This chapter summarizes the design phases of a project, references the applicable sections in the Executive Design Professional Agreement to be used during the design phases of a project, the environmental requirements during schematic design, the value engineering requirements, and the process to establish a project's effective code date upon completing design development. Refer to Design Professional Agreements and the contracts in the Design Contract Templates when hiring design professionals. Some projects may be designed by in-house staff. See Procedures for Consultant Selection. 

In the early project development phases, a Facility may need the services of a design professional for project analyses and feasibility. The Professional Services Agreement is used for these services. If the same design professional is commissioned for project design, then the advertising, screening, and selection procedures must be followed and an Executive Design Professional Agreement must be executed prior to the beginning of the Schematic Design Phase. See Consultant Selection. 

A project program is developed which defines the scope and budget of the project, i.e., the needs and functions of the user (see Construction Costs), and the assignable square footage.

After the project program is complete, it is recommended that a predesign conference be held to confirm that all issues have been addressed in the program. All interested parties should participate in the predesign conference.

The design professional hired for project analyses and feasibility writes a preliminary evaluation of the project program and the construction budget, each in terms of the other.

Schematic design is the first phase of basic services for project design. At this stage in a project, the design professional describes the project three-dimensionally. A range of alternative design concepts are explored to define the character of the completed project and an optimum realization of the project program. See Executive Design Professional Agreement between The Regents of the University of California and the Executive Design Professional Article 2.2, Schematic Design Phase and Exhibit C, Supplementary Requirements.

As part of the schematic design phase, applicable environmental documents must be completed, including consistency with an applicable LRDP. See California Environmental Quality Act Compliance and Physical Design Framework. 

It is recommended that value engineering begin early, preferably in the program phase of a project. If the total project cost is $5 million or greater, the project must undergo a value engineering review at the end of schematic design phase. Modifications or changes resulting from value engineering and design review sessions must be incorporated into schematic design documents before University approval is given to proceed to design development phase.

During the design development phase, the project design is further refined. Plan arrangements, specific space accommodations, equipment and furnishings, building design, materials and colors, and complete definitions of all systems serving the project are developed. All design decisions are completed during this phase in order to prepare the subsequent construction documents.  See Executive Design Professional Agreement between The Regents of the University of California and the Executive Design Professional Article 2.2, Schematic Design Phase and Exhibit C, Supplementary Requirements.

If the total project cost is $5 million or greater, the project must undergo a value engineering review at the end of design development phase. Modifications or changes resulting from value engineering and design review sessions must be incorporated into design development documents before University approval is given to proceed to construction documents phase.

For non-hospital and non-health care facility projects, a Facility submits completed design development documents for plan review to the Designated Campus Fire Marshal and Certified Building Official. This first submittal sets the effective code date. The edition of CCR, Title 24, California Building Standards Code, in effect on that date will be applied for the duration of a project. See State Codes, Regulations, and Agencies. 

Construction document phase consists of preparation of drawings and specifications establishing the requirements for the construction of the project. The construction documents describe the quality, configuration, size, and relationship of all components to be incorporated into the project. Construction documents must be consistent with the project program, the construction budget, and the project schedule. Design Professional submits construction documents for review by the University and others, as deemed necessary by the University, at 50% completion, 100% completion (as determined by the design professional), and for final backcheck after all corrections are made. If contractibility analysis is required, it is performed on the 100% set of documents. Design professional must incorporate all resulting changes into the 100% documents prior to submitting the final backcheck set. The construction documents serve as a basis for obtaining bids from contractors and are used by contractors to obtain price quotes from subcontractors. (The preparation of University construction documents is discussed in detail in Construction Contracting The construction documents are bid in accordance with the procedures in Bidding and Construction Administration. See Executive Design Professional Agreement between The Regents of the University of California and the Executive Design Professional Article 2.2, Schematic Design Phase and Exhibit C, Supplementary Requirements.

The selection of design professionals is subject to University policy and guidelines. State law requires design professionals and specified other consultants to be selected based on the procedures in the PCC as implemented by University policy. Design professionals must be selected based on predetermined qualification criteria. Qualification criteria must be reasonable and appropriate for the scope, complexity, and dollar value of the project to which the design professional will be assigned.

The University of California aims to promote the inclusion and participation of Small Business Enterprises (SBEs) and Disabled Veteran Business Enterprises (DVBEs) in design, professional services, and construction contracts for design and construction projects. UC campuses shall make a good-faith effort to facilitate the participation of SBE and DVBE firms in competition for this work, thereby fostering an inclusive business community that supports their growth and success. In conjunction with the 25% SBE/DVBE goal set for the procurement of products and services, the President of the University and Regents established a 25% spending goal for SBE and DVBE participation in design and construction contracts by 2025.

Under the terms of federal or state funding for certain design and construction work, the University may be required to take special action regarding awards to small, diverse and disadvantaged business enterprises. All such action shall comply with applicable current state and federal law. In compliance with state and federal law, federal- or state-funded contracts or grants, or UC policy, the University will continue to set goals and timetables for SBE and DVBE business enterprises; maintain statistics on utilization of such businesses; and will require certification. In addition, the University will continue to use outreach programs to assure equality of opportunity.

The University is required to produce statistics on its use of small, Disabled Veteran, diverse, and disadvantaged business enterprises annually. Each Facility will input data into the University’s designated contract compliance system to report spend data of capital projects or purchase orders, including the amount paid to vendors in the design and delivery of projects to a minimum of the second subcontractor and subconsultant tier.

The contract compliance system will serve to improve the tracking of Supplier participation in construction and procurement spend, focusing on the second and subsequent tiered contracts (subcontracts). Supplier-tracked spend can be characterized as, but is not limited to, the following: Professional Services, General Contractors, Sub-Contractors, Distributors, Manufacturers, and Service Providers.

Small Business Enterprise (SBE) is an independently owned and operated concern certified, or certifiable, as small business by the Federal Small Business Administration (SBA), see size standards by Standard Industrial Classification codes required by the Federal Acquisition Regulations, Section 19.102. The eligibility requirements for California contracting purposes are on the Department of General Services website. The University may rely on written representation by the vendors regarding their status.

Disabled Veteran Business Enterprise (DVBE) is a business that is at least 51% owned by one or more disabled veterans or, in the case of any publicly owned business, at least 51% of the stock of which is owned by such individuals and whose management and daily business operations are controlled by one or more of such individuals. A Disabled Veteran is a veteran of the military, naval, or air service of the United States with a service-connected disability who is a resident of the State of California.  To qualify as a veteran with a service-connected disability, the person must be currently declared by the United States Veterans Administration to be 10% or more disabled as a result of service in the armed forces.

Women-Owned Business Enterprise (WBE) is a business that is at least 51% owned by a woman or women who also control and operate it.  “Control” means exercising the power to make policy decisions.  “Operate” means being actively involved in the day-to-day management.

Disadvantaged Business Enterprise (DBE) is a business concern that is at least 51% owned by one or more socially and economically disadvantaged individuals or, in the case of any publicly owned business, at least 51% of the stock of which is owned by such individuals and whose management and daily business operations are controlled by one or more of such individuals.  Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as members of a group without regard to their individual qualities.  Economically disadvantaged individuals are those socially disadvantaged individuals whose ability to compete in the free private enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business area who are not socially disadvantaged.  Business owners who certify that they are members of named groups (Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Asian Indian Americans) are to be considered socially and economically disadvantaged.

University policy "Capital Improvement Program Management," on the use of design professionals states in part:

“University policy is to have design work for major capital improvement projects performed by design professionals unless an exception to have the work performed by Facility personnel is specifically approved by the Chancellor or Vice President Agriculture and Natural Resources.”

“Design of all other projects, including minor capital improvement projects, may be performed by Facility personnel, design professionals, or Facility personnel supplemented by consultants.  The Lawrence laboratories, because of laboratory requirements, may perform any design work with laboratory personnel.” 

In considering whether to approve an exception to allow Facility personnel to perform design work for a major capital improvement, the Chancellor or Vice President Agriculture and Natural Resources should consider the University requirement that design professionals carry substantial liability insurance.  When the University uses its employees to design projects, it does not have recourse to such insurance.  In the absence of a contract with a design professional, the University therefore assumes responsibility for the financial consequences of its employee designer’s negligence and other performance failures, such as non-timely production of design deliverables, non-compliance with applicable code, or failure to provide timely responses to inquiries from the contractor during construction.  Assumption of these risks and their potentially substantial financial consequences may not be appropriate for many University projects.

The PCC mandates certain procedures described in more detail in this section, covering the selection of, and contracting with, specified types of consultants, including design professionals. The following procedures for the selection of consultants apply to all capital improvement projects, including renovation projects, in which the University is involved in the selection of the consultant. The selection process for consultants varies with anticipated consultant contract sum and the type of consultant services. See PCC 10510.4 - 10510.9, “Contracts with Private Architects, Engineering, Environmental, Land Surveying and Construction Project Management Firms;” PCC 10515 – 10518, “Conflicts of Interest;” Flowchart: Consultant Selection for Services over $100,000; and Flowchart: Consultant Selection for Services up to $100,000. 

Facilities shall informally encourage firms that are interested in pursuing contracts with the University for the performance of Covered Services (defined below) and other project-related services to submit to each University location annually a statement of qualifications and performance data.  Contact information for firms submitting such statements of qualifications and performance data shall be maintained by each Facility as an applicant pool for use in accordance with Applicant Pool below.

