Detailed Space Survey

PROJECT SUMMARY

Purpose and Objectives of Survey

PURPOSE

Regulatory Requirements

Space Surveys are a federal regulatory requirement under OMB Circular A-21 as part of the University’s annual Facilities and Administrative (F&A) Rate Proposal. The space survey is the basis for allocating the facilities costs to University activities, including organized research in compiling the F&A (or Indirect Cost(IDC)) rate for grants and contracts.

The space survey is an integral and extremely important part of the overall F&A calculation. A large portion of the unrestricted IDC revenue recovered by the University is dependent on the Space Survey. The survey will be audited by the DCAA (Office of Naval Research auditors). The survey drives the entire Facilities portion of the uncapped F&A rate. The results of the space survey should correlate closely with the overall cost bases of the University.

University Space Utilization

The University will utilize the Space Survey to determine space utilization on the campus in order to maximize space utilization in providing service to our students, faculty, & staff in the most cost efficient manner possible.

Budgeting and Planning

The University will be able to use the space survey as a basis for studying the overall University cost structure and establish rates, specifically the Operations & Maintenance rates for Facilities Management.

2004 OBJECTIVES

Completion of Survey and Submission of F&A Proposal

A space survey is required in 2004 for the University’s 2004 F&A Incurred Cost Analysis and 2006 Forward Pricing Proposal due by December 31, 2004. The last survey taken by the University of academic space was done in October 2003. The University is also in need of a survey to review overall space utilization and establish a more real time approach to managing space.

The 2004 Survey will consist of surveying the academic units in September/October in order to identify research and required administrative space for the F&A proposal. The non Academic buildings will be surveyed from November 2004-January 2005.

Space Survey Policy

This survey will be conducted under the University’s Space Survey Policy approved in September 2002. This policy was distributed to departments during the 2002 survey. If you require a copy, please contact Jerry Mauck (see contact list). This policy will be posted to the Controller’s Office web page beginning in 2005.

Departmental Responsibilities and Certification

The Controller’s Office has overall project responsibility for the Space Survey assigned as follows:

Central Administrator (CA) – Jerry Mauck

Project assistance – Brent Johnston

The Facilities Management Office will be responsible for providing the following for update:

Building identification/reconciliation
Updated building floor plans
Updated rooms and square footage
Review reconciliation of gross square feet to net assignable square feet

Departmental Survey Responsibilities

The departmental Budget Officers are assigned the role of Departmental Coordinators for the Space Survey. The responsibilities are as follows:

Primary department contact
Coordinate the department space walk
Provide room access
Coordinate survey with PI’s and department chairs which includes training on room type and function coding.
Primary source for room use and occupants
Validate room coding
Update of departmental Excel data base
Submission of survey and survey review with Controller’s Office

Survey Certification

The departmental survey will be certified by each department as follows:

Departmental Survey worksheets – Department Chair or PI
Overall Survey Certification

Budget Officer
Dean or assignee

Project Schedule and Deadlines

The 2004 Academic Space Survey process commenced in August with Building identification and preparation of the data worksheets. The departmental survey is 7 ½ weeks. The schedule is as follows:

Commence Survey -- September 1, 2004

Survey status updates -- by October 1, 2004

Survey due to CA -- October 22, 2004

Survey review with CA -- completed by November 10, 2004

Please see Section IV for listing of Departments and Buildings for Survey.

The CA will schedule the survey update reviews and final survey reviews with each Budget Officer for the week noted above. Each Budget Officer will be responsible for submitting the following to the CA by the above noted due dates:

Departmental Certification
Approved survey sheets w/joint room usage
Grant room usage worksheets
Updated departmental Excel data file.

The update process is discussed in Section II.

Specific 2004 Survey Issues

The major new building/construction issues for the 2004 survey are the Law School, Chambers Center and the GSSW move. The CA will work directly with those departments on survey issues. If you believe or find that there have been significant renovations during the past year, please contact the CA immediately so that the survey data can be updated appropriately. For proposal submission, Newman will be coded as a single use Instructional building. Newman will be surveyed as part of the Non-Academic survey beginning in November. A separate schedule for this survey will be distributed to those departments in early November.

Budget Officers should do a thorough review of the rooms assigned to their departments, before starting the survey. If minor discrepancies are found, these should just be changed and updated on the survey. If major discrepancies are found which hamper an efficient survey, please contact the Central Administrator immediately.

