University policy on new construction states in part: "It is the policy of the University to accomplish new construction of structures and systems by placing such work under contract in the most economical manner to qualified outside firms, carefully supervising the work thus contracted or, in unusual cases approved by the Chancellor, by hiring employees on a temporary basis for periods not in excess of six months." This chapter describes required modes of contracting, types of construction contracts, types of University construction documents, and the members of the construction team. See University policy: "Maintenance and Construction Work," and 

Construction Contracting Requirements Summary Table:

The PCC Section 10503 requires the University to use one of the following contracting modes for entering a construction contract:

• Complete plans and specifications (also called "lump-sum")
• Design build 
• Construction manager
• Cost-plus-fee
• Progressive Design Build
• Other modes (when approved by UCOP), including:
• Integrated Form of Agreement (IFOA)

The complete plans and specifications contracting mode (also called the "lump-sum" mode) requires complete plans and specifications setting forth directions in enough detail to enable a contractor to carry them out. The University's Long Form, Brief Form, and Mini Form construction documents (see Types of Construction Documents) have been written for the complete plans and specifications contracting mode.

In the design-build contracting mode, the University contracts with a single party that designs and builds the project (see Design-Build Contract Templates). Documents for the solicitation of bids under the design-and-build contracting mode include the following:

• A program setting forth the project scope and the size, type, and desired design character of the building and site.
• A set of performance specifications covering the quality of materials, equipment, and workmanship.
• A maximum acceptance cost.
• A method and grading system for evaluating contractor proposals on the basis of a preliminary design, outline specifications, a price, and the financial condition and relevant experience of the contractor and the contractor's design professional.

In the construction manager contracting mode, the University contracts with a firm that provides management services during design and bidding phases and assumes responsibility for the construction work (see Construction Management Agreement for CM Services with any Delivery Method Contract Templates). The construction manager serves as a member of the University’s construction team. Documents for the solicitation of bids under the construction manager contracting mode include the following:

1. Prequalification standards
2. Outline specifications
3. Schematic drawings

These documents must indicate the general scope of the project. They must also clearly designate those requirements upon which prequalified contractors will be invited to submit competitive bids that will, in turn, serve as the basis of selection. 

In the cost-plus-fee contracting mode, the contractor is reimbursed for the actual cost of labor and materials, plus an agreed upon fee for overhead and profit. Cost-plus-fee contracts are usually used for emergency work or for projects in which the scope of work is uncertain. Documents for the solicitation of bids under the cost-plus-fee contracting mode include the following:

1. Prequalification standards
2. Outline specifications
3. Schematic drawings

These documents must generally describe the scope of the work and a definition of "reimbursable costs" and "nonreimbursable costs." They must also designate the fees and other fixed costs upon which pre-qualified contractors will be invited to submit quotations that will, in turn, serve as the basis of selection. Construction documents developed for this mode are available from UCOP.

Bids may be solicited under contracting modes other than complete plans and specifications, design-and-build, construction manager, and cost-plus-fee that the University decides are in the best interest of the University. These other modes of contracting may not be used by Facilities unless approval is first obtained from UCOP.

The PCC requires that documents for the solicitation of bids under other contracting modes allow for uniform bid comparison and that the award be made according to published selection standards.

There are two primary types of construction contracts: single contracts and multiple prime contracts. Variations of these types of contracts involve the participation of a construction manager or project manager.

Single Contract. Plans and specifications are prepared by the design professional and become part of the bidding documents. A single contractor is then selected by the University to perform the work. The single contract is usually the easiest to administer because of its centralization of responsibility, namely, one owner (the University), one contractor, and one construction contract. The standard Long Form, Brief Form, and Mini Form construction documents in Part II have been prepared for those cases where a single contract is awarded.

Multiple Prime Contracts. The University divides a project into two or more parts and enters into a separate contract for each part. Multiple prime contracts are used for phased construction, where contracts are awarded sequentially for each phase (see Separate Contracts). This type of construction is also referred to as the "fast-track" method. Contracts for parts of the project including “make ready” work such as site development, site excavation, or foundation work are awarded before the contract for the main structural work is awarded. Multiple prime contracts require careful coordination because several contractors are involved, and no single contractor is responsible for the entire project.

Samples of customized construction documents developed for multiple contracts are available from UCOP Design and Construction Services.

Construction Management. Sometimes, a Construction Manager is contracted to do limited work on a project or to assume the responsibility for the construction work. Construction management may be used with either single or multiple prime construction contracts, and these contracts may be made with either the University or the construction manager. Contracts involving construction management may also include a guaranteed maximum price, whereby the construction manager guarantees that the construction cost will not exceed a specified amount. The guaranteed maximum price is subject to increase, however, if the project's scope or conditions are changed. Construction documents developed for construction management projects are available from UCOP Design and Construction Services.

Project Management. Project management extends beyond construction management in that it also may include oversight of the design and, planning stages of a project. Projects involving multiple buildings, significant site improvements in high-use areas, or complicated funding require the type of supervision and coordination that a Project Manager can provide. The added supervision and coordination provided by the project manager should reduce the time required to obtain funds and to design and construct the project. Documents developed for project management are available from UCOP Design and Construction Services.

The basic types of standard construction documents used by the University are:

• Long Form
• Brief Form
• Informal Form
• Mini Form
• Design Build Form
• Progressive Design Build Form
• CM at Risk Form
• Multiple Prime Form
• Job Order Contract Form
• Brief Design Build

The Long Form construction documents must be used by the University for projects with estimated contract sums of over 1 million dollars, and may be used for projects below that threshold. In general, the Long Form is organized according to the Construction Specifications Institute's Manual of Practice. The Long Form Instructions to Bidders and General Conditions are organized according to recognized construction industry standards and terms.

The Brief Form construction documents may be used by the University for projects with estimated contract sums up to $1 million. Some Brief Form documents are identical to those in the Long Form; other documents, such as the Brief Form General Conditions, are written specifically for the Brief Form.

The Informal Form construction documents may be used for Competitive Informally Bid Lump Sum Construction Projects that exceed $50,000, but that do not exceed $640,000.

The Mini Form construction documents may be used by the University for projects with estimated contract sums of up to $300,000. Like the Brief Form, the Mini Form uses some Long Form construction documents; however, most of the documents are written specifically for the Mini Form.

The Design Build Form is used by the University for projects constructed under the design build mode.

The Progressive Design Build Form is used by the University for projects constructed under the progressive design build mode. 

The CM at Risk Form is used by the University for projects constructed under the construction manager mode.

The Multiple Prime Form is used by the University for projects constructed by multiple prime trade contractors.

The Job Order Contract (JOC) is used by the University for on-call contractors for efficient delivery of relatively small construction and maintenance projects. A JOC is a contract for a fixed term or maximum dollar value, whichever occurs first, in which a contractor is selected based on a competitive bid to perform various separate job orders in the future, during the life of the contract. Procurement for this type of contract must still follow the requirements of California Public Contract Code sections 10500-10506; it is a contract, not a purchase order. Failure to follow the Public Contract Code provisions can result in a void contract and/or criminal penalties.  Contract award is based on the bid adjustment factor which the contractor will multiply against “pre-priced” unit costs (compiled in a project task catalog) which is part of the contract.  The adjustment factor represents all of the contractor’s costs (indirect and direct) and profit not included in the pre-priced unit costs. The adjustment factor is updated annually based on the Construction Cost Index published for the closest location.

1. Use of JOC

   The JOC scope is exclusive to the contractor. Job order contracts are typically used for well-defined, recurring or repetitive work where quick execution is essential, not for single projects.  Using the JOC should not be an option among other options in deciding how to deliver a specific improvement.  The decision about whether or not to use the JOC for a particular type of improvement project should be made when the JOC is issued, and it should be clear from the JOC scope whether or not the JOC must be used (or cannot be used) for a specific improvement.  The most important decision in administering the JOC is therefore the drafting of the scope.  Consult with Office of the President, Design and Construction Policy and Office of the General Counsel when drafting the scope.

2. Types of Work

   JOC is an appropriate delivery method for any type of repetitive work, especially small renovation jobs.  It allows for a longer relationship with the selected contractor as various job orders issued under the contract are performed during the contract term.  Because the contractor has been selected and the unit price is fixed (by the project task catalog and the contractor’s adjustment factor), the JOC allows contractor input prior to design, which can expedite the work.

3. Coordination with Design

   JOC may be used in conjunction with UC’s Blanket EDPA. The Blanket EDPA retains a Design Professional for a specified type of work for a specified period of time. It is a flexible agreement and is similar to a PSA, in that work authorizations are issued for certain scopes of work. The design can be tailored to meet project stakeholder needs (Contractor, Client, Campus Building Official, Campus Fire Marshal, etc).

