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State Public
Works Board and Dept. of Finance Submittal Guidelines for State Funded Capital
Projects
STATE PUBLIC WORKS BOARD and
DEPT. of FINANCE
SUBMITTAL GUIDELINES for State Funded Capital Projects
April 6, 1999
The purpose of the following guidelines
is to provide information to campus project managers regarding preparation
of documentation for submittals of preliminary plans, working drawings,
and related items to the State Public Works Board (SPWB) or Department
of Finance (DOF) for approval, authorization to proceed to the next phase,
and/or release of funds.
While a project manager views a project
as the story of bringing together all of the various resources and
people required to construct a building on a particular location,
the State has a much different perspective. For a State-funded
project the story is almost exclusively concerned with the appropriation
of funds and the release and tracking of these funds. For the
project manager, understanding the logic of the State perspective
and the constraints it places on the project as a whole can mean
the difference between an easy project or a disaster. UCOP
State Capital Program staff have the responsibility of facilitating
and bridging the gap between these two very different views of a
project.
The University and the campuses need
the resources from the State on a continuing basis and are dependent
on the support of State staff securing and implementing State appropriations. Therefore
it stands to reason that we should make every effort to understand
the logic of the State funding process and see that State concerns
and regulations are addressed in both spirit and in detail in the
course of project development and delivery. In this way
the University and the campuses can benefit from the continuing maintenance
of positive working relationship with the State.
These guidelines attempt to give a
broad non-technical overview of the approval and release process
and to provide specific operational direction to project managers
to assist in making the process as clear and straightforward as possible. However
it is likely that there will be questions as project managers apply
these guidelines in their individual projects. Please feel
free to call the UCOP Capital Plan Review Coordinator (Principal
Architect James Maguire, 510.987.0776, email: james.maguire@ucop.edu)
when questions first arise so that assistance can be provided in
a timely manner.
General
Required Submittal Components
Detailed Requirements for Submittal Components
Blank Forms
-
-
- Request
for Approval to Proceed or Encumber Funds (Streamlined Processing
-
SUBMITTALS TO
THE SPWB
Not all project submittals
go to the SPWB. A submittal to State Public Works Board
(SPWB) is required for:
-
Approval of preliminary
plans for all capital projects that have State funds allocated
for
any phase of a project, unless the budget appropriation
explicitly exempts the project. Even if State funds are only allocated
for a portion of the "C" phase, but not "P" or "W", preliminary
plans must still be approved by the SPWB prior to requesting
Department of Finance (DOF) approval of the working drawings
and release of the construction funds.
-
-
Authorization
of agreements required if the State funds are provided through
Lease
Revenue Bonds. This
includes a resolution for the sale of SPWB Lease Revenue Bonds;
approval of a Site Lease, Facility Lease, Construction Agreement,
and Equipment Lease and Equipment Agreement as applicable; and
approval of interim funding for all Revenue Bond funded projects. Note
- these are usually submitted at the completion of working drawings
unless working drawings are also funded with Revenue Bonds. DOF
reviews and approves the working
drawings concurrent to the
action taken above by the SPWB.
-
Approval of an Augmentation
(based on bids) or a Recognized Anticipated Deficit (anticipated
augmentation
to a project, prior to bid) which results in a request
for added State funds over 10% of the project cost or over
$50,000, whichever
is less, up to 20% of the statutory limit, subsequent
to notification by 20-day letter of the Joint Legislative
Budget Committee. Also
note that due to funding limitations augmentation requests
are made only on an exception basis.
The SPWB meets on a monthly basis. Items
to be submitted must first be reviewed by UCOP before being forwarded
to DOF for action and their
inclusion in the agenda for the SPWB meeting. Because of the time required
for review and public notice, submissions must be received by UCOP approximately
six to seven weeks prior to the applicable SPWB meeting
date. Each year, in December, State Capital Program Development staff at
UCOP prepare and distribute a SPWB meeting calendar with deadlines for submission
to OP relative to each meeting. Because of the lead times associated
with these meetings, it is important to carefully consider them in the overall
project
schedule.
