university of new hampshire fiscal year 2013 space inventory and functional usage study information...

University of New Hampshire

Fiscal Year 2013

Space Inventory and Functional Usage Study

Information Session

Presented by

Attain LLC

March 2013

Project Team

Background

Space Study Procedures

Functional Usage Definitions

Guidelines for Selected Room Types

Determining Functional Usage

Federal Review Issues

Project Timeline

On-line Space Survey Process

Questions

Session Overview

Project Team

Research Community• Researchers• Deans & Department Chairs• Departmental Administrators

UNH Administration • VPFA Office

• Scott Towle• Kerry Scala

• Executive Steering Committee• Joanna Young, Co-Chair• Jan Nisbet, Co-Chair• Leigh Anne Melanson• Kerry Scala• Scott Towle

Project Team

UNH Administration (Cont.)• Working Committee

• Tammy Goldberg• Tracy Boyle• David Browning• Kerry Scala• Scott Towle

Attain, LLC

Project Team

Background

What are Facilities and Administrative (F & A) costs?

F & A costs, also known as indirect or overhead costs, are those costs associated with the sponsored activities of the UNH research enterprise which cannot be readily associated with an individual project.

Facilities costs are defined as building and equipment depreciation, interest on debt associated with certain buildings, equipment and capital improvements, operation and maintenance expenses, and library expenses.

Administration costs are defined as general administration, departmental administration, and sponsored projects administration.

Background

Calculating the F & A Rate

F & A CostsOverhead costs incurred to support Research activities: Depreciation of Buildings &

Equipment Operation & Maintenance Expenses Interest Expense Library Administrative Services

Direct CostsCosts incurred in performing Research activities: Salaries and fringe benefits of

research personnel Research lab supplies and materials Travel

F & A Costs

Direct Costs$45,000,000$21,150,000

F & A Cost Rate

$21,150,000/$45,000,000 = 47%

Current Research Rate at UNH (FY 13):

On-Campus: 47%

Building Depreciation 2.6%

Equipment Depreciation 1.4%

Interest 0.7%

Operations and Maintenance 12.8%

Subtotal 17.5%

Library 3.5%

Administrative Component 26.0%

Off-Campus: 26.0%

Background

Facilities Component of F&A Rate

21 points of the current 47% research rate

Rate components are not capped• Potential to increase reimbursement of costs associated with conducting research

All facilities cost pools except library are allocated based on space functional usage statistics• Space study is a critical component of the F&A rate proposal

Importance of the Space Study

F&A Cost Reimbursement• Annual reimbursement is approximately $20 million• Facilities components, which represent more than 17 points of the current

organized research rate, are determined based on square footage statistics resulting from the space study.

• One point on the rate is worth approximately $225 thousand annually or $900 thousand for the anticipated 4 year term of the next rate agreement

Federal Compliance• For buildings with more than one function, Federal regulations require the

allocation of facilities costs based on functional use of space.• Federal regulations require the allocations to be “appropriately documented in

sufficient detail for subsequent review by the cognizant federal agency.”

Background

Specific Goals of Space Study

Identify all activities performed in each room for reasonable cost allocations.

Develop proposal statistics that are defensible during rate negotiations with the Federal government.

Use methodologies that comply with Federal government requirements and that provide the best cost recoveries.• The functional space use survey is subject to review/audit by the cognizant federal

agency (HHS).

Background

Determine Functional Use

Identify Projects & Occupants

Attain Quality Review

Reconcile the Space (Physical Area, Floor Plans,

Room List)

Survey Complete!

Validate Room Demographics

Critical Success Factors

First hand knowledge of how the space was used during fiscal year 2013 (7/1/2012 - 6/30/2013)An understanding of the activities performed in the roomInformation on funding sources related to the activities for the space (grants, contracts, institutional funds, etc.)Access to the space and occupants of the spacePI involvement• Contact/meet with PIs to gather necessary information

Getting Started

Survey information must be entered in AttainSpace, a web-based application

Room inventory report available on web site is populated with demographic information from the database maintained by University Facilities Office

The online Room Survey Form must be completed for each room assigned to the department

Validating Room Demographic Information

Review room list accuracy and completeness• Rooms used by department during FY 2013 missing from list• Rooms on list not used by department during FY 2013

Confirm that room type is accurate• Different survey process for certain room types