When Advertising is Required. A Facility may advertise specially for consultants for any project, regardless of project cost.  However, advertising is mandatory for a consultant contract with a sum of fees plus reimbursables (hereinafter referred to as “Contract Sum”) reasonably anticipated to be over $100,000 for Covered Services.  Covered Services include:

• architectural, landscape architectural, engineering and land surveying services;
• environmental services performed in connection with project development and permit processing;
• construction project management services for management and supervision of work performed on University construction projects; and 
• real property development services in connection with the development of a developer-owned project on land owned or controlled by the University.

Advertising is also required for any contract for Covered Services, even if the Contract Sum is estimated to be below $100,000, if the type of project or the type of services required was not identified in the annual announcement placed by the University to solicit interested consultants to perform such services (the “Annual Announcement”).  Each year an applicant pool is created from firms responding to the Annual Announcement. If the firm is deemed qualified, it is added to the applicant pool. See Applicant Pool below.

Any advertisement is to include the following language to convey the University's policy to ensure equal opportunity in University contracting: "Every effort will be made to ensure that all persons have equal access to contracts and other business opportunities with the University within the limits imposed by law or University policy." To expedite the design process, a Facility may advertise for design professionals prior to (i) full budget approval or, (ii) approval to expend preliminary plans funds (“P” approval). However, a Facility cannot appoint an Executive Design Professional (“EDP”) or execute an Executive Design Professional Agreement (“EDPA”) prior to one of these two approvals.  The advertisement should cite the status of the project (e.g., if not yet approved, identify it as a “proposed” project and state that final selection and appointment is contingent upon project approval and funding).

Where to Advertise. Advertisements must be placed in:

1. The State Contracts Register, and 
2. In publications of the respective professional societies and organizations of persons that perform those services.

If the applicable professional societies and organizations do not maintain a statewide publication for this purpose, the Facility shall advertise on the Facility’s own website. If the Facility does not maintain a website for such a purpose, the advertisement shall be placed on the website maintained by Design and Construction Services, Capital Programs, UCOP. In addition to the above requirements, advertisements may be placed in other publications, including newspapers of general circulation. Advertisements must be posted at least two weeks prior to any deadline for the submittal of documents in response to such advertisements. If the consultant services can be performed by more than one type of covered consultant, the advertisement should be placed in the publication of each applicable society or organization that offers such services. The advertisement requesting qualifications must include:  

1. The type of consultant service required.
2. The title and a brief description of the project.
3. The project’s estimated construction cost and gross square footage, (if applicable).
4. The Facility name, directions for obtaining detailed submittal requirements, and contact information for questions.
5. The deadline (date and time) for receipt by Facility of detailed submittals. 
6. A statement that each candidate firm will be required to show evidence of its equal employment opportunity policy.

Each Facility must maintain a current list of consultants (Applicant Pool). The Applicant Pool will include all consultants that submitted current statements of qualification and performance data to the Facility, including those who submitted in response to the Annual Announcement. Once an Applicant Pool is established, it may be useful to subdivide it by specialized experience, qualifications, and production capability. 

For a consulting contract with a contract sum reasonably anticipated to be under $100,000, if the type of project and the type of services required were identified in the Annual Announcement, the Facility administrator with delegated authority to approve the selection of construction-related consultant services (“Responsible Administrator”) may select a consultant from the Applicant Pool and/or from any other source the Responsible Administrator may wish to use. The Facility must preclude favoritism in the selection process and ensure compliance with the University Policy to Ensure Equal Opportunity in Business Contracting.  For consultant services in excess of $100,000 but not included in the Covered Services, see Consultant Services Not Covered by PCC below.

Sheltered SBE/DVBE Applicant Pool for Consulting Contracts Under $100,000.
Sheltered SBE/DVBE Applicant Pool is a program whereby a portion of contracts is designated, before solicitation of qualifications or proposals, for submission from SBEs and/or DVBEs. The goal of sheltered selection is to provide greater opportunities for such business enterprises in UC capital programs. 

Campuses will set aside contracts on which they will utilize a Sheltered Applicant Pool on Professional Contracts. For Professional Consultants, this will apply to selected Contracts under $100,000. SBE and DVBE Consultants can qualify to be part of the Sheltered Applicant pool by replying to the annual announcement and submitting a Consultants Profile Form. Contracts awarded under the Sheltered Applicant Pool program require 51% of the work to be performed by an SBE or DVBE.  SBE/DVBEs complete and submit UC’s Confirmation of Certification form within five (5) days of notification of selection. This performance requirement will be verified on the Report of Subconsultant Information form submitted by the successful proposer. This will again be confirmed against the Final Distribution of Contract Dollars form submitted with project closeout material. Campuses will have the discretion to seek additional qualifications or proposals from non-SBE/DVBE entities if the bid is not successful, including if the proposals do not meet the project budget, and to re-solicit the services as unsheltered.  

The Screening Committee shall be composed of one or more persons (including an appropriate staff design professional, if the consultant is a design professional.) All members of the Screening Committee must be familiar with either the technical requirements of the project or the level of professional competence that will be required of the consultant that is selected.

For consulting contracts with a Contract Sum reasonably anticipated to be over $100,000, the Screening Committee shall develop a list of at least three consultants who appear to be the most qualified to provide the services under consideration, selecting from the Applicant Pool and from those firms that responded to the project RFQ following its advertisement. The list shall be submitted for approval to the Responsible Administrator.  Once approved, the Responsible Administrator shall forward the list to the Selection Committee.

For a consulting contract for one or more of the Covered Services with a Contract Sum reasonably anticipated to be over $100,000, a Selection Committee must make its recommendations to the Responsible Administrator from the approved list prepared by the Screening Committee, with consultants added in accordance with Selection Process, below, if appropriate. The Selection Committee convened must have at least three members, including one member of the Screening Committee, and as many of the following interests, and in such numbers, as is deemed appropriate to the project under consideration: Facility faculty, students, and administrative staff. Members should be selected for their expertise and knowledge of the project requirements.

The Selection Committee must notify the candidate firms on the approved list that they are being considered for selection and that they must respond, in writing, to the Selection Criteria in the Qualification Packet. Each Facility is responsible for developing its own consultant Qualification Packet that includes appropriate Selection Criteria and a form of Statement of Qualifications. The Packet's forms must be designed to ensure that responses will provide sufficient information to allow an equitable assessment of the qualifications necessary for the services required. At a minimum, the Qualification Packet must include the following: 

1. Selection Criteria (Attachment A). This is a list of the criteria a Facility uses to review the qualifications of a consultant.
2. Statement of Qualifications (Attachment B). This form, to be completed by each consultant candidate firm, contains basic information about the firm wishing to do business with the University.

The Qualification Packet must require the consultant to disclose all work performed on any University project in the previous 5 years and whether any disputes, claims or litigation arose from such work.  The Facility may use the Consultant Experience Form (included in the Selection Criteria) for this purpose.  Any Facility considering hiring a consultant who discloses claims or litigation should contact UCOP and/or the project manager of the project on which such claims or litigation arose to discuss the underlying facts and circumstances.  If a Facility decides to hire a consultant involved in a claim or litigation with the University, such consultant shall be required to agree in writing not to introduce such new hiring as evidence in the pending claim or litigation.     

The Selection Committee must review the materials submitted by each consultant on the approved list and may request additional or more current information about a firm and its experience. The Selection Committee must review the qualifications of each consultant being considered on the basis of the Selection Criteria. The Selection Committee may add other consultants to the approved list with the concurrence of the Screening Committee and the Responsible Administrator. All such added consultants must respond to the Selection Criteria and be evaluated in the same manner as those consultants previously on the approved list. The Selection Committee shall conduct discussions with no fewer than three firms (provided that at least three qualified firms submitted their qualifications) regarding anticipated concepts, the relative utility of alternative methods of approach for furnishing the required services, and such other issues as may be appropriate. Interviews conducted with the consultants on the approved list satisfy the requirement for discussions. The discussions may be conducted as in-person interviews or may consist of an exchange of oral or written communications.  Based on the Responsible Administrator's instructions, the Selection Committee shall present a recommended list of the firms with which it conducted discussions. The list will be in order of ranked qualifications based upon the Selection Criteria and will include no fewer than three of the firms deemed to be the most highly qualified to provide the services required. If the ranked list includes fewer than three firms, or if fewer than three firms submitted qualifications, then the referral must be accompanied by documentation showing the efforts used to generate submissions from additional firms. The Responsible Administrator will review and approve the recommended list or return the list to the Selection Committee with directions for further action.

Participating as a member of a Screening or Selection Committee shall constitute "making or participating in the making of a decision." Requirements governing such decision-making and financial conflict of interest are found in the University's Conflict of Interest Code and UC Finance Bulletin G-39, and shall be observed when acquiring consultant services. Specific prohibitions include rebates, kickbacks, or other unlawful considerations. University employees with a relationship to a person or business entity seeking a contract under these provisions are prohibited from participating in the selection process.

PCC 10515 et seq. prohibits a consultant who has provided services on a project from bidding for or being awarded another contract to perform related services for the same project. However, architectural, landscape architectural, engineering, environmental, land surveying, construction project management, or real property development services (defined in Advertising as Covered Services) may qualify for an exception to this ban.  The exception to the ban that the statute allows for the Covered Services only applies to the selection of consultants in accordance with the procedures described in this chapter.  Facilities must be careful to navigate the statutory requirements if they wish to qualify for such an exception.