4. Due Diligence

   Prior to execution and approval of each job order issued under a JOC, the contractor’s estimates of unit quantities and any other items contributing to the price must be independently verified by the project manager. Following such verification, each job order shall be submitted by the project manager to the same individual with authority to approve change orders for approval and execution on behalf of the University.

5. Contract Terms
   • Duration 
     • The term of a JOC is one year, with two options to extend the term for one year each at the sole discretion of the University.  Each option may be exercised after the previous term has expired or the maximum dollar value for the term has been reached, whichever first occurs. The adjustment factor is updated annually, not necessarily at the start of each new option term.
   • Amount
     • Maximum values. The maximum value of each contract term is $5 million. The maximum value of any job order is $1.0 million.

     • Minimum values. The guaranteed minimum value of any contract is $25,000. The minimum value of any job order is at the discretion of the campus.  

        

6. Non-Prepriced Work 

   Non-Prepriced Work (work that is not reflected in the project task catalog) shall not exceed 10% of the total value of the job order.  The cost of non-prepriced work shall be based on the lowest of three (3) written quotes, copies of which shall be provided to the project manager.

7. Bonding, Insurance and Liquidated Damages
   • Bonding. Payment and performance bonds in the amount of Maximum Contract Value for the then-current Base or Option Term, at least one-half of which must be bonded initially, with the balance of the term to be bonded when the approved Job Orders reach 90% of the bonding limit then in effect.
   • Insurance. Builder’s Risk coverage based on the actual value of each job order.

   • Liquidated Damages. Amount to be determined in accordance with the FM. 

      

8. Implementation Service Providers

   Providers	The Gordian Group	Canon-FOS Simplebid™
   Systemwide Agreement	The University has entered into a systemwide agreement with The Gordian Group for services to be provided to each campus, at the campus’ discretion, for set fees.  No campus is required to work with The Gordian Group. Fees are the same for 5 years from 2025 - 2035.	The University has entered into a systemwide agreement with Canon-FOS Simplebid™ for services to be provided to each campus, at the campus’ discretion, for set fees.  No campus is required to work with Canon-FOS Simplebid™. Fees are the same for 2 years from 2025 - 2026.
   Services Provided	Development of a campus-specific project task catalog (which The Gordian Group calls the Construction Task Catalog® or CTC) and updates. Development of specifications that align with the CTC. Training for UC staff and contractors. Software implementing the CTC and updates. Program support as required by UC staff. Marketing and outreach to campus and contractor communities, including pre-bid seminar. Provides advice, but does not manage the contract or interpret contract provisions for UC staff.	Unlimited user enterprise license to the UC System and all contractors for the Simplebid™ software and unit price database. Pricing fee percentage includes all costs associated with the enterprise license for UC System users and contractors Ongoing maintenance and support. Initial platform setup for each campus. Facility Condition Assessment Services Assessment Management and Capital Planning Software services Asset Inventory and Tagging services Accessibility/ADA assessments iCost Modeling and Total Cost of Ownership services
   Fees	Payable by campus on issuance of job orders UC Campuses have two (2) fee options from which to select: Contractor Fee – Contractor to pay their own Client License fee of 1% of the Job Order Sum for every Job Order. UC Campus pays the posted Client License fee. Campus Fee – UC Covers all Client Licensing fees. Contractor pays none. The Client License fee for the contract year will be determined by the total volume of construction procured through the JOC program system-wide in the immediately preceding year, as determined by 1) the Fee option chosen and 2) the Annual Volume Discount Table. Client License fees schedule to be updated and published by UCOP while systemwide agreement is in effect. Client License fees for 2025-2035: Contractor (Split) Fee – Campus pays 1.66%; Contractor pays 1% Campus Fee – Campus pays all fees at 2.51%	Fees are payable on issuance of job orders. Fees are based on value of cumulative system-wide job orders issued. There is no Contractor fee; fees are only paid by University. Client License fees for Current Year: 2025-2026: Remains at a flat 2.0%

9. Alternative Providers or Self-Managed Program

   Any campus may choose to manage its JOC contracts in-house or to contract with a third party for such services.  The process for creation of a project task catalog should be reviewed with the Associate Director of Design and Construction Policy at the Office of the President before proceeding.

The Brief Design Build Contract is used by the University for projects constructed under the design-build mode for contracts not to exceed $5,000,000. Unlike traditional Design Build Design work and Construction work are not divided into phases.

The construction team for University projects consists of four principal entities:

1. University
2. Contractor
3. University's Representative
4. Design Professional

In certain cases, the University may also choose to contract with the following parties, which then become members of the construction team:

• Construction Manager
• Project Manager

University in the construction documents refers to The Regents of the University of California. In the Facilities Manual, the term "University" has been substituted for "The Regents of the University of California" wherever possible. The University initiates the project; secures funding for planning, design, and construction; selects and contracts with the contractor, design professional, and other professionals, as applicable; and operates and maintains the completed project.

Contractor refers to the person or firm responsible for performing the work and is identified as such in the Agreement. The contractor may use subcontractors, and the subcontractors may use sub-subcontractors to perform parts of the work. However, the Agreement is between the University and the contractor, and the contractor alone is responsible for completing the project.

University's Representative refers to the person or firm administering the construction contract for the University. The University must always have a University's Representative, who may be a University employee, or a qualified consultant. The University's Representative is selected according to project requirements.

Design professional is an architect or engineer (person or firm) qualified and duly licensed to perform architectural or engineering services under contract to or employed by the University. The design professional prepares and signs the construction documents and is eligible to serve as the University's Representative. In most instances, the design professional prepares and participates in the assemble of the bidding documents. The bidding documents consist of standard documents furnished by the University and construction documents including drawings and specifications developed by the design professional and their team. Each Facility must provide the design professional with Supplemental Requirements for preparing the construction documents. The Supplementary Requirements are incorporated into the Executive Agreement as Exhibit C (see Contract Templates - Design and Other Consultants).

Consultants. The design professional usually engages consultants as needed to provide the University with the services required in the Executive Agreement. Although the University approves the consultants, it does not have any contractual relationship with them.

The University may contract with a construction manager that provides input during the design phase and oversight and administration of the bidding and construction phases, or one that assumes responsibility only for the construction phase (see Types of Construction Contracts). In both cases, the construction manager becomes another member of the construction team. The University uses one of the following two methods for contracting a construction manager:

1. When the construction manager is a professional organization and assumes no responsibility for construction work on the project, a contract may be negotiated using the Construction Management Agreement (see Contract Templates - Design and Other Consultants).
2. When the construction manager is a contractor and assumes responsibility for construction work on the project, the contract must be competitively bid using the construction manager mode of contracting. 

The University may use University staff to serve as the project manager. On large, complicated projects, the University may contract with a project manager that oversees the design, contract administration, inspection, and some planning phases of a project. The project manager provides a professional service and the contract is negotiated. Project managers may serve as the University's Representative during the construction phase. A member of the construction team, the project manager does not assume responsibility for the construction work. 

The University uses the three methods listed below for determining, stating, and paying the contract sum:

1. Lump sum
2. Cost-plus-fee
3. Unit prices

Although the lump sum, cost-plus-fee, and unit prices methods may be used with all three types of construction documents, the standard documents do not contain provisions for the cost-plus-fee method, and additionally, the standard Brief Form does not accommodate unit prices. Combinations of these methods may be used on a single project or with a single mode of contracting (see Preparing Individual Construction Documents).

The most common method of determining and stating the contract sum is the lump sum method, in which a single amount is quoted for all the work. The contractor is paid the contract sum in one or more installments. With the lump sum method, the initial contract sum is determined during bidding. Using this method, if the amount bid is within the budget, the project proceeds; if the amount bid is over budget, rebidding or other steps must be taken to either augment the budget or bring the bid amount within the budget. In competitive bidding and informal bidding, lump sums are quoted by the bidders; negotiated contracting may be used when the estimated contract sum is less than $50,000, where a lump sum is negotiated between the University and the contractor.

When the cost-plus-fee method is used to determine the contract sum, the contractor is reimbursed for the actual cost of labor and materials and is paid a fee for overhead and profit (the fee may be a percentage of the labor and materials costs or a fixed amount). Cost-plus-fee contracts are usually used for emergency work or for projects in which the scope of work is uncertain. With this method, the contract sum is not fully determined until the work is completed (the initial contract sum is the amount of the fixed fee or the percentage due to contractor which will be converted to a dollar amount after completion of the work). In some cases, the University stipulates a guaranteed maximum sum that cannot be exceeded.

