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Appendices to Construction Planning Report
Appendix One:
Graphic Representation of Major Project Planning Process
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Appendix Two:
Major Project Planning Process
June 3, 2005
(editorial changes Sept. 17, 2007 to reflect Council Committee restructuring)
Objective
•
To develop a Planning Process to systematically identify, review, and approve University of
Saskatchewan Major Projects.
•
The Planning Process is intended to serve as a systematic and transparent approach to review
major projects on an individual basis within the context of the University’s Integrated Plan, Strategic
Directions, and College/Unit Academic and Strategic Plans. In addition to the above-noted criteria,
the Planning Process will also recognize additional mitigating factors such as internal and external
funding opportunities, life safety, and code and regulatory issues.
•
The Planning Process involves University Council at Stage 1 (Project Request) and Stage 3
(Project Approval) wherein University Council will have an opportunity to provide advice, guidance,
comments and observations for each project prior to formal project approval.
•
The University President and the Provost’s Committee on Integrated Planning (PCIP) will also
have input and directional opportunities at Stages 1 and 3 with formal approval for the project to
proceed being granted by PCIP at Stage 3. Stage 4 will encompass the Major Project Governance
Structure which is currently being employed and contains both PCIP and Board of Governors’ review
and approval stages.
•
The Director, Integrated Facilities Planning will provide a semi-annual report on the status of all
major capital projects under consideration to the Planning and Priorities Committee, and thereby to
Council.
•
All major projects in excess of $500,000 will adhere to this process including capital building
projects, major computer software acquisitions, major equipment purchases, infrastructure projects,
and all major acquisitions that have a value greater than $500,000.
Stage 1: Project Request
Purpose: To provide a conceptual framework and preliminary document that will include project
rationale/justification, project concept, and project description along with capital and operating
funding implications and sources, if identified.
Process:
• A Major Project Request Form will be completed by the project proponent.
• Completion of the form may require assistance from the Integrated Planning Office (IPO) and/or
individuals from the applicable Academic Support Units.
• Requests will need to be vetted and approved through the responsible Department Head, Dean of
the College or Director of a Unit.
• Depending upon the content, rationale, and scope of the project, the Academic Support Unit
could include Facilities Management, Information Technology Services, Health, Safety, and
Environment, Educational Media Access and Production Services, Financial Services Division,
amongst others.
• The Major Project Request Form is to be submitted to the Assistant Provost, Integrated Planning
and Analysis
• See Appendix “A” for “Major Project Request Form” (For Projects Exceeding $500,000).
Individual Major Project Request Forms will be available for: A. Capital Construction and
Renovations; B. ICT Projects; C. Equipment
IPO/Academic Support Unit Preliminary Review
Purpose: To provide the President, PCIP, and the Planning and Priorities Committee of Council
with a preliminary assessment and institutional perspective on the proposed project. The
information provided will be supplemental to the Major Project Request Form.
Process:
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Appendices to Construction Planning Report
The Major Project Request Form will be provided by the IPO to the applicable Academic
Support Unit for comments, clarification, and preliminary review and analysis. Particular
reference, where applicable, will be made to Strategic Directions, the Integrated Plan,
College/Unit Academic/Strategic Plans, Foundational Documents, and funding implications.
The Academic Support Unit and the IPO will collaboratively complete a Comment/Remark
Form for each submitted request. This form, along with the Major Project Request Form, will
be provided to the President, PCIP, and the Planning and Priorities Committee.
See Appendix “B” for “Academic Support Unit/IPO Major Projects – Comments/Remarks”.
Individual “Academic Support Unit/IPO Major Projects – Comments/Remarks” forms will be
available for: A. Capital Construction and Renovations; B. ICT Projects; C. Equipment
President/PCIP/Council Request for Review
Purpose: To provide an opportunity for the President, PCIP and the Planning and Priorities
Committee to be aware of a proposed major project at an initial stage and to complete a
preliminary assessment of the proposal, to review the proposed project and to provide
observations, comments, and feedback
Process:
• The “Major Project Request Form and the Academic Support Unit/IPO Major Projects –
Comments/Remarks Form” will be provided to the President, PCIP,
and the Planning and Priorities Committee for preliminary assessment.
• PCIP may wish to receive comments, observations, and analysis from the Administrative
Committee on Integrated Planning (ACIP).
• The Planning and Priorities Committee will review the proposal concentrating its remarks
around the assessment criteria and report its deliberations to University Council and to PCIP.
Depending on the proponent nature of the proposal, the Planning and Priorities Committee
may ask for advice from other Committees of Council, but this should not be a regular
occurrence, given the preliminary nature of the request at this stage. Should the Planning
and Priorities Committee require further information or clarification, the request may be
directed back to the project proponent and/or the Academic Support Unit/IPO for further
information or clarification.
