Initial Planning
Detailed Planning
The University has developed a standardized process for the implementation of Capital Improvements Projects. This process is applied to both major projects (those with project costs estimated to exceed $400,000) and minor projects (those with costs estimated at $400,000 or below), though not all steps in the process are applicable to minor projects. The major steps in the process are identified in the following chart.
Initial Planning Sufficient definition of the project is required to allow for executive review of the preferred solution and its budgetary implications, following which formal direction may be given to proceed with detailed project planning. Detailed Planning
Program Analysis, Physical Master Planning, and Funding
Feasibility Analysis activities comprise the Initial Planning phase of the Capital Improvement Project process and result in a Project Definition.
The Detailed Planning Phase comprises the steps leading
from a defined project to formal project review and approval, including development of a Funding
Plan and the commencement of any required Environmental Review.
During this phase, pre-design studies and analyses are generated to determine the specific scope of the program and required physical improvements. These studies may include completion of a detailed functional and space program, engineering studies, site selection studies, code requirement analyses, existing building conditions surveys, preliminary project schedule and phasing analysis, cost analysis, project program verification and value engineering, preliminary environmental analysis, development of land use and design guidelines, and financial feasibility analysis, including development of a funding plan.
The phase culminates in the preparation of formal project documentation: a Capital Project Summary (CPS) for projects under $5 million, which are approved by the Chancellor; or a Project Planning Guide (PPG) for projects over $5 million, which require approval by UCOP and for projects over $10 million approval by The Regents. The CPS or PPG includes a clear and concise narrative description of the program-related need, an analysis of the facilities requirements, a description of the scope of physical improvements that will be accomplished by the project, environmental review classification, budget and schedule data, and financial feasibility analysis, including type of external financing and source of debt repayment, as appropriate.
Since the cost of change increases as the project moves through the development cycle, realistic early scoping and budgeting decisions are paramount to successful project development. Peer review is essential to the successful development of capital projects, and all projects are routinely presented to the Academic Senate Subcommittee on Planning and Budget, the Chancellor’s Advisory Committee on the Disabled, and the Campus Construction Impact Mitigation Task Force. Upon completion of detailed planning, the project is officially included in the Capital Improvement Program of the University and is approved for implementation.
Design
Project Design begins with the selection and appointment of an Executive Architect or Engineer and proceeds through three phases:
- Schematic Design phase results in development of the basic appearance of the facility including location on the proposed site, building mass, and preliminary floor plans. The Schematic Design is reviewed and approved by the campus.
- Design Development phase results in the development of building systems, the resolution of technical design issues, and the testing of the proposed design against specific programmatic budget and code requirements, and regulatory and environmental compliance. At the completion of this phase and before commencement of more detailed design work, the proposed design and project site is reviewed and approved by The Regents or the Chancellor, depending on the size of the project.
- Construction Documents phase results in development of working drawings and specifications in sufficient detail to permit the bidding of the project and to direct the work of the contractor. During this phase, approval is sought from agencies which are required to review and approve the construction documents (State Fire Marshal, Office of Statewide Health Planning and Development, Office of the State Architect, State Public Works Board and State Department of Finance, as appropriate) prior to proceeding with the Construction Bid Phase.
All designs undergo external peer review. In the case of seismic rehabilitation efforts, particular attention is paid to external structural peer review. This milestone review process provides an early opportunity to critique what will become the permanent, physical assets of the University.
Construction
The Construction Phase begins following approval of the construction documents by all required entities. This phase implements the contracting and construction management strategies decided upon earlier in the project’s development.
Construction Phase activities consist of:
- Construction Contract Bid/Award activity initiates the Construction Phase. All construction contracts are bid and awarded in accordance with law and policy. The University may use different contracting strategies, with most employing a single, prime construction contract or multiple prime contracts.
- Project Construction activity includes monitoring and inspection to ensure that the quality of construction is in accordance with the approved design. Any proposed scope changes or other necessary changes are evaluated for impact on the approved budget and schedule. As necessary, plans are developed with facility users for the move-in and occupancy phase. Projects are deemed complete at the time a Notice of Completion is filed with the County. The University may fully occupy and use a facility when it issues a Certificate of Substantial Completion for the project or takes beneficial occupancy of a portion of the project and uses it for its intended purposes.
- Building Occupancy/Project Closeout starts the usual one-year building warranty period during which the University identifies any incomplete construction items or construction defects requiring correction.
It may take a year or more after the completion of a construction project before a final accounting of project expenses can be completed and all issues under the various contracts and design professional agreements can be closed out. This warranty and closeout phase provides the University with a period of time to check out building systems and correct any patent deficiencies while the contractor and architect are still operating under their respective contracts.