With some projects, portions of the extent of work cannot be fully determined, or the actual quantities of required items cannot be accurately calculated in advance. In these cases, bidders are requested to submit bids based on unit prices. Unit-price contracts subdivide the work or parts of the work into like items and state approximate quantities for each item. The bidders use these quantities in preparing their bids. The price per unit of measurement (unit price) is quoted for each item. Sums for the extended unit prices are not included in the initial contract sum. As the work is completed, actual quantities are measured, and the contractor is paid according to the contractor's quoted unit prices. The University pays only for the actual quantities of materials used. Unit prices may or may not be used as a basis for the award and with the intent must be explicitly stated and documented in the bid documents at the beginning of the bid period.

The construction documents serve as a means of obtaining bids from contractors and are used by contractors to obtain price quotes from subcontractors. The construction documents define the quantities and qualities of, and relationships among, all materials required to construct a project; they establish the contractual obligations for the University and the contractor, and they define the roles of the construction team members (see Construction Team). As the construction documents are a part of the legal construction contract, it is extremely important to produce complete and accurate documents. When the construction documents are complete, they are subject to regulatory code and legal reviews. Upon completion of reviews and approvals, the construction documents are used to solicit bids in accordance with the procedures described in Bidding and Construction Administration. See Construction Document Organization Table. 

Within the three types of standard University construction documents – the Long Form, the Brief Form, and the Mini Form – individual construction documents are carefully formatted and organized in several ways. Unless specified otherwise, the information in this chapter refers to Long Form construction documents. Additional background material on construction documents and construction contracts may be found in the following publications:

• The Construction Specifications Institute (Alexandria, VA), Manual of Practice.
• The American Institute of Architects (Washington, D.C.), Architect's Handbook of Professional Practice.
• Various publications of The Associated General Contractors of America (Washington, D.C.).

The Construction Specifications Institute's Manual of Practice states in part:

“Each [contract] requirement should be stated only one time and in the most logical location. Information in one document should not be repeated in any of the other documents. Each document has a specific purpose and should be used precisely for that purpose. This simplifies the retrieval of information and substantially reduces the possibility of conflicts and discrepancies. Everyone involved with a project benefits from this standardized approach to the placement of information within the construction documents.”

The construction documents provided in Construction Contract Templates have been drafted to reflect the requirements of the University and to meet the above requirements. To the extent feasible, each subject addressed in the construction documents has been stated in only one location, in accordance with the Engineers' Joint Contract Documents Committee's recommendations. Most construction documents contain articles, paragraphs, and subparagraphs. Each article title is numbered sequentially. Each article is subdivided into numbered paragraphs, e.g., 3.2, which means "Article 3, Paragraph 2." Each paragraph, in turn, is subdivided into numbered subparagraphs, which have no titles. Subparagraphs are referenced by number, e.g., 3.2.2, which means "Article 3, Paragraph 2, Subparagraph 2." The numbering system continues in this manner with each new level of subparagraph. See Manual of Practice, Construction Specifications Institute, Alexandria, VA; and "Uniform Location of Subject Matter and Information in Construction Documents," Engineers' Joint Contract Documents Committee, Document 1910-16, (published and issued jointly by the American Institute of Architects and the Construction Specifications Institute).

The following University construction documents are considered "core" documents and are not to be changed by the Facility:

• Instructions to Bidders
• General Conditions

These documents have been carefully prepared to coordinate and conform with the other construction documents. Additions to or modifications of the Instructions to Bidders and the General Conditions are made by adding articles to or modifying articles in, respectively, the Supplementary Instructions to Bidders or the Supplementary Conditions (see Construction Documents Review Procedures). Such additions or modifications require review and approval by UCOP Design and Construction Services and UCL before the documents are issued to bidders. The remaining construction documents are considered "non-core" documents and require completion by the Facility or the contractor. Completion may consist of filling in blanks, adding standard text, adding new text, or preparing the complete document (see Preparing Individual Construction Documents).

Contract Documents are the Advertisement For Bids, Instructions To Bidders, Supplementary Instructions to Bidders, Bid Form, this Agreement, General Conditions, Supplementary Conditions, Affirmative Action Program, Exhibits, Specifications, List of Drawings, Drawings, Addenda, Notice to Proceed, Change Orders, Notice of Completion and all other documents identified in this Agreement of which together form the contract between University and contractor for the work (the "contract"). The contract constitutes the complete agreement between University and contractor and supersedes any previous agreements or understandings.

The University uses many types of Construction Documents. When selecting the type of construction documents, the Facility must determine, at minimum, the following:

• Mode of contracting
• Type of construction contract 
• Method of determining the contract sum 
• Estimated contract sum 
• Method of contractor selection 

The Long Form, Brief Form, Informal Form, and Mini Form have been developed assuming the conditions listed below:

• The single contract type is used.
• The construction team consists of, at most, the Owner, the contractor, the Owner's Representative, and the design professional. 
• The stipulated-sum method of determining the contract sum is used.
• The complete plans and specifications contracting mode is used.

The Long Form, Brief Form, Informal Form and Mini Form have been approved for content by UCOP Design and Construction Services. If project conditions vary from those listed above, the construction documents must be modified. The use of more comprehensive construction document is encouraged whenever it is in the University's best interest to do so. For example, when the construction cost is less than 1 million dollars (thus qualifying for the Brief Form), but the work involves particularly complex time requirements, dangerous work, or special risks, it may be in the University's best interest to use the Long Form, where performance requirements are set forth in a more detailed manner.

The estimated contract sum is one of several factors that determine the selection of the type of construction documents to be used.

The general dollar limitations (based on the estimated contract sum) for using each type of construction documents are as follows:

• Long Form: no dollar limitation
• Mini Form: up to $300,000
• Informal Form: up to $640,000
• Brief Form: up to $1 million
• Brief Design Build: up to $5,000,000

When the estimated contract sum is less than $50,000, negotiated contracting may be used. For projects with estimated contract sums up to $300,000, the Mini Form may be used. When the estimated contract sum is not more than $640,000 informal competitive bidding may be used in conjunction with the Informal Form. The Brief Form may be used for projects with estimated contract sums up to $1 million dollars. The Brief Design Build may be used for projects with estimated contract sums of up to $5,000,000.The Long Form, or other approved documents, must be used for projects with estimated contract sums of $1 million or more.  When the estimated contract sum is over $640,000 formal competitive bidding is required. If a project has an estimated cost in excess of $640,000 and is divided into smaller sub-projects for contracting purposes, each sub-project must be formally competitively bid.

If the estimated contract cost is $640,000 or less, informal bidding may be used to solicit bids. However, if the lowest responsible bid received from an informal bidding solicitation is more than $640,000, the bid must not be accepted. The project must then be formally competitively bid, including but not limited to requirements for advertising, payment and performance bonds and a bid security requirement.

On projects funded in whole or in part by the federal government, the rules of the funding agency must be reviewed for contract document, competitive bidding, and public advertising requirements. Construction projects at the National Laboratories must comply with the management contracts between the Department of Energy and the UC. Policies and procedures governing competitive bidding and other construction requirements at the National Laboratories are found in the Laboratory Procurement Policy and Standard Practices Manual. This is published and maintained by the Laboratory Administration Office within UCOP. See Business and Finance Bulletin BUS 43 Part 2, Responsibility and Authority, paragraph I.A.7.

The purchase of material or equipment and its installation shall be handled as separate transactions when possible. If separate transactions are not possible after consideration of time, cost, and supplier requirements; the installation involves the erection, construction, alteration, repair, or improvement of any University structure; and the state of California requires a contractor to have an active, valid license in order to perform the work; then the procurement shall be processed according to procedures set forth in the University Facilities Manual with appropriate provisions included to govern the material or equipment being purchased. The language of BUS-43, Exhibit C, Appendix A, “Terms and Conditions of Purchase,” Article 9 must be set forth in its entirety in every University contract, purchase order and subagreement for the purchase of equipment, materials or supplies. See Regents Policy 5401: “Policy on Procurement of Foreign-made Equipment, Materials, or Supplies Produced by Forced, Convict, or Indentured Labor. ”

Certain rules apply to contractor selection described in Bidding and Construction Administration. 

This chapter describes the individual construction documents within the approved contract types and provides requirements for document preparation. After selecting the appropriate type of construction documents, use the information in this chapter along with the Cover Sheets and Instructions preceding each document in Part II to prepare the individual documents. The Long Form, Brief Form, Mini Form, CM at Risk Form, CM/Multiple Prime Form, Design Build Form, and Progressive Design Build Form have been approved for content by UCOP - Design and Construction Services and for form (legal matters) by UCL. If project conditions require a variation from the approved forms, the construction documents must be modified. Please note that all documents referenced below can be found within the Construction Contracts page for each contract Family. 