SUBMITTALS TO
DOF
A submittal to Department
of Finance (DOF) is required for:
-
Approval of bid package (working
drawings) and authorization to proceed to bid.
-
Approval to bid the project
in separate packages whether
concurrently or sequentially. This
approval is usually requested
at the working drawing submission.
-
Approval of alternates to be
included in the bid package. This is done concurrently with the
working drawing submission.
-
Approval to award the construction
contract and release the construction funds, based on bids.
-
Approval of an Augmentation
(based on bids) or a Recognized Anticipated Deficit (anticipated
augmentation
to a project, prior to bid) which results in a request
for added State funds when under 10% of the project cost
or under $50,000,
whichever is less. Note: This authority was delegated
to the DOF by the SPWB and is subject to review each year. Also
note that due to funding limitations augmentation requests
are made only on an exception basis.
-
Approval to combine the
bids for projects funded by separate appropriations, requested
at
the working drawings submission. Note: This was
delegated to the DOF by the SPWB and is subject to review
each year.
-
-
Approval to bid a non-State funded
project with a State funded project, requested at the time of
the approval of working drawings.
Submissions to DOF are made by UCOP
on a continuing basis. Once the required documents have been received
and
reviewed by UCOP the submission is forwarded to DOF for action. Depending
on DOF workload, approval is usually returned to UCOP within one to
two weeks. UCOP staff notifies the project manager and forwards the
signed approval form. Transfers of funds and their notifications
follow by separate correspondence.
STREAMLINED PROCESSING
The Budget Act appropriation for a
specific project phase of work may include provisions that, by agreement
with the Department of Finance, effectively delegate responsibility
for review and approval of the documents of that phase to UCOP. These
projects are referred to as "streamlined" projects, although it is
more accurate to say that the particular phase as been approved for
streamlined processing.
The State Capital Program Office will
make every effort to avoid delay to the project in performing this
review and release of funds action. This review will be done
concurrent with agency review where possible.
All submissions from
the campus to UCOP for streamlined approval should contain all
the same components
as a submission to DOF.
Streamlined appropriations
also have different deadlines for encumbrance and liquidation
of funds. The
constraints specific to each appropriation are communicated
by the UCOP State Capital Program Office to the campus following
the passage
of the budget act. It should be noted that streamlined
processing typically is authorized by the State on the
basis of campus and University commitments
for accelerated delivery or other aspects regarded as
beneficial to the State. It is important to meet
those commitments to support continuance of the program. Quarterly
status reports will continue to be made to the State,
and a formal detailed report
is required each year.
The following pages list the
required submittal components for the basic phases of a capital
project. A general description of review criteria for each
submittal type is also included.
The Following pages list the
required
submittal components for the basic
phases of a capital project.
A general
description of review criteria for each
submittal type is also included.
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REQUIRED SUBMITTAL
COMPONENTS
PRELIMINARY PLANS
- Cover Letter, 1
original
- Request
for Approval to Proceed or Encumber Funds, 1 signed original
- Capital
Outlay Cost, Funding and Schedule Summary, 1 original
- Project Description,
dated, 1 copy
- Preliminary
Construction Cost Estimate, dated, 1 copy (including summary
sheet and CIB breakdown)
- Area Reconciliation, dated, 1 copy (for projects
including building space)
- Project
Schedule, dated, 1 original
- Capital
Improvement Budget, 1 signed original
- Cost
Plan Summary, 1 copy
-
Preliminary Plans, 1 set
- Outline
Specifications, 1 set
Submittal Format
Identify the project title (as
titled in the Regents Budget and the Budget Act ) in the head
of the cover letter.
Submittal is reviewed at OP and DOF for:
Conformity to approved scope
and cost defined in the Budget Act, Supplemental language, and
approved PPG.
Specific
items reviewed include:
- Approved ASF and OGSF
- Approved programs
and space
allocations
- Approved project amenities
- Approved cost and its allocation
within the budget
All
variances from approved scope and cost should be noted
and explained fully in the cover letter.
