Brock University Capital Planning & Project Management ...€¦ · This Project Management Manual has been created as an internal resource for Brock University’s Capital Planning

Version 2.1 – March 2020

Brock UniversityCapital Planning & Project Management

Project Management

Manual

Project Management Manual

Table of Contents

Version 2.1, March 2020 Page i

Table of Contents

1. Introduction ............................................................................................................ 1

1.1 Overview .......................................................................................................... 1

1.2 Objectives ......................................................................................................... 1

1.3 Organization ..................................................................................................... 1

1.4 Supporting Documents ..................................................................................... 2

1.5 Version Control ................................................................................................. 9

1.6 Deviation Form ............................................................................................... 10

1.7 Glossary of Acronyms .................................................................................... 10

2. Organizational Design ......................................................................................... 14

2.1 Governance .................................................................................................... 14

2.1.1 Bicameral Governance of Brock University ............................................... 14

2.1.2 The Brock University Act ........................................................................... 14

2.1.3 Board of Trustees ...................................................................................... 14

2.1.4 Senate ....................................................................................................... 15

2.2 Organizational Structure ................................................................................. 16

2.2.1 Facilities Management ............................................................................... 16

2.2.2 Capital Planning & Project Management ................................................... 17

2.3 Budget Process .............................................................................................. 17

2.3.1 Review Fiscal Framework .......................................................................... 18

2.3.2 Issue Call for Projects ................................................................................ 20

2.3.3 Receive Project Initiation Forms ................................................................ 20

2.3.4 Review Project Initiation Forms and Assess Needs .................................. 20

2.3.5 Space Request Procedure ......................................................................... 21

2.3.6 Evaluate and Prioritize Projects ................................................................. 22

2.3.7 Develop Five-Year LTCP ........................................................................... 22

2.3.8 Approve Five-Year LTCP ........................................................................... 22

2.4 Funding Sources ............................................................................................ 23

2.5 Types of Projects ............................................................................................ 23

2.6 Project Charter ............................................................................................... 24


Table of Contents

Version 2.1, March 2020 Page ii

2.7 Project Structure ............................................................................................. 25

2.8 Roles and Responsibilities ............................................................................. 25

2.9 Document Management ................................................................................. 27

2.10 Scope-Cost-Time............................................................................................ 29

2.10.1 Work Breakdown Structure .................................................................... 30

2.10.2 Monitoring .............................................................................................. 30

2.11 Project Management ...................................................................................... 31

2.12 Delegation of Authority Policy ......................................................................... 32

2.13 Purchasing Policy ........................................................................................... 32

3. Project Planning and Initiation ............................................................................ 33

3.1 Project Scoping .............................................................................................. 33

3.2 Feasibility Study ............................................................................................. 34

3.3 Project Budget ................................................................................................ 34

3.3.1 Project Budget Sheet ................................................................................. 34

3.3.2 Contingencies ............................................................................................ 35

3.3.3 Moving Costs ............................................................................................. 36

3.4 Cost Estimating .............................................................................................. 36

3.5 Project Schedule ............................................................................................ 36

3.6 Cash Flow Projection ...................................................................................... 37

3.7 Stakeholder Identification ............................................................................... 37

3.8 Approvals and Permits ................................................................................... 38

3.9 Risk Management........................................................................................... 40

3.9.1 Risk Management Plan.............................................................................. 40

3.9.2 Risk Management Procedure .................................................................... 40

3.9.3 Insurance and Bonding .............................................................................. 44

4. Execution .............................................................................................................. 45

