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SBCTC Policy Manual
Chapter 6 Appendices


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Appendix A: Project Types / Categories in a Biennial Capital Request

Rev. 1/30/2006

OFM currently describes the types of capital projects as preservation (repairs, replacements), program (remodels, new space), and alternatively financial projects. Categories in the two-year college system capital request included the following:

  1. Minor Works – Preservation: SBCTC funds used for an emergency reserve and to make allocations to each college (based on size) for unforeseen Repair and Minor Improvement needs.
  2. Matching Funds: Small projects that have participation from non-state sources. Up to $2,000,000 in state dollars are matched with an equal amount of non-state resources. Additional local and non-state funds can be used on the project.
  3. Repairs: Project-specific funds requested by each college as required to repair/replace building systems or subsystems or site improvements; typical work includes roofs, HVAC, mechanical, electrical, exterior, interior and site work. Work is appropriated under three categories – roof repairs, facility repairs, and site repairs.
  4. Replacements: Projects that build new space and remove obsolete and non-functional space on campus.
  5. Renovations: Total remodel of structures to restore the operational life of the building and improve programming of space.
  6. Minor Works - Program: Small projects (generally under $2 million) to renovate or remodel existing space, to acquire or replace capital equipment or furnishings, to build new space, to make site improvements or to acquire real property.
  7. Growth Projects: Large projects (generally exceeding $5 million) to build new space, acquire real property or accomplish major renovation of existing facilities. Growth projects have historically been funded in three phases over three biennia: pre-design, design, and construction.
  8. Alternative Financing: Purchase and development of real property that are of funded using financial contrasts (see RCW 39.94). Projects are authorized in the capital budget but no appropriations are made. Colleges using Certificates of Participation must file a letter of intent to use COP with the State Treasurer as soon as possible after legislative authority is granted.

Appendix B: Process and Schedule

Capital Budget Request

The following time/activity sequence is a typical schedule for biennial capital budget actions.

  1. Summer Odd Year – SBCTC sends capital budget instructions to each college; instructions reflect guidelines and priorities for the request as developed by SBCTC staff with the WACTC capital committee and the State Board.
  2. Fall/Winter Odd Year – Facility condition survey is performed, to identify repair needs and establish condition scores for state owned buildings.
  3. Summer/Fall Odd Year – Each college develops matching fund, renovation, replacement repair, minor and growth project requests for December submittal according to SBCTC instructions. These are scored and ranked by category.
  4. Winter Even Year – Colleges finalize detailed budget request.
  5. Spring Even Year – Local requests due at SBCTC.
  6. May Even Year – OFM publishes state-level instructions for agency capital requests and outlines their electronic submission requirements.
  7. June Even Year – SBCTC acts on recommended system capital budget request.
  8. July Even Year – Major project pre-designs due to OFM by July 1.
  9. September Even Year – Final budget request submitted to Governor and Legislature.
  10. Fall Even Year – OFM reviews capital requests, including budget-evaluation studies on selected major projects.
  11. December Even Year – Governor recommends funding levels for the state capital budget.
  12. January-May Odd Year – Legislature considers capital budget requests and Governor's recommendations, and makes appropriations. Governor signs the act following consensus of the House and Senate.
  13. July 1 Odd Year – The appropriation act takes effect; newly appropriated capital funds are available, subject to provisos and the OFM allotment process.

Supplemental Request

Supplemental requests traditionally make corrections to the biennial budget and address emergent conditions unknown at the time of the biennial request.

The abbreviated schedule for a supplemental capital budget is typically as shown in the following example.

Late fall – OFM puts out call for emergency capital needs/requests.

December – Governor recommends supplemental budget funding levels.

January – March – Legislature acts on amendments to the biennial capital appropriations act.

Supplemental appropriations typically become effective immediately after the Governor signs the supplemental capital budget.


Appendix C: Appropriated / Non-appropriated Funds

Process for Allocation of Appropriations

The SBCTC takes action on a resolution approving the allocations of each capital appropriation.

