Theme:Personnel

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!!!

Catherine Seay-Ostrowski, MA, SPHR06/22/2012

RAN Meeting, Ann Arbor, MI

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

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

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

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

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

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

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

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

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

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

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

A second departmental perspective…

Now let’s see what LSA thinks about in regards to HR…

Is the the same in my Unit???

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.

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.

LSA Research HR Mini-Submittal

Workforce Administration

Job Information

Submittal Form Pages

Submittal Form

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

Different types of situations you might face

RIFTemps

RegularStudent

Title vs. roleOvertime and comp time

Keisha BlevinsSenior Human Resource Representative

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

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

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

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

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

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

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.

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.

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

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)

payrollpayroll considerationsconsiderations…

Jim MettlachPayroll Office

Now let’s explore some . . .

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”

Specific Situations you may encounter

HSIP

International Center

Chris DeVriesRAN MeetingJune 22, 2012

35

Agenda• Recent Updates

• Incentive vs. Reimbursement

• Taxable Income

• Request Reconciliation

• Documentation

• Returning Excess Funds

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.

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

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.

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.

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.

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!

HSIP – Contact Information Website: https://finance.umich.edu/treasury/hsip E-mail: subject-incentives@umich.edu 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 HSIP.User.Group@umich.edu (go to M-

Community to self-enroll)

InternationalInternational ConsiderationsConsiderationsMichael Olech

International Center

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

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)

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

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

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

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.)

ResourcesInternational Center, Faculty and Staff

Immigration Services (FSIS):

Phone: (734) 763 -4081

Fax: (734) 615 – 2200

Email: icfacultystaff@umich.edu

Website: http://www.internationalcenter.umich.edu

Checks and Balances

Learning from our mistakes …

Sherry CogswellSenior Audit Manager

University Audits

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

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

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

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

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)

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?

Best Practice-Family Medical Leave Act

Know unit responsibilities including tracking

Apply consistently for all staff

File FMLA/medical separate from HR folder

Best Practices-Delegation of AuthorityWritten/signed with clear expectations

Expiration date (at most annually)

Delegator should monitor

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

Time for…

Ask the expertsQuestions from the audience