Academic Facilities Policies and Procedures
As chief academic officer, the Provost is responsible to the President for the allocation of University resources to meet academic objectives. These resources include facilities as well as financial resources. The Provost and his staff work closely with the Deans and other senior administrators to ensure that adequate facilities are available to support Duke's academic mission, to ensure that existing space is effectively utilized, and to develop and execute appropriate strategies to reallocate space or acquire additional space as appropriate to meet emerging needs. The Provost's Office and the administrative staff in each of the schools and academic support units work closely with the University Architect's Office and the Facilities Management Department, both responsible to the Executive Vice President, on facilities planning and maintenance issues.
The Provost delegates significant responsibility for facilities issues to the Deans as part of their ongoing planning for -- and management of -- academic programs. The facilities under the management of each Dean are generally well understood and are tracked in detail in the records of the Plant Accounting Office. The Deans are generally responsible for raising the funds necessary for facilities expansion and renovations, and their budgets are expected to cover the costs of routine maintenance and the replacement cycle of infrastructure systems. (These costs are recorded as direct costs for some schools and as indirect costs for others.) All building maintenance activities are performed through the University's Facilities Management Department. All renovation projects are contracted through the University Architect's Office.
Deans and administrative directors are expected to make all individual faculty and staff room assignments and to make periodic adjustments in the allocation of space across academic and administrative areas as necessary to ensure that academic priorities are met and that space is efficiently deployed. Working with the Facilities Management Department, Deans, directors and their staffs are expected to contribute to the ongoing maintenance and energy effectiveness of the facilities under their care through appropriate management and individual behavior. Deans may initiate renovation projects through the University Architect's Office with a total project cost of up to $250,000 per project without the prior approval of the Provost unless internal debt financing or special financial support is requested. All projects that depend on internal debt financing under the authority of the Executive Vice President also require the Provost's prior approval. Such renovation projects would typically adapt facilities for new uses, create additional useable space, and/or bring facilities up to current technology standards. The threshold for administrative directors reporting to the Provost to proceed with renovation projects without the prior written approval of the Provost is $25,000.
The formal approval of the Provost is required when a Dean or administrative director requests a reallocation of existing facilities across current organizational boundaries. Although prior informal consultations may be desirable, such requests should be made in writing, outlining the programmatic need, the rationale for seeking space in addition to current allocations to meet it, estimated upfit costs and sources, and the preferred time line. Such proposals may request that specific space be reallocated, or they may simply state the characteristics of the space requested. The Provost will typically refer requests for the reallocation of existing facilities across current organizational boundaries to the Space Needs Committee for advice on prioritization and alternative solutions.
A sequence of consultations and formal approvals organized through the Provost's Office (and possibly also involving the Senior Officers and the Board of Trustees) is also required when a capital project is proposed that does not meet the criteria for exemption discussed above. Formal approval is required if the project involves any of the following conditions:
- Estimated cost exceeds $250,000 in the schools and $25,000 in academic support areas
- Requires internal debt financing
- Alters the exterior of an existing facility
- Requires the allocation of additional land to site the facility
Deans and administrative directors proposing capital projects falling under these criteria should complete a formal program statement with the assistance of the University Architect's Office and submit the program statement with an appropriate cover memo to the Provost. After appropriate review, the Provost will take one of the following actions:
- Accept the proposal, subject to any additional approvals required under University policy
- Endorse further professional study, leading to a detailed project plan, with appropriate cost estimates and funding plans
- Reject the proposal
The Provost will normally consult the Executive Vice President during the review process and may also seek the advice of the Space Needs Committee. All capital projects with an estimated cost in excess of $1,000,000 require Board of Trustee approval. The Provost will seek early review among the Senior Officers of all projects likely to require Board approval and may from time to time present projects of smaller magnitudes to the Senior Officers for information and advice. A project endorsed for further study will be resubmitted to the Provost in writing once additional information is available; the Provost will then once again have the option to accept the proposal, endorse further study, or to reject the proposal.