• Documented comments and observations for each project proposal will be submitted to the
Assistant Provost, Integrated Planning and Analysis for compilation and submission to PCIP.
• Based on the information provided by the project proponent, the President, the IPO, the
Academic Support Unit, and University Council, PCIP may:
o Recommend that the project is to proceed to the next stage with all information and
observations provided to the Pre-Planning Team.
o Direct the request back to the project proponent and/or the Academic Support
Unit/IPO for further information or clarification.
o Recommend that the project not proceed beyond this stage.
• PCIP will advise the project proponent, the President, and University Council of its decision.
Stage 2: Project Pre-Planning
Purpose: To establish a representative Pre-Planning Team, coordinated by a tentative Executive
Sponsor, to shape the project, define project requirements and develop an overall project
definition including program and scope.
Process:
• A Project Pre-Planning Team will be established with membership being recommended by PCIP.
Membership will include a Tentative Executive Sponsor, an identified Academic/Administrative
Program Leader, College or Departmental representative(s), Senior Administrative Representation,
Academic Support Unit representation, IPO representation, and other appropriate internal or external
members as deemed necessary.
• The Pre-Planning Team will further develop the preliminary information and complete a “Planning
Brief.”
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Planning Brief
Purpose: The Planning Brief is intended to provide PCIP and University Council with a detailed
description of the proposed major project including justification, scope, program, capital and
operating funding requirements, and potential funding sources, including a business plan, where
applicable.
Process:
• The Pre-Planning/Project Development Team will prepare a Planning Brief for submission to
PCIP and to the Planning and Priorities Committee.
• The Planning Brief will be provided to PCIP and to University Council for review and
observations.
• See Appendix “C” for a “Planning Brief.” Individual Planning Briefs will be
available for: A. Capital Construction and Renovations; B. ICT Projects; C.
Equipment
Stage 3: Project Approval
Purpose: Based on the information provided in the Planning Brief and Council review/input, PCIP will
determine whether the project will be approved to proceed to the next stage, that being the
approved “Major Project Governance Structure”.
Process:
• PCIP will review the Planning Brief and consult further with PEC, if required.
• The Planning and Priorities Committee of Council will preview the Planning Brief and refer it to any
other Council Committees it deems appropriate for comment. Those Council Committees involved,
will review the proposal against the assessment criteria for capital project proposals and report its
findings to the Planning and Priorities Committee for further review. It is envisioned that at this stage
the Planning and Priorities Committee and PCIP will mutually inform each other of the nature of the
discussion to date and key issues identified. The Planning and Priorities Committee’s final
recommendation will be submitted to PCIP and to University Council.
• PCIP may:
o Approve the Planning Brief and grant approval for the project to proceed, upon which the
approved Major Project Governance Structure will be enabled and the formalized planning
process will be initiated.
o Return the Planning Brief to the Pre-Planning/Project Development Team for additional
information or clarification.
o Place the project in abeyance until the required resources are either in place or are have an
identifiable source, or until such time that the project is identified as a priority and critical
need by the University.
• PCIP will advise the project proponent, the Pre-Planning/Project Development Team, the President,
University Council and the University Community of its decision.
Stage 4: Project Governance
Purpose: As stated in the “Major Project Governance Structure” of December 12, 2003, the “primary
objective of the proposed governance model is to assure effective planning, prioritization,
approval, and management, and reporting of major projects. This will ensure clear identification
of the project priority, justification, including how the project will support, protect, and enable
the Strategic Directions, the foundational documents, and the objectives of the University of
Saskatchewan”.