As an example, a firm providing architectural services for bridging documents on a design/build delivery method project would be precluded from participating in the design/build team because the selection of a design/build team is governed by contractor selection statutes using a competitive bid process, not the quality-based consultant selection process described herein.  This same firm would not, however, be precluded from consideration in a separately advertised request for a complete project design, which has no construction competitive bid element. In either case, the Facility must follow the selection process described in this section Procedures for Consultant Selection and must comply with the notice requirements in Contract Negotiations and Appointments below. For questions regarding legal restrictions on consultant contracting, contact UCOP Design and Construction Services or your designated UCL Construction Counsel.

A Sheltered Applicant program is also available for Executive Design Professionals for contracts under $100,000. For the selection process and program rules, see Advertising. 

After providing notification to the firm ranked first on the Selection Committee's list ranking the top candidate firms, the Responsible Administrator or his or her designee shall provide written instructions for the negotiations that are to follow, including instructions to submit a cost proposal for the services required. These instructions shall provide the firm with the necessary information that shall allow the negotiations to proceed in an orderly fashion. If the Facility advertised the services required for additional components of the project but intends to enter into an initial agreement covering only the first phase or component, it must notify the consultant in writing that the negotiations will only address that first phase or component.  The Facility should provide an estimate of the time frame for commencing negotiations for any additional agreement covering the remaining services. See Avoiding Follow-On Contracts.

Negotiations should begin within 14 days after the successful firm has been notified of its selection or upon receipt of the cost proposal if such receipt occurs later. The consultant should be notified if additional time is necessary to begin negotiations. If the Facility estimates that it will be unable to commence negotiations within the required 14 days, it must notify the consultant in writing.

Should the Facility be unable to negotiate a satisfactory contract with the firm considered to be the most qualified, at a price the Facility determines to be fair and reasonable, negotiations with that firm should be formally terminated in writing. The Facility should then undertake negotiations with the second most qualified firm, subject to the same requirements and process described above. If the Facility is unable to negotiate a satisfactory contract with the second most qualified firm, the Facility should terminate negotiations and then undertake negotiations with the third most qualified firm.

Should the Facility be unable to negotiate a satisfactory contract with any of the selected firms, it should select additional firms from the pool considered by the Selection Committee, in order of their ranked qualification based upon the Selection Criteria and continue negotiations in accordance with the procedures herein until an agreement is reached.  If no agreement is reached with any of the applicants in the pool considered by the Selection Committee, then the selection process shall begin anew.

Guidelines for minimum insurance requirements can be found in the latest edition of Insurance Requirements/Certificates of Insurance (UC Finance Bulletin, BUS-63, Exhibit D).  Levels of insurance are established based on the degree of risk and the extent of the University’s exposure in the event of a loss. The insurance limit requirements in BUS-63 Exhibit D are intended as guidelines to assist Facility Risk Managers, in conjunction with Responsible Administrators, to set appropriate limits for each project, once risk has been identified and evaluated.  For this reason, it is essential that contract administrators and project managers consult Facility Risk Managers in setting insurance limits.  

Upon the completion of negotiations and confirmation of appropriate insurance coverage, the Facility and the consultant shall proceed to execute an agreement. The agreement shall be provided to the consultant by the Facility within 45 days after negotiations have been concluded. If the Facility estimates that it will be unable to complete the agreement within the required 45 days, it shall notify the consultant. If the consultant fails to execute the Agreement within fourteen days of receipt or withdraws from the process, then the Facility may formally terminate the negotiations with that consultant and undertake negotiations with the second most qualified consultant.

For each consultant screening and selection process, the following must be preserved in the project file:

• Proof of publication for each public notice.
• The applicant list is prepared by the Screening Committee and approved by the Responsible Administrator.
• The consultant Qualification Packet.
• The names of Screening and Selection Committee members.
• The Selection Committee's list in order of ranked qualification based upon the Selection Criteria.
• A copy of the Responsible Administrator’s written instructions for negotiation.  
• A copy of each appointment letter, if applicable.
• The original executed agreement.

See the latest UC Finance Bulletins (RMP Series - Records Management and Privacy) and the current Records Retention and Disposition Schedules for information on retention of records.

The PCC  10510.4 - 10510.9 requires the University to utilize the specified selection and contracting procedures described above for contracts with consultants for Covered Services (as defined in 2.2.1, above). The PCC also exempts contracts that comply with these requirements from the follow-on contracting prohibitions of PCC 10515. The procedures in this Chapter are applicable to all consultants providing Covered Services on projects. Contact Design and Construction Services, UCOP if consultants need to be retained to provide other than Covered Services and for those whose services are not expected to exceed $100,000 in cost but were not included in the Annual Announcement. Consultant services that do not fall within the Covered Services and do not follow the procedures described in PCC,  10510.4 et seq., are not exempt from the application of the prohibition against specified contracting practices set forth in PCC 10515.  See Conflict of Interest above, for more information.

University procedures for design professional appointments apply to executive architects, executive landscape architects, and executive and consulting engineers (structural, civil, mechanical, and electrical). The authority and procedure for appointing executive design professionals (following the selection process described above) is described in Authority of Appoint Executive Design Professionals and Submitting a Request for an Executive Design Professional Appointment below. When the term "executive" is applied to design professionals, the term refers to the primary design professional on a project and the one responsible for the overall design.  An executive design professional shall be retained using an Executive Design Professional Agreement (EDPA) for all phases of project design, including schematic design.

Standing Orders of The Regents, 100.4(dd) provides: “Except as otherwise specifically provided in the Bylaws and Standing Orders, the President is authorized to execute on behalf of the Corporation all contracts and other documents necessary in the exercise of the President's duties.”  The authority delegated to the President in SO 100.4(dd) was redelegated in DA2629 for all projects with approved budgets on property owned by the Regents or on property which will be owned by the Regents upon completion of the project:

To the Executive Vice President-Chief Financial Officer who redelegated it to the Associate Vice President-Capital Programs, Energy and Sustainability; and to the Chancellors, Director-Lawrence Berkeley National Laboratory and the Vice President-Agriculture and Natural Resources for projects with a total individual project cost not exceeding $70,000,000, subject to design and design professional requirements set out herein. See Regents Policy 8103 on Capital Project Matters. 

A Facility requesting the appointment of an executive design professional for a project in excess of $70,000,000 must submit a letter to the UCOP, Director of Design and Construction, recommending the appointment of the executive design professional. The letter must include the following components:   

1. Project name, plant account number, and brief descriptive background; 
2. Campus contact for related information; 
3. Copy of the Request for Qualifications;
4. A brief description of the outreach, advertising and selection process related to the project, including the number of Statements of Qualification received and the number of firms shortlisted for interview;
5. Name and office location of recommended executive design professional; 
6. Copy of the recommended firm's completed Consultant Qualification Packet; 
7. The negotiated fee for basic services, the project construction cost, and the fee for basic services expressed as a percentage of construction cost (See Executive Design Professional Fee Guidelines available from Design and Construction Services, Capital Resources Management, UCOP);  
8. Comment on project conditions that justify any fee above the guideline amount;    
9. Description of any special considerations taken into account during the selection process. 

For all projects in excess of $70,000,000, the information required in this section must be approved in writing by the Chancellor or other Responsible Administrator with delegated authority under DA2629 as part of any request for appointment of an Executive Design Professional and execution of an Executive Design Professional Agreement. Approval of the recommendation is contingent on either full budget approval or “P” approval and adherence to University policies and guidelines for the selection of executive design professionals. If an exception to the University guidelines is being requested, the reasons for the exception must be stated in the recommendation letter and the appropriate background materials enclosed.

The University uses three standard types of design professional and professional service agreements for design, consulting, and construction management services: the Executive Design Professional Agreement, the Construction Management Agreement, and the Professional Services Agreement. Certain conditions must be met before design professional agreements are executed. The following conditions must be met before agreements are executed:

1. The design professional has been selected in accordance with the policies and guidelines described in this volume (see Consultant Selection), and the final selection has been approved.
2. Funds are budgeted and available for the portion of the contractual commitment that becomes effective upon the execution of the agreement.

UCL approves all contracts, agreements, and other legal documents relating to the business of the University as the “Corporation.” UCOP have issued the following pre-approved agreements for use by the Facilities:

1. Executive Design Professional Agreement between The Regents of the University of California and the Executive Design Professional (Executive Design Professional Agreement and Blanket Executive Design Professional Agreement)
2. Master Architect Agreement
3. Construction Management Agreement between The Regents of the University of California and the Construction Manager (Construction Management Agreement)
4. Professional Services Agreement between The Regents of the University of California and the Consultant (Professional Services Agreement)

Approved documents models for each type of agreement are located in the Online Repository of Approved Contract Templates.

If project conditions require a pre-approved agreement to be modified, use the modification instructions in this chapter, and the Cover Sheet and Instructions (see Cover Sheets and Instructions below) and the instructions in the body of the agreements for guidance. When a Facility proposes to use another agreement or to make any substantial changes to a pre-approved agreement, the proposed changes must be reviewed and approved by UCOP and UCL. Substantial changes are changes to “core” clauses such as definitions, arbitration, indemnification and insurance, limitations to liability, exclusions, and site observations or inspections. A Facility may modify clauses such as scope of work and additional services. Facilities should send a copy of the proposed revisions (or a newly proposed agreement) to UCOP and  UCL. Changes should be submitted in track changes format. Allow approximately three weeks for the review and approval of Facility proposals.

While this chapter provides some information on preparing the individual design professional documents, the Cover Sheets and Instructions in the Contract Templates (see Preapproved Agreements above) provide more detailed, step-by-step instructions on completing and modifying the documents. Each document model in the Contract Template is preceded by its own Cover Sheet and Instructions. Each Cover Sheet begins with a table indicating the following:

• The purpose of the document.
• Cross references to the Facilities Manual.
• A description of the document's contents.
• The information required for document completion.

