Reports

Joint Report of the Council and the General Board on the provision of sites and buildings regulations

The Council and the General Board beg leave to report to the Regent House as follows:

1. The Council and the General Board have responsibilities in relation to University land and buildings. The Council exercises its supervisory responsibility for administration, planning, resources, and supervision of finances, in conjunction with the Finance Committee and through delegation to the Planning and Resources Committee, Resource Management Committee, and other joint committees established with the General Board. (This structure was set out in the Council’s Consultative Report on matters relating to central administration and management (the Finance and Planning and Resources Committees, the establishment of a Buildings Committee) in 2004 (Reporter, 2003–04, p. 537) (http://www.admin.cam.ac.uk/reporter/2003-04/weekly/5955/11.html).)

2. The Ordinance for University Property: Sites and Buildings (Statutes and Ordinances, p. 991) was amended by Grace 1 of 9 February 2005 to refer to the Buildings Committee. The purpose of the current revision is not to change the processes but to state in one place the many provisions which apply to the management of land and buildings in the University and also to set out clearly the committee processes which are currently in place to ensure proper supervision of the University’s estate. In particular, those matters currently requiring a Grace under Statutes and Ordinances will continue to do so. This proposal enables the proposal by the Council in its earlier Report that the existing Minor Works Review Group, an officer group that reviews minor works, should be reconstituted as a Buildings Committee Sub-committee. The attached table (p. 282) summarizes the new drafting.

3. The mechanism proposed is that new Sites and Buildings Regulations will be issued by joint Notice of the Council, the Finance Committee, and the General Board, and included after the Financial Regulations in Ordinance Chapter XIII, and that the existing Ordinance for University Property: Sites and Buildings, should be rescinded. Thereafter the Regulations will be kept under review and amended by joint Notice of the Council, General Board, and Finance Committee. No substantive change is otherwise required to the Statutes and Ordinances. This mechanism and the proposed restructuring of the Regulations should make it easier to update the Regulations in the future in the light of emerging best practice.

4. The proposed revision of the Regulations also gives an opportunity to update existing maintenance delegations (including thresholds) and propose a publication scheme for buildings works which are not substantial, via Buildings Committee and Council Notices respectively. Publication would be in the Reporter as well as on site. The draft regulations and draft publication scheme are attached in the Annexes to this Report.

5. The Sites and Buildings Regulations would apply to all University institutions and include all subsidiary companies. They have been circulated to all Heads of Department, Chairmen and Secretaries of Faculty Boards, Heads of institutions under the supervision of the Council, including the University Offices, and those designated as such for financial management and control purposes. It is the responsibility of Heads of all University institutions to ensure that staff under their jurisdiction are made aware of the existence and provisions of these Sites and Buildings Regulations, and that an adequate number of copies are made available for reference within the institution. In particular they must ensure that all staff are made aware of the implications of not complying with the Sites and Buildings Regulations which are designed to ensure that due and appropriate attention is given to managing risks relating to health and safety (including fire regulations), legal obligations, insurance cover, and cost controls.

6. Additional copies of the Sites and Buildings Regulations may be obtained from the office of the Director of Estate Management, 74 Trumpington Street, Cambridge, CB2 1RW, who should also be contacted for advice if there is any uncertainty as to their application. The Sites and Buildings Regulations will also be made available on the Estate Management Division’s website (http://www.admin.cam.ac.uk/offices/em/index.shtml).

Recommendations

7. The Council and the General Board recommend:

I. That the regulations for University Property: Sites and Buildings be rescinded (Statutes and Ordinances, p. 991).

II. That the Ordinance for Financial Matters (Statutes and Ordinances, p. 968) be amended by the addition of the following new Regulations 11 and 12:

11. The Council, the Finance Committee, and the General Board shall jointly issue regulations for the financial and operational management of University sites and buildings.

12. The Buildings Committee shall be a joint committee of the Council and the General Board. It shall be the duty of the Buildings Committee:

(a)within the terms of sites and buildings approved by the Council, the Finance Committee, and the General Board from time to time

(i) to consider and give technical approvals for building proposals submitted to them in accordance with regulations for sites and buildings approved by the Council, the Finance Committee, and the General Board;

(ii) to consider and give such approvals as it thinks fit for the delegation of responsibility for maintenance and building work; and

(iii) to oversee applications for planning approvals on University land;

(b)to maintain general oversight over the technical aspects of the erection of any new building or the alteration of any existing building;

(c)to advise on the annual budget needed in the Building Maintenance Fund;

(d)to perform such other duties as the Council and General Board may from time to time direct.

