UCONN 2000
Legislative
Update No. 1
October
1, 1995
REBUILDING,
RENEWING AND ENHANCING
THE
UNIVERSITY OF CONNECTICUT
This
is the FIRST in
a series of reports
to Governor John G.
Rowland and the Connecticut
General Assembly
Table
of Contents:
I.
UCONN 2000: THE CONTEXT
II.
UCONN 2000: ACTIVITIES
UNDERWAY
III.
UCONN 2000: A REVIEW
OF THE LAW
IV.
PROJECT LIST (as
of Oct. 1995)
ATTACHMENTS
A
championship season
in every way, 1995 will
go down in history as
the year our state reaffirmed
its deep commitment
to the University of
Connecticut. Throughout
1995, a new vision of
the University began
to materialize as the
General Assembly and
the Board of Trustees
completed separate,
but interdependent,
blueprints for the renaissance
of Connecticut's flagship
university.
The Trustees' blueprint, the Strategic Plan, sets the University on the road
to educational pre-eminence.
The University of Connecticut aspires to be the outstanding public university
in the nation...a center for lifelong learning which excels in both teaching and
research...a diverse community whose values promote mutual respect, inspire intellectual
curiosity and encourage service to society...an environment that fosters academic
and artistic achievement as well as productive and responsible student life...an
institution with a global perspective that recognizes its special obligation to
enhance the quality of life and economic well-being of Connecticut.
The General Assembly's blueprint is Public Act 95-230, An Act to Enhance the
Infrastructure of the University of Connecticut, the law that has come to be
known as UCONN 2000. UCONN 2000 represents the $1 billion, as well as the responsibility
and accountability, that Connecticut's citizens decided to invest in the University
in the coming decade.
The University will undergo many changes as it pursues the strategic goals adopted
by the Board of Trustees. (Attachment A.) While it is the Board's vision of renewal
for the University that sets the context and direction for the capital rebuilding
program, it is the legislature's supp ort that turns the vision into the bricks
and mortar of lecture halls, researc h labs, and dormitories. Neither blueprint
can become reality without the other.
The year 1995 has brought another piece of good news to the University: early
numbers indicate enrollment for the freshman class is up by almost ten percent
this fall, with 2,000 students entering as the Class of 1999 - the last class of
the 20th century. Admissions officials say that most comments from applicants and
their parents indicate that the news of UCONN 2000 was -- remarkably -- even more
of a factor in their decision to attend the University than the increased visibility
occasioned by our Big East champion men's and our national championship women's
basketball teams.
These enrollment figures are even more important than one might assume at first
blush: for years, surveys of students who chose not to attend UConn said the physical
condition of the campus was a primary reason for going elsewhere. The quality of
on-campus academic and housing facilities is consistently rated low, a view which
undermines prospective student confidence in the academic program. This is especially
true in the case of higher-achieving students , who are a target audience critical
to the future of our state. If this state is to stop the "brain drain," its
flagship university must compete aggressively for students in the marketplace.
UCONN 2000 is essential to this effort.
Finally, lest there be any doubt, the University community is fully mindful
of the fact that it is an active partner in this endeavor. At the University Convocation
on September 5, 1995, Provost Mark A. Emmert explained this partnership as follows:
...we
should always remember
the social contract
we share with the
good citizens of Connecticut.
The University of
Connecticut is a public
trust, an organization
established over a
century ago by the
people of the state
for the betterment
of their heirs and
the broader society.
This year the State
of Connecticut reconfirmed
its commitment to
this public trust
through the passage
of UCONN 2000. For
years, citizens have
provided tax support
and students have
paid tuition knowing
that the University
of Connecticut would
add value to their
investment.
We
within the University
must clearly understand
this relationship
with our citizens
and our supporters.
It is incumbent upon
us to demonstrate
that their support
is well placed. We
must make every effort
to organize ourselves
intelligently, to
invest our resources
strategically, and
to provide teaching,
research, and outreach
of the highest quality
and rigor. It is imperative
that we show clearly
and unequivocally
that the University
of Connecticut is
upholding its end
of the bargain.
