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425 DM 1 - Space Management Policies






Effective Date
:  9/22/06
Series
:  Real Property
Part 425
:  Space Management
Chapter 1
:  Policy and Procedures
Originating Office
:  Office of Acquisition and Property Management

425 DM 1
  1. Purpose.  This chapter provides program policy and procedures for the Department of the Interior (DOI) space management program.  It covers Interior-owned and leased space.

  2. Policy.  It is the policy of the Department to manage its space assets and costs in a portfolio approach that effectively supports improved delivery of services to the public, preservation and protection of assets, utilization of equitable space standards, and promotes consolidation, collocation, and efficiency, where feasible.

  3. Goals.  It is the goal of the Department to fulfill mission needs and requirements while ensuring economical assignment and utilization of space.  To achieve this goal, the goals in the Asset Management Plan (AMP) are linked to the Department's Strategic Plan.  These include:

    1. Supporting bureau missions and strategic goals;

    2. Using public and commercial benchmarks and best practices;         

    3. Employing life-cycle cost-benefit analysis;

    4. Promoting full and appropriate utilization;

    5. Disposing of unneeded assets;

    6. Providing appropriate levels of investment;

    7. Accurately inventorying and describing all assets;

    8. Employing balanced performance measures;         

    9. Advancing customer satisfaction; and

    10. Providing safe, secure, and healthy workplaces.

  4. Scope.        

    1. This policy applies to all bureaus and offices in the Department.  It covers Interior owned and leased space including, and is not limited to, office and warehouse space.  It applies to all DOI occupied, utilized or controlled space including space acquired through purchase, lease, construction, GSA-assigned space in Federally owned or leased buildings, donations, exchanges, excess, agreements, and transfers.

    2. This policy does not apply to unimproved land.

  5. Authorities.  The authorities governing the Department's space management program include:

    1. Farm Security and Rural Investment Act of 2002, Public Law No. 107-71, as amended

    2. Code of Federal Regulations, 41 CFR 101-17 through 20 and 41 CFR 102

    3. Executive Orders:                  

      1. Executive Order 12072 - Federal Space Management (Central Business Area);

      2. Executive Order 12902 - Energy Efficiency and Water Conservation at Federal Facilities;

      3. Executive Order 13006 - Locating Federal Facilities on Historic Properties in our Nation's Central Cities;

      4. Executive Order 13101 - Greening the Government through Waste Prevention, Recycling and Federal Acquisition; and                  

      5. Executive Order 13327 - Federal Real Property Asset Management.

    4. OMB Circular A-11, Preparation and Submission of Budget Estimates

  6. Definitions.  A glossary of terms for the space management program is contained in Appendix A.

  7. Responsibilities.

    1. Assistant Secretary - Policy, Management and Budget through the Deputy Assistant Secretary - Business Management and Wildland Fire is responsible for oversight, reporting, issuing direction, and establishing management improvements for space management.         

    2. Office of Acquisition and Property Management (PAM) is responsible for coordinating policy development, disseminating information, and monitoring to ensure consistency with mission requirements and utilization standards.

    3. National Business Center is responsible for acquiring and managing space for itself and individual offices within the Office of the Secretary in support of their missions and to ensure alignment with Departmental strategic goals.

    4. Bureaus are responsible for acquiring and managing owned and leased space in support of bureau missions and to ensure alignment with Departmental strategic goals.


Appendix A
GLOSSARY OF TERMS

  • Acquisition - Acquiring by contract with appropriated funds of supplies or services (including construction) by and for the use of the Federal Government through purchase or lease, whether the supplies or services are already in existence or must be created, developed, demonstrated, and evaluated.  Acquisition begins at the point when agency needs are established and includes the description of requirements to satisfy agency needs, solicitation and selection of sources, award of contracts, contract financing, contract performance, contract administration, and those technical and management functions directly related to the process of fulfilling agency needs by contract.  (Federal Acquisition Regulation, Part 2, Definitions)

  • Asset Management Plan (AMP) - Charts the strategic direction for the management of owned and leased buildings, structures, roads and trails, the motor vehicle fleet, and non-Stewardship land within our portfolio.  The AMP is the roadmap that the Department will follow to ensure DOI portfolio of investments in constructed assets (owned and leased) and motor vehicles is well conceived, cost-effective, and supports our missions and business goals. 

