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 2
10.F. Custodial and Maintenance Operations
Maintenance operations in Texas colleges or universities generally include facility repair and renovation services, grounds care and custodial functions. Efficient maintenance programs provide routine, preventive and emergency maintenance services for all of the institution's facilities. The range of services provided may vary from minor tasks such as hanging chalkboards to more skilled tasks such as replacement of plumbing or electrical fixtures. Staffing patterns may include skilled artisans as well as general and grounds maintenance personnel. Custodial services usually include cleaning services, minor maintenance functions and performing special tasks as assigned by the building staff.
This module encompasses operational aspects including work order system, time reporting, inventory control, control of tools and equipment and purchasing procedures. Also examined are staffing levels, training programs and coordination of new construction activities.
Data Needs

Policies and procedures
Work order reports
Organization and staffing charts
Maintenance records
Information system reports
Purchase orders and invoices
Staff training reports
Budgets and financial reports for this function
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
10.F.a. Maintenance Operations
Activities to Perform

10.F.a.1. Examine the organization and staffing charts and job descriptions for maintenance to determine reporting arrangements, licensing requirements, 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 why. If some or all of the functions are contracted for, show the reporting relationships established for contract management.
10.F.a.2. Examine the staffing and budgets of maintenance functions and determine the ratio of total staff to staffing within the maintenance function. Determine whether the budget and staffing levels compare favorably to industry standards (i.e., direct versus indirect labor percentages.)
10.F.a.3. Diagram the maintenance process by conducting campus site visits, riding along with maintenance crews and interviewing maintenance and campus staff. Differentiate between processes used for emergencies, preventive maintenance activities, capital projects and normal work orders.
10.F.a.4. Prepare a table of sample work orders and determine average completion times for emergencies, preventive maintenance activities, capital projects and normal work orders.
10.F.a.5. Examine software applications in place to determine the effectiveness of automated processes.

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?
Does the organizational structure of the maintenance department have a structure that is clearly defined? Does every position have a written job description? Does the structure provide for effective supervision without unnecessary layers of management? Is the span of control or ratio of supervisors to workers appropriate? Does the structure provide for use of crews on a centralized institution-wide basis or decentralized site basis as appropriate?
Within budget considerations, do the human resources procedures for the maintenance department:

Provide for the selection process to include personal interviews with line managers who determine technical competence?
Provide a competitive compensation (including benefits) program to attract skilled employees with special training and qualifications (within budget considerations)?
Require personnel to participate in in-service programs on a regular basis?
Limit overtime to 5-10 percent of total maintenance work hours available?
Provide for maintenance personnel to have identification as institution employees such as badges and/or uniforms?
Provide for recognition of personnel for their accomplishments (such as employee of the month, perfect attendance for the year)?
Designate employees who will perform emergency repairs and define the basis for additional compensation to be paid for these call-outs?
Eliminate equity disparities?

Does the institution budget provide the necessary resources to carry on a planned program of maintenance services? Does the budget support the annual objectives of the maintenance department, the approved staffing levels, a reserve fund or insurance coverages for catastrophic or unforeseen needs, normal and preventive maintenance activities and all planned replacement programs? Does the institution compare per capita maintenance statistics with other comparable colleges or universities and document the institution methodology used in the comparison?
How does the maintenance department control costs? Do purchasing procedures for the maintenance department:

Require purchases to be made through the central purchasing system of the institution?
Limit petty cash purchases in dollar volume (e.g. $50.00) and number?
Limit open purchase orders by designating time and monetary limitations?
Stress bulk purchasing for volume discounts?
Provide for proper security of all items that are purchased and expensed?
Have internal control procedures in place for procurement card use?