Key Contacts for Help

Room Numbering, Floor Plans, Departmental Room Assignments

Initial Contact: Jerry Mauck, Central Administrator X-14025; he will coordinate assistance from the following:

Mary Metros – Space Analyst X-12131 mmetros@du.edu
Scott Schrage – Facilities Mgmt X-13253 sschrage@mail.law.du.edu

REMEMBER – If you have major discrepancies on your departmental survey regarding rooms, contact the Central Administrator immediately.

Coding & Other Assistance

Jerry Mauck – Central Administrator X-14025 gmauck@du.edu
Brent Johnston – Financial Analyst X-13393 bjohnst2@du.edu
Mark Jones – Oversight Manager X-14071 majones@du.edu

UPDATING THE SPACE SURVEY

General Expectations

A. Update Process

Budget Officers need to review carefully all space used by their department and update the departmental Excel data base, as necessary. Each must:

1. Insure all space is reflected on the Inventory datasheets.

2. Walk through his/her department's space (in all buildings) to verify physically each room's description.

3. Insure that the physical layout is reflected accurately on the floor plan. See "Key Contact" on page 6 for the appropriate contact to report any inconsistencies.

4. Confirm that room numbers listed on the Inventory datasheets match the actual room numbers for the space.

5. Review the square footage to determine whether it appears reasonable.

a. If it seems questionable or inaccurate, contact the appropriate person to arrange for someone to measure it. See "Key Contact" on page 6 for the appropriate contact.

b. For new rooms, also contact the appropriate person to arrange for someone to measure the square footage and update the floor plan if it has not been done yet.

6. Have the Principal Investigator’s complete the Grant Room Usage worksheet. This will assist and help verify room function coding. See Appendix A.

7. Carefully code the use of space in each room by function as reported by the Room Type Code and Function Code(s). Coding is discussed in Section III.

B. Importance of Accurate Responses

It is critical that the Budget Officers and any other individuals assigned to the survey accurately complete the Space Survey worksheets. Data reported are the sole basis for the revised information that will be input into Banner. The Space Survey is subject to federal and other audits because it is used in the determination of costs to be reimbursed by the federal government and other sponsors of contracts and grants. A listing of ONR space survey audit questions is in Appendix D. You do not need to complete this form. Just be aware of the questions when completing the space survey.

C. Assistance

It is expected that survey participants will have questions about updating the Space Survey worksheets. If you are unsure how to update your survey, please see page 6 for the appropriate contacts.

Methods of Updating Data

Each departmental Budget Officer will receive the following survey data:

Listing of FY04 sponsored projects by PI – Grant Room Usage worksheet (See Appendix A)
Space Survey worksheets w/ joint use room worksheets
Departmental Space Survey Excel data base
Floor plans:

The CA will work with departments regarding floor plans for Law School, Chambers Center and GSSW.
Floor plans for other buildings provided if needed, upon request.

Grant Room Usage worksheet

All departments with sponsored projects in FY04 will receive a Grant Room Usage worksheet. This lists all the FY04 sponsored projects by PI. This report should be sent to the PI’s to designate which rooms were used for the project during FY04. This should be sent out and completed by the PI’s prior to having them complete the room survey worksheet. This report will assist in the coding the room functions on the Space Survey worksheet. This is also required information for the audit done by DCAA. For detail on completing this worksheet, please see Appendix A.

Space Survey worksheets

These hard copy worksheets are printed directly from the Excel data base that has been provided. These worksheets will be the source documents used to conduct the survey. All survey work and changes from the survey should be noted in pen directly on the survey worksheets. This includes all coding and any specific comments. These worksheets must be signed by the Department Head/Chair and will be used to update the data base. The approved worksheets will be sent to the CA.

Space Survey Excel Data Base

Changes determined from the survey on the survey worksheets will be input into the department’s Excel data base. This update should be done by the Budget Officer, or designee, prior to submission of the worksheets and certification to the CA. When completed, the data base should be emailed to the CA. The Budget Officer is responsible for ensuring the data integrity of the returned data base.

The CA will perform the data integrity reviews on all updated data bases and worksheets.

Space Survey Data Fields

The data base and worksheets for each Building are in room number order and include the following data fields that are to be updated as appropriate for each room:

Room Number
Department Name
Room Type Code and Description
Room Function Code and Description
Joint Use Code
Occupant Name and Code
# of Occupants (Office space only)
Net Assignable Square Feet
Current Room Type Code (please see Section III, Reporting Period)
Current Room Function Code (please see Section III, Reporting Period)
Comments/Grant #

These codes will be discussed in Section III.

space survey 2

CODING THE DATA: DEFINITIONS AND GUIDELINES

THE REPORTING PERIOD

OMB A-21 requires that in a period when a survey is conducted, that the room function in the survey reflect usage over the entire period, not at the point when the survey is performed. When conducting the survey the Budget Officer and PI’s should consider how the space was used in FY04 (July 2003 - June 2004), since that is the base year for the F&A claim. An average use over time approach for the year should be used.