On June 22, 1995, Governor John G. Rowland signed the UCONN 2000 bill at a ceremony
in front of Babbidge Library, the symbol of the University's crumbling infrastructure.
In the short time that has passed since the signing ceremony, the University has
already begun to move forward on a host of activities designed to meet the timetables
and expectations of the General Assembly and the Board of Trustees.
Please note that, while most of the activities mentioned in this report are
projects specified in the UCONN 2000 legislation, some are supported by other funding
sources. All significant projects underway are presented in this report, however,
for two reasons.
First, we wish to ensure that all major capital activities are developed, implemented
and reported in a comprehensive manner. Second -- and most important -- UCONN 2000
is more than a capital construction finance statute. The flexibility and management
authority conferred on the University by UCONN 2000 has already made a dramatic
change in terms of UConn's ability to move projects forward in a planned, deliberate
and timely fashion. Every project described has benefitted from the provisions
of the new law; every aspect of overseeing the renewal of the University's physical
plant has been fortified by UCONN 2000.
- The
management of all projects
that have not yet reached
the construct ion stage
has been officially
transferred from the
State Department of
Public Works to the
University of Connecticut.
The total value of
these projects is $378
million. For capital
projects already underway,
the transfer of d esign
contracts, project
fund balances and other
accounting information
is in pr ocess.
- A
group representing
the academic, student
life, administrative
and op erational divisions
of the University has
almost completed the
review and prioritization
of all projects originally
proposed in UCONN 2000.
This review was undertaken
to determine the adjustments
necessary to accommodate
the level of funding
authorized by Public
Act 95-230. The proposed
list will be submitted
to the Board of Trustees
for review and approval
prior to submission
to the Bond Commission.
The law requires the
approval of the General
Assembly if the Board
recommends the deletion
or addition of any
project.
- Policies
for selecting design
consultants and prequalifying
contracto rs were adopted
by the University Board
of Trustees on September
8, 1995. (Attachment
B.) Prequalification
will ensure that contractors
meet specific criteria
regarding financial,
quality and performance
standards prior to
being allowed to bid
on a University project.
- A
comprehensive list
of deferred maintenance
projects to be accomplished
in Year One of UCONN
2000 has been completed.
- The
University has begun
developing a master
schedule for all new
instructional, research,
library, support and
telecommunications
equipment to be funded
out of UCONN 2000.
- The
University has retained
Dr. Harvey Kaiser,
a nationally respected
expert in higher education
facilities management,
to consult with Trustees
and s taff on overall
campus planning and
design issues.
- Design
funds for the new Agricultural
Biotechnology building
have bee n allocated
and design is underway.
Approximately half
of the design costs
are federally funded.
- A
Policies And Procedures
Manual is under development.
This document provides
in-depth information
on project management,
project reporting,
financial reporting,
construction standards
and other "how-to" information
on all aspects of UCONN
2000.
- The
$18 million authorized
for repairs to Babbidge
Library has been allocated
by the State Bond Commission
and construction is
underway.The planned
completion date for
the Babbidge Library,
dubbed the "Poster
Child" of
UCONN 2000, is December
1996. The entire University
community eagerly awaits
the removal of the
plastic sheeting that
surrounds the library;
Babbidge will be "unwrapped" later
this fall.
- Demolition
of the South Campus
residence halls has
been completed, making
way for a new, multi-building
South Campus that will
permit a variety of
student living arrangements
and will incorporate
current national standards
for residence halls.
The new management
authority granted by
UCONN 2000 permitted
UConn to accomplish
the demolition project
in rapid fashion. Demolition
began on August 21st
and the last of the
debris was being carted
away as this report
went to print. Groundbreaking
is scheduled for next
spring; students will
move into the brand
new buildings in the
fall of 1997. The bricks
from the demolition
have become a hot consumer
property, soon to be
used in fundraising
efforts!