Has the institution engaged in any inter-local agreements or memorandums of understanding agreements for providing service to or obtaining services from neighboring school districts? universities or colleges or city or county governments?
How does the department determine whether a good or service can be delivered by businesses outside the institution at a lower cost and/or at a higher quality? Are cost comparisons made with fully-loaded costs for providing the services in-house, such as salaries, benefits, overhead or indirect costs, materials and supplies and the like? What input does the maintenance director in the budget preparation and administration processes?
Is there a differentiation between maintenance and capital outlay projects with maximum monetary limits (consistent with the THECB construction approval rules, if applicable) set for construction of new facilities by the maintenance department (e.g. $50,000 - $75,000)? Are there clear definitions for capital outlay expenses versus normal operating expenses? Are these definitions consistent with the state (accounting) capitalization policy? How are indirect cost allocations used to aid in determining the full cost of all capital projects? How do state capitalization policies compare to system and/or local institutional policies?
Training and educational programs
Are personnel sufficiently trained through staff development programs? Is staff given opportunities for participation in a planned program of in-service training to enhance functional skills? How are staff trained on or informed of employees of policies, procedures and operating practices? Does staff participate in a comprehensive safety training program? How much is budgeted for internal and external training for staff? Is staff cross-trained to promote job enrichment and ensure that daily tasks continue when staff is absent?
How does the institution encourage students to respect the institution's facilities? How is vandalism by students and others dealt with? How are student government or clubs encouraged to assume a role in the care of facilities?
Community use of facilities
Are written rules and regulations regarding the use of the institution's facilities by community groups uniform and effectively enforced? Is one unit designated to be responsible for assigning and monitoring the use of the institution's facilities or is this left to individual campus administrators? Who is responsible for recovering costs for damages to facilities by outside groups from the user? How are after-hour custodians scheduled for cleaning and monitoring facilities when community groups use facilities? How are costs recovered for use of facilities that were not related to public education purposes, such as rental charges for use by non-related organizations? Are standard facility use agreements executed for community groups?
Preventive maintenance
Is there a planned or preventive maintenance program that provides schedules for servicing all equipment including plumbing, heating, ventilation and air conditioning? Are periodic and documented evaluations made of the condition of buildings and grounds of each campus? How often? By whom? Is a physical inventory and periodic updates of the condition and age of roofs, HVAC equipment, etc. used to develop a planned replacement program?
Does the institution use maintenance agreements for some equipment or building systems? How does the institution ensure that warranty repairs are not inadvertently charged to the institution? Are parts charges included in the contracts? How are non-covered charges controlled?
Work orders
Is there a system of work orders that provides complete cost data on labor and material costs for each job? Reports all time of each employee including unassigned time and travel time? Requires work orders to be completed accurately and in accordance with written standards? Allows for prioritization of projects? Defines initiators of work orders and provides complete instructions on requests for service? Allows timely communication with the initiator regarding status of work order and/or quality of work completed? Tracks timely completion and any backlog of work? Allows for chargeable work orders to be tracked separately to ensure recovery of all costs incurred?
Has the institution developed a record of all maintenance performed by location and within the institution? Does the institution have computerized programs to track work orders by location and type of work performed? How does the institution use this information to budget for future repairs? To plan for equipment replacement? Etc.?
Does the institution have maintenance management procedures? Are there clear instructions and site-maps for emergency utility cutoffs? Does the institution have clearly defined operational methods for each craft or function, including custodians and grounds? Are there guidelines defining the types of construction/reconstruction projects, which can and should be completed by the staff? How does management ensure that projects are completed in a timely manner and according to the standards established by the department and code authorities? What minor repairs or maintenance do custodians perform?
Is maintenance scheduled to avoid excessive peaks in the workload and disruption to the educational process by scheduling a majority of inside activities, such as painting, when classes are not in session? Scheduling major roofing, flooring, ceiling, etc. repairs when classes are not in session, or the facility is vacant?
10.F.b.Custodial Operations
Activities to Perform

10.F.b.1. Examine the organization and staffing charts and job descriptions for custodians to determine reporting arrangements, 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 the reasons for any changes.
10.F.b.2. Examine the custodial budget for supplies and salaries and determine if it compares favorably to industry standards.
10.F.b.3. Prepare a chart listing the number of custodians employed at each location in the institution and calculate the square footage cleaned based upon the information compiled in Activity 10.A.1 above. Compare the square footage cleaned per custodian to institution guidelines or industry standards and note deviations.

Questions to Ask
Do custodians report to maintenance or custodial supervisors, or do they report to campus administrators? What are the pros and cons of this reporting relationship? What support activities such as training are provided centrally? What is provided at the campus level?
What type of supervision is provided to custodians, especially custodians that work after hours? How do provide feedback to or evaluate custodians assigned to their campus? Who has authority to hire or terminate a custodian? Who trains custodians? Is there a mentorship or internship program for new custodians to train them on specific procedures? Specific campus layouts and needs?
Given the age and use rates of the facilities, are custodians assigned to clean a standard square footage? Is a staffing formula approved and adopted by the institution? Does the institution approved formula mirror state and national standards? Is staffing equitably distributed throughout the institution? Are deviations directly linked to special needs? Are custodial schedules split so that some custodians work during the day to handle spills and spot clean-ups, while the majority is assigned to clean facilities during the evening hours when staff and students are out of the building?
Are custodial supplies and equipment adequate to ensure efficient and effective cleaning? How are cleaning supplies and equipment controlled? Who does the ordering and who determines what supplies are ordered? Are supplies delivered to a central warehouse or just in time to the campuses or other sites? Are cleaning supplies ordered and delivered to facilities in a timely manner? In a quantity that can be easily stored on the campus? How do custodians communicate concerns or preferences to management? Are there incentives for custodians submitting cost saving suggestions?
10.G. Transportation Services
Data Needs

Maintenance records
Fleet records
Compliance or other reports on state fleet management program
Annual transportation report
Transportation information systems
Transportation outsourcing feasibility studies and request for proposals
Copies of contracts, if services are privatized
Job descriptions, salaries and wages of transportation employees
Staffing by category and location
Training/certification records of transportation employees
Vehicle accident or vandalism reports
Pertinent internal audits

Possible People to Interview
Vice president with assigned responsibility, if applicable
Transportation director
Drivers
Mechanics
Training coordinators
Athletic director
Students
Transportation vendors, if applicable
Internal Auditors
Activities to Perform