III. That the regulations for the Press Syndicate (Statutes and Ordinances, p. 133) be amended as follows:

Regulation 3(c).

(i)By deleting the words ‘of Regulations 1 and 11’ from line 4;

(ii)By inserting the words ‘insofar as they shall be expressly stated to apply to the University Press’ after the words ‘(sites and buildings)’ in line 4.

28 November 2011	L. K. Borysiewicz, Vice-Chancellor	I. M. Le M. Du Quesnay	Mavis McDonald
	David Abulafia	David Good	Susan Oosthuizen
	N. Bampos	Andy Hopper	Rachael Padman
	Richard Barnes	Christopher Hum	Thomas Parry-Jones
	D. J. A. Casserley	F. P. Kelly	John Shakeshaft
	Athene Donald	Vanessa V. Lawrence	Morgan Wild
	R. J. Dowling	R. Lethbridge	A. D. Yates

2 November 2011	L. K. Borysiewicz, Vice-Chancellor	Christopher Crow	Peter Haynes
	N. Bampos	Simon Franklin	Rachael Padman
	William Brown	Andrew Gamble	J. Rallison
	H. A. Chase	C. A. Gilligan	Patrick Sissons
	Sarah Coakley	David Good	Morgan Wild

ANNEX 1

Sites and buildings regulations

Adopted and approved on [date] by Order of the Council, Finance Committee, and the General Board, following a Grace on [date] by which Regent House repealed the Sites and Buildings Regulations (1994 as amended in 2005) and provided for the continuing constitution of the Buildings Committee as a statutory committee and the consequential amendment of Ordinances.

Distributed by the Registrary to all Heads of Department.

CONTENTS
No	Heading	Page
1	Scope and responsibilities	271
2	Approvals and contract execution	271
3	Authorities and review	272

	Schedules
1	Committee structure	272
2	Committee and other responsibilities	273
3	Expenditure approvals	277
4	Specific operational approvals	278
5	Definitions and guidance	281

Terms beginning with capital letters are defined in Schedule 5 where necessary to aid interpretation.

1. Scope and responsibilities

1.1The Council, Finance Committee, and General Board have responsibilities in relation to University land and buildings.1 These Regulations are issued as part of the discharge of those responsibilities and to facilitate compliance with Statutes and Ordinances. In particular these Regulations seek to set out in one place the arrangements for management of University land, buildings, and capital projects from a technical, operational, and financial perspective.

1.2A Grace is required for the disposal of land of present or prospective use to the University;2 and for substantial alteration of an existing University building (understood as involving aesthetic as well as financial considerations), the erection of a new University building or the demolition of an existing University building.3 Disposal of land means the sale or transfer of any freehold or leasehold property or the grant of a lease for more than 60 years.4

1.3These Regulations apply to all University land and buildings owned or leased or to be acquired by the University and related capital and maintenance expenditure. The Regulations must be followed by all Staff; all Departments and University subsidiary companies but not Cambridge University Press except where specifically provided (the Press is governed by its own Statute and Ordinances) or in general Cambridge Assessment (see further Schedule 2).

1.4Compliance with these Regulations does not remove any requirement to comply with the University’s Financial Regulations issued by the Council.

1.5Committee and other responsibilities in relation to land and buildings are set out diagrammatically in Schedule 1 and summarized in Schedule 2.

1.6Breach of these Regulations may result in disciplinary action and will be reported to the Registrary, who will then report to the appropriate committee.

2. Approvals and contract execution

2.1Projects which relate to land and buildings require Expenditure Approvals and in some cases Specific Operational Approvals. The Expenditure Approvals are set out in Schedule 3 and the Specific Operational Approvals in Schedule 4.

2.2Compliance with Schedule 3 satisfies the requirement in Financial Regulations for Capital Approval.5

2.3Heads of Department (see definition in Schedule 5) shall

(a)take all necessary advice and

(b)for projects involving their Department secure the approvals required by these Regulations before any contractual commitment is given.