4.1 Retention of Professional Services ................................................................. 45

4.1.1 Exception Certification ............................................................................... 45

4.1.2 ID Cards for Professional Service Providers .............................................. 45

4.2 Standard Bid Documents ................................................................................ 47

4.3 Standing Offer Agreements ............................................................................ 48


Table of Contents

Version 2.1, March 2020 Page iii

4.3.1 Establishment of New Standing Offer Agreements .................................... 48

4.3.2 Initiating Consultant Work Under SOA ...................................................... 49

4.4 Purchase Requisition ...................................................................................... 50

4.5 Professional Services Agreement................................................................... 51

4.5.1 Projects with Professional Fees Greater Than $100,000 .......................... 51

4.5.2 Projects With Professional Fees Less Than $100,000 .............................. 51

4.6 Consultant Invoicing ....................................................................................... 52

4.6.1 Monthly Invoice .......................................................................................... 52

4.6.2 Invoiced Amount Approvals ....................................................................... 52

4.6.3 Payment and Cost Tracking ...................................................................... 52

4.7 Interruption of Professional Services .............................................................. 53

5. Design ................................................................................................................... 54

5.1 Design Process .............................................................................................. 54

5.2 Design Considerations ................................................................................... 54

5.3 Design Team .................................................................................................. 55

5.4 Design Team Meetings ................................................................................... 57

5.4.1 Scheduling ................................................................................................. 57

5.4.2 Meeting Agenda and Review Documents .................................................. 57

5.4.3 Meeting Minutes ........................................................................................ 58

5.5 Support Studies and Expert Consultants ........................................................ 58

5.6 Stakeholder Input ........................................................................................... 59

5.7 Design Review ............................................................................................... 61

5.8 Cost Estimating .............................................................................................. 62

5.8.1 Operating and Maintenance Costs ............................................................ 64

5.9 Value Engineering .......................................................................................... 65

6. Pre-Construction .................................................................................................. 66

6.1 Project Contracting Strategy ........................................................................... 66

6.2 Contractor Pre-Qualification ........................................................................... 67

6.3 Approvals and Permits ................................................................................... 68

6.4 Tender Package ............................................................................................. 68

6.5 Addenda ......................................................................................................... 68


Table of Contents

Version 2.1, March 2020 Page iv

6.6 Tender Evaluation and Award ........................................................................ 69

6.6.1 Bid Analysis ............................................................................................... 69

6.7 Insurance and Bonding ................................................................................... 69

6.8 Contractor Purchase Requisition .................................................................... 70

6.9 Agreement / Contract ..................................................................................... 70

6.9.1 Projects With Construction Costs Greater Than $100,000 ........................ 70

6.9.2 Projects With Construction Costs Less Than $100,000 ............................. 71

6.9.3 Supplier Purchasing Contract .................................................................... 71

6.10 Communication Plan ...................................................................................... 72

6.10.1 Audience ................................................................................................ 73

6.10.2 Content ................................................................................................... 74

6.10.3 Methods of Communication .................................................................... 76

6.10.4 Project Status Reports ........................................................................... 78

6.10.5 Requests and Follow-Up ........................................................................ 79

6.10.6 Communication Reminders .................................................................... 79

7. Construction ......................................................................................................... 80

