As departments carry out their responsibilities with respect to the University’s academic programs and the activities which support those programs, they frequently identify requirements with respect to space:
- need for additional space
- need for alterations/renovations to:
- reorganize existing space
- convert space to other uses
These requirements may lead to activities which fall into the broad category of capital projects.
This section includes:
Categories of Capital Projects
An overview of capital projects categorized by size, type and sources of funding. The categories have alpha-numeric labels to facilitate reference throughout this chapter.
Approvals for Individual Capital Projects
The various approvals which apply to these projects.
The key points in implementing a project.
Categories of Capital Projects
There are two categories of projects, Capital projects and Infrastructural renewal projects.
Capital Projects: Capital projects are the outcome of the University’s academic planning process, to which the University has assigned priority.
These projects address the renewal costs of building systems and other infrastructure. In addition to routine projects on maintenance and infrastructure requirements, projects would include major and or innovative types of utility infrastructure projects.
All projects requiring short and long term financing
If a project will require financing as part of the funding, the project proposal must be considered by the Business Board.
Approvals for Individual Capital Projects with Costs greater than $100,000
1. Project Budget $5 million or less: (Approval Level 1)
- Authority to approve projects on the St. George campus, with a value less than $5 million and for all other applications that fall under the responsibility of the CaPS Committee is delegated to the CaPS Committee established by the Vice-President University Operations.
- Authority to approve projects with a value less than $5 million on the UTM and UTSC campuses is delegated to the UTM Space Planning and Management Committee and the UTSC Campus Design and Development Committee established by the Principal and Vice-President of the respective campus.
2. Project Budget over $5 million and up to $20 million (Approval level 2)
- Capital projects over $5 million and up to $20 million will be considered by the Planning and Budget Committee for projects at the St. George campus and by the respective Campus Affairs Committees and Campus Councils for projects at University of Toronto Mississauga and University of Toronto Scarborough and recommended to the Academic Board for consideration. It is expected that such projects will be placed on the Board’s consent agenda and be confirmed by the Executive Committee of the Governing Council. Execution of such projects is approved by the Business Board.
3. Project Budget over $20 million (Approval level 3)
- Proposals for capital projects exceeding $20 million must be considered by the appropriate Boards and Committees of Governing Council on the joint recommendation of the Vice President and Provost and the Vice President, University Operations. The Planning and Budget Committee will consider projects at the St. George campus and the respective Campus Affairs Committees and Campus Councils will consider projects at University of Toronto Mississauga and University of Toronto Scarborough and recommend them to the Academic Board for consideration. Normally, they will require approval of the Governing Council. Execution of such projects is approved by the Business Board.
- All projects over $20 million are submitted to the CaPS Executive Committee for review & recommendation to the VP & Provost and the Vice President Operations
Project Budget Increases
Cumulative project budget increases up to 10% of the original Total Project Costs or less than $5M can be approved by the Vice-President, University Operations as follows:
- For level 1 projects, cumulative budget increases that otherwise push the Total Project Cost into the level 2 approval level will not require additional governance approval, provided such increases are up to 10% of the original Total Project Cost. Should the cumulative budget increases exceed 10% of the original Total Project Cost and push the Total Project Cost into the level 2 approval level, the project will require the approval as outlined for a level 2 project.
- For level 2 projects, cumulative budget increases that otherwise push the Total Project Cost into the level 3 approval level will not require additional governance approval, provided such increases are up to 10% of the original Total Project Cost. Should the cumulative budget increases exceed 10% of the original Total Project Cost and push the Total Project Cost into the level 3 approval level, the project will require the approval as outlined for a level 3 project.
- For level 3 projects, cumulative budget increases that are less than $5M of the original Total Project Cost will not require additional governance approval. Should the cumulative budget increases total $5M or more, the project will require a revised level 3 project approval.
- Project budget increases required for projects receiving Level 1 and 2 approval must be approved by the same authority providing the original authorization. In a case where a budget increase pushes the project into the next approval level, and funds are available, the spending increase must be approved by the authority of that higher level.
- Changes to project budgets are processed in FIS by the Planning and Budget office.
Changes in Scope
The Vice-President of University Operations has the authority to approve minor scope changes falling within the stated purpose of the approved project as described in the Project Planning Report. Scope changes representing a cardinal deviation from the approved project purpose as determined by the Vice-President of University Operations must be approved by formal governance. Such a cardinal change would include, but not be limited to:
- An addition that is not related to the purpose, nature and intent of the approved project as described in the Project Planning Report;
- A modification that changes the purpose, nature and intent of the approved project as described in the Project Planning Report.