Identify Responsible Person• List Principal Investigator/Lab Director• For rooms used by multiple PI’s, list “Multiple” as the responsible person and

identify each PI and the percentage related to each PI in the “Comments” section

Documenting Rooms Where Sponsored Activity Is Taking Place

List ALL personnel who occupied each lab on a regular basis during FY 2013 (e.g, Faculty, Research Staff, Post Docs, Technicians, Graduate Students, Undergraduate Students, Visiting Scientists, Volunteers)• Occupant information is NOT required for lab service rooms or multi-purpose

rooms coded based on joint use

Identify all Fund/Org numbers (sponsored and non-sponsored) that fund the projects performed in each room

Completing the Room Survey Process

Room functional percentages should reflect how the room was used over the entire fiscal year rather than a snapshot at a point in time.Involve PI in process to confirm accuracy of information for labs.Estimate percentages related to each activity performed in the room.• Functional coding must take into account all room occupants/users and the fund

sources that support the activities• Matching space and base – functions identified must be consistent with the

classification of the funding for activities performed in the room

Departmental staff should maintain notes on how they determined the functional percentages for each room and be prepared to defend them during the Federal review of the F&A rate proposal. It is usually a year or longer between the time the space study is conducted and the Federal review.

The functional usage of a room identifies a percentage of time a function (activity) is being performed in a room during the fiscal year of the survey. For UNH’s space survey, you will be classifying activity using one or more of following functional categories:

Organized ResearchInstruction/Department ResearchOther Sponsored ActivitiesDepartmental AdministrationOther Institutional ActivitiesService CentersJoint UseVacant/Inactive

Operations & Maintenance **General Administration **Sponsored Projects Admin **Library **

** These activities are generally not performed in space occupied by academic departments and research centers. Definitions for these categories are provided in a separate document.

ORGANIZED RESEARCH (R)

All research and development activities that are separately budgeted and accounted for on a specific project basis within Banner.

• Sponsored research – research projects sponsored by Federal agencies and non-Federal organizations (e.g. states, cities, foundations, corporations.) For FY 2013, this category also includes the Ag Experiment Station.

• University research projects – research projects funded by the University that are separately budgeted and accounted for on a specific project basis.

• Sponsored research training – training of individuals in research techniques when such activities share the same facilities as other research and development activities. Common examples include Career Development (“K”) awards, institutional training grants (T-32), and individual fellowships (F-32).

• Cost sharing – mandatory matching or voluntary committed cost sharing related to sponsored research projects.

INSTRUCTION & DEPARTMENTAL RESEARCH (I)

All teaching and training activities (except research training)

• Teaching and Training – all regular teaching and training activities, whether they are offered for credits toward a degree or certificate or on a non-credit basis. Includes classroom teaching, preparing instructional materials, preparing and grading examinations.

• Departmental Research – research, development and scholarly activities that are part of one’s professional interest but NOT separately budgeted and accounted for on an individual project basis within Banner. Example: PI Return Funds.

• Sponsored Training – instructional or training activities sponsored by Federal agencies and non-Federal organizations. However, sponsored training of individuals in research techniques (commonly called research training) should be classified as Organized Research.

OTHER SPONSORED ACTIVITIES (O)

Programs and projects financed by Federal agencies and non-Federal organizations that involve the performance of work other than instruction and organized research. Examples include public broadcasting, health service projects, equipment grants, community service projects, and grants for conferences, seminars, and workshops.

DEPARTMENTAL ADMINISTRATION (D)

Administrative and supporting services performed by academic departments, divisions, and organized research units which benefit common or joint departmental activities or objectives

• Activities of department heads and their administrative and secretarial personnel who perform general departmental duties, i.e., duties that are not directly identifiable to any discrete activity

• Activities related to academic and research committees, preparation of new and competing renewal grant and contract applications and proposals, departmental financial management issues, and interviewing and hiring

OTHER INSTITUTIONAL ACTIVITIES (B)

Auxiliary enterprises, such as the operations of residence halls, dining halls, MUB, student unions, intercollegiate and intramural athletics, bookstores, faculty housing, student apartments, guest houses, chapels, theaters, public museums.Activities that are unallowable for F&A cost reimbursement by the Federal government, such as fundraising, and community relations and development.

SERVICE CENTERS (SC)

Sometimes referred to as Recharge Centers.Units that perform specific technical and administrative services primarily for internal operations, and charge users for these services.Examples of service centers include Hubbard Center for Genomic Studies, Survey Center, University Instrument Center, Space Science Center Machine Shop, and Research Computing Center This space will be distributed functions based on charges to users.

