Building a Sustainable Portfolio of Core...

BuildingaSustainablePortfolioofCoreFacilities

PhilHockberger,Ph.D.AssistantVicePresidentforResearch

AssociateDirectorofNUCATS

• SpecializedLaboratorywithunique(usuallyexpensive)instruments and/orservicesandthetechnicalexpertisetohandlethem;directorisPhDscientist

• OperatedasaRechargeCenter(feeforservice);internaluserspaywithgrants,contracts;externaluserspayhigherrates(F&Acharge,UBItaxes*)

• Regulated bythefederalgovernment;cannotserveasaprofitcenterfortheinstitution

• Mostfacilitiesdonotcovertheirexpenses;Subsidized bydepartments,schools,centersandOfficeforResearch

WhatisaSharedorCoreFacility?

*seeHockberger etal.J.Biomol.Tech.24:87-97,2013

• Providelocalexpertiseinabroadrangeoftechnologies

• Sharedcostofinstruments,servicesandtechnicalsupport

• Enableimmediateadviceandfastservices• Enhanceopportunitiesforinterdisciplinaryresearch• Teamscienceapproachtoproblemsolving• Efficient,cost-effectiveoperations

BenefitsofCoreFacilities

Evanstoncampus(12miapart)

Chicagocampus

ACaseStudy:TwoCampuses,57Facilities

CategoriesofCoreFacilitiesatNU• Physical Sciences & Engineering Cores (14)• Clinical Cores (9)• Imaging & Flow Cytometry Cores (7)• Tissue & Animal Phenotyping Cores (6)• Peptide/Protein Chemistry Cores (5)• Small Molecular Chemistry Cores (5)• General Services (4)• Informatics (4)• Genetics Cores (3)

Total = 57 facilities (42 provide annual reports to OR)

E

ENGINEERING CHEMISTRY BIOMEDICAL MEDICINE

BITC

MCCT

OUTCOMES

PATHOLOGY

ECLEANCAT

EIMSERC

BPC EBIF CAM

EDTCEFLOW

EKECKBIO

LS-CAT

MHPL

SDRCESTR BIO

TTML

ECLaMMP

DND-CAT

EKeck-II

ENUCAPT EOMM

ESPID

EX-RAY

ANTEC

University Core Facilities

STEMCELL

ENUFAB

ECHEMCOREEEPIC

EQBIC

PEPTIDE

EPROTEOMICS

NUSEQ

MICRO-SURGERY

CTI

ClinicalPharm

Biostat

ABBC

EHTAL

EELSC

ECRYOGENICS

Argonne Chicago Evanston Chicago/Evanston

E E

ERESEARCHSHOP

ErPPC

ECAMI

www.facilities.research.northwestern.edu

CoreExpendituresVaryWidely….

$0.00

$200,000.00

$400,000.00

$600,000.00

$800,000.00

$1,000,000.00

$1,200,000.00

$1,400,000.00

$1,600,000.00

0 5 10 15 20 25 30 35

IndividualCoresbyRechargeExpense(EndpointDataRemoved)

…AsDoTheirRecoveryRates

0

5

10

15

20

25

30

Under50%Recovery Between50%and60%Recovery

Between60%and70%Recovery

Between70%and85%Recovery

Over85%Recovery

HistogramofCoresbyRechargeCostRecovery

FY16FinancialSummary• Totalexpenditures:$23M• Totalinternalrevenue:$15M• Totalexternalrevenue:$2M• Averagerecoveryrate:77%• OperatingSubsidies/Transfers:$4.5M• EquipmentSupport:$1.5M• TotalInternalinvestment:$6M

ModelsofCFAdministration• Centralized• Decentralized• Blended- NorthwesternUniversity• Centralizedoversight&investment• Decentralizedmanagement• FacultyDirectors• OperationsDirectors(Managers)• FacultyAdvisoryCommittees