  • Asset Management Team (AMT) - Those charged under Executive Order 13327 with the oversight responsibility for the Asset Management Plan.  Its role is to preside over major real property investment decisions and initiatives.

  • Bureau Senior Asset Management Officer - Bureau Senior Asset Management Officers are the DOI Bureau and Office Executives who make up the Asset Management Team.

  • Capital Asset - Capital assets are land, structures, equipment, intellectual property, and information technology used by the Federal government with an estimated useful life of two years or more.

  • Capital Planning Investment Control (CPIC) Process - Capital Planning Investment Control is a decision-making process for ensuring that investments integrate strategic planning, budgeting, procurement, and the management of capital assets in support of agency mission and business needs.

  • Condition Assessment - Periodic inspection by qualified personnel to fully determine and document the condition of a facility or item of equipment and identify maintenance needs.

  • Contracting Officer, Space Leasing - The person with authority and responsibility to contract for authorized supplies and services.  A contracting officer has authority to enter into, administer or terminate contracts (leases), and make related determinations and findings.  A contracting officer may bind the Government only to the extent of the authority delegated to him/her.

  • Current Design Capacity – The maximum capacity of which an asset, facility or system can operate, regardless of statutory, regulatory, contractual or other conditions or restrictions.  (Per Federal Real Property Council)

  • Deferred Maintenance - Maintenance that was not performed when it should have been or when it was scheduled and which, therefore, was put off or delayed for a future period.

  • Direct Lease - A lease between a landlord and the Department, bureau or office, either performed under a delegation from the General Services Administration or under separate statutory authority.

  • Federal Real Property Council (FRPC) – Council established by Executive Order 13327 to develop guidance for, and facilitate the success of, each agency's asset management plan.  The Council is composed of all agency Senior Real Property Officers and others deemed necessary by the Council. 

  • Federal Real Property Profile (FRPP) – A database designed to capture and report FRPC inventory data and performance measures.

  • Investment Review Board (IRB) - Investment Review Boards are executive level investment committees that decide which major/prospective capital investments should be recommended for funding considerations.  This Board ensures that each investment supports mission needs and strategic goals for the agency.

  • Lease - A binding legal document which sets forth certain rights and responsibilities of the parties to the lease.  This usually consists of a contract through which an owner of an asset (the lessor) conveys the right to use its asset to another party (the lessee) for a specified period of time (the lease term) for specified periodic payments.

  • Life Cycle Cost - The overall estimated cost for a particular alternative over the life of the program/project, including direct and indirect initial costs plus any periodic or continuing costs of operation and maintenance.

  • Life Cycle Cost-Benefit Analysis - A systematic quantitative method for comparing the costs and benefits of alternatives over the life of the lease, project or program.

  • Office Utilization Threshold – The maximum utilization threshold for all DOI agencies when acquiring new or additional leased space, or when planning office space in owned facilities, is 200 useable square feet per person, including all individual and shared space such as workstations, circulation, storage, and conference rooms.

  • Prospectus - Document prepared by the General Services Administration (GSA), in conjunction with the agency, submitted to OMB and Congress to obtain Congressional approval to proceed with major leasing, construction, or repair and alteration projects.  Prospectus thresholds are established annually by GSA. 

  • Real Property - Land (within established site boundaries), together with the improvements (buildings, structures, and site improvements), located thereon. 

  • Space - An area, usually defined by some form of constructed boundary, structure or building.  Parking areas, wareyards, warehouses, storage and office or general use buildings are typically regarded as "space" within their boundaries.  Open, unimproved land or lawns is not space.

  • Space Coordination Council (SCC) - A council of the lead space management and Space Leasing Contracting Officers from the Department and each bureau and office.  The SCC assists in the formulation of policy, coordinates space needs between Departmental entities, and facilitates the exchange of information and assistance between members to assist in the management of space and budgetary considerations. 

  • Space Management - The efficient and economical use of the defined space to properly support the mission of the entity on whose behalf it is owned or leased. 

  • Standard Form 81, Request for Space - The written request for space from an agency, indicating the amount, type, location, and configuration of space required as authorized, and the number of people, or the type of operation, to be housed.

