3.1 Academic Function Codes
The Academic areas are those in which the major activities of the University occur, specifically, instruction and research, as well as various supporting activities. By extension, one can view all other areas (G&A, Housing, O&M, etc.) as facilitating Stanford’s academic functions.
1. Instruction: Function Code I
Instruction space is used for the teaching and training activities of an institution. Instruction includes all teaching and training activities whether they are offered for credits toward a degree or certificate or on a non-credit basis, and whether they are offered through regular academic departments or separate divisions (such as a summer program or extension program). In research labs, Instruction currently would include time spent by a graduate student working specifically on their dissertation, performing teaching assistant activities or doing home work at their desk space that is not part of a sponsored research activity. Instruction does not include research training that is done as a part of sponsored research.
Administrative time expended in support of Instruction responsibilities, such as grading papers, constitutes time spent on Instruction. The exception is when the activities occur in office space (Room Type Codes 300 – 399); office space in academic departments is coded to Departmental Administration.
Instruction also includes Sponsored Instruction and training activities and Other Sponsored Activities, which are externally sponsored (see below).
Instruction thus encompasses the following:
- General instruction
- Summer Session instruction
- Continuing Studies instruction (inc. SoM Continuing Medical Education)
- Residential Education Program
- Center for Professional Development
- Primary Care Associate Program (instructional activities)
- SoM Residency Programs oversight and administration
- Sponsored Instruction and training (see below)
- Other Sponsored Activities (see below)
A. Sponsored Instructions and Training (SI)
SI means specific instructional or training grant activity (excluding “Research Training Grants”) funded by an external sponsor such as the federal, state, or local government or a commercial or non-profit agency. (All research training activity, including that sponsored by a grant, should be coded as OR.)
B. Other Sponsored Activities (OSA)
OSA means programs and projects funded by federal and non-federal agencies and organizations for activities other than research or training (which are included in OR or SI, respectively). Included in this category are travel grants, conferences, public service projects, health service programs, exhibits, or similar projects.
Examples of OSA include:
- CCRMA – Computer Music
- Center for Biomedical Ethics
- California Arts Council
2. Departmental Administration: Function Code A
Departmental Administration (DA) occurs in all academic office space (Room Type Codes 300 – 399) and some multiple-use rooms (e.g., stockrooms, shops, lounges) which service or provide support to academic school/department operations. This space is recognized as administrative or supporting service areas that benefit multiple departmental activities. DA activities support more than one functional activity in the department in proportions that cannot be readily approximated into separate functional activities.
Currently, by policy definition, we are not surveying academic office space; All academic departments should code office space to 100% DA, not according to the activities taking place in the office space. Thus, even if office space is used 100% in support of Organized Research, it should be coded as DA.
During the calculation of the University’s indirect cost rate, this space will be re-assigned to the other activities, e.g., Instruction, Research, Department Administration, etc. based on each department’s salary distribution to those activities.
- Because of their budgeting methodology, the School of Medicine will still continue to survey office space and code with the specific activities occurring during the year. (CMA will normalize this when calculating the IDC proposal.)
- Patient Care activities should be coded to function code ‘P’.
- Faculty effort expended in support of fund raising or consulting to non-government entities should be coded as Other Institutional Activities, Function Code ‘C’.
- Visiting scholars and emeritus faculty.
Also, if the space was Inactive or Temporarily Unassignable for any portion of the year, DA may not be the appropriate functional code. See detailed instructions on coding Inactive or Temporarily Unassignable space.
In addition, department general service areas are normally coded in whole or in part to Departmental Administration. Examples include the following:
- mail room (except department student mailboxes coded to Instruction)
- general storage room
- lounge area
- merchandising space (e.g., vending machines)
Proposal writing is Departmental Administration if it is to acquire a grant or contract; proposal writing is OIA if it is to obtain a gift.
A. Food Facilities
Facilities within academic buildings used for food preparation and service that are not operated by an outside entity are usually coded to Departmental Administration. These facilities exist to provide service to the various people engaged in or supporting the academic functions carried on in and around the buildings which house the food facilities. By contrast, if a food facility is located within a department area that is exclusively research, and the food facility is accessed primarily by people in that department as an extension meeting area, then it should also be coded to research. The facility is function-specific in this case, rather than broadly supportive of multiple activities or functions.