Process:
• The Major Project Governance Structure was approved by the Board of Governors on December 13,
2003. Each project will include:
• Designation of an Executive Sponsor
• Identification of an Academic/Administrative Program Coordinator
• The establishment of a Project Steering Committee
• A defined format and process/structure for Board of Governors Approvals including Board
FYI, Board I, and Board II Submissions
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Appendix Three:
Instrumentation -- Templates
Major Project Request
Capital Construction and Renovations
(For Projects Exceeding $ 500,000)
Name of Project Proposal:
Date:
Project Proponent:
Telephone #
Email:
Project Contact:
Telephone #
Email:
College/Department:
Purpose of Project:
Brief Project Description:
Project Rationale: (Examples)
Change/Expansion of Academic Program
Change/Expansion of Research Program
Improved Function
Modernization/Upgrade
Safety
Security
Health
Infrastructure
Grant/Proposal – e.g. CFI, CRC
Staffing Increases
New Improved Services
Space Deficiency
Furnishings
Relationship to College/Unit Strategic Plan:
Relationship to Integrated Plan/Strategic Directions:
Consequence of Not Proceeding:
Range of Anticipated Capital Project Costs (if known):
Projected Source of Capital Funding:
Annual Building Operating and Maintenance and Utility Costs:
Projected Source of Building Operating and Maintenance and Utility Costs (if applicable):
Additional Ongoing Operating Costs (non-building):
Sustainable Development Opportunities (if available):
Additional Comments:
Recommended By:
Department Head:
Dean/Director:
FMD/IPO Major Project Request - Comments/Remarks
Capital Construction and Renovations
(For Projects Exceeding $ 500,000)
Proposed Executive Sponsor:
Proposed Project Development Team:
Proposed FMD Planner/Development Manager:
Program Scope:
Planning Parameters:
Planning Comments:
Project Comments:
Master Plan Comment:
College/Unit Academic/Strategic Plan Comments:
Integrated Planning/Strategic Directions Relationship:
Preliminary Capital Project Costs (Range):
Building O&M Costs - Comments:
Additional Ongoing Operating Costs - Comments:
General Project Comments:
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Planning Brief
Capital Construction and Renovations
Project: Name of Project
Project Summary: Brief paragraph outlining scope of project, rationale, preliminary capital cost, project schedule, funding
source
Project Scope: Outline the basic concept of the project
Project Rationale: Explain academic, research, administrative, or student need for the project. (e.g. space deficiency, academic
or research program changes, building revitalization, opportunity, code and regulatory, infrastructure requirements,
structural deficiencies)
Proposed Solution: Description of new building construction or building renovation.
Benefits of Proposed Solution:
(e.g.)
Expandable
Employee Service
Flexible
Professional Obligation
Architectural
Reliability
Economic
Life Cycle Cost
Expediency
Stewardship
Consequence of Not Resolving or Risk of Not Completing Project: Indicate the negative impact of not undertaking this
project (e.g. threat to University program requirements or University operability, non-compliance of code and
regulatory issues, building and infrastructure integrity)
Other Alternatives Explored: Outline other options that were explored prior to selecting this proposal.
Planning Parameters: Projected number of faculty, researchers, graduate student, undergraduate students, etc. that will impact
the size and scope of the project.
Space Analysis: Observations and recommendations re: project scope and size following a complete unit space review to assess
space utilization, functionality, and proposed space allocation and development.
Fit With Integrated Planning/Strategic Directions: Indicate relationship with Integrated Planning Process and IP observations,
Strategic Directions, institutional priorities.
Site: Proposed Building site
Fit With Precinct Sub-Plan: Does the project require an evaluation or development of an area sub-plan?
Master Plan Integration: Describe the project’s relationship/fit with the Core Area Master Plan
Sustainable Development Initiatives: Indicate sustainable development initiatives (e.g. design, programs, LEEDS, etc.)
Preliminary Capital Budget: Indicate preliminary capital budget including project costs based on project completion date.
Approvals and Schedule: Outline proposed schedule (based on months)
Preliminary Building Operating and Maintenance Costs: Indicate estimated building operating and maintenance costs (based
on campus average for year of occupancy)
Source of Funds: Indicate capital funding sources and building operating and maintenance sources (based on year of
completion). A business plan outlining projected revenue sources and operating costs is to be included, where
applicable.
Ongoing Operating Costs (non-Building) and Potential Sources: Does the implementation of the project also require the
securing of additional operating funds to maintain programs, staffing, etc.