  1. The Office of Financial Management (OFM) prepares an appropriation schedule containing the amount, title and appropriation code for each appropriation. Allotment instructions are prepared to describe what documents are required to release funds subject to proviso.
  2. Upon receipt of the appropriation schedule from OFM, SBCTC staff prepares an allotment schedule defining the planned timing of actual expenditures and the objects of expenditure for each appropriation. The allotment schedule is then entered into the state's electronic budgeting data system.
  3. After OFM approval of the electronic allotment schedule, SBCTC staff prepares an allocation directing each appropriation or portion of an appropriation to the college for which it was appropriated.
  4. SBCTC staff sends to each college an approved allocation schedule identifying that college's appropriations.

Source of Non-Appropriated Funds

Non-appropriated funds are generated from a variety of sources. Revenues from grants, contracts, international student fees and student fees other than tuition are deposited in special revenue funds 145 or 148. Revenues from auxiliary enterprises such as parking, bookstore and food service are deposited in the enterprise fund for each activity.

  1. Enterprise fund balances may be used directly for a capital purpose related to the enterprise, with prior SBCTC approval Capital expenditures should be made directly from an enterprise fund to allow capitalization of capital improvements benefiting the enterprise to be credited to the proper fund source.
  2. Enterprise fund balances may be transferred, by action of the college board of trustees to fund 147 – the local capital account, for use in one or more capital projects. Monies in fund 147 may be used for capital improvements that benefit or serve the college generally or that enhance a particular college facility, enterprise or activity.
  3. Balances from special revenue funds 145 and 148 can be transferred by approval of the local board of trustees to fund 147 to be used for a capital purpose.
  4. The local capital account (fund 147) is a special revenue fund used solely for monies intended for a capital purpose. Except for interest generated on a fund 147 balance, all monies in fund 147 will have been transferred into that account pursuant to local board action. All expenditures from fund 147 require prior SBCTC approval.
  5. Approved non-appropriated funds will be identified on the college allocation schedule with appropriate project tracking codes.

Local Capital Expenditure Request Authority Request form


Appendix D: Real Property Acquisitions for College Use or the Joint Use of College Facilities

It is the purpose of the community and technical college system to offer thoroughly comprehensive programs that meet community and student needs through academic courses, occupational education and community services of an educational, cultural and recreational nature. The state and local boards administer the system in a manner that will encourage efficiency in operation and creativity and imagination in education, training and service to meet the needs of the community and students.

In RCW 28B.50.140 (4), the Community and Technical College Act provides that college boards of trustees under the approval and direction of the State Board may establish new facilities as community needs and interests demand, and may receive gifts of real property. The State Board is empowered to establish and administer criteria and procedures for the installation and expansion of all community and technical college facilities under RCW 28B.50.090 (8).

Although each college board has authority to receive and dispose of gifts of real and personal property without State Board involvement in RCW 28B.50.140 (8), the use of such property for college purposes involving capital construction and expansion of facilities requires State Board approval under RCW 28B.50.090 (8). Similarly, the State Board approves all rentals or leases of facilities, whether for college use or for use of college facilities by non-college agencies.

