Capital Projects Process
Capital Projects Process
Annex 3
The Full Case
1. The purpose of the Full Case is for the PRC to satisfy themselves that so far as
they are concerned the project may proceed to implementation after any further
conditions or dependencies have been met. The Full Case will set out the
business plan, the financial element of the business case, in detail. The PRC is
not bound to approve the Full Case, or the Full Case un-amended or
unconditionally. A Second Report may follow approval of the Full Case.
2. The main strategic purpose of the Project will have been set out in the
Registration Paper, and – subject to any changes in the intervening period endorsed in the Concept Paper. Alternative methods of delivering the Project will
have been explored in the Concept Paper and the financial viability of the chosen
project will have been demonstrated, at least in outline. Potential funding will
have been identified, but possibly not yet guaranteed and PRC will have
established the expected level of departmental contribution from fund raising or
other sources.
3. With the exception of the financials, these matters do not need to be rehearsed
again in detail in the Full Case, provided the Project is not significantly different
from that approved at Concept. But if there have been changes, for example
because the availability of funds is not as anticipated, the Full Case should
explain the changes and how the project will continues to fulfil its aims. And if the
aims have changed, whether they have the same support as the Concept. Too
great a change may signal a different project.
4. There is often a delay between Concept and Full Case. Schools in their annual
Planning Round submissions should review the status of all capital projects. If
CPP projects have remained at the same stage for three years, and there are no
imminent plans for progression to the next state the PRC may require submission
of an updated Registration or Concept.
Content of the Full Case
5. The Full Case will normally include:
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

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A signed cover sheet;
The summary of the business case including a summary financial
presentation;
The business plan (with financial details and other supporting material as
annexes);
Project plan with milestones against which reports of progress at regular
intervals (eg quarterly) will be made and the evaluation of the project as a
whole.
Clear recommendations;
A draft Report, if a Report is required;
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Capital Projects Process

Risk Management forms.
6. The cover sheet is available at the end of this document; guidance on signatures
is given below.
7. The summary business plan will be updated from the Concept Paper; the
financial presentation will be in greater depth.
8. Officers should be consulted in good time about whether a Report is needed and
when, and the content and format.
9. The Risk Management Forms are available at the end of this document and will
be updated from those returned with the Concept.
Risk Management
10. Risk management forms will have been returned with the Concept Paper, but
because further work will have led to improved risk management the risk
management forms should now be reviewed, revised and resubmitted.
Signatures
11. The Full Case includes a cover sheet on which various signatures provide
assurances to the PRC, in the terms described below, on aspects of the project
and business plan. The PRC may place considerable reliance on these
assurances. Project Leaders will wish to ensure the Full Case adequately
covers the relevant matters so that the assurances can be provided without
difficulty or reservation.
12. Project Leaders are advised not to leave the signatures until just before a PRC
meeting. Signatories may raise issues which should be addressed within the Full
Case as a condition of signature. Projects may be delayed if concerns are not
addressed and the assurances provided by each signature are set out below.
Reasons for declining to sign will be reported to the PRC – in some cases
signatures may not be relevant because the project proposal does not fall within
their area of responsibility but it is for the signatory to state this, not for the project
sponsor to assume it. The Project Sponsor is advised to circulate simultaneously
to all the signatories a final copy of the Full Case with the blank cover sheet (see
annex 4) and to collect and assemble the returns and deal with any comments
before arranging for the Full Case to be circulated to the PRC.
13. Although the point of these last steps is so far as possible to address comments
and to resolve any differences of opinion before the PRC meets, Project
Sponsors are not bound to accept comments or reservations with which they
disagree or to follow through with changes. If they disagree with dissenting
comments which will be included with the Full Case they may include a reply.
This position should, however, be exceptional.
14. In seeking signatures the Project Sponsor must include a copy of the supplement
to this annex with the request. The Project Sponsor will, of course, wish to
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ensure that the appropriate assurances are included in the full case to any
comments raised.
The Full Case must conclude with clear, complete and unambiguous
recommendations to the Planning and Resources Committee.
15. The Full Case should be sent to: capitalplanning@admin.cam.ac.uk.
Supplement to Annex 3
Full Case signatures: guidance to signatories
(1) The purpose of the signatures is provide certain assurances to the PRC at the
time they consider a Full Case.
(2) The Project Sponsor should seek signatures in sufficient time for account to be
taken of any comments you may make in finalising the Full Case.
(3) Unless explicitly stated in the Full Case, signature does not imply acceptance of
ownership of, or of responsibility for, any part of a project beyond that which the
nature of the project places within your area of responsibility within the University.
(4) If the project does not and in your opinion will not have any aspect within your
area of responsibility then signature is not required and the papers should be
returned drawing attention to this provision.
(5) Whether or not signatures are sought in time, and assuming the project or an
aspect is within your area of responsibility, you are not required to sign but may
sign, or may sign and provide comments or provisos which the PRC will take into
account in considering the Full Case, or you may draw the attention of the PRC
to any issues that they should, in your opinion, be aware of.
(6) If you cannot sign, the reasons should be taken up immediately with the Project
Sponsor, copied to the Secretary to the Planning and Resources Committee. If
you have very serious reservations they should be addressed to the Chairman of
the Planning and Resources Committee.
(7) The Project Sponsor is not bound to accept comments about the project or to
change the Full Case to take account of them. If comments will be included with
the Full Case the Project Sponsor may include a reply.