- The
Towers dormitories
project, which involves
new roofs, facades
and windows for 16
residence halls, started
in May 1995, and will
be completed in August
1996. Exterior work,
it goes without saying,
must be completed before
interior work can begin.
The cost of the exterior
project is born e by
a combination of low
interest federal loan
funds and state self-liquidati
ng bonds. The interior
renovation is part
of the second phase
of UCONN 2000.
- Over
the past summer the
Andre Schenker and
the Torrey Life Science
lecture halls, as well
as several classrooms
in other buildings,
underwent complete
renovation. These facilities
are among the most
heavily used rooms
on campus and their
refurbishing has been
a priority for students
as well as faculty.
Renovations include
air conditioning, new
seating, and the latest
in instructional media
equipment and technological
capability. The classroom
and laboratory renovation
program is a multi-year
commitment which has
been expedited with
the passage of UCONN
2000.
- The
Field House renovation
has gone out to bid.
The project is slate
d to begin in May 1996,
a timetable designed
to minimize impact
on students. The 18-month
shutdown means that
some reduction in program
will be unavoidable,
but most activities
will be offered elsewhere.
The Field Hou se was
built at a time when
the University's enrollment
was only one-third
of what it is today;
predating Title IX,
the original design
simply cannot accommodate
expanded women's athletic
programs and the growth
in intramural and recreational
activities.
- Physical
enhancements are taking
place university-wide,
with the inst allation
of sidewalks, paving
stones, durable granite
curbing and other site
improvements across
the campus.
- Meetings
have been held with
State Treasurer Christopher
Burnham to p lan bond
sales and related activities.
The University has
participated with t
he Treasurer's Office
in interviewing bond
managers, with a selection
for UCONN 2000 to be
made shortly.
- The
timing of the appointment
of bond counsel and
bond managers is suc
h that it is likely
that the Master Indenture
will be ready for action
by t he Bond Commission
by late fall. This
schedule fits well
with the timetable
for o ther state bond
sales planned for early
fall. The Treasurer's
Office and the University
remain committed to
the first UConn bond
sales upon Bond Commission
approval of the form
of the Master Indenture.
- The
firm of Hawkins, Delafield & Wood
has been selected by
the Treasur er as bond
counsel for the UCONN
2000 program to assist
with the sale of ssecurities
and related issues.
- As
part of its commitment
to the General Assembly
to pursue aggressive
ly other sources of
financial support,
the University has
significantly expan
ded its institutional
advancement program.
For the first time,
ambitious goa ls have
been set to increase
overall giving to the
University, and early
resu lts show promise.
Giving in 1993-94 totalled
$6.8 million in cash
and pledges . In 1994-95,
giving increased by
20% to $8.2 million.
This increase is especially
impressive because
the $8.2 million represents
cash only (no pledges)
due to a recent policy
change to measure results
by annual cash receipts.
(Pledges promised,
but not yet received,
will no longer be calculated
in annual tallies.)
Even more ambitious
goals have been set
for the future: $12-$15
million in Fiscal Year
1995-96, and $25 million
by 1997. In addition,
the University plans
to initiate a multi-year
$250-$300 million capital
campaign during Fiscal
Year 1997-98. The University
will soon complete
staffing its operations
to meet these goals.
Our new advancement
program will feature
sophisticated annual
fund, deferred giving,
major donor, alumni
and corporate and foundation
fundraising capabilities.These
capabilities will be
supported in the context
of a complete institutional
advancement program
featuring research,
public relations, marketing
and constituency development
programs. The goal:
a University that will
compete effectively
for private contributions.
- In
July, the Board of
Trustees approved guidelines
governing the elig
ibility of private
donations for the $20
million state matching
funds made availab
le under UCONN 2000.