While this chapter provides some information on preparing the individual construction documents, the Cover Sheets and Instructions for each contract provide more detailed, step-by-step instructions on completing and modifying the documents. Each template for each type of construction document 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 document's applicability to a particular form of contract, e.g., Long Form.
• The type of information required for document completion.
• An indication whether the document's use is required or optional.

Below the table are two or three sections, as applicable: "Completion Instructions," "Modifications and Additions," and "Comments." The Modifications and Additions instructions are listed by subject, e.g., "Phased Construction," and often provide sample text. The subject categories in the Modifications and Additions section match those used in Modifying the Construction Documents.

Most individual construction documents contain self-explanatory text. Informational text within parentheses may provide completion information or indicate specific words or figures that are to be inserted. Informational text should be deleted from the documents before they are issued. Each document contains the following identification at the footer:

• Date of issue
• Revision number
• Page number
• Document title

Most construction contract documents are issued either electronically or as bound sets. Electronic copies that require a digital signature must be per the requirements of Digital Signatures.

Bid Bonds, payment bonds, and performance bonds cannot be issued in a digital format. The Notice of Completion requires notarization of the University's signature but does not require a signature by the contractor. Notarization of the contractor's signature or that of its surety is required in certain other documents. There is no University policy on charging a deposit when issuing sets of construction documents; this procedure should be determined locally as circumstances dictate.

The introductory pages of the construction documents identify the project and its location, inform bidders of the person or entity that prepared the bidding documents, and identify the bidding documents in a table of contents.

The Cover Page identifies the project by name and number and identifies the Facility undertaking the project. The bidding documents' issue date is also shown on the Cover Page.

The Certification page indicates who prepared the bidding documents and is signed and stamped by an architect or engineer registered in California.

The Table of Contents lists all documents included in the construction documents.

The Request for Bid is used only with the Mini Form for informal bidding (projects with estimated contract sums of up to $300,000). It is used to solicit bids from selected contractors, and specifies the place of bid submission, the bid deadline, the project name and number, and a description of the work.

The PCC 10502, requires The Regents to provide public notice of construction projects to bidders (see Consultant Selection and Soliciting Bids). The PCC requires the notice to state the time and place for receiving and opening sealed bids, to describe in general terms the work to be done, and to describe the bidding mode. The Advertisement for Bids meets these requirements. When using the Design Build Form, the comparable document is the Request for Proposals.

The Project Directory provides bidders with contact names, addresses, and telephone numbers of those affiliated with the project.

Bidding requirements explain the procedures that bidders must follow to prepare and submit responsive bids. 

The Instructions to Bidders is a core document and, therefore, may not be changed by the Facility. Additions to, or modifications of, the Instructions to Bidders are made in the Supplementary Instructions to Bidders. Together with the Supplementary Instructions to Bidders, the Instructions to Bidders explain the procedures that bidders must follow to prepare and submit responsive bids.

Bid Security. Long Form, Instructions to Bidders, stipulates that bid security in the form of either a Bid Bond or a certified check and in the amount of 10 percent of the lump-sum base bid must be submitted by the contractor along with the bid. Bid security serves as a guarantee of the difference between the amount of any defaulted bid and the larger amount for which the Facility may procure the work, up to the amount of the required bid security. The Regents have authorized the President to set requirements for Bid Bonds or other forms of bid security. The President has determined that projects informally bid following requirements of PCC 10504.5 et seq. and the FM, and with estimated contract sums of up to $640,000 do not require a Bid Bond.

Contractor's License. Long Form, Instructions to Bidders notifies the bidders of the California Contractor's State License Board requirements. By submitting a bid, each bidder represents that the licensing requirements of that board have been met. If there is doubt about the validity of a bidder's license or if a protest is made regarding a bidder's license, contact the Contractor's State License Board for a determination of whether the bidder's license is both current and appropriate for the work. The board will also rule on any disputes or protests regarding specialty contractors bidding on or performing prime contract work.

Irrevocable Bid Period. Any bid received for the erection, construction, alteration, repair, or improvement of any University structure, building, road, or other improvement shall be irrevocable for a period of days or such other period as the Facility may establish in its bidding documents. Long Form, Instructions to Bidders, establishes the 60-day period, which is to commence at the date and time specified for the opening of bids. The University may consent to a bid's withdrawal during the 60-day time period for an excusable mistake that meets the conditions listed in Modification or Withdrawal of Bids After the Bid Deadline. Should the University choose a different irrevocable bid period, the construction documents must be modified. 

The Supplementary Instructions to Bidders allow the Instructions to Bidders to remain an unchanged core document for each project. Additions to or modifications of the Instructions to Bidders are made in the Supplementary Instructions to Bidders. Together, these documents explain the procedures that bidders must follow to prepare and submit responsive bids.

Every construction contract over $50,000 shall contain in the Supplementary Instructions to Bidders the 1) daily rate of liquidated damages for each day of unexcused delay in achieving Substantial Completion and 2) a reduced rate of liquidated damages for each day of unexcused day in achieving Final Completion unless an exception is authorized in writing by UCOP. Such exceptions shall be granted only in extraordinary circumstances and only in the case of a unique project.

The Information Available to Bidders provides a list of such items as geotechnical data, and notice of other contracts being performed at or near the project site. This list is adapted by the Facility to suit the project. The Information Available to Bidders must include all documents available that indicate the information the University has concerning the physical conditions at the site. The bidder may rely on the description of such physical conditions. The Information Available to Bidders must also contain information from the UCOP Systemwide Procurement about any vendors with whom the University has negotiated favorable pricing agreements that may be appropriate suppliers of material for the project.

The Bid Form sets out the major conditions and undertakings of the contract, which the bidder acknowledges upon submitting the Bid Form. The bid, if accepted, is the basis of the Agreement.

Addenda. When addenda modify the Bid Form, the Bid Form must be reissued in its entirety in a manner that is able to be differentiated from the earlier issue. The revision or reissue date must be noted on each sheet of the revised Bid Form. 

List of Subcontractors and List of Changes in Subcontractors Due to Alternates. The requirements for listing subcontractors in the Bid Form are provided in the PCC 4100, which is also known as the Subletting and Subcontracting Fair Practices Act. Although the University is not specifically addressed in the act, The Regents follow these requirements. The Bid Form, Article 9.0, "List of Subcontractors," and Article 10.0, "List of Changes in Subcontractors Due to Alternates," are completed by the bidder when submitting a bid.

Unit Prices. When the design professional is uncertain about quantities required to complete the project, the base bid may contain some, or consist wholly of, unit-price items. Approximate quantities are stated in the Bid Form. Any lump-sum calculated only for bid comparison purposes is derived by multiplying the unit prices and the estimated quantities provided in the Bid Form. 

The Long Form, Instructions to Bidders, Article 5, and the Brief Form, Instructions to Bidders, Article 5, require that bid security be in the form of either a Bid Bond or a certified check. If a Bid Bond is submitted, the bidder must use the Bid Bond form, and an executed copy of the Bid Bond must accompany the completed Bid Form at the time the bid is submitted. Bid Bonds are not required for contracts with contract sums of less than $50,000. The amount of bid security shall not be less than 10 percent of the lump-sum base bid.

Contract documents are those construction documents containing legally enforceable requirements that become part of the contract when the Agreement is signed.

The Agreement is the controlling legal document in the contract documents; once it is signed (executed), it and all contract documents listed within it become legally binding to the University and the contractor. Blank spaces in the Agreement are initially left blank when the Agreement is issued as a bidding document. After the lowest responsive and responsible bidder has been selected, the Facility completes a portion of the Agreement and requests that the bidder complete the balance of the Agreement, sign it, and return it along with other documents and information. When the Facility determines that the signed Agreement and other documents are acceptable, the University signs the Agreement (executes the contract) and awards the contract to the bidder. 

Every construction contract over $50,000 shall contain a provision in the Agreement stipulating that for each day of unexcused delay in achieving Substantial Completion and for each day of unexcused delay in achieving Final Completion, the contractor shall pay as pay to The Regents, as liquidated damages, a specified sum of money to be deducted from any payments due or to become due to the contractor unless an exception is authorized in writing by UCOP. Such exceptions shall be granted only in extraordinary circumstances and only in the case of a unique project.

The General Conditions is a core document and, therefore, may not be changed by the Facility. Additions to, or modifications of, the General Conditions are made in the Supplementary Conditions after approval by UCOP. Together with the Supplementary Conditions, the General Conditions spell out in detail the terms and conditions of the contract. Every construction contract shall contain in the estimate of the number of rain days (by year or by month) that will prevent work on the critical path of the project.