10.G.1. Prepare a complete inventory of all institution owned vehicles, including vehicles, trucks and passenger cars. Show the make and model, date of purchase, current mileage, annual use rate, departmental assignment and primary purpose of the vehicle.
10.G.2. Compile a list of all transportation services provided by the institution, including extracurricular and intercollegiate travel. Show the annual cost, mileage (if available), number of riders and mode of transportation.
10.G.3. Prepare a chart showing the salary rates and ranges for each position within the transportation function and the budgeted or actual overtime worked by each position type stated in hours and/or dollars, as appropriate. Compare salary rates to industry standards and note any areas where consistent, excessive overtime is being used.
10.G.4. Prepare a list, by position, of all staff development or certifications provided and/or required at time of hire, at orientation, annually and at other intervals. Show whether that training is provided in-house or by contract and the approximate contract cost.
10.G.5. Examine all institution vehicle accident reports for the last year and determine whether trends exist. If trends are discovered, interview staff to determine what action the institution has taken to reverse those trends.
10.G.6. Examine the fleet maintenance and/or work order tracking system and prepare a list of the systems capabilities, which modules are in use and which, if any, are not. Determine if the systems capability meets the institution's needs and whether the system is integrated with other appropriate systems to eliminate redundant data entry and possible errors.
10.G.7. Examine motor vehicle ratings of authorized drivers and note any situations where drivers are not properly licensed.
10.G.8. Examine risk management practices and polices and note any areas where the institution or individuals may remain at risk, or where practice and policy are not in sync.

Questions to Ask
Planning
How does this department or function align its goals and objectives to the mission and goals of the institution? How does the department's 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?
Staffing and supervision
Are the institution's staffing levels comparable to institutions of similar? What staffing formulas does the institution use to ensure the efficiency of staff? Do drivers and mechanics receive adequate supervision? What is the span of control? Who is responsible for evaluating drivers? Do the evaluators ride with the drivers or work beside mechanics to assess performance? Does the supervisor follow drivers periodically to observe driving skills and adherence to institution policies and procedures? Who handles preventive maintenance on vehicles? Who responds to emergency calls like flat tires, break downs, etc.?
When drivers are having problems, who do they turn to for help? When a mechanic is uncertain of how to proceed with a repair, to whom can they turn for assistance? How do employee turnover rates compare to peer institutions, regional and state averages? Are employee compensation rates competitive with peer institutions and the regional marketplace? Does the institution provide a benefits program that is comparable with other institutions and the regional marketplace? Is there a relationship between compensation package and turnover rates? How does the institution track the reasons employees leave the institution? What other factors are affecting turnover rates?
Training
Is training provided for all transportation staff on an annual basis? Is transportation staff provided in-service training on changing laws, requirements and procedures? Who provides the training? Does appropriate staff attend regional seminars?
What in-service activities are provided for drivers? What driver training has required attendance? Are trained substitute drivers available? What specific training is given to substitutes?
How many hours of initial training do newly hired drivers receive? How many hours of ongoing training do established drivers receive per year? What types of training are provided and how does it compare to that suggested in the Texas Administrative Code?
Fee Structure
Are any students or departments charged for transportation costs? If so, who? Under what circumstances? What is the charge? Does the charge match the cost of transportation? Is this process documented in institution policy?
Does the institution allow external groups such as non-profit organizations to use vehicles? If so, whom? Under what circumstances? What is the charge? Does the charge match the cost of transportation? Is this process documented in institution policy?
How does policy or procedure stipulate how charges are to be assessed to departmental or program budgets for special trips? Are campuses allowed to charter special vehicles from external entities if the cost is lower than the institution's cost from providing those services? When there are no institution vehicles available to handle the trip? How does the administration ensure that board policies are followed and incorporated into day-to-day operating procedures?
Vehicle Maintenance and Replacement
How many institution vehicles does the institution own? How many miles does each vehicle log each year?
How are maintenance costs recorded, monitored and evaluated each year? Are maintenance costs used to determine when to retire vehicles? When to refurbish vehicles? Has the institution used vehicle-refurbishing opportunities provided through the Texas Department of Corrections?
What procedures are in place for drivers to check the vehicle (including fluid levels) daily and report status to maintenance personnel? What is reviewed during pre-trip inspections? Post-trip inspections? How are needed repairs communicated to the mechanics?
Are contracted services considered to reduce costs if service quality and effectiveness can be maintained?
How does the institution hold down the cost of parts, including tires? Does the institution participate in cooperative purchasing arrangement available through the General Services Commission? Does the institution following purchasing laws and guidelines in competitively bidding parts? What alternatives exist for purchasing parts and supplies at a reduced cost? Is maintaining a parts inventory the best way to ensure the availability of regularly needed parts? How is the parts inventory maintained? Is there any obsolete inventory that should be disposed of?
How has the institution sought to reduce fuel costs? Has the institution evaluated the use of alternative fuels such as propane? Does the institution purchase fuel cooperatively with other school districts, higher educational institutions or governmental entities in the area? Does the institution maintain its own fuel tanks and purchase fuel in bulk? Or, does the institution purchase fuel at local service stations? If credit cards are used to purchase fuel, how are charges controlled? Does the institution buy new vehicles that use less fuel or less expensive fuel? How much fuel does the institution purchase monthly, annually, or by another schedule? Is fuel use tracked by vehicle via an automated dispensing system? Are leak detection devices in place on pumps?
With regards to equipment and parts:

how does the institution cooperatively order and purchase equipment and parts? Vehicles?
how are parts stored and inventoried?