Below the table are one, two, or three sections, as applicable: “Completion Instructions,” “Modifications and Additions,” and “Comments.”

Most individual documents contain self-explanatory text. Additional text within parentheses may provide completion information or indicate specific words or figures that are to be inserted. Delete informational text from the documents before they are issued.

The Executive Design Professional Agreement (or an approved version) is used to contract with executive architects, executive landscape architects, and executive and consulting engineers (structural, civil, mechanical, and electrical). The executive design professional is required to be licensed in the state of California.

The following terms are used for the principal entities in the Executive Design Professional
Agreement (including Blanket and CM at Risk):

• University
• University’s Representative
• University’s Designated Administrator
• Executive design professional
• Project architect or engineer (project manager)

University. The term “University” means The Regents of the University of California. The University initiates the project; secures funding for the planning, design, and construction; selects and contracts with the design professional, consultant, contractor, and other professionals, as applicable; and operates and maintains the completed project.

University's Representative. The term “University's Representative” shall mean the person or entity administering the construction contract for the University. The University must always have a University's Representative, who may be the design professional, a University employee, or another entity designated by the University.

University's Designated Administrator. The term “University Designated Administrator”
means the administrator who acts on behalf of the University with respect to the agreement.

Executive Architect (or Engineer). When the term “executive” is applied to design professionals, the term refers to the primary design professional on the project, licensed in the state of California, who is both liable and accountable for the overall project design. There may be other design professionals on the project, but they are not responsible for the overall design.

Project Architect (or Engineer). The term “project architect” or “project engineer” means the specific University-approved design professional named in the agreement as the design professional's designated principal or staff member in charge of providing all services required in the agreement.

The Construction Management Agreement (or an approved version) is used to contract with a licensed architect, registered engineer, or licensed general contractor for some or all the services similar to the following:

• Construction oversight,
• Project design review and evaluation,
• Construction mobilization and supervision,
• Bid evaluation,
• Project scheduling,
• Cost-benefit analysis,
• Claims review and negotiation, and/or
• General management and administration of a construction project.

The University uses two methods for contracting with a construction manager; when using the standard Construction Management Agreement, the construction manager does no construction work on the project and either performs services in support of the University’s Representative or acts as the University’s Representative. When the Construction Management Agreement is used for a CM/Multiple Prime Trade delivery method the Construction Manager acts as the University’s Representative. Do not use either agreement when the consultant is required to perform any construction work on the project. That contract must be competitively bid using the CM at Risk format.

When all other consultant services are required for planning, design, and construction projects, the Professional Services Agreement is used. Examples of this type of work include:

• Land surveys (including boundaries, topography, and utilities);
• Site and foundation investigation based on soils, geology, and hydrology for proposed facilities;
• Seismic studies for existing structures or special analysis of proposed structures;
• Soil samples testing (moisture content, soils type, expansion, bearing capacity);
• Scheduling;
• Planning;
• Programming;
• Model making, independent design review, and rendering;
• Environmental services;
• Construction site inspection of construction materials and laboratory testing of construction materials;
• Cost estimating; and
• Peer review.

The Professional Services Agreement is used as a “blanket agreement” to contract with a consultant for a specific period of time. When the Facility is ready to use the consultant's services, Exhibit A of the agreement, an Authorization to Perform Services is executed. Exhibit A specifies the services to be performed, the compensation, and the time frame in which the services will be performed. Other than making approved modifications, a Facility may not modify the Professional Services Agreement unless the UCL and UCOP have approved a Facility's proposed modifications to the agreement.

Building codes, standards, federal and state legislation, and federal, state, and local agency regulations affect University projects. The University is its own enforcement agency for all code requirements except those regarding fire code, access compliance, and medical facilities covered by the Office of Statewide Health Planning and Development. For these code requirements, University projects are subject to plan approval and enforcement authority by three state agencies.

The University is the Authority Having Jurisdiction (AHJ) for matters of code regulations on University projects. The University complies with the Title 24 California Building Standards Code, Parts 1-12 and all amendments (CBC). Each Facility acts as a "local jurisdiction" complete with its own Building Official and local administered code compliance program (similar to building officials in city or county jurisdictions). The primary Building Official requirements are defined below.

All facilities owned, leased, designed, constructed, altered, or renovated with intent, or future intent, to support the mission of the University are under the jurisdiction and responsibility of the University and local Facility administration. Each Facility shall have a code compliance program to design, approve, construct, alter, renovate, inspect, and maintain its facilities in accordance with all applicable codes and regulations, and University policies. Codes and regulations include the California Building Standards Code as adopted by the University, any applicable federal, state, and local agency regulations and legislation, and any more restrictive University standards so long as such standards are not in conflict with applicable law. The code compliance program applies to all activities at the above-described facilities that are subject to building codes and other related regulatory compliance, regardless of funding source, party overseeing construction, or the ownership status of the improvements.

This chapter describes codes and regulations that typically apply to University projects, although some projects may have additional special requirements. The Designated Campus Building Official, Lead Designated Campus Fire Marshal, Environmental Health & Safety office, and the funding agency should be consulted to determine whether other codes and regulations may apply. Some projects may require the University to duplicate or share authority with local, state, or federal jurisdictions.

When the University leases property to a separate entity and/or enters into ground leases or public-private partnership agreements, the University continues to act as the AHJ with enforcement authority consistent with the University's mission, policies, and obligations to state and federal law. Facilities must identify the Authority Having Jurisdiction in such agreements and contracts. For further information consult with UCOP, Real Estate Services & Strategies, and UCL. Each Facility’s program shall include an appointed Campus Building Official (CBO/A), Certified Building Official (CBO), Lead Designated Campus Fire Marshal (Lead DCFM), and Environmental Health & Safety Office. The program shall have effective processes for code and regulatory consultation, plan review, permitting, inspection and final acceptance in accordance with requirements of this volume.

Designated Campus Building Official, Campus Architect (DCBO). The DCBO is a University employee, appointed as the University professional responsible for administering the Facility’s architecture, engineering, and construction building program, including the enforcement of the CBC and related University policies. The DCBO is responsible for the administration and management of campus facility design, construction, renovation, and other Facility design and construction related obligations to support effective enforcement of the building program obligations. 

Additional obligations include, but are not limited to, compliance with applicable accessibility laws and policy, UC Seismic Safety Policy, Sustainable Practices Policy, adhering to the Long Range Development Plan the Physical Design Framework (and local Facility adopted policies and guidelines (e.g. Gender Inclusive Facilities). The DCBO may also receive delegated authority to procure and enter into contracts for design, construction, and related services. The DCBO shall be a licensed architect, registered professional engineer, licensed land surveyor, or certified industry professional with substantial expertise in, and understanding of, the architecture, engineering, and construction industry. DCBO is the University’s AHJ for the Facility.  The DCBO may delegate responsibilities to a Certified Building Official, or if meeting the CBC qualifications, the DCBO may satisfy the role of Certified Building Official.

Each Facility shall employ a qualified University employee as a CBO. The authority of the CBO may not be redelegated to any person or entity, regardless of their qualifications and/or expertise. The Certified Building Official shall establish procedures to perform the responsibilities and duties of "Building Official" defined in the CBC. The Certified Building Official enforces compliance with all applicable local, state, and federal regulations, by appropriate reviews and inspection as required therein.  Consistent with California Health and Safety Code, the CBO shall obtain certification from a recognized state, national, or international association within one year of hire. The CBO is responsible for ensuring that all construction projects comply with Title 24, including administering the functional building department, interpreting code requirements, and directing the code process.

CBOs enforce code compliance for all campus or campus-related projects. CBOs also ensure that fire and life safety requirements are reviewed by a Designated Campus Fire Marshal (DCFM), and that Disabled Access requirements are reviewed by the Division of the State Architect-Access Compliance (DSA-AC) when required. CBOs shall enforce HCAI's "licensed clinic" regulations referred to in the Building Code as "OSHPD 3."

CBOs issue building permits and work closely with the DCFM on the issuance of a Certificate of Occupancy, Beneficial Occupancy, and Temporary Occupancy in accordance with the contract documents and permit requirements, and after verification of code compliance and review by other officials, as appropriate. In the administration of these duties, the CBOs may use in-house staff or consultant plans examiners and construction inspectors. All plans examiners and construction inspectors must meet qualifications and requirements for either performing required inspections or for plan review to verify code compliance with the CBC. See RD -  State Agencies with Plan Approval Authority over University Projects. 

The University of California has formed a Board of Building Appeals (Board), which has authority to hear and decide appeals of orders, decisions, and determinations made by each Facility Certified Building Official (CBO) relative to the application and interpretation of the California Code of Regulations (CCR) and other pertinent laws or ordinances. See California Code of Civil Procedure Section 1094.5, California Code of Civil Procedure Section 1094.6, and RD - Board of Building Appeals (BOA) Application. 

The following sets forth the governing structure of the Board.  The Board has also developed specific rules of procedure that are not part of this Facilities Manual.  A copy of the Board’s procedural rules may be requested from the UCOP Director of Design and Construction.