7.1 Pre-Construction Meeting ............................................................................... 80

7.1.1 Scheduling ................................................................................................. 80

7.1.2 Meeting Agenda ........................................................................................ 81

7.2 Site Meetings .................................................................................................. 85

7.3 Contractor Health and Safety ......................................................................... 85

7.4 Procedure for Hot Work Permit ...................................................................... 86

7.5 Procedure for Scheduling Work on Fire Protection Equipment ...................... 88

7.6 Securing and Housekeeping of the Site ......................................................... 90

7.7 Quality Control ................................................................................................ 91

7.7.1 Quality Program Overview ......................................................................... 91

7.7.2 Quality Control ........................................................................................... 92

7.7.3 Quality Control Plan Phasing ..................................................................... 92

7.8 Schedule Management ................................................................................... 93

7.9 Requests for Information ................................................................................ 93

7.10 Change Management ..................................................................................... 94


Table of Contents

Version 2.1, March 2020 Page v

7.10.1 Supplemental Instruction ........................................................................ 94

7.10.2 Contemplated Change Notice (CCN) and Change Order (CO) .............. 94

7.10.3 Change Directive .................................................................................... 95

7.10.4 Tracking of Changes .............................................................................. 97

7.11 Shop Drawings / Submittals ........................................................................... 97

7.12 Factory and Site Acceptance Testing ............................................................. 97

7.13 Project Budget Management .......................................................................... 98

7.14 Monthly Progress Payments ........................................................................... 98

7.15 Inspectors Log / Field Reviews ..................................................................... 101

7.15.1 Photographs ......................................................................................... 101

7.16 Deficiencies .................................................................................................. 101

8. Commissioning .................................................................................................. 102

8.1 Work Included .............................................................................................. 102

8.2 Abbreviations ................................................................................................ 102

8.3 Commissioning Authority .............................................................................. 103

8.4 Coordination ................................................................................................. 103

8.4.1 Commissioning Team .............................................................................. 103

8.4.2 Management ............................................................................................ 103

8.4.3 Scheduling ............................................................................................... 103

8.5 Commissioning Process ............................................................................... 104

8.5.1 Commissioning Plan ................................................................................ 104

8.5.2 Commissioning Process .......................................................................... 104

8.6 Commissioning Responsibilities ................................................................... 106

8.7 Systems to be Commissioned ...................................................................... 107

8.8 Commissioning Meetings ............................................................................. 108

8.9 Startup, Commissioning Datasheet, and Initial Checkout ............................. 108

8.9.1 General .................................................................................................... 108

8.9.2 Startup and Initial Checkout Plan ............................................................ 109

8.9.3 Execution of Commissioning Datasheets and Startup ............................. 109

8.9.4 Deficiencies, Non-Conformance and Approval in Checklists and Startup 110

8.10 Functional Performance Testing ................................................................... 110


Table of Contents

Version 2.1, March 2020 Page vi

8.10.1 Objectives and Scope .......................................................................... 110

8.10.2 Test Methods........................................................................................ 111

8.10.3 Development of Test Procedures ......................................................... 111

8.10.4 Setup .................................................................................................... 111

8.10.5 Sampling .............................................................................................. 111

8.10.6 Coordination and Scheduling ............................................................... 112

8.10.7 Problem Solving ................................................................................... 112

8.11 Documentation, Non-Conformance and Approval of Tests .......................... 112

8.11.1 Documentation ..................................................................................... 112

8.11.2 Non-Conformance ................................................................................ 112

8.11.3 Approval ............................................................................................... 113

8.12 Operation and Maintenance Manuals ........................................................... 113

8.13 Training of Owner O&M Staff ....................................................................... 113

8.14 Seasonal Testing .......................................................................................... 115

8.15 System Operation Manual ............................................................................ 115

8.16 Quality Assurance Development .................................................................. 115

9. Post Construction and Project Closeout ......................................................... 116

9.1 Post Construction and Project Closeout Procedures .................................... 116

9.2 Internal Closeout Procedures ....................................................................... 117

9.3 Lessons Learned Procedures ....................................................................... 119

9.3.1 Post Occupancy Evaluation Survey ......................................................... 119

9.3.2 Lessons Learned Workshop .................................................................... 120

List of Tables

Table 1. Supporting Documents and Templates ............................................................. 2

Table 2. Project Management Manual Version Control ................................................... 9

Table 3. Glossary of Acronyms ..................................................................................... 10

Table 4. Funding Sources ............................................................................................. 23

Table 5. Roles and Responsibilities .............................................................................. 26

Table 6. Project Filing System ....................................................................................... 28


Table of Contents

Version 2.1, March 2020 Page vii

Table 7. Typical Types of Approvals and Permits ......................................................... 38

Table 8. Methods of Managing Risk .............................................................................. 42

Table 9. Standard Bid Documents ................................................................................ 47

Table 10. Design Considerations .................................................................................. 54

Table 11. Stakeholder Consultation Details and Timeline ............................................. 59