How does the institution maintain its inventory of vehicles, equipment and tools? How are truck inventories maintained? Who maintains maintenance equipment and vehicles? For supply inventories? How is personal use of tools or equipment monitored? When equipment or tools are missing, how does the institution deal with the loss? How are employees held accountable for the safekeeping of tools, machinery and equipment?
What measures does the institution use to determine whether it has enough mechanics?
Are mechanics required to drive vehicles? Why? How often (on average)? How has this practice impacted the institution's ability to adequately maintain the vehicles? Who supervises the mechanics? Are mechanics adequately trained? ASE certified? What method is used to record, monitor and evaluate maintenance costs for each vehicle, each year? Is this an automated process?
What alternative purchasing methods does the institution use for purchasing parts and supplies to reduce costs? Are adequate internal controls in place? Does the institution annually review the types of vehicles needed and purchase the most efficient and effective type for the institution? Smaller sizes? Larger sizes? Motor Pools? Specific fuel types? Are supplies efficiently acquired and appropriately distributed?
Is there a planned program of equipment and tool replacement within the transportation maintenance function? Do mechanics own their own tools, or are they the property of the institution? What equipment does the institution own and maintain? What system of controls prevents the theft of institution-owned tools and equipment?
Does the institution follow a vehicle replacement policy for all vehicles? How often, or at what intervals are vehicles to be replaced in the institution? Do budgets reflect a consistent replacement schedule rather than less frequent, higher-dollar acquisitions? How does the institution decide on the types of vehicles needed and purchased annually to determine the most efficient and effective type for the institution? What purchasing process is used when purchasing vehicles that ensure that the institution is getting the best price? Does the institution purchase vehicles through the General Services Commission contract?
Does the institution maintain a vehicle replacement schedule with:

future needs for transportation identified in relationship to available equipment?
vehicle replacements meeting existing federal and state codes?
a set schedule and methodology for vehicle replacement?

When are older vehicles retired? Are there inefficient or unsafe vehicles still being used by the institution? What operating costs could be avoided by replacing inefficient or unsafe vehicles?
Financial Management
How does the institution monitor factors affecting transportation costs such as increases or decreases in demand for services? Organizational changes? Fuel or material cost increases? Insurance costs?
Do the institution's operating procedures for transportation reflect the use of scheduling; routing and automated tools for the purpose of improved efficiency and cost effectiveness? Does the institution use a computerized routing, scheduling and/or work order system?
How are transportation services evaluated to determine overall effectiveness and efficiency? Does the institution review routing, loading and scheduling annually looking for ways of increasing efficiency and cost effectiveness?
Accidents
With regards to safety, how many accidents have institution vehicles been involved with during the previous school year? What percentage of these accidents did the institution classify as preventable and/or non-preventable? How does the institution track and monitor accidents? What procedures exist for dealing with drivers involved in preventable accidents? Are drivers with multiple accidents terminated or retrained? What risk management and driver training programs are in place?
Policies and Procedures
How is the institution ensuring compliance with the state's fleet management program?
Does the institution have established procedures regarding vehicles, tools and equipment including:

Budget allocation for purchases of tools and equipment that support operational needs?
A policy prohibiting use of tools or equipment for personal projects?
A replacement policy for lost or broken tools?
A full inventory of all tools with periodic 'spot' checks?
A regular schedule of maintenance for equipment such as mowers, edgers, compressors, etc. and for all vehicles?
A regular planned replacement schedule for equipment and vehicles?
Vehicle usage policy limiting personal use of the institution's vehicles and the number of take home vehicles?

10.H. Construction Program Management
Data Needs

Copies of existing construction or renovation contracts, requests for proposals, requests for qualifications or other bid instruments
Copies of change orders
Institutional policies and procedures regarding construction procurement and management
Copies of project files; bonds, insurance, submittals, requests for information, etc.

Possible People to Interview
Chancellor or vice chancellor with construction management 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
Contractors
Physical plant director
Internal Auditors
Activity to Perform

10.H.1. Review all contracts for new construction or renovations and list major terms and conditions of the contracts especially as these contracts may deviate from construction industry standards or AIA forms, note any terms or conditions that could impact the price positively or negatively and any performance related assurances to the institution that the terms of the contract will be completed timely.
10.H.2. Examine a sample of change orders to contracts, targeting those in excess of 5 percent of total bid. Are change orders signed and approved by the architect, appropriate system or institutional staff designated with this authority in institutional policies and procedures? Does the original contract limit change orders? Does the change order specify a time for completion? Are all change orders in compliance with terms of the original contract? Are all change orders fully documented with all reasons for any increase/decrease in costs clearly specified? Does the size of cost increase require re-approval of the project by the THECB?
10.H.3. Review all contracts for compliance with governing board policy and construction procurement procedures as well as THECB approval requirements. Note deviations and seek to determine the reason for the deviation.
10.H.4. Review and inspect the financial record for each construction project that are maintained by construction managers.
10.H.5. Review a sample of contracts to ensure code compliance requirements are met. Note deviations and attempt to determine the reason for the difference and the final resolution.