1. Appointment and Terms

1. The Board of Building Appeals (Board) shall consist of seven standing members appointed by the UCOP Director of Design and Construction. These members may be members of the Campus Building Official Council (CBOC).
2. Board members shall serve up to a three-year term without compensation. A successor shall be appointed before the expiration of a Board member’s term.
3. Board members shall serve no more than three consecutive terms.
4. Board members shall be appointed so that the terms of not more than two members will expire in any year.
5. The Board shall elect a chairperson annually from among its members unless a chairperson is selected by the CBOC.
6.  Board members shall be qualified by experience and training to review matters pertaining to applicable building codes and regulations, design and construction of buildings, and fire protection. The Board may consist of the following design professionals or tradespersons experienced in:
   1. Civil Engineering 
   2. Structural Engineering
   3. Fire Protection Engineering
   4.  Architecture
   5. Electrical and/or Mechanical Engineering
   6. Accessibility
7. The Council of Campus Fire Marshal (CCFM) Liaison to the CBOC, the UCOP Design & Construction Liaison to CBOC, and one member of the UCL Construction Counsel shall be ex-officio members of the Board.
8. If a Board member is an employee of a Facility that is the subject of an appeal, such Board member shall be recused from the entire appeal proceeding.

2. Meetings

1. The Board shall meet as often as necessary for the transaction of its business but not less than once annually.
2. Five Board members shall constitute a quorum, with the affirmative vote of at least a majority of the quorum for any action.

3. Powers and Duties

1. The Board shall have the authority to hear and decide appeals of orders, decisions, or determinations made by the CBO relative to the application and interpretation of the CCR.
2. The Board shall not evaluate appeals that fall under the principal jurisdiction of the Lead Designated Campus Fire Marshal (LDCFM), or the Office of the State Fire Marshal (SFM). In the event the Board is unclear whether an appeal should be referred to the appropriate Fire Marshal (FM), the Chairperson shall, within seven (7) calendar days of receiving the appeal, contact the appropriate FM to resolve the issue of jurisdiction. The CBO will be notified in writing of the FM decision within seven (7) calendar days.
3.  The Board shall approve requests for an alternative material, design, or method of construction where the Board finds that the proposed design is satisfactory and complies with the intent of the provisions of the code, and the material, method, or work offered is for the purpose intended, at least the equivalent of that prescribed in this code in quality, strength, effectiveness, fire resistance, durability, and safety.
4. The Board may recommend a new policy to UCOP.
5. The Board shall have no authority to waive requirements of the CCR. The Board shall adopt procedural rules and policies consistent with the law for the conduct of its business.

4. Appeals

1. Any person adversely affected by a determination made by the CBO in administering or enforcing the CCR may appeal the determination to the Board, by filing an application available in the RD.
2. An application for appeal shall be based on a claim that the true intent of the CCR or the rules legally adopted thereunder have been incorrectly interpreted, or the provisions of the CCR do not fully apply.
3. The appeal shall be filed with the Board no later than ten (10) calendar days after receipt of written notice of the CBO’s determination.  Failure to timely request an appeal constitutes a waiver of the hearing and a failure to exhaust administrative remedies.
4. The Board shall schedule a hearing to consider the appeal within ten (10) calendar days from receipt. The Board shall consider relevant evidence presented at the hearing and may also consult with non-Board experts to assist with rendering a decision.
5. The Board shall document all decisions and findings in writing.  The decision of the Board shall be issued within ten (10) calendar days of the hearing.   A copy of the decision shall be delivered to the applicant(s) personally or sent electronically with a duplicate copy to the CBO.  The date of service shall be considered the same day if delivered personally or electronically.
6. The decision of the Board in granting or denying an appeal shall become final on the date of service.  Any appeal of the decision must be filed by the appellant with a court of competent jurisdiction pursuant to California Code of Civil Procedure Sections 1094.5 and 1094.6, within thirty (30) calendar days of the decision, otherwise, all objections will have been waived. The filing of such appeal within such time limit shall stay the effective date of the decision of the Board.

The University of California has a Memorandum of Understanding (MOU) with the California Department of Forestry and Fire Protection (CAL FIRE) - Office of the State Fire Marshal (OSFM). Through this MOU, the OSFM delegates responsibility for compliance with fire and life safety regulation to Lead Designated Campus Fire Marshals (Lead DCFM) for all University campuses and properties administered or occupied by the University. Each Facility must appoint one University employee as the Lead DCFM. Other qualified University employees may be appointed as DCFMs in support of the Lead DCFM. See Health and Safety Code, State of California, section 13146. The Lead DCFM is responsible for Title 19 and Title 24 responsibilities for fire and life safety and will coordinate with the appropriate OSFM Division Chief regarding various administrative matters, training, quality control, program evaluation, and technical guidance. The Lead DCFM is responsible for oversight of all DCFMs. The Lead DCFM manages and directs plan review, permitting, construction observation, occupancy, and uses related to the fire and life safety at all facilities owned and/or occupied by University students, faculty, staff, and personnel.

The UCOP administers the MOU and oversees the Designated Campus Fire Marshal Program. On behalf of a Facility, UCOP requests OSFM review and approval of DCFM candidates. In accordance with the MOU, OSFM must provide a final review and determination regarding the acceptability of the candidate’s qualifications for recognition as a DCFM or Lead DCFM. Facilities shall submit projects to the Designated Campus Fire Marshal in lieu of the Office of the State Fire Marshal. Designated Campus Fire Marshals also have the authority to perform "Existing Facility Inspections" and/or Title 19 Inspections.

A DCFM is the responsible enforcement authority for State Fire Marshal regulations, including granting "fire clearance" before a facility may be occupied. Pursuant to the MOU and Article IX, section 9, of the California Constitution, the DCFM also has authority to enforce more restrictive fire and life safety standards on behalf of the University, so long as such standards are not in conflict with applicable law.  Certified Building Officials work closely with the Designated Campus Fire Marshal, jointly issuing permits, Certificates of Occupancy, Beneficial Occupancy, and/or Temporary Occupancy in accordance with the contract documents, permit requirements, the requirements of this Facilities Manual, including verification of code compliance and review by other officials, as appropriate. See Occupancy and Ancillary Documents. 

References (and ancillary documents for authority of enforcement):

• RD -  State Agencies with Plan Approval Authority over University Projects
• Inspection Policy and Responsibility
• Taking Beneficial Occupancy 
  • RD - Inspectors' Daily Report
  • RD - Certificate of Beneficial Occupancy
  • RD -  Temporary Certificate of Occupancy
  • RD - Certificate of Occupancy 
•  Determining Substantial Completion 
  • RD - Substantial Completion and Contract Closeout Flowchart
• California Code of Regulations, Title 24, Part 2, Volume 1, Chapter 1, California Building Code 
  • Division I, Section 1.2
  • Division II, Section 104
  • Appendix A102 Employee Qualifications
•  Health and Safety Code, State of California, Sections 18949.25 - 18949.31 

Three state agencies have plan approval authority for code compliance for most University projects: Office of the State Fire Marshal (OSFM) via DCFM, Division of the State Architect- Access Compliance (DSA-AC) Department of Health Care Access and Information (HCAI). Construction documents and supporting data are submitted to these code enforcement agencies for final approval (see RD - State Agencies with Plan Approval Authority) as required. Agency reviews result in document approvals and the necessary permits for funding release (state-funded projects), bidding, and construction. Each Facility is responsible for meeting the code requirements of these agencies and obtaining the necessary project approvals from these agencies.

By agreement with the OSFM, the effective code compliance date for a University project is the date of the first submittal of Preliminary Drawings (at the end of the Design Development Phase) to the Designated Campus Fire Marshal (DCFM) and the Certified Building Official (CBO). The project must be designed, reviewed, and constructed to comply with the edition of the California Building Standards Code (CBC) and all applicable local, state, and federal agency codes and regulations in effect at the time of the first submittal. In the event that Preliminary Drawings are not submitted to the DCFM, the date of submittal of the completed Construction Documents to the DCFM shall be the effective code compliance date. If requested by the Facility, and if approved by both the Certified Building Official and the Designated Campus Fire Marshal, the newest code edition may be used during the 180-day period prior to the effective date of the new code.

Exception for medical projects: acute care hospital projects, skilled nursing facilities, or intermediate care facilities subject to Department of Health Care Access and Information (HCAI) jurisdiction shall be designed to the latest edition of the California Building Code in effect at the time of filing an application for a permit with HCAI's office. Verify with your Lead DCFM. Refer to Division of State Architect, Access Compliance for further information on HCAI Lead DCFM.

All Facility design and construction projects must comply with all applicable state building code requirements and all applicable local, state, and federal agency regulations. Several other titles of the California Code of Regulations (CCR) apply to different aspects of University projects. These titles may include operational or construction provisions. Use of these titles depends on the type of project. They include, but are not limited to, the following:

• California Code of Regulations, Title 8, Industrial Relations (contains requirements for elevators, Cal/OSHA, Construction Safety Orders, and hazardous substances such as asbestos and carcinogens).
• California Code of Regulations, Title 13, Motor Vehicles. - Hazardous Materials Transportation.
• California Code of Regulations, Title 14, Natural Resources.
• California Code of Regulations, Title 17, Public Health - Radiation Safety.
• California Code of Regulations, Title 19, Public Safety (outlines the Office of the State Fire Marshal authority and regulations).
• California Code of Regulations, Title 20, Public Utilities and Energy.
• California Code of Regulations, Title 21, Public Works.
• California Code of Regulations, Title 23, Waters (contains compliance information for water handling and treatment, Underground Storage Tank Regulations, Storm Water Program sets development standards on landscape, paving, roofing and other impervious surface changes).
• California Code of Regulations, Title 24, California Building Standards Codes. 
• California Code of Regulations, Title 25, Housing and Community Development. – Modular Buildings (trailers).
• California Code of Regulations, Title 26, Toxics.
• California Code of Regulations, Title 27, Environmental Protection.
• PCC Division 2. General Provisions Part 1. Administrative Provisions Chapter 3. Formation [3000 - 3505] 

The University has adopted the California Code of Regulations, Title 24, California Building Standards Code, for code compliance. Some codes are based on nationally recognized model codes, while others are California's codes. California adds its requirements, called "amendments," to the model codes. Codes also reference national standards developed by organizations such as the National Fire Protection Association (NFPA), the American Society of Civil Engineers (ASCE), etc. 