2.4Subject to the issue of Expenditure and Specific Operational Approvals, the Head of Estate Management shall approve and sign all contracts for the purchase, lease or licence of land or property or for the erection, demolition, substantial repair or alteration of buildings. Financial Regulation 7.1 governs who may authorize the affixing the University’s seal.

2.5Financial Regulation 8.3 governs when contract performance may begin.

3. Authorities and review

3.1The Council, Finance Committee, and General Board hereby give all delegations and directions contemplated by these Regulations.

3.2Chairmen of committees shall have delegated authority to act for their committees between meetings in urgent, minor or straightforward cases, reporting in full to the next committee meeting.

3.3All decisions made under delegation shall be reported back to the responsible committee, which may call the matter back for further consideration.6

3.4Every three years, or more frequently if appropriate, the Registrary shall arrange for these Regulations to be reviewed and for proposed changes to be submitted to the Council, Finance Committee, and the General Board and adoption by their joint Notice.

Schedule 1 – Committee structure diagram

Schedule 2 – Committee and other responsibilities

1. The Council

1.1The Council7 is the principal executive and policy making body of the University, responsible for administration, planning, resources, and supervision of finances.8 The Council delegates business to its standing and occasional committees.9 The committees dealing with finance, planning and resources are the Finance Committee and the Planning and Resources Committee (PRC).10

1.2The Council has the primary responsibility for determining if the sale or transfer of freehold or leasehold land or the grant of a lease for 60 years or more would deprive the University of the use of land or buildings which are of present or prospective use to the University (defined in Schedule 5 to these Regulations as “PPU Land”). If so its disposal requires a Grace.11 For the purposes of ongoing management, PPU Land is divided into the Operational and the Non-Operational Estate (both as defined in Schedule 5).

1.3The Council lays down the scheme of Expenditure and Specific Approvals set out in Schedules 3 and 4.

1.4The Council and Finance Committee delegate the overall management of the Operational Estate to PRC and the Buildings Committee, which report back to the Council.

1.5The General Board is responsible for ensuring there are adequate resources for teaching and research.12

2. Council Committees

2.1The Finance Committee and Audit Committee are standing committees of the Council.13 The Council from time to time establishes further standing or occasional committees.14

2.2The Finance Committee is responsible under the Council for financial management and stewardship of all assets and land, whether PPU Land or land held for investment. The Finance Committee itself oversees the management of the Non-Operational Estate, which is managed and maintained on a self-funding basis. The Non-Operational Estate includes land held for investment. The Finance Committee’s remit includes overview of the University’s accounts (and accounting policies, practices, and systems), consideration of management accounts and investment management and the custody of tangible and intangible University assets. It reports to the Council as necessary and advises PRC about the budgetary envelope predicted prudently to be available to the University for both capital and recurrent expenditure. It is responsible with the Council for investment.15

2.3All borrowing requires Finance Committee approval.

3. Joint Council and General Board Committees

3.1The Planning and Resources Committee (PRC)16 is a joint committee of the Council and General Board, reporting to both bodies. It is responsible for advice to the central bodies about major strategic matters and for the conduct, subject to the responsibilities of the Council and the General Board, of the higher-level planning and resource management of the University including, with advice from the Finance Committee, proposing the University budget to the Council and the General Board.

3.2PRC provides the financial oversight for the management of the Operational Estate and approves the estate plans for the management of PPU Land. It ensures the provision of funding for acquisition of land and work in relation to land.

3.3PRC gives Funding Approvals (see Schedule 3).

3.4The Buildings Committee17 is a joint committee of the Council and General Board. It gives Technical Approvals where the Total Cost exceeds £1m. It reviews retrospectively the Technical Approvals given by its Minor Works Sub-Committee, giving advice where necessary about how to approach future decisions. Estate Management advises and conducts the operational work for Buildings Committee with the assistance of Finance Division and the Planning and Resource Allocations Office (PRAO).