Table 12. Summary of Design Review Milestones ........................................................ 61

Table 13. CCA Classes of Cost Estimates .................................................................... 63

Table 14. CCDC Contracts ............................................................................................ 71

Table 15. Types of Project Information to Communicate............................................... 75

Table 16. Methods of Communication ........................................................................... 77

Table 17. Pre-Construction Meeting Invitees ................................................................ 80

Table 18. Pre-Construction Meeting Agenda Topics ..................................................... 81

Table 19. Change Order Process .................................................................................. 95

Table 20. Change Directive Process ............................................................................. 96

Table 21. Payment Certificate Process ......................................................................... 98

Table 22. Commissioning Acronyms ........................................................................... 102

Table 23. Matrix of Commissioning Responsibilities ................................................... 106

Table 24. Summary of Internal Project Closeout Procedures ...................................... 117

List of Figures

Figure 1. PMI’s Project Life Cycle and PMM Organization .............................................. 2

Figure 2. FM Organizational Structure .......................................................................... 16

Figure 3. CPPM Organizational Structure ..................................................................... 17

Figure 4. LTCP Development Process .......................................................................... 19

Figure 5. Project Structure ............................................................................................ 25

Figure 6. Project Management Triangle ........................................................................ 30

Figure 7. Retention of Professional Services ................................................................ 46

Figure 8. Phases of the Design Process (Based on OAA 600-2013) ............................ 56

Figure 9. Prompt Payment Concepts .......................................................................... 100

Figure 10. Post Construction and Project Closeout Milestones ................................... 116


Table of Contents

Version 2.1, March 2020 Page viii

List of Appendices

Appendix A. Project Management Manual Deviation Form ......................................... 122

This Project Management Manual has been created as an internal resource for Brock

University’s Capital Planning and Project Management staff. Brock University makes no

representations, warranties or guarantees as to the accuracy or sufficiency of the

information contained in this Project Management Manual.

Professional service providers engaged by Brock University shall provide advice and

services in accordance with their contracts, agreements, legislation and professional and

industry standards. Where there are any discrepancies, contracts, agreements,

legislation and professional and industry standards shall take precedence over this

Project Management Manual.


1. Introduction

Version 2.1, March 2020 Page 1

1. INTRODUCTION

1.1 Overview

This Project Management Manual (PMM) has been created as an internal resource for

Brock University Facilities Management (FM), Capital Planning and Project Management

(CPPM) staff. It outlines a framework for managing projects from initiation through to

project closeout and can be adapted to all types and scale of projects.

This manual has been developed based upon the Brock context, incorporating and/or

referencing existing Brock University policies, procedures and guidelines, where

applicable. Principles of the Project Management Institute’s (PMI) Project Management

Body of Knowledge (PMBOK) Guide, a best practice in the industry, have also been

incorporated.

1.2 Objectives

The objectives of this manual are:

• To establish a consistent project management framework for the Brock context

based upon best practices and PMI project management principles;

• To document key roles and responsibilities from project initiation through to

closeout;

• To ensure appropriate reviews and approvals are obtained from all stakeholders;

• To ensure projects are managed to allow for a goal of successful completion; and

• To serve as a training and orientation tool for CPPM staff.

1.3 Organization

The PMBOK defines the project life cycle in terms of starting the project, organizing and

preparing, carrying out the work, and ending the project. Figure 1 illustrates how the

organization of this PMM relate to PMI’s project life cycle. The numbers listed in Figure

1 correspond to the section numbers of this manual.


1. Introduction


Figure 1. PMI’s Project Life Cycle and PMM Organization

1.4 Supporting Documents

Several supporting documents and templates are referenced throughout this PMM. In

each case, the document title is in red, bolded font. A listing of all supporting documents

as well as information about their retrieval is included in Table 1.