Additional Comments:
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Major Project Request
ICT Projects
(For Projects Exceeding $ 500,000)
Name of Project Proposal:
Date:
Project Proponent:
Telephone #
Email:
Project Contact:
Telephone #
Email:
College/Department:
Purpose of Project:
Brief Project Description:
Project Rationale: (Examples)
Change/Expansion of Academic Program
Change/Expansion of Research Program
Improved Function
Modernization/Upgrade
Safety
Security
Health
Infrastructure Upgrade or Replacement
Grant/Proposal – e.g. CFI, CRC
New Improved Services
Additional Capacity
New Emerging Technology
Relationship to College/Unit Strategic Plan:
Relationship to Integrated Plan/Strategic Directions:
Consequence of Not Proceeding:
Range of Anticipated Capital Project Costs (if known):
Examples:
Hardware/Equipment Acquisition
Renovations
Installation
Projected Source of Capital Funding:
Ongoing Annual Operating and Maintenance Costs:
Examples:
Staff
Software Agreements
Maintenance
Leasing
Projected Source of Project Operating and Maintenance Costs (if applicable):
Facility/Space Requirements (if applicable):
Examples:
Electrical
Structural
Mechanical
Architectural – Cabling/Conduit
Emergency Power
Additional Comments:
Recommended By:
Department Head:
Dean/Director
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ICT/IPO Major Project Request - Comments/Remarks
ICT Projects
(For Projects Exceeding $ 500,000)
Proposed Executive Sponsor:
Proposed Project Development Team:
Proposed ICT Resource/Project Manager:
Program Scope:
Planning Parameters:
Planning Comments:
Project Comments:
College/Unit Academic/Strategic Plan Comments:
Integrated Planning/Strategic Directions Relationship:
Preliminary Capital Project Costs (Range):
Ongoing Operating Costs (non-Building):
Project Operating and Maintenance Costs - Comments:
General Project Comments:
Physical: (Example)
Structural
Campus Backbone vs. Building
Mechanical
Architectural – Cabling/Conduit
Electrical Upgrade
Additional Computer Capacity
Emergency Power
Installation
Computer Closets
Additional Capacity
Equipment Acquisition
Hardware/Software
New Improved Service
Infrastructure
Functional: (Example)
Change/Expansion of Academic Program
Change/Expansion of Research Program
Improved Function
Modernization/Upgrade
Infrastructure Upgrade or Replacement Grant/Proposal – e.g. CFI, CRC
Improved Services
New/Emerging Technology
Additional Capacity
Operating Costs:
Staff
Maintenance Agreement
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Planning Brief
ICT Projects
Project: Name of Project
Project Summary: Brief paragraph outlining scope of project, rationale, preliminary capital cost, operating costs, project
schedule, funding source(s)
Project Scope: Outline the basic concept of the project
Project Rationale: Explain academic, research, administrative, or student need for
the project. (e.g. academic or research program changes, infrastructure requirements, emerging technology, system upgrades or
updates, improved services, hardware/software acquisition, additional capacity)
Proposed Solution: Description of recommended resolution
Benefits of Proposed Solution:
(e.g.)
Expandable
Employee Service
Flexible
Professional Obligation
Reliability
Academic/Research /Student Needs
Economic
Security
Expediency
Stewardship
Mandatory – Regulatory
Consequence of Not Resolving or Risk of Not Completing Project: Indicate the negative impact of not undertaking this
project (e.g. threat to University program requirements or University operability)
Other Alternatives Explored: Outline other options that were explored prior to selecting this proposal.
Planning Parameters: Projected number of faculty, researchers, graduate student, undergraduate students, etc. that will impact
the size and scope of the project or will be impacted by the project.
Scope Analysis: Observations and recommendations pertaining to the project scope and size, and recommendations.
Fit With Integrated Planning: Indicate relationship with Integrated Planning Process and IP observations, institutional
priorities.
Preliminary Capital Budget and Projected Funding Sources: Indicate preliminary capital budget including project costs based
on project completion date.
Preliminary Ongoing Operating and Maintenance Costs (Non-Building) and Projected Funding Sources: (e.g. Business
Plan, if applicable)
Approvals and Schedule: Outline proposed schedule (based on months)
Additional Comments
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Major Project Request
Equipment Acquisition and Installation
(For Projects Exceeding $ 500,000)
Name of Project Proposal:
Date:
Project Proponent:
Telephone #
Email:
Project Contact:
Telephone #
Email:
College/Department:
Purpose of Project:
Brief Project Description (Equipment Description and Specifications):
Project Rationale (Examples)
Change/Expansion of Academic Program
Change/Expansion of Research Program
Improved Function
Modernization/Upgrade
Safety
Security
Health
Infrastructure
Grant/Proposal – e.g. CFI, CRC
Relationship to College/Unit Strategic Plan:
Relationship to Integrated Plan/Strategic Directions:
Consequence of Not Proceeding:
Range of Anticipated Capital Project Cost (if known):
Projected Source of Capital Funding:
Physical Location of Equipment:
Space and Installation Requirements:
Projected Installation and Renovation Costs:
Examples:
Structural
Emergency Power
Electrical
Radioactive
Mechanical
Biohazards
Computer Infrastructure
Special Needs
Potential Operating and Maintenance Costs (if applicable):
Projected Source of Operating a Ongoing Operating Costs (non-Building):
Maintenance Costs (if applicable):
Additional Comments:
Recommended By:
Department Head:
Dean/Director:
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Academic Support Unit/IPO Major Project Request - Comments/Remarks
Equipment Acquisition and Installation
(Projects Exceeding $ 500,000)
Proposed Executive Sponsor:
Proposed Project Development Team:
Proposed Academic Support Unit Resource/ Project Manager:
Program Scope:
Planning Parameters:
Planning Comments:
Project Comments:
Master Plan Comment:
College/Unit Academic/Strategic Plan Comments:
Integrated Planning Relationship:
Space and Installation Comments:
Preliminary Capital Project Costs (Range):
Potential O&M Costs - Comments:
General Project Comments:
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Planning Brief
Equipment Acquisition and Installation
Project: Name of Project
Project Summary: Brief paragraph outlining scope of project, rationale, preliminary capital cost, project schedule, funding
source
Project Scope: Outline the basic concept of the project
Project Rationale: Explain academic, research, administrative, or student need for the project. (e.g. space deficiency, academic
or research program changes, building revitalization, opportunity, code and regulatory, infrastructure requirements,
structural deficiencies)
Proposed Solution: Description of new building construction or building renovation.