3.5The Buildings Committee advises PRC on the annual budget needed in the Building Maintenance Fund for the maintenance of the Operational Estate. It gives Technical Approvals (see Schedule 3) and technical advice on the management of the Operational Estate. The cost of maintaining the Operational Estate is chargeable to the Buildings Maintenance Fund or, if the body giving the Funding Approval determines (see Schedule 3), to departmental or other funds.18 The Buildings Committee has power to delegate maintenance responsibility.19

3.6The Buildings Committee oversees applications for planning approvals for the Operational Estate and is consulted by Cambridge University Press and Cambridge Assessment about planning applications for premises and land in the city of Cambridge.20

3.7The Minor Works Sub-Committee is a sub-committee of the Buildings Committee21 to which it reports. It gives Technical Approvals where the Total Cost is £50,000 to £1m, reporting these decisions retrospectively to the Buildings Committee. It makes funding recommendations to the Resource Management Committee (RMC) where the Total Cost is between £50,000 and £1m in parallel with the application to RMC for Funding Approval.22

3.8The Resource Management Committee (RMC)23 is a joint committee of the Council and General Board and reports in to those committees via PRC. RMC deals with the detailed work of resource allocation.24

3.9RMC gives Funding Approvals (see Schedule 3).

3.10RMC25 allocates space, dealing with the detailed work on resource allocation, following a proposal by the Space Management Advisory Group. The PRAO allocates space less than 100 square metres under RMC supervision. As part of its space allocation remit, RMC approves proposals to share University space, including with Embedded Companies.

3.11The Health and Safety Executive Committee26 is a joint committee of the Council and General Board. It is advised by the Consultative Committee on Safety. The Consultative Committee receives and considers the annual University Fire Report from Estate Management. The report then goes to the Health and Safety Executive Committee for consideration.

3.12The Environmental Strategy Committee27 is a joint committee of the Council and General Board and reports in to those committees via PRC. It is responsible for monitoring and enhancing the University’s environmental management system.

4. Financial Planning Process

4.1RMC and PRC propose the budget parameters, which are approved by the Finance Committee. RMC then constructs the budget for PRC approval. The budget then goes to Council with advice from the Finance Committee, prior to being Graced.

5. Other Bodies and Committees

5.1The Press Syndicate is responsible for the management of the finance, property, and affairs of Cambridge University Press, except if Statutes and Ordinances expressly or by necessary implication provide otherwise.28 Cambridge University Press will consult the Buildings Committee about any significant planning applications to be made in respect of any premises or land in the city of Cambridge.29

5.2A Grace is not required for the sale or transfer of freehold or leasehold land by Cambridge University Press or for the grant of a lease of more than 60 years or for the erection of a new building or for the demolition or substantial alteration of an existing building.30 However the Press Syndicate have undertaken not to dispose, without the approval of the University, of the Pitt Building or of any property acquired from the University and specially designated by agreement between the Press Syndicate and the Council at the time of acquisition. The Press Syndicate have also undertaken to offer the Council the first option to acquire, at prevailing market price, any property in Cambridge which is to be disposed of by the Syndicate, such option if not taken up to lapse fourteen days after the offer.31

5.3The Local Examinations Syndicate provides the oversight of Cambridge Assessment, including in relation to the management of property assigned to Cambridge Assessment subject to the following requirements:

A Grace is required for the disposal of land.32

The Local Examinations Syndicate shall offer the Council the first option to acquire, at prevailing market price, any property in Cambridge which is to be disposed of by the Syndicate, such option if not taken up to lapse fourteen days after the offer.

Cambridge Assessment shall seek the prior written consent of the Finance Committee before contracting for any land or building acquisition or borrowing for capital purposes above £15m.

Cambridge Assessment shall consult the Buildings Committee about any significant planning applications to be made in respect of any premises or land in the city of Cambridge.

6. Unified Administrative Service (UAS)

6.1The Estate Management Division of the UAS undertakes the technical management of the Operational and Non-Operational Estate (but not investment land within the CUEF), including the following:

preparing the draft estate plans (estate strategy and its implementation) for approval of PRC, the Council, and the General Board, including the categorization of land not held as part of PPU Land;

undertaking all planned maintenance, drawing on the Building Maintenance Fund, and all unplanned maintenance (under the supervision of and reporting to the Buildings Committee);

providing monitoring, guidance, and training for Departments on fire safety; checking fire equipment; managing the Fire Team; reporting annually on fire safety to the Consultative Committee for Safety;33

planning and managing University property and facilities;

advising on security matters and responding to incidents;34

securing planning permission as required;

procuring University building work;

managing University and private rented residential accommodation for University use;

operating the University Centre and other catering outlets around the University;

advising on the drafting and negotiation of licences and leases for the approved sharing of space; and

managing the University Farm.

