U.S. Geological Survey Instructional Memorandum
No: APS 2004-03
Issuance Date: December 15, 2003
Expiration Date: September 30, 2004
Subject: Facilities Allocation Plan
1. Purpose. The purpose of this memorandum is to describe the responsibilities and procedures for developing the current year Facilities Allocation Plan. The plan will provide cost-center detail on expected recurring facilities costs and all fund sources (Facilities Budget Activity appropriation funding, reimbursements, and program funding) and funded deferred maintenance and capital improvement projects. The Plan provides the framework for allocating funds, monitoring expenses, and effecting changes during the year.
2. Background. Annually, the Bureau Facilities Program Coordinator issues a request for facilities cost estimates for the prior year, current year, and budget year (e.g. for the fiscal year 2005 budget request, prior year is 2003, current year is 2004 and budget year is 2005). Field cost center plans roll up to regional plans; national cost center and bureau cost centers roll up to discipline headquarters plans; all of which roll up to the bureau Facilities Allocation Plan. The current year cost estimates are used to prepare the first section of the Facilities Allocation Plan. After the initial cost estimates are established, determination is made of the appropriated and reimbursable customer’s share. Facilities costs are then monitored throughout the fiscal year to ensure that the expenses are appropriately charged to the approved fund sources.
3. Responsibilities for Preparing the Facilities Allocation Plan.
A. Chief, Office of Administrative Policy and Services (APS)
(1) The Bureau Facilities Program Coordinator (Bureau PC), who is the Chief, Office of Management Services (OMS): (a) issues annual guidance for the facilities cost estimates request, reviews cost information, and provides the cost information for the bureau Facilities Allocation Plan (FAP); (b) oversees and provides guidance throughout the development of the bureau FAP, and consolidates region and discipline headquarters FAPs; and (c) determines the distribution of the Facilities Budget Activity (FBA) to the regions (for field centers) and the discipline headquarters (for bureau and national centers)
(2) The Office of Management Services: (a) provides assistance to the Bureau PC and Senior Management Advisors in the preparation of the cost component of the discipline headquarters FAP; and (b) coordinates and manages collection of the space inventory and facilities cost data.
(3) The Office of Fiscal Services provides assistance to the Bureau PC and Senior Management Advisors in identifying the appropriated versus reimbursable fund sources for the discipline headquarters FAP.
B. Regional Directors approve their respective regional FAP.
(1) Regional Facilities Program Coordinators (Regional PCs) are the Chiefs, Office of Regional Services. They oversee and provide guidance throughout the development of the regional FAP, and consolidate cost center FAPs into the regional FAP. The Regional PCs work with the Regional Executives to determine the distribution of the Facilities Budget Activity (FBA) to the field cost centers.
(a) Chiefs, Branch of Management Services oversee preparation of the cost component of the Regional FAP; and coordinate and manage collection of the space inventory and facilities cost data.
(b) Chiefs, Branch of Fiscal Services: (i) assist the Regional Director and the Regional PC in determining the FBA funding targets and calculating the reimbursable funding estimate, and assist Regional Management Officers and the Cost Centers in determining the program funding estimate; (ii) ensure that facilities accounts are established and fully funded; and (iii) oversee the cost centers’ distribution of facilities costs to projects, and the proper recording in the Federal Financial System (FFS) of facilities costs.
(2) Regional Executives (REXs), as line managers, approve the field cost centers’ FAP, and work with the appropriate Associate Director in obtaining changes to designated program funding for appropriated funding shortfalls due to programmatic reasons and/or management priorities.
(a) Regional Management Officers (RMOs): (i) coordinate the development of the field cost centers’ FAP, with assistance from the Branch of Fiscal Services and the Branch of Management Services; and (ii) coordinate, when necessary on behalf of the REX, with Senior Management Advisors and the Associate Directors in obtaining changes to designated program funding.
(b) Cost Centers: (i) update facility cost estimates during annual request and prepare cost center common services workbook to distribute costs to projects; (ii) code accounts and funding sources for Facilities activities according to bureau facilities policies; and (iii) fully fund estimated facilities costs from each fund source, appropriated FBA funding, reimbursable funding, and program funding.
C. Associate Directors (ADs) approve the discipline headquarters FAP for the national centers; and work with the appropriate RD and REX in response to requests for changes to designated program funding for appropriated funding shortfalls due to programmatic reasons and/or management priorities.
(1) Senior Management Advisors (SMAs): (a) coordinate the development of the discipline headquarters FAP, with assistance from the Office of Fiscal Services and the Office of Management Services; and (b) coordinate, when necessary on behalf of the AD, with RMOs and the REXs in obtaining changes to designated program funding.