Generally, state matching
funds will be applied
on a dollar for dollar
basis to all private
gifts and pledges of
$25,000 to $2,000,000
which either create
new endowments or add
to existing endowments
and are received in
calendar years 1996,
1997 and 1998. (State
matching grants will
be paid in Fiscal Years
1998, 1999 and 2000).
By targeting investment
to endowments, the
matching program will
encourage new and existing
donors to support the
University's long-term
needs and assist the
University in achieving
the extra margin for
excellen ce. Please
see Attachment
C for
the complete guidelines.
The law known as UCONN 2000 is Public Act 95-230, An Act to Enhance the Infrastructure
of the University of Connecticut. UCONN 2000 establishes a structured 10-year program
to rebuild the University's crumbling infrastructure at the Storrs campus, as well
as to construct and equip academic and research facilities in Storrs and at the
regional campuses. The law also establishes a matching grants program, similar
to those of other public universities, designed to encourage and reward UConn efforts
to increase substantially the level of private donations from alumni, corporations
and others. Finally, UCONN 2000 makes the University accountable for the state
of its facilities by authorizing it to manage all its capital projects. This grant
of authority is intended to increase management flexibility, decrease bureaucratic
red tape, reduce project costs and significantly improve the quality and timeliness
of capital projects and ongoing maintenance.
The provisions of Public Act 95-230 are summarized as follows:
Defines the purposes of "The University of Connecticut 2000 Act" as:
- improving
educational opportunities
in Connecticut;
- establishing
a special capital improvement
program for UConn;
- enabling
UConn to borrow money
and enter into financial
transactions o n behalf
of the state;
- authorizing
UConn to manage its
capital projects; and
- assuring
a state financial commitment
to support these activities.
Authorizes UConn to administer, manage, schedule, finance, design and construct
the projects enumerated in the act to modernize, rehabilitate, renew, expand and
otherwise stabilize the University's physical plant.Those projects include:
- deferred
maintenance,
- renovations
and adaptations,
- new
buildings and additions,
- equipment
replacement and upgrades,
- library
equipment and collections,
- transportation
and parking, roads
and walks, and
- residence
halls.
Specifies each project authorized, including its estimated cost and its placement
in either Phase I or Phase II of the program. Phase I is for Fiscal Years 1996-1999
and totals $382 million, and Phase II is for Fiscal Years 2000-2005 and totals
$868 million. The total project cost of $1.25 billion must be reduced to $980 million
by reducing the cost of Phase II projects. (The $980 million represents the $962
million authorized by UConn 2000 plus the $18 million for Babbidge Library authorized
in Public Act 95-270.) UConn is required to file its revised list of Phase II projects
with the State Bond Commission when it submits the form of the master indenture
to the Commission.
Enables the UConn Board of Trustees to make material revisions in projects.
Project additions or deletions can only occur upon the approval of the Board of
Trustees and the General Assembly. Revisions, additions or deletions do not reduce
the amount of the state's debt service commitment.
Authorizes the University to determine the timing and sequencing of projects,
and project cost revisions and reallocations.
Requires the University to report all actions involving project revisions, additions,
deletions and project cost revisions and reallocations as part of the semi-annual
reports to the General Assembly.
Provides that the State, through the state debt service commitment, wil l fund
the debt service costs of the securities issued for UConn.
Authorizes the University to issue securities in the name of the Univer sity
on behalf of the State to finance UCONN 2000.
Limits the amount of securities the Board of Trustees may issue to the following
specified amounts in each fiscal year of the program. ( P lease note that the amount
specified for Fiscal Year 1996 does not reflect the $18 million for Babbidge Library
authorized in Public Act 95-270.)
| FISCAL
YEAR |
AMOUNT |
| 1996 |
112,542,000 |
| 1997 |
112,001,000 |
| 1998 |
93,146,000 |
| 1999 |
64,311,000 |
| 2000 |
130,000,000 |
| 2001 |
100,000,000 |
| 2002 |
100,000,000 |
| 2003 |
100,000,000 |
| 2004 |
100,000,000 |
| 2005 |
50,000,000 |
Permits the Board to carry forward to the succeeding fiscal year a ny portion
of a year's capped amount which is not used. The financing transacti on costs may
be added to the capped amounts.