Benefits of Proposed Solution:
(e.g.)
Expandable
Employee Service
Flexible
Professional Obligation
Architectural
Reliability
Economic
Life Cycle Cost
Expediency
Stewardship
Consequence of Not Resolving or Risk of Not Completing Project: Indicate the negative impact of not undertaking this
project (e.g. threat to University program requirements or University operability, non-compliance of code and
regulatory issues, building and infrastructure integrity)
Other Alternatives Explored: Outline other options that were explored prior to selecting this proposal.
Planning Parameters: Projected number of faculty, researchers, graduate student, undergraduate students, etc. that will impact
the size and scope of the project.
Space Analysis: Observations and recommendations re: project scope and size following a complete unit space review to assess
space utilization, functionality, and proposed space allocation and development.
Fit With Integrated Planning: Indicate relationship with Integrated Planning Process and IP observations, institutional
priorities.
Site: Proposed Building site
Fit With Precinct Sub-Plan: Does the project require an evaluation or development of an area sub-plan?
Master Plan Integration: Describe the project’s relationship/fit with the Core Area Master Plan
Sustainable Development Initiatives: Indicate sustainable development initiatives (e.g. design, programs, LEEDS, etc.)
Preliminary Capital Budget: Indicate preliminary capital budget including project costs based on project completion date.
Approvals and Schedule: Outline proposed schedule (based on months)
Preliminary Building Operating and Maintenance Costs: Indicate estimated building operating and maintenance costs (based
on campus average for year of occupancy)
Source of Funds: Indicate capital funding sources and building operating and maintenance sources (based on year of
completion). A business plan outlining projected revenue sources and operating costs is to be included, where
applicable.
Structural
Campus Backbone vs. Building
Mechanical
Architectural – Cabling/Conduit
Electrical Upgrade
Additional computer Capacity
Emergency Power
Operating Costs
Staff
Maintenance Agreement
Installation
Computer Closets
Additional Computer Capacity
Equipment Acquisitions
Hardware/Software
Consequence of Not Proceeding:
Ongoing Operating Costs (non-Building)
Space Deficiency
Furnishings
Staffing Increases
New Improved Services
Infrastructure
Type of Equipment
Special Needs
Space Available
Space Renovations
Installation Costs
Developpmen5t of New Space
Operating Costs
Radioactive
Biohazards
Waste Product
HSE
Structural
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Appendix Four:
Major Capital Development Building Priorities
Methodology and Process
As approved by Council on June 21, 2001
Background
The Capital Planning Committee (CPC) has long maintained a Major Capital Development Priority List
(the “Building Priority List”), intended to provide an expression of where the Committee perceives
building and development needs at the University of Saskatchewan to be. The origins of this list are
obscure, but it has been updated periodically. The latest revision occurred in the Fall of 1990, apparently
with limited information, i. e., without inputs from University Council, the President’s Office, Deans, or
the Board of Governors, to name some of the possible sources.
In the 1990 Building Priority List, the projects were ranked based on considerations that included (in no
order of priority):
•
•
•
•
Health, safety, and environmental concerns
Existing space deficiencies
Quality of existing facilities
o Functionality
o Need for upgrading
Academic programme needs
o Basic requirements
o New or changing programmes
The 1990 Building Priority List has not been substantially modified by the successive CPCs, other than to
remove the top item, Drama, which was funded. The CPC continued thereafter to identify the
Thorvaldson Addition as the top priority, but it has not attempted to re-examine the remainder of the list
in order to bring it in line with the changing needs of the University. The CPC has consistently
emphasized that the priorities for Major Capital Development should reflect the Academic Plans and
Priorities of the University, albeit without suggesting how that objective might be pursued. Past CPCs
did not feel that the building priorities should be modified until the University established its academic
priorities. Suggestions have been made that the CPC has not been used to best advantage, and in periods
of cutbacks has been preoccupied with small-scale funding allocations.
