them seamless for our departments.
Accounting for Faculty Effort in the system: LSA faculty can cost share effort or direct charge salary during
academic year and summer. Summer appointments – 2 months
With exception memo 2.5 from sponsored funds is max (SPG 201.04)
LSA has Effort Reporting policy http://www.lsa.umich.edu/research/policiesandprocedures/effortreporting
Sponsored funds may not be charged in the month of May as summer salary.
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LSA Research HRResearch FacultyLSA appointing and promoting policy http://www.lsa.umich.edu/research/policiesandprocedures/researchfaculty
Research Fellows (postdocs)Appointed a year at a time in HR System, posting is not required, and LSA minimum salary is $30,500http://www.lsa.umich.edu/research/pol
iciesandprocedures/researchfellowspostdocs
GSRA appointmentsGSRA = Graduate Student Research AssistantThey are NOT covered by the GEO (Graduate Employees Organization) contract. LSA pays all GSAs the same FTR.
Visiting Research Faculty Appointments are for one year.
Posting is not required. If an extension is needed a request should be sent to the Divisional Associate Dean .
Dry Appointments All Research Faculty
submitting proposals must have at a minimum 5% effort from non-sponsor funds. Dry appointments are rarely granted.
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LSA Research HR Mini-Submittal
Workforce Administration
Job Information
Submittal Form Pages
Submittal Form
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Workforce Reports
As Needed Effort Certification
For terminating and terminated employees only. The CRO requires on-line certification for all active employees.
Create a Run Control ID if necessary. If you already have a Run Control ID for As Needed Effort Certification Reports, enter the first
few letters of your Control ID and click SEARCH.
Enter UMID for employee, dates for certification period, and select “Run to Window”. Report will run and appear in a new window.
Workforce Administration
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Different types of situations you might face
RIFTemps
RegularStudent
Title vs. roleOvertime and comp time
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Keisha BlevinsSenior Human Resource Representative
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Reduction in Force (R.I.F.) Policy
Reduction in workforce due to lack of funds, lack of work, or reorganization
Applies to regular staff who are on open-ended appointments
Does not apply to staff in term-limited appointments
SPG 201.72
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R.I.F. :Order of Reduction
Begin with the staff member with the least seniority in the affected classification.
Exception: May retain staff, irrespective of service, who possess the necessary skills, knowledge, and abilities to perform the available work which are not possessed to the same degree by other staff in the same classification
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R.I.F. : Approval
Prior to notifying any employee you must obtain approval
Submit rationale and documentation toAppropriate HR Office – for employees with
<10 yrs of serviceAppropriate VP/Chancellor /designee– for
employees with 10 or more yrs of service. Authority designated to Academic HR
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Notice Requirements
Employees with < 10 yrs service = At least 30 days
Employees with 10 or more yrs of service = At least 90 days
For grant funded positions timing is importantMake sure to request approval for the RIF in
advance of the minimum notice periods
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Other Considerations
Vacation time: Cannot require employees to use vacation time
during the notification periodVacation payout: ensure vacation payoff
estimate is encumbered so the grant doesn't end up indeficit
R.I.F. policy cannot to be used to deal with performance problems
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Temporary Employees
Intended to meet short-term or sporadic staffing needs
12 months in duration with ability to extend to a max of 18 months w/ HR approval
If employment is sporadic or casual (normally 8 hours or less per week) no limit on duration
SPG 201.57
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Student Temps
Departments are responsible for monitoring the ongoing status of Student Temps
UM students: considered a student employee even during
periods of non-enrollment in the spring/summer terms.
No maximum duration as long as the above criteria are met.
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Student Temps
Non UM Student temps: full time high school student or enrolled for
six credit hours or more at a college or university other than the University of Michigan,
Employee status for this purpose is not affected if the student is not enrolled during the Spring-Summer term.
No maximum duration as long as the above criteria are met.
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UM title vs. role in project and A-21
Clerical and PA jobs are not generally approved by federal sponsors Funding for these types of positions can be
included on grants - but the role and occupant will need to be clearly stated in the proposaljustification so the expense will be allowed if the project is funded
Ensure grant proposal is sufficient to fund pay increases and reclassifications
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Overtime and Comp Time
The use of payment of Comp time is prohibited for both exempt and non-exempt employeesHowever, flextime is permissible
Non-exempt staff must be paid OT at 1 and ½ times the staff member’s regular rate of pay for all hours worked in excess of 40 hrs in a work week. (exception time is not counted toward the 40hrs of time worked)
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payrollpayroll considerationsconsiderations…
Jim MettlachPayroll Office
Now let’s explore some . . .
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Payroll TopicsBelow are several topics that relate to payroll
payments distributed on sponsored projects
Non-instructional pool Time reporting for individuals paid on multiple
projects
University-year faculty paid on federal funds during the academic year Charging project during the academic year yet
paying the faculty member over 12 months
Requests to change an individual from an appointment to fellowship funding or the reverse “REG” to “FEL”
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Specific Situations you may encounter
HSIP
International Center
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Chris DeVriesRAN MeetingJune 22, 2012
35
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Agenda• Recent Updates
• Incentive vs. Reimbursement
• Taxable Income
• Request Reconciliation
• Documentation
• Returning Excess Funds
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HSIP – Recent Updates
Google migration: Due to the move to Google mail, the HSIP office will no longer accept subject information attached to e-mails.
New procedure – HSIP requesters and approvers can attach the subject information directly into the HSIP request form.
System release scheduled for late June; more details to follow.
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HSIP – Incentive vs. Reimbursement
Incentive: The same amount is given to participants regardless of how far they travel. The spirit of the incentive can be to offset travel costs.
Reimbursement: Travel receipts are submitted and payment is given based on expenses incurred.
