Definitions: Major Capital Projects Approval Process (Built Environment) CPAC Capital Planning Advisory Committee. CPD Campus Planning and Development

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1 Major Capital Projects Approval Process (Built Environment) Definitions: CPAC Capital Planning Advisory Committee CPD Campus Planning and Development Built Environment - refers to the human-made surroundings that provide the setting for human activity, ranging in scale from buildings and parks or green space to neighborhoods and cities that can often include their supporting infrastructure, such as water supply, or energy networks. PPS Physical Plant Services QUPC Queen s University Planning Committee VPOC Vice-Principals Operations Committee

2 Major Capital Projects Approval Process (Built Environment) Projects in excess of $2,500,000 Project proponent submits Space Request/Capital Project Form Estimated time elapsed since form submitted 1-2 months Phase 1: Project evaluation and triage (Steps 1-5) CPAC approval to proceed to Phase months 7-9 months months Phase 2: Project Development (Steps 6, 7) Phase 3: Preliminary institutional review and approvals (Steps 8-10) Phase 4: Project refinement (Steps 11 & 12) Needs analysis and business case with indicative cost estimates to VPOC QUPC approval to proceed to Phase months Phase 5: Final institutional review and approvals (Steps 13-16) Full business case with substantive cost estimates and concept drawings Board approval and project kick-off months Phase 6: Project initiation (Steps 17-20) Construction management process 1

3 Phase 1: Project Evaluation and Triage 1. Project proponent prepares and submits Space Request/Capital Project form to CPD 2. CPD/PPS reviews form to determine if project is a Major Capital Project Follow the appropriate approval process 3. CPD/PPS performs preliminary analysis of the project 4. VPOC Review and approval in principle Return to project proponent Maximum spend of $50k for preliminary need analysis, charette etc. 5. CPAC Initial review and recommendation Proceed to Phase 2 2

4 Step 1. Project Proponent prepares and submits Space Request/Capital Project (SRCP) Form to Campus Planning and Development (CPD) Form is completed by unit/department/faculty/division in consultation with Campus Planning & Development (CPD) and Physical Plant Services (PPS) and will: a) Briefly outline the goals and aspirations of the project, including the background and supporting rationale. b) Describe how the project supports the various university strategic plans, E.g. Campus Master Plan, Strategic Framework, Enrolment Plan, Research Strategic Plan etc. c) Specify the proposed budget required for the project. d) Identify funding source(s) for the project. If an internal loan is to be requested as a source of funding, an Internal Loan Application must accompany the SRCP form e) Identify initial startup funds for planning requirements, E.g. site tours, planning sessions, materials testing, initial consultants, visioning sessions, focus groups etc. Identify other information including: List of internal and external stakeholders Current building location(s) and floor(s) if relevant If applicable, outline of academic program requirements for example, is there an approved change to the program(s), numbers or students in the program, or staffing numbers, as related to the proposed capital project? Is program accreditation under review? f) Include the signature of the appropriate Dean/Director and Vice-Principal if over $2.5 million. Step 2. CPD & Physical Plant Services (PPS) reviews form to determine if project is a Major Capital Project CPD & PPS reviews form to determine, on the basis of scope, complexity, schedule, dependencies, and budget, if the project should follow the Major Capital Project Approval Process. Step 3. CPD & PPS performs preliminary analysis of the project a) CPD & PPS reviews the SRCP form and conducts a preliminary analysis against the relevant university strategic plans. b) PPS assigns a Project Manager as part of the Planning Team. c) CPD and PPS perform a project evaluation including a supply and demand analysis, and infrastructure review. Step 4. VPOC review and approval in principle VPOC reviews the proponent s submission (the SRCP form, with amendments from the CPD and PPS evaluation, if any) and supporting documentation to assess: University-wide implications of the project alignment with other institutional plans, priorities, and strategic needs 3