JOINT USE (JNT) Offices in academic departments as well as conference rooms and other multi-function rooms, such as mail rooms, copy rooms, employee lounges, and departmental libraries.This space will be distributed to functions based on overall departmental salaries and wages.

VACANT/ INACTIVE (VAC)

Assignable space not used during FY 2013 (7/1/12 – 6/30/13) due to alterations or renovations.Areas which were available for assignment but were inactive for the entire year. Space that was vacant for part of FY 2013 should be assigned based on its functional use when occupied.

LABORATORIES

(room type 250-254)

% of functional activity must be supported with project and occupant informationIf a single PI uses multiple labs and his/her research personnel are working on awards throughout labs, and it’s impossible to differentiate their activities between the labs, it is acceptable to code the labs identically

LAB SERVICE ROOMS – Equipment rooms, Cold rooms, Microscope rooms, Dark rooms

(room type 255-259)

Code lab service rooms the same as the average functional usage of the labs these rooms supported during FY 2013

• If room supports one specific PI, coding should be consistent with other PI rooms

• If room supports multiple PI’s, a floor, or entire department, indicate related rooms in survey form for room type 255

• Identify the functional usage percentages and Fund/Orgs, and include a note in the “comment” section indicating the related lab areas (e.g., PI, a floor, or the entire department)

SERVICE CENTERS

Assign to functions based on charges to usersExamples include Hubbard Center for Genomic Studies, Survey Center, University Instrument Center, Space Science Center Machine Shop, and Research Computing Center

OFFICES

(room type 310)

Confirm room typeIdentify occupant(s)Must be classified as Joint Use

CONFERENCE ROOMS & MULTI-PURPOSE ROOMS

Confirm room typeMust be classified as Joint Use

CLASSROOMS & TEACHING LABORATORIES

Typically classified as InstructionIf research is being conducted in these areas, a percentage of the room can be allocated to either Organized Research or Instruction/Departmental Research

• Must be clearly documented with occupants and funding sources

LIBRARY SPACE Space devoted to the operation and administration of the main UNH libraries and branches of the main librariesDepartmental libraries maintained with departmental budgets should be classified as “Joint Use” not “LIBRARY”

Rooms should be functionalized based on the activities performed in that space during FY 2013• For a faculty member who teaches and has grants, research lab space

will be coded different from office or teaching lab space

The functional use classification for each room must be consistent with the salary distribution of the individuals using the space. If the room occupants work on research projects but are not funded by a grant, the space must be classified as departmental research.

Functional coding should take into account the extent of use by each occupant• A student working in the lab 10 hours per week for only part of the year

should be counted much less than a technician who works in the lab 40 hours per week for the entire year

Functional use percentages must total 100% for each room

Sample Work Plan – the way to “think” through the answers is:

Who occupies the lab suite or room? Identify all individuals, paid and unpaid, that have occupied the room during the year.

How are they funded for the work they do in the lab suite or room?

Are there any unpaid occupants in the room, e.g. unpaid students, visiting scholars not paid by UNH?

Relative to one another, how much time is spent by each person in the lab suite or room? (e.g., PIs and Grad Students may spend less time than Technicians.)

For Research Lab Suites, the first instinct is 100% Organized Research, but…

Are some individuals working in the lab suite funded from departmental funds, e.g. lab set-up funds or seed money?

Are other activities taking place in the lab suite that are not part of an organized research project?

Are there any unpaid occupants in the lab suite?

Answering “Yes” to these questions is perfectly acceptable; it just means we should not code the room 100% Organized Research

Lab Example #1a

If technicians or students in a research lab are working on Organized Research projects

their compensation for all of their work in the lab is paid by those projects (or is reported as cost sharing on the projects in their effort reports)

Code space they use in the labs as “Organized Research”

Lab Example #1b

However, if technicians or students in a research lab are working on Organized Research projects

their salary is wholly or partially paid from department / institutional funds (and is not reported as cost sharing on an Organized Research project),

Code space used for the work paid with departmental / institutional funds as “Department Research”.

