1. University of New Hampshire
Fiscal Year 2013
Space Inventory and Functional Usage Study
Information Session
Presented by
Attain LLC
March 2013

2. Session Overview Project Team Background Space Study Procedures
Functional Usage Definitions
Guidelines for Selected Room Types
Determining Functional Usage
Federal Review Issues
Project Timeline
On-line Space Survey Process
Questions

3. Project Team

4. Project Team Research Community UNH Administration Researchers
Deans & Department Chairs
Departmental Administrators
UNH Administration
VPFA Office
Scott Towle
Kerry Scala
Executive Steering Committee
Joanna Young, Co-Chair
Jan Nisbet, Co-Chair
Leigh Anne Melanson

5. Project Team UNH Administration (Cont.) Attain, LLC Working Committee
Tammy Goldberg
Tracy Boyle
David Browning
Kerry Scala
Scott Towle
Attain, LLC

6. Background

7. Background What are Facilities and Administrative (F & A) costs?
F & A costs, also known as indirect or overhead costs, are those costs associated with the sponsored activities of the UNH research enterprise which cannot be readily associated with an individual project.
Facilities costs are defined as building and equipment depreciation, interest on debt associated with certain buildings, equipment and capital improvements, operation and maintenance expenses, and library expenses.
Administration costs are defined as general administration, departmental administration, and sponsored projects administration.

8. Background Calculating the F & A Rate F & A Costs Direct Costs
Overhead costs incurred to support Research activities:
Depreciation of Buildings & Equipment
Operation & Maintenance Expenses
Interest Expense
Library
Administrative Services
Direct Costs
Costs incurred in performing Research activities:
Salaries and fringe benefits of
research personnel
Research lab supplies and materials
Travel
F & A Costs
Direct Costs
$21,150,000
$45,000,000
F & A Cost Rate
$21,150,000/$45,000,000 = 47%

9. Background Current Research Rate at UNH (FY 13): On-Campus: 47%
Building Depreciation 2.6%
Equipment Depreciation 1.4%
Interest 0.7%
Operations and Maintenance 12.8%
Subtotal 17.5%
Library 3.5%
Administrative Component 26.0%
Off-Campus: 26.0%

10. Background Facilities Component of F&A Rate
21 points of the current 47% research rate
Rate components are not capped
Potential to increase reimbursement of costs associated with conducting research
All facilities cost pools except library are allocated based on space functional usage statistics
Space study is a critical component of the F&A rate proposal

11. Background Importance of the Space Study F&A Cost Reimbursement
Annual reimbursement is approximately $20 million
Facilities components, which represent more than 17 points of the current organized research rate, are determined based on square footage statistics resulting from the space study.
One point on the rate is worth approximately $225 thousand annually or $900 thousand for the anticipated 4 year term of the next rate agreement
Federal Compliance
For buildings with more than one function, Federal regulations require the allocation of facilities costs based on functional use of space.
Federal regulations require the allocations to be “appropriately documented in sufficient detail for subsequent review by the cognizant federal agency.”

12. Background Specific Goals of Space Study
Identify all activities performed in each room for reasonable cost allocations.
Develop proposal statistics that are defensible during rate negotiations with the Federal government.
Use methodologies that comply with Federal government requirements and that provide the best cost recoveries.
The functional space use survey is subject to review/audit by the cognizant federal agency (HHS).

13. Space Study Procedures

14. Space Study Procedures
Survey Complete!
Attain Quality Review
Determine Functional Use
Identify Projects & Occupants
Validate Room Demographics
Reconcile the Space (Physical Area, Floor Plans, Room List)

15. Space Study Procedures
Critical Success Factors
First hand knowledge of how the space was used during fiscal year (7/1/ /30/2013)
An understanding of the activities performed in the room
Information on funding sources related to the activities for the space (grants, contracts, institutional funds, etc.)
Access to the space and occupants of the space
PI involvement
Contact/meet with PIs to gather necessary information

16. Space Study Procedures
Getting Started
Survey information must be entered in AttainSpace, a web-based application
Room inventory report available on web site is populated with demographic information from the database maintained by University Facilities Office
The online Room Survey Form must be completed for each room assigned to the department

17. Space Study Procedures
Validating Room Demographic Information
Review room list accuracy and completeness
Rooms used by department during FY 2013 missing from list
Rooms on list not used by department during FY 2013
Confirm that room type is accurate
Different survey process for certain room types
Identify Responsible Person
List Principal Investigator/Lab Director
For rooms used by multiple PI’s, list “Multiple” as the responsible person and identify each PI and the percentage related to each PI in the “Comments” section