(8) The Full Case is normally made in advance of implementation and detailed plans.
It may not be possible to provide complete assurances until further details are
available. In which case, you are asked to confirm that you are satisfied that
arrangements have been made to engage you in further development to the
extent you require.
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Signatory
Assurances provided by signature
Project Leader
The documentation is in a final form, subject to further
comment.
Project Sponsor
The case is well made; ownership of the project is correct;
the project conforms to institutional strategy
Project Champion
The project is an institutional priority; the risks, including
the financial risks, are accepted.
Director of Finance
The presentation of the financials has been reviewed (but
not necessarily the underlying numbers), including a
check for completeness and calculation. Financial
assumptions are robust. Financial risks have been
identified. VAT and other taxation issues have been
addressed.
Head of PRAO
Planning assumptions, including any in relation to student
numbers, research staff, HEFCE funding etc., are
reasonable.
Academic Secretary
The academic case is consistent with University strategy.
Director of EM
Consistent with Estate Strategy; Space implications;
Approval of Design Development info and Cost Estimates
produced to date; Estate Management Project Risk
Register.
Human Resources
Director
Adequate initial HR planning has been carried out (eg
resourcing, training, relocation); initial HR risks have been
identified. Arrangements have been made for engagement
with the HR Department if and when appropriate.
Head of Research
Office
Research funding and IPR assumptions are reasonable.
Development Director
Funding assumptions are reasonable; CUDO’s role in
fundraising has been adequately and appropriately
described.
Head of Registrary’s
Office
Legal issues have been considered; the proposal is not
inconsistent with Statutes; assurances have been
provided that the legal department has been or will be
involved if and when appropriate.
Director of Health &
Safety
Health and Safety issues have been considered so far as
possible at this stage. Arrangements have been made for
engagement with H&S if and when appropriate
PRAO
08 March 2016
University of Cambridge: Planning and Resources Committee
Capital Projects Process:
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Capital Projects Process
Full Case
The papers comprise:
1. A Proforma Cover Sheet
2. Risk Management Form
3. The Business Case: see annex 3 to CPP guidance
4. A project plan with clear milestones against which quarterly reports of progress will be
made.
5. A Comments Sheet for PRC guidance
1. PROFORMA COVER SHEET TO FULL CASE
Project Title
Project ID:
Project
Leader
Name
Contact
Details
Tel.
Date:
Fax
e-mail:
Dept. / School /
Institution:
Sponsor:
Signature
Name
Position
Signature, confirming the
academic / administrative
case and overall ownership
of the project.
Champion
Date
Name
Comment:
Position
Signature, Confirming
coherence with
Institutional strategy and
devolved budgeting
implications.
Date
Comment:
For PRAO Use:
Concept Approval
Reference:
Minute
Date:
Grace
Requirements
Initial Report/ Notice
Date / Reference
Grace:
Second Report /
Notice
Date / Reference
Reference
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COMMENTS TO AID PRC DECISION
Director of Finance
Review of presentation of financials (but not of underlying
numbers), including for completeness and calculation.
Financial assumptions are robust. Financial risks have been
identified. VAT issues. Comments:
Head of PRAO
Confirming planning assumptions, on student / research
numbers, HEFCE funding etc reasonable. Comments:
PRAO (Grace/Notice):
Current status and requirement
Signature:
Date:
Signature:
Date:
Signature:
Date:
As Appropriate:
Academic Secretary:
Academic case consistent with University strategy.
Comments:
Director of EM:
Consistent with Estate Strategy; Space implications;
Approval of Design Development info and Cost Estimates
produced to date; EM Project Risk Register. Comments:
Human Resources Director:
Confirmation that adequate HR planning has been carried
out – eg resourcing, training, relocation, etc. HR risks have
been identified. Comments
Head of Research Office:
Research funding and IPR issues and assumptions are
reasonable. Comments
Development Director:
Assumptions on funding are reasonable and, if necessary, a
statement of CUDO’s role in fundraising. Comments
Head of Registrary’s Office:
Legal issues; conformation with Statutes. Comments
Health & Safety:
Confirmation that Health & Safety issues have been
adequately addressed. Comments.
PRC DECISION
Approved
Rejected
Requires further
development
Signature:
Date:
Signature:
Date:
Signature:
Date:
Signature:
Date:
Signature:
Date:
Signature:
Date:
Signature:
Date:
Minute:
Chair, Planning and Resources Committee
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Capital Projects Process
RM1 (Risk Management 1)
RISK MANAGEMENT FORM
REFERENCE Completed by:
Item:
Risks identified/What can go wrong?
List what the risk is under categories such as:
Reputation, Governance, Finance, Operational (staff, compliance, estates)
What are the possible consequences if the risk were to emerge?
1.
2.
3.
4.
5.
What is the predicted severity of
the risk? (Scale 1 –5, see Impact
Guide)
What is the predicted likelihood of the
risk? (Scale 1 – 5, see Impact Guide)
What is the total risk score?
(severity x likelihood, Scale 0 –
25)
What actions could be taken to reduce the likelihood and severity of the risk to an acceptable level?
1.
2.
3.
4.
5.
What risk indicators could be used to monitor the risk? (These provide early warning, minimum of 3)
1.
2.
3.
4.
5.
Recommendation:
Signature:
Date:
Guidance on risk management can be found on the Risk Management website
(http://www.admin.cam.ac.uk/offices/secretariat/risk/)
uk/offices/secretariat/risk/)
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