TSPR Higher Education Protocols- Chapter 10

Chapter 10
Plant Operation and Maintenance

Facility planning and management of construction and renovation projects are significant activities for most colleges or universities. Comprehensive campus master planning for facilities based on student growth, programmatic needs and legislative requirements are essential to provide for student needs without overcrowding, use of substandard facilities due to deferred maintenance or non-compliance with applicable codes or use of costly alternatives. Active management of construction projects can provide cost control, ensure quality of workmanship and help ensure timely completion. Facilities also must be maintained and cleaned on a routine basis to ensure a safe and healthy environment for students, teachers and staff.
The community college segment of higher education is the only part that builds, constructs and maintains physical facilities without a state financing commitment. Local community college districts have taxing authority for this purpose. For this reason, most facilities standards and reporting requirements promulgated by the Texas Higher Education Coordinating Board (THECB) for the other areas of public higher education are recommended, but not required, for community colleges. As a result, each community college district determines, to a large extent, its own facilities management plan.
Public general academic and health related institutions, lower division institutions and technical colleges are required to submit data to the THECB for the following reports (Texas Administrative Code):

Campus Master Plans (five year plans that include deferred maintenance needs, expenditures for most recent period ended and a description of facilities construction proposals planned for submission for approval by the THECB.)
Reports required by THECB's Educational Data Center.
Facilities inventory of building and rooms occupied or controlled by an institution (includes facilities condition assessments.)

Also, most new construction projects must be approved by the THECB or its delegate.
Included in this chapter are the following:
Part 1
10.A. Facility Planning (long and short range)
10.B. Facilities Condition
10.C. Classroom and Overall Building Utilization Rates
10.D. Organization and Management of the Operations and Maintenance (O&M) Function
10.E. Energy and Conservation Management
Part 2
10.F. Custodial and Maintenance Operations
10.G. Transportation
10.H. Construction Program Management
10.I. Safety and Security
10.J. Contracted Services (facilities and utilities)

PART 1
This module provides the basis for assessing the facilities management program in the institution. It is intended as a guide and should not be considered inclusive.
10.A. Facility Planning (long and short range)
Data Needs
(May be available through System Administration, if a component institution)

Facilities Master Plan (See also Campus Master Plan)
Student Enrollment and student project information
Budgets and reports on bond programs
Master planning procedures
Internal management practices and procedures of construction projects
Long range financial planning for facility improvement
Roles/responsibilities of outside architects and contractors
Staff input into facility planning
Contracts
A list of new facilities or major renovations completed in the last five years, or as available according to the institution's records retention guidelines.
Description of energy use and management
Facility use data
Pertinent internal audits

Possible People to Interview
Chancellor or vice chancellor with facility responsibility (For System Level Reviews)
Other system officer with facilities responsibilities such as construction supervisor
Campus Planning Division, THECB
President
Board members (as appropriate)
Vice president with assigned responsibility
System and Institution construction supervisor
Institution architect
Internal Auditors
Physical plant director
Chief of Police
Environmental Health and Safety director
Others to possibly interview or survey:

Community leaders
Contractors
Parents
Students
Taxpayers (Community College)

Activities to Perform

10.A.1. Prepare a chart showing the permanent current square footage of each facility in the institution, the number and square footage of temporary, leased or portable facilities; the acreage of each facility site; and, any special amenities at each location like stadiums, swimming pools, theaters and the like. Facilities information is available from the institution or THECB annual facilities inventory. Compare the actual space with the space model predicted need and, if differences exist, examine and document, to the extent possible, the reason for the differences. (THECB space model standards apply for general academic institutions, state and technical colleges, or industry standards for community colleges)
10.A.2. Compile and examine all state guidelines, plans, policies, procedures and published standards that deal with the facility management function. One source is the Campus Planning Division of the THECB.
10.A.3. Compare institution planning documents (facility master plan) to industry guidelines and determine whether the institution long-range facility master plan contains a five (5) year projection of needs with a corresponding financial plans follows:

