STANFORD UNIVERSITY FY 2018 SPACE INVENTORY INSTRUCTIONS PREPARED BY OFFICE OF COST AND MANAGEMENT ANALYSIS STANFORD, CALIFORNIA 94305 JUNE 2018 COPYRIGHT 2018 BY THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR MEMORIAL UNIVERSITY. ALL RIGHTS RESERVED. STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS STANFORD UNIVERSITY FY 2018 SPACE INVENTORY INSTRUCTIONS Table of Contents Page Overview • Overview 1 • Certification Process 3 • Deadline 3 • If You Need Help 4 I. Changes/Key Points 5 II. Why Is a Space Inventory Required? • University Tracking of Space 7 • Recovery of Indirect Costs 7 • Other Uses/Users 8 III. Updating the Space Inventory • Update Process 9 • iSpace 10 IV. Coding the Data: Definitions and Guidelines • Occupancy 11 • The Reporting Period 11 • Shared Room Use 12 • Level of Use to Report 12 • Types of Space Codes 13 • Room Type Codes 13 • Function Codes 15 V. Function Code Definitions A. Academic Space 1. Instruction (I) 19 2. Departmental Administration (A) 20 3. Organized Research (R) 21 4. Departmental Research (L) 24 5. Other Institutional Activities (C) 25 6. Patient Care (P) 27 June 2018 Page i STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS Table of Contents (cont.) Page V. Function Code Definitions (cont.) B. Central Support Space 7. General & Administrative (G) 28 8. Sponsored Projects Administration (Q) 29 9. University Libraries (U) 29 10. Operation & Maintenance (M) 30 11. Student Administration & Services (S) 30 C. Auxiliaries, Hospital, and Non-Stanford Entities 12. Auxiliaries, Hospital & non-Stanford Entities (N) 31 13. Residence & Dining Enterprises (D) 32 D. Special Use Space 14. Special Service Facility – VSC (F) 32 15. SLAC (O) 33 E. Inactive or Temporarily Unassignable Space 16. Inactive (E) 33 17. Temporarily Unassignable (X) 34 F. Unassignable Space 18. Unassignable (Z) 34 V. Specific Coding Issues • Academic Departments: Office Space (Room Type Codes 300 - 399) 35 • Academic Departments: Function-Specific Space 35 • Food Facilities in Academic Buildings 35 • Lounge Areas & Departmental Libraries 36 • Fundraising 37 • Service Centers 37 1. Academic 2. Administrative • Entering Multiple Room Type / Department Codes 40 • Global Changes Assistance 41 • Private Use of Space 42 June 2018 Page ii STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS Table of Contents (cont.) Appendices A. Listing of Room Type Codes B. Functional Classifications by University Area C. Guidelines for Documentation D. Sample iSpace Room Detail Report E. Sample Floor Plan F. Sample Certification Report G. Glossary of Terms H. Research Policy Handbook Excerpt on Categories of Sponsored Projects (13.2) and Cost Sharing Definitions (15.2) Reference Documents (available separately) iSpace Reference Manual Research Policy Handbook June 2018 Page iii STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS [This page is intentionally blank.] June 2018 Page iv STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS Overview Overview Stanford University uses the iSpace1 system to track the occupancy and use of all the rooms in Stanford on campus buildings and in off campus buildings leased for Summary use by Stanford organizations. In addition to tracking the academic campus, we upload all the student housing/dining buildings and the Stanford Hospitals & Clinics buildings (due to the overlapping occupancy by the School of Medicine). Every two years Stanford conducts an official Space Inventory to update the database for new space, renovated/re-purposed space, demolished space and department moves around the campus. The inventory is a full census of every room during which each department must review and update the information related to the occupancy and use of their space during the fiscal year. This process is known as “Updating and Certifying the Space Inventory”. The data is of great importance to many groups on campus. Much of the analysis of space is for internal use. For example, the School of Medicine (a formula school) uses the data in their annual budgeting process and in space planning. And, of course, EH&S, PMO, ITS and many others depend on the accuracy of the data in accomplishing their work. Perhaps, most importantly, the data supports negotiations with the Federal Government on the Indirect Cost Rate that is applied to sponsored projects. A large portion of the indirect cost recovered by the University depends on the Space Inventory results. The Cost and Management Analysis group (CMA) utilizes the room level functional use data to allocate building related costs that will impact the recovery of millions of dollars to Stanford University As a department Space Coordinator, the information you provide during this inventory of campus space is an integral part of the process for understanding how our space is being used. Therefore, the accuracy of the coding, as updated by you, is of crucial importance. Feel free to ask questions if anything you read is unclear. This document describes the policies and procedures for coding