CentralizedCFAdministration

OfficeforResearch

InstitutionalPolicies ProgramReview Inter-InstitutionalInitiatives ComplianceaffectingCFs ofCoreFacilities - UniversityofChicago BusinessConsulting

- UniversityofIllinois,Chicago SupportServices- ArgonneNationalLabs Evaluation

CoreFacilitiesAdvisoryBoardCFDirector+2staff

• CentralAdministrativeSupport• BusinessandFinancialServices(NUcore)• RigorousEvaluationofAnnualReports(Awards)• OversightofPoliciesandRegulations(Federal,University)• MarketingandUIPartnerships• ProfessionalDevelopmentOpportunities

• CentralFinancialSupport• OR($2MinFY16)• Depts,Schools,Centers($4MinFY16)

• ConstructionandLabImprovements• SchoolsandOR($6MinFY17)

Oversight&InvestmentinCoreFacilities

• OfficeforResearch– EquipmentGrants:twocompetitiveroundsperyear,support

equipmentpurchasesupto$100K;ReLODE loanprogram– OperatingSupportGrants:requestinAnnualReport;support

expensesnotallowableonrecharge(grantwriting,teaching,techniquedevelopment)

– VoucherPrograms:whenaPIdonatesnew equipmenttoacorefacility,theyareeligibleforavouchertousetheequipment;start-upandretentionfundsspecificallyforuseofcorefacilities

• MedicalSchool– OperatingSupportGrants:requestinAnnualReport;competitive,

singleroundperyear;reducesratesforcoreservingFSMresearchers

Oversight&InvestmentinCoreFacilities

• ResearchFaculty=49• ResearchAssociates=20• PostdocTrainees=10• Sr.Technologist=5

Total=84 PhDs• Otherstaff=58

StaffinCoreFacilitiesatNU(forthe42thatsubmittedannualreportsinFY16)

Balancingact

• Technicalskills• Businessskills• Leadershipskills• ProfessionalDevelopment

EffectiveManagementrequires….

MetricsofEvaluation*• AnnualReports(standardized,requiredforsupport)• AnnualUniversity-wideUserSurvey• ProgramReviews(adhoc)• UsageandFinancialData

o NUcore(enterprisesystemsoftware)o COGNOSdatacube (AnalysisStudio)

• CFGrantsDatabaseo Equipmentgrants(NIH,NSF,DOD)o Summarystatements(AdobePortfolio)o P30grantsdatabase(NIH)

*seeTurpen,Hockberger etal.J.Biomol.Tech.27:25-39,2016

MetricsofEvaluationCAMFY2015ConsolidatedFinancialSummary

FY2012 FY2013 FY2014 FY2015PreviousYearCarryForward $56,087.51 $189,083.40 $156,625.21 $11,703.79InternalRechargeRevenue $322,350.82 $344,177.50 $322,709.70 $376,027.89ExternalRechargeRevenue $36,706.22 $15,587.89 $9,202.85 $12,000.21TotalRevenue $359,057.04 $359,765.39 $331,912.55 $388,028.10SalaryandFringe $220,037.31 $299,214.85 $391,421.87 $409,440.25EquipmentDepreciation $0.00 $0.00 $0.00 $0.00ServiceContracts $79,779.75 $64,952.95 $71,150.70 $54,672.68SuppliesandServices $117,656.09 $88,055.78 $105,761.40 $35,872.73TotalExpenses $417,473.15 $452,223.58 $568,333.97 $499,985.66Subsidy/Transfer $191,412.00 $60,000.00 $91,500.00 $198,491.00PercentageRecovered 86% 80% 58% 78%NetRechargePosition $189,083.40 $156,625.21 $11,703.79 $98,237.23

OREquipmentGrantFunding $360,000.00 $0.00 $120,577.00 $134,290.00OROperatingSupport $6,000.00 $2,000.00 $2,000.00 $0.00FSMDean'sOfficeSupport $60,000.00 $60,000.00 $147,500.00 $147,500.00Grant,Center/DepartmentSupportTotalSupport $426,000.00 $62,000.00 $270,077.00 $281,790.00