Examples of food facilities in academic buildings that are operated by outside entities (coded to AHN), or run by Dining Services (coded to R&DE) follow:
- Arrillaga Alumni Center (The Café)
- Beckman (Beckman Bistro)
- Cantor Museum (Cool Café)
- CCSR (Luttiken’s Deli)
- Clark Center (Nexus, Peet’s Coffee)
- Crown Quadrangle (Law Café)
- Cubberley (Cubberley Café)
- Huang Engineering (Ike’s Place)
- Jordan Hall (Thai Cafe)
- Knight Management Center (Arbuckle Dining Pavilion, Coupa Cafe)
- Packard Electrical Engineering (Bytes Café)
- Psychiatry Building (Garden Cafe)
- Student Union (Axe & Palm)
- Terman Engineering (Ciao Café)
- Tressider Memorial (Union Square, Coho, Treehouse, Subway, Jamba)
- Wallenberg (Olives)
- Y2E2 (Coupa Café)
In all cases, these food facilities exclude any student lounge area, see below.
B. Lounge Areas
Lounge areas usually will be coded to Departmental Administration because they are managed by an academic department and benefit the department’s multiple functions as a whole. The use of lounge areas is not solely linked to the availability of food; lounges are often used late into the night, long after the food services close. These areas may provide food services (e.g., vending machines), but they also provide places frequented for study and for meetings related to instructional or research assignments. For example, the GSB lounge area was specifically designed to accommodate large groups of students engaged in group projects. If the lounge area is function-specific, for example, surrounded by space coded to Organized Research and is used primarily by people engaged in that sponsored research, then the lounge area itself should also be coded to Organized Research. This is especially true when there are restrictions on consumption of food in the labs.
C. Departmental Libraries
These library spaces are used and maintained by the department only. The room is neither part of the Main University Library System nor one of the Coordinate Libraries. Departmental Libraries are most often coded as Departmental Administration.
D. Proposal Writing Occurring in Non-Office Space
Proposal writing is Departmental Administration if it is to acquire a grant or contract; proposal writing is Other Institutional Activities if it is to obtain a gift.
E. Inactive or Temporarily Unassignable Space
If the space was Inactive or Temporarily Unassignable for any portion of the year, DA may not be the appropriate functional code. For more information, review detailed instructions on coding Inactive or Temporarily Unassignable space.
3. Organized Research: Function Code R
Organized Research (OR) space is used for research and development activity that is either Sponsored Research or University Research as defined in Stanford’s policy on “Categories of Sponsored Projects” (Research Policy Handbook 12.2).
A. Sponsored Research
Sponsored Research comprises research activities performed in accordance with a grant, contract or cooperative agreement from an external organization, i.e. federal/state agencies, corporations, foundations or other agencies. These external awards to Stanford are for the faculty to support their research activities and are separately budgeted and accounted for in the Oracle system. Sponsored research also includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities. These activities may be on a formal “Research Training Grant” or a part of the lab efforts. Other types of Sponsored Projects include:
- A cooperative agreement is called a Research Participation Agreement (RPA). An RPA is a form of sponsored project in which services of University personnel, academic facilities, and/or laboratory equipment are employed on behalf of parties not otherwise affiliated with the University as faculty, staff or students. An RPA is different from other forms of sponsored research projects in that a significant portion of the responsibility for the intellectual direction, interpretation and/or outcome of the work rests with the outside user.
- Industry sponsored clinical trials involving human subjects where the objective is testing new drugs, devices or treatments, or data collection to enhance safety and efficacy of drugs or treatments.
OR does not include Sponsored Instruction (SI) or Other Sponsored Activities (OSA).
B. University Research
University Research is research activity supported by one of the following:
Committed cost sharing expenditures borne by Stanford that directly support externally sponsored research and development awards,
Funding that is derived from institutional funds (e.g., gifts, endowment income, interest income, technology licensing income, operating budget) that is awarded through a competitive application and award process, and the research activity has two or more characteristics similar to an externally sponsored research award such as:
- A defined statement of work.
- Detailed financial accountability with a line item budget detailing expenditures by activity, function, and project period.
- A specific commitment regarding deliverables and the level of personnel effort.
- A formal report or response that summarized results or conclusions.
University funding used to cover cost overdrafts of externally sponsored research and development projects at the end of the project performance period.
It is important to note the distinction for space used in conducting Organized Research; it is the activities occurring in the room that determine whether the space should be coded to Organized Research, not just the source of the funding. The source of funding for the research project helps determine the coding, but may need additional clarification. External funds are always Organized Research; but internal funding (including gifts) may be Organized Research or Departmental Research based on additional criteria. Funding of Organized Research is primarily through the award for a sponsored project or the internal University research funding (including any committed cost sharing by Stanford to an external award). However, faculty members may use their other non-sponsored funds (seed money, gifts, department budget, etc.) to cover costs incurred on behalf of externally or University sponsored research above the project commitment. This faculty donated effort or other direct costs above that agreed to as part of the award constitutes non-binding additional time or materials and is called ‘Voluntary Uncommitted Cost Sharing’.