The University of Saskatchewan environment today is substantially different from that of 1990, when the
Building Priority List was last revised. The general guiding principles for planning and for setting
priorities have been articulated in The Mission Statement and Objectives, A Framework for Planning, and
Increasing Research Intensiveness at the University of Saskatchewan (2000).
The task of developing guidelines for building priorities would be impossible without close collaboration
between the CPC and the Planning Committee (PC). In fact, the single recurring theme among the CPCs
of the 1990’s was the absence of an academic plan or academic priorities that would serve as a major
input into the establishment of priorities. The CPC envisages the Planning Committee as a primary
resource for identifying and informing the CPC of academic initiatives and priorities, thereby allowing for
a proactive role in ensuring that the physical plan needs are appropriately promoted. These academic
priorities must be eventually blended with other criteria such as building health and safety issues and
building structural deficiencies. The priority list that arises from such collaboration will need to be
reviewed on a regular basis and must remain flexible and dynamic in order to respond to the changing
needs of the University.
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Appendices to Construction Planning Report
This document represents the consensus developed by a joint subcommittee of the CPC and the PC. The
membership of the subcommittee included the following: CPC — J. F. Angel (Chair), B. Archibold, J.
Sawatzky; PC — J. Porter, B. Waygood; Support — L. Harder, B. Bilokreli, M. Gammell.
Rationale
The CPC is sensitive to the demand for up-to-date facilities implied by greater research intensiveness,
better teaching facilities, appropriate research spaces, and similar urgent considerations. In short, the time
has come to develop a logical method and process for enunciating building imperatives that support, and
is consistent with, the academic priorities and strategic goals of the University. By fortunate congruence,
Facilities Management has embarked upon developing a Campus Master Plan that demands a joining of
the academic requirements to the physical construct.
This document is an attempt to describe the essential elements of a scheme for identifying capital
projects, consistent with academic endeavours. It should be understood that this is an evolving process,
allowing the flexibility to adapt to changing conditions and opportunities, while guided by accepted and
approved principles. Critical to this planning process are the following elements:
•
•
•
•
•
•
the timeliness and comprehensiveness of information sharing between Administration, the
Planning Committee, other committees, and the Capital Planning Committee;
commitment to and consistency with the strategic goals and ideals articulated by Council
documents and established University priorities;
the openness of decision making in proposing major capital expenditures;
weighing of opportunity costs;
responsiveness to health and safety issues; and
the ability to deal appropriately with external opportunities and priorities.
Components of Priority Considerations
Institutional Priorities, External Opportunities, Health and Safety Issues and Functional Considerations
are identified as the four major initiators or “drivers” in developing the major capital project priority list.
Underpinning these considerations, and providing the lenses through which each must be viewed, are the
principles of: service to students; service to research; and service to academic support units.
A. Institutional
1. Academic Priorities
The identification of academic priorities and initiatives through University Committees and
University programs such as A Framework for Planning, Systematic Program Review, Operations
Forecast, College Plans, Research Plans and the Priority Determination Process must be a major
source of input into the priority establishment exercise.
Consideration should be given to new opportunities for enhancing academic excellence.
Drawing on these considerations, the Capital Planning Committee’s role is to articulate for
Council its vision of pressing needs, and to express its opinion on the proposals from
administration, so that it is both proactive and reactive in providing sound advice to Council.
2. Changes in Enrolment or Academic Programmes
University-approved enrolment increases in specific colleges or departments may necessitate the
development of additional facilities, or provide for the release of space. Also, a capital project
may result from the institution’s goal of recruiting and retaining students in a specific discipline
or equity initiative. Similarly, the success of a program or the identification by the University for
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growth in a particular academic or research program may necessitate the development of
additional facilities.
The Framework for Planning, Operations Forecast, College Academic Plans, and especially the
University Enrolment Management Plan will inform these shifts.
3. Faculty Recruitment and Retention
A capital project may result from the institution’s goal of recruiting and retaining faculty in a
specific discipline. (e.g. A Framework for Planning, Operations Forecast, Canada Research
Chairs Programme).
4. Improvements to Quality and Competitiveness
It may be necessary for the University to establish a major capital project in a particular unit in
order to improve the quality of its program or to remain competitive with other institutions.
B. External Opportunities
1. Financial Opportunities – External
Opportunistic funding from external sources, whether they are public, private or individual may
allow the University to develop new projects for identified units. These opportunities are
typically targeted for specific programs or units.
2. Physical Opportunities – Internal and External
From time-to-time, additional building inventory becomes available to the University through the
development of institutional capital projects or through surplus space being identified by nonUniversity agencies located on the University campus. The location, nature, and amount of space
may dictate or influence the University unit that could best occupy the building, and propel costeffective adjunct construction.