5 approval of sources of any funding required to prepare needs analysis. rmally this is not to exceed $50,000 unless specifically identified. This funding is to cover all costs up to and including Phase 2 of this process. Step 5. CPAC initial review and recommendation a) CPAC reviews recommendation from VPOC for adherence to the overall planning principles and strategies of the Campus Master Plan. b) CPAC provides input on appropriate consultation with relevant internal stakeholders e.g. University Teaching Space Committee (UTSC). c) CPAC provides initial feedback for development of the high level business case. d) CPAC Chair provides an update to Queen s University Planning Committee (QUPC). Phase 2: Project Development 6. Needs analysis and options identification 7. Preliminary Business Case Proceed to phase 3 Step 6. Needs Analysis and Options Identification a) The Needs Analysis Identification step is intended to be a consultative, transparent and iterative process with issues being rerouted back to CPAC and VPOC if required. b) CPD and the project proponent will discuss and agree upon potential timelines for the needs analysis and options identification. c) The project proponent and CPD will work with key stakeholders to prepare the needs analysis which may include: Arranging for site tours /retaining specialist consultants if required Reviewing existing space inventory of all departments/user groups, compiling data (by department and by building, and analyzing existing space utilization and requirements Developing the space requirements program and detailed room data sheets (including both net assignable and non-assignable spaces) 4

6 Preparing occupant/user profiles for the space as well as the adjacency matrices for all departments and groups in the space Explore real estate options, up to and including leasing, if space is not available on campus Assessing existing furniture for reuse and/or creating inventory of new furniture product required for the project Potentially developing blocking/stacking and functional plans Developing financial implications on the space budget d) PPS in consultation with CPD and the project proponent will: Review building, site and campus infrastructure considerations and alignment of the project with the Campus Master Plan and University approved standards for construction, sustainability, etc. Outline the project schedule and phasing of the project Prepare the Class D ( Functional Program a.k.a. Indicative Cost ) cost estimate for the project which will form the financial basis for the business case e) Internal/External Consultations (Costs associated with these reviews are identified and approved by VPOC in step #4). Depending on the scope of work, a Charrette/visioning session may be conducted through CPD. If conducted, this would be held early in the needs analysis process Consultation should be undertaken with units/committees responsible for Environmental Health and Safety, Accessibility, Communications, Information Technology Services, Insurance and other internal stakeholders as required External consultations will be conducted as required Step 7. Preliminary Business Case The project proponent, with appropriate consultations and sign-offs by CPD, PPS, and any other relevant units, will prepare a preliminary business case using the Major Capital Projects Business Case template. 5

7 Phase 3: Preliminary Institutional Review and Approvals Return to project proponent 8. VPOC Preliminary approval 9. CPAC review and recommendation to QUPC 10. QUPC preliminary approval Proceed to Phase 4 Step 8. VPOC Preliminary Approval a) Preliminary business case is submitted to VPOC for review/comments and/or approval to proceed to next phase. CPD arranges for project to be placed on VPOC agenda, and project proponent presents at VPOC with support from appropriate in-house subject matter experts. b) VPOC approves scalable funding for architectural drawings (scope, complexity, size and schedule) using the current Ontario Association of Architects fee schedule as a guideline. These fees should not normally exceed $100,000 unless specifically identified. c) Chair of VPOC recommends submission to CPAC for review. Step 9. CPAC Review and Recommendation to QUPC a) Review of Preliminary Business Case after VPOC revisions. b) Any significant change in scope or business case assumptions, subsequent to the preliminary approval, will necessitate return to VPOC with the revised Business Case. c) Chair of CPAC brings interim recommendation to QUPC for approval. 6

8 Step 10. QUPC Preliminary Approval a) Review and approval of Preliminary Business Case. b) Recommend revisions as necessary. c) Any significant change in scope or business case assumptions subsequent to initial approval will necessitate return to CPAC with the revised Business Case. d) QUPC informs Board of Trustees. Phase 4: Project Refinement 11. Concept drawing prepared 12. Full Business Case Proceed to Phase 5 Step 11. Concept Drawing Prepared Concept drawings are prepared in consultation with the project proponent and key stakeholders. Funding for concept drawings was secured in step 8. Step 12. Full Business Case a) The project proponent, together with PPS and CPD, refreshes and refines the preliminary Business Case template including, space programming, schedule, Total Cost of Ownership (TCO) analysis, risk matrix, and dependencies. The requisite internal consultations and sign-offs are obtained. b) A cost estimator prepares a Class B ( Design Development a.k.a. Substantive Cost ) cost estimate to be included in the Full Business Case. (Funding for cost estimator secured under Step 8.) 7