Questions to Ask
If terms and conditions of the contracts deviate from the Uniform General Conditions issued by the Texas Building and Procurement Commission, did the institution seek legal advice on those deviations? How were the contract deviations determined to be in the best interest of the institution? How were contracts negotiated? Did negotiations result in positive gains for the institution? Savings? Better terms? Etc.?
Are facility projects scheduled to ensure coordination with the campus administrator? Are projects scheduled to coincide with the availability of financial resources and the investment schedule?
What process or procedures are in place to ensure standardization of materials, as feasible? Does the institution publish a set of material standards? Does the institution balance the price of new equipment and materials with the long-term maintainability of the product? Does the institution participate in any quality engineering practices? How were projects impacted by the use of quality engineering?
Does the institution's management program for construction/renovation include a complete review of all plans and specifications to ensure compliance with relevant local construction code requirements? Statutory requirements? Institution standards?
Does the project architect and/or assigned institution personnel conduct a thorough check of references of the general contractor and subcontractors? How does the institution ensure that the architect or the owner's representative coordinates inspections to provide quality assurance? Who ensures that comprehensive status reports are provided in a timely manner by the architect and institution staff? How are formal communications with the general contractor conducted?
What are the established procedures for monitoring the project budgets? Who approves progress payments? Who monitors contractor insurance coverage and all bonding requirements? Are monthly project progress reports containing budget, expenditures, encumbrances and balances prepared and presented to the board or other delegated representative? Is there current and accurate budget data available to the board and administration upon request?
Is there any evidence that the original contract price was artificially low in anticipation of change orders? How are change orders controlled? Are all changes coordinated through the project architect, construction manager and/or the owner's representative?
Are there established procedures for accepting completed facility projects that includes approval by the general contractor or the contractor's designated representative? Approval by the architect? Approval by appropriate inspector(s)? Approval by administration? Monitoring of timely completion of any 'punch list' items? Procedures for holding a retainage (portions of final payment) until final acceptance of the project? Ensuring complete as-built plans or record drawings are delivered to the institution? Ensuring commissioning process is followed and documented?
What are the institution's strategies for actively managing construction services contracts? Is management performed using in-house professionals or by construction managers?
How are facilities management services evaluated to determine effectiveness and efficiency? What type of analysis of planning, scheduling and completion of facilities projects is completed on an annual basis for the purpose of increasing efficiency and cost effectiveness? Are facility project costs in relation to budget projections evaluated? What evaluations are completed of the performance of contractors, subcontractors, architects, etc.? What historic records are retained for future reference?
How does the institution evaluate the use of in-house versus contracted construction projects? Are there some projects that, in retrospect, should have been done in-house or by contractors? What circumstances should have been considered in reaching those decisions? Did the evaluation of the true cost of in-house construction projects include indirect costs such as employee benefits, administrative expenses, etc.? How does the institution select the project delivery system?
10.I. Campus Safety and Security
The safety of students, personnel and physical assets are of vital concern toinstitutions and their patrons. A good safety and security program provides for a balanced approach of prevention, intervention and enforcement. Proper safeguards must be in place, which include hardware and equipment, security personnel and plans for preventative measures to deter crime.A secure environment requires comprehensive planning and appropriate policies and programs that address the needs of both the institution as a whole and the unique situation of each campus. In a secure institution, students are made aware of potential security hazards and have mechanisms to respond as necessary. Some institutions employ police departments to assist in the security of the institution and its stakeholders, as well as use security equipment for the monitoring of potential security hazards. Most institutions also employ Environmental Health and Safety professionals to assist in ensuring a safe campus environment.
Data Needs

Historical crime and violence incident statistics by campus and type
Institution Policies and procedures regarding security
Budget for Security Function
Prevention/Intervention program list
Safety Audits or Evaluations
Security logs for maintenance of equipment and vehicles
Policies for building security
Security equipment plans
Security surveillance inventory lists
Card access inventory lists
Security equipment Purchase Orders
Staff Development course list
Security and Safety Surveys conducted by the institution or other sources
Institution Annual report to the board
Program evaluation or other safety or security-related reports
Copies of Crisis or Disaster Plans
Training logs
Pertinent internal audits

Possible People to Interview
Legal counsel
Vice president with assigned responsibility for security programs
Safety director or Police Chief
Police Officers/Security Guards
Police Trainer/Drug Detection Dog trainer
Institution Staff Development Coordinator
Facilities Director
Maintenance director
Maintenance staff
Purchasing Director
Internal Auditors
Activities to Perform

10.I.1. Examine the staffing and budgets of safety and security and related functions and determine the ratio of total students to staffing within each function. Compare the budget and staffing levels to industry standards.
10.I.2. Create a table showing police or security full-time equivalent's (FTE's) assignments by campus, location (if applicable) or patrol area and hours and days worked per week and show how schedules ensure adequate coverage. Include information about extracurricular or other special assignments.
10.I.3. Prepare a chart showing the salary rates and ranges for each position within the safety and security function, the budgeted or actual overtime worked by each position type stated in hours and/or dollars, as appropriate. Compare salary rates to industry standards and note any areas where consistent of excessive overtime is being used.
10.I.4. Prepare a list by safety and security personnel group of all staff development provided and/or required at orientation, annually and at other intervals. Show whether that training is provided in-house or by contract and the approximate contract cost.
10.I.5. Examine the last three years of incident statistics collected locally as part of the institution's internal programs and/or maintained in cooperation with local law enforcement offices. Prepare a table by campus showing the type and frequency of incidents. Note any major or defining incidents, giving a brief description of the event, date, location and show how programs have evolved as a result of the events.
10.I.6. Compile copies of all safety and security related planning and budget documents or documents containing security plans such as a long-range security master plan or elements of the institution's strategic planning documents and/or the institution and campus improvement plans. Determine the nature and scope of each plan, the time frame of the plan and the process by which the plan was developed. In addition, evaluate how the goals, objectives and strategies of each plan are linked to each other and the budget, the assignment of responsibility for implementation and the process by which the plan's implementation is monitored.
10.I.7. Prepare a table showing what institution or contract staff are involved in each aspect of the institution's prevention, intervention and enforcement activities as well as any special programs or activities that the institution uses to address prevention, intervention and enforcement. Identify external services provided by local governments in the community such as fire, police, sheriff, etc. and show how the institution interacts with each. Note any areas where there is an overlap or gap.
10.I.8. Prepare a table showing all major equipment used in the safety and security function such as communication devices, alarm systems and the like. Show the date of purchase, condition and type and source of maintenance required. For example, the institution may do routine maintenance or the institution could have a maintenance contract.