Conformity to agreements
and policies of the University and
State. Is the
project clearly the most cost effective
design solution that will meet the requirements
of the approved PPG.
-
Cost index of estimate (or
estimate summary) should match cost index of approved CIB
associated with the phase of the project which is being submitted.
-
Consistent asf and ogsf throughout
the submittal, i.e. project description, CIB, and area reconciliation.
-
Consistent quantities and
qualities of materials indicated in the plans, specifications
and cost estimate
REQUIRED SUBMITTAL COMPONENTS
BID PACKAGE (Working Drawings)
- Cover Letter, 1
original
- Request for Approval to Proceed or Encumber Funds, 1 signed
original
- Capital Outlay Cost, Funding and Schedule Summary, 1 original
- Project description, dated, 1 copy
- Construction
Cost Estimate, dated, 1 copy (including summary sheet and CIB
breakdown) (Bid alternates and their estimated
costs to be listed
on a separate page)
- Area Reconciliation,
dated, 1 copy
- Project Schedule,
dated, 1 original
- Capital Improvement
Budget, 1 signed original
- Cost Plan Summary,
1 copy
- Working Drawings,
1 set
- Final Specifications,
1 set
Submittal Format
Clip items
1 through 7 together. Keep items 8 and 9 separate. Specifications
should be bound
separately. Half
size drawings should be submitted if they
are legible and easily read.
Identify the project title (as
titled in the Regents Budget and the Budget Act ) in the head of
the cover letter.
Submittal is reviewed at OP and DOF for:
Specific items reviewed
include:
- Approved ASF and OGSF
- Approved programs and space
allocations
- Approved project amenities
- Approved cost and its allocation
within the budget
Conformity to agreements and policies
of the University and State. Is the project clearly the most cost
effective design solution that will meet the requirements of the
approved PPG?
Accuracy and Consistency
-
Cost index of estimate (or
estimate summary)
should match cost index of approved CIB associated with the
phase of the project which is being submitted.
Consistent
asf and ogsf throughout the submittal
Consistent quantities and qualities
of materials indicated in the plans, specifications and cost
estimate
REQUIRED SUBMITTAL COMPONENTS
CONTRACT AWARD
1) Cover Letter, 1 original
2) Request for Approval to Proceed or Encumber Funds, 1 signed original
3) Capital Outlay Cost, Funding and Schedule Summary, 1 original
4) Bid Tabulation, dated, 1 original
5) Project Schedule, dated, 1 original
6) Drawdown Schedule, 1 copy (only needed at contract award submittal)
7) Capital Improvement Budget, 1 signed original
Submittal Format
Identify the project title (as
titled in the Regents Budget and the Budget Act ) in the head of
the cover letter.
Submittal is reviewed at OP and DOF for:
Specific items reviewed include:
-
Cost index of estimate should
match cost index of approved CIB associated with the phase
of the project which is being submitted.
-
Consistent asf and ogsf throughout
the submittal
-
Consistent quantities and qualities
of materials indicated in the plans, specifications and cost
estimate
The following pages provide additional
detail with regard to requirements for the various submittal components
outlined above.
The
Following pages provide additional
detail with regard to
requirements for the various submittal components outlined above.
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COVER LETTER
Identify and
explain any significant deviations from last approved PPG
or submittal with regard
to scope, cost, funding or schedule. In addition describe and explain
other items that could be controversial that we should be aware
of regarding Scope, Siting, Utilities, Programmed Uses, Area
Reconciliation, Design, Budget, Contracting Method, etc. Note
that the State is no longer approving design-build
contracts unless the budget act appropriation
authorized it explicitly.
Explain the reasons for the deviations.
List items in the cover letter which are being transmitted in the
submittal and the date of each document.
List any work
to be bid separately or performed by campus workforce. Include
the estimated cost of the work and be sure that
these amounts are included in the Summary of
the Cost Estimate and the CIB.
For the working drawing submittal, list in the cover letter any
bid alternates to be included with their estimated cost.
Be sure to include the required one page Cost
Plan Summary for all new building construction projects.
