Capital Project Approval Process

Policy Statement

This policy outlines the University's procedures for reviewing and approving capital improvement projects. Such projects include new construction, renovations, infrastructure and information technology improvements that serve to enhance the physical assets of the University.

Reasons for the Policy

The purpose of this policy is to

• Provide for consistent documentation of capital project proposals, which defines the purpose, scope, budget, funding source, operating budget impact, schedule and other project details
• Establish appropriate levels of approval for capital projects

Primary Guidance to Which This Policy Responds

There is not a primary policy to which this policy responds. It is consistent with best practices.

Responsible University Office and Officer

The Office of Management and Budget (OMB) is responsible for the maintenance of this policy, and for responding to questions regarding this policy. The Associate Budget Director for Capital is the Responsible Officer.

Revision History

This policy was first established in July 2007.

Who is Governed By This Policy

All University staff and officers who play a role in the approval and execution of capital projects, defined in the University's accounting system as ledger-7 spending.

Who Should Know This Policy

Senior Executive Officers, Deans, Vice Presidents, Senior Administrative Officers, Departmental Administrators

Exclusions & Special Situations

The University Trustees, President, Senior Executive Vice President, as a situation warrants and at their discretion, may override this policy.

Policy Text

Background

Capital spending at Columbia is guided by the University's rolling five-year Capital Plan, which is reviewed periodically by the University Trustees. The Capital Plan includes three categories of spending:

• Active projects - projects that have been authorized to proceed through the Capital Project Approval process
• Planned projects - projects that have already been accepted into the Plan presented to the Trustees, but have not yet been through the Capital Project Approval process
• SOGR programs - annual programs that have already been accepted into the Plan presented to the Trustees and are part of the Columbia University Facilities (CU Facilities) state-of-good-repair programs (SOGR).

For active and planned projects, spending can not occur until the individual project has been through the approval process outlined in this document. For SOGR programs, approval is granted each year by the Trustees for the following fiscal year's spending when the annual Operating Plan and Capital Budget is approved. The process outlined below is used to (1) move projects from "planned" to "active" and (2) add new projects to the Plan. It does not apply to SOGR program spending.

Project Initiation

Columbia University Facilities (CUF) and Columbia University Medical Center Facilities (CUMC Facilities) initiate and manage all capital projects on the Morningside and Medical Center Campus.

Capital projects include new construction, renovations and infrastructure improvements that serve to enhance the physical assets of the University as well as major information systems improvements. The need for a capital project can be initiated by a school, department, institute, center or by the Central University - hereafter referred to as Client - via a written project request form once it has been internally approved. The request should briefly identify the purpose and need of the project, as well as define any associated goals or objectives. It should also briefly discuss the general scope, space identified for the project, funding strategy, schedule, and special requirements or considerations. The client submits project requests via email or electronically via the Columbia University Facilities webpage and through points of contact if already established from prior projects.

*** See "Full Policy Text" link for a PDF of the entire policy.