6.2Following the issue of a Funding Approval for building work, the Finance Division conducts final due diligence checks including as to the sources and reliability of funding. The building warrant (being the formal authority to spend) is issued

by the Director of Estate Management for maintenance work,

by the Deputy Director of Finance for other building work up to and including £100,000,

by the Pro-Vice-Chancellor for Planning and Resources for other building work above £100,000.

6.3The Space Management Advisory Group is a working group, which reports to RMC and makes proposals about allocation of University space.

6.4PRAO is a unit within the Academic Division. Among other responsibilities it gives Funding Approvals and, under RMC supervision, allocates space less than 100 square metres. PRAO services PRC, RMC, the Buildings Committee, the Minor Works Sub-Committee, and the Space Management Advisory Group.

7. Schools and Departments

7.1Schools are responsible for resource allocation within the parameters set by the annual budget report.

7.2Heads of Department

The definition in the Financial Regulations from time to time in force35 is adopted for the purposes of these Regulations. At the time of adoption of these Regulations this means: “the head of a department or a faculty not organized in departments, secretaries of faculties, head of a centre, institute or other body under the supervision of the General Board or Council and head of a division within the Unified Administrative Service”. “Department” is interpreted accordingly.

Heads of Department are responsible, in respect of buildings assigned to the Department, for

identifying and reporting to Estate Management the need for any unplanned maintenance;

cleaning;

observance of safety, security and fire precautions in line with advice and guidance from Estate Management;36

maintenance only where specifically delegated by Buildings Committee (see Schedule 4); and

undertaking a cost and space analysis for any Embedded Company, securing a Specific Approval to share space with the company (see Schedule 5) and ensuring contractual arrangements are put in place between the company and the University and that the company complies with health and safety legislation and University policies.37

8. The Investment Office

8.1The Investment Office buys and sells and arranges the technical management of land and buildings held for investment purposes within the CUEF, under the oversight of the Investment Board, reporting to the Council via the Finance Committee.

9. The Land Fund

(a)to purchase sites which are suitable for development for University purposes, and (b) to meet the cost of planning and providing the infrastructure for the development of sites in University ownership, including costs relating to the requirements of Town and Country Planning legislation.38

Schedule 3 – Expenditure Approvals, required for: (i) all building work, including refurbishment and re-structuring, and (ii) maintenance, where delegation has been approved pursuant to Schedule 4*

*Where any delegation has been approved pursuant to Schedule 4, the Department will act in place of Estate Management

Total Cost	Head of Department	Estate Management*	PRAO	Minor Works Sub-Committee	Buildings Com-mittee	RMC	PRC
Total Cost of less than £50k unless Buildings Committee has approved a Minor Works Expenditure Approval Exemption	Provides Brief Business Case to PRAO.	Estate Management prepares the budget for PRAO and gives Technical Approval.	PRAO checks funding availability. Provided Estate Management agrees PRAO issues the Funding Approval.
Total Cost is £50k to £1m.	Provides Brief Business Case to PRAO.	Estate Management checks value for money and prepares the budget for Minor Works Sub-Committee.	PRAO checks funding availability and consults Estate Management. Reports to Minor Works Sub-Committee.	Receives Estate Management and PRAO advice. Makes a funding recommendation to RMC.Gives the Technical Approval which is then reported to Buildings Committee.		Funding Approval.
Total Cost is >£1m to <£2m.	Provides Brief Business Case to PRAO.	Estate Management checks value for money and prepares the budget for Buildings Committee.	PRAO reviews and recommends to Buildings Committee business need (academic or administrative need and value for money).		Technical Approval.		Funding Approval.
Total Cost is £2m or above (Capital Projects Process).	Registers the project with PRC at the outset. The Chairman of PRC has power to register small, straightforward projects. Prepares the Concept Paper. When the Concept Paper is approved, prepares full business case including the confirmation/revision of the Concept Paper and business plan and the provision of estimates.	Estate Management checks value for money and prepares the budget for Buildings Committee.	PRAO assists Department working with Estate Management.		Technical Approval.		Approves Concept Paper before proceeding further and determines how the preparation of the full business case is to be funded. Funding Approval.

