University projects require review prior to their entering the formal approval process. Project items to be reviewed include design and cost, site, seismic safety, and environmental impact. Normally, program and funding approvals occur prior to site, design, and environmental approvals; occasionally, however, these approvals may occur concurrently. The review and approval processes described below apply to uncomplicated projects. Projects with multiple approvals require additional lead-time because of their complexity and to resolve any difficulties. In addition to these University approvals, various state, local, and University entities may require their own reviews and approvals for certain projects.
The University initiated independent design and cost review of building plans in 1985 in response to concerns about quality management of a rapidly growing Capital Improvement Program. University policy requires independent architectural design review and independent cost estimates of projects. Additionally, projects with a total budgeted cost, including administrative costs, of over $10 million are subject to Regents' design review and approval. See Capital Planning and Real Estate Approvals and University policy: "Independent Design and Cost Review of Building Plans.
Independent reviewers must be appropriately licensed, have no connection with the project being reviewed, and not be University employees (with the exception of qualified faculty members).
Design review format is left to the discretion of the Chancellor. However, the review is to be performed early in the preparation of design, at appropriate intervals during design, and at the time of design completion.
Cost review shall be made prior to the submittal of the project for Regents' design approval and shall be incorporated into the design presentation. Cost review should include lifecycle, maintenance, and ongoing regulatory compliance requirements.
Environmental documentation begins during project planning phases, when projects are classified by their probable impact and need for environmental documentation. A Facility must prepare environmental documentation for all projects. A project may fall within the general exemption, may be categorically exempt, or may require an Initial Study to determine the severity of its impacts. The Initial Study identifies areas of environmental concern and is used to assess whether potential impacts are significant and require the preparation of an Environmental Impact Report (EIR), or if not significant, a Negative Declaration is prepared instead (see RD - Environmental Impact Classification Form).
If potential impacts are significant, a full EIR is prepared, usually with the assistance of outside consultants; this process includes publication and public review of a draft EIR and a public hearing. The final EIR is then prepared, also with the assistance of outside consultants. The final EIR addresses all written comments and those raised at the public hearing during the review period. The final EIR also proposes measures designed to mitigate significant environmental impacts, as well as a program for monitoring the implementation of these mitigation measures. The environmental documentation must be reviewed and approved by the relevant decision maker, depending on delegated approval authority, prior to design approval (see Environmental Documentation).
The Seismic Safety Policy is a Presidential Policy.
Guidance for UC Seismic Safety Policy implementation and compliance are provided in the RD - UC Seismic Program Guidelines.
Chancellors have been delegated the authority to approve the project sites that are in general accordance with an approved Long-Range Development Plan (LRDP). Sites that are not in accordance with the LRDP must be approved by The Regents Committee on Finance and Capital Strategies for project over $10 million (see Regents’ Design Approval). The President (re-delegated to Executive Vice President - UC Finance) is authorized to approve minor LRDP amendments limited to:
- Siting a building project of $10 million or less,
- Shifting less than 30,000 gross square feet of allocated building space, and/or
- Changing the land-use boundaries and designations for 4 acres or less of land (see DA 2629).
The Regents have delegated to the President the authority to approve project design with the following exceptions, which require design approval by the Committee on Finance and Capital Strategies:
- Building projects with a total project cost more than $10 million, except when such projects consist of alterations or remodeling where the exterior of the building is not materially changed, buildings or facilities located on agricultural, engineering, or other field stations, and agricultural-related buildings or facilities located in agricultural areas of a campus.
- Capital improvement projects of any construction cost when, in the judgment of the President, a project merits review and approval by The Regents because of budget matters, fundraising activities, environmental impacts, community concerns, or other reasons.
The President has delegated to the Executive Vice President - UC Finance the authority to approve the design of projects with a total project cost over $10 million but under $20 million. Approval of the design of projects with a total cost of less than $10 million has been delegated to the Chancellors et al. for approval. See DA 2629.
After the independent reviews (design, cost, and seismic) are completed, projects requiring Regents' approval or Executive Vice President's approval may be submitted. This process involves the preparation of an Action Item, the review of the project with UCOP, and a presentation to the Regents. UCOP is included in the Facility design review to provide an opportunity for University input on design content and review of Regents' policy. Procedures and guidelines for preparing and submitting Action Items are described below.
Site, design, and environmental approvals may all be included in one Regents' Action Item. The general procedures for writing and submitting Regents' Action Items are handled by the Regents' Coordinators for UCOP. For more information about these procedures, contact UCOP.
- Prerequisites. Projects lacking official project budget approval, design professional appointment, independent seismic and structural reviews, or proper environmental documentation will not be accepted for design review and approval. Projects requiring Regents' review are also required to have independent design & cost review completed. All prerequisites must be completed prior to submission of the Action Item. Coordinate all exceptions well in advance with UCOP.
- Format. The format for preparing an Action Item can be found in the UCOP Capital Planning and is appropriate for most projects. Discuss exceptions with UCOP. A computer file containing the Action Item template and a template for the Project Statistics sheet (see below) is available from UCOP. An electronic file of the Draft Item is submitted to UCOP. The names and telephone numbers of the planner or project manager and the project manager's supervisor are provided on the item in the location on the right-hand block on the "Drafted" line.
- Writing Style. The general strategy for writing Action Items is to be brief while including all important information. Remove extra phrases, adjectives, opinions, unrelated facts, and long explanations.
