Policies & Procedures


Section 1

Physical Environment and Properties

Buildings and Grounds: Planning and Construction

Sec. 901-10: Capital Planning

Responsible Office: Capital Planning - Planning and Budget
Revised: May 2002

References / Resources

  • UC Facilities Management and Construction Manual
  • Standing Orders of the Regents
    • 100.4, Duties of the President of the University (q)
  • UC Delegations of Authority
    • DA 2157, Transfers Of Funds For Minor Capital Improvement Projects
    • DA 2158, Amendments to the Capital Improvement Program for Non-State Funded Minor Capital Improvement Projects
    • DA 2159, Amendments to the Capital Improvement Program for Non-State-Funded Major Capital Improvement
    • Projects with a Total Project Cost Not to Exceed $5,000,000
    • DA 2173, Construction Contracts
  • UCI Administrative Policies & Procedures
  • UCI Delegations of Authority
    • IDA 187, Solicit and Accept or Execute Extramural Grants and Contracts for Construction of Facilities
    • IDA 481, Transfers Of Funds For Minor Capital Improvement Projects
    • IDA 482, Amendments to the Capital Improvement Program for Non-State Funded Minor Capital Improvement Projects
    • IDA 531, Construction Contract Documents

Contact: Capital Planning at (949) 824-7660

Capital Planning provides those services necessary to plan and secure project approval for UCI's State-funded major and minor capital development programs and the non-State funded major capital development program, except projects related to clinical space. These projects are handled by the UCI Medical Center Planning Office and are forwarded to Capital Planning for coordination of project approvals.

A. Capital Improvements

Capital improvements are projects that add new space or alter the programmed design or function of space or a building system. These projects are further defined as either major or minor capital improvements based on the total project cost.

  1. Major Capital Improvements

    Major Capital Improvements projects have a total project cost exceeding $400,000 and can be funded by a variety of sources. All campus items in the Major Capital Improvement Program (MCIP) are reviewed by the Executive Vice Chancellor and recommended to the Chancellor for approval. Capital Planning manages and coordinates the processes for development and submittal of program and capital budget documents to support the total MCIP.

    1. Major Capital Improvements - State Capital Outlay

      Each proposed State-funded project must be included in the campus' five-year Major Capital Improvement Program (MCIP), which is prepared annually and updated as needed by Capital Planning. The MCIP is reviewed by the Office of the President and approved by The Regents. The proposed capital program is then submitted to the State for funding approval. Incremental funding corresponding to particular phases of State-funded major capital projects is appropriated annually by the State Legislature. These appropriations are entered as line items in the State Budget Act approved in July of each fiscal year.

    2. Major Capital Improvements - Funded from Sources Other than State Capital Outlay

      Projects funded through gifts, loans, registration fees, or other non-State sources can be approved and implemented individually at any time during the year. Non-State funded projects costing under $5 million are approved by the Chancellor; projects between $5 and $10 million are approved by the Office of the President; projects between $10 and $20 million are approved by the President with concurrence from Regental Chairs; and projects over $20 million must have full Regental approval. Presidential and/or Regental approval of financing is required regardless of project cost. Financial feasibility studies are completed by the Budget Office as necessary for certain of these non-State funded projects.

    UCI Non-State-Funded Major Capital Improvement Program Planning Process

  2. Minor Capital Improvements

    Minor capital improvements include projects costing at least $20,000 but not more than $400,000. Excluded are projects dealing with maintenance work or repairs. There are several possible fund sources.

    1. Minor Capital Improvements - State Capital Outlay

      In years when State funds are available, the process for development of the campus' State-funded Minor Capital Improvement Program encompasses a four-month period annually, with project requests submitted to Capital Planning through the appropriate Dean or Vice Chancellor in response to a call letter issued in the winter. Capital Planning, in conjunction with Academic Affairs, screens project requests according to State program policies and guidelines, and develops cost estimates. Project priorities are developed by Academic Affairs, recommended to the Executive Vice Chancellor, and approved by the Chancellor. The proposed campus program is submitted to the Office of the President for review and individual project funding approvals. The number of funded projects is then based upon available State resources per the final priority listing.

    2. Minor Capital Improvements - Funded from Other than State Capital Outlay Funds

      Projects to be included under non-State sources may be developed at any time. These projects must be approved by a Vice Chancellor, an Academic Dean or Director, the University Librarian, or the Director of the UCI Medical Center, as appropriate (see IDA 482). However, projects involving the following must be approved by the Chancellor or the Office of the President:

      • any significant environmental impact;
      • any substantial program modification of a project previously approved;
      • any project which was denied previously by the State; or
      • any project involving new structures (e.g. trailers) and/or building additions.

Cost estimates are developed and projects are implemented by Facilities Management (see Section 902-10).

B. Space Allocations

The Executive Vice Chancellor is responsible for the allocation of all space resources including leased space.

Space is allocated to the major organizational segments of the campus (i.e., academic schools, administrative coordinating points). These major segments then distribute the space allocation to the various departments and divisions within their administrative control, reporting the details of space assigned to Capital Planning. Capital Planning maintains the official campus space record for University, State, and federal space audit and accountability purposes.

The Office of Capital Planning makes recommendations related to space allocations in capital projects and also reviews existing space allocations as requested by the Executive Vice Chancellor. All space is subject to review and reassignment by the Executive Vice Chancellor.