NumberofUnits/DepartmentsServed 57 53 55 55NumberofPrincipalInvestigatorsServed 183 210 224 225

$0.00

$100,000.00

$200,000.00

$300,000.00

$400,000.00

$500,000.00

$600,000.00

FY2012FY2013FY2014FY2015

MetricsofEvaluationCenterforAdvancedMicroscopy(CAM)- 2016OperationsEvaluation

Administration: Excellent - Gelfand (FD,10%effort)andRappoport (OD,100%);administrativesupportprovidedbyBSA;advisorycommitteemettwice,notesinAppendix;researchsafetycertification(NSIS)notmentioned;BusinessContinuityPlanupdatedin2016,butstaffnotlisted

ResearchandTechnicalStaff:Outstanding – Rappoport (PhD,100%,ResearchAssociateProfessor)hasprovenexpertiseinopticalandelectronmicroscopies;Arvanitis (PhD,100%,ResearchAssistantProfessor),managerofNikonImagingCenter(40%);Korobova (PhD,100%,ResearchAssistantProfessor)andReynolds(100%,EMTechnologist)providedEMexpertise;Liu(MD,100%,ResearchAssistant)providedsupportforopticaltechnologies;excellentprofessionaldevelopmentactivitiesforRappoport (6publications,4invitedlectures,3webinars,reviewerof4grants,ORreviewpanelforReLODE andCFAdvisoryBoardmember,DataScienceCommittee),Arvanitis (1publication,attendedCBCworkshop,participatedinABRFLMRGbenchmarkingstudy;Korobova (BIFtraining,grantwritingforORequipmentgrant,LewLandsberg Day,CBCMircoscopy Workshop,demos,1publication;Liu(CBCWorkshop,1webinar,1seminar,1publication);Reynolds(JEOLdemo,certificationasEMTechnologist)

ResourceManagement:Outstanding – FY15recharge:expense ratio=78%(thirdquintile);additionalrevenuefromNikonandCancerCenter;3instrumentationgrantsfunded;NIHSIGsubmission;ODonPenzes grant;CBCworkshopgrant

MetricsofEvaluationCenterforAdvancedMicroscopy(CAM)- 2016OperationsEvaluation

CustomerBase &Satisfaction:VeryGood– medium($376Kinternal,$12Kexternal),diversebase;usersurvey=4.37(rank24);noresponsetousercomments/results

CustomerPublicationsandGrants:Outstanding - 60pub’s;78grantssubmitted,27awarded

Educational&OutreachActivities:Outstanding - a)Education– ODlecturedinDataSciencecourseandBME333,taughtone-weekmicroscopecourse;Arvanitis lecturedinCellBiologyandDataSciencecourses;employed3work-studystudents;b) Outreach-outstandinglistofactivitiesincludinghosting3seminarspeakers,andnumerousactivities;posteratLewLandsberg Day;multipledemos,includingOlympusDSUforCameasurements

CommunicationofServices:Excellent - a)Facilitywebsite:Excellent,updatesnotmentionedinreport;b)ORwebsite:lastupdatedon6/29/16byCAM,resourceslisted,butupdatesnotlistedinreport

Self-Assessment:Excellent – niceSWOTanalysisanddiscussionofneedsofkeystakeholders

MetricsofEvaluationComparisonacrosscorefacilities

AnnualOutstandingCoreFacilityAwards• Top10%offacilities• Placque• Luncheonforstaff• $2000supportforprofessionaldevelopment• PhotoandarticleinORNewsletter

MetricsofEvaluation

HowdowemeasureSuccess?

QualityStaff+AffordablePrices+SustainableServices=HappyResearchers

(andHappyAdministrators!)

Questions?