Address the letter: Principal
Architect Maguire
State Capital Program Development
University of California - Office of the President
1111 Franklin St., 10th Floor
Oakland, CA 94607-5200
CC Director Larry Aull without
attachments
REQUEST FOR
APPROVAL TO
PROCEED OR ENCUMBER FUNDS
This required form, which has been
in use by DOF since June of 1998, will be available on the
UCOP Budget Office web site. Electronic copies are currently
available by email from UCOP staff. "Streamlined" project
phases use a version of this form that reflects UCOP rather than
State action.
Full project
title as it appears in the Regents’ budget.
Date of requested
DOF or SPWB action and date of last action
Check all items that apply.
Form should be signed and dated
by authorized campus representative.
For "streamlined" project
phases use the appropriately modified form
which has UCOP approval signature line
at the bottom of the form.
Any questions regarding
this form or the information required on it should be directed
to UCOP staff.
CAPITAL OUTLAY
COST, FUNDING AND SCHEDULE SUMMARY
This form, which DOF has required since
June of 1998, will be available on the UCOP Budget Office web
site. Electronic copies are currently available by email from
UCOP staff.
Full project title as it appears
in the Regents' budget.
All information on this form must be consistent
with the other documents being submitted; particularly the cost
estimate, the CIB, and the schedule.
Any questions regarding
this form or the information required on it should be directed
to UCOP staff.
PROJECT DESCRIPTION
Keep it short, simple, and concise
(one-half to one page)
Include the following information:
-
Correct project name (as listed
in the Regents Budget).
-
Total current gross and assignable
square footage (Note -Be sure that this is consistent with the
CIB, Area Reconciliation and Cost Estimate)
-
Departments and/or programs being housed
with the associated asf as described in the approved PPG
-
Types of spaces as identified in the approved PPG (i.e. classrooms,
teaching laboratories, research laboratories, faculty and/or administrative
offices, support space)
A simple and brief physical description of the design solution (Stories,
type of construction and proposed materials)
-
Location on campus
-
Suggestions:
-
Do not repeat the PPG justification,
the project has already been justified and funded.
-
Do not glorify the physical or
aesthetic attributes of the design solution.
-
Refer to the project's description in
the Regents Budget for simplicity in format.
-
Discuss any significant changes in scope, budget or schedule with
Office of the President staff to determine if those changes should
be addressed in the description.
COST ESTIMATE
Include a Summary of the Cost
Estimate to identify those items not covered
in the cost estimate for separate/specialty
bids, work performed by campus work forces
or direct purchases which are included in the construction
costs indicated on
the CIB. Format
the summary so that the costs in the estimate and separate contracts
match the totals indicated for each of the CIB line items 0, 1,
2, and 4. The purpose of the summary
is to make the connection between the estimate
and CIB simple and understandable
for a reviewer
either at DOF or UCOP.
Identify the CCCI
used for the estimate. If
it is different from the CCCI of the CIB
which is being submitted, adjust the estimate
to the CCCI of the CIB on the Summary
of the Cost Estimate.
Both preliminary plans
and working drawing estimate should
not rely on "lump sum" or "allowance" categorical estimates. Normal
detailed takeoffs are expected for estimate items.
Cost estimate
should not display an allowance specifically
for design contingency. While it may be prudent to have
a design contingency during preliminary plans in normal industry
practice, the only identified
contingency acceptable to the Legislature is
designated in the CIB Line 9 "Contingency" for change orders
in construction.
Construction costs should be escalated for inflation during construction
(typically using the midpoint), based on the current project schedule.
Cost estimate should show separate lines for
general contractor overhead and profit.
If mechanical and/or electrical consultants are providing their
own cost estimate check for consistency to the items listed above.
Do not report $/sf by Specifications Division
in the cost estimate summary. This information
should be included only in the Cost Plan Summary.
Review the estimate for "Red Flag Items/Verbiage" and
make appropriate modifications as needed before sending to OP.
Include a separate sheet for cost estimates
of alternates. Estimated
costs should be identified in cover letter.