Since it is also our objective to populate an accurate data base, we also need to consider the current usage. If the current usage differs from the usage during FY04, then on the survey worksheet do the following:

In the room coding fields (Type/Function), code the room as used inFY04.
In the “Current Room Type Code” field designate current room type.
In the “Current Function Code” field designate the current room function code.

If the FY04 usage can not be reasonably determined, code the room at its current usage.

The room type and function codes determined for FY04 will be used for the 2004 F&A claim. The “Current Function Code” will be used for update into the space data base.

TYPES OF SPACE CODES

The following space codes are used in the updating the survey:

Building Codes: These codes will be assigned by Facilities Management to buildings to designate primary use and condition of the building.

Departmental Survey Codes

Room Type Code – 3 digit numeric

Room Functionalization Codes

Room Function Code – 3 character alpha
Room Occupant Code – 2 digit numeric
Joint Use Space Code – Y/N

These codes and descriptions are discussed as follows and listing can be found in the Appendices.

ROOM TYPE CODES

The first step in coding space is to determine the Room Type Code which will identify the physical description of room within a building. The Room Type Code is a 3-digit numerical code that corresponds to a description for each room type (class lab, office, etc). Remember: Codes should be determined based on FY04 type, if the current type differs, note in the “Current Code” field.

There are three major categories of room types:

Unassignable Areas

Unassignable areas (Room Types 010 – 059) are portions of a building that are not available for assignment to building occupants, but are necessary for building operations. By definition, unassignable areas consist exclusively of general circulation, public restrooms, and custodial, mechanical, and structural space.

Temporarily Unassignable Areas

These areas (Room Types 060 – 089) are portions of a building that are either: (1) unfinished or unusable or (2) under alteration (including space awaiting renovation).

If the space was temporarily unassignable for longer than 3 consecutive months, it should be coded to the appropriate room type (unfinished or under alteration) and Room Function Code “TUA”.
Space unfinished or unusable for 3 consecutive months or less should be coded based on its primary type code for the year. Example: Classroom 100 was being painted during the holiday break last year. Code this room as “Classroom” (100 – 199 code).
Space under alteration for 3 consecutive months or less should be coded (room type and function)
1. If the post-renovation functional coding is known, the space should be coded based on the post-renovation use.
2. If the post-renovation functional coding is not known, the space should maintain the coding as it would have prior to the renovation

Assignable Areas

Assignable Areas (Room Types 100 – 999) are portions of a building that are available for assignment to building occupants. If the room type changed during the year, the room should be coded as the type it was for the majority of the year.

Please see Appendix B for a detailed listing of Room Type Codes and Descriptions.

Description Codes

Unassignable Areas 010 – 059

Temporarily Unassignable Areas 060 – 089

Assignable Areas:

Classrooms 100 – 199

Class Labs 200 – 299

Offices 300 – 399

Library Facilities 400 – 499

Special Use Facilities 500 – 599

General Use Facilities 600 – 699

Support Facilities 700 – 899

Residential Facilities 900 – 999

OCCUPANT TYPE CODES

It is very important to know who actually occupies a room prior to assigning the space functions for the rooms. Occupant types can change the room functional use assignment depending on how they are funded. For each room coded as a sponsored project room (see Room Function Codes), the primary occupant type and name of that occupant is to be entered on the survey. Occupant Type Codes single character alpha as follows:

F - Faculty E - Faculty Emeritus

R - Professional researcher A - Research assistants/associates

P - Post docs G - Graduate students

V - Visiting professors O - Other users

Occupant Codes are not needed for rooms that are not coded as sponsored projects.

ROOM FUNCTION CODES

Functional coding of all rooms (assignable and temporarily unassignable) is a key part of the University’s compliance with federal requirements. These Function Codes designate how space is used. Function Codes are only required for space with a Room Type Code of 060 or greater. Room Function Codes are 3-character alpha codes. University functions (activities) and codes are as follows:

Academic Space

General Academic Instruction - INS

Central Support Space

General & Administration - G&A

Auxiliary Space

Auxiliary Operations - AUX

Housing & Dining Services - HDS

Inactive or Temporarily Unassigned Space

Inactive - IAC

Temporarily Unassignable - TUA

A detail of room function codes and descriptions is in Appendix C.

It is important to remember when determining an appropriate function code that federal regulations require correlation between space coding and the accounting for the direct costs of Organized Research/Sponsored Projects. This means that space should be coded consistently with the funding of the activities taking place in the space. The space coding, therefore, should not be based solely on the salary funding of the person(s) occupying the space and/or the space’s intended use.