The history and five year projection of student enrollment by program and site;
The history and five-year projection of campus capacities by program;
The history and five year projection of community growth (primarily for community colleges);
A demographic study and projection of community and school population (minority analysis, etc.);
A five-year projection of additional sites required (primarily community colleges);
A five-year projection of excess or abandoned sites or facilities;
A five-year projection of land acquisitions for future construction projects;
A five-year projection of special facilities required for students with disabilities;
A five-year projection of classroom furniture and equipment (replacement and growth) requirements;
A five-year projection of special service and support service furniture and equipment requirements; (Administration facility, food service maintenance, warehousing, data processing, operation and grounds, health facilities, guidance and counseling facilities, etc.)
A five-year projection of available revenue sources;
A five-year priority listing of facility needs;
A five-year assignment of funds in accordance with the priority listing;
Facility projects budgeted and accounted for by project including all direct and indirect costs;
Facility expenditures coordinated with institution investment and cash management programs; and
Five-year projection of capital renewal needs.

Questions to Ask
How does this department or function align its goals and objectives to the mission and goals of the institution? How does the departments plan link to the master planning documents of the institution? How does this department or function contribute to the educational goals of institution? How is success measured?
How is the departmental budget tied to the institution's strategic plan? What is the process for assuring that departmental funds are budgeted in accordance with the institution's strategic plan?
Does the institution have board approved facilities management policies? Does board policy provide for a board approved facilities master plan?
Does the master plan, board policy or other facility-planning document identify short term and long-term facilities needs, which are included in the institution's master plan? What provisions exist for the publication and dissemination of policies and the facilities master plan to staff and community members in community colleges?
Do guidelines for determining the priority needs for facilities include, but are not limited to:

health and safety of students (are restroom facilities equipped to promote high levels of hygiene);
health and safety of employees;
instructional needs;
efficiency of operation;
cost effectiveness;
research needs; and
Health and safety of students.

Does the institution policy provide a methodology that addresses emergency facility needs? Does the institution conduct an annual review and revision of the facilities master plan?
Does policy stipulate procedures for the authorization and methodology for selection of architects and other professional service firms required in facilities planning and construction?
Does the institution have approved facilities management procedures that are published and disseminated to appropriate staff and community members at community colleges? Were plans developed with input from institution maintenance administrators? Community members at community colleges?
Is the institution facilities master plan reviewed, evaluated and revised annually? Is there a published time line for review and evaluation of the facilities master plan annually?
How are staff/members of the public involved in the review and evaluation of the institution's progress in implementing and updating the facility master plan?
Does the institution have a board approved facilities management financial plan? Are funds budgeted for short-term and long-term projects on an annual basis in accordance with an approved facilities master plan? Are funds budgeted for contingency or emergency facility needs? What, if any, external sources of financing have been identified to meet facility needs?
Do facility plans recognize the importance of selecting materials and equipment that contribute to efficiency in custodial operations as well as low maintenance costs? Do plans include standardized building components such as wall covering, tile, etc.? Standardized equipment such as HVAC units? Do plans address the quality of equipment and materials used in construction projects, while complying with state competitive procurement laws? How do plans ensure energy conservation? Code compliance?
Does the director of maintenance a member of the facility planning committee (or building committee) provide input on material and equipment and provide review of architectural plans and specifications? Are design standards in place and followed? What process or procedures ensures that standards are followed?
10.B. Facilities Condition
Except for community colleges' facilities, the general facilities condition standard followed by the THECB is that deferred maintenance should be less that 5 percent of replacement value for each institution and each institution is required to submit a detailed facilities inventory annually. Deferred maintenance is defined as an existing or imminent building maintenance-related deficiency from prior years, or the current year, that needs to be corrected, or scheduled preventive maintenance tasks that were not performed because of perceived lower priority status than those funded within the budget (Texas Administrative Code.)
Included in the required annual facilities inventory is an institutional assessment of the condition of each building by assignment to one of six categories ranging from satisfactory to termination of occupancy. The THECB also publishes annually a Facilities Fact Book listing for each institution replacement values, amount of deferred maintenance, space analysis and utilization. Periodically, a facilities age and condition summary is included, the most recent appearing in the 1999 Facilities Fact Book. The general standard recognized by the THECB is that annual renewal and replacement expenditures should be approximately 2-5 percent of replacement value.
More detailed information is available in the facilities information area and the THECB rules area of the THECB website at www.thecb.state.tx.us. The review process is a self-assessment by the institutions; no funds are available to conduct statutorily mandated facilities audits required under Section 61.0583 of the Texas Education Code. Building condition categories are defined in Appendix A of the Facilities Inventory Manual published by the THECB.
Data Needs
(May be available through System Administration, if a component institution)