Lab Example #2A research lab with only one occupant is used for work on NIH Research Awards ABC and XYZ

Occupant is paid 25% from ABC, 25% from XYZ, and 50% departmental funds

If the work associated with departmental funding takes place in other space (e.g., office, seminar room),

Code lab space as 100% “Organized Research”

If the work associated with departmental funding is performed in the lab,

Code lab space as 50% “Organized Research”

50% “Department Research”

Example #3Lab is used for work on NIH research awards as well as “exploratory/start-up research”

Lab occupants and funding sources:

- PI paid on 25% on NIH award – works in lab in summer and 1 day/week during academic year (0.3 FTE)

- 2 FT technicians paid 100% from NIH research awards (2 FTE)

- 1 FT post doc paid 80% from NIH research award and 20% from departmental research funds (1 FTE)

- 1 unpaid undergraduate student – worked in the lab 12 hours/week during the Spring semester for academic credit (0.1 FTE)

- 1 unpaid student intern – worked 25 hours/week for 8 weeks in summer (0.1 FTE)

- Visiting faculty not paid by the University who spent 50% of time for entire fiscal year in this lab (0.5 FTE)

3.05 FTE Research / 4 Total FTE = ~ 80% Organized Research

100% ORGANIZED RESEARCH ROOMS

Federal government negotiators pay particular attention to rooms coded as 100% OR.A “yes” response to any of the following usually indicates that a room should not be coded 100% OR:

• Are there any unpaid students or students paid from general institutional funds who use the room?

• Are there any undergrad students working on projects for academic credit (e.g., senior projects, honors thesis)

• Are there any non-research lab tests performed in the room?

• Does the room house visiting personnel (e.g., professors, scientists, students) who are not paid by the University?

• Does the PI meet with students in the room?

STUDENTS

(Graduate, Undergrad, & high school)

Frequently occupy laboratory space where organized research activity is performed.Functional usage of space must follow classification of funding.

• If students are paid from research grants/contracts or supported by research training grants/fellowships, the space should be coded OR (R).

• If students are not paid or if students are supported with institutional funds, the space should be coded as Instruction/Department Research (I).

If names are not in drop-down list, identify names in “Comments” section of room survey form and indicate extent of time spent in labsMay only be present a small portion of the year – indicate frequency of presence in “Comments” section.

ARBITRARY CODING OF ROOMS

Federal Government negotiators pay particular attention to rooms which appear to be coded arbitrarily (e.g. all labs in department coded 90% OR/10% INST).Avoid falling into a pattern of assigning rooms arbitrarily without careful consideration of the actual activities and functions being performed in each room (or room cluster) and the funds supporting the activity.

Project Timeline

Important Dates:

On-line survey process must be completed by 04/30/2013.

Quality assurance review of survey results will be performed during May through July.

Location of the web-based space survey application

www.attainspace.com

Survey Status

Remaining – Room record has not been updated and saved since import.

In Progress – Room record has been updated and saved, but has not passed the validation rules.

Accepted – Room record has been updated, saved and has passed the validation tests.

All rooms must be in “Accepted” category for survey to be complete.

Business Rules

Room functional usage must total 100%.

All rooms with a percentage identified to OR or OSA must have at least one project listed that has a corresponding function code.

In addition to a valid account, all research labs with a percentage identified to OR or OSA must have a least one occupant listed who is funded from an project that has a corresponding function code.

• Must satisfy all three business rules to move to “Accepted” category.

• Accepted rooms subject to further quality assurance review procedures

Home page

Status At A Glance

Space Administration• Add Room Transfer• Delete Room Transfer

Survey Status Page

Status At A Glance

Block Code Tool

Room Survey Form• Room Description and Demographic Information• Functional Usage• Activity / Occupant Information• Comments• Quality Assurance Warnings / Business Rules

Reports Page

Supporting Information Report

Account Report

Employee/Occupant Report

Cost Pool Code Report

Room Type Report

Sponsored Accounts NOT Assigned to Rooms

People Paid From Sponsored Account but NOT Assigned to Rooms

Getting Started

Print Supporting Information Report

Review to confirm that the room list is accurate and complete

Distribute report to PI’s for input regarding occupants and projects

Print Account Report and record the room(s) associated with the project

Print Employee Report and record the room(s) where the person worked – e.g., labs, lab support areas, offices

Block Code all rooms that are Department Administrative, Instructional, or Joint Use in nature

This will reduce the workload and will allow the departmental survey coordinator to focus on Sponsored Research areas

Hmm…

Questions

university of new hampshire fiscal year 2013 space inventory and functional usage study information...

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