As a simple example, if a professor performs research that is funded by the NIH and has a research assistant that is paid partially by the grant and partially by the department operating budget or fellowship, but the activities in the lab are all performed in support of the sponsored project, the space related to that project would be coded to Organized Research.
What about Proposal writing?
Proposal writing is Departmental Administration if it is to acquire a grant or contract; proposal writing is OIA if it is to obtain a gift.
How do I code Visiting Scholars?
If a visiting scholar is working (full- or part-time) on a Stanford research project or teaching, then the space occupied should be assigned the appropriate percentage to all applicable function codes (OR, DR, or I). However, if a visiting scholar has come to the University with his/her own funding and has been provided space as a courtesy, then the room occupied should be coded the appropriate percentage to Function Code “C” (OIA).
How do I code Emeritus Faculty?
If an emeritus faculty is working (full- or part-time) on a Stanford research project or teaching, then the space occupied should be assigned the appropriate percentage to all applicable function codes (OR, DR, or I). However, if an emeritus faculty has been provided space as a courtesy, then the room occupied should be coded the appropriate percentage to Function Code “C” (OIA).
C. When Administrative Activities are Coded to Organized Research
Non-office space, when used for administrative activities is coded to Organized Research as follows.
Research participant’s administrative time expended in support of Organized Research responsibilities, such as completing a quarterly report for a federal grant, constitutes time spent on Organized Research and the corresponding space should be coded to OR. Other administrative activities may be performed in support of research (for example: the accounting for grants and contracts, filling research positions and ordering materials). These activities may support one or more sponsored project(s); if you can identify the benefiting sponsored project(s), the corresponding space should be coded to Organized Research.Note: coding the space used for these activities does not fall under the constraints for direct charging to projects under the University’s “Charging for Administrative and Technical Expenses” policy.
Separate or distinct organizations established to perform administrative services for contracts and grants are in Sponsored Projects Administration. It may be helpful to note, the Oracle Financial System distinguishes Organized Research s by the Award field: Awards in the range Pxxxx to Vxxxx are sponsored projects. Awards Wxxxx are University research. In addition, you can use the Service Type Attribute field to sort out Sponsored/University research expenditures.
4. Departmental Research: Function Code L
Departmental research (DR) space is used for research, development and scholarly activities that are not in support of external Sponsored Research nor competitively awarded University Research (both reported as Organized Research). This research may be funded by unrestricted operating budget, gifts by donors or affiliate program funds (i.e., any funds except an externally-funded sponsored grant, contract or cooperative agreement, or internally-funded, University-sponsored project).
Departmental Research includes:
- on-going independent research unrelated to any Organized Research activities
- research activities on faculty start up funds and non-competitive “seed monies” provided by schools or departments to initiate research that might later become sponsored. (Note: these funds could alternatively be used in support of sponsored activities as well.)
- interim periods of research occurring between active sponsored projects or funded periods of performance
Departmental Research is not any of the following:
- Committed cost sharing which may be the same activity but differs from DR in that cost sharing occurs during the active sponsored funding period and is specifically committed on sponsored project budgets. (In contrast to cost sharing, DR includes support for a research/development/scholarly activity that does not have current sponsored funding.)
- Cost overdrafts funded by the University to cover expenditures of externally sponsored research and development projects after the end of a project performance period
- Voluntary Uncommitted Cost Sharing - faculty donated effort or other direct costs above that agreed to as part a sponsored award constitutes non-binding additional time or materials
Cost sharing and cost overruns are University Research, a part of OR. Note that these are Oracle Awards that start with ‘W’ (Wxxxx). Voluntary uncommitted cost sharing activities support OR. Please see the discussion of Organized Research for further distinctions.
5. Other Institutional Activities: Function Code C
Other Institutional Activities (OIA) space is used for major activities of the University that the federal government will not allow to be charged directly or indirectly to contract and grants. OIA space includes the following:
- Fundraising and income enhancement activities (investments), which include the following central University departments: Office of Development, Office of Technology Licensing, Stanford Management Company, Real Estate Operations.
- School/department fundraising or proposal writing to solicit donations, gifts, or contributions (at a measurable level).
- Faculty consulting time to non-Stanford entities (at a measurable level).