18. Space Study Procedures
Documenting Rooms Where Sponsored Activity Is Taking Place
List ALL personnel who occupied each lab on a regular basis during FY 2013 (e.g, Faculty, Research Staff, Post Docs, Technicians, Graduate Students, Undergraduate Students, Visiting Scientists, Volunteers)
Occupant information is NOT required for lab service rooms or multi-purpose rooms coded based on joint use
Identify all Fund/Org numbers (sponsored and non-sponsored) that fund the projects performed in each room

19. Space Study Procedures
Completing the Room Survey Process
Room functional percentages should reflect how the room was used over the entire fiscal year rather than a snapshot at a point in time.
Involve PI in process to confirm accuracy of information for labs.
Estimate percentages related to each activity performed in the room.
Functional coding must take into account all room occupants/users and the fund sources that support the activities
Matching space and base – functions identified must be consistent with the classification of the funding for activities performed in the room
Departmental staff should maintain notes on how they determined the functional percentages for each room and be prepared to defend them during the Federal review of the F&A rate proposal. It is usually a year or longer between the time the space study is conducted and the Federal review.

20. Functional Usage Definitions

21. Functional Usage Definitions
The functional usage of a room identifies a percentage of time a function (activity) is being performed in a room during the fiscal year of the survey. For UNH’s space survey, you will be classifying activity using one or more of following functional categories:
Organized Research
Instruction/Department Research
Other Sponsored Activities
Departmental Administration
Other Institutional Activities
Service Centers
Joint Use
Vacant/Inactive
Operations & Maintenance **
General Administration **
Sponsored Projects Admin **
Library **
** These activities are generally not performed in space occupied by academic departments and research centers. Definitions for these categories are provided in a separate document.

22. Functional Usage Definitions
ORGANIZED RESEARCH (R)
All research and development activities that are separately budgeted and accounted for on a specific project basis within Banner.
Sponsored research – research projects sponsored by Federal agencies and non-Federal organizations (e.g. states, cities, foundations, corporations.) For FY 2013, this category also includes the Ag Experiment Station.
University research projects – research projects funded by the University that are separately budgeted and accounted for on a specific project basis.
Sponsored research training – training of individuals in research techniques when such activities share the same facilities as other research and development activities. Common examples include Career Development (“K”) awards, institutional training grants (T-32), and individual fellowships (F-32).
Cost sharing – mandatory matching or voluntary committed cost sharing related to sponsored research projects.

23. Functional Usage Definitions
INSTRUCTION & DEPARTMENTAL RESEARCH (I)
All teaching and training activities (except research training)
Teaching and Training – all regular teaching and training activities, whether they are offered for credits toward a degree or certificate or on a non-credit basis. Includes classroom teaching, preparing instructional materials, preparing and grading examinations.
Departmental Research – research, development and scholarly activities that are part of one’s professional interest but NOT separately budgeted and accounted for on an individual project basis within Banner. Example: PI Return Funds.
Sponsored Training – instructional or training activities sponsored by Federal agencies and non-Federal organizations. However, sponsored training of individuals in research techniques (commonly called research training) should be classified as Organized Research.

24. Functional Usage Definitions
OTHER SPONSORED ACTIVITIES (O)
Programs and projects financed by Federal agencies and non-Federal organizations that involve the performance of work other than instruction and organized research.
Examples include public broadcasting, health service projects, equipment grants, community service projects, and grants for conferences, seminars, and workshops.

25. Functional Usage Definitions
DEPARTMENTAL ADMINISTRATION (D)
Administrative and supporting services performed by academic departments, divisions, and organized research units which benefit common or joint departmental activities or objectives
Activities of department heads and their administrative and secretarial personnel who perform general departmental duties, i.e., duties that are not directly identifiable to any discrete activity
Activities related to academic and research committees, preparation of new and competing renewal grant and contract applications and proposals, departmental financial management issues, and interviewing and hiring

26. Functional Usage Definitions
OTHER INSTITUTIONAL ACTIVITIES (B)
Auxiliary enterprises, such as the operations of residence halls, dining halls, MUB, student unions, intercollegiate and intramural athletics, bookstores, faculty housing, student apartments, guest houses, chapels, theaters, public museums.
Activities that are unallowable for F&A cost reimbursement by the Federal government, such as fundraising, and community relations and development.

27. Functional Usage Definitions
SERVICE CENTERS (SC)
Sometimes referred to as Recharge Centers.
Units that perform specific technical and administrative services primarily for internal operations, and charge users for these services.
Examples of service centers include Hubbard Center for Genomic Studies, Survey Center, University Instrument Center, Space Science Center Machine Shop, and Research Computing Center
This space will be distributed functions based on charges to users.