Authorizes UConn to issue securities under an indenture of trust o r a bond
resolution and requires the securities to be general obligations of t he University,
backed by its full faith and credit, unless they are spec ified as special obligations
payable from special revenues in the indenture or resolution.
Requires the Board of Trustees to submit to the State Bond Commiss ion for its
approval the form of the master indenture or resolution when the Board submits
its revised list of Phase II projects.
Provides that the State Treasurer is responsible for the sale of t he UConn
securities needed to fund UCONN 2000 and for setting the terms and provisions of
each sale in conjunction with UConn.
Prohibits the University from securing funds from any other state agency or
quasi-public agency to lease, finance or lease-finance any land or bu ilding outside
the Storrs campus that requires an annual expenditure of more than $50,000 per
year during the period when UCONN 2000 securities are issued.
Provides that the securities issued by the University are to be ta x exempt.
Makes provisions similar to those provided for other state bonds w ith regard
to liens and mortgages, interest rate agreements, trust funds, remedies, and securities
refunding
Grants to the University, upon filing a request with the Commissioner of Public
Works, the authority to design, plan, acquire, remodel, alter, repair, enlarge
or demolish any real asset or other UCONN 2000 project at the University. This
authority may be extended to any other capital project already underway at the
discretion of the University.
Requires the University to prepare construction standards for all projects and
prepare detailed plans and specifications for each project.
Authorizes the University to contract with a design professional, a general
contractor and one or more prime trade contractors for any construction work.
Establishes the public bidding processes for construction contracts inc luding
bidder prequalification.
Requires the University to award each construction contract to the responsible
qualified bidder submitting the lowest bid in compliance with the bid requirements.
Deems each UCONN 2000 project to be a state public works project making each
project subject to state laws with regard to preferences for sta te workers, wages
and hours, occupational safety and health, and contrac tor disqualification.
Expedites the licensing, permitting and other administrative processes, including
any judicial appeal of a pertinent administrative action.
Prevents local zoning regulations from barring a UCONN 2000 project in an area
zoned to allow commercial buildings.
Deems UCONN 2000 projects to be part of the state plan of conservation and development.
Exempts any UCONN 2000 project which involves converting an existing office
or commercial use building to an educational use from an environmental impact evaluation,
from review and comment by the Council on Environmental Quality, and from the Department
of Environmental Protection regulations concerning flood plains.
Grants specific powers to the University pertinent to fulfilling its responsibilities
under the act, including powers related to issuing s ecurities, leasing, contracting
with or employing architects, accountants, engin eers, legal and securities counsel,
and other professional and technical ex pertise.
Enables the University to establish funds and accounts, in additio n to those
already authorized by statute, needed to implement the provisions of the act.
Authorizes the University to indemnify and be sued with respect to financing
contracts.
Authorizes the University to acquire and dispose of real property, and permits
the University to accept gifts of real property without obtai ning the approval
of the Department of Public Works or the State Properties Re view Board.
Enables the University to lease land under its control with the ap proval of
the Governor and the Secretary of the Office of Policy and Management; su ch authority
had been limited to leases to private developers for the construction of dormitories.
(NOTE: This change may be inconsistent with leasing authority granted in other
statutes.)
Makes the University responsible for establishing and maintaining contr ol of
personal property and equipment.
Exempts the University from obtaining printing and stationery needs thr ough
the Commissioner of Administrative Services.
Establishes a permanent endowment fund to encourage private donations to support
professorships, scholarships or program enhancements. (Se ction9)
Establishes a three-year (Fiscal Years 1998, 1999 and 2000) state match ing
grant program to encourage private donations. The state will match u p to $20 million
over the three years with a maximum match of $10 million in any one fiscal year.