  • Structure - A facility with a roof that is not enclosed on all sides or is not intended for permanent human occupancy.  (Structures include pavilions, pole barns, hay sheds, 3-sided truck barns or storage facilities, communication vaults, vault toilets, well houses, flammable storage, and trail shelters.)

  • Utilization – The state of having been made use of, i.e., the rate of utilization.  (Per Federal Real Property Council)

  • Utilization Rate – The utilization rate is a Federal Real Property Council (FRPC) performance metric to be reported in the Federal Real Property Profile for the four building categories below:

    • Offices – ration of occupancy to current design capacity

    • Warehouse – ratio of gross square occupied to the current design capacity

    • Housing – percent of individual units that are occupied

    • Laboratories – ratio of active units to current design capacity


Effective Date:  9/22/06
Series:   Real Property
Part 425:  Space Management
Chapter 2:  Strategic Planning and Budgeting
Originating Office:  Office of Acquisition and Property Management

425 DM 2
  1.  Purpose.  This chapter provides the Department's policy for strategic planning and budgeting for space.  It describes the process and responsibilities for developing, coordinating, managing, and reviewing/approving space portfolios and specific project proposals.

  2. Scope.  The policy in this chapter applies to the entire space portfolio for all bureaus and offices.  This includes space that is purchased, leased, constructed, rehabilitated and renovated.  It also applies to space received through donations, and intra- and inter-agency transfers.

  3. Responsibilities.         

    1. Bureaus and Offices are responsible for developing and implementing procedures and processes based on the requirements described below.  The process requires, at a minimum, development of space proposals, multi-year space plans, and compliance with bureau and Departmental Asset Management Plan requirements.

      1. Bureaus and Offices are to implement strategic planning processes for space management that meet the following goals:                          

        1. Align space to support strategic goals;

        2. Maximize effective management;

        3. Promote consolidation and collocation;

        4. Refine the model for funding cost increases in the budget to provide incentives for improving space management; and

      2. Where programmatically and economically viable, bureaus should assume leasing responsibilities to achieve savings.

    2. Investment Review Board (IRB).  The IRB is a body comprised of senior bureau or office officials responsible for reviewing and approving the documents listed in paragraph 2.3A.  The IRB actions are supported by an inclusive process requiring the following:

      1. Close coordination of program sponsors and managers, project managers, space portfolio managers, and senior management officials, including the heads of bureaus and offices;

      2. Participation of subject matter experts from key functional areas such as planning, budget, human resources, contracting, facilities and property management, legal, safety, security, information technology and the environment in the planning and decision-making process;

      3. Compliance with the utilization threshold of 200 useable square feet per person, including all individual and shared space such as work stations, circulation, storage and conference rooms; and

      4. Governance by mid-level managers and senior executives Department-wide through their participation on bureau and Departmental IRBs.

    3. Managers at all levels and subject matter experts, through their collaboration and cooperation, are integral to the success of DOI's portfolio management process.  They apply sound business practices to the planning, acquisition, operation, maintenance and disposal of capital investments, and ensure compliance with guidance from Congress, Office of Management and Budget and the Government Accountability Office.

  4. Strategic Planning and Budgeting.  Federal agencies are directed by Executive Order and legislation to incorporate various elements such as planning, alternatives analysis, risk management, portfolio analysis, and cost effective management into their asset management programs including space management.  This process includes the following steps:

    1. Alignment of space assets with strategic plans and current and future program needs;

    2. Proposal development;

    3. Multi-year planning;

    4. Portfolio-based management approach; and

    5. Departmental oversight

  5. Objectives.  Strategic planning establishes the general approach and major actions for satisfying the organization's requirements and positioning the portfolio to meet those needs.  Strategic planning covers a timeframe of six years (budget year plus five out-years).  The primary objectives of strategic planning include:

    1. Aligning investments in space with strategic missions, business goals, and outcomes within each bureau or office portfolio, and the Department's portfolio;

    2. Establishing the long-term direction to be followed by the bureaus and the Department for making sound investments and cost effective use of space in support of missions and programs;

    3. Serving as the basis for budgeted amounts for space as reported in the OMB Circular A-11, Exhibit 54, Space Budget Justification; and

    4. Ensuring that the workplace environment meets mission and employee needs in an equitable manner and contributes to effectiveness and efficiency.