The University uses the energy efficiency requirements of Title 24, Part 6, California Energy Code, for its projects. The University Sustainable Practices Policy requires Green Building design and clean energy standards. Responsible design professionals, as selected by the Facility, are required to submit specific certification (as required by the California Energy Code) to the Building Official for inclusion in the permanent project record documents file. Copies of the Title 24 compliance forms for both residential and nonresidential construction are available from the California Energy Commission and the Blueprint Newsletter of the California Energy Commission/Energy Efficiency Division's Efficiency Standards Office.

Updates to the 2022 Title 24 Energy Code include solar and battery storage requirements for new building construction.  Based on the unique site characteristics of many UC campuses, RD - Energy Code Updates Solar and Storage Requirements established alternative means for complying with the requirements that allow for campus-wide solar and battery storage systems.

The University is responsible for enforcing compliance with the California accessibility standards. For University projects funded in whole or in part with state funds, the Division of the State Architect (DSA-AC) has plan approval authority for disabled access code compliance. For University projects with no state funding, the Facility may elect to use a Certified Access Specialist (CASp) for plan review in lieu of the DSA-AC. Each Facility is also responsible for compliance with the Americans with Disabilities Act (ADA). DSA-AC does not review for ADA compliance. Furthermore, State and local officials do not have the authority to enforce the ADA on behalf of the Federal government. (See ADA and ADA Certification of State Accessibility Requirements.)

HCAI performs plan reviews and construction inspection of hospital and acute health care facilities including Acute Care Hospitals, Acute Psychiatric Hospitals, and Skilled Nursing Facilities (excluding certain licensed clinics). 

The Alfred E. Alquist Hospital Facilities Seismic Safety Act (HSSA) passed in 1973, ensures robust construction standards for health care facilities. The HSSA established HCAI. HCAI is the Authority Having Jurisdiction for construction and renovations of health care facilities including Acute Care Hospitals, Acute Psychiatric Hospitals, and Skilled Nursing Facilities (excluding certain licensed clinics). These requirements are located in Title 24, of the California Code of Regulations. HCAI′s responsibilities for code compliance are carried out by its Facilities Development Division (FDD). Some of FDD’s responsibilities include: establishing building standards, plan review, seismic compliance, post-earthquake evaluations, and construction observations. 

The University has a Memorandum of Understanding (MOU) with HCAI. The MOU authorizes qualified DCFMs to act as HCAI Fire Life and Safety Officers (FLSO) on behalf of the FDD. A University HCAI Lead DCFM manages and directs health facility plan review and construction observation related to the fire and life safety at the University's medical centers. HCAI will serve as the building official for architectural, electrical, mechanical, and structural systems and coordinate with the HCAI Compliance Officer and District Structural Engineer to conduct construction observation along with the HCAI Lead DCFM.

Any University project within the boundary of the coastal zone shall be reviewed and approved by the California Coastal Commission.

The Elevator Unit of the Division of Industrial Safety and Health reviews the construction or alteration of elevators. Cal/OSHA-ES requirements are in Title 8, Elevator Safety Orders and other applicable code sections. 

The Buy Clean California Act (BCCA) states the Department of General Services (DGS) is required to establish and publish the maximum acceptable Global Warming Potential (GWP) for specified eligible materials incorporated into eligible projects.  The BCCA targets carbon emissions associated with the production of eligible materials as defined by the code section. These materials must have a GWP that does not exceed the limits set by DGS. The BCCA defers to the awarding authority to define eligible projects.   

The University has determined that eligible projects are all construction contracts awarded on or after July 1, 2022, and valued at $1,000,000 or more.  For these eligible projects the contractor shall not install any eligible materials on the project until the contractor submits a manufacturing facility-specific Environmental Product Declaration (EPD) for that material that meets the GWP requirements.  The BCCA allows for certain exemptions (PCC 3503[e]).   Further information can be found in Bidding and Construction Administration.

All Facilities owned, leased, designed, constructed, altered, or renovated with intent or future intent to support the mission of the University are under the jurisdiction and responsibility of the University and delegated Facility administration. Some rare exceptions may apply. Consult with UCL for exceptions. Both Facility and local fire departments shall review a Facility's emergency access plans. The local agency may analyze road location, configuration, turning radius, width, and location of fire hydrants.

With the exception of emergency access plans, local jurisdictions typically neither review nor approve University Projects, but a Facility may want or need to consult with local jurisdictions in many circumstances, particularly with respect to utilities. Considerations include system impacts, access and right-of-way, easements, utility consumption, and conditions for service.  Also, some local fire departments may have delegated authority from the State Fire Marshal for fire and life safety issues.  For queries, contact the Lead DCFM.  Other common authorities include:

• Water districts
• Sewer (sanitary) districts (may have enforcement authority for wastewater control)
• Electrical power companies
• Natural gas companies
• Telephone companies

When the University leases property to a separate entity, and/or enters into privatized agreements, the University typically continues to act as the Authority Having Jurisdiction (AHJ) with enforcement authority consistent with University policies and obligations to State and Federal Law. Facilities must identify the AHJ in such agreements and contracts. For further information, contact UCL or UCOP.

Facilities are subject to both the federal and state Clean Air Acts, which are implemented through regional air quality management districts. Each air quality management district's regulations depend upon its clean air plan to address air quality in that district. Each Facility is responsible for meeting the requirements of these districts as they relate to capital improvement projects. See the California Local Air District Directory and consult with Facility Environmental Health and Safety offices for additional information regarding district regulations which may apply to the project.  It is essential that the Facility Environmental Health and Safety Office be contacted to determine all such district regulations that apply to a project.

California Code of Regulations Title 23 Waters.  Title 23 established a Storm Water Program setting development standards on all landscape, paving or roofing changes where the original size is increased by 2,500 square feet or more in area for treating stormwater runoff under the Phase II MS4 Permit (Municipal Separate Storm Sewer Systems). The Phase II MS4 Permit requires the following items for each construction project to be deemed complete for State Water Resource Board reporting: 

• Certification Statement from Engineer of record that treatment devices meet MS4 requirements,
• Inspector of Record approval of installation,
• Submittal to the University of Operations and Maintenance Manual for any and all stormwater devices.

Projects should include these requirements in the contract documents as needed. 

Project sites greater than one acre are also obligated to file for the Construction General Permit (CGP) in the California State Water Resources Control Board's Storm Water Multiple Application and Report Tracking System (SMARTS) database. (See California State Water Resources Control Board website). Projects that are designing or adding industrial, commercial facilities, or shipping and warehouse operations may be subject to the State Water Board Industrial General Permit. The SMARTS database provides a platform where dischargers, regulators, and the public can enter, manage, and view stormwater data including permit registration documents, compliance, and monitoring data associated with California’s Storm Water General Permits.

Both the Phase II MS4 Permit and Construction General Permit require treatment of stormwater runoff when adding or modifying more than 2,500 square feet of impervious surfaces, including roofing and paving area. Common examples of stormwater treatment include bioswales, landscaping, rain collection/cisterns, tree planting, green roofs, etc. Projects must document these changes using the California State Water Resources Control Board’s Post Water Balance Calculator or by similar means. Each Facility maintains requirements for Best Management Practices (BMP's).  Consult with the campus EH&S Office and review the Division One specification.

Each Facility must review the Long-Range Development Plan (LRDP) requirements and compare it to MS4 regulations when designing for stormwater treatment. The MS4 permit also requires the Facility to develop legal enforcement standards, which may have some direct involvement and impact to construction and development sites. Engagements with Facility Environmental, Health and Safety offices, agencies, and the public may include various levels of notices, violations, and fines.  Consult with campus planning for further assistance with the LRDP.

Facilities are subject to the Americans with Disabilities Act, the Clean Air Act, the Clean Water Act, the Resource Conservation and Recovery Act, and the regulations pertaining to underground storage tanks. Specific projects may also be subject to numerous other Federal regulations not listed here. It is essential that the Facility Environmental Health and Safety Office be contacted to determine all such regulations that apply to any project.

Each Facility is responsible for compliance with current ADA requirements. The Americans with Disabilities Act became law on July 26, 1990. This civil rights law prohibits discrimination against any "qualified individual with a disability." Title II, Subpart A, applies to the University:

"No qualified individual with a disability shall, by reason of such disability, be excluded from participation in or be denied the benefits of the services, programs, or activities of a public entity or be subjected to discrimination by any such entity." See ADA Title II.

On July 15, 2016, the Department of Justice revised the ADA Title II and Title III regulations to implement the ADA Amendments Act of 2008 that further clarified a public accommodation to provide auxiliary aids and services for people with disabilities effective January 17, 2017. The University is also required to comply with the accessibility requirements found in California law in Part 2 of the California Building Code.

The Clean Air Act (CAA) regulates stationary and mobile sources of air pollutants through National Ambient Air Quality Standards (NAAQS) and National Emission Standards of Hazardous Air Pollutants (NESHAPs). Major sources of air emissions include combustion equipment, process units, material storage areas, and mobile vehicle fleets.