Unit mission, goals, objectives, strategic plan, etc.
Organization and staffing information
Current facility condition report
Budget documents (request and actual) showing allocation of funds to address problems identified in condition assessment
A list of new facilities or major renovations completed in the last five years
Copy of projected construction and renovation projects
Campus master plan
Pertinent internal audits

Possible People to Interview
Chancellor or vice chancellor with facility responsibility (For System Level Reviews)
Other system officer with facilities responsibilities such as construction supervisor
Campus Planning Division, THECB
President
Vice president with assigned responsibility
University architect
Physical plant director
Environmental Health and Safety director
Chief of Police
Internal Auditors
Others to possibly interview or survey:

Community leaders
Contractors
Parents
Students
Taxpayers (Community College)

Activities to Perform

10.B.1. Prepare a list of all facilities, the age and condition as assigned by the institution.
10.B.2. Prepare a chart comparing the most recent facility condition report to the projected construction and renovation projects and determine whether the most serious needs are given priority. If not, determine the cause and note this in the chart.
10.B.3. Prepare a chart of maintenance budgets for the last five years and the amount of deferred maintenance to determine if the institution is budgeting sufficient dollars to maintain a safe, efficient and educationally sound environment for staff and students. Where budgeted dollars are declining and deferred maintenance needs are increasing, determine why and note this in the write-up.
10.B.4. Diagram the process used to prepare the facility condition report showing the positions or contractors from whom input is obtained throughout the process.
10.B.5. Prepare a chart depicting capital renewal projects completed over the last five years and planned projects for the next five years, including a funding sources and financial plans as applicable.

Questions to Ask
Is there a regular facilities assessment program that evaluated exterior, interior, mechanical systems, safety and building code compliance? How are problems reported and to whom? Is staffing adequate to complete needed assessments on a regular basis? Who performs the assessments?
How is the funding provided to alleviate problems? Is funding adequate? If not, how much additional funding is required on an annual basis?
Is there documentation of facilities suitability for persons with disabilities? What facilities require work to become Americans With Disabilities (ADA) compliant?
Are the most critical facility issues being addressed on a priority basis by the institution?
How far above or below the general facilities condition standard followed by the THECB is that deferred maintenance? If it is not less that 5 percent of replacement value for the institution, why or why not?
Has the institution submitted a detailed facilities inventory annually as required by law? If not, why not? Has the amount of deferred maintenance grown or declined in the institution over the last five to 10 years? If so, why?
What buildings are in the worst condition? Which are in the best condition? What is the replacement value of each of these facilities? What does the most recent facilities age and condition summary show? Are annual renewal and replacement expenditures approximately 2-5 percent of replacement value?
How are legislatively mandated projects identified, planned, funded, etc.?
What is the process used by the institution to prepare the facility condition report? How does the process contribute to an accurate assessment and reporting of the facility conditions within the institution? Were any discrepancies noted in the report? If so, what caused those discrepancies? How does this process compare to industry standards?
10.C. Classroom and Overall Building Utilization Rates
The THECB also requires annual reporting of classroom utilization, which is published in the Facilities Fact Book. Utilization is based on the average hours of use per week. There are two THECB utilization standards, currently 38 hours for classrooms and 25 hours for class labs. Overall space utilization is measured by comparing actual Educational and General (E&G) space with the Space Model predicted need for E&G space for each institution to determine whether surplus space exists or more space is needed. E&G space is the space required for the institution to fulfill its mission in teaching, research and public service. It does not include auxiliary space represented by dormitories, foods service facilities, etc., nor does it include non-assignable space (space used for a purpose other than teaching, library, research, office or support). First approved for use by the THECB in 1992, the space projection model was originally used to evaluate the need for new construction. In the recent biennium it has also served as the basis for funding plant operations and maintenance. Copies are available on the THECB website mentioned above.
Data Needs
(May be available through System Administration, if a component institution)