UConn is required to certify to the Secretary of th e Office of Policy and Management
the amount of the eligible gifts it received fo r its endowment during calendar
years 1996, 1997 and 1998. The certificati on is to occur by February 15th of each
subsequent year. The General Assembly is to appropriate an amount equal to the
amount reported or, if not appropriated, said amount is deemed to be authorized
as general oblig ation bonds. Each state matching grant is to be deposited into
the endowme nt fund.
Provides that in the event the University receives more than $10 million in
eligible gifts in any calendar year, the amount in excess of $10 million is to
be carried forward and be eligible for a matching state grant in the next succeeding
fiscal year.
Requires the UConn Board of Trustees to adopt guidelines governing the solicitation
of endowment fund eligible gifts.
Establishes a special external gift fund to encourage private donations in furtherance
of UCONN 2000.
Requires the University to submit to the State Bond Commission for its approval
the form of the master indenture prior to the initial issuance of UConn securities.
At such time, the University must submit a revised list of Phase II . Any substantive
amendments to the master indenture form must be approved by the State Bond Commission.
Requires the Board of Trustees to submit each resolution for the issuance of
securities to the Governor with a summary of the estimated costs of projects which
will not be completed within the issuance. The resolution is deemed approved unless
the Governor, within 30 days after receipt, disapproves a resolution by so notifying
the Board in writing, including the reasons for such disapproval.
Requires the University to submit semi-annual reports on the status and progress
of UCONN 2000 to the Governor and the Education, Finance, Revenue and Bonding,
and Appropriations Committees of the General Assembly beginning October 1, 1995.
Each report must include:
- information
on the number of projects
and securities authorized,
approved and issued,
including project costs,
timeliness of completion,
any problems which
have developed, and
a schedule of remaining
projects and their
expected costs;
- revenue
available for the remaining
projects and expected
receipts for the next
year;
- information
regarding money raised
from private sources
for the capital and
endowment programs
and progress made in
developing and implementing
the fundraising program;
and
- any
cooperative activities
begun in the preceding
six months with other
higher education institutions.
Requires that each such report specify, for the preceding six-month period:
- the
moneys credited to
such fund on account
of, or derived from,
each source of state
and federal revenue;
- the
amount of investment
earnings from the fund;
and
- the
moneys from such fund
applied and expended
for
- the
payment of debt
service requirements,
- the
payment of principal
and interest
on securities
issued and general
obligation bonds
issued for University
capital improvement
purposes, and
- each
budgeted account
under the annual
budget appropriation
made to the
University
Requires the University to submit on January 15, 1999, a four-year UCONN 2000
performance review report to the Governor and the Education and Finance, Revenue
and Bonding Committees of the General Assembly. The report must provide for each
project undertaken the progress made and the actual expenditures compared to the
original cost estimates. The report must also include a summary of cooperative
activities with other higher education institutions. Within 60 calendar days of
receipt of the report, the Education and Finance, Revenue and Bonding Committees
are to consider the report and determine whether there has been insufficient progress
or significant cost increases as a result of actions taken by the University. If
so, the committees may make recommendations to the University and the General Assembly
for appropriate action.
Requires the Board of Trustees to approve the relocation of the West Hartford
regional campus prior to any authorization for funds to implement such relocation,
provided the Board may expend funds for the Hartford relocation feasibility study
prior to such approval. The Board is to submit recommendations for alternative
uses of the West Hartford campus to the Office of Policy and Management. (Note:
See Public Act 95-270, Section 10 which amends this section.)
Requires the Board of Trustees, prior to undertaking any UCONN 2000 project
at a regional campus, to find and determine that the University considered opportunities
for coordinating and sharing programs and facilities with other higher education
institutions. The findings and determinations are to be included in the semi-annual
and four-year performance review reports.
Effective Date: Upon passage (June 7, 1995).
Attachments:
Attachment A
Attachment B
Attachment C
