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University of New Hampshire Fiscal Year 2013 Space Inventory and Functional Usage Study Information Session Presented by Attain LLC March 2013.

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Presentation on theme: "University of New Hampshire Fiscal Year 2013 Space Inventory and Functional Usage Study Information Session Presented by Attain LLC March 2013."— Presentation transcript:

1 University of New Hampshire Fiscal Year 2013 Space Inventory and Functional Usage Study Information Session Presented by Attain LLC March 2013

2 © 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 2 Session Overview

3 © 2012 Attain, LLC 3 Project Team

4 © 2012 Attain, LLC 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 4

5 © 2012 Attain, LLC UNH Administration (Cont.) Working Committee Tammy Goldberg Tracy Boyle David Browning Kerry Scala Scott Towle Attain, LLC Project Team 5

6 © 2012 Attain, LLC 6 Background

7 © 2012 Attain, LLC 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. 7 Background

8 © 2012 Attain, LLC 8 Background Calculating the F & A Rate F & A Costs Overhead costs incurred to support Research activities: Depreciation of Buildings & Equipment Operation & Maintenance Expenses Interest Expense Library Administrative Services Direct Costs Costs 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%

9 © 2012 Attain, LLC Current Research Rate at UNH (FY 13): On-Campus:47% Building Depreciation2.6% Equipment Depreciation1.4% Interest0.7% Operations and Maintenance12.8% Subtotal17.5% Library3.5% Administrative Component26.0% Off-Campus: 26.0% Background 9

10 © 2012 Attain, LLC 10 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

11 © 2012 Attain, LLC 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. 11 Background

12 © 2012 Attain, LLC 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). 12 Background

13 © 2012 Attain, LLC 13 Space Study Procedures

14 © 2012 Attain, LLC Space Study Procedures Determine Functional Use Determine Functional Use Identify Projects & Occupants Identify Projects & Occupants Attain Quality Review Reconcile the Space (Physical Area, Floor Plans, Room List) Reconcile the Space (Physical Area, Floor Plans, Room List) Survey Complete! 14 Validate Room Demographics Validate Room Demographics

15 © 2012 Attain, LLC Critical Success Factors First hand knowledge of how the space was used during fiscal year 2013 (7/1/ /30/2013) An understanding of the activities performed in the room Information on funding sources related to the activities for the space (grants, contracts, institutional funds, etc.) Access to the space and occupants of the space PI involvement Contact/meet with PIs to gather necessary information Space Study Procedures 15

16 © 2012 Attain, LLC 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 16

17 © 2012 Attain, LLC 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 PIs, list Multiple as the responsible person and identify each PI and the percentage related to each PI in the Comments section Space Study Procedures 17

18 © 2012 Attain, LLC 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 18 Space Study Procedures

19 © 2012 Attain, LLC 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. 19 Space Study Procedures

20 © 2012 Attain, LLC 20 Functional Usage Definitions

21 © 2012 Attain, LLC 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 UNHs space survey, you will be classifying activity using one or more of following functional categories: Organized Research Instruction/Department Research Other Sponsored Activities Departmental Administration Other Institutional Activities Service Centers Joint Use Vacant/Inactive Functional Usage Definitions 21 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.

22 © 2012 Attain, LLC 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 22

23 © 2012 Attain, LLC 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 ones 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 23

24 © 2012 Attain, LLC 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 24

25 © 2012 Attain, LLC 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 25

26 © 2012 Attain, LLC 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 26

27 © 2012 Attain, LLC 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 27

28 © 2012 Attain, LLC 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 28

29 © 2012 Attain, LLC 29 Guidelines for Selected Room Types

30 © 2012 Attain, LLC 30 Guidelines for Selected Room Types LABORATORIES (room type ) % of functional activity must be supported with project and occupant information If a single PI uses multiple labs and his/her research personnel are working on awards throughout labs, and its 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 ) 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 PIs, 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)

31 © 2012 Attain, LLC 31 Guidelines for Selected Room Types SERVICE CENTERS Assign to functions based on charges to users Examples 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 type Identify occupant(s) Must be classified as Joint Use CONFERENCE ROOMS & MULTI- PURPOSE ROOMS Confirm room type Must be classified as Joint Use

32 © 2012 Attain, LLC 32 Guidelines for Selected Room Types CLASSROOMS & TEACHING LABORATORIES Typically classified as Instruction If 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 SPACESpace devoted to the operation and administration of the main UNH libraries and branches of the main libraries Departmental libraries maintained with departmental budgets should be classified as Joint Use not LIBRARY

33 © 2012 Attain, LLC 33 Determining Functional Usage

34 © 2012 Attain, LLC 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 34 Determining Functional Usage

35 © 2012 Attain, LLC 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 35

36 © 2012 Attain, LLC 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 36

37 © 2012 Attain, LLC 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 37

38 © 2012 Attain, LLC 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 38

39 © 2012 Attain, LLC Lab Example #2 A 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 as100% Organized Research If the work associated with departmental funding is performed in the lab, then: Code lab space as50% Organized Research 50% Department Research Determining Functional Usage 39

40 © 2012 Attain, LLC Example #3 Lab 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 40

41 © 2012 Attain, LLC 41 Federal Review Issues

42 © 2012 Attain, LLC 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 35

43 © 2012 Attain, LLC 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 labs May only be present a small portion of the year – indicate frequency of presence in Comments section. Federal Review Issues 36

44 © 2012 Attain, LLC 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 37

45 © 2012 Attain, LLC 45 Project Timeline

46 © 2012 Attain, LLC Project Timeline 46 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.

47 © 2012 Attain, LLC 47 On-line Space Survey Process

48 © 2012 Attain, LLC Location of the web-based space survey application On-line Space Survey Process 48

49 © 2012 Attain, LLC 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 49

50 © 2012 Attain, LLC 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 50

51 © 2012 Attain, LLC Home page Status At A Glance Space Administration Add Room Transfer Delete Room Transfer On-line Space Survey Process 51

52 © 2012 Attain, LLC 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 52

53 © 2012 Attain, LLC 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 53

54 © 2012 Attain, LLC Getting Started Print Supporting Information Report Review to confirm that the room list is accurate and complete Distribute report to PIs 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 54

55 © 2012 Attain, LLC Hmm… Questions 55

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