Questions to Ask
Staffing and supervision
Who heads the safety and security function in the institution? Are functions that relate to safety and security efficiently aligned within the overall institution organization? What is the staffing pattern of the safety and security division? What are the functions supported by the safety and security division? How are related functions coordinated within the institution?
Who is responsible for performing OSHA inspections of shops, tools, equipment, etc.? How often are these inspections done? Does a sample inspection of shops, tools, equipment and the like reveal any major safety hazards that should have been discovered during a routine inspection?
Who is in charge of building security? What is the role of the building managers in the safety and security function? Are other programs in place that make an individual or group of individuals responsible for reporting and monitoring building safety? Are there organizational obstacles that prevent the safety and security function from operating smoothly?
Who in the institution performs 'night walks' to determine campus safety and security at night? How often are these night walks done? What procedures are taken to ensure that the person conducting the walk is not recognized as or perceived to be law enforcement? How are the results of walks used to improve campus security?
How is security provided at extracurricular events? Is security at extracurricular events conducted as part of the regular security operations of the institution or is there a separate contract for these services? Does the staffing pattern for extracurricular events typically result in overtime payments to security personnel? How does the institution control costs for extracurricular security? Is the cost for extracurricular security charged to the safety and security budget or to the cost of extracurricular activities?
How is overtime controlled? Who must approve overtime before it is worked? What situations would have to exist to prevent the need for overtime?
Who hires security staff? Are there any unique security checks performed for security personnel that are not done for the rest of the institution's employees? How does the institution ensure that individuals performing safety and security activities are capable of dealing with the needs of children? What special certifications are required at each level of safety and security staffing? How does the institution recruit or train individuals to fill positions requiring special certifications? How are background checks conducted and how timely are those checks?
Training
What training does staff in the safety and security division receive to better understand current and emerging developments in the safety and security function? How does safety and security staff serve as resources to other administrators in safety and security matters? Are employees in the division cross-trained? To what extent do safety and security staff participate in workshops, conferences, seminars, read professional literature and interact with safety and security administrators in both public and private sectors to improve job performance?
If the institution uses a drug detection dog, who is responsible for training the handlers? The dogs? Is it a contracted service?
Does the institution establish procedures for training staff such as police officers, faculty and staff regarding security issues? Who trains new personnel accessing security equipment such as cell phones, safety locks and police radios?
Policies and procedures
Does the institution have board approved policies for the operations of the safety and security program regarding:

student discipline
building access
zero tolerance programs
data reporting/reporting of threats, crime statistics, drugs, gangs, weapons
safety plans/goals and objectives

Does the institution have established procedures regarding:
safety during natural or operational disasters or from criminal behavior occurring on the institution's property?

evacuation plans for all types of emergencies including checklists.
deployment and guidelines for crisis teams.
counseling procedures for posttraumatic stress.
debriefing and media guidelines.
dealing with community specialists (i.e. Local law enforcement, Hotline centers, Poison centers, Fire departments).

Are there day-to-day operating procedures in place for the safety and security function? Do procedures define the roles of safety and security personnel, building principals, assistant principals, faculty and other institution staff?
Does the institution have procedures for building security?

Is there a key control system?
Who issues keys?
Who has master keys?
How often does the institution issue new alarm codes? Who is issued access codes?

