Fiscal Year Budgeting

• Capital Planning and Master Planning
• Proposals for Major Expansion or Renovation of Space
• Capital Project Approvals

Roles of Committees

Capital Project Process Overview

All facilities projects have as their genesis a need to satisfy programmatic requirements in the academic, student life, or infrastructure support units of the university. Facilities projects to satisfy academic programs almost always originate with the Deans or Librarian. Student life projects will be initiated by the Vice President and Dean of Students. Projects for major utility systems or for major facilities maintenance will originate with the Associate Vice President for Facilities Services.

In most cases, each facility project will develop within the context of a broad academic and facilities plan for a division or unit. In recent years the University has been constructing buildings that were described and sited in a Campus Master Plan. The Law School is developing a similar master plan for their building needs. Similarly, a multi-year plan for major maintenance projects is continually updated by Facilities Services including projects needed to maintain or improve building envelopes, plumbing, electrical service, heating and cooling distribution and utilities (providing steam, chilled water and electricity to campus buildings).

The site for any new building, a major expansion of any existing building and any modification to an existing building that would significantly change its appearance must be reviewed by the Faculty Campus Planning Committee and approved by the Campus Planning and Facilities Committee of the Board of Trustees.

Every facilities project should follow a fairly specific university process of development, review, and approval as that project evolves from conception to completion. Figure 1 illustrates this process.

In general, the Dean or Vice President will take the lead initiating a project, but the internal university screening and project development become the responsibility of the Associate Vice President for Facilities Services and the University Budget Director. Formal administrative approval to move forward with each project rests with the Capital Projects Committee (CPC) that meets regularly and is comprised of:

• President
• Provost
• Vice President for Administration and Chief Financial Officer
• Vice President for Development and Alumni Relations
• Vice President for Community and Government Affairs

The CPC is staffed by the Associate Vice President for Facilities Services, the Associate Provost for Planning and the University Budget Director. Once the project has been approved by the CPC, final development and execution of the project falls to the Associate Vice President for Facilities Services or to the Associate Dean and Chief Financial Officer of the Biological Sciences Division with review by the Faculty Campus Planning Committee and approvals at various points by the CPC, the Campus Planning and Facilities Committee of the Board of Trustees and the Executive Committee of the Board of Trustees, as noted on Figure 1.

The Role of the Capital Projects Committee

The Committee will have responsibility for campus master planning.

The committee shall have policy responsibility for the University’s real estate (excluding property held solely for investment purposes) and physical plant, including its maintenance, alterations, and the provision of utilities.

The committee shall approve all non-investment real property transactions, and approve all new construction and renovation projects and maintain general policy supervision over such projects. Only projects approved by this Committee will be included in the annual capital budget submitted to the Board of Trustees for approval.

Projects costing $3 million or more will have a greater degree of oversight by this Committee and will come before the Committee for approval of a project plan, siting, schematic design, and budget approval. Projects below this threshold will be supervised by the Vice President for Administration and Chief Financial Officer or the Associate Dean and Chief Financial Officer of the Biological Sciences Division, as appropriate.

The Committee will recommend the selection of architects to the Campus Planning and Facilities Committee of the Board of Trustees.

The Capital Projects Committee meets on a bi-weekly basis.

Role of the Faculty Campus Planning Committee

The Faculty Campus Planning Committee is an advisory committee to the Provost. It is appointed by the Provost and staffed by the Office of Facilities Services. It will review the site and design of any new capital project, any modification (expansion or renovation) that would significantly alter the exterior appearance of an existing campus building, and any other project that would significantly change the appearance of the campus and make recommendations to the Provost regarding these projects.

The Faculty Campus Planning Committee meets on a monthly basis during the academic year.

Role of the Campus Planning and Facilities Committee of the Board of Trustees

This Committee will:

• Review the University’s long-range campus plan and recommend changes as appropriate;
• Review and approve plans for the site, schematic design, and construction of new buildings and the major renovation of existing buildings;
• Review and approve cost estimates for new construction and major renovation projects prior to their consideration by the Executive Committee or Board of Trustees;
• Approve architects to be invited to bid and the selection of the winning bidder for each major building project; and,
• Review periodically the management and maintenance of existing campus buildings and off-campus housing owned or managed by the University.
• Approve demolition of existing buildings.
• Generally focus on building exteriors and design intent when reviewing major projects. The committee may also review designs for interior public spaces with significant public impact.

The Campus Planning and Facilities Committee meets quarterly in conjunction with the regular Trustee meetings. However, construction schedules can be time-sensitive, so that nimbleness is occasionally essential. An additional meeting may be scheduled should the chair deem it necessary.

Role of the Financial Planning Committee of the Board of Trustees

The Committee shall:

• Consult with the Administration in the development of the annual capital budget;
• Recommend to the Executive Committee the annual capital budget;
• Any project $2 million or greater is identified separately
• Projects below $2 million are grouped together by category into a lump sum
• Projects greater than $10 million are explained in greater detail
• Review periodically the current year capital expenditures; and
  • CFO provides quarterly budget updates
  • For projects exceeding $10 million, a project update is provided at the quarterly meetings of the Financial Planning Committee, the Board and the Campus Planning and Facilities Committee
  • Review and recommend for approval the administration’s long-range capital plan.

Role of the Board of Trustees or the Executive Committee of the Board of Trustees

It is the responsibility of the Board of Trustees, or the Executive Committee on behalf of the Board of Trustees, to approve the need and location for new physical plant and provide funding therefore.

No capital expenditure may be made unless it is contained in a capital budget approved by the Board of Trustees or the Executive Committee of the Board of Trustees. Any capital project with a cost of $3 million or more must be identified separately in the capital budget. Projects greater than $10 million require a statement of scope, need and financing as well as quarterly reporting throughout the life of the project.