Current facility fact book
Current space projection model for the institution
Historical five to 10 year funding and five year funding projections for plant maintenance and operations, deferred maintenance, capital renewal and construction or major renovation projects
Pertinent internal audits

Possible People to Interview
Chancellor or vice chancellor with facility responsibility (For System Level Reviews)
Other system officer with facilities responsibilities such as construction supervisor
Campus Planning Division, THECB
President
Vice president with assigned responsibility
Physical plant director
Internal Auditors
Others to possibly interview or survey:

Community leaders
Contractors
Parents
Students
Taxpayers (Community College)

Activities to Perform

10.C.1. Compare the THECB reports on facility utilization rates to the published standards. Note areas where the institution is over or under the standard and conduct interviews to determine the reason for any variances.
10.C.2. Chart the historical five to 10 year funding and five year funding projections for plant maintenance and operations and determine how the institutions current facility use rates are impacting funding either positively or negatively. Conduct interview to determine what, if anything, the institution can do to enhance or maximize funding or minimize costs for plant maintenance and operations in the future.
10.C.3. Conduct a sample audit of facilities as compared to the THECB report to determine if space is properly classified.

Questions to Ask
Are facilities being used efficiently? How much actual Educational and General (E&G) space does the institution have? What is the predicted need according to the Space Model for each institution? How much surplus space exists or more space is needed? What processes and procedures are in place to address the variances? How does this compare to the institution's campus master plan?
How is the institution maximizing current funding for plant maintenance and operations? What could be done to control expenses or change the utilization rates so that funding is maximized?
10.D. Organization and Management of the Operations and Maintenance (O&M) Function
Data Needs
(May be available through System Administration, if a component institution)

O&M Organizational charts
Current O&M staffing charts and staffing patterns over the last five years, or as available according to the institution's records retention guidelines.
a sample of preventive maintenance and work order data
O&M job descriptions
O&M budgets for the last 5 years
Training and safety records
Pertinent internal audits

Possible People to Interview
Chancellor or vice chancellor with facility responsibility (For System Level Reviews)
Other system officer with facilities responsibilities such as construction supervisor
Campus Planning Division, THECB
President
Vice president with assigned responsibility
Physical plant director
Contractors
Internal Auditors
Activity to Perform

10.D.1. Examine the organization and staffing charts and job descriptions for all facility related functions including the reporting relationship for contractors and architects and interview staff to determine reporting arrangements. Determine whether the organizational structure depicted on the chart reflects the actual organization of the department and document if it has been changed recently or repeatedly in the recent past or is anticipated to change in the near future and document the reasons for any changes made.
10.D.2. Examine the staffing and budgets of facility and facility related functions and determine the ratio of total staff to staffing within the function. Determine whether the budget and staffing levels compare favorably to comparable institutions or industry standards.

Questions to Ask
Is this function centralized or decentralized? Why or why not? What reasons are given for the type of organization used by the institution? How are these reasons supported by fact? What adjustments to the organizational structure could improve operations, reduce costs or improve the quality of services delivered?
Has the institution assigned specific staff to manage the facilities management program? How is management and control of the institution facilities management program accomplished? How are construction and renovation projects coordinated with maintenance and other related departments? What internal resources are available to support staff, such as an in-house architect or construction supervisor? How are the roles and reporting relationships of any outside architects and contractors defined and documented? Does the organization structure support the monitoring of contracts and contractors?
Is the reporting relationship of facility and facility related staff aligned? Are there departments or functions that have duplicative roles or responsibilities? How does communication flow between the various departments and the campus staff to prevent conflicting schedules or projects (i.e., installing carpet in an office that is scheduled for tile during renovation, scheduling major renovations or maintenance during test weeks, etc.)?
Are specific staff assigned responsibility for various functions to develop and review the institution facility master plan on an annual basis including:

Enrollment projection by programs for each school or department for a period of five years?
Class size requirements by school or department?
Need for labs and special needs areas?
Students with disabilities special facility requirements?
Federal, state and local construction requirements?
Assessed evaluation projections (for a minimum of five years)?
Projected bonding capacities?
School or department capacity projections?
Building condition assessments?