  6. Strategic Space Planning.  Strategic planning, including multi-year plans, provides the foundation for successful space management at the bureau and Departmental levels.  These actions are supported by an inclusive process requiring:

    1. Close coordination of real property officers with program managers;

    2. Engagement of senior bureau or office officials in decision-making on investments in space, planning for future relocations, expansions, consolidations, or disposals and oversight of the management of space assets; and

    3. Departmental coordination and oversight of space assets and management programs to promote effective management, equitable space standards, and collocation.

  7. Aligning with Strategic and Mission Needs.  The actions of each organization to respond to space needs must support the Department's strategic goals, bureau or office mission needs, and other Departmental and bureau priorities.

    1. Project Proposals - Program managers, working closely with Bureau Senior Asset Management Officers, define the mission and strategic goal-related needs in space proposals.

    2. Through a collaborative process, proposals are reviewed by the bureau/office IRB who judges the strength of the proposal by utilizing the following criteria:  alternatives analysis, risk analysis, opportunities for consolidation or collocation, and life-cycle cost.

    3. As space proposals are approved, they must be incorporated into the budget and reflected in subsequent budget requests and the OMB Circular A-11, Exhibit 54.  Ensuring a consistent, institutionalized process for review and approval by the IRB is the responsibility of the Bureau Senior Asset Management Officer (refer to EO 13327).

  8. Multi-Year Plan.  Based on the current space inventory and space proposals, approved by the office or bureau investment board, each bureau and office completes the multi-year space plan, in accordance with the AMP requirements, incorporating the aggregate needs of programs.  The multi-year plan (budget year plus five out-years), to be approved by the bureau or office director, is submitted to the Department annually.  It is critical that the first three years of the multi-year plan are consistent with the OMB Circular A-11, Exhibit 54 for the full space needs to be budgeted (See 425 DM 4).

    Planning is an ongoing process to document bureau or office space needs over a multi-year period.  In support of the goals of the AMP, the intent is to consolidate the bureau and office multi-year plans at the Departmental level to identify and assist with future collocation and consolidation opportunities within and outside the Department and forecast asset investments.  The bureau or office director approves the plan before submitting it to the Department to ensure engagement of senior bureau leadership.

  9. Space Proposal Development.  While the primary emphasis of the proposal development phase is defining space to support mission and strategic needs, a critically important component of each proposal is the alternatives analysis.  Each proposal must consider the options to lease, purchase, use of existing owned or leased space, and no action.  The consideration for using existing owned space should include a review of needs and costs to renovate, expand, and maintain.  Costs and benefits for each alternative are to be examined.  The involvement of the Bureau Senior Asset Management Officer is essential to ensure that all options are examined.  Proposals must address factors that can have a bearing on space availability, cost and opportunities for collocation.  The factors to be included (but not limited to) in the proposal are:

    1. Security;

    2. Safety/health considerations;

    3. Collocation needs of and working relationships with partners (e.g., other Federal agencies and universities);

    4. Improved service to the public;

    5. Continuity of Operations (COOP) planning;

    6. Alternative space and opportunities for collocation;

    7. Departmental space utilization standards;

    8. Telecommunications and information technology;

    9. Telework and telecommuting considerations;

    10. Greening/environment/recycling;

    11. Energy and utilities;

    12. Historic preservation;

    13. Parking, ride sharing and transportation subsidy programs;

    14. Americans with Disabilities Act;

    15. Preliminary market surveys;

    16. Move and relocation costs;

    17. Hoteling and shared space, and administrative support.

  10. Departmental Coordination and Oversight.  The Department's governance of bureau and office space management will be conducted by bureau and Departmental Investment Review Boards and the Department's Space Coordination Office, as appropriate.  Responsibilities include:

    1. Developing space management policy and guidance, overseeing management and technical policy requirements, and resolving space policy issues;

    2. Evaluating bureau space management performance goals and alignment of space management goals with the DOI Strategic Plan and mission needs;