Table 1. Supporting Documents and Templates

Section Document Name Document Owner Year Retrieval

Various PMBOK Guide, 6th Edition

Project Management Institute

2017 PMBOK Guide and Standards

1.6

Project Management Manual Deviation Form

Brock University FM 2019 Appendix A

1.7 Building Codes Brock University FM 2018 Building Codes

2.1 Brock University Act Brock University 1971 Brock University Act

2.1 Brock University Bylaw #1

Brock University 2017 Brock University Bylaw #1

Starting the

Project

Organizing

and Preparing

Carrying Out

Work

Ending the

Project

2. Organizational

Design

3. Project Planning

and Initiation

4. Execution

5. Design

6. Pre-Construction

7. Construction

8. Commissioning

9. Post Construction

and Project

Closeout

Project Life Cycle

Corresponding Project Management Manual Sections

https://www.pmi.org/pmbok-guide-standards

https://www.pmi.org/pmbok-guide-standards

https://brocku.ca/blogs/campus-map/building-codes/

https://brocku.ca/university-secretariat/governance/brock-university-act/




1. Introduction



2.1 Brock University Strategic Mandate Agreement

Brock University 2017 Brock University Strategic Mandate Agreement

2.3 Project Initiation Form

Brock University FM Virtual Library

2.3.5, 5.2

Space Management Policy


2.3.5, 5.2

Space Management Framework


2.3.5, 5.2

Space Request Procedures


2.3 Project Prioritization Matrix


2.3 Long Term Capital Plan

Brock University

Updated

Annually

Financial Services site, Annual Report

2.5 Project Charter Form


2.9 Project Filing System


2.10, 3.3, 4.6

Project Budget Tracking Sheet


2.12 Delegation of Authority Policy

Brock University 2018 Delegation of Authority Policy

2.12, 4.5, 6.9

Request for Signature Form

Brock University FM 2019 Virtual Library

2.13, 4.1, 4.2

Purchasing Policy Brock University 2016 Purchasing Policy

2.13 Broader Public Sector Procurement Directive

Government of Ontario

2011 Broader Public Sector Procurement Directive

3.1 New Project Request Form


3.1, 4.3 Consultant Services Request Form


https://brocku.ca/vp-academic/



https://brocku.ca/about/university-financials/

https://brocku.ca/about/university-financials/

https://brocku.ca/policies/wp-content/uploads/sites/94/Delegation-of-Authority-Policy.pdf

https://brocku.ca/policies/wp-content/uploads/sites/94/Delegation-of-Authority-Policy.pdf

https://brocku.ca/vendors/wp-content/uploads/sites/44/Purchasing-Policy-July-2016.pdf

https://www.doingbusiness.mgs.gov.on.ca/mbs/psb/psb.nsf/EN/bps-procurementdirective




1. Introduction



3.4, 5.8 Guide to Cost Predictability in Construction

Canadian Construction Association

2012 Guide to Cost Predictability in Construction

3.6 Cash Flow Projection Spreadsheet


3.9 Risk Checklist Brock University FM 2019 Virtual Library

3.9 Risk Register Brock University FM 2019 Virtual Library

4.1 Exception Certification

Brock University Procurement Services

Virtual Library

4.1, 7.1

FMOP 5-7: Contractor/ Consultant Identification Cards

Brock University FM 2010

FMOP 5-7: Contractor/ Consultant Identification Cards

4.1, 7.1

FMOP 5-7: Contractor/ Consultant Identification Cards, Annex A


FMOP 5-7: Contractor/ Consultant Identification Cards, Annex A

4.1, 7.1

FMOP 5-7: Contractor/ Consultant Identification Cards, Annex B


FMOP 5-7: Contractor/ Consultant Identification Cards, Annex B

4.2 Confidentiality and Conflict of Interest Waiver


Virtual Library

4.2 Request for Proposals


Virtual Library

4.2 Request for Quotations


Virtual Library

4.2 Request for Supplier Qualifications


Virtual Library

https://www.cca-acc.com/wp-content/uploads/2016/07/GuideCostPredictability.pdf



https://brocku.ca/facilities-management/wp-content/uploads/sites/84/FMOP-5-7.pdf




https://brocku.ca/facilities-management/wp-content/uploads/sites/84/FMOP-5-7-A.pdf





https://brocku.ca/facilities-management/wp-content/uploads/sites/84/FMOP-5-7-B.pdf