Schedule 4 – Specific Operational Approvals

Subject	Approval or determination by	Other requirements
Alienation of land
Determination whether land is PPU Land.1	Finance Committee. In straightforward cases the determination can be made by the Director of Finance (on advice of the Director of Estate Management) and reported to the Finance Committee.	PRC advises the Finance Committee. Estate Management provide technical advice.
Approval for sale or transfer or grant of a leave for more than 60 years of land which is PPU Land.2	Regent House (Grace).	Report from Council to Regent House.
Approval for sale or transfer or grant of a lease for more than 60 years of land which is not PPU Land.3	Finance Committee.
Approval for grant of a lease of PPU Land for less than 60 years.4	Finance Committee.
Use of Land Fund (receipts from sale or lease of land other than land held for investment purposes).5	Finance Committee.
Alteration or change of use
Consideration of whether a repair or alteration is substantial and, if not substantial what publicity is appropriate.6	The body which gives the Technical Approval (Minor Works Sub-Committee or Buildings Committee depending on project Total Cost).
Preliminary approval of proposals for substantial repair or alteration (prior to seeking a Grace).7	PRC gives the Funding Approval. Buildings Committee gives the Technical Approval.	.
Approval for substantial alteration of an existing University building.8	Regent House (Grace).	Consult the Directors of Estate Management and Finance and the Taxation Section. Execution of contract documents is done by the Director of Estate Management.9
Approval for change of use.10	RMC.	Estate Management advises.
Erection or demolition of a building
Approval for the erection of a new University building or for the demolition of an existing University building.11	Regent House (Grace).	Consult the Directors of Estate Management and Finance and the Taxation Section. The Director of Estate Management signs the contract documents.12
Maintenance
Setting the annual budget for the Building Maintenance Fund.	PRC – Financial Approval Buildings Committee – Technical Approval.
Delegation of maintenance (for the execution of one or more maintenance projects).	Buildings Committee.	When considering a request until further notice to delegate maintenance, Committee shall set any appropriate thresholds and conditions and shall have regard to the following: (a) The extent of delegation to be given (scope and Total Cost delegated). (b) Legal, regulatory, and insurance issues. (c) Levels of necessary expertise (technical, health and safety, purchasing, etc.). (d) Value for money. (e) Conditions to be imposed in addition to those in Financial Regulations. A list shall be published on the Estate Management website setting out delegations made.13
Subject	Approval or determination by	Other requirements
Minor works expenditure approval exemption
Exemption from need to seek an Expenditure Approval for work not exceeding £50,000.	Buildings Committee.	When considering a request for exemption until further notice from the need to seek an Expenditure Approval for work where the Total Cost does not exceed £50,000, Committee shall set any appropriate thresholds and conditions and shall have regard to the following: (a) The extent of permission to be given (scope and Total Cost permitted). (b) Legal, regulatory, and insurance issues. (c) Levels of necessary expertise (technical, health and safety, purchasing, etc.). (d) Value for money. (e) Conditions to be imposed in addition to those in Financial Regulations. A list shall be published on the Estate Management website setting out delegations made.
Permission to carry out minor works
Permission to carry out minor works.	Buildings Committee.	When considering a request for permission until further notice to carry out minor works, Committee shall set any appropriate thresholds and conditions and shall have regard to the following: (a) The extent of permission to be given (Total Cost permitted). (b) Legal, regulatory, and insurance issues. (c) Levels of necessary expertise (technical, health and safety, purchasing, etc.). (d) Value for money. (e) Conditions to be imposed in addition to those in Financial Regulations including requirements to consult EM and/or not to do certain specified work. A list shall be published on the Estate Management website setting out delegations made.
Permission to carry out emergency work
Permission to carry out Emergency work without seeking an expenditure approval.	Buildings Committee.	When considering a request for permission until further notice to carry out emergency work as it arises, Committee shall set any appropriate thresholds and conditions and shall have regard to the following: (a) The extent of permission to be given (Total Cost permitted). (b) Legal, regulatory, and insurance issues. (c) Levels of necessary expertise (technical, health and safety, purchasing, etc.). (d) Value for money. (e) Conditions to be imposed in addition to those in Financial Regulations including requirements to consult EM and/or not to do certain specified work. A list shall be published on the Estate Management website setting out delegations made.
Acquisition of land
Approval for acquisition of property (freehold leasehold or any building) anywhere in the world to form part of PPU Land whether for value or not.14	Finance Committee.	PRC advises Finance Committee as necessary.
Borrowing
Prior approval required.	Finance Committee.
Subject	Approval or determination by	Other requirements
Allocation of space
Allocation of space. Approval for sharing University space with any third party, including an Embedded Company, and whether by way of lease, licence or any other formal or informal arrangement. A change to the net usable area of the building. A change of use.15	RMC.	Consult the Space Management Advisory Group (SMAG considers and puts proposals to RMC). Consult Estate Management about the terms of any arrangement with a third party. Execution of contract documents is done by the Director of Estate Management.16

