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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 E-Signature Instructions - Adobe Pro DC Edition
Minor Capital E-Signature Instructions - Adobe Reader DC Edition
Minor Capital Project Workflow

Minor capital improvement projects are capital improvements costing over $35,000 and not more than $1,000,000 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. A project is assigned to a Design & Construction Services (DCS) Project Manager. The assignment of a project is confirmation that the DCS Director and the Budget & Planning (B&P) Director of Capital Development authorize the project manager to proceed with the project using the Minor Capital Project process.
  2. The DCS Project Manager works with the Originating Department to establish a strategy to execute and fund the planning and design phases of the project.
  3. Prior to completion of the Construction Document Phase the DCS Project Manager will provide a final pre-bid cost estimate for the project, the Project Name, Project Number, CAAN (Building number prefixed with campus location number [8], i.e. 8545) and obtain an Environmental Impact Classification (EIC) from Campus Planning & Design. DCS then confirms the account number with the Originating Department for the appropriate fund sources, item VI.
  4. The DCS Project Manager completes the Minor Capital Project checklist.
  5. The completed Minor Capital Project Approval Form and attachments, inclusive of the DCS Director signature and Department/Control Point signature is delivered to Office of Budget & Planning to be processed for administrative approvals.
  6. B&P will notify the Originating Department of project approval and forward a copy of the Minor Capital Project Approval Form containing all project approval signatures to the Originating Department and to DCS.
  7. Once the project is approved by the Chancellor, B&P will notify the UCSB Business and Financial Services 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 the project is bid for construction.
  8. Once bids are receive, if the project cost exceeds the budget, either scope reductions will be made and the project rebid or additional funding must be approved and a Revised Minor Capital Project form must be processed and the additional funding transferred to the Plant Account before proceeding with construction.
  9. Upon project completion, surplus funds will be returned to the Department and the plant account will be closed.

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.