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A strategic plan is only as effective as its means of implementation. The Berkeley campus has been the subject of many outstanding analyses over the years, yet decisions on individual projects tend to be ad hoc: not because the campus lacks sound decisionmaking principles, but because there has been no clear linkage of those principles to a practical decision sequence.
The campus has already taken the first steps to change this paradigm, by forming the Executive Campus Planning Committee (ECPC) and by establishing a new, clear approval process for capital projects. This section describes how the policies and guidelines articulated in this Plan shall be integrated into the approval process, to ensure investment decisions both optimize the use of resources and help to realize the campus vision.
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The capital projects approval process is a sequence of seven phases, as described on the following pages. However, the scale, form and character of a project is defined in the first three phases: Concept Review, Feasibility Analysis, and Program Development.
Phase 1: Concept Review. In this phase, Capital Projects manages the Policy Review of the concept proposed by the sponsor, which includes a review of its alignment with the strategic goals, policies, guidelines and initiatives in the New Century Plan. Space Management & Capital Programs collaborates with Capital Projects on those strategic goals which fall within its expertise and authority. Capital Projects also consults with other campus units and committees in their respective areas of interest and expertise. The Policy Review provides the basis for the analysis and recommendation presented to the Executive Campus Planning Committee (ECPC).
Phase 2: Feasibility Analysis. In this phase, based on a preliminary space program developed with the Preprogram Committee, Capital Projects identifies a range of options, or alternate solutions. As a rule, the set of options should include retrofit and systems renewal; renovation; replacement; and, if relevant, noncapital solutions such as physical reorganization. As described in strategic goals 1 and 10, the options should also include alternate models for project delivery as well as sustainable design features.
Capital Projects then manages a Policy Review of the set of options, to ensure their conformance with the New Century Plan, followed by an Options Analysis leading to a proposed solution. Capital Projects then prepares design guidelines, manages the Campus Review of the proposed solution, and prepares and presents its recommendation to ECPC.
Phase 3: Program Development. The sequence in this phase is similar to the previous two. Based on a detailed program and design concept prepared by the Architect and Program Committee, Capital Projects manages a Project Review, including a preliminary environmental analysis as well as an analysis of surge requirements. It then manages the Campus Review of the program and design concept, and prepares and presents its recommendation to ECPC.
Phases 4-7. Capital Projects continues to monitor project quality and manage campus reviews as the project proceeds through the design and construction sequence.
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Note: the process described below applies to projects over $1 million. For smaller projects, a more streamlined process is available, as described at the end of this section.
Projects $1 - 5 million may be delegated to the Vice Chancellors' Administrative Council (VCAC) following Concept Review approval.
Projects Under $1 million are reviewed by VCAC: they may proceed directly from Concept Review approval to a combined Program and Design phase, and then to Bid and Construction. |
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Phase 1: Concept Review 
(projects over $1 million)
1.1 Sponsor submits proposal with VC signature, including funding strategy
1.2 Capital Projects meets with Sponsor to explain process
1.3 Sponsor prepares abstract of proposal: objectives, justification, alternatives considered, and funding strategy: Capital Projects consults on range of alternatives.
1.4 Capital Projects reviews abstract for adequacy of information: may require revision by Sponsor
1.5 Capital Projects manages Policy Review
1.5a Capital Projects reviews for conformance with New Century Plan strategic goals, in collaboration with Space Management & Capital Programs.