Additions to, or modifications of, the General Conditions are made in the Supplementary Conditions by UCOP. Together, these documents spell out in detail the terms and conditions of the contract. 

The exhibits consist of various documents referenced in the General Conditions. A document is classified as an exhibit when its length or format would disrupt the flow of the General Conditions if it were included in the General Conditions. Exhibit numbers to be filled in by the Facility. These are the following Exhibits: 

1. Certificate of Insurance. The lowest responsible bidder is required by General Conditions and the Instructions to Bidders to submit proof of insurance on the Certificate of Insurance form. 
   •  The following insurance policies and coverages must be furnished by the contractor and made evident on the Certificate of Insurance:
   • Comprehensive or commercial form general liability insurance
   • Business automobile liability insurance
   • Workers' compensation and employer's liability insurance
2. Payment Bond. The University requires a Payment Bond covering the faithful performance of the contract, for all projects with estimated contract sums of $25,000 or more.
3. Performance Bond. The University requires a Performance Bond covering the payment of all contract obligations, on all contracts of $50,000 or more and on all projects valued at less than $50,000 when the Facility uses the Long Form or Brief Form contract. Performance Bonds are not required for Mini Form contracts valued at less than $50,000.
4. Application for Payment. The Application for Payment, which is prepared by the contractor, begins and ends the monthly payment process.
5. Selection of Retention Options. Contractor selects method for guaranteeing retention funds on the project.
6. Escrow Agreement for Deposit of Securities in Lieu of Retention and Deposit of Retention. The Escrow Agreement (Long Form only) is used after execution of the contract and at the contractor's option to allow the contractor to deposit securities with an escrow agent in lieu of retention or request that the University deposit retention directly with an escrow agent. 
7. Submittal Schedule. The Submittal Schedule, which shows the scheduled versus actual completion dates of submittal events, is completed by the contractor during the construction phase.  
8. Cost Proposal. The Cost Proposal is used to determine the cost of a proposed change order. If requested by the University, the Cost Proposal form must be used by the contractor.
9. Field Order. University may order work to be performed (including changes in the work) without invalidating the Contract by completing a Field Order. A Field Order may be issued by the University, does not require the agreement of the Contractor, and is valid with or without the signature of Contractor. 
10. Change Order. University may order changes in the work without invalidating the Contract by completing a Change Order. In special circumstances, Contractor may request a Change Order.
11. Small Business Reporting. These Exhibits are completed and submitted by Contractor to show information for all subcontractors including small and disadvantaged business enterprises. In addition, the Self-Certification Exhibit is completed and submitted by each subcontractor.
12. Claim Certifications. These Exhibits must be submitted by Contractor and Subcontractor, respectively, with a Claim.

The Specifications are written descriptions of the construction materials and processes required to complete the project. Along with the Drawings, the Specifications are prepared by the design professional for inclusion in the bidding documents. Division 1, General Requirements, is required for all projects. The remaining Divisions cover specific types of work and are included as applicable. Only Division 1 is included in the standard construction documents; sample Specifications sections for upper Divisions are not included. The provisions in the Specifications document must be consistent with the terms of the Agreement and the General Conditions. Specifications, Division 1, General Requirements, may expand on the requirements covered in the Agreement or the General Conditions; however, any conditions not covered in the General Conditions, or conditions that modify the General Conditions, should be placed in the Supplementary Conditions.

General administrative requirements and work-related provisions applying to all of the work should be placed in Specifications, Division 1. Do not repeat these requirements in other Specifications sections instead, reference the Division 1 Section. A discussion on preparing Specifications, Division 1, General Requirements, is provided in the Construction Specifications Institute's Manual of Practice. Any general requirement placed in a section of Specifications, upper Divisions, should apply only to the work of that section and should be an extension of the general requirements described in Specifications Division 1. Suggested wording for extending Division 1 provisions (in this case, for Section 01010) would be, "In addition to the requirements of Section 01010." Those portions of Specifications, Divisions 2 through 16, containing provisions that are unique to specific work, such as mechanical or electrical work, require particular care in their writing to prevent repetition, omissions, or conflict with the provisions in Division 1. Special coordination is required when, as is frequently the case, different offices prepare separate portions of the Specifications.

Code Requirements. General Conditions, Article 15, states that the contract is governed by California law, which includes the California Code of Regulations and the California Health and Safety Code. Although The Regents are not required to follow all titles of these two codes, The Regents generally follow these regulations as a matter of policy. The codes that the contractor is expected to comply with are listed in Specifications, Division 1, Section 01060, Regulatory Requirements. See Code Requirements for document modifications that are required when the contractor must comply with other code requirements.

Phased Construction. See Phased Construction and Multiple Liquidated Damages for modification procedures.

Contract Schedules. Text options for contract schedules in the Long Form and Brief Form are set forth in Specifications, Division 1, Contract Schedules. The Mini Form contract schedule text is standard, so text modifications are not required. The information provided in Section 01310 informs the contractor of the University's expectations during bidding, allowing the contractor to address these expectations in the contract schedule. The text options regard the type of schedule the Facility may require. The Facility may require the contractor to provide either a critical path method (CPM) schedule or a bar-chart schedule for both the preliminary contract schedule and the contract schedule. The following guidelines may be used in selecting the type of schedule:

1. Consult with the project manager.
2. Follow guidelines provided by the University's Designated Administrator.
3. Discuss the type of schedule with the University's Representative administering the contract.
4. If a CPM schedule is selected, confirm that the University's Representative has the required staff to administer and utilize the schedule.
5. A CPM schedule should be selected for projects that:
   • Require completion by a certain date.
   • Have multiple completion times for various portions of the work.
   • Have multiple bid packages.
   • Have a specified sequence of construction.
   • Have subsequent projects relying on the completion of the specified
     projects.
   • Require complicated scheduling.
6. In addition to CPM, a risk-based schedule (e.g. PERT) should be selected for projects that have significant uncertainty.

Any work activities that place constraints upon the contract schedule should be included in the scheduling requirements. Work activities that occur from time to time are presently listed in Division 1. Activities to be added to might include the following:

• Lead time for University-provided equipment.
• Portions of the project site or the building that will not be available to the contractor at all times.
• Limitations on access or project site storage.
• The presence of separate contractors within the limits of the work.
• Access to elevators or similar equipment.

The following are examples of milestone events that are to be listed in the Specifications:

• Dates of Beneficial Occupancy.
• Dates that certain portions of the project must be completed.
• A completion sequence.

Drawings are not itemized separately in the Agreement; instead, the Agreement includes the List of Drawings, which is a separate construction document. All Drawings must be included in the List of Drawings, and all Drawings listed there must be included in the construction documents.

The Drawings are the visual complement of the Specifications. The Specifications describe "what" while the Drawings show "how many" and "where." For example, the Specifications might describe the type of sheet metal to be used, while the Drawings show the placement of the sheet metal. In the event of a discrepancy between the Drawings and the Specifications, the Specifications govern. The Drawings are usually prepared by the design professional. The following are general guidelines for preparing the Drawings:

1. Distinguish between new and existing work.
2. Use general or specific but clear and concise notes to clarify the Drawings.
3. Clearly note revisions.
4. Clearly delineate alternates, if any.
5. Show the contract limits on the Drawings if the Specifications reference contract limits.
6. Do not include General Conditions or General Requirement items on the drawings.
7. Specified items shown on the drawings must be exactly the same as those listed in the Specifications.

Addenda are written text or drawings that modify or interpret the bidding documents including the Drawings and Specifications issued after the bidding documents have been issued to bidders, but before the opening of bids. 

Addenda That Modify the Bid Form. When addenda modify the Bid Form, the Bid Form must be reissued in its entirety, on paper of a different color. The revision or reissue date must be noted on each sheet of the revised Bid Form.

Addenda That Modify any of the Contract Documents. When addenda modify any
Contract Document other than extending the Bid Deadline.

The Notice to Proceed, issued after the contract has been executed, signals the start of construction. If the contractor is notified orally to commence work, the Notice to Proceed must be issued on the next workday, and the oral notification must be confirmed in the Notice to Proceed.

The Change Order form is required for making post-award contract modifications that change the scope of work, the contract sum, the contract time, or other contract terms.  

The Field Order form is a written instrument, issued by the University, describing a change in the work and estimated adjustments of the contract sum and contract time. A field order may be issued before all terms of the change are fully agreed to by the University and the contractor. 

The Notice of Completion establishes the completion of the work. There are three versions of the form (found in all contract families); only one must be completed. The Notice of Completion must also be filed at the County Recorder's Office. Note: If the work is not complete but contractor has ceased physical work for a period of at least 60 days, the campus may file a Notice of Cessation of Activities after consultation with UCL.

