resource retreat 2016 - university of arizona · pdf fileresource retreat 2016, revised may 5,...
TRANSCRIPT
Resource Retreat 2016
CALS Business Services & Data Solutions Team
Revised May 5, 2016
Resource Retreat 2016, Revised May 5, 2016
Page 1 of 34
Table of Contents
Getting the Big Picture into Focus .................................................................................................................................... 3
What Are Our Strategies, Tactics, and Goals? ..................................................................................................... 3
Focus Points ..................................................................................................................................................................... 4
Academic Perspective of Productivity .................................................................................................................. 4
Business Perspective of Productivity .................................................................................................................... 4
Sources and Uses Related to Activities ................................................................................................................. 5
Defining Measures of Productivity ................................................................................................................................... 6
Considerations for Quantitative Measures .......................................................................................................... 6
Time Frame and Timing .............................................................................................................................................. 6
Instruction Measures & Definitions ....................................................................................................................... 7
Focus Points: What is Instruction Quality? ......................................................................................................... 7
Research Measures & Definitions ........................................................................................................................... 8
Focus Points: What is Research Quality? ............................................................................................................. 8
Focus Points: Other Measures of Quality? ........................................................................................................... 8
Reporting and Tools to Measure Achievement of Goals .......................................................................................... 9
Reporting Differences: ABOR, DSDS, RCM, and Performance Guide ........................................................ 9
How Funds Flow to the College .............................................................................................................................. 10
How RCM Works .......................................................................................................................................................... 10
Institutions with RCM or RCM-Like Models...................................................................................................... 11
RCM Stops at the College Level .............................................................................................................................. 11
Focus Points: What Measures or Tools Do You Recommend? .................................................................. 11
Reports & Analyses ............................................................................................................................................................... 12
Find Data and Reports: http://cals.arizona.edu/cbs .................................................................................... 12
Examples of Interactive Reports ........................................................................................................................... 12
Considerations .............................................................................................................................................................. 12
Provide Feedback or Get Additional Analyses and Data.............................................................................. 12
University Financial Summaries ..................................................................................................................................... 13
CALS Financial Summaries ................................................................................................................................................ 16
College State General Fund versus Expenditures ........................................................................................... 16
College State General Fund versus Budgets ...................................................................................................... 17
CALS Fund Sources ...................................................................................................................................................... 18
Resource Retreat 2016, Revised May 5, 2016
Page 2 of 34
CALS T&R Fund Sources by Unit Group.............................................................................................................. 19
CALS CES Fund Sources by Unit Group ............................................................................................................... 20
CALS CES Fund Sources by County ....................................................................................................................... 21
Trend of Budgets for State and Locally Allocated Accounts ...................................................................... 22
Trend of Research Expenditures ........................................................................................................................... 23
Trend of F&A Recovery Generated ....................................................................................................................... 23
Trend of Grants & Contracts Awards ................................................................................................................... 24
RCM-Based Productivity ........................................................................................................................................... 25
Arizona Experiment Station (AES) ................................................................................................................................. 27
Focus Points: What is the Value of AES? ............................................................................................................. 27
Agricultural Experiment Station Splits ............................................................................................................... 28
Models & Calculators ........................................................................................................................................................... 28
F&A Allocation Scenarios Model ............................................................................................................................ 28
Strategic Budget Cut Model - Draft ....................................................................................................................... 28
Supporting Documents........................................................................................................................................................ 29
DRAC ICR Distribution Strategy ............................................................................................................................. 29
History of Budget Cuts by College ......................................................................................................................... 30
Shared Governance Feedback on Budget Planning ....................................................................................... 30
Operating & Performance Guide ............................................................................................................................ 30
Ventures & Subsidies: Listing by Unit ................................................................................................................. 30
Business Manager Roles in an Entrepreneurial Model ................................................................................ 30
Teaching Load Methodology: How Credit is Distributed for SCH in RCM ............................................ 30
Steering Committee’s Guiding Principles of RCM ........................................................................................... 31
Dean Burgess Email: RCM2 Doesn’t Matter ...................................................................................................... 32
On Not Devolving RCM Inside CALS ..................................................................................................................... 32
Dean Burgess Memo: Unit Management and Leadership ........................................................................... 32
Unit Heads’ Activity-Based Budgeting ................................................................................................................ 33
CALS Budget Reduction Guiding Principles ...................................................................................................... 34
Resource Retreat 2016, Revised May 5, 2016
Page 3 of 34
Getting the Big Picture into Focus
What Are Our Strategies, Tactics, and Goals?