1. Introduction



4.4, 6.8 Workday (Financial & HR Software)

Brock University My Brock

4.4, 6.8 Workday Help Function

Brock University My Brock

4.4, 4.5, 6.8

Purchase Order Terms and Conditions


Purchase Order Terms and Conditions

4.5, 5.1

Standard Form of Contract for Architect’s Services, Document 600-2013

Ontario Association of Architects

2013 OAA 600-2013

4.5

Instructions for Completing Ontario Association of Architects Document 600-2013

Ontario Association of Architects

2013 Instructions for Completing OAA 600-2013

4.5 Supplementary Conditions to OAA 600–2013


4.5 MEA/CEO Standard Agreement

Consulting Engineers of Ontario

2018 MEA/CEO Standard Agreement

5.2 Campus Plan Brock University 2016 Campus Plan

5.2 Facility Accessibility Design Standards

Brock University 2014 Facility Accessibility Design Standards

5.2 Accessibility Audit Brock University 2012 Accessibility Audit

5.2, 6.4, 7.12

Brock University Design Standards


5.2, 9.1

FMOP 5-2: Construction Document Set-Up and Project Submission Requirements


FMOP 5-2: Construction Document Set-Up and Project Submission Requirements

https://brocku.ca/vendors/wp-content/uploads/sites/44/Purchase-Order-Terms-Conditions-2.pdf



https://www.oaa.on.ca/professional%20resources/documents/Contracts/OAA%20600




https://ceo.on.ca/MEA-CEO_Standard_Agreement

https://ceo.on.ca/MEA-CEO_Standard_Agreement

https://brocku.ca/facilities-management/wp-content/uploads/sites/84/Campus-Plan.pdf

https://brocku.ca/accessibility/facility-accessibility-design-standards-fads/


https://brocku.ca/accessibility/accessibility-audit/

https://brocku.ca/facilities-management/wp-content/uploads/sites/84/BUDM-Design-Standard-Final-Effective-180904.pdf








1. Introduction



5.2, 9.1

FMOP 5-2: Construction Document Set-Up and Project Submission Requirements, Annex A


FMOP 5-2: Construction Document Set-Up and Project Submission Requirements, Annex A

5.2, 9.1

FMOP 5-2: Construction Document Set-Up and Project Submission Requirements, Annex B


FMOP 5-2: Construction Document Set-Up and Project Submission Requirements, Annex B

5.2 Building Condition and Deferred Maintenance Audits

Brock University FM By request to Director, CPPM

5.2 Facility Needs and Priorities Study

Brock University FM 2017 Facility Needs and Priorities Study

5.2 Environmental Sustainability Plan

Brock University 2019 Environmental Sustainability Plan

5.4 Capital Project Review Form


6.2 Guide to Pre-Qualification of Contractors

Ontario General Contractors Association

2006 Guide to Pre-Qualification of Contractors

6.4 Invitation to Tender Brock University Virtual Library

6.4

Ontario Provincial Standards for Roads and Public Works

Government of Ontario

Ontario Provincial Standards for Roads and Public Works

6.4 Niagara Peninsula Standard Contract Document

Niagara Region Niagara Peninsula Standard Contract Document

6.4 Guidelines - Niagara Peninsula Standard Contract Document

Niagara Region

Guidelines – Niagara Peninsula Standard Contract Document

















https://brocku.ca/sustainability/

https://brocku.ca/sustainability/

http://procurementproject.ca/wp-content/uploads/2012/11/A-Guide-to-Prequalification-of-Contractors_-OGCA.pdf