Is training provided to facilities management staff on an annual basis? Is staff cross-trained so that tasks are completed even when specific staff is absent? Is in-service training provided to staff regarding changing laws, regulations and procedures (federal, state and local)? What budget funds are available to ensure staff can attend state and local seminars on facilities planning, construction and financing? How is institution staff (site administrators, custodians and maintenance staff) provided in-service training on inspection, evaluation and identification of facility needs on a regular basis? How is analysis of facilities aligned with advancements in effective use of facilities to promote academic performance?
How does management maximize available funding? How is management using the predicted square footage versus actual square footage information to prepare budgets? To make adjustments in future building plans or utility budgets? Etc.?
10.E Energy and Conservation Management
Energy use and costs for each institution are reported in Schedule 9 of its Legislative Appropriations Request (LAR. From this reported information, the THECB calculates the rates on which the institution is funded. Rates can vary significantly, even with institutions within close geographic locations because some institutions generate their own power and even sell off excess power generated such as electricity and steam. Others are dependent on local utility companies to provide power and must negotiate the rates directly with the provider. Whether the institution generates its own power or not, rising energy costs and the world's limited natural resources, makes conservation fiscally and environmentally appropriate.
Data Needs
(May be available through System Administration, if a component institution)

Utility bills and/or use rates for the last year by institution and facility
Facility square footage by facility
Copy of LARs for last five years
Copies of current energy management contracts including projected benefits
Data on any energy conservation programs and projected results
Copies of plans for energy retrofits or improvements that will impact energy use
Energy utilization index
Pertinent internal audits

Possible People to Interview
Chancellor or vice chancellor with facility responsibility (For System Level Reviews)
Other system officer with facilities responsibilities such as construction supervisor
Campus Planning Division, THECB
President
Vice president with assigned responsibility
Physical plant director
Utilities director
Contractors
Internal Auditors
Activity to Perform

10.E.1. Examine institution utility bills by location for the last year and create a chart showing the facilities square footage, location, utility use rates and charges. Determine the facility's energy use per square foot and energy cost per square foot. Compare the charges against industry standards, as reported to the THECB and the LBB on Schedule 9 of the LAR and note deviations.
10.E.2. Compile information regarding all institution energy management activities, including any energy retrofits, energy conservation programs, or utility rate reduction programs. Determine what benefits or savings have been achieved as a result of participation. Also note any programs approved by the board or planned for implementation in the near future.
10.E.3. Conduct a site visit of a sample of institution facilities, particularly those that are experiencing higher than average utility use rates and note the primary reasons discovered as the cost drivers on those campuses such as inefficient lighting, inefficient HVAC equipment, etc.
10.E.4. Examine the institution's energy conservation plan. List key components and attempt to quantify positive results and/or identify weaknesses.

Questions to Ask
Who is assigned to review and reconcile institution utility bills on a monthly basis? Have significant errors or discrepancies been noted and adjustments sought? Does the energy or maintenance department maintain a spreadsheet of utility use rates so that spikes in service or notable deviations can be researched? Are all buildings metered separately so that analysis of utility use by building can be done? How does the institution encourage energy conservation? Are rewards given to campuses or facilities that actively pursue energy conservation activities? Does the institution have a board-approved energy conservation plan? Has the institution obtained a utility billing audit-some companies work on commission and if no errors are found the institution pays nothing? Are the audits done every four years?
Does the institution conduct energy conservation training programs for campus staff and students? Does the institution have stated policies or procedures for temperature controls? Does the institution have programmable thermostats or other energy controlling devices that ensure that institution policies or procedures are adhered to? Has the institution identified high-energy use equipment and systematically targeted it for replacement? Have cost benefit analyses been given to the board or administration to show how expenditures for new equipment will save money and improve operations? Does the Institution have a procurement policy requiring that new equipment and buildings must be energy efficient, (i.e. EPA-DOE's Energy Star Products)?
Does the institution participate in e-Rate programs, the Lone Star Program, etc.? Have energy retrofits ever been done using performance contracts through the state or external vendors? If so, how are performance contracts monitored? What currently deferred facility improvements could be accomplished as part of an energy saving program? Has the institution received grant funds for energy retrofits? Does the institution have utility rate hedging programs in place?