- Visiting scholars on campus with their own funding and emeritus faculty on campus by courtesy.
- General public relations activities (inc. Govt & Community Relations)
- Alumni activities
- Student organization activities. Includes the space associated with student clubs, groups, and cultural/social organizations (e.g., intramural sports, student union, student publications). This category does not include student organization facilities when they are used for instructional purposes (e.g., the Law School Moot Court and the Law School Journal).
- Theaters and auditoriums (Stanford Events and Lively Arts) with the exception of those portions used for University purposes.
- Museums and art galleries
- Memorial Church and other chapels
- Staff and Faculty Housing Programs (administration and housing)
- Community outreach activities (SoM free clinics, etc.)
- New Service & University Communications (by CMA policy decision)
Below are examples of commonly occurring situations of OIA within an academic department.
A. Example 1: OIA Fundraising
If space is occupied by a person (including faculty) who solicits donations and/or arranges fundraising campaigns at the department, school or University level, then the room should be coded the appropriate percentage to Function Code “C” (OIA). Proposal writing is OIA if it is to obtain a donation.
Fundraising, whether located in the central Office of Development or located in a school (i.e., fundraising through department personnel who are specifically assigned fundraising activities) is unallowable per Circular A-21. Any non-office space occupied by individuals within an academic department whose function is to perform fundraising activities should be coded to OIA. A distinction must be made as to what constitutes fundraising. Fundraising should not be confused with contract and grant development activities such as writing proposals (Departmental Administration), although both result in funds being awarded to the University. Fundraising means "organized" fundraising activities resulting in "gifts" and donations to the University. Fundraising includes financial campaigns, endowment drives, solicitation of gifts and bequests, and similar activities performed solely to raise capital or obtain contributions. These activities are performed primarily by personnel in the Office of Development and by selected individuals in certain schools (e.g., the School of Law, the School of Medicine, the Graduate School of Business, and the School of Engineering).
B. Example 2: OIA Visiting Scholars
If a visiting scholar has come to the University with his/her own funding and has been provided any space as a courtesy, then the room occupied should be coded with the appropriate use percentage to Function Code “C” (OIA). However, if a visiting scholar is working (full- or part-time) on a Stanford project or teaching, then the room occupied should be assigned the appropriate percentage to all applicable function codes (DA, DR, OR, Instruction, OIA).
C. Example 3: OIA Emeritus Faculty
If an emeritus faculty has been provided any space as a courtesy, then the room occupied should be coded with the appropriate use percentage to Function Code “C” (OIA). However, if an emeritus faculty is working (full- or part-time) on a Stanford project or teaching, then the room occupied should be assigned the appropriate percentage to all applicable function codes (DA, DR, OR, Instruction, OIA).
D. Proposal Writing in Non-Office Space
If non-office space is occupied by a person who solicits donations and arranges fundraising campaigns at the department, school or University level, then the room should be coded the appropriate percentage to OIA. Proposal writing is considered Departmental Administration if it is to acquire a grant or contract; proposal writing is OIA if it is to obtain a gift.
6. Patient Care: Function Code P
Note: This function code is for use by the School of Medicine only.
Patient Care activities are those associated with the diagnosis and treatment of patients, which are not related to Instruction, Departmental Research or Organized Research. Patient Care is clinical in nature and usually reimbursed from a health-care provider. Space used for these activities is coded to Function Code P.
A. Administrative Activities in support of Patient care
Space where administrative activities occur in support of Patient Care responsibilities should be coded to Patient Care. Examples of administrative activities include: reviewing charts or dictating patient letters; patient scheduling and billing; and preparation and review of clinic budgets. (If the administrator also performed administrative activities for the academic mission (e.g. instruction and research) , these should be coded to Departmental Administration).
B. Residency Programs
Space used for all activities related to patient treatment by a person in a residency program, e.g., interviews, reviewing charts, dictating patient letters, should also be coded as Patient Care. This does not include the faculty oversight and administration activities of the residency program.
Please note that apparent care of patients (both inside and outside the School of Medicine) may be associated with an sponsored project or a department-funded research project. Non-billable care related to research with human subjects should be coded OR (Function Code “R”) or DR (Function Code “L”) respectively, not Function Code “P” (Patient Care).
C. Clinical Trials
Space used for clinical trials should be coded based on the funding of the clinical trial. In most cases this funding, when provided by a pharmaceutical company, is a sponsored project and should be coded OR (Function Code “R”).
D. Vaden Student Infirmary
Vaden Student Infirmary patient care activities are coded as “Student Administration and Services” (Function Code “S”).