Schedule 5 – Definitions and guidance

‘Brief Business Case’	A paper setting out the academic or administrative need, value for money, and funding source and confirming that, where the Department belongs to a School, the Head of School approves the project.
‘Buildings Maintenance Fund’	The fund referred to in Ordinance Ch. XIII, ‘University Funds, Special Regulations, Buildings Maintenance Funds’.
‘Cambridge Assessment’	The operational arm of the Local Examinations Syndicate.
‘Capital Approval’	The approval required (under these Regulations) for capital projects where the Cost of works is £2m or above and (under Financial Regulations) expenditure on capital items (inclusive of VAT), is £2m or above.
‘Concept Paper’	A paper setting out the academic or administrative case, value for money and preliminary costings.
‘CUEF’	Cambridge University Endowment Fund.
‘Department’, ‘Head of Department’	As defined in Financial Regulations.
‘Embedded Company’	A company occupying University premises or whose employees’ normal place of work is on University premises, other than as temporary visitors or to provide services to the University.
‘Emergency Work’1	If an unforeseen Maintenance event causes damage, the minimum work immediately necessary to preserve property and address health and safety risks.
‘Estate Management’	The University’s Estate Management Service.
‘Expenditure Approval’	An approval in accordance with Schedule 3.
‘Funding Approval’	Authority given to Finance Division to issue a building warrant.
‘Financial Regulations’	The University’s Financial Regulations (an Order of Council set out in Ordinances).
‘Investment Board’	The board which manages for the University the investment of the Cambridge University Endowment Fund (CUEF).
‘Investment Office’	The officer group which provides technical management for the Investment Board.
‘Maintenance’	The repair, refreshment or renewal of what already exists to enable the facilities to function as originally intended, as distinct from Refurbishment and Restructuring; Maintenance does not change the scope, capacity or structure of any facility, nor does it add or remove any facility; it has the sense of continuance and preservation.
‘Minor Works Expenditure Approval Exemption’	Buildings Committee approval for a Department to proceed with work (not to exceed £50,000) without seeking an Expenditure Approval.
‘Non-Operational Estate’	Land and buildings held for the general purposes of the University (e.g. residences) and land and property that could be needed in the foreseeable future for the Operational Estate. It is managed on a self-funded basis and remits income to the Chest.
‘Operational Estate’	Land and buildings currently used for teaching and research or for administrative and other support functions, including the University Farm, and retention of specialist use and ‘churn’ space but excluding land used by Cambridge University Press and Cambridge Assessment (the Local Examinations Syndicate).
‘PPU Land’	Freehold or leasehold land where the sale or transfer or the grant of lease for sixty years or more would deprive the University of the use of land or buildings which are of present or prospective use to the University.
‘PRC’	Planning and Resources Committee of the Council and the General Board.
‘PRAO’	Planning and Resource Allocation Office.
‘Refurbishment’	Upgrading what exists.
‘Restructuring’	Changing what exists.
‘RMC’	Resource Management Committee.
‘SMAG’	Space Management Advisory Group.
‘Specific Operational Approval’	An approval in accordance with Schedule 4.
‘Staff’	All employees irrespective of whether their appointment specifically includes responsibilities for land and buildings and however their employment is financed together with anyone else who has any responsibility for the management or Maintenance of or expenditure on any University land or buildings.
‘Technical Approval’	Confirmation that the proposed budget and specification for building work meet the operational, quality and technical needs and provide value for money.
‘Total Cost’	The total cost or estimated total cost to bring a project to completion, including without limitation all design work, VAT, constructions costs and planning advice.
‘University’	The Chancellor, Masters, and Scholars of the University of Cambridge.