9 Phase 5: Final Institutional Review and Approvals Return to project proponent 13. VPOC final approval 14. CPAC Final recommendation 15. QUPC final approval 16. Board approval (secured through the Capital Assets and Finance Committee) Proceed to Phase 6 Step 13. VPOC Final Approval a) The Full Business Case is reviewed and approved by VPOC. b) Chair of VPOC submits project to CPAC. 8

10 Step 14. CPAC Final Recommendation a) CPAC reviews Full Business Case. b) Chair of CPAC forwards recommendation to QUPC. Step 15. QUPC Final Approval a) QUPC reviews and approves Full Business Case. b) Chair of QUPC submits project to the Capital Assets and Finance Committee of the Board for approval. Step 16. BOARD Approval (secured through the Capital Assets and Finance Committee) a) Capital Assets and Finance Committee review and approval of Full Business Case. b) Board approval of Project (Board Template submission), on recommendation of the Capital Assets and Finance Committee c) In the case of 100% funding already having been secured, the project can be approved for Project Initiation (Phase 6). d) If 100% funding is not secured, the project can be approved in principle, with accompanying approval for donor outreach. i. Once 100% funding has been secured, the project must be resubmitted to VPOC (Step 13) and must again proceed through this phase (Phase 5 comprising Steps 14, 15, and 16) prior to Project Initiation. e) Any significant change in scope or business case assumptions subsequent to this Project Initiation, will necessitate return to VPOC (Step 13) with the revised Business Case, and proceeding again through this phase (Phase 5 comprising Steps 14, 15, and 16). 9

11 Phase 6: Project Initiation 17. Building Committee selected 18. Scope and mandate of architect developed and Architect selected 19. CPAC/QUPC approval of architect selection 20. Construction project initiation Step 17. Building Committee Selected A Building Committee is selected with appropriate representation from the project proponent, PPS, CPD and other relevant stakeholders or user groups. 18. Scope and mandate of architect developed and architect selected The Building Committee will follow appropriate and current procurement guidelines for Architect Selection. An RFP will be prepared by CPD for approval by the Building Committee. Step 19. CPAC/QUPC Approval of Architect Selection QUPC, on the recommendation of CPAC, approves the selection of the winning architect from Step 18. Step 20. Construction Project Initiation Following selection of the architect, a construction project is initiated leveraging the work already prepared at the Concept Drawing stage. 10

12 GLOSSARY ACADEMIC PLAN A document prepared by the University which outlines the academic planning principles for the University CAMPUS MASTER PLAN A document prepared by the University which outlines the long term strategy for the campus and aligns with the Academic Plan CHARETTE A collaborative session in which the stakeholders of the project engage in an intense meeting to draft a solution to a design problem and promotes joint ownership of the solution. CLASS 'B' (Substantive) ESTIMATE A Class B estimate is a more reliable, higher quality estimate completed once more detailed information on the project is available. This estimate is based on design development drawings and outline specifications, which include the design of all major systems and subsystems, as well as the results of all site/installation investigations. CLASS 'D' (Indicative) ESTIMATE A Class D estimate is done early in project planning to provide a rough estimate of project costs for budget purposes. This estimate is based on unit cost analysis (such as cost per m²) based upon a comprehensive list of project requirements (i.e. scope) and assumptions. Based on historical cost data for similar projects, adjusted for such factors as inflation, location, risk, quality, size and time. CPAC Campus Planning Advisory Committee DESIGN DEVELOPMENT Production of floor plans, sections, and elevations with full dimensions. These drawings typically include door and window details and outline material specifications. This phase also lays out mechanical, electrical, plumbing, structural, and architectural details. PPS Physical Plant Services PRELIMINARY BUSINESS CASE A scalable document that provides a preliminary outline of the needs and costs for the potential project QUPC Queen s University Planning Committee UTSC University Teaching Space Committee VPOC Vice-Principals Operations Committee 11