Requirements for modifying or adding to the University's standard construction documents are set forth in this chapter. Use the information in this chapter along with the Cover Sheets and Instructions preceding each document in Construction Contract templates to modify the individual documents. Only proposed changes to the core documents (General Conditions and Instructions to Bidders) should be sent for review to the UCL and Capital Programs at UCOP. Modifications of the approved construction documents might occur for the following reasons, each of which is described in this chapter:

• Construction documents are updated
• A contracting mode other than complete plans and specifications is used
• Special project applications exist
• Special project circumstances apply

The construction documents have been written to address the current requirements of typical University construction projects, both new construction and alterations. However, the University is committed to ongoing updates of its construction documents to meet changing needs resulting from matters such as government regulations, legislation, insurance, and user experience. UCOP receives and considers proposed document changes from Facilities; all changes for improvement will be made annually, unless changes are deemed urgent.

During the interim period between the publication of updates to the existing FM and the newly revised FM, Volumes 1-6, notifications of updates to the University's construction documents will be issued from UCOP to the Facilities via email. 

Choosing a contracting mode other than complete plans and specifications will require modification of the University's standard construction documents.

Since the standard construction documents have been written for single-contract projects using the complete plans and specifications contracting mode and a stipulated sum basis for payment, no changes are required for this mode of contracting.

The design-and-build contracting mode requires changes to the core and non-core documents listed below. For each document, the degree of changes required is also indicated. Samples of these documents are available from UCOP. UCOP is available to assist the Facility in developing the final documents.

Two types of contracts can be used with the construction manager contracting mode; both require changes to some core and non-core documents. Among the conditions that determine the type of contract are the following: 

• Multiple contracts
• Phased construction
• Cost-plus-fee contract sum
• Guaranteed maximum price

The changes required when construction management is provided by a consultant and when it is provided by a contractor are listed below. For each document listed, the degree of changes required is also indicated. Samples of these documents are available from UCOP. UCOP is available to assist the Facility in developing the final documents.

The cost-plus-fee contracting mode requires changes to the core and non-core documents listed below. For each document, the degree of changes required is also indicated. Samples of these documents are available from UCOP. UCOP is available to assist the Facility in developing the final documents.

Contracting modes—other than the complete plans and specifications, design-build, progressive design-build, construction management, and cost-plus-fee modes—have been used by the University. Construction documents for these other contracting modes are usually developed for a special project on a one-time-use basis. UCOP keeps a list of projects that have been accomplished using these customized contracting modes, along with a set of documents used for each. UCOP is available to assist the Facilities in developing customized construction documents when needed. Approval by the Regents is required before other contracting modes are used because permission for their use has not been delegated to the Facilities.

Special project applications, including special funding, may require changes to both core and non-core documents. Core documents are modified by adding articles to the Supplementary Instructions to Bidders or the Supplementary Conditions. UCOP must approve such modifications. UCOP is available to provide the assistance necessary to develop the construction documents. Special project applications should be determined early in the development of the project.

Recipients of federal agency grant funds must follow specific requirements if such funds are to be used to procure goods and services, including construction services, valued at $500,000 or more. Public Law 101-136, Section 623, also known as the Warner Amendment, enacts these requirements and reads as follows: 

Section 623. (a) No amount of any grant made by a federal agency shall be used to finance the acquisition of goods or services (including construction services) unless the recipient of the grant agrees, as a condition for the receipt of such a grant, to:

(1) announce in any solicitation for offers to procure such goods or services (including construction services) the amount of federal funds that will be used to finance the acquisition for which such offers are being solicited; and

(2) express the amount announced pursuant to paragraph (1) as being a percentage of the total costs of the planned acquisition.

(b) The requirements of subsection (a) shall not apply to a procurement for goods or services (including construction services) that has an aggregate value of less than $500,000. Public Law 101-136, Section 623.

For projects using federal grant funds, items (1) and (2) above must be satisfied by adding appropriate language to the Advertisement for Bids.

Special project circumstances (presented in this article alphabetically) may require modifications of both core documents and non-core documents. Detailed completion and modification instructions for the circumstances that follow are given on the Cover Sheet and Instructions that immediately precede each construction document model in Construction Contract templates.

An allowance is an amount established in the contract documents for inclusion in the contract sum to cover the cost of prescribed items not specified in detail, with the provision that any variation between this amount and the final cost, if higher or lower, of the prescribed items, will be made by change order to appropriately adjust the contract sum. Limit the use of allowances to designs, services, or construction elements—such as creative design, modeling, or sculptural work related to a project—that are not specifiable enough to allow competitive bidding or for a part of the work to be competitively bid after the award of the contract. If an allowance is to be made for parts of the work that will be competitively bid after the award of the contract, contact UCOP for the required text to be added to the construction documents. When allowances are used, the Bid Form and Specifications documents require modification. 

Ideally, the total bid price should cover the scope of a complete project without the need for alternate bids. However, if alternates are requested, they should be used with discretion, held to a minimum, carefully prepared to minimize bidder confusion, and coordinated with the Specifications and the Drawings. Two reasons for requesting alternate bid prices are:

1. To adjust the scope of the work so the contract sum will be within the budget.
2. To allow a decision to be made between two materials or methods of different values.

Alternates should be all deductive or all additive, as follows: 

1. Additive used to obtain the maximum work for the available budget. This method assumes that the total bid price received could be below the budget, and that the contract sum could be increased to match the budget figure through the execution of the alternates. However, this method may raise questions from the funding agencies about whether these additions increase the approved scope of work or embellish the project.
2. Deductive used as a means to bring the total bid price within the budget.

In addition, the presence of alternates may affect the selection of the lowest responsible bidder. When alternates are used, the Bid Form, Agreement, Specifications, and Drawings documents must be modified (the Mini Form does not utilize alternates). 

Post-Award Alternates. A post-award alternate is an alternate that is exercisable for a stipulated period from the bid deadline or from the date of contract award. This type of alternate is used when the possibility of attaining additional funds at a date after the bid deadline or contract award is known or highly probable. Since the alternate is not exercised until after award of the contract, it is not a basis for the award. The Bid Form and Agreement include the appropriate text to allow for post-award alternates. When post-award alternates are used, the Specifications must be modified (the Brief Form does not utilize alternates). 

When a project involves asbestos abatement, the Specifications document must be modified. 

In addition to assignments of responsibility to other parties that are developed during construction, assignments are occasionally made part of the bidding documents. This situation occurs when the University awards a separate contract for portions of the work, materials, or equipment before the complete project is bid, and later assigns that separate contract to the general contractor for the project. This procedure is a version of the "fast-track" project delivery method. The separate contract is awarded before the design is complete. This allows for early planning and the procurement of materials.

When assignments are used as described above, the bidding documents for both the separate contract and the general contract must be extensively revised. Modifications to documents for the separate contract inform the bidders that their contract will be assigned to a not-yet-selected general contractor. Modifications to documents for the general contract inform the general contract bidders of the complete, separate contract data.

When assignments are used, the Advertisement for Bids, Supplementary, Agreement, Instructions to Bidders, Specifications documents require modification.  Based on the type of Assignment Agreement used, one of the following new documents must be added:

• RD - Assignment of Work Agreement (Separate Contract and Completed Example) - Long Form 
• RD - Assignment of Materials or Equipment Agreement (Separate Contract) - Long Form 

When bidder prequalification is used, the Long Form Advertisement for Bids is replaced by the Advertisement for Contractor Prequalification which generally explains the prequalification process. The Advertisement for Contractor Prequalification informs bidders that prequalification documents (the Prequalification Questionnaire) will be issued to interested bidders, and that bidding documents will be issued only to prequalified bidders. A Prequalification Evaluation form is used by the Facility to evaluate the bidders. Additionally, when prequalification is used, the Supplementary Instructions to Bidders document must be modified (all documents mentioned above can be found on the Construction Contracts Templates page).

When bidder qualification is used, the Advertisement for Bids and Supplementary Instructions to Bidders documents must be modified. 

In addition to the codes listed in Specifications, Division 1, Section 01060, Regulatory Requirements, the contractor may be required to comply with additional applicable codes or standards. In these cases, modify Section 01060 to include the additional codes or standards.

The California Education Code, Section 92050 allows The Regents to provide for the payment of a bonus to the contractor for early completion of a project. The most practical use of a bonus is to reward the contractor for completing a project before a specified date rather than within the contract time. The specified date might be that required for dormitory occupancy or for opening another revenue-producing facility. When an early completion bonus is offered, the Supplementary Instructions to Bidders and Agreement documents must be modified. 

The construction sequence is usually the responsibility of the contractor and shown in the construction schedule, with approval by the University's Representative. When the Facility or the design professional requires a special construction sequence, the Specifications must be modified. 