Terms are to be understood as used in Statutes and Ordinances, unless the context of the Regulation requires otherwise. Words preceding ‘include’, ‘includes’, ‘including’, and ‘included’ shall be construed without limitation by the words which follow those words.

If in doubt, consult Estate Management or PRAO. Further written guidance is contained in the Finance Committee, PRC, RMC, and Estate Management2 web pages.

Table summarizing new drafting included in Draft Regulations

Reg.	Content	Comment
3.2	Chairman’s action.	To confirm arrangements for decision making between committee meetings.
Sch 1 and 2	Summary of the roles and responsibilities of University committees and relevant bodies within the UAS in relation to management of University sites and buildings. Minor Works Review Group is re-constituted as a sub-committee of Buildings Committee.	To provide a convenient statement in one place of existing arrangements. Buildings Committee role is focused on providing technical approval and overseeing projects. Fire safety and security is now managed by Estates Management which provides an annual fire report to the Consultative Committee on Safety. To confirm the application of the Regulations to Cambridge Assessment.
Sch 3	Sets out the approvals required based on project total cost thresholds.	To provide a convenient statement in one place of the approvals required, as delegated by the Council to the various bodies.
Sch 4	Sets out in one place the specific approvals and approvals related to total cost, which are currently required for projects, including the following new provisions:
	Finance Committee oversight of leasing and spending of the Land Fund (receipts from sale of land).	Articulation of existing responsibility for all financial matters under Statute F, III, 1–3 and Ordinance XIII, 6.
	Procedure for determination that land is not of present or prospective use to the University (defined in the draft Regulations as “PPU Land”).	Ord XIII Financial Matters, 6(a): A Grace is required for a sale or lease of more than 60 years if in the judgement of the Council this would deprive the University of the use of lands or buildings which are of present or prospective use to the University.
	Procedures for the initial consideration of whether a repair or alteration is substantial or minor and proposals for the work; and for publicity of minor works.	The prerogatives of Regent House in relation to substantial alterations are unaffected. The new Regulations would provide a mechanism to facilitate publicity of minor works and proper consideration of whether a repair or alteration is substantial – this would ensure that a Grace was sought when needed (i.e. to reduce the scope for the need being overlooked) the proposals for substantial repair or alteration prior to any request for a Grace.
	Approval for change of use (RMC).	Articulation of existing responsibility delegated from Council.
	Buildings Committee oversight of maintenance elaborated	Sets out principles for delegation of maintenance to a department. New.
	Approval for acquisition of property (freehold leasehold or any building) anywhere in the world.	New.
	Allocation of University space (RMC), including approval for sharing University space with any third party.	Articulation of existing responsibility currently delegated from Council.
Sch 5	Definitions	PPU Land divided into Operational and Non-Operational Estate, both defined.

ANNEX 2

Council Notice re Publicity

COUNCIL NOTICE: PUBLICATION OF BUILDING WORKS (including Refurbishment or Restructuring) WHICH ARE NOT SUBSTANTIAL1

Where the Committee responsible for giving an Expenditure Approval considers that an alteration is not substantial, the Committee will consider if the works, though not needing a Grace, are nevertheless of interest or consequence to members of Regent House, other members of the University, members of the public or friends of the University such that publicity is appropriate.

This includes (but is not limited) to alterations to sites or buildings of architectural, artistic, or historical interest or which are open to the public.

The Committee will consider if Standard Publicity should be given; if the circumstances require more or different publicity; or if there should be no publicity.

Standard Publicity

Notice will be posted, normally at least 14 days before work is to commence (in urgent cases the period may be less), in the following ways:

(a) in a prominent place to draw attention to the proposed works, which may include the site of the works or departmental notice board; and

(b) on the Estate Management website, where the notice will be accompanied by an electronic copy of the plans where relevant; and

(c) in the Reporter.

No Publicity

No publicity will be given where works are sensitive for reasons of security or confidentiality.