university of new hampshire fiscal year 2013 space inventory and functional usage study information...
TRANSCRIPT
University of New Hampshire
Fiscal Year 2013
Space Inventory and Functional Usage Study
Information Session
Presented by
Attain LLC
March 2013
© 2012 Attain, LLC
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
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Session Overview
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Project Team
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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
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UNH Administration (Cont.)• Working Committee
• Tammy Goldberg• Tracy Boyle• David Browning• Kerry Scala• Scott Towle
Attain, LLC
Project Team
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Background
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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.
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Background
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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%
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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
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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
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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.”
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Background
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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).
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Background
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Space Study Procedures
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Space Study Procedures
Determine Functional Use
Identify Projects & Occupants
Attain Quality Review
Reconcile the Space (Physical Area, Floor Plans,
Room List)
Survey Complete!
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Validate Room Demographics
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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
Space Study Procedures
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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
Space Study Procedures
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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
Space Study Procedures
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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
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Space Study Procedures
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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.
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Space Study Procedures
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Functional Usage Definitions
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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
Functional Usage Definitions
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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.
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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.
Functional Usage Definitions
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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.
Functional Usage Definitions
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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.
Functional Usage Definitions
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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
Functional Usage Definitions
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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.
Functional Usage Definitions
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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.
Functional Usage Definitions
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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.
Functional Usage Definitions
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Guidelines for Selected Room Types
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Guidelines for Selected Room Types
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)
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Guidelines for Selected Room Types
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
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Guidelines for Selected Room Types
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”
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Determining Functional Usage
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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
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Determining Functional Usage
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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.)
Determining Functional Usage
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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
Determining Functional Usage
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Lab Example #1a
If technicians or students in a research lab are working on Organized Research projects
and
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)
then
Code space they use in the labs as “Organized Research”
Determining Functional Usage
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Lab Example #1b
However, if technicians or students in a research lab are working on Organized Research projects
and
their salary is wholly or partially paid from department / institutional funds (and is not reported as cost sharing on an Organized Research project),
then
Code space used for the work paid with departmental / institutional funds as “Department Research”.
Determining Functional Usage
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Lab Example #2A research lab with only one occupant is used for work on NIH Research Awards ABC and XYZ
and
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),
then:
Code lab space as 100% “Organized Research”
If the work associated with departmental funding is performed in the lab,
then:
Code lab space as 50% “Organized Research”
50% “Department Research”
Determining Functional Usage
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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
Determining Functional Usage
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Federal Review Issues
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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?
Federal Review Issues
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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.
Federal Review Issues
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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.
Federal Review Issues
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Project Timeline
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Project Timeline
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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.
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On-line Space Survey Process
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Location of the web-based space survey application
www.attainspace.com
On-line Space Survey Process
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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.
On-line Space Survey Process
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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
On-line Space Survey Process
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Home page
Status At A Glance
Space Administration• Add Room Transfer• Delete Room Transfer
On-line Space Survey Process
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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
On-line Space Survey Process
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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
On-line Space Survey Process
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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
On-line Space Survey Process
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Hmm…
Questions
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