Incentives = HSIP; Reimbursements = AP
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HSIP – Taxable IncomeSubject incentive payments are considered
taxable income, regardless of amount.
Subjects will receive a 1099-MISC from the if they receive aggregate payments of $600 or more per calendar year from all sources.
If reimbursements are processed through HSIP, the participants might be issued a 1099-MISC. This potentially places a burden on the participants at tax reporting time.
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HSIP – Request ReconciliationHSIP requests should be reconciled (i.e.
documentation submitted to the HSIP office) within 30 days of distribution (the date the study team obtains the incentive funds).
Documentation is to be submitted that accounts for the entire amount of the request, and it should be submitted all at once.
We cannot assess HSIP expenses to a Project/Grant until we have all documentation.
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HSIP – Documentation Make sure the HSIP Control Number on the
receipts is correct!
Documentation can be attached to the HSIP request form, faxed, or sent via Campus Mail.
Once the “Request Completed” e-mail is received, there is no need to retain receipt documentation locally – it is in the University’s imaging system.
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HSIP – Returning Excess Funds
Cash – Must be returned using the depository stations. Consult with a department administrator.
Payment Coupons – Let the HSIP office know if there are coupons which will not be used.
Visa Cards – Work with the HSIP office to return cards. The process can take 2-4 business days, so plan ahead!
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HSIP – Contact Information Website: https://finance.umich.edu/treasury/hsip E-mail: [email protected] Phone:
Tina Lucas (HSIP Assistant) – (734) 615-4661Brenda Bird (HSIP Analyst) – (734) 615-0344Chris DeVries (HSIP Manager) – (734) 647-8872
Fax (secure): (734) 764-5375 Join [email protected] (go to M-
Community to self-enroll)
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InternationalInternational ConsiderationsConsiderationsMichael Olech
International Center
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International Faculty and Staff
Overview of Individuals Eligible and Not Eligible to Work in the US
Examples of Common Work Authorized Visa Types at U of M
Resources
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Employment Overview
Individuals authorized to work in the US
Individuals Typically Not Authorized to Work in the US
H-1B, TN, and O-1 Visa Holders
Individuals going through the Permanent Resident process with EAD cards
US Permanent Residents (Green card Holders)
Dependent Family Members (H-4, TD, and O-3) unless possess EAD card
Visitors for Business or Pleasure (B-1/B-2 visa holders)
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Example H1B• Temporary worker in
a specialty Occupation
• Employer and Date Specific (Both listed on approval notice)
• Must have valid UM H-1B Approval Notice, or if transferring to UM, Receipt Notice from UM H-1B filing
• H-4 Dependents are not authorized to work in US
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Example: O-1• Temporary worker
in the extraordinary ability category
• Employer and date specific (both listed on Approval Notice)
• Must have valid UM O-1 Approval Notice
• O-3 Dependents are not authorized to work in US
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Example: TN• Temporary worker under
the Trade NAFTA category
• Only available to citizens of Canada and Mexico
• Employer and date specific (both listed on I-94 card)
• Must have valid UM TN I-94 card
• TD Dependents are not authorized to work in the US
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Example: Permanent Resident• PR’s have unlimited work
authorization.
• Work authorization is not Employer or Date specific
• PR card expiration dates just ensure individuals get new cards, status never expires
• While going through PR process, individuals can get to point where receive work authorization in for of EAD card. EAD cards are not employer specific, but are date specific. EAD cards allow everyone to work-even if previously unable (H-4, O-3, TD, etc.)
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ResourcesInternational Center, Faculty and Staff
Immigration Services (FSIS):
Phone: (734) 763 -4081
Fax: (734) 615 – 2200
Email: [email protected]
Website: http://www.internationalcenter.umich.edu
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Checks and Balances
Learning from our mistakes …
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Sherry CogswellSenior Audit Manager
University Audits
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Common Audit Findings
I-9s completed late (>72 hours)
Temporary employeesHired on trial basis for regular positionAppointments>12 monthsStudent temps enrollment not currentNepotism, hiring “the kids”, esp. summer
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Common Audit FindingsTimecards not approved by knowledgeable
supervisor
Informal delegation of authority
Training not current (PEERRS, Lab Safety, HIPAA, UCUCA, etc.)
Continuity of operations plans nonexistent or out of date
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Common Audit Finding
E-Verify not completed within 30 days
Effort Reporting not completed
No COI/COC disclosuresCOI management plans not followed
Physical and system access not terminated at end of employment
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Best Practices-Conflict of Interest
Proactive, at least annually in writing
Attest to “no conflicts” if applicable
Add to onboarding process
Tie to annual performance reviews
Monitor management plans
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Best Practices-Effort ReportingEducate faculty and staff
Critical importance, fed audit focusNot based on 40 hour work week
Timely, faculty and staff annually, grad students every semester
Add to off-boarding checklist
Review quarterly, avoid late adjustments (>90 days after pay date)
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Best Practices-Physical and System Access Control
Grant to appropriate personnel
Secure and monitor high risk areas:Animal and biosafety labs and dataITAR restricted research (export control)Protected health information
Take away access when people leave
Consider visitors, where is physical and system access appropriate?
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Best Practice-Family Medical Leave Act
Know unit responsibilities including tracking
Apply consistently for all staff
File FMLA/medical separate from HR folder
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Best Practices-Delegation of AuthorityWritten/signed with clear expectations
Expiration date (at most annually)
Delegator should monitor
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Best Practices- Employee SafetyKeep training up-to-date
(OSEH, PEERRS, other safety training)
Regular safety tips at staff meetings
Encourage use of emergency alerts, travel registry
Keep unit calling tree up-to-date
Don’t forget visiting faculty, adjuncts
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Time for…
Ask the expertsQuestions from the audience