Example 1:

A room is determined to be a non-class lab (Room Type Code 250) used 100% for Dr. Smith’s federally funded Anthropology research. The sole occupant of the lab is a Research Assistant (A) who receives his salary from a fellowship. Per discussions with Dr. Smith and the RA, it is determined that while in the lab the A’s level of effort is 100% ARC. Therefore, in this case, neither the occupant’s salary funding is, nor the room’s intended use, are not accurate reflections of this room’s activity and the functional coding of this room should be 100% Academic Research (ARC).

The determination of room function is an integral step in updating your department's space survey. After you become familiar with the definitions of the applicable function codes, several methods may be employed to determine each room's function code and corresponding percentage of use. Any documentation used to code your department's space, including interview notes, should be retained.

(1) General knowledge of the activities performed in the room

(2) Interview(s) with the room occupant(s) For example, Research Assistants and/or Teaching Assistants (TA) who use space in your department should be interviewed to determine the appropriate functional coding and percentage of use for the space used.

(3) Interview(s) with the most knowledgeable person

(4) Use logs and Grant Room Usage Worksheet

(5) Analysis of revenue

The additional examples that follow illustrate the conceptual relationship between space coding and funding:

Example 2:
A laboratory room is used solely for research and is funded 70% by an external sponsor(s) and 30% by the operating budget. If the operating budget portion supports the sponsored research:

during the active sponsored funding period, the room should be coded 100% to a Sponsored Project code before the active sponsored funding period or after (except for cost overruns), the room should be coded as Joint Use Space (Y).

Example 3:
A laboratory room is used for research. Is the research sponsored? Yes. The Principal Investigator (PI), a technician, and two graduate RAs occupy the room. The PI also teaches, but the PI's presence in the lab is to perform the research, not to grade papers, which the PI commonly does in his or her office. The RAs and technician are present to perform research for the PI. Thus, the use of the space is entirely OR. However, any non-research activity, if it occurs, should also be reported by function. For example, the RAs might occasionally use the lab for their classroom-related activities (Instruction) they could not finish at home, if they were not assigned a carrel or other office space. As with all functional reporting, this use of space should occur with some regularity rather than sporadically in order to estimate a percentage of use.

The departmental coordinator should keep independently verifiable documentation as to how the coding was determined in the event that an additional review or audit is required of any particular space.

Please see Appendix C for Room Function Codes and Definitions, Guidelines & Examples.

JOINT USE SPACE

It may be determined that a room that has a Sponsored Project/Research function, may also have another function (See Example 2 above). This room is then to be defined as Joint Use Space. Joint Use space is only applicable if one of the functions is Sponsored Project(ie ARC) and another function is non-sponsored (ie INS or DAS). In these cases, if any percentage is a Sponsored Project, for these rooms the “Joint Use Space” field should be coded “Y”. All single use space rooms, or joint use rooms where a Sponsored Project is not one of the functions, should have an “N” in this field.

For rooms coded as “Joint Use” (Y), the “Summary of Joint Use Space” worksheet in the survey package for that building must be completed. For example: Room 0000 is determined to be:

60% Instruction
30% ARC
10% OSA

On the “Summary of Joint Use Space” you will add the room number and document the percent usage in the function fields provided. An example of this is included on that report in the Excel file. If you have questions, please contact the CA.

OCCUPANT NAME/# of OCCUPANTS

In addition to providing Occupant Names for Sponsored Project Rooms (see Occupant Code); for any room coded as Office Space (Room Codes #310 – 313), please add the following on the worksheet:

Name of occupant (or primary occupant if more than one)
# of occupants in the office

For example: If two faculty members share an office, put the name of the primary (or just one of their names if a primary is not known) in the Occupant Name field and “2” in the # of occupants field. In the worksheet, the default value for all office space is already “1”. You only need to change if there is more than one occupant.

COMMENTS/GRANT #

For rooms coded as a Sponsored Project or Joint Use room, please include the grant number in the comment field. The completed Grant Room Usage report (See Appendix A) will be a key tool in completing this information on the survey worksheet. As part of the review process, the survey worksheets will be reconciled to the Grant Room Usage report. Each room coded as a sponsored project room should have a FY03 grant assigned to it and each grant on the grant report should have a sponsored project coded room.

Also, include any useful comments for the survey as you deem appropriate.