AREA RECONCILIATION
The preliminary
plan submittal should include a table that lists the areas
(space type,
and total asf per space type) of the project
as approved in the PPG or latest
amended PPG and the area allocations as currently
designed and presented in the submittal. Do not use
the DPP numbers. Do
not include an additional column indicating
the difference between the two columns (PPG vs. Preliminary
Plans).
The working drawing
submittal compares the areas of the project
as presented in the preliminary plan submittal,
or as authorized in subsequent legislation,
to the area presented in the current submittal. The reconciliation
should indicate a breakdown by category of room or function
(space
type) within
each major user group/section, using a list
of categories and rooms that is consistent with earlier submittals
and
the PPG.
Be sure these numbers correspond with the project's description,
the CIB, and the cost estimate.
Note any deviations from the last approved submittal in the
transmittal/cover letter with a complete explanation so that
UCOP can effectively explain
the deviation if questioned during State review of the submittal.
PROJECT SCHEDULE
Date on the
schedule should reflect the date of the current submission,
even if no other changes are
required.
Schedule should
be realistic as it is a commitment between
the University and the State. The start
and completion dates for each phase are included
in the supplemental language of the State Budget Act in which
the appropriation
was made.
The format and phases/steps identified in the schedule are as defined
in the guidelines for preparation of the Project Schedule.
Revenue Bond funded projects should allow
approximately six weeks for SPWB approval after the completion
of working drawings. The
Bid and Award period should be approximately
three to four months long, depending on the length of the bid,
to include enough
time
to submit
the bids and request DOF concurrence to award
the construction contract.
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Included
during the Working Drawing and/or Agency Review
time periods (prior to DOF/SPWB
Review)
are actions by The Regents,
UC General Counsel, DOF and State Treasurer for
the Leases (Site and Facility, or Equipment)
and
Construction (or Equipment)
Agreement required for a Revenue Bond funded
project. The
campus must submit a Regents Item for the Approval
of the Leases and Agreement for the Regents
meeting approximately two
months prior to when the SPWB action is planned. The
campus must also submit to General Counsel, with
a cc to Principal Architect Maguire, a copy of
the Legal
Description for the property
and a Boundary Survey (legal size format please). The
Leases and Agreement must be signed
by The Regents prior the
SPWB taking action.
-
Do not indicate internal campus
processes on the Project Schedule.
CAPITAL IMPROVEMENT
BUDGET
(CIB)
-
Funding Schedule
-
-
All "prefunded" amounts
remain at the actual dollar figure as funded (i.e. don't
increase to
reflect new CCCI/EPI).
-
Current fiscal year request and
all future funding requests are calculated at the CCCI/EPI of
the current fiscal year as shown on the CIB.
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Construction Costs
Construction costs are
to be based on the consultant's detailed
cost estimate, plus any work
bid separately or by campus workforce
that has not been included in the consultant's cost estimate. Examples: Separate
grading contract, telecommunications,
asbestos, air balance, direct purchase, etc.
Present these additional costs
and their distribution to CIB lines in a Summary of Cost Estimate
to which the consultant's detailed cost estimate is attached.
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Status of Project
-
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Analytical Data
-
-
The top line is for the
asf per PPG from the latest approved PPG, PPG Addendum,
or Preliminary
Plans. Include the date of the last approved document
in parens on the left hand side adjacent to ASF/PPG.
The second line is
for the current submittal's asf. Be
sure the asf matches the asf of the
project description and the area
reconciliation.
Under unit costs, the construction cost
per asf and ogsf is based on Line 1 Construction only.
Even if no other changes to the CIB are required, the date should
be revised to reflect that the CIB is based on the cost estimate provided
with the submittal.
COST PLAN SUMMARY
The Cost Plan Summary is a summary
listing of the major estimate categories of the project which includes
the following information for each major component system category:
-
unit cost per ogsf excluding
contractor’s markup
-
total cost per category
excluding contractor’s markup
-
unit cost per ogsf including
contractor’s markup
-
total cost per category
including contractor’s markup
The Cost Plan Summary should include subtotals of the building component categories
separate from costs related to the site.