individual room usage in the Space Inventory. In addition to department occupancy and type of room, we need to know how the room is being used and track that usage with Function Codes. Although not all Function Codes are relevant to all users, everyone should understand which codes apply to your department. If you have any questions about which sections of the Space Inventory Instructions are relevant to your area, please contact CMA (see page 3). The Space Inventory has several steps to be completed by the Space Coordinator: (1) Reviewing and updating the room data (2) Providing for documentation as needed (3) Certifying completion of the inventory 1 Stanford University’s Space Management database system June 2018 Page 1 STANFORD UNIVERSITY - FY 2018 SPACE INVENTORY INSTRUCTIONS Overview (cont.) Review and All space coding must be reviewed and updated as required. Changes may have Updating occurred in your rooms that affect room coding in iSpace for the current inventory process. See page 10 for a detailed outline of the process. CMA has increased its participation in space coding now and in the future to ensure the highest possible level of accuracy. This participation will differ depending on the type of your department: academic vs. administrative (including auxiliaries and non-Stanford entities). Academic CMA will focus its review of departmental entries primarily on the following items (versus a full census review of each department). 1. Space coded in iSpace2 to Organized Research. 2. PIs with Sponsored research and cost sharing accounts with expenditures as of June 2018. All Departments Prior to the archive of the iSpace data, CMA will perform reviews of the functional coding reported by departments to ensure its appropriateness. Once all updates are made, each department is required to certify per the instructions on page 3. Documentation Sufficient documentation to support the coding of your space must be maintained, primarily for space coded to Organized Research (OR). Documentation is important to support OR functional coding decisions in the event of audit by Internal Audit, external auditors, the Defense Contract Audit Agency (DCAA), and/or sponsoring agencies. In FY18 we will document the use of this space as estimated by the responsible PIs through the use of the OR Documentation Form or a PI Email Interview. Written documentation is no longer optional; at a minimum, one OR Doc Form or PI Email is required for each PI with lab space coded to OR. This documentation will assist CMA in its review of each department’s space. And during the IDC proposal DCAA audit, this form will reduce the impact on a department’s faculty and staff by providing written documentation. See Appendix C: Organized Research Documentation for detailed guidance on requirements and forms. 2 Stanford University’s Space Management database system June 2018 Page 2 APPENDIX C STANFORD UNIVERSITY SPACE INVENTORY INSTRUCTIONS GUIDELINES FOR DOCUMENTATION Background The objective of documentation is to allow an independent person to review a department's space and to understand the basis for its coding. Documentation is critical because the space inventory is subject to government and internal audits and often these audits take place many months after the space inventory has been completed and certified. The documentation maintained by each department must be sufficient to allow for this subsequent review. Properly completed forms or PI email assist both your department staff and CMA in responding to the Government auditors from the Defense Contract Audit Agency (DCAA) during the audit of the Indirect Cost Rate Proposal by providing standardized, written documentation from the inventory year. Documentation for Space Coded to Organized Research (OR) The primary focus is on non-office space (labs and lab support, etc.) coded to OR; this space requires supporting documentation on the methodology used to determine the functional use(s) coded in iSpace. The best way of determining the functional use in the lab space is from an estimate made by the responsible PI on the activities in the lab. In FY18 we will continue to document the use of lab space as estimated by the responsible PIs through the use of the OR Documentation Form or a PI Email Interview. Written documentation is required—at a minimum, one OR Doc Form or PI Email must be completed for each PI with lab space coded to OR. The documentation should clarify the following: • Which rooms the Primary Investigator (PI) was using. • The PI’s estimated Percentage of Use for each functional activity in the space • What research was done, e.g., “Award #: xxxxx” or "Dr. Smith's NSF grant for…" • If not the PI, the name of other person(s) familiar with how the space was used. • If source other than the PI, how the Functional Use coding was determined. A vital aspect of documentation for OR is identification of the research. You can use Award number(s), Sponsor, Title of research project(s), or other definitive description of the research.