3. Provincial or Federal Initiatives
Provincial and Federal governments or agencies may identify a priority based on government
initiatives that may include a capital building project to either develop a new program or enhance
an existing program.
C. Life, Safety and Physical Stewardship
1. Health, Safety, and Environmental Concerns
The University is legally and morally obliged to provide safe and environmentally sound teaching
and research space. University facilities must comply with regulatory standards at every level.
The Capital Planning Committee has consistently identified this item as having precedence and
being of the highest priority.
It is very important to determine how to make all University buildings accessible. This will range
from installation of elevator systems to washroom upgrades.
2. Upgrade, Replace or Repair Campus Infrastructure Systems
Campus infrastructure and utility systems may require major upgrades, replacement, or repairs
either to deal with deteriorating systems or to accommodate increased demands being placed
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upon the physical plant associated with increased building inventory, new technology, and system
demands. System lifecycle costs are to be identified in order to support the central teaching and
research programs. These expenditures can be identified within: (1) Cyclical Renewal and
Replacement projects that include the repair and replacement of existing systems or, (2) Deferred
Maintenance projects that are required for the preservation of capital assets in order to keep the
physical plant reliable for its present use.
D. Functionality
1. The Elimination of Space Deficiencies
Facilities Management will provide the CPC with statistical space assignment and space
entitlement data that will identify space deficiencies or surpluses for colleges and departments.
The elimination of space deficiencies will include a review of various categories of space
(instructional, research, academic and research support groups, administration, and student
space).
2. Adaptation of Existing Facilities
College and department reviews and statistical analysis may indicate that the amount of space
being provided to a unit is satisfactory but that the space requires upgrading to meet changing
teaching and research demands and expectations. In addition, space requirements of the units
should also include a consideration of the appropriateness of existing space to their intended use.
This may relate to location (many colleges/departments are dispersed amongst several buildings)
and the impact this has upon the efficiency and effectiveness of the unit’s operation, and the
impact upon the teaching and research program.
3. Greatest Good for the Greatest Number
A major project may have a wide spread secondary benefit to a significant number of campus
constituents.
Effect Upon The Operating Budget
The development or expansion of facilities will directly impact upon the University’s operating
budget through increased faculty and staff numbers and increased building operating,
maintenance, utilities, and cyclical renewal costs.
Recent opportunities have permitted the University to receive donated capital for specific
building priorities. The construction of these new facilities is typically funded as a one-time
capital donation with no funding allowance for ongoing building operating and maintenance costs
and for cyclical renewal.
Therefore, it is imperative that the impact of new projects upon the operating budget be
realistically assessed and reference to the Budget Committee is required for this purpose.
Ongoing cyclical renewal funding must also be realistically accounted for. Without additional
funding, there must be an understanding of what the academic units give up in order to
accommodate new facilities. Also, the impact on other University priorities must be considered.
Process
Tthe building priority list will be based upon the four components identified above, considered in light of
the guiding principles of service to students, to research and to academic support units. It will also be
informed by a variety of documents, together with the recommendations of administration and the
University’s governing bodies.
17
Appendices to Construction Planning Report
The various University of Saskatchewan reports, resources and governing bodies that will serve as a basis
for blending the institutional academic priorities with capital building priorities include:
• Mission Statement and Objectives
• A Framework for Planning
• Increasing Research Intensiveness at the University of Saskatchewan (2000)
• Systematic Program Review reports
• Priority Determination Process
• Enrolment Management Plan
• Operations Forecast
• Dean’s Council
• College Academic Plans
• Research strategic plans and initiatives
• Accreditation reports
• President’s Executive Committee (PEC)
• Board of Governors
• University Council
• Facilities Management
• Health. Safety and Environment requirements
• Master Plan and Sub-Plans
Building initiatives can emerge from a number of sources. The President’s Executive Committee, Deans’
Council and the Capital Planning Committee, however, are the principal gateways through which
initiatives are screened and brought forward to Council. The Capital Planning Committee, working in
concert with the Planning Committee, will utilize the considerations developed in this document to
priorize proposals for Council’s consideration and reference to the Board of Governors.
The President’s Executive Committee, providing administrative leadership and an institutional overview,
will undoubtedly instigate a number of building initiatives and take the lead on investigation and
discussion of each. Certainly a large proportion of major external opportunities will be introduced
through PEC. Requirements identified in the Colleges will be discussed within the college and possibly
examined by Deans’ Council and/or considered by the Vice-President Academic, through whom they are
brought to PEC. From here, the requirements are referred to the Capital Planning Committee where, after
conferring with the Planning Committee and the Budget Committee, they are ultimately taken to Council.
