Yale University Space Survey Relationship to

1. Yale University Space Survey Relationship to Facilities and Administrative Rate (F&A) Calculation FY08 Base Year Anne Navin, Assoc. Director YSM Financial Operations Ext. 7-2269 Brown Bag Series March 13, 2008

2. Goals and Timeline for the FY08 Survey • YSM Pilot Training and Space Update completed for YSM Business Office Staff Summer/Fall 2007. • FY08 is the base year for the new F&A rate calculation. • April 2008 – all University business offices will attend training sessions. • May – Mid June 2008 – all University business offices will be required to update space information.

3. Required Data for Space Update • PI Name • PI Title • List of Employees Assigned to Each PI • Funding for Employee Salaries • List of Awards taking place in PI’s space • List of Lab Suites and Other Rooms Assigned to Each PI (Note that offices will not be coded, with the exception of coding YSM offices for clinical activity)

4. Space Survey Musts Personal Knowledge Survey Definitions Access to Floor plans Interviews with Knowledgeable Departmental Personnel Space Function Review Tool- includes employee lists, funding sources, and room data Organized Research and Other Account Information

5. Types of Rooms - To be Coded • Lab Suites including • Labs • Lab Support rooms, for example • Tissue Culture • Cold Rooms • Lab Storage • Lab support rooms shared by several PIs • Patient Care Suites

6. Examples of Funding and Coding Type of fundingSpace function coding DoD, NSF, NIH Research Awards = Organized Research (10) NIH Fellowships/Training Grants = Organized Research (10) Dept Funded Research/Teaching = Instruction/Dept. Research (12) Dowry – Dean funded = Instruction/Dept. Research (12) Sponsored Community Service = Other Sponsored Activities (14) GA for Business Office Activity = Dept./School Administration (22) Patient Care Revenue = Clinical Activities (50) HHMI = Non-Yale (70) Visiting Faculty funding from their home institution = Non-Yale (70)

7. Sample Workplan • The way to “think” through the answers is: • Who occupies the suite or room? Identify all occupants, paid and unpaid, that have occupied the room during the year. • How are they funded for the work they do in the suite or room? • Are there any unpaid occupants in the room, e.g. unpaid students, visiting scholars not paid by Yale, HHMI investigators paid by HHMI? • Relative to one another, how much time is spent by each person in the suite or room? (e.g., PIs and Grad Students may spend less time than Technicians. PIs are involved in other activities such as teaching, and Grad Students may also be in class.)

8. Research Lab Suites • First instinct is 100% 10- Organized Research, but ….. • Are some individuals working in the lab suite funded from awards that are GA funds, e.g. lab set-up funds or seed money? • Are other activities taking place in the lab suite that are not part of an organized research project? • Are there any unpaid occupants in the lab suite? • Answering “Yes” to these questions is perfectly acceptable, it just means we should not code the room 100% Organized Research.

9. Lab Suites – Students and Post-Docs • When graduate and undergraduate students and post-docs occupy lab suites, consider how they are funded for the work they do in the lab suite • Also account for thesis work, code as 12-Instruction & Departmental Research unless the thesis work is being funded by a sponsored research award. • If a student is funded through a research grant, code his/her space as function 10-Organized Research • If a student is funded through a research training grant, also code his/her space as function 10-Organized Research • If a student is funded by GA, code his/her space as 12-Instruction & Departmental Research. • If a student is not paid, also code his/her space as 12-Instruction and Departmental Research.

10. Lab Suites - Students and Post-Docs Coding Example • Two occupants, one MD/PhD and one post-doc, work • in a research lab suite. (Note that lab suites will typically house a research team, not two FTEs.) Post-doc is 100% funded by NIH research award QRS. MD/PhD works one day per week in the lab suite doing organized research. • The MD/PhD is funded from NIH Research Award QRS. • Answer: 100% Organized Research only if the MD/PhD is not using the space for activities other than research.

11. Lab Suite - Students and Post Docs Coding Example If the MD/PhD is funded by other department funds, then an adjustment has to be made to account for Instruction: For example: 83% Organized Research, 17% Instruction & Departmental Research

12. Important Considerations - General • Professional judgement is the key; “exact science” is too complex. • The suite or room should be surveyed by an individual with knowledge of its use and occupants. • Survey based on total FY2008 usage. • Visiting Professors and Emeritus Faculty are not Organized Research unless source of funding is from sponsored research awards made to Yale.

13. Important Considerations - Funding • Seed money and department funded research are not Organized Research. They are space function = Instruction and Departmental Research. • Pay special attention to Graduate Research Assistants, Students in the space, how and whether they are funded and how much time they spend in the suite or room.

14. Important Considerations – Special Circumstances • If space is inactive for 12 months of the year, code as space function = Inactive. If space is used for a partial year, code according to use. • Internal Service Providers • Routine Service Centers – code based on client billings • Specialized Service Centers – code as space function = Other Institutional Activity • YARC space - code based on special HHS rules • F&A Working Group will assist with this coding.

15. Space Function Wrap Up What you need to do - • Attend training sessions • Carefully review space coding instructions and functional definitions. • Use space function data materials supplied by YSM Fin Ops or GCFA (PI, FTEs, FTE salary funding sources, Space data) to inform space function coding. • Make liberal notes to document calculation process for future review with F&A working group, Yale consultants and federal rate negotiators.

16. Contacts – F&A Working Group • Central Campus • Tom Jackson 2-3072 • Pauline Fagan 6-4945 • YSM • Anne Navin 7-2269 • Mark Womer 7-1028