Use of the Contractor's Statement of Experience and Financial Condition is optional with Long Form contracts, is not anticipated to be used with the Brief Form, and should not be used with the Mini Form. When the Contractor's Statement is used, it is submitted with the signed Agreement and other documents as required by the Notice of Selection as the Lowest Responsible Bidder, and the Supplementary Instruction to Bidders must be modified. 

Hospital projects, including new construction and renovations, follow specific procedures established by hospital administration and the Department of Health Care Access and Information (HCAI). HCAI is required by state law to enforce building standards related to hospital development. When the work involves new construction or remodeling for hospitals, the Supplementary Conditions and Specifications be modified. 

Incremental funding allows the University to enter a contract to have a facility built over a period of years for a fixed total price but limits the University's financial obligation at any one time to the amount of funds currently available and allotted to the contractor. Project funds that are not available when the project is bid become available during subsequent fiscal years or at some other intervals. With incremental funding, a project does not need to be separated into multiple contracts awarded in consecutive fiscal years. This approach may result in cost reductions during design, management, and construction, and it can often lead to shorter completion schedules. Incremental funding requires Regents' approval, as the authority to award projects exceeding appropriated funds has not been delegated by The Regents. When a Facility believes that the use of incremental funding may be advantageous, the procedures below should be followed: 

1. Determine the feasibility of incremental funding is. UCOP will help the Facility make this determination.
2. Determine if incremental funding provides advantages. 
3. Obtain Regents' approval to use incremental funding.
   1. Obtain a sample Regents' agenda item from UCOP.
   2. Draft and submit a Regents' agenda item to UCOP.
4. Revise construction documents for incremental funding. UCOP will supply sample documents.

The Facility may increase or decrease the irrevocable period from the initial 60 days. The minimum period would be determined as the time required to process the bidding documents and secure the required approvals. If a period other than 60 calendar days is used, the Supplementary Instruction to Bidders and Bid Form documents must be modified. 

General Conditions, Article 7, provides compensation to the contractor for compensable delays. To be entitled to an adjustment in the contract sum for a compensable delay, the contractor must follow the claims procedures in General Conditions, Articles 4 and 7. The amount of the daily rate of compensation provided on the Bid Form by the bidder is multiplied by an estimated number of days of compensable delay provided on the Bid Form by the University. That amount is then added to the total bid price to determine the lowest bidder. During performance of the contract, however, the actual number of days of compensable delay determined in accordance with the contract documents is multiplied by the amount of the daily rate of compensation listed in the Agreement to determine the total amount owed to contractor by the University for compensable delay.

Phased Construction. Phased construction may be used with a single-contract project where portions of the contract are completed as the construction proceeds. This type of construction is referred to at the University as "multiple completion times" and is used in situations where certain portions of the work must be completed before the whole project is completed because of special requirements. When phased construction is used, the following Advertisement for Bids, Supplementary Instructions to Bidders, Bid Form, Agreement, and Specifications documents must be modified. Appropriate milestones and work activities should be included in the Specifications to suit the project. Assistance in drafting document modifications may be obtained from UCL. 

Multiple Liquidated Damages. If portions of the work must be completed at different times (phased construction), multiple liquidated damages may be used to encourage the contractor to complete the work at the required times. When multiple liquidated damages are used, the Advertisement for Bids, Supplementary Instructions to Bidders, Bid Form, Agreement, Specifications documents must be modified. 

Occasionally a bidder may be asked to submit separate bids on two or more phases or parts of one project. The Facility may then award a contract to the lowest responsible bidder based on each separate bid or on the combined bid. This bidding method may be used when the budget for the total project combines separate fund sources, for example, federal funds for an addition to a building and non-federal funds for alterations to the same building. On federally assisted projects, award of the contract may be made to the lowest responsible bidder on the entire work even though this bidder may not be the lowest responsible bidder for the federally assisted portion of the project. However, federal funding will be limited to the lowest responsible bid received on the federally funded portion of the project. If separate bids and combined bids are used, the Advertisement for Bids, Supplementary Instructions to Bidders, Bid Form, Specifications, Drawings documents must be modified.  

Separate contracts may be used as multiple prime contracts to the University without assignment to a general contractor. When separate contracts are used, the Advertisement for Bids, Supplementary Instructions to Bidders, Agreement, and Specifications must be modified. See Long Form, General Conditions (see Part II).

Whenever site work requires the use of soil or subsurface investigation reports, logs of test borings, or all such geotechnical data as references for the contractor, must be provided in the Information Available to Bidders. The Information Available to Bidders disclaims all such geotechnical data; however, General Conditions, Concealed or Unknown Conditions, requires the University to assume responsibility for conditions that vary from the represented data.

When the Specifications and the Drawings use the term "soils engineer," or a synonymous term such as "geotechnical engineer" or "soil and foundation engineer," the Drawings should contain language that informs the contractor of the soils engineer's duties but does not describe the soils engineer's duties as being owed to the contractor.

When the Specifications and the Drawings use the term "soils engineer" or a synonymous term, the Specifications Quality Control document must be modified.  

Previously, a special clause in the Information Available to Bidders specified when specialty contractors could bid on a project. This clause is now obsolete, as license classifications and codes in the Advertisement for Bids, per the PCC 3300, serve the same purpose. 

When the work is anticipated to involve trenching or excavating five feet or more in depth, the Specifications document must be modified (see Labor Code, State of California, Sections 6705 and 6707).

When unit prices are used, the Supplementary Instructions to Bidders and Specifications documents must be modified. Unit prices are not provided for in the Mini Form. If unit prices are to be used in the Mini Form, use appropriate text from the Brief Form.

UCIP coverage applies to construction projects valued at $25 million or more (see Insurance and UCIP), and the following documents must be included in the solicitation package: 

1. General Conditions for UCIP Projects
2. Supplementary Conditions for UCIP Projects
3. Instructions to Bidders for UCIP Projects
   1. RFP Document for Design-Build UCIP Projects
4. Table of Contents
   1. UCIP Bid Document
   2. UCIP Exhibits
5. Exhibits for UCIP Projects:
   1. 1a UCIP Coverage Summary
   2. 1b UCIP Safety & Health Qualification Form
   3. 1c UCIP Insurance Manual
   4. 1d UCIP Safety Standards Manual

Contractors are sometimes required to share the same site because the contract limits are either adjacent to or near each other. The contractors may have to use the same access or even the same work area. General Conditions, Article 6, sets forth the University's rights and the contractor's responsibilities when a project involves multiple contractors working together on the same project site. When this situation occurs, the Specifications should describe the work of the separate contractors and how that work relates to the project. With this description, the contractor for each project in question can plan the work and better anticipate problems before they become major obstructions to the project's progress. When use of common site provisions must be made, the Specifications document must be modified. 

If any labor for all or a portion of a construction project will be provided by volunteers, all such volunteers must execute a form of RD -  Waiver of Liability, Assumption of Risk, and Indemnity Agreement. If the volunteer is a minor, the volunteer’s adult parent or guardian must also execute the form. An individual performing work qualifies as a volunteer only under the following circumstances:

1. The work is performed for civic, charitable or humanitarian reasons, without promise, expectation or receipt of any compensation for work performed.
2. The work is offered freely and without pressure or coercion, direct or implied, from an employer.
3. The individual performing services is not otherwise employed for compensation on the same project and is not employed by a contractor that is receiving payment for construction work performed on the same project.

If volunteer labor is contemplated on a project, contact construction counsel in UCL to discuss the unique facts of the situation before asking any volunteers to execute a Waiver of Liability and Assumption of Risk form.

Certain construction documents are subject to internal review and approval by various University units as well as external review and approval by state or federal agencies.

Bidding documents no longer require review by UCL unless changes are proposed to the Instructions to Bidders or to the General Conditions through use of Supplementary Instructions to Bidders or Supplementary Conditions.

The construction documents are usually reviewed by one or all of the following Facility units (or their equivalent) as applicable: facilities management, seismic safety, environmental health and safety, fire marshal, physical plant, telecommunications, energy committee, building advisory committee, crime prevention, campus and community planning, and others as applicable. The facilities management unit usually coordinates all reviews. The Facility's review of the Drawings and related documents is intended as a check to determine:

• If the work required to prepare the construction documents has been completed.
• If the design solution satisfies University programmatic needs.