Are there established procedures for the annual evaluation of the safety and security programs?
Do security personnel or police officers wear guns? Are there policies and procedures in place to stipulate who can and should carry firearms? Are there policies regarding staff other than security staff carrying concealed weapons? When and where are concealed weapons inappropriate?
Are there established policies or procedures in dealing with other safety and security related organizations in the community such as local law enforcement; hotline centers for child abuse, rape, run away, suicide prevention, etc.; poison control centers; fire departments, etc.).
How is institutional policy enforced?
Planning
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?
Does the institution use incident statistics to plan for the allocation of resources to campuses? How are the needs of the safety and security function determined? Are the budgets for the safety and security programs allocated based upon identified need? How has institution planning been guided by single events rather than documented need? What types of incentives programs are in place?
How are faculty, administrators and campus-level committees involved in the planning of safety or security programs? How are parents and students involved in planning ?
Does the institution provide prevention and intervention programs? How does the institution evaluate the effectiveness of the safety and security function? What performance measures are attached to the planning documents to ensure that goals and objectives are met? How are decisions reached to dedicate additional budget funds to expanding or enhancing the safety or security programs?
Does the institution survey its stakeholders (i.e. faculty, administrators, students, support staff, contracted services) to receive feedback on current programs and practices in place that address safety and security for staff and students?
How are the concepts of prevention, intervention and enforcement reflected in planning? How does the staffing of the institution's safety and security program reflect a balanced approach of prevention, intervention and enforcement? What compliance programs are in place?
Crisis Management
Does the institution have an established Crisis Management Plan: emergency procedures focusing on safety for students and personnel that can be implemented on short notice? Does the institution have a parent liaison/volunteer to be a connection with the community during crisis situations? What are their duties?
Are plans in effect for the following: Evacuation Procedures, Fire Drills, Emergency Shelter Disaster Plan, Severe Weather, Crowd Control Policy, Gang Policy, Searches Policy and Traffic Control?
Does the institution include the community in planning for disasters? Does the institution have any prevention or intervention programs currently in place regarding crisis management? Describe the programs. When are they used? By who? How are students made aware of these programs or processes?
How does the institution ensure that crisis plans are regularly reviewed, updated and tested? Who is responsible for this? How Often?
Does the regional service center provide training for administration or staff in the area of crisis management? What staff attends these sessions? Who covers their fees?
Security Operations
Is the institution in compliance with all current state laws regarding reporting of violence incidents in their Annual Institution report to the board? To students?
Does the institution deploy security guards, officers, drug dogs and drug searches based upon institution or campus needs? Does the institution do any shared services with the local law enforcement entities (i.e. city police departments, county sheriff departments)?
Does the institution regularly conduct searches for drugs, bombs and weapons? How does it accomplish this? Does the institution own its own dog or contract for the services of a drug dog? Does the institution obtain any services like drug dogs through other local law enforcement groups?
How does the institution secure its buildings? Are visitors required to sign in or wear a visitor badge? Are surveillance cameras or card access systems used in key locations? Who monitors the surveillance cameras? Are remote exterior doors locked to control entry? Are doors equipped with panic hardware so that individuals inside the building can leave, in the event of an emergency, but visitors cannot enter?
Does the institution establish procedures regarding the control of combinations to locks, distribution and access to keys or alarm codes?
What is the role of the local law enforcement or emergency response groups in responding to alarms? What is the role or institution staff when responding to alarms? How does the institution handle after hours calls?
What system of communication is used to connect security personnel with other security personnel? With local law enforcement? With faculty and administrators? What communication gaps exist and how is the institution addressing these gaps?
Are there any identification cards issued to staff or students?
What kinds of plans are in place for the provision of safety equipment (i.e. surveillance cameras, radios, monitors, safety locks and special access cards...)? Who orders this equipment, services it, pays for it? Does the institution contract out for the repair and maintenance of security equipment (i.e. surveillance cameras, monitors, safety locks, police vehicles, guns, radios, cell phones)?
Are vehicles replaced on a cycle that takes into account the age, mileage and condition of the vehicles? Does the institution transportation function service these vehicles regularly? Are employees allowed to take vehicles home? What types of insurance coverages are carried on institution vehicles?
Who is responsible for purchasing or leasing safety equipment? Does the attorney review contracts for lease equipment? Does the purchasing department ensure that all leases and purchases are made in compliance with purchasing laws and institution policies?
Does the institution evaluate the effectiveness of alarm system equipment, cameras and monitors? How often do inspections take place?
What training does the institution provide regarding safety and security to students and staff? How does this training reinforce the institution's goals and objectives for safety and security? Are there any notable results that have occurred because of these training activities?
Student Discipline
What kind of due process is in place for students who have violated the student code of conduct? Does the institution provide adequate due process to students? Is there a hearings officer designated for these situations? How are parents involved in student discipline?
What kinds of discipline policies are in place in the institution? Are discipline consequences dealt with uniformly across the institution or are they individually dealt with from campus to campus? Are consequences tracked? Who records these consequences?
Does the institution provide training, support and assistance to students and staff regarding the proper handling of early warning signs of violent behavior such as student threats, reports of planned acts of violence, cruel or unusual student behavior, etc.? Does the institution provide staff development training for dealing with crisis situations, disasters?
10.J. Contracted Services (facilities and utilities)
There are numerous opportunities within the facility management area for contracting, not the least of which is construction contracting. But, some or all of the several other facility operations such as maintenance and custodial operations could be purchased or contracted for through private companies or interagency contracts with neighboring colleges or universities or other governmental entities. It is important to regularly evaluate whether there are goods or services that can be obtained from the private sector at a lower cost, higher quality or both. It is equally important to continually evaluate existing contracts to determine if the institution is getting the best value possible through the contracting arrangement. This evaluation process is discussed in great detail in the Purchasing Chapter.

10.F.a.1.	Examine the organization and staffing charts and job descriptions for maintenance to determine reporting arrangements, licensing requirements, 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 why. If some or all of the functions are contracted for, show the reporting relationships established for contract management.
10.F.a.2.	Examine the staffing and budgets of maintenance functions and determine the ratio of total staff to staffing within the maintenance function. Determine whether the budget and staffing levels compare favorably to industry standards (i.e., direct versus indirect labor percentages.)
10.F.a.3.	Diagram the maintenance process by conducting campus site visits, riding along with maintenance crews and interviewing maintenance and campus staff. Differentiate between processes used for emergencies, preventive maintenance activities, capital projects and normal work orders.
10.F.a.4.	Prepare a table of sample work orders and determine average completion times for emergencies, preventive maintenance activities, capital projects and normal work orders.
10.F.a.5.	Examine software applications in place to determine the effectiveness of automated processes.