- Statistical and Cost Data. Project Statistics sheet figures may be obtained from either the Project Planning Guide budget or the current project estimate; the chosen source must be noted on the sheet. If project estimate figures are used for the statistics sheet, budget figures must be submitted on a separate page.
- Because The Regents often review comparable University project costs in detail, it is important to research costs early and to ensure that these are included in the draft Action Item submitted to UCOP.
- Lead Time. Design and environmental items require a lengthy review. A draft of the Action Item is sent to UCOP approximately eight (8) weeks prior to the meeting of the Regents' Committee on Finance and Capital Strategies. UCOP reviews the design and environmental portions of a Regents' Action Item. UCOP circulates and reviews the design and environmental portions of the Action Item. The schedule for submitting Action Items to UCOP is distributed to the Facilities as part of the general preparation for Regents' meetings. Projects requiring only Executive Vice President's approval also require an Action Item. These should be prepared in the same manner and within the same schedule as a Regents' Action Item. See Guidelines for Preparing and Submitting Presidential Action Items.
- OCEAN Tool. Regents items for New Construction or Major Renovations are required to submit a copy of the UC Operational Carbon and Energy Assessment for New Construction (OCEAN) tool with Regents items. The tool can be accessed via the UCOP Box folder by UC staff. Preliminary plans approval items should use the P-Phase Report and other items should use the Post P-Phase Report.
The Regents' Action Item states that The Regents have reviewed and considered the environmental document and have certified the EIR or adopted the Negative Declaration document as one of the actions. Within or as an attachment to the item, the Environmental Impact Summary provides the overview of the environmental review process and highlights any significant environmental issues. The Findings are a separate document, reviewed by UCL, which states in detail how each environmental issue was addressed.
The Facility sends copies of the final environmental documents to UCOP approximately two weeks before the Regents' meeting. These are distributed to The Regents and UCOP.
The design review process consists of a design review meeting with UCOP staff approximately two to three weeks before a more formal presentation to the Regents' Finance and Capital Strategies Committee.
UCOP participates in the Facility design review to provide an opportunity for University input on design content and review of Regents' policy. Informal reviews with UCOP Coordinator should be held while the project is in the early design phases. Three months in advance of the Regents' meeting date, UCOP must be notified that a capital improvement project with a total cost of over $10 million will be presented for Regents' approval. This schedule is also applicable for projects requiring Executive Vice President approval.
UCOP design review meeting is held approximately two to three weeks in advance of the meeting of the Regents' Finance and Capital Strategies Committee. Upon request, a project may be scheduled for design review at an earlier date. The meeting may be held via webinar and is attended by Facility staff, the Associate Vice President - Capital Programs, Energy, and Sustainability, and other Capital Programs, Energy, and Sustainability staff, as appropriate. Final presentation materials are not necessary for this meeting; "rough" drawings, a draft design presentation, and supporting data are acceptable. The draft Action Item (see Guidelines for Preparing and Submitting Regents’ Action Items) and project cost, schedule, and efficiency data must have been submitted previously.
The following materials should be presented at the meeting:
- A site map or aerial photograph of the project area
- Land-use plan of the long-range development plan
- Site plan
- Floor plans
- Elevations on all sides
- Major sections (if required to explain design)
- Two renderings
- A color and materials board
- Regulatory requirements summary (during construction and ongoing maintenance)
- Design analysis, life-cycle cost analyses, and other support data
The results of the design review meeting, which may include directives or changes, will be sent to the Facility. This is the only presentation of the project that must be made if the project requires Executive Vice President's approval.
The meeting of the Regents' Finance and Capital Strategies Committee is scheduled before the Regents' Board meeting. The meeting is normally held at the same location as the Regents Board meeting. However, the meeting location can change, and campuses are urged to coordinate with UCOP Design and Construction Services to verify meeting date, time, and location.
This meeting is a public meeting and must be attended by a quorum of the Committee, the Executive Vice President - UC Finance, and the Associate Vice President - Capital Programs, Energy, and Sustainability. The project is presented by senior Facility officials and staff, as appropriate. After a question-and-answer period, the Committee votes to approve the actions requested. If the project is approved, it may proceed into the next phase of development. Further action by the full Board is not necessary so long as the project does not require adoption of a Long Range Development Plan and the program and funding have been approved.
It is important that the Facility coordinate the presentation with UCOP well in advance of this meeting; UCOP can provide information on appropriate presentation styles and can determine whether supplemental information, such as budget data or project analysis, is required. In addition to the formal presentation materials, the Facility may arrange to have additional explanatory materials (such as extra slides) available to answer questions.
Design approval authority for projects over $10 million, but under $20 million, has been delegated by the President to the Executive Vice President - UC Finance (see DA 2629). Once a project has been developed to a sufficient level of detail (i.e., at the end of Schematic Design) and after all necessary campus design approvals have been obtained, a project may be submitted.
The guidelines for preparing and submitting Presidential Action Items are the same as for the preparation and submittal of Regents' Action Items. Projects require an independent seismic review, official project budget approval, appointment of a design professional, and proper environmental documentation. Although not required, it is recommended that projects also have independent design and cost review.
The guidelines for preparing the environmental documentation for Presidential Action Items are the same as for a Regents Action Item.
The Policy on Sustainability Practices establishes goals and requirements in 13 areas of sustainable practices, including green building. The policy sets energy-efficiency and LEED standards for new buildings as well as major renovations. Renovation projects that do not constitute a major renovation, as defined by the policy, with an estimated project cost above the annual California Construction Cost Index (CCCI) threshold also have sustainability requirements. The annual CCCI threshold is published each year on the Sustainability webpage.