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University of California Santa Barbara
Capital Development

Minor Capital Improvements

Minor Capital Improvement Program Project Approval Form
Guidelines and Processing for Minor Capital Projects

Minor capital improvement projects are capital improvements costing over $35,000 and not more than $750,000 from all sources. This threshold is set by the State and is adjusted from time to time. The University historically has kept its definition of major and minor capital improvement projects in line with that of the State.

Processing for a Minor Capital Improvement Project:

  1. Originating Department completes items I & II, obtains appropriate drawings or sketches and gets an estimate of cost prepared by either Design & Construction Services (D&CS), or Physical Facilities.
  2. D&CS or Physical Facilities will estimate the project, provide the Project Name and Project Number, and obtain an Environmental Impact Classification (EIC) from Campus Planning & Design (CP&D). D&CS then returns the package to the originator for the appropriate fund sources, item VI and department approval, item VII.
  3. Completed side one of form, with attachments, is delivered to Michael McGrogan in the Office of Budget and Planning to be processed for approvals.
  4. Once the project is approved, the Office of Budget and Planning will notify the Accounting Office to transfer the budgeted funds to the capital outlay account to establish the Plant Account. The entire amount noted as "Total Estimated Project Cost" must be transferred to a Plant Account before any work begins.
  5. Budget and Planning will notify the Originating Department of project approval and forward a copy of the form containing all project approval signatures, to the Originating Department and to either D&CS or Physical Facilities for project implementation. Upon receipt of this information, a project manager will be assigned to oversee the project through completion.
  6. Upon completion of each phase of the project development, the project manager will provide a current financial Project Status Report for review with the Departmental Representative. If the project cost is projected to exceed the original budget amount, either scope reductions will be made, or additional funding must be approved, and amendment must be processed and the additional funding transferred to the Plant Account before proceeding with the next phase of work.
  7. Upon project completion, surplus funds will be returned to the Department and the plant account will be closed.
    Feasibility studies that exceed one (1) hour will be billed to the department if the project isn't implemented.

Expenditure of Operating Funds for Capital Purposes:

The 2009 Budget Act provides that up to $100,000 of operating state general funds may be used for capital purposes as long as the total cost of the project from all fund sources does not exceed $750,000, effective September 14, 2009. No more than $100,000 of the funds appropriated for support purposes may be encumbered for preliminary plans, working drawings, or construction of any project for the alteration of a State Facility.

California State Lottery Act:

California State Lottery Education funds cannot be used for capital purposes. Section 8880.5. Allocations for Education; Payments, of the California State Lottery Act stipulates,"All funds from the California State Lottery Education Fund shall be used exclusively for the education of pupils and students and no funds shall be spent for acquisition of real property, construction of facilities, financing of research, or any other noninstructional purpose.