28. Functional Usage Definitions
JOINT USE (JNT)
Offices in academic departments as well as conference rooms and other multi-function rooms, such as mail rooms, copy rooms, employee lounges, and departmental libraries.
This space will be distributed to functions based on overall departmental salaries and wages.
VACANT/ INACTIVE (VAC)
Assignable space not used during FY 2013 (7/1/12 – 6/30/13) due to alterations or renovations.
Areas which were available for assignment but were inactive for the entire year.
Space that was vacant for part of FY 2013 should be assigned based on its functional use when occupied.

29. Guidelines for Selected Room Types

30. Guidelines for Selected Room Types
LABORATORIES
(room type )
% of functional activity must be supported with project and occupant information
If a single PI uses multiple labs and his/her research personnel are working on awards throughout labs, and it’s impossible to differentiate their activities between the labs, it is acceptable to code the labs identically
LAB SERVICE ROOMS – Equipment rooms, Cold rooms, Microscope rooms, Dark rooms
(room type )
Code lab service rooms the same as the average functional usage of the labs these rooms supported during FY 2013
If room supports one specific PI, coding should be consistent with other PI rooms
If room supports multiple PI’s, a floor, or entire department, indicate related rooms in survey form for room type 255
Identify the functional usage percentages and Fund/Orgs, and include a note in the “comment” section indicating the related lab areas (e.g., PI, a floor, or the entire department)

31. Guidelines for Selected Room Types
SERVICE CENTERS
Assign to functions based on charges to users
Examples include Hubbard Center for Genomic Studies, Survey Center, University Instrument Center, Space Science Center Machine Shop, and Research Computing Center
OFFICES
(room type 310)
Confirm room type
Identify occupant(s)
Must be classified as Joint Use
CONFERENCE ROOMS & MULTI-PURPOSE ROOMS

32. Guidelines for Selected Room Types
CLASSROOMS & TEACHING LABORATORIES
Typically classified as Instruction
If research is being conducted in these areas, a percentage of the room can be allocated to either Organized Research or Instruction/Departmental Research
Must be clearly documented with occupants and funding sources
LIBRARY SPACE
Space devoted to the operation and administration of the main UNH libraries and branches of the main libraries
Departmental libraries maintained with departmental budgets should be classified as “Joint Use” not “LIBRARY”

33. Determining Functional Usage

34. Determining Functional Usage
Rooms should be functionalized based on the activities performed in that space during FY 2013
For a faculty member who teaches and has grants, research lab space will be coded different from office or teaching lab space
The functional use classification for each room must be consistent with the salary distribution of the individuals using the space. If the room occupants work on research projects but are not funded by a grant, the space must be classified as departmental research.
Functional coding should take into account the extent of use by each occupant
A student working in the lab 10 hours per week for only part of the year should be counted much less than a technician who works in the lab 40 hours per week for the entire year
Functional use percentages must total 100% for each room

35. Determining Functional Usage
Sample Work Plan – the way to “think” through the answers is:
Who occupies the lab suite or room? Identify all individuals, paid and unpaid, that have occupied the room during the year.
How are they funded for the work they do in the lab suite or room?
Are there any unpaid occupants in the room, e.g. unpaid students, visiting scholars not paid by UNH?
Relative to one another, how much time is spent by each person in the lab suite or room? (e.g., PIs and Grad Students may spend less time than Technicians.)
NOT IN FY07

36. Determining Functional Usage
For Research Lab Suites, the first instinct is 100% Organized Research, but…
Are some individuals working in the lab suite funded from departmental 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

37. Determining Functional Usage
Lab Example #1a
If technicians or students in a research lab are working on Organized Research projects
and
their compensation for all of their work in the lab is paid by those projects (or is reported as cost sharing on the projects in their effort reports)
then
Code space they use in the labs as “Organized Research”

38. Determining Functional Usage
Lab Example #1b
However, if technicians or students in a research lab are working on Organized Research projects
and
their salary is wholly or partially paid from department / institutional funds (and is not reported as cost sharing on an Organized Research project),
then
Code space used for the work paid with departmental / institutional funds as “Department Research”.