4. Facilities Allocation Plan (FAP) Process Flow – Program Element Rent (21000) and Operations and Maintenance (22000). The FAP has two major sections: (1) the cost data, including the cost center, location, and rent and operations and maintenance costs estimates; and (2) the funding sources information, including the FBA, program funding, and reimbursements recovered. See attached template. The two sections of these plans are completed as follows:
A. Prepare cost data information (part one of the template).
(1) Annually, the Bureau PC issues a request for updates to the facilities space inventory and cost estimates through the bureaus’ FBA On-Line web system. Facilities Cost Estimate Instructions are located on the Intranet at http://internal.usgs.gov/ops/oms/index.html. These costs estimates include a detailed distribution of costs for each building assignment and occupancy agreement to the cost center. The regional Branch of Management Services oversees the data collection, including the costs related to national centers. Cost estimates and space inventory are updated for the prior year, current year and budget year. NOTE: Cost center managers are responsible for obtaining prior approval for space increases from RDs or the bureau Investment Review Board, depending upon the dollar value of the agreement, lease or construction project.
(2) Cost estimates are reviewed by the bureau and regional management, including Regional PCs, REXs, and RDs. This step provides an opportunity for the REXs to begin negotiating with the appropriate AD for potential significant changes in the appropriated shortfall as a result of programmatic changes and/or management priorities.
(3) The Bureau PC will use the data from the FBA On-Line web system to populate Part 1 of the excel FAP template, for the region and discipline headquarters.
(4) The Bureau PC will distribute the Facilities Allocation Plans, with cost center cost estimates populated, to the RDs for regional plans and to the ADs for the headquarters/national plans.
(5) Simultaneously, the Bureau PC will provide initial FBA funding targets by region and discipline headquarters to the Regional PCs, RDs, ADs, and SMAs. The Facilities Budget Activity funding targets will be derived from the prior year allocations and the President’s Budget Request. Increases proposed for the FBA in the President’s Budget Request will be allocated to the regions based on a review of the cost estimates used to prepare the Presidents Budget and revised cost estimates. Only inflationary increases and increases approved by the USGS Investment Review Board or Regional Director will be included in the cost estimates. See approval thresholds in Survey Manual Chapter 205.12 Real Property Management, Attachment A, Section E "Acquisition of Space”http://www.usgs.gov/usgs-manual/200/205-12AppendixA.pdf .
(6) The Branch of Management Services (for the region field cost centers) and Bureau PC (for discipline headquarters cost centers) will ensure the FAPs reflect all facilities costs and all costs are accurately distributed to cost centers. A spreadsheet will be prepared by BMS that captures, by cost center, changes to prior year due to: (a) increased square footage; and (b) inflationary cost increases. Included in the spreadsheet, again by cost center, will be columns to reflect: (a) the Region/HQ budget request to the Budget Office; (b) the Bureau Budget Office’s submission to DOI/Congress; and (c) the amount received by the USGS in the final, approved appropriations bill. This information is provided to the Regional PCs, the Regional Fiscal Services offices, and the RMOs to be used as a management tool in determining a specific cost center’s FBA allocation.
(7) Regional PCs distribute the regional FAP (cost data) and funding targets to the REXs for field cost centers. The SMAs distribute the FAPs and funding targets to the discipline headquarters cost centers
B. Prepare funding source information (part two of template).
(1) Cost centers prepare common services workbooks, including facilities worksheets, to determine the common services and facilities cost rates. These worksheets will calculate the rate to apply to reimbursable funding resulting in the amount needed to populate the reimbursable fund source of the FAP. Cost centers submit the facilities worksheets to the appropriate RMO/SMA, and their Fiscal Services office.
(2) The Fiscal Services offices, working with RMOs/SMAs populate several funding tables (see attached) that culminate in the completion of part 2 of the Facilities Allocation Plans. Using these facilities tables, the appropriated (including the shortfall amount) and the reimbursable share of facilities costs will be determined.
(3) RMOs/SMAs propose, for REX/AD approval, shifts of excess FBA funds from one cost center to cover shortfalls in another as appropriate.
(4) REXs finalize negotiations with the appropriate AD for any needed changes to the amount of program funding designated for appropriated shortfalls.
(5) REXs submit their finalized Facilities Allocation Plans to the Regional PC. The Regional Branch of Fiscal Services consolidates into the regional FAP.
(6) RDs review and approve the regional FAP and forwards to the Bureau PC. The ADs submit their discipline headquarters FAP to the Bureau PC
(7) The Bureau PC consolidates regional and discipline headquarters plans into bureau FAP and includes the Deferred Maintenance project information (see deferred maintenance and capital improvement process below).
(8) Once funds are appropriated, the Bureau PC will work with the Regional PC to determine changes required to the FAP based on the final appropriation.
(9) The Bureau PC will provide the final regional funding targets for allocation of the FBA to the Regional PC who will coordinate with regional managers and provide finalized Facilities Allocation Plans to the Bureau PC. Copies are also sent to the RDs, REXs, and RMOs. At Headquarters, the SMAs will provide finalized Facilities Allocation Plans to the Bureau PC and the ADs.
(10) Cost Centers, in coordination with Branch of Fiscal Services, establish facilities accounts and fund them, as appropriate, with FBA funds, reimbursable funds, and program funds sufficient to cover the full facility cost estimates.