Approval by the Facility of the plans, designs, and related documents does not relieve the design professional of responsibility for adequate design and compliance with applicable codes:

1. Facilities Management. The following reviews by the facilities management unit should be made during document development:
   1. Review of design professional submittals as required by the Executive Design Professional Agreement (see Contract Templates - Design and Other Consultants).
   2. Review of construction documents for continuity and conformance to the Facilities Manual models (see RD - Construction Documents Review Checklist, and RD - Errors Commonly Made in the Construction Documents).
   3. Coordination with UCOP - of the review of construction documents utilizing modes of contracting other than complete plans and specifications, design-and- build, construction management, and cost-plus-fee (see Document Changes Related to Contracting Mode).
2. Seismic Safety. The Facility's consulting structural engineer will review the documents for conformance to University policy on seismic safety.
3. Environmental Health and Safety. The Facility’s Environmental health and safety department will review the documents for conformance to University policy on environmental health and safety.
4. Fire Marshal. The Facility's Designated Campus Fire Marshal will review the documents for conformance to applicable fire protection regulations and accepted standards.
5. Physical Plant. Requirements for proper operation and maintenance of plant (see Volume 6: Plant Operations and Maintenance) will be reviewed by the physical plant unit.
6. Telecommunications. Usually, the Facility will have a master plan for telecommunications; the telecommunications unit will review the Drawings and the Specifications for conformance to that plan.
7. Energy Committee. The energy committee will review the documents for conformance to University policy on energy and water conservation and management.
8. Building Advisory Committee. Review by a Facility building advisory committee is usually performed during the project's schematic design phase.
9. Crime Prevention. The crime prevention unit will review the Drawings and other documents for conformance to building security and other requirements of the Facility crime prevention program.
10. Campus and Community Planning. Input by campus and community planning committees is usually obtained during the project's schematic design phase.

Changes to the Instructions to Bidders and General Conditions (the core documents) made by, respectively, Supplementary Instructions to Bidders and Supplementary Conditions require review and approval by UCOP Design and Construction Services and by UCL before these documents are issued to bidders. Submit the proposed changes either as Supplementary Conditions or Supplementary Instructions to Bidders in ”track changes” to expedite the review and comment period. All model documents contained within the Construction Contract Templates page have been approved by UCOP, Design and Construction Services for content and by UCL for legal form.

Review and approval of the completed construction documents by various external agencies, including the following, may be required to meet code requirements:

1. Division of the State Architect 
2. Office of the State Fire Marshal
3. Department of Health Care Access and Information (HCAI)
4. California Coastal Commission
5. Local air quality management districts
6. Other agencies involved with the project

The Facility arranges all meetings with these agencies and pays all necessary application fees.

Compliance procedures set forth in the California Code of Regulations Title 24, Part 1, California Building Standards Administrative Code require that plans for construction and alteration of state-funded projects be reviewed by the Division of the State Architect/Access Compliance and that the plans be certified to be in compliance to regulations regarding disabled access to public facilities, prior to contract award. Disabled access compliance of non-state funded projects is overseen by the Campus Building Official.

The Designated Campus Fire Marshal conducts plan review and construction inspection of University projects. Approval is required by the Office of the State Fire Marshal for compliance with public safety requirements. The University requires compliance with State Fire Marshal fire safety regulations. See Memorandum of Understanding with State Fire Marshal, May 28, 2025; California Code of Regulations, Title 19; California Code of Regulations, Title 24, Part 9, California Fire Code; California Code of Regulations, Title 24, Part 2, California Building Code.

HCAI Division of Facilities Development, reviews and approves all acute care, skilled nursing care, and hospital facility projects. “Licensed clinics” are reviewed and approved by the Campus Building Official. The Health and Safety Code requires HCAI to be responsible for the enforcement of building standards of hospital buildings, including the plan checking and the inspection of the design and details of the architectural, structural, mechanical and electrical systems, and the observation of construction. In some instances, this responsibility is delegated to approved individuals at specific locations. See Memorandum of Understanding with the Department of Health Care Access and Information (HCAI), June 30, 2025; California Code of Regulations, Title 24, Parts 1 and 2, California Building Standards Code; Health and Safety Code, State of California, Section 129675.

Projects located within the boundaries of the coastal zone require review and approval by the state's Coastal Commission. The approval process may take a significant amount of time and should be accounted for in the project schedule. 

If projects are within the boundaries of air quality management districts, the project must be reviewed and approved by the appropriate district.

National Laboratories. Construction projects at the National Laboratories must comply with the management contracts between the Department of Energy and the UC. Policies and procedures governing competitive bidding and other construction requirements at the National Laboratories are found in the Laboratory Procurement Policy and Standard Practices Manual. This is published and maintained by the UC National Laboratories within UCOP. See Business and Finance Bulletin BUS 43 Part 2, Responsibility and Authority, paragraph I.A.7

Other Federally or Privately Funded Projects. Most federal agencies and federal programs require, after receipt of bids, and upon determination by the University of its intention to award a contract, that such intention be referred to the funding agency for approval before contract award. The project manager should consult with the fund administrator regarding the requirements. 

In each case where a construction contract is proposed to be executed for a federal or privately  funded project (other than Department of Energy-funded), the Facility must first determine from the terms of the grant or funding agreement whether prior approval of intent to award is required. When prior approval is required, the Facility may be required to submit the following information to the funding agency:

1. Affidavit of advertising
2. Bid summary (certified by the Facility architect)
3. Copy of low bid
4. Copy of Bid Bond and power of attorney by surety
5. Letter of recommendation for award
6. Project budget

This chapter sets forth requirements and procedures for establishing the construction phase portion of a Project Quality Management Program. Quality requirements for construction projects are established first by The Regents, next by the President, and then by the Facilities. Quality is measured by conformance to requirements established by facilities management personnel. Project quality is ultimately appraised by the Facility. 

The goal of the construction phase of the Project Quality Management Program is to ensure that the construction of a project meets the quality requirements established by the Facility. To accomplish this goal, facilities management personnel must perform the following functions for the project team to ensure the desired quality of the constructed project:

• Establish requirements 
• Build teamwork 
• Supply resources 
• Evaluate performance 

During the construction phase the project team may consist of the following principal parties and their associates:

1. University
   • Client
   • University's Representative
   • Planning staff
   • Budgeting staff
   • Facilities management staff
   • Facility Fire Marshal
   • Campus Building Official
   • Facility police
   • Facility environmental, health, & safety staff
   • Project Manager (University employee)
   • Project Manager (outside professional)
   • Construction Manager (outside professional or University employee)
2. Design Professional
   • Executive design professional
   • Design professional's consultants
   • University design consultants
3. Constructors
   • Construction contractor
   • Subcontractors
   • Project representatives
   • Construction Manager (acting as contractor)

During the construction phase a Project Quality Management Program includes the following:

1. Quality management planning and implementing policies, procedures, and requirements.
2. Quality control ensures that work is being performed per project requirements and that work is being checked for compliance prior to its acceptance.
3. Quality assurance verifying that quality control tasks are being performed.
4. Continuous quality improvement continually pursuing improvement in the quality of the construction process.
5. Quality costs associated with redoing a construction item even when this increases the item's cost.

The first step in establishing the construction phase portion of the Project Quality Management Program is to formulate written requirements that specify the roles and responsibilities of project participants. The Facilities Manual establishes basic University requirements; additional requirements should be established by the respective Facility or by the project team through partnering.

A Project Quality Management Program should address both construction-related technical issues and people-related issues. Technical issues may involve checklists, inspections, interdisciplinary plan checks, various reviews, and value engineering when applicable. People-related issues include fostering commitment to the project, building teamwork, clarifying expectations, and establishing partnerships). Cooperation among project team members is recommended to begin early in the project process. 

In the context of the construction phase portion of a Project Quality Management Program, "partnering" means:

1. Defining expectations—of the University, the design professional, and the Contractor's project manager or construction manager.
2. Reviewing procedures—assuring that procedures reflect each project team member's understanding.
3. Conflicts—reviewing and modifying mechanisms set up early in the project for avoiding and resolving conflicts and for periodic process progress reviews.

The Facility should provide the budget, personnel, and time necessary to meet quality requirements for each project phase. This task is accomplished through decisions made by the Facility’s management staff.

Periodically during construction and upon completion of the construction phase, members of the project team should evaluate the team's performance as a whole. In evaluating a project for quality, the project team should:

1. Review expectations.
2. Identify problems.
3. Propose solutions to rectify problems.
4. Estimate additional resources needed.
5. Determine if the project cost or program needs refining.

The team evaluation will assess the team’s performance in accomplishing project quality goals by considering the team's:

1. Effectiveness in relation to established quality requirements.
2. Efficiency (staying within budget).
3. Timeliness (remaining on schedule).
4. Compliance with imposed constraints as stated in policies, procedures, and programs.
5. Teamwork.

Evaluations can be made by completing evaluation forms predesigned with questions and data entry requests developed on an objective basis.