Needs identified by Facilities Management, including Health, Safety and Environment imperatives, are
also vetted by PEC, and thence through the Capital Planning Committee to Council. Proposals
originating in Council Committees are also funneled through the Capital Planning Committee, where the
rationale for establishing priorities of these and all other initiatives, will “kick in”.
Essentially, a proposal or requirement for a major new capital project, brought forward by any of the
bodies noted above, must be submitted to the Capital Planning Committee. The submission will make
reference to its compatibility with, and contribution to, the approved University principles and priorities
enunciated in the University’s planning documents. Legislated requirements or external specifications,
and accreditation dictates with a bearing on the proposal, would have to be identified. Considerations for
establishing the relative priority of the proposal would also have to take into account ready funding or
other opportunities where appropriate. A suggested format for submissions with a checklist of
considerations might prove useful. A tandem weighting list of the relative significance of the factors
considered might also be attempted, to provide some quantitative measure to the largely subjective
assessment. (Appendix C) The Committee, together with the Planning Committee, Facilities
Management and consulting with senior management, subjects the proposal to careful scrutiny in light of
each of the principles and components for priority consideration, noted previously. (Appendix D).
It is essential that ongoing building operating and maintenance costs also be factored into any major
capital consideration as an integral part of the assessment. Hence the requirement that the Budget
18
Appendices to Construction Planning Report
Committee of Council examine any major capital project for satisfaction on this account, and provide the
reviewing committee with comment.
Once the full review process has been concluded and a proposal taken to Council, Council’s
recommendation goes to the President for submission to the Board. The Board of Governors retains the
right and responsibility to authorize all major capital outlays.
Major capital projects without an apparent academic component have gone directly from senior
management to the Board. The open partnership, and the timely and comprehensive sharing of
information envisaged in the capital building priority process proposed, requires that full and transparent
consultations occur. All projects should thus be submitted to the same scrutiny and tests. In this context,
consideration of opportunity costs cannot be omitted. For example, an administrative recommendation to
construct a parkade, while having no apparent direct academic component, could conceivably have an
indirect impact where academic opportunities are delayed or set aside because of fund-raising or
manpower issues.
The resulting list of projects developed following scrutiny of proposals, will be categorized into three
groups – projects of High, Medium and Low priority. It must be understood that these categories are
fluid. Flexibility and the capacity to respond to changing conditions, opportunities and circumstances are
essential. Any number of factors can impact on existing priorities to alter the status of each, and the
institution must be equipped to respond to this. In other words, the process for establishing major capital
priorities must be dynamic and responsive while adhering to acknowledged principles and criteria.
The process of establishing the priority of major capital projects could be synchronized with the
preparation of the Operations Forecast, and the list reassessed on a regular basis, possibly every second
year, in tandem with considerations for the Operations Forecast. Many projects would have a longer
gestation period, but reassessment on a continuous basis gives life and credibility to the process.
In the final analysis, the recommended building priorities, rationale and justification for each,
taken to the President and Board of Governors, will have been filtered through a considered,
responsive, and transparent process, consistent with institutional priorities and values, yet
cognizant of the wider context for decision-making.
•
•
•
•
•
•
•
•
•
•
APPENDIX
SOME WEIGHTING DETERMINANTS
Life Safety
[10]
Code and Regulatory
[9]
Threat to University Operability
[8]
University Imperative
[7]
Physical Threat to Departmental Operability
[7]
Functional Threat to Departmental Operability
[7]
External Pressure
[7]
Internal Pressure
[6]
Ease of Implementation
[6]
Potential Payback
[5]
Facilities Management Division, University of Saskatchewan
May 30, 2001
19
Appendix Five:
Board of Governors:
Summary of Board FYI, Board I & II Approvals
Approval Requested
Board
No.
FYI
1
2
FYI
Appendices to Construction Planning Report
BOARD INFORMATION
Information Only:
• Origin of Request
• Consultation
• Brief Description:
• Project History
• Purpose
• Programme
• Schedule
• Budget
BOARD 1 INFORMATION & APPROVAL
Information Items:
• Proposed project description
• Fit with Strategic Directions, Master Plan and Integrated Plan
• Prioritization justification
• Funding Source(s)
• Governance Model requirements
Approval Items
•
Preliminary Project:
• Location
• Programme
• Design
• Schedule
• Capital and Operating Budgets
BOARD 2 PRESENTATION & APPROVAL
Approval Items
•
Project Wrap-up
Final:
• Location
• Programme
• Design
• Schedule
• Capital and Operating Budgets