Title V Operating Permits Program. Title V is a permitting program for all major sources of regulated air pollutants. The definition of a major source depends on a particular air district. Generally, a major source is one that has the potential to emit more than 100 tons per year (tpy) of any criteria pollutant or 10 tpy of any hazardous air pollutant (HAP) or 25 tpy of HAPs in the aggregate. Boiler emissions have placed several facilities into the Title V program. Each local air district administers the Title V Permit Program. For further information, contact the Facility Environmental Health and Safety office.

Protection of Stratospheric Ozone; Refrigerant Recycling. These regulations under the CAA establish a recycling program for ozone-depleting refrigerants recovered during the servicing and disposal of air-conditioning or refrigeration equipment.

Facilities Compliance Guidelines. The Facility is responsible for ensuring that equipment complies with the Clean Air Act requirements and for obtaining necessary permits.

Wastewater (40 CFR parts 122 and 403). In general, Facilities discharge campus wastewater into municipal sanitary sewer systems for off-site treatment at local wastewater treatment plants (WWTPs). As "indirect dischargers," Facilities are governed by local wastewater pretreatment standards administered through industrial wastewater discharge permits issued to Facilities by local WWTPs. Local pretreatment standards vary widely depending upon the WWTP's capacity, condition, and effluent discharge limitations. 

Facilities Compliance Guidelines. The Facility is responsible for compliance with local wastewater pretreatment standards and permit limitations, including any monitoring and reporting requirements.

Stormwater ("Industrial" facilities [40 CFR Part 122]). Under Phase I stormwater regulations, which are designed to control "non-point source" pollution from stormwater runoff, certain discrete facilities may be required to obtain NPDES stormwater discharge permits. These facilities include landfills, wastewater treatment plants, steam electric power generating facilities (possibly co-gen plants), and Facility bus maintenance facilities. Permit conditions include preparing a site-specific stormwater pollution prevention plan, and monitoring and recordkeeping requirements.

Facilities Compliance Guidelines. The Facility is responsible for obtaining discrete "industrial facility" stormwater discharge permits and complying with all permit conditions and requirements, including preparation of a Stormwater Pollution Prevention Plan (SWPPP) for discrete facilities.

Stormwater (Construction sites >1 acre in size [40 CFR Parts 122-124]). Phase II stormwater regulations require that all Facility construction sites greater than one acre in size obtain a NPDES stormwater discharge permit. Permit conditions include preparing a site-specific stormwater pollution prevention plan, and monitoring and record keeping requirements.

Facilities Compliance Guidelines. The Facility is responsible for obtaining discrete construction site stormwater discharge permits (for all sites larger than one acre) and complying with all permit conditions and requirements including preparation of a Stormwater Pollution Prevention Plan (SWPPP) and implementation of appropriate sediment and erosion controls on each site.

Stormwater (Facility-wide [Phase II regulations 40 CFR Parts 122-124]). Phase II revisions to previous stormwater regulations require that all state Facilities obtain a stormwater discharge permit covering runoff from the entire Facility. Permit conditions include preparing a site-wide stormwater management plan, and monitoring and recordkeeping requirements.

Facilities Compliance Guidelines. The Facility is responsible for obtaining a Facility-wide stormwater discharge permit including those off-site facilities captured under the regulations. The Facility is responsible for complying with all permit conditions and requirements including preparation of a Facility-wide Stormwater Management Plan (SWMP) and implementation of selected Best Management Practices (BMPs).

Resource Conservation and Recovery Act. Resource Conservation and Recovery Act (RCRA) and its counterpart in the California hazardous waste control laws manage the generation, transportation, and disposal of hazardous waste from cradle to grave. Each Facility is regulated as a generator, typically because of chemical usage in laboratories. However, there are other Facility activities that generate hazardous waste such as: transformer oil, janitorial cleaning compounds, vehicle fluids, maintenance materials, print shop inks and dyes, and photography shop developing solutions. The hazardous waste generator permit program is administered by each county's Certified Unified Program Agency (CUPA) under a Memorandum of Agreement with the California Department of Toxic Substances Control. In addition, various federal state, and local regulations apply to the transport, storage, handling, and use of hazardous materials.

Regulations Pertaining to Underground Storage Tanks. Many petroleum products such as gasoline, diesel fuel, waste oil, heating oil, and vehicle fluids are often stored in underground tanks in order to comply with building and fire codes. Federal and state (pdf) regulations require that all steel underground fuel tanks must be fitted with secondary containment or both interior lining and cathodic protection; all tanks must have tank level monitors, an overfill prevention system, and a spill container; and all underground pressurized piping installed before January 1, 1984 must be retrofitted with secondary containment. The permitting of underground storage tanks is administered by each county's Certified Unified Program Agency (CUPA) under a Memorandum of Agreement with the State Regional Water Quality Control Boards.

Facilities Compliance Guidelines. Each Facility is responsible for compliance with federal and state requirements and obtaining the necessary permits.

This chapter sets out some, but not all, of the codes and regulations that might typically be applicable to a Facility project. This list is not exclusive. It is essential that project managers and planners contact the Designated Campus Building Official and the Facility Environmental Health and Safety office to determine all such codes and regulations that apply to any project.

University projects require review prior to their entering the formal approval process. Project items to be reviewed include design and cost, site, seismic safety, and environmental impact. Normally, program and funding approvals occur prior to site, design, and environmental approvals; occasionally, however, these approvals may occur concurrently. The review and approval processes described below apply to uncomplicated projects. Projects with multiple approvals require additional lead-time because of their complexity and to resolve any difficulties. In addition to these University approvals, various state, local, and University entities may require their own reviews and approvals for certain projects.

The University initiated independent design and cost review of building plans in 1985 in response to concerns about quality management of a rapidly growing Capital Improvement Program. University policy requires independent architectural design review and independent cost estimates of projects. Additionally, projects with a total budgeted cost, including administrative costs, of over $10 million are subject to Regents' design review and approval. See Capital Planning and Real Estate Approvals and University policy: "Independent Design and Cost Review of Building Plans.

Independent reviewers must be appropriately licensed, have no connection with the project being reviewed, and not be University employees (with the exception of qualified faculty members).

Design review format is left to the discretion of the Chancellor. However, the review is to be performed early in the preparation of design, at appropriate intervals during design, and at the time of design completion.

Cost review shall be made prior to the submittal of the project for Regents' design approval and shall be incorporated into the design presentation. Cost review should include lifecycle, maintenance, and ongoing regulatory compliance requirements.

Environmental documentation begins during project planning phases, when projects are classified by their probable impact and need for environmental documentation. A Facility must prepare environmental documentation for all projects. A project may fall within the general exemption, may be categorically exempt, or may require an Initial Study to determine the severity of its impacts. The Initial Study identifies areas of environmental concern and is used to assess whether potential impacts are significant and require the preparation of an Environmental Impact Report (EIR), or if not significant, a Negative Declaration is prepared instead (see RD -  Environmental Impact Classification Form). 

If potential impacts are significant, a full EIR is prepared, usually with the assistance of outside consultants; this process includes publication and public review of a draft EIR and a public hearing. The final EIR is then prepared, also with the assistance of outside consultants. The final EIR addresses all written comments and those raised at the public hearing during the review period. The final EIR also proposes measures designed to mitigate significant environmental impacts, as well as a program for monitoring the implementation of these mitigation measures. The environmental documentation must be reviewed and approved by the relevant decision maker, depending on delegated approval authority, prior to design approval (see Environmental Documentation).

The Seismic Safety Policy is a Presidential Policy. 

Guidance for UC Seismic Safety Policy implementation and compliance are provided in the RD - UC Seismic Program Guidelines.

Chancellors have been delegated the authority to approve the project sites that are in general accordance with an approved Long-Range Development Plan (LRDP). Sites that are not in accordance with the LRDP must be approved by The Regents Committee on Finance and Capital Strategies for project over $10 million (see Regents’ Design Approval). The President (re-delegated to Executive Vice President - UC Finance) is authorized to approve minor LRDP amendments limited to:

• Siting a building project of $10 million or less,
• Shifting less than 30,000 gross square feet of allocated building space, and/or
• Changing the land-use boundaries and designations for 4 acres or less of land (see DA 2629).

The Regents have delegated to the President the authority to approve project design with the following exceptions, which require design approval by the Committee on Finance and Capital Strategies:

1. Building projects with a total project cost more than $10 million, except when such projects consist of alterations or remodeling where the exterior of the building is not materially changed, buildings or facilities located on agricultural, engineering, or other field stations, and agricultural-related buildings or facilities located in agricultural areas of a campus.
2. Capital improvement projects of any construction cost when, in the judgment of the President, a project merits review and approval by The Regents because of budget matters, fundraising activities, environmental impacts, community concerns, or other reasons.

The President has delegated to the Executive Vice President - UC Finance the authority to approve the design of projects with a total project cost over $10 million but under $20 million. Approval of the design of projects with a total cost of less than $10 million has been delegated to the Chancellors et al. for approval. See DA 2629. 

After the independent reviews (design, cost, and seismic) are completed, projects requiring Regents' approval or Executive Vice President's approval may be submitted. This process involves the preparation of an Action Item, the review of the project with UCOP, and a presentation to the Regents. UCOP is included in the Facility design review to provide an opportunity for University input on design content and review of Regents' policy. Procedures and guidelines for preparing and submitting Action Items are described below. 

Site, design, and environmental approvals may all be included in one Regents' Action Item. The general procedures for writing and submitting Regents' Action Items are handled by the Regents' Coordinators for UCOP. For more information about these procedures, contact UCOP.