10.F.b.1.	Examine the organization and staffing charts and job descriptions for custodians to determine reporting arrangements, 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 the reasons for any changes.
10.F.b.2.	Examine the custodial budget for supplies and salaries and determine if it compares favorably to industry standards.
10.F.b.3.	Prepare a chart listing the number of custodians employed at each location in the institution and calculate the square footage cleaned based upon the information compiled in Activity 10.A.1 above. Compare the square footage cleaned per custodian to institution guidelines or industry standards and note deviations.

10.G.1.	Prepare a complete inventory of all institution owned vehicles, including vehicles, trucks and passenger cars. Show the make and model, date of purchase, current mileage, annual use rate, departmental assignment and primary purpose of the vehicle.
10.G.2.	Compile a list of all transportation services provided by the institution, including extracurricular and intercollegiate travel. Show the annual cost, mileage (if available), number of riders and mode of transportation.
10.G.3.	Prepare a chart showing the salary rates and ranges for each position within the transportation function and the budgeted or actual overtime worked by each position type stated in hours and/or dollars, as appropriate. Compare salary rates to industry standards and note any areas where consistent, excessive overtime is being used.
10.G.4.	Prepare a list, by position, of all staff development or certifications provided and/or required at time of hire, at orientation, annually and at other intervals. Show whether that training is provided in-house or by contract and the approximate contract cost.
10.G.5.	Examine all institution vehicle accident reports for the last year and determine whether trends exist. If trends are discovered, interview staff to determine what action the institution has taken to reverse those trends.
10.G.6.	Examine the fleet maintenance and/or work order tracking system and prepare a list of the systems capabilities, which modules are in use and which, if any, are not. Determine if the systems capability meets the institution's needs and whether the system is integrated with other appropriate systems to eliminate redundant data entry and possible errors.
10.G.7.	Examine motor vehicle ratings of authorized drivers and note any situations where drivers are not properly licensed.
10.G.8.	Examine risk management practices and polices and note any areas where the institution or individuals may remain at risk, or where practice and policy are not in sync.

10.H.1.	Review all contracts for new construction or renovations and list major terms and conditions of the contracts especially as these contracts may deviate from construction industry standards or AIA forms, note any terms or conditions that could impact the price positively or negatively and any performance related assurances to the institution that the terms of the contract will be completed timely.
10.H.2.	Examine a sample of change orders to contracts, targeting those in excess of 5 percent of total bid. Are change orders signed and approved by the architect, appropriate system or institutional staff designated with this authority in institutional policies and procedures? Does the original contract limit change orders? Does the change order specify a time for completion? Are all change orders in compliance with terms of the original contract? Are all change orders fully documented with all reasons for any increase/decrease in costs clearly specified? Does the size of cost increase require re-approval of the project by the THECB?
10.H.3.	Review all contracts for compliance with governing board policy and construction procurement procedures as well as THECB approval requirements. Note deviations and seek to determine the reason for the deviation.
10.H.4.	Review and inspect the financial record for each construction project that are maintained by construction managers.
10.H.5.	Review a sample of contracts to ensure code compliance requirements are met. Note deviations and attempt to determine the reason for the difference and the final resolution.

10.I.1.	Examine the staffing and budgets of safety and security and related functions and determine the ratio of total students to staffing within each function. Compare the budget and staffing levels to industry standards.
10.I.2.	Create a table showing police or security full-time equivalent's (FTE's) assignments by campus, location (if applicable) or patrol area and hours and days worked per week and show how schedules ensure adequate coverage. Include information about extracurricular or other special assignments.
10.I.3.	Prepare a chart showing the salary rates and ranges for each position within the safety and security function, the budgeted or actual overtime worked by each position type stated in hours and/or dollars, as appropriate. Compare salary rates to industry standards and note any areas where consistent of excessive overtime is being used.
10.I.4.	Prepare a list by safety and security personnel group of all staff development provided and/or required at orientation, annually and at other intervals. Show whether that training is provided in-house or by contract and the approximate contract cost.
10.I.5.	Examine the last three years of incident statistics collected locally as part of the institution's internal programs and/or maintained in cooperation with local law enforcement offices. Prepare a table by campus showing the type and frequency of incidents. Note any major or defining incidents, giving a brief description of the event, date, location and show how programs have evolved as a result of the events.
10.I.6.	Compile copies of all safety and security related planning and budget documents or documents containing security plans such as a long-range security master plan or elements of the institution's strategic planning documents and/or the institution and campus improvement plans. Determine the nature and scope of each plan, the time frame of the plan and the process by which the plan was developed. In addition, evaluate how the goals, objectives and strategies of each plan are linked to each other and the budget, the assignment of responsibility for implementation and the process by which the plan's implementation is monitored.
10.I.7.	Prepare a table showing what institution or contract staff are involved in each aspect of the institution's prevention, intervention and enforcement activities as well as any special programs or activities that the institution uses to address prevention, intervention and enforcement. Identify external services provided by local governments in the community such as fire, police, sheriff, etc. and show how the institution interacts with each. Note any areas where there is an overlap or gap.
10.I.8.	Prepare a table showing all major equipment used in the safety and security function such as communication devices, alarm systems and the like. Show the date of purchase, condition and type and source of maintenance required. For example, the institution may do routine maintenance or the institution could have a maintenance contract.