Transcript Slide 1
Theme:
Personnel
Agenda for today’s session
We 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 people
HSIP
International 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, SPHR
06/22/2012
RAN Meeting, Ann Arbor, MI
What Unique Context Does
Sponsored Research Suggest?
Budget Constraints
Budget specific requirements
Total budget constraints
Time Constraints
Completion requirements
Deliverable deadlines
Regulatory Requirements
Common such as A-21
Specialized such as E-Verify or ITAR
Advertising/Recruitment
Alignment 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 Working
Largest 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 Running
E-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 Running
Budget 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-down
Funding and exit plan for all faculty, staff, and students
FINAL THOUGHTS
Make 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 HR
People 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 HR
Research Faculty
LSA appointing and promoting policy
http://www.lsa.umich.edu/research/poli
ciesandprocedures/researchfaculty
Research Fellows (postdocs)
Appointed a year at a time in HR System,
posting is not required, and LSA
minimum
salary is $30,500
http://www.lsa.umich.edu/research/pol
iciesandprocedures/researchfellowspostd
ocs
GSRA appointments
GSRA = Graduate Student Research
Assistant
They 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
As Needed Effort Certification Report
For terminating and terminated employees only. The CRO
requires on-line certification for all active employees.
Workforce Administration
Workforce Reports
As Needed Effort
Certification
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.
Different types of situations
you might face
RIF
Temps
Regular
Student
Title vs. role
Overtime and comp time
Keisha Blevins
Senior 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 to
Appropriate HR Office – for employees with <10 yrs of
service
Appropriate 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 important
Make 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 period
Vacation payout: ensure vacation payoff estimate is
encumbered so the grant doesn't end up in
deficit
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 proposal
justification 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 employees
However, 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)
Now let’s explore some . . .
payroll considerations…
Jim Mettlach
Payroll Office
Payroll Topics
Below 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 DeVries
RAN Meeting
June 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 Income
Subject 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 Reconciliation
HSIP 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: [email protected]
Phone:
Tina Lucas (HSIP Assistant) – (734) 615-4661
Brenda Bird (HSIP Analyst) – (734) 615-0344
Chris DeVries (HSIP Manager) – (734) 647-8872
Fax (secure): (734) 764-5375
Join [email protected] (go to M-Community
to self-enroll)
International Considerations
Michael 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
H-1B, TN, and O-1 Visa Holders
Individuals going through the
Permanent Resident process
with EAD cards
Individuals Typically Not
Authorized to Work in the US
Dependent Family Members
(H-4, TD, and O-3) unless
possess EAD card
Visitors for Business or Pleasure
(B-1/B-2 visa holders)
US Permanent Residents
(Green card 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.)
Resources
International Center, Faculty and Staff Immigration
Services (FSIS):
Phone: (734) 763 -4081
Fax: (734) 615 – 2200
Email: [email protected]
Website: http://www.internationalcenter.umich.edu
Checks and Balances
Learning from our mistakes …
Sherry Cogswell
Senior Audit Manager
University Audits
Common Audit Findings
I-9s completed late (>72 hours)
Temporary employees
Hired on trial basis for regular position
Appointments>12 months
Student temps enrollment not current
Nepotism, hiring “the kids”, esp. summer
Common Audit Findings
Timecards 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 disclosures
COI 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 Reporting
Educate faculty and staff
Critical importance, fed audit focus
Not 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 data
ITAR 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 Authority
Written/signed with clear expectations
Expiration date (at most annually)
Delegator should monitor
Best Practices- Employee Safety
Keep 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 experts
Questions from the audience