1. Prerequisites. Projects lacking official project budget approval, design professional appointment, independent seismic and structural reviews, or proper environmental documentation will not be accepted for design review and approval. Projects requiring Regents' review are also required to have independent design & cost review completed. All prerequisites must be completed prior to submission of the Action Item. Coordinate all exceptions well in advance with UCOP.
2. Format. The format for preparing an Action Item can be found in the UCOP Capital Planning and is appropriate for most projects. Discuss exceptions with UCOP. A computer file containing the Action Item template and a template for the Project Statistics sheet (see below) is available from UCOP. An electronic file of the Draft Item is submitted to UCOP. The names and telephone numbers of the planner or project manager and the project manager's supervisor are provided on the item in the location on the right-hand block on the "Drafted" line.
3. Writing Style. The general strategy for writing Action Items is to be brief while including all important information. Remove extra phrases, adjectives, opinions, unrelated facts, and long explanations.
4. Statistical and Cost Data. Project Statistics sheet figures may be obtained from either the Project Planning Guide budget or the current project estimate; the chosen source must be noted on the sheet. If project estimate figures are used for the statistics sheet, budget figures must be submitted on a separate page.
5. Because The Regents often review comparable University project costs in detail, it is important to research costs early and to ensure that these are included in the draft Action Item submitted to UCOP.
6. Lead Time. Design and environmental items require a lengthy review. A draft of the Action Item is sent to UCOP approximately eight (8) weeks prior to the meeting of the Regents' Committee on Finance and Capital Strategies. UCOP reviews the design and environmental portions of a Regents' Action Item. UCOP circulates and reviews the design and environmental portions of the Action Item. The schedule for submitting Action Items to UCOP is distributed to the Facilities as part of the general preparation for Regents' meetings. Projects requiring only Executive Vice President's approval also require an Action Item. These should be prepared in the same manner and within the same schedule as a Regents' Action Item. See Guidelines for Preparing and Submitting Presidential Action Items.
7. OCEAN Tool. Regents items for New Construction or Major Renovations are required to submit a copy of the UC Operational Carbon and Energy Assessment for New Construction (OCEAN) tool with Regents items. The tool can be accessed via the UCOP Box folder by UC staff. Preliminary plans approval items should use the P-Phase Report and other items should use the Post P-Phase Report.

The Regents' Action Item states that The Regents have reviewed and considered the environmental document and have certified the EIR or adopted the Negative Declaration document as one of the actions. Within or as an attachment to the item, the Environmental Impact Summary provides the overview of the environmental review process and highlights any significant environmental issues. The Findings are a separate document, reviewed by UCL, which states in detail how each environmental issue was addressed.

The Facility sends copies of the final environmental documents to UCOP approximately two weeks before the Regents' meeting. These are distributed to The Regents and UCOP.

The design review process consists of a design review meeting with UCOP staff approximately two to three weeks before a more formal presentation to the Regents' Finance and Capital Strategies Committee.

UCOP participates in the Facility design review to provide an opportunity for University input on design content and review of Regents' policy. Informal reviews with UCOP Coordinator should be held while the project is in the early design phases. Three months in advance of the Regents' meeting date, UCOP must be notified that a capital improvement project with a total cost of over $10 million will be presented for Regents' approval. This schedule is also applicable for projects requiring Executive Vice President approval.

UCOP design review meeting is held approximately two to three weeks in advance of the meeting of the Regents' Finance and Capital Strategies Committee. Upon request, a project may be scheduled for design review at an earlier date. The meeting may be held via webinar and is attended by Facility staff, the Associate Vice President - Capital Programs, Energy, and Sustainability, and other Capital Programs, Energy, and Sustainability staff, as appropriate. Final presentation materials are not necessary for this meeting; "rough" drawings, a draft design presentation, and supporting data are acceptable. The draft Action Item (see Guidelines for Preparing and Submitting Regents’ Action Items) and project cost, schedule, and efficiency data must have been submitted previously.

The following materials should be presented at the meeting:

1. A site map or aerial photograph of the project area
2. Land-use plan of the long-range development plan
3. Site plan
4. Floor plans
5. Elevations on all sides
6. Major sections (if required to explain design)
7. Two renderings
8. A color and materials board
9. Regulatory requirements summary (during construction and ongoing maintenance)
10. Design analysis, life-cycle cost analyses, and other support data

The results of the design review meeting, which may include directives or changes, will be sent to the Facility. This is the only presentation of the project that must be made if the project requires Executive Vice President's approval.

The meeting of the Regents' Finance and Capital Strategies Committee is scheduled before the Regents' Board meeting. The meeting is normally held at the same location as the Regents Board meeting. However, the meeting location can change, and campuses are urged to coordinate with UCOP Design and Construction Services to verify meeting date, time, and location.

This meeting is a public meeting and must be attended by a quorum of the Committee, the Executive Vice President - UC Finance, and the Associate Vice President - Capital Programs, Energy, and Sustainability. The project is presented by senior Facility officials and staff, as appropriate. After a question-and-answer period, the Committee votes to approve the actions requested. If the project is approved, it may proceed into the next phase of development. Further action by the full Board is not necessary so long as the project does not require adoption of a Long Range Development Plan and the program and funding have been approved.

It is important that the Facility coordinate the presentation with UCOP well in advance of this meeting; UCOP can provide information on appropriate presentation styles and can determine whether supplemental information, such as budget data or project analysis, is required. In addition to the formal presentation materials, the Facility may arrange to have additional explanatory materials (such as extra slides) available to answer questions.

Design approval authority for projects over $10 million, but under $20 million, has been delegated by the President to the Executive Vice President - UC Finance (see DA 2629). Once a project has been developed to a sufficient level of detail (i.e., at the end of Schematic Design) and after all necessary campus design approvals have been obtained, a project may be submitted.

The guidelines for preparing and submitting Presidential Action Items are the same as for the preparation and submittal of Regents' Action Items. Projects require an independent seismic review, official project budget approval, appointment of a design professional, and proper environmental documentation. Although not required, it is recommended that projects also have independent design and cost review.

The guidelines for preparing the environmental documentation for Presidential Action Items are the same as for a Regents Action Item.

The Policy on Sustainability Practices establishes goals and requirements in 13 areas of sustainable practices, including green building. The policy sets energy-efficiency and LEED standards for new buildings as well as major renovations. Renovation projects that do not constitute a major renovation, as defined by the policy, with an estimated project cost above the annual California Construction Cost Index (CCCI) threshold also have sustainability requirements. The annual CCCI threshold is published each year on the Sustainability webpage.

Official project file records must be retained after a project has been completed. The contents of a project file are enumerated in Project File Contents.

This chapter provides guidance on records retention for University projects. Campuses are encouraged to check for updates regarding the Records Disposition Schedules Manual housed under the Information Technology Services department on UCOP website. Campuses must contact their campus Records Management Coordinators if they have additional questions. A list of records to be retained for Capital Projects, along with their retention time is available on the University Records Management Disposition Schedule, under Capital Resources Records.

The University retains official project file records for at least 10 years in case a defect is discovered after the project is completed. Certain records used for a structure's operation and maintenance and that are part of an environmental impact investigation and monitoring program must be retained until the Regents no longer own the building and its surrounding property. As-built drawings are vital records and there are special requirements for their protection. Asbestos removal and disposal records must be retained for 50 years.

The project manager must consider record retention when executing an agreement with the design professional. The design professional project records are maintained for a minimum of five years (preferably longer) after the project is completed. Records to be transferred to the University regarding operations and maintenance should be formatted to Facility requirements. Any special or high-risk portions of the project must be thoroughly documented and follow more stringent record retention requirements. Some projects may have very long term or other special records retention requirements based on the project funding source, including bonds and grants. Those requirements are set forth in the funding agreement.

During bidding and construction administration, the following items either issued by the Facility or received from the contractor should be placed in the Facility's project file. This list is not meant to be all-inclusive:

1. Bidding documents (as issued for bids)
2. Minutes of pre-bid conference
3. Prequalification or qualification data (if used)
4. Completed Bid Forms
5. Completed Bid Bonds
6. Bid Summary
7. Notice of Selection as Lowest Responsible Bidder 
   1. Contractor's Statement of Experience and Financial Condition
   2. Name and qualifications of superintendent
8. Contract documents (as executed) 
   1. Agreement
   2. General Conditions (in bidding documents)
   3. Supplementary Conditions (in bidding documents)
   4. Certificates of Insurance
   5. Payment Bond
   6. Performance Bond
   7. Specifications (in bidding documents)
   8. List of Drawings (in bidding documents)
   9. Drawings (filed separately)
   10. Addenda (in bidding documents)
   11. List of Subcontractors and List of Changes in Subcontractors Due to Alternates Contained in the Completed Bid Form
   12. Regulatory Obligations (including and not limited to geotechnical reports)
9. Contract documents (issued after execution) 
   1. Notice to Proceed
   2. Change orders
   3. Field orders
   4. Applications for Payment
   5. Escrow Agreement for Deposit of Securities in Lieu of Retention and Deposit of Retention
   6. Submittal schedule
   7. Executed waivers and release forms
   8. Cost proposals
   9. Notice of Completion
   10. Amendments to the contract
10. List of all subcontractors on the project
11. Contract schedules
12. Telephone conversation notes
13. Correspondence
14. Inspector's Daily Report
15. Quality control inspection reports
16. Minutes of project meetings
17. Shop drawings and product data
18. Material on product substitutions
19. Certificates for Payment
20. Claims (with supporting data)
21. Change requests
22. Photographs
23. Electronic files (in a format acceptable to the University's Representative)
24. Inspection video tapes
25. Certificates of Beneficial Occupancy
26. Certificate of Substantial Completion
27. Guarantees