1.5b Committee on Academic Planning & Resource Allocation reviews for academic implications
1.5c University Relations and Community Relations review for communications implications
1.5d University Relations and Budget & Finance confirm funding strategy
1.6 Capital Projects manages Technical Review: technical implications and preliminary cost projection
1.7 Capital Projects compiles reviews, prepares Concept Analysis and recommendation
1.8 VC Capital Projects reviews analysis, confirms recommendation
1.9 Capital Projects prepares draft ECPC item
1.10 Capital Projects reviews draft ECPC item with Sponsor
1.11 ECPC recommendation and Chancellor approval (projects under $5 million may be delegated to Vice Chancellors' Administrative Council)
1.12 Funds allocated to cover phases 2 and 3
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Phase 1 Concept Review Diagram |
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Phase 2: Feasibility Analysis
(projects over $1 million)
2.1 Sponsoring VC appoints Preprogram Committee
2.2 Capital Projects prepares workplan for phase 2: scope, timeline, staff budget and, if required, consultant budget
2.3 If required: Capital Projects prepares scope of consultant services, identifies prospective consultants, obtains and reviews proposals, and recommends selection to Preprogram Committee
2.4 Capital Projects or Consultant develops preliminary space program and diagrams
2.5 Capital Projects identifies options: range of alternate solutions plus 'no action' option
2.6 Capital Projects manages Policy Review of options
2.6a Capital Projects reviews for conformance with New Century Plan strategic goals, in collaboration with Space Management & Capital Programs
2.6b Capital Projects identifies environmental implications of options
2.7 Capital Projects prepares Options Analysis and proposed solution
2.8 Capital Projects prepares project design guidelines for proposed solution
2.9 Capital Projects manages Campus Review
2.9a University Relations and Community Relations
2.9b Design Review Committee
2.9c Space Assignment & Capital Improvements Committee
2.9d Committee on Academic Planning & Resource Allocation
2.10 SMCP prepares Academic Effects Study, to be completed prior to start of phase 3
2.11 VC Capital Projects confirms proposed solution
2.12 Capital Projects prepares draft ECPC item
2.13 Capital Projects reviews draft ECPC item with Sponsor
2.14 ECPC recommendation and Chancellor approval
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Phase 2 Concept Review Diagram |
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Phase 3: Program Development
(projects over $1 million)
3.1 EVC/Provost appoints Program Committee
3.2 Capital Projects prepares workplan for phase 3: scope, timeline, staff and consultant budget
3.3 Capital Projects selects architect for project
3.4 Architect and Program Committee prepare program and design concept: space program, conceptual site plan, conceptual floor plans, conceptual massing, proposed budget and schedule
3.5 Capital Projects manages Project Review of program and design concept
3.5a Capital Projects reviews for conformance with design guidelines
3.5b Capital Projects prepares preliminary environmental analysis/initial study
3.5c Capital Projects prepares surge analysis
3.6 Capital Projects manages Campus Review
3.6a University Relations and Community Relations
3.6b Design Review Committee
3.6b Space Assignments & Capital Improvements Committee
3.6d Committee on Academic Planning & Resource Allocation
3.7 University Relations and Community Relations prepare communications plan
3.8 Budget & Finance reviews project in relation to capital budget
3.9 VC Capital Projects confirms program and design concept, budget and schedule
3.10 Capital Projects prepares draft ECPC item
3.11 Capital Projects reviews draft ECPC item with Sponsor
3.12 ECPC recommendation and Chancellor approval
3.13 UCOP and Regents' approval of budget/capital improvement program amendment for projects over $5 million (extent of UCOP and Regents' review depends on size of project budget)
3.14 Funds allocated to cover phase 4
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Phase 3 Concept Review Diagram |
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Phase 4: Schematic Design
(projects over $1 million)
4.1 Architect completes schematic design
4.2 Capital Projects reviews for conformance with project design guidelines
4.3 Capital Projects manages Campus Review
4.3a Design Review Committee
4.3b Seismic Review Committee
4.3c Committee on Removal of Architectural Barriers
4.3d Program Committee (if changes to scope/budget/schedule)
4.3e Space Assignments & Capital Improvements Committee (if changes to scope/budget/schedule)
4.4 Capital Projects presents schematic design to ECPC, plus any scope/budget/schedule changes
4.5 ECPC recommendation and Chancellor approval
4.6 Regents' design approval for projects over $5 million
4.7 Sources for 85% of project funds must be identified before starting phase 5
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Phase 5: Design Development
Phase 6: Working Drawings
(same sequence in both phases for projects over $1 million)
5.1/6.1 Architect completes design development (phase 5) or working drawings (phase 6)
5.2/6.2 Capital Projects reviews for conformance with project design guidelines and schematic design
5.3/6.3 Capital Projects manages Campus Review
5.3a/6.3a Design Review Committee (if changes to exterior design)
5.3b/6.3b Seismic Review Committee (if changes to structural design)
5.3c/6.3c Program Committee (if changes to scope/budget/schedule)
5.3d/6.3d Space Assignments & Capital Improvements Committee (if changes to scope/budget/schedule)
5.4/6.4 ECPC review (if changes to exterior design or scope/budget/schedule) and Chancellor approval
6.5 100% of funds must be in place before awarding construction contract
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Phase 7: Bid and Construction
(projects over $1 million)
7.1 Budget augmentations require review and recommendation by Vice Chancellors' Administrative Council
7.2 Augmentation requests must identify source of additional funds
7.3 Chancellor approval
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