Examples
Roles Strategy Tactics Implementation Goals/Mission
Leadership CALS Strategic Plan
Leaders in Disciplines
Institutional Plan: ABOR 2020
Instruction Growth
Research Growth
Increase Revenue from Research Activities
Hiring Plans
Strategically Hiring
MME
Training
Workshops
Organization
Recruitment
Impactful Research
Quality Academic Programs
Arizona Economic Development
In-Demand Graduates
STEM-Focused Growth
Interesting & Engaging Disciplines
Faculty & Staff
Budgets
Ventures
Subsidies
Unit Performance Benchmarks
Programs Responding to Community Needs
Retention & Graduation Rates
Curriculum Management
Mentorships
Research
Innovations
Royalties
Patents
Publishing
Teaching
Start-Up Companies
Resource Retreat 2016, Revised May 5, 2016
Page 4 of 34
Focus Points
What is Transparency?
What is an Academic Leader?
How Do We Measure the Achievement of Goals?
Quantitative measures provide gauges of how close we are to achieving our goals and mission.
They enable handling of tactics to grow, manage, maintain, and leverage our resources.
How do we know we met the goal? What do you think?
Academic Perspective of Productivity
Business Perspective of Productivity
Resource Retreat 2016, Revised May 5, 2016
Page 5 of 34
Sources and Uses Related to Activities
Instruction Activity Research Activity Extension Activity
Sources
Revenues
Fall/Spring and On-
Campus/iCourse majors
and enrollments
Program Fees &
Differential Tuition
UA Online, Outreach
College, and Distance
Learning
Summer/Winter Session
Course Fees
Minors
Certificates
Fee-Based Workshops
F&A Recovery
Grants & Contracts
Intellectual Property
Community Engagement
Fee-Based Workshops
F&A Recovery
Grants & Contracts
Fee-Based Workshops
(Cost Recovery)
Community Engagement
Gifts/Donations
In-Kind Contributions
Uses
Expenses
Employees: Instructors;
GAs/TAs; Administrative
Support; Others
Operations & Space
Student Funding
Recruitment
Employees: Investigators;
RAs; Administrative
Support; Others
Operations & Space
Foregone F&A
Cost Sharing
Employees: Specialists,
Agents, Administrative
Support
Program Support
Operations & Space
Equipment
Cost Sharing
Others
Resource Retreat 2016, Revised May 5, 2016
Page 6 of 34
Defining Measures of Productivity
Considerations for Quantitative Measures
Quantitative measures of productivity that are used primarily include Instruction and Research.
These are definitions on measures that are already being used and ones you should know.
Time Frame and Timing
The time frame of data puts all data points in alignment. Examples of time frames: Calendar
Year, Fiscal Year, and Academic Year.
The timing of data is either on a snapshot or current/“live” data. Snapshots are used so that we
have consistent and falsifiable observations to measure productivity. Examples of snapshots:
Fiscal Year Start/End, Fall/Spring Census, and Calendar Year Start/End.
Resource Retreat 2016, Revised May 5, 2016
Page 7 of 34
Instruction Measures & Definitions
Flow of Student Careers
Student Credit Hours (SCH): Course Enrollment
o Teaching Load based upon the number of units that instructors teach to majors,
minors, or basically any student contributing to the pool of tuition dollars collected
by the University
Active or Enrolled Students or Majors
o Active: number of students or majors assigned to an area of interest (Academic Plan
or “Major”) in a particular college and department
o Enrolled: number of students or majors enrolled in credit-bearing courses and
assigned to an area of interest (Academic Plan or “Major”) in a particular college and
department
Graduation Rate
o Percentage of first-time full-time non-transfer freshmen who complete a degree at
the University; the rate is attributed to the unit of the degree’s Academic Plan
Completion Rate (Not Graduation Rate)
o Percentage of first-time students who start and complete a degree in a particular academic plan within a unit (often a program-level measure)
Retention Rate
o Percentage of first-time, first-year undergraduate students who continue into the
next year
Degrees Awarded o Number of degrees awarded by the University to students in a particular time span
Degrees Completed o Number of degree plans completed by students in a particular time span
Focus Points: What is Instruction Quality?
Which quantitative measures of Instruction do we want to focus on? Are there others?
How about qualitative measures?
Resource Retreat 2016, Revised May 5, 2016
Page 8 of 34
Research Measures & Definitions
Awards o Amount of money sponsoring agencies awarded to us from proposals
Research Expenditures from Grants & Contracts o Amount spent using funds from Grants & Contracts
Research Expenditures from All Fund Sources o Amount spent using funds from Research branch accounts
Modified Total Direct Costs (MTDC) o Amount of money spent from Grants & Contracts in a period of time, excluding any
money spent on categories determined as not utilizing University resources
Facilities & Administrative (F&A) Cost Recovery o Amount of money the College gets from the F&A recovered on expenses to cover use
of University resources
75% of F&A money is taken by the University to recover costs of resources.