2004 SURVEY DEPARTMENTS AND BUILDINGS

Arts, Humanities and Social Sciences

Linda Kosten – Director of Budget/Planning (Budget Officer)

Buildings Depts w/Spon Prog

Sturm Hall Anthropology

Frontier Hall Languages & Lit

Columbine Hall Psychology

Mass Comm Sociology

Pioneer Hall Human Communications

Mary Reed Building – Hum Comm

Margery Reed Hall - Theatre

Newman PAC – to be done 11/04

Skyline Hall

Spruce Hall

Swayder Art Bldg

Daniels College of Business

Mark Williams – Facilities Manager (Budget Officer)

Daniels College of Business

Columbine Hall – HRM

Denver Research Institute/SECS

Jackie Maddox – Administrator of Finance (Budget Officer)

Boettcher East

Boettcher West

East Range

John Greene Hall

Knudson Hall

Metallurgy

College of Education/ITI Transportation Center

Priscilla Lehman – Director of Budget/Planning (Budget Officer)

Ammi Hyde Building

Multi-Cultural Center - AYP

Wesley Hall

Tara Larson – Budget Officer

Fisher Early Learning Center

Mary Shonk – Budget Officer

Margery Reed Hall – DUHS

Pioneer Hall – DUHS

Sam Chandler – Assistant to Director

Ricks Center

Eleanor Roosevelt Institute

Tom Dinkleman – Facilities Manager

ERI Building

GS-International Studies

Angela Bricmont – Budget Officer

Cherrington Hall

GS-Social Work

Jennie Ratico – Office Manager

Spruce Hall – do for FY04 pre move

Pioneer Hall – do for FY05 post move

GS-Prof Psychology (No sponsored projects)

Traci Kruse – Budget Officer

Ammi Hyde Building

College of Law

Steve Favreau – (Budget Officer)

College of Law

NSM

Helen Cahill – Budget Officer

Buildings Depts w/Spon Prog

Boettcher – E,W, Aud Biology

Chemistry

Chamberlain Observ Geography

Echo Lake Station/High Alt Lab Physics

John Greene Hall

Olin Hall

Physics Building

Physics House

Seeley G. Mudd Building

Penrose Library

Tom Tyler – Associate Director (Budget Officer)

Penrose Library

UCOL

Dan Callahan – Associate Dean (Budget Officer)

UHall

UCollege – Josephine

Colorado Campus Compact

Theresa Cusimano – Director

Pioneer Hall

TWC – Hers Midamerica

Lorni Sharrow – Budget Officer

Mary Reed Building – for FY04

Chambers Center – for FY05

Service Learning

David Lisman – Director

Driscoll South – Serv Learn Center

Appendix

Click on the Appendix for review

Appendix A - Grant Room Usage

Appendix B - Room Type Codes

Appendix C - Room Function Codes

Appendix D - DCAA Survey Questionaire

Detailed Space Survey

Table of Contents:

PROJECT SUMMARY

Purpose and Objectives of Survey

PURPOSE

Regulatory Requirements

University Space Utilization

Budgeting and Planning

Completion of Survey and Submission of F&A Proposal

Space Survey Policy

Departmental Responsibilities and Certification

Departmental Survey Responsibilities

Survey Certification

Project Schedule and Deadlines

Specific 2004 Survey Issues

Key Contacts for Help

Room Numbering, Floor Plans, Departmental Room Assignments

Coding & Other Assistance

UPDATING THE SPACE SURVEY

General Expectations

A. Update Process

B. Importance of Accurate Responses

C. Assistance

Methods of Updating Data

Grant Room Usage worksheet

Space Survey worksheets

Space Survey Excel Data Base

Space Survey Data Fields

CODING THE DATA: DEFINITIONS AND GUIDELINES

THE REPORTING PERIOD

TYPES OF SPACE CODES

Departmental Survey Codes

Room Functionalization Codes

ROOM TYPE CODES

Unassignable Areas

Temporarily Unassignable Areas

Assignable Areas

OCCUPANT TYPE CODES

ROOM FUNCTION CODES

Academic Space

Central Support Space

Auxiliary Space

Inactive or Temporarily Unassigned Space

Example 1:

Example 2:

Example 3:

JOINT USE SPACE

OCCUPANT NAME/# of OCCUPANTS

COMMENTS/GRANT #

2004 SURVEY DEPARTMENTS AND BUILDINGS

Arts, Humanities and Social Sciences

Daniels College of Business

Denver Research Institute/SECS

College of Education/ITI Transportation Center

Eleanor Roosevelt Institute

GS-International Studies

GS-Social Work

GS-Prof Psychology (No sponsored projects)

College of Law

NSM

Penrose Library

UCOL

Colorado Campus Compact

TWC – Hers Midamerica

Service Learning

Appendix