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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?