10.A.1.	Prepare a chart showing the permanent current square footage of each facility in the institution, the number and square footage of temporary, leased or portable facilities; the acreage of each facility site; and, any special amenities at each location like stadiums, swimming pools, theaters and the like. Facilities information is available from the institution or THECB annual facilities inventory. Compare the actual space with the space model predicted need and, if differences exist, examine and document, to the extent possible, the reason for the differences. (THECB space model standards apply for general academic institutions, state and technical colleges, or industry standards for community colleges)
10.A.2.	Compile and examine all state guidelines, plans, policies, procedures and published standards that deal with the facility management function. One source is the Campus Planning Division of the THECB.
10.A.3.	Compare institution planning documents (facility master plan) to industry guidelines and determine whether the institution long-range facility master plan contains a five (5) year projection of needs with a corresponding financial plans follows: The history and five year projection of student enrollment by program and site; The history and five-year projection of campus capacities by program; The history and five year projection of community growth (primarily for community colleges); A demographic study and projection of community and school population (minority analysis, etc.); A five-year projection of additional sites required (primarily community colleges); A five-year projection of excess or abandoned sites or facilities; A five-year projection of land acquisitions for future construction projects; A five-year projection of special facilities required for students with disabilities; A five-year projection of classroom furniture and equipment (replacement and growth) requirements; A five-year projection of special service and support service furniture and equipment requirements; (Administration facility, food service maintenance, warehousing, data processing, operation and grounds, health facilities, guidance and counseling facilities, etc.) A five-year projection of available revenue sources; A five-year priority listing of facility needs; A five-year assignment of funds in accordance with the priority listing; Facility projects budgeted and accounted for by project including all direct and indirect costs; Facility expenditures coordinated with institution investment and cash management programs; and Five-year projection of capital renewal needs.

10.B.1.	Prepare a list of all facilities, the age and condition as assigned by the institution.
10.B.2.	Prepare a chart comparing the most recent facility condition report to the projected construction and renovation projects and determine whether the most serious needs are given priority. If not, determine the cause and note this in the chart.
10.B.3.	Prepare a chart of maintenance budgets for the last five years and the amount of deferred maintenance to determine if the institution is budgeting sufficient dollars to maintain a safe, efficient and educationally sound environment for staff and students. Where budgeted dollars are declining and deferred maintenance needs are increasing, determine why and note this in the write-up.
10.B.4.	Diagram the process used to prepare the facility condition report showing the positions or contractors from whom input is obtained throughout the process.
10.B.5.	Prepare a chart depicting capital renewal projects completed over the last five years and planned projects for the next five years, including a funding sources and financial plans as applicable.

10.C.1.	Compare the THECB reports on facility utilization rates to the published standards. Note areas where the institution is over or under the standard and conduct interviews to determine the reason for any variances.
10.C.2.	Chart the historical five to 10 year funding and five year funding projections for plant maintenance and operations and determine how the institutions current facility use rates are impacting funding either positively or negatively. Conduct interview to determine what, if anything, the institution can do to enhance or maximize funding or minimize costs for plant maintenance and operations in the future.
10.C.3.	Conduct a sample audit of facilities as compared to the THECB report to determine if space is properly classified.

10.E.1.	Examine institution utility bills by location for the last year and create a chart showing the facilities square footage, location, utility use rates and charges. Determine the facility's energy use per square foot and energy cost per square foot. Compare the charges against industry standards, as reported to the THECB and the LBB on Schedule 9 of the LAR and note deviations.
10.E.2.	Compile information regarding all institution energy management activities, including any energy retrofits, energy conservation programs, or utility rate reduction programs. Determine what benefits or savings have been achieved as a result of participation. Also note any programs approved by the board or planned for implementation in the near future.
10.E.3.	Conduct a site visit of a sample of institution facilities, particularly those that are experiencing higher than average utility use rates and note the primary reasons discovered as the cost drivers on those campuses such as inefficient lighting, inefficient HVAC equipment, etc.
10.E.4.	Examine the institution's energy conservation plan. List key components and attempt to quantify positive results and/or identify weaknesses.