Overview
The Capital Strategies website is your primary resource for information on capital projects. These are the teams you will work with:
- The Capital Projects team oversees the planning, construction, renovation, and restoration of campus facilities and their surrounding spaces. A dedicated project manager from this team will be assigned to guide your project.
- Additionally, you may collaborate with the Physical and Environmental Planning Office on capital planning, space program development, securing project approvals, and ensuring compliance with environmental regulations.
- For renting 3rd party space off campus or having 3rd parties use UC space, contact UC Berkeley Real Estate for guidance and assistance.
Components of Capital Projects
How To Get Started
When starting a new project, submit a proposal in Unifier. You may need to request access to the system.
Capital Strategies will assist your team by providing an estimate based on the scope of the project you are looking to build. Even if you don't have your project idea all figured out, they can assist you.
How Projects Are Funded
Capital Strategies will help you estimate the cost of your project. The funding sources may include:
- Division’s Contribution
- Philanthropy – Gifts
- Campus Contribution
- External Financing (Long-term debt and commercial paper)
- State Funding (One-time funding or AB94)
- Working Capital Loan Program (Internal Loans)
For projects that may require either central funding or internal or external financing, early coordination between units and the VCF’s office is required to understand project budget, timing, and cash flows.
For any major project funded through a fundraising campaign, it is essential to involve UDAR in discussions to conduct a feasibility study for the campaign.
Additionally, auxiliary projects must satisfy the minimum debt service coverage ratios for both the individual project and the overall portfolio. This compliance will be demonstrated through a pro-forma provided to UCOP.
Transferring Funding
If your project requires funding, the Capital Projects team will reach out with a funding request. Once received, you will complete the Capital Project and Plant Fund Transfer Form and submit it to the Plant Accounting Team for processing.
Capital Planning Committee Review Process (> $10 Million)
Phase 1 - Concept
Academic Programming (Via Provost Academic Planning)
Is the project consistent with academic mission? Is there any academic effect?
Financial Review (Vice Chancellor for Administration)
Identify the proposed project budget and funding sources.
Technical Review (Capital Strategies)
Is the project viable? Is the project consistent with the standards of the LRFP and the Master Plan?
Communications Review (Capital Strategies)
What is the projected level of communications for this concept?
Phase 2 - Feasibility & Planning
Academic Programming (Via Provost Academic Planning)
Conduct preliminary academic programming.
Financial Review (Vice Chancellor for Administration)
Prepare draft proforma. Go to the Capital Projects Finance Committee. Validate funding sources. Coordinate with UDAR. Coordinate with UCCIP. Coordinate with the Budget Office.
Technical Review (Capital Strategies)
Prepare initial cost estimate. Prepare initial project schedule. Develop preliminary CEQA strategy. Develop an entitlement strategy. Coordinate with FS.Hire outside consultants as required. Create a preliminary design.
Communications Review (Capital Strategies)
Identify audience for project communications. Coordinate with applicable departments and/or donors. Announce the project. Create a project webpage. Post CPC actions. Strategize media relations, as required.
Phase 3 - Design
Academic Programming (Via Provost Academic Planning)
Finalize academic programming.
Financial Review (Vice Chancellor for Administration)
Coordinate with the campus Budget Office. Assess life cycle costs. Get final proforma approval. Finalize construction cost and pricing approvals.
Technical Review (Capital Strategies)
Work with the Design Review Committee and the Seismic Review Committee. Conduct a sustainability and accessibility review. Get CEQA approval. Create a schematic Design and design development drawings. Secure Presidential or Regental approvals, as required.
Communications Review (Capital Strategies)
Announce the design and cultivate public engagement as required for project design input/feedback. Plan CEQA public notice and hearings. Schedule Regental presentations. Implement a media relations strategy in collaboration with the department and/or public affairs.
Phase 4 - Construction
Academic Programming (Via Provost Academic Planning)
Advise academic departments on space allocations. Assist with space utilization issues.
Financial Review (Vice Chancellor for Administration)
Monitor construction budget vs actual.
Technical Review (Capital Strategies)
Finalize construction drawings. Meet with the Department of State Architect and Campus Building Official, and the State Fire Marshall. Bid and Award. Construction management. RFPs. Change Orders. Commissioning.