25% is returned to the colleges to recover their costs of resources. These
funds help maintain our resources. The College distributes 40% of the
remaining amount to Units.
Focus Points: What is Research Quality?
Which quantitative measures of Research do we want to focus on? Are there others?
How about qualitative measures?
Focus Points: Other Measures of Quality?
What other quantitative measures of quality do we want to focus on?
How about qualitative measures?
How about measures that combine areas for evaluating overall measures of quality?
Resource Retreat 2016, Revised May 5, 2016
Page 9 of 34
Reporting and Tools to Measure Achievement of Goals
Reporting Differences: ABOR, DSDS, RCM, and Performance Guide
ABOR Metrics RCM Metrics
Mission National Competitiveness of UA
Transparency
Accountability
Responsibility
Scope Range National - University University - College
Primary
Stakeholders
ABOR
Provost
Dean
Provost
Dean
Unit Heads
Primary
Users
Academic Services
Institutional Research
Regents & Staff
Deans
Provost
Goal Steer University Productivity and
Resources Effectively Manage Resources from
State, Tuition, and F&A Recovery
Primary
Measures
Students
Degrees Awarded
Research Activity
Public Service Activity
Budgets and Other
SCH
Majors (Not Students)
MTDC and F&A
Space
Budgets and Other
Timing Census Dates / Fiscal Year Fiscal Year
Reports Decision Support Data System (RCM)
ABOR Dashboards
Performance/Operating Guide
RCM Dashboards
Resource Retreat 2016, Revised May 5, 2016
Page 10 of 34
How Funds Flow to the College
How RCM Works
Rules for SCH Credit
Typical flow of SCH credit goes to o the unit(s) owning the course, or
o the unit(s) funding the instructor
Undergraduate SCH is worth 75% of total tuition collected
Graduate SCH is worth 25% of total tuition collected o Interdisciplinary and non-degree seeking students are worth 100% SCH
See the Supporting Documents for more details
Rules for Major Credit
Undergraduate majors are worth 25% of the total tuition collected
Graduate majors are worth 75% of the total tuition collected o Interdisciplinary and non-degree seeking majors are not credited as majors
Majors can be counted twice if active in both Fall and Spring
Rules for F&A/MTDC Credit
College receives 25% of the F&A earned
Rules for Space
RCUs and Service Units that “sell” space are incentivized by a reduction in costs in the following
fiscal year. RCUs and Service Units that “buy” space assume an additional cost in the following fiscal
year. The cost is currently $25.19 per square foot, per fiscal year. This rate will be held constant for
three years. All exchanges of space must be formally recorded by Real Estate Administration and
approved by the Provost’s Office. The financial issues associated with space do not directly impact
units within CALS.
Resource Retreat 2016, Revised May 5, 2016
Page 11 of 34
Institutions with RCM or RCM-Like Models
Members of the Association of American Universities (AAU) are bold and larger.
RCM Stops at the College Level
RCM stops at the College. It does not flow to the Units.
See the Supporting Documents for a memo titled Provost Comrie: RCM should not flow to units.
See the Supporting Documents for a memo titled Dean Burgess Email: RCM2 Doesn’t Matter.
Focus Points: What Measures or Tools Do You Recommend?
We have goals related to ABOR and RCM. We also have our own internal goals.
We have many tools and measures. They all have limitations. But, these limitations should not
stop us from utilizing them. Which do you recommend to use?
Resource Retreat 2016, Revised May 5, 2016
Page 12 of 34
Reports & Analyses
Find Data and Reports: http://cals.arizona.edu/cbs
Examples of Interactive Reports
ABOR Metrics
Majors – Census Snapshot of Enrollment Trends
Student Credit Hours (SCH) – Census Snapshot of Trends
Productivity on MTDC & SCH
Department & Investigator Research Productivity
Planned Personnel Effort / FTE Splits
Considerations
The data sets in the dashboards come from all of the UAccess enterprise systems.
Provide Feedback or Get Additional Analyses and Data
Contact the Data Solutions Team.
