resource retreat 2016 - university of arizona · pdf fileresource retreat 2016, revised may 5,...

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


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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


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


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


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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


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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.


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?


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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?


Focus Points: Other Measures of Quality?

What other quantitative measures of quality do we want to focus on?


How about measures that combine areas for evaluating overall measures of quality?


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


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.


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?


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.

http://cals.arizona.edu/cbs


Page 13 of 34

University Financial Summaries

UA


Page 14 of 34

UA


Page 15 of 34


Page 16 of 34

CALS Financial Summaries

College State General Fund versus Expenditures


Page 17 of 34

College State General Fund versus Budgets


Page 18 of 34

CALS Fund Sources


Page 19 of 34

CALS T&R Fund Sources by Unit Group


Page 20 of 34

CALS CES Fund Sources by Unit Group


Page 21 of 34

CALS CES Fund Sources by County


Page 22 of 34

Trend of Budgets for State and Locally Allocated Accounts


Page 23 of 34

Trend of Research Expenditures

Trend of F&A Recovery Generated


Page 24 of 34

Trend of Grants & Contracts Awards


Page 25 of 34

RCM-Based Productivity


Page 26 of 34


Page 27 of 34

Arizona Experiment Station (AES)

Focus Points: What is the Value of AES?


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%


Page 29 of 34

Supporting Documents

DRAC ICR Distribution Strategy


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

http://www.cals.arizona.edu/dean


Page 31 of 34

Steering Committee’s Guiding Principles of RCM


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”


Page 33 of 34

Unit Heads’ Activity-Based Budgeting


Page 34 of 34

CALS Budget Reduction Guiding Principles