The President will delegate responsibility for project implementation to the Vice President, University Operations or the Vice President UTM or UTSC (for Level 1 Projects) as appropriate subject to the parameters established through the approval of the Project Planning Report and in consultation with the Project Committee, the Design Review Committee, and other relevant bodies established from time to time. All three campuses will manage their capital projects according to standardized best practices and procedures to facilitate intercampus efficiencies.
The President is authorized to ensure that appropriate project management procedures are established to ensure proper implementation of approved capital projects. Such procedures must:
- Ensure that the interests of the University and of individual project users are taken into account in all projects.
- Ensure that design standards appropriate to the University are established, reviewed and updated regularly and provided to each Project Committee and to all architects and consultants engaged for any project.
- Ensure that each project which has an exterior design component or public area is reviewed from a design perspective by a committee established for this purpose. In making this provision, the University seeks to obtain a level of advice commensurate with its desire to build in ways which provide outstanding examples of the work which the design profession can contribute to a university environment.
- Ensure that, in general, projects are completed on time and on budget.
- Ensure that any discrepancies that arise between the project as planned and the project as implementation progresses are resolved in a timely fashion.
- Ensure that procedures for the selection of architects, engineers, other professional services firms and contractors are established and that they comply with the University’s procurement policy and with applicable legislation.
- Ensure that all regulatory requirements are met.
- Ensure that any project that is likely to exceed the approved budget has the increase approved by the appropriate level.
- Ensure that project status reports for all projects over $5 million are provided on a timely basis to project committees, to funding agencies and to the Business Board.
Last Revision June 2017
The Capital Projects and Space Allocation Committee (CaPS), and its Executive Committee play an important role in a department’s quest for additional space or alteration / renovation to its existing space.
As pointed out in the Capital Projects and Renovations – Overview section, the CaPS approves capital/renovation projects size between $100,000 and $5 million on the St. George Campus. Authority to approve projects with a value less than $5 million on the UTM and UTSC campuses is delegated to the UTM Space Planning and Management Committee and UTSC Campus Design and Development Committee by the Principal and Vice President of the respective campus.
Membership and Role of CaPS
Last Revision May 2018
A department must seek approval to proceed with projects having a value of over $100,000 to $5,000,000 if it has an identified source(s) of funding. A Project Planning Report (PPR) is required to accompany the CaPS application form
This section addresses the application and approval process for these projects.
The Application Form
Individual projects can be developed by the academic or administrative units at any time and should be consistent with divisional and/or departmental plans. Proposals are submitted using the appropriate application form.
The same process and, therefore, the same application form apply to both major and small projects.
Part A: Project information
Part A is the description of the proposal, and is to be completed by the primary contact person for the unit. Please provide a complete description of purpose and scope of work.
Part A requires the approval of any additional space not currently under the jurisdiction of the Division.
Primary contact signature – The primary contact person is required to sign-off on the project and acknowledge that any future changes may cause delays or result in the need to prepare a revised request.
Part B: Pre-design cost estimate/Total Project Cost (TPC) Estimate
Project Management, Project Development or Facilities & Services:
- develops the pre-design cost estimate or TPC, signature and date must be legible
- returns the application form to the primary contact person.
Part C: Information for space License Agreement
Indicate if the space belongs to University or External space. Pertinent/applicable details should be indicated in the form.
Part D: Final Authorization and submission to the CaPS
The application form must be sent for review and signature by:
- the Principal, Dean or Chief Librarian: for academic units
- the appropriate Vice-President or Chief Financial Officer: for non-academic units
- signature and date must be legible
The signature confirms:
- that the project is consistent with departmental and/or divisional plans
- responsibility for the total cost of the project
- that any project tendered at a cost exceeding the stated total project cost will not proceed unless proper approvals are obtained. Resubmission of the CaPS application may be required.
When Part D is completed, the application form is then forwarded to the Executive Secretary, CaPS.
Projects costing more than $5,000,000 are to be submitted to the CaPS Executive prior to submission to Governing council.
Part E: CaPS Decision
Upon receipt of the signed application, if necessary the CaPS Executive Secretary will seek advice from the Campus and Facilities Planning Office and the Offices of Facilities and Services and Project Management, and will then table the request together with their reports at the earliest possible CaPS meeting.
The CaPS generally meets on a monthly basis throughout the entire year.
The CaPS will review the request and make a decision to approve or deny the request. In the case of denial, the CaPS will provide an explanation in writing.
Note: the CaPS will not approve any project that requires it to bridge or otherwise loan monies to the academic or administrative unit involved.
The CaPS Executive Secretary will notify, in writing, the appropriate Principal, Dean, Chief Librarian, or Vice-President. A copy of the notification will be sent to the AVP, Facilities & Services, the AVP, Planning, Design & Construction and the primary contact person.
Last revision January 2018