Resource Retreat 2016, Revised May 5, 2016
Page 13 of 34
University Financial Summaries
UA
Resource Retreat 2016, Revised May 5, 2016
Page 14 of 34
UA
Resource Retreat 2016, Revised May 5, 2016
Page 15 of 34
Resource Retreat 2016, Revised May 5, 2016
Page 16 of 34
CALS Financial Summaries
College State General Fund versus Expenditures
Resource Retreat 2016, Revised May 5, 2016
Page 17 of 34
College State General Fund versus Budgets
Resource Retreat 2016, Revised May 5, 2016
Page 18 of 34
CALS Fund Sources
Resource Retreat 2016, Revised May 5, 2016
Page 19 of 34
CALS T&R Fund Sources by Unit Group
Resource Retreat 2016, Revised May 5, 2016
Page 20 of 34
CALS CES Fund Sources by Unit Group
Resource Retreat 2016, Revised May 5, 2016
Page 21 of 34
CALS CES Fund Sources by County
Resource Retreat 2016, Revised May 5, 2016
Page 22 of 34
Trend of Budgets for State and Locally Allocated Accounts
Resource Retreat 2016, Revised May 5, 2016
Page 23 of 34
Trend of Research Expenditures
Trend of F&A Recovery Generated
Resource Retreat 2016, Revised May 5, 2016
Page 24 of 34
Trend of Grants & Contracts Awards
Resource Retreat 2016, Revised May 5, 2016
Page 25 of 34
RCM-Based Productivity
Resource Retreat 2016, Revised May 5, 2016
Page 26 of 34
Resource Retreat 2016, Revised May 5, 2016
Page 27 of 34
Arizona Experiment Station (AES)
Focus Points: What is the Value of AES?
Resource Retreat 2016, Revised May 5, 2016
Page 28 of 34
Agricultural Experiment Station Splits
Models & Calculators
F&A Allocation Scenarios Model
Refer to the file named: “FA Allocations Scenarios Tool.xlsx”
Strategic Budget Cut Model - Draft
Refer to the file named: “FY16 College Cut Modeling Revised.xlsx”
Percentage Splits to Academic Departments per AES Unit in Fiscal Year 2016
Academic
Department Tucson Maricopa Safford VV-Ranch Yuma Arboretum AZ VDL
ABE 7% 10% 10% 0% 20% 0% 0%
ACBS 30% 0% 0% 55% 0% 0% 100%
ENTO 5% 40% 0% 0% 30% 0% 0%
PLS 34% 12% 25% 0% 40% 100% 0%
SNRE 14% 0% 0% 40% 0% 0% 0%
SWES 10% 38% 65% 0% 10% 0% 0%
AREC 0% 0% 0% 5% 0% 0% 0%
Total 100% 100% 100% 100% 100% 100% 100%
Resource Retreat 2016, Revised May 5, 2016
Page 29 of 34
Supporting Documents
DRAC ICR Distribution Strategy
Resource Retreat 2016, Revised May 5, 2016
Page 30 of 34
History of Budget Cuts by College
Refer to the file named: “History of Reductions FY02 to FYXX.xls”
Shared Governance Feedback on Budget Planning
http://www.cals.arizona.edu/dean
Operating & Performance Guide
Refer to the file named: “Performance Guide - Fiscal Year 2016 Projection.xlsx”
Ventures & Subsidies: Listing by Unit
Refer to the file named: “Ventures and Subsidies List.pdf”
Business Manager Roles in an Entrepreneurial Model
Refer to the file named: “RCM Business Management.pdf”
Teaching Load Methodology: How Credit is Distributed for SCH in RCM
Resource Retreat 2016, Revised May 5, 2016
Page 31 of 34
Steering Committee’s Guiding Principles of RCM
Resource Retreat 2016, Revised May 5, 2016
Page 32 of 34
Dean Burgess Email: RCM2 Doesn’t Matter
On Not Devolving RCM Inside CALS
A major tenant in Responsibility Center Management: A Guide to Balancing Academic
Entrepreneurship with Fiscal Responsibility (pages 128 - 129) states that pooling resources and risks
at the RCU level reduces the overall focus on money that can occur from a heightened awareness of
resource allocations. Also, this dampens the volatility from affecting individual units.
This requires setting priorities as an enterprise and employing simple formulas that drive the RCU
towards its ABOR metrics and Never Settle goals. The focus should be on the mission and vision of
the UA and CALS – never blindly following a formula. As managers, we are accountable for our
decisions regardless what the formula tells us.
Dean Burgess Memo: Unit Management and Leadership
Refer to the file named: “Unit Management and Leadership.pdf”
Resource Retreat 2016, Revised May 5, 2016
Page 33 of 34
Unit Heads’ Activity-Based Budgeting
Resource Retreat 2016, Revised May 5, 2016
Page 34 of 34
CALS Budget Reduction Guiding Principles