Communications Review (Capital Strategies)
Respond to project questions and complaints, media relations, as required; post project updates, as required. Publish project webpage. Post project signage. Attend project meetings.
Campus Planning Documents
As a separate constitutional entity, the University of California is exempt from local building and zoning laws of the municipality on any land that the Regents own. Land Use and Capital Development is instead governed by several campus planning documents and administered by the Regents or our own Campus Building Official and Fire Marshall.
- Campus Long Range Development Plan (LRDP): Overall legal document underpinning capital development for the campus and its immediate surroundings (including off-campus properties and the Clark Kerr Campus) under CEQA. Approved 2021.
- Campus Master Plan: Long-term vision planning for the main campus. Limited legal authority.
- Richmond Field Station (RFS) LRDP: Overall legal document for capital development on the Richmond Field Station. Approved 2014. RFS also has a significant history of hazardous waste that continues to limit the land use.
- Albany Village Master Plan: Carries the same legal force as an LRDP for the Regents-owned property in Albany. Approved 2004.
- Although the City and neighbors can sue campus developments under CEQA, the City of Berkeley has agreed not to file lawsuits for many projects under a 2021 Settlement Agreement (Section 6.4).
Delegation of Authority: Budget and Design Approvals
Documents include Capital Financial Plan, Physical Design Framework, and LRDP.
State-funded projects (whole or in part) require project approval by the regents and have different approval requirements than those described above.
Capital Project Budget
Less Than $35,000
Generally considered operational expenses, no capital project approval required.
Augmentation thresholds are not applicable up to $35,000.
Document consistency is not applicable.
$35,000 to $1M
AVC-Capital Strategies has approval authority for non-state projects less than $1M, approved directly through Unifier.
AVC-Capital Strategies approves cumulative augmentations and scope changes to non-State capital projects with a project budget (as augmented) up to and including $1M.
Document consistency is not applicable.
$1M to $10M
Chancellor approves via email from Capital Projects Business Manager.
Chancellor approves cumulative augmentations and scope changes to non-State capital projects with a project budget (as augmented) up to and including $10M.
Document consistency is not applicable.
$10M - $70M
Chancellor approves budget, requires UCOP review of Delegated Authority Certification Checklists, which are then signed by VCA as Sole Designated Official.
Chancellor approves cumulative augmentations and scope changes up to 15% of the original approval and up to a project budget (as augmented) of $70M.
Document is consistent.
$10M - $20M
EVP-CFO approval required.
EVP-CFO approves cumulative augmentations and scope changes up to $20M up to a project budget (as augmented) of $70M.
Document is inconsistent.
More than $20M
Regents’ approval required.
EVP-CFO approves cumulative augmentations and scope changes up to $20M up to a project budget (as augmented) of $70M.
Document is inconsistent.
More than $70M
Regents’ approval required.
EVP-CFO approves cumulative augmentations and scope changes up to 15% of the original approval, up to a total augmentation of $20M.
Document consistency is not applicable.
Delegation: External Financing
If the document is consistent, EVP-CFO approves financing and augmentation up to $70 million.
If the document is inconsistent, EVP-CFO approves financing and augmentation up to $20 million.
If document consistency is not applicable, there is no limit to Regents’ approval of financing, and EVP-CFO approves augmentations up to $20 million.
Roles and responsibilities
- DFL or CAO completes the documents to initiate a new project.
- DFL works with Capital Strategies and VC Finance to address situations where a project that uses debt for financing has actuals that exceed the budget by a material amount.
- Capital Planning Committee Membership
- Executive Vice Chancellor and Provost (CPC Chair)
- Vice Provost, Academic Planning
- Vice Chancellor, Finance and Chief Financial Officer
- Vice Chancellor, Administration
- Associate Vice Chancellor, Capital Strategies
- Vice Chancellor, University Development and Alumni Relations
- Vice Chancellor, Research
Systems Used
- Plant Accounting uses BFS to move funds as needed to support projects.
- Cal Answers is used to keep track of costs.
- Unifier is the system that is used to set up and create a new project.