5. Making Changes to Rent and Operations and Maintenance (O&M) Allocations.
A. REXs/RMOs (for region cost centers) and SMA/ADs (for headquarters discipline cost centers) need to regularly monitor status of funds to identify surplus or deficit situations. Please note that FBA Rent and FBA O&M allocations are not interchangeable; that is, each is a unique fund type and a separate allocation of funds.
B. If a surplus in FBA funding occurs at a cost center, the REX will transfer
FBA funds in the following sequence:
(1) To another cost center within region and within the discipline – with the concurrence of the Regional PC.
(2) To another cost center within the discipline nationwide – with the concurrence of the Regional PC, the RD, and the AD.
(3) To the Bureau PC for reallocation to another discipline – with the concurrence of the Regional PC and RD.
Note: For headquarters discipline cost centers, the AD would assume the role of the REX as outlined above. For bureau centers, the Chief, Administrative Policy and Services would assume the role as REX. In both those cases, the Chief, Office of Management Services would carry out the Facilities Program Coordinator role.
C. If a deficit in FBA funding occurs at the cost center, the cost center chief can resolve the issue by funding the shortfall from other appropriated funding sources within the cost center, or the REX can transfer FBA funds in the following sequence:
(1) From another cost center within region and within the discipline, with the concurrence of the Regional PC.
(2) From another cost center within the discipline nationwide, with the concurrence of the Regional PC, the RD, and the AD
6. Facilities Allocation Plan Process Flow – Deferred Maintenance and Capital Improvement (23000).
A. As part of the annual request for cost estimates through the bureaus’ FBA On-Line web system, deferred maintenance projects are updated and used to prepare the Deferred Maintenance and Capital Improvement Five-Year (DM&CI) Plan. The Bureau PC also distributes the current year facilities project listing to the Regional PCs and impacted REX’s. The specialized research equipment projects listing will be distributed to the Water Resources and Geology disciplines SMAs and discipline assigned program representative to coordinate the equipment deferred maintenance projects. The listing will reflect the current year DM&CI Plan approved by the Departmental and the Office of Management and Budget.
B. Facilities deferred maintenance and capital improvement projects, including those proposed in the current year DM&CI Plan, are updated and submitted in the FBA system; specialized research equipment projects are updated and submitted through Excel worksheets. Each project is prioritized based on Departmental category rankings. Any project that was proposed but not funded in the prior year’s DM&CI Plan is updated with revised cost estimates and category rankings and reviewed in comparison to the current year proposed projects.
C. REXs, in coordination with impacted cost centers, request changes required to the current year if there are emergencies and critical health and safety concerns. Changes are submitted to the Regional PCs with a copy to the Bureau PC. SMA’s submit changes to the Bureau PC.
D. A discussion and review process then occurs at the regional level to establish regional priorities. After review and approval by the Regional PC, proposed changes in the project listing will be submitted to the Bureau PC.
E. The Bureau PC will review requested changes in context of the bureau’s DM&CI Plan and distribute a revised current year project listing to the Regional PC, Branch of Management Services, REXs, RMOs, SMAs, and discipline equipment deferred maintenance program coordinators. The project cost and FBA funding targets by cost center will then be included in the FAP. If a current year project is displaced it will be reviewed for inclusion in the budget year DM&CI Plan. For example, in developing the FY 2004 project listing, any project not funded in the FY 2003 budget will be reviewed for possible inclusion in the FY 2004 listing. If the project is included it will most likely “bump” a FY 2004 project to the FY 2005 listing. Changes to previously approved priorities will be jointly reviewed by the APS Chief and the Regional Directors.
F. If, due to unforeseen increases, project costs exceed the FBA funding level provided, the regional Branch of Management Services should review the validity of the cost estimates. The REXs (RMO)s/SMAs (equipment deferred maintenance program coordinators) will work with the cost centers, ADs and RDs to determine available fund sources, consistent with other facilities shortfalls.
G. Once Congress appropriates funds, the Facilities PC works with the Regional PCs to finalize the project list. Any proposed project not funded due to the requested regional changes or due to changes in the appropriation will be reviewed the following year as described in step 2 above. The Deferred Maintenance and Capital Improvement appropriated funds are updated on the FAP. The project listing is distributed to the RDs, ADs, REXs, SMAs, and cost centers, concurrent with the FAP.
7. Making Changes to Deferred Maintenance and Capital Improvement Allocations.
A. The Regional PCs need to regularly monitor project status and identify surplus or deficit situations.
B. If a deficit occurs, the Regional PC can resolve the issue in the following sequence:
(1) Within region using other deferred maintenance project funding, with concurrence of the Bureau PC;
(2) Within region within cost center, coordinating with any affected program coordinator(s) if science program funds are used to resolve the deficit.
C. If a surplus occurs that is not needed to offset a deficit, the Regional PC discusses appropriate disposition of funds with the Bureau PC.
Note: For national centers, that is, cost centers that report to an AD, the AD would assume the role as the Regional Facilities PC.
(Signed) Carol F. Aten
Carol F. Aten
Chief, Office of Administrative Policy and Services