  1. Goals: The community and technical college system has found itself unable to acquire sufficient capital funds to meet its needs. In order for the State Board to carry out its responsibilities, and to support the district boards of trustees in carrying out the purposes of the community and technical college system as set forth in RCW 28B.50 innovative means must be used to provide capital resources. Therefore, the State Board will:
    1. Consider proposals from district boards of trustees for the receipt and use of gifts of real property including capital facilities for college purposes or for the joint use of college facilities,
    2. Inform the appropriate state-level agencies of its intent to consider such proposals,
    3. Approve such proposals as it may find to be consistent with state law and regulations,
    4. Ensure proposed actions are in the best interests of the colleges, the community, the community and technical college system and the state, and
    5. Ensure acquisitions are consistent with policies and practices of the State Treasurer.
  2. Process: The State Board will consider proposals brought to it by district boards of trustees on a case-by-case basis. In addition to the request of a local board and the recommendation of the State Director, the State Board will consider information and findings provided by the local board as required to make the proposal. Based on its analysis of those findings, the Board will determine its conclusions. Based on its conclusions, the Board will act to approve or disapprove the proposal or it may suggest modifications to the proposal as would allow the State Board to grant approval.
  3. Findings:
    1. The appropriateness of the facility or activity, its uses and its users, for the requesting college will be evaluated against the following criteria:
      1. The facility or activity should relate to the role, mission and purpose of the community and technical college system and the local college.
      2. Program needs of importance to the college should be met by the proposed facility or activity.
      3. The proposal should relate well to the strategic plan of the college.
      4. The proposal should relate well to the master plan of the college.
      5. The proposed uses of the facility or the means of accommodating the proposed activity should be clearly defined.
      6. Those who would occupy or use the facility or take part in the proposed activity should be identified.
      7. Alternatives that have been considered and investigated for meeting the college needs in other ways should be described, including the rationale for not pursuing the alternatives in preference to the proposal.
    2. The appropriateness of the proposed facility or activity for the community will be evaluated against the following criteria:
      1. Community needs of importance would be met under the proposal.
      2. The nature of community support for the proposal is sufficient and has been appropriately identified and measured.
      3. The effect of the proposal on the local tax base, existing private or public enterprises or organizations in the community, and potential future enterprises or organizations has been realistically evaluated and reported.
    3. The benefits and obligations of the college (the state) under this proposal will be evaluated against the following criteria:
      1. Contracts, agreements or other documentation that define the terms of this proposal are available for review.
      2. The ongoing obligations of the college (the state) under this proposal have been identified, and means for meeting those obligations have been verified.
      3. The annual expenditures that would be required of the college and the source(s) from which the college would acquire the funds necessary to make those expenditures have been identified and dedicated to this purpose.
      4. The control of the college (the state) over the proposed facility or activity has been identified with respect to:
        1. Types of use,
        2. Hours of use,
        3. Types of users,
        4. Characteristics of operation,
        5. Standards of maintenance,
        6. Determination of need for repair or renovation,
        7. Decisions about reuse and/or reconfiguration of the facility for the duration of the terms of the proposal, and
      5. Meeting of codes and desired quality levels of design, specification and construction within the terms of the acquisition/development.
    4. For any improvement to be constructed on state owned property by an entity other than the college for subsequent donation to or for use by the college, the following are required:
      1. The constructing entity and the college will agree on their respective limits of liability in the design and construction process.
      2. A ground lease will be executed by the State Board for state owned property assigned to the foundation or third party for the purpose of making capital improvements.
      3. All applicable codes will be met.
      4. Ten percent of maximum allowable construction costs (MACC) will be withheld for any claims.
      5. Prevailing wage rates will be paid.
      6. A performance bond shall be required, if deemed necessary, by the Executive Director and Attorney General's office.
      7. Any transfer of title to the college shall be free and clear of all encumbrances.
      8. The college will establish the program specifications of the facility.
      9. The college will assure that the gift improvements are consistent with the campus master plan.
    5. The financial or programmatic advantages that would be gained by the college (the state) have been identified.
      1. The duration of any agreement involving facility usage or responsibility has been identified.
      2. The process has been described by which the college has proceeded to develop this proposal in order to be assured that the most advantageous terms possible are included in the agreement, including such means as requesting proposals, holding public hearings and seeking expert financial and legal counsel.
      3. The means by which the proposal limits the risks of the college (the state) for liability and other loss, such as insurance coverage, performance bonds and shared costs of operation and maintenance have been identified.
      4. The financial responsibility of the parties to the proposal has been considered.
  4. Conclusions: The SBCTC will analyze its findings concerning the above criteria in light of state law and regulations, the role/mission/purpose of the community and technical college system and the requesting institution, and the apparent best interests of the college, the community, the system and the state. Acceptability of the general proposal will be evaluated by the SBCTC in light of the conclusions reached by the Board including but not limited to the following factors:
    1. The program justification and benefit of the proposal to the college.
    2. The costs and obligations of the college and the state, and how they relate to the benefits of the proposal for the college and the state.
    3. The importance of the benefits of this proposal and the meeting of these needs, compared to the general operations of the institution and the full spectrum of needs or services that could or should be provided.
    4. The realistic alternatives that exist for meeting these needs, and why should this proposal not be deferred in favor of any of those alternatives.
    5. The information has been provided to state-level agencies concerning this proposal, and the responses that have been received from those agencies.
    6. The best interests of the college, the community, the community and technical college system, the state.
    7. The project financing does not violate the policies and practices of the State Treasurer.
    8. Other relevant factors as may be identified by the State Board.
  5. Final Approval: Following its evaluation of acceptability, the State Board will consider an action to approve, approve with modifications, or disapprove the proposal.