    3. Reviewing Multi-Year Space Management Plans, and major Space Proposals;

    4. Monitoring bureau portfolios to identify opportunities for consolidation, relocation and collocation and make recommendations for decisions, including special emphasis for space consolidation, relocation and collocation plans for the Washington, DC, metropolitan area;

    5. Maintaining Departmental leadership with GSA, OMB, GAO and professional organizations on space management issues;

    6. Ensuring compliance with and participating in the evaluation and update of the DOI Capital Planning Investment Control (CPIC) process, the Departmental CPIC guide, and the DOI Asset Management Plan;

    7. Reviewing DOI and bureau OMB Circular A-11, Exhibit 54, Space Budget Justification submissions, and business cases for major investments;

    8. Ensuring consistency between submissions for OMB Circular A-11, Exhibit 54 - Multi-Year Space Management Plans and Exhibit 300 - Five Year Deferred Maintenance and Capital Improvement Plan;

    9. Serving as liaison with and providing support to the Asset Management Partnership;

    10. Advocating space management best practices;

    11. Overseeing the governance of major investments requiring Departmental approval; and

    12. Active membership in the Space Coordination Council.



Effective Date
:  9/22/06
Series
:   Real Property
Part 425
:  Space Management
Chapter 3
:  Proposal Preparation
Originating Office
:  Office of Acquisition and Property Management

425 DM 3
  1. Purpose.  This chapter establishes policy governing the development of proposals for the construction or acquisition of space.

  2. Scope.  The provisions of this chapter apply to the entire current portfolio of space Department-wide, covering space that is in the process of being planned, purchased, leased, GSA-assigned, constructed, rehabilitated and renovated.  It also applies to space received through donations, and intra- and inter-agency transfers.

  3. Responsibilities.  Bureaus and offices are responsible for:  

    1. Adopting these procedures and formats for their space management programs, and

    2. Ensuring adherence to these policies while working through the Bureau Senior Asset Management Officer and the Departmental Senior Real Property Officer.


  4. Alternatives for Acquiring Space.  Two primary alternatives should be considered when acquiring space:

    1. All bureaus and offices are required to contact the GSA prior to instituting any space action to determine if any suitable government-controlled space is available that would meet the space needs of the bureau or office.  If government-controlled space is available that meets the need, then the existing government-controlled space must be used to fulfill the space requirements.

    2. If no government-controlled space is available that meets mission needs, an analysis of the alternatives, and an assessment of the risks must be made for acquiring space through other means, including, but not limited to DOI leased, GSA-assigned, constructed, and donated space.


  5. Proposal Development.  The Justification for New or Expanded Space template is to be used to request and/or report any increase to the existing inventory of space or when a proposal requires approval and reporting (See Appendix 1).  Once approval and reporting requirements are satisfied, these changes must be incorporated into the multi-year plan.  The multi-year plan shall be reported to the Departmental Space Coordination and Budget Offices.


Appendix 1
Proposed Governance Structure Threshold Approval and Reporting Levels

Threshold
Levels

Report
Reqs
Approval Requirement
Dept. Space
Coor. Office
Bureau Investment Review
Bureau Senior Asset Officer
Bureau Director
Depart. Space Coord.
Office
Asset Team
Dept. Senior Real Property Officer
GSA
<$100k Net Annual Rent
x





2
$100k to Under $1Million Net Annual Rent
x x x



2
$1,000,000 to Under Prospectus Level
x x x x x x x
Over Prospectus Level
x x x x x x x x

Note:
  1. Net Annual Rent = Base rent and does not include utilities, taxes, O&M cost or security.

  2. "If Applicable" refers to use of the delegated lease authority.


 
Effective Date:   9/22/06
Series:  Real Property
Part 425:  Space Management
Chapter 4:  The Multi-Year Plan
Originating Office: Office of Acquisition and Property Management
 
425 DM 4
  1. Purpose.  This chapter establishes policy governing the development of the multi-year plan for space.

  2. Responsibilities.  Bureaus and offices are to adopt these procedures and formats for their space management programs and are responsible for ensuring adherence to these policies while working through the Senior Asset Manager and the Bureau Senior Asset Management Officer.