39. Determining Functional Usage
Lab Example #2
A research lab with only one occupant is used for work on NIH Research Awards ABC and XYZ
and
Occupant is paid 25% from ABC, 25% from XYZ, and 50% departmental funds
If the work associated with departmental funding takes place in other space (e.g., office, seminar room),
then:
Code lab space as 100% “Organized Research”
If the work associated with departmental funding is performed in the lab,
Code lab space as 50% “Organized Research”
50% “Department Research”

40. Determining Functional Usage
Example #3
Lab is used for work on NIH research awards as well as “exploratory/ start-up research”
Lab occupants and funding sources:
PI paid on 25% on NIH award – works in lab in summer and 1 day/week during academic year (0.3 FTE)
2 FT technicians paid 100% from NIH research awards (2 FTE)
1 FT post doc paid 80% from NIH research award and 20% from departmental research funds (1 FTE)
1 unpaid undergraduate student – worked in the lab 12 hours/week during the Spring semester for academic credit (0.1 FTE)
1 unpaid student intern – worked 25 hours/week for 8 weeks in summer (0.1 FTE)
Visiting faculty not paid by the University who spent 50% of time for entire fiscal year in this lab (0.5 FTE)
3.05 FTE Research / 4 Total FTE = ~ 80% Organized Research

41. Federal Review Issues

42. Federal Review Issues 100% ORGANIZED RESEARCH ROOMS
Federal government negotiators pay particular attention to rooms coded as 100% OR.
A “yes” response to any of the following usually indicates that a room should not be coded 100% OR:
Are there any unpaid students or students paid from general institutional funds who use the room?
Are there any undergrad students working on projects for academic credit (e.g., senior projects, honors thesis)
Are there any non-research lab tests performed in the room?
Does the room house visiting personnel (e.g., professors, scientists, students) who are not paid by the University?
Does the PI meet with students in the room?

43. Federal Review Issues STUDENTS (Graduate, Undergrad, & high school)
Frequently occupy laboratory space where organized research activity is performed.
Functional usage of space must follow classification of funding.
If students are paid from research grants/contracts or supported by research training grants/fellowships, the space should be coded OR (R).
If students are not paid or if students are supported with institutional funds, the space should be coded as Instruction/Department Research (I).
If names are not in drop-down list, identify names in “Comments” section of room survey form and indicate extent of time spent in labs
May only be present a small portion of the year – indicate frequency of presence in “Comments” section.

44. Federal Review Issues ARBITRARY CODING OF ROOMS
Federal Government negotiators pay particular attention to rooms which appear to be coded arbitrarily (e.g. all labs in department coded 90% OR/10% INST).
Avoid falling into a pattern of assigning rooms arbitrarily without careful consideration of the actual activities and functions being performed in each room (or room cluster) and the funds supporting the activity.

45. Project Timeline

46. Project Timeline Important Dates:
On-line survey process must be completed by 04/30/2013.
Quality assurance review of survey results will be performed during May through July.

47. On-line Space Survey Process

48. On-line Space Survey Process
Location of the web-based space survey application

49. On-line Space Survey Process
Survey Status
Remaining – Room record has not been updated and saved since import.
In Progress – Room record has been updated and saved, but has not passed the validation rules.
Accepted – Room record has been updated, saved and has passed the validation tests.
All rooms must be in “Accepted” category for survey to be complete.

50. On-line Space Survey Process
Business Rules
Room functional usage must total 100%.
All rooms with a percentage identified to OR or OSA must have at least one project listed that has a corresponding function code.
In addition to a valid account, all research labs with a percentage identified to OR or OSA must have a least one occupant listed who is funded from an project that has a corresponding function code.
Must satisfy all three business rules to move to “Accepted” category.
Accepted rooms subject to further quality assurance review procedures

51. On-line Space Survey Process
Home page
Status At A Glance
Space Administration
Add Room Transfer
Delete Room Transfer

52. On-line Space Survey Process
Survey Status Page
Status At A Glance
Block Code Tool
Room Survey Form
Room Description and Demographic Information
Functional Usage
Activity / Occupant Information
Comments
Quality Assurance Warnings / Business Rules

53. On-line Space Survey Process
Reports Page
Supporting Information Report
Account Report
Employee/Occupant Report
Cost Pool Code Report
Room Type Report
Sponsored Accounts NOT Assigned to Rooms
People Paid From Sponsored Account but NOT Assigned to Rooms

54. On-line Space Survey Process
Getting Started
Print Supporting Information Report
Review to confirm that the room list is accurate and complete
Distribute report to PI’s for input regarding occupants and projects
Print Account Report and record the room(s) associated with the project
Print Employee Report and record the room(s) where the person worked – e.g., labs, lab support areas, offices
Block Code all rooms that are Department Administrative, Instructional, or Joint Use in nature
This will reduce the workload and will allow the departmental survey coordinator to focus on Sponsored Research areas

55. Questions
Hmm…