Appendix E: Form and Criteria for Evaluating


Form and Criteria for Evaluation of a Proposed or Potential Real Property Acquisition


Appendix F: Special Requirements for Real Estate Appropriations Approval

  1. Any financing contract to make an outright or time purchase of real property must have prior approval of the Legislature, the state finance committee, and the State Board (see RCW 39.94). Legislative approval is normally granted in the capital budget act, either by a direct appropriation of state capital funds for an acquisition or by a lease-development or alternative financing approval. State Board approval is granted by resolution of the Board in the budget process or by separate action.
  2. Any lease or rental of real property for college use must be performed by staff of the Department of Enterprise Services (DES), , unless the local college has a delegation of authority from DES for the specific type of property and acquisition proposed.
  3. SBCTC staff should be asked to review major lease proposals, especially when the acquisition brings college programs to an area for the first time or when unique local or program characteristics suggest that prior knowledge and understanding of SBCTC staff would be prudent.
  4. The Student Achievment Council (SAC) has a statutory responsibility to review the purchase or lease of major off-campus facilities by a community or technical college. By agreement, SBCTC staff is expected to forward to the SAC any proposed SBCTC agenda items re (a) the capital budget request, (b) other acquisitions of property, or (c) any major facilities located beyond the current campus boundaries. SBCTC staff will perform the SAC notification as part of the SBCTC approval process.
  5. The SBCTC has statutory authority to exercise the power of eminent domain on behalf of a community or technical college or the community/technical college system (RCW 28B.50.090(15)).
  6. Local boards of trustees and the SBCTC may jointly apply for surplus real property, made available by the federal government. SBCTC review of proposals to make application for surplus property will focus on the use and value of the property in the college's educational programs, consistency with program and physical plans, and the financial obligations of operation, maintenance and renovation or development.

Appendix G: Emergency Reserve

Reserve Fund Guidelines

The SBCTC has established the following parameters for use of emergency reserve funds.

  1. Definition of "Emergency":
    1. Catastrophic loss or failure* of a building or system.
    2. When a capital repair cannot be deferred into the next biennial budget cycle.
    3. When work cannot be accomplished through RMI and exceeds colleges ability to respond with available minor work preservation funding.
    4. When delays in repair would cause costly collateral damage.
    5. When large portions of a college’s programs would be placed at risk.
    6. When life safety and property risks are too high to leave un-addressed.
    * Catastrophic loss or failure often presents an immediate threat to life or property. Work to repair or restore the asset is often initiated rapidly following the request of a college president for a Declaration of Emergency by the Department of Enterprise Services. This declaration saves valuable time by justifying not using the A/E selection process or public works bidding process to ensure quick response to the problem.
  2. Exclusions: SBCTC emergency funds will not be considered for purposes of:
    1. Augmenting a non-emergency local-capital project.
    2. Augmenting a state-funded "program" project.
    3. Augmenting a state-funded "preservation" project, except under unforeseeable circumstances (e.g. extreme weather damage).
    4. Constructing a repair or replacement that is deferrable to the next legislative-funding opportunity.