  3. Multi-Year Plan.  Bureaus and offices are to submit the multi-year plan annually in accordance with the Asset Management Program (AMP) requirements.  It will include all new space proposals, including expansions or reductions approved by the bureau as of the date of the plan.  Modifications to the plan will be submitted within one month of the date of the decisions of the Bureau or Office Director.

  4. Budget.  It is critical that the upcoming three years of the multi-year plans serve as the basis for the OMB Circular A-11, Exhibit 54, Space Budget Justification, for the full space needs to be budgeted.  Variations from the amounts budgeted or reported in OMB Circular A-11, Exhibit 54 as compared to the bureau plan will not be supported by the Department.

  5. Bureau or Office Delegations of Leasing.  Bureaus and offices that have delegations for space leasing responsibilities from GSA must use a Real Property Contracting Officer who is warranted and in compliance with Departmental requirements; and ensure that all actions taken are consistent with the multi-year plan.  Where programmatically and economically viable, and no existing federal or DOI leased or owned space is suitable, bureaus and offices may request a space leasing delegation from GSA.



Effective Date
:  9/22/06
Series:  Real Property
Part 425:  Space Management
Chapter 5:  Occupancy and Asset Management
Originating Office:  Office of Acquisition and Property Management

425 DM 5
  1. Purpose.  This chapter provides policy for evaluating space needs in existing facilities using a consistent, cyclical process.

  2. Policy.  In accordance with the requirements of the AMP, space utilization shall be continually assessed to determine whether the facility continues to support bureau or office mission needs and strategic plans.  Opportunities for replacement, collocation, consolidation, disposal/lease termination and other actions shall be identified and considered in accordance with 425 DM 2.

  3. Responsibilities.

    1. Bureau and Office Directors are responsible for ensuring that their bureau or office has a process in place to provide for management that includes the following:
      1. Coordinating space needs across organizational, bureau, and Departmental lines;

      2. Promoting "One Stop" consolidation of public contact operations through collocation;

      3. Monitoring of warranties of specialized or government funded equipment;

      4. Providing oversight of the operation and maintenance by government or private landlords;

      5. Ensuring that space utilization and changes are consistent with the multi-year plan and that all decisions are approved by the bureau or office investment entity prior to deployment;

      6. Enforcing Departmental guidance on condition assessment and deferred maintenance planning;

      7. Enforcing Departmental guidance on space utilization rates;

      8. Encouraging alternative work space where practical (e.g., hoteling, semi-private {doubled} offices, and telework);

      9. Reviewing lease provisions including landlord performance; and

      10. Ensuring space requirement financial considerations adhere to Interior's Federal Real Property Financial Management Policy.

      11. Ensuring consistent, accurate reporting of all space (owned, direct leased or otherwise managed) into the Federal Real Property Profile in accordance with the requirements of the Federal Real Property Council.

    2. The Office of Acquisition and Property Management is responsible for providing oversight to ensure compliance.



Effective Date:  9/22/06
Series:  Real Property
Part 425:  Space Management
Chapter 6:  Space Disposal/Lease Termination
Originating Office:  Office of Acquisition and Property Management

425 DM 6
  1. Purpose.  This chapter describes bureau and office responsibilities relating to asset disposal, specifically space, and lease termination.

  2. Space Disposal, Interior Owned Space.  When space no longer meets mission requirements, bureaus and offices shall:

    1. Refer to the Office of Acquisition and Property Management's real property disposal policy in 422 DM.}

    2. Incorporate changes into the multi-year plan.

    3. Complete disposal requirements and revise real estate portfolio records in accordance with 422 DM.

  3. Space Disposal, Leased Space (DOI or GSA).  When leased space no longer meets mission requirements, bureaus or offices shall:

    1. Prepare a space proposal consistent with 425 DM 3.  The proposal will be the basis for a decision by the investment body and the bureau or office director to proceed with lease termination.  The proposal will evaluate the alternatives including returning the space under GSA's 120 day policy, buy-outs, sub-leases, or minimizing the impact of lease costs by actions such as reduction of utilities for the remainder of the lease.

    2. Notification will be given to the Department and other bureaus and offices.  The multi-year plan will consider lease terminations as a part of the plan, and/or incorporate the change if termination becomes necessary.

    3. Complete lease close-out requirements and revise records relating to the real estate portfolio.