DRAWING
SETS
(PRELIMINARY PLANS and WORKING DRAWINGS)
Plans submitted should fully
describe the project and include all disciplines as applicable
(Civil, Architectural,
Structural, Electrical, Mechanical, Plumbing, Laboratory,
Landscape). Preliminary
plans are design development level documents and should include
all disciplines which are related to the project. The
working drawings submittal shall be the final bid document
set.
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Design must conform to the scope
and budget delineated in the PPG.
-
Room designations should be consistent
with the list defined in the PPG and/or preliminary plans.
-
The design presented should be
a cost-effective solution.
-
-
-
-
-
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Suggestions:
-
Review the documents for elements
that have been revised or deleted as part of value engineering
and be sure there are no conflicts with the PPG.
-
The date indicated on the drawings
should be identical to the date of the drawings used to prepare
the cost estimate.
-
Review the landscape drawings for differences
in sizes and materials from that indicated in the cost estimate.
-
Indicate the submission status in the title block, i.e. preliminary
plans or working drawings.
-
Review the drawings to ensure that the consultant has not indicated
a percentage of completion; plans are to be complete and final for
that phase.
-
Check for "Red Flag Items/Verbiage" also
apply here.
-
Working Drawings shall have the State Fire Marshal and the Office
of the State Architect stamp and signature.
OUTLINE OR FINAL SPECIFICATIONS
Check for "canned" specifications
that include items that are not part of the project.
Include the Instructions
to Bidders and the related Boiler Plate. This
material provides information needed by bond
counsel (State) for Revenue
Bond funded
projects.
Include all alternates in working drawings submittal.
State Fire Marshal and Office of the State Architect stamp and signature
on final (working drawings) specifications.
RED FLAG ITEMS
or VERBIAGE
(Unless specifically identified in the approved PPG to meet program
needs)
The State, because of budget limitations,
only funds projects and items in projects that are demonstrably cost
effective in providing the spaces and support for approved program
uses. The following items have in the past caused the State
to question the appropriateness of allocating State funds for costs
associated with these items. In some cases these costs have
been disallowed and deducted from the project. Review all submitted
documents for the following items and modify the description or the
design as necessary avoid raising concerns about appropriate use
of State funds. If the campus wishes to include special items
of the types listed in the construction of the project, it should
consider doing so with campus funds.
Large box trees
(over 24" box). The
typical tree size approved by the State is 5-gallon.
Landscaped pedestrian malls
Excessive quantity or high
cost landscape furnishings or bollards
High cost interior or exterior finishes (i.e. wood paneling, decorative
metal ceilings, copper roof)
High cost applied facade treatments (i.e. premium quality limestone,
and other extraneous high cost materials or features applied for aesthetic
affect only)
-
Unit kitchens or residential kitchen equipment
and use of terms such as lounge, kitchen and coffee rooms
in State-supportable program space.
-
Elaborate skylights and atria
-
Free standing canopies/arcades/towers (attached "arcade" should
be called "exterior covered walkway")
Balconies, terraces or roof top planters
-
Visiting Scholar or Emeritus offices
-
Commons (Use of label "Lobby" or "Interaction
Area" ok
if the space was programmed as such)
-
Trellis (If function can be described as a
sunscreen for shading/energy conservation purposes, call it
a sunscreen)
-
Use of term "extra" for finishes or type of
configuration in the cost estimate (just name the finish and
$/sf)
-
High cost hand/guard rails (i.e. glass and/or
stainless steel)
-
High cost storefront/window system (i.e. teak,
mahogany)
-
Use of the terms "custom" or "premium" or "architectural" for
fixtures, finishes, or type of configuration in the cost estimate
(just name
the fixture, finish or configuration followed by the unit cost,
the quantity and the total line cost.)
Do not include any Group
2&3 Equipment (any
equipment that is not physically attached, hardwired,
ducted, plumbed, or permanently
made a part of the building, e.g., free standing tables
Special high cost pavements not required by the function
of the program
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