Reserve Fund Assumptions

The following assumptions are the basis for the rules for allocating emergency reserve funds:

  1. Each college should be responsible for its own relatively small repairs, regardless of the degree of emergency.
  2. A portion of annual RMI funds should be available for non-emergency use by each college.
  3. Criteria for use of SBCTC emergency funds should apply to all colleges regardless of size or RMI allocation.

Reserve Fund Allocation Formula

The allocation of emergency reserve funds, for use in conjunction with local college resources for a specific facility emergency, is based on the following:

  1. Any emergency repair costing five percent or less of the biennial RMI allocation to a college will not be eligible for SBCTC emergency funds.
  2. For an emergency repair costing more than five percent of a college's biennial RMI allocation, the local college will cover an amount equal to five percent of its RMI allocation (a "deductible"), and the college and SBCTC shares remaining costs based on the following Table).
  3. Shares of Total Cost Less the Deductible
    By College By SBCTC *
    For the first project 50% of cost up to 1/3 of RMI dollars Remaining costs
    For the second project 50% of cost up to 1/3 of RMI dollars for projects #1 and #2 combined Remaining costs
    For the third and all subsequent projects 50% of cost up to 3/8 of RMI dollars for all projects Remaining costs
    * Within the total of "emergency pool" funds available.

  4. If construction costs of an emergency repair exceed the $500,000, SBCTC may elect to fund the design portion of the work and seek the $500,000 in a supplemental or biennial budget request, or through a transfer of funds by the Governor using the Infrastructure Savings Account.

Appendix H: CAM Factors

The Capital Analysis Model (CAM) contains a variety of space factors, but all are related to daytime FTE-student enrollment. For classroom and science lab space, rates of utilization and square feet per student station are built into the CAM, along with assumed demand per FTE. For library facilities, student services and administrative office space, and student activities space, each sub-category of use is defined and a space allowance provided. For faculty offices, assumptions about student-faculty ratios and office area per occupant are used to develop a per-FTE factor. For music and art, theater/auditorium, and for central warehousing/receiving and campus maintenance shops, a square foot per FTE is provided for community college FTEs only. For physical education, a generalized per-student factor based on the minimum PE facility size is used.

The numerical factors for CAM types of space are as follows:

Assignable Square Feet (ASF) per Full Time Enrolled (FTE) Student
  Academic FTE Vocational FTE* Basic Skills FTE
Type of Space FTE Type** First 1,000 Additional First 1,000 Additional First 1,000 Additional
General Classroom 1 12.4 12.4 7.5 7.5 N/A N/A
Basic Skills 2 N/A N/A N/A N/A 27.6 27.6
Science Lab 1 6.0 6.0 3.5 3.5 N/A N/A
Computer Lab (open) 2 3.2 3.2 3.2 3.2 3.2 3.2
Physical education*** 2 26.0 10.0 N/A N/A N/A N/A
Library 2 16.8 8.5 16.8 8.5 16.8 8.5
Faculty Office 2 8.1 8.1 10.8 10.8 8.1 8.1
Admin/Student Services 2 8.98 5.13 8.98 5.13 8.98 5.13
Student center & related 2 13.19 7.97 13.19 7.97 13.19 7.97
Child care 2 3.4 3.4 3.4 3.4 3.4 3.4
Central Stores/Maintenance 2 7.0 4.0 4.0 4.0 7.0 4.0
One-time Assignable Square Feet (ASF) per Full Time Enrolled (FTE) Student
Type of Space FTE Type** One-Time Spaces
Auditorium 2 9,000 ASF at CCs and TCs
Music 2 4,000 ASF at CCs only
Art 2 ASF at CCs only
Drama 2 5,000 ASF at CCs only

* Vocational space will be included in the CAM based on a formal analysis of space needs by program and projected enrollment growth.

** FTE Type 1: Day On Campus w/o Online (Catagory 3N)

   FTE Type 2: Day On Campus plus Online of same intent regardless of time of day.

*** Calculation based on first 500 FTE.

 

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