http://www.raqsb.mto.gov.on.ca/techpubs/OPS.nsf/OPSHomepage




https://www.niagararegion.ca/business/tenders/npscd/



https://www.niagararegion.ca/business/tenders/npscd/guidelines.aspx





1. Introduction



6.6 Tender Opening Record


6.9 CCDC 2 – Stipulated Price Contract (2008)

Canadian Construction Documents Committee

2008 CCDC 2 – 2008

6.9

CCDC 5B – Construction Management Contract – for Services and Construction


2010 CCDC 5B – 2010

6.9 CCDC 14 – Design-Build Stipulated Price Contract


2013 CCDC 14 – 2013

6.9 Supplementary Conditions to CCDC 2


6.9 Supplementary Conditions to CCDC 5B


6.10 Communication Plan Template


7.1 Pre-Construction Meeting Agenda Template


7.1 Occupational Health and Safety Policy

Brock University Annual Review

Occupational Health and Safety Policy

7.1 Project Contact List Template


7.1, 7.3 Respectful Work and Learning Environment Policy

Brock University 2018 Respectful Work and Learning Environment Policy

7.1 FMOP 2-9: Operation of Elevators

Brock University FM 2012 FMOP 2-9: Operation of Elevators

http://www.ccdc.org/document/ccdc2/

http://www.ccdc.org/document/ccdc5b/

http://www.ccdc.org/document/ccdc14/

https://brocku.ca/policies/wp-content/uploads/sites/94/Occupational-Health-Safety-Policy.pdf

https://brocku.ca/policies/wp-content/uploads/sites/94/Occupational-Health-Safety-Policy.pdf

https://brocku.ca/policies/wp-content/uploads/sites/94/Respectful-Work-and-Learning-Environment-Policy.pdf







1. Introduction



7.1 FMOP 2-9: Operation of Elevators, Annex A

Brock University FM 2012 FMOP 2-9: Operation of Elevators, Annex A

7.1 FMOP 2-9: Operation of Elevators, Annex B

Brock University FM 2012 FMOP 2-9: Operation of Elevators, Annex B

7.1 FMOP 2-9: Operation of Elevators, Annex C

Brock University FM 2012 FMOP 2-9: Operation of Elevators, Annex C

7.1, 7.4 Application for Hot Work Permit

Brock University Virtual Library

7.1, 7.5

Application for Scheduled Work on Fire Protection Equipment

Brock University 2006 Virtual Library

7.1 FMOP 3-2: Utility Locates

Brock University FM 2014 FMOP 3-2: Utility Locates

7.1 FMOP 3-2: Utility Locates, Annex A

Brock University FM 2014 FMOP 3-2: Utility Locates, Annex A

7.3 Asbestos Management Plan


7.3 Hazardous Materials Information System

Brock University SharePoint site

7.9 Article About RFI’s Ontario Association of Architects

Getting the Upper-Hand on RFI’s

7.9 RFI Form Brock University FM 2019 Virtual Library

7.9 RFI Log Brock University FM 2019 Virtual Library

7.10 SI Form Brock University FM 2019 Virtual Library

7.10 Contemplated Change Notice Form


7.10 Change Order Form Brock University FM 2019 Virtual Library

7.10 Change Directive Form


7.10 Change Register Brock University FM 2019 Virtual Library







https://brocku.ca/facilities-management/wp-content/uploads/sites/84/FMOP-2-9-C.pdf







http://www.oaa.on.ca/professional%20resources/construction%20contract%20administration/RFI

http://www.oaa.on.ca/professional%20resources/construction%20contract%20administration/RFI


1. Introduction



9.1 Guide to Project Closeout Procedures

OAA/OGCA 2010 Guide to Project Closeout Procedures

9.1 Document 100 (Take-Over Procedures)

OAA/OGCA 2008 Document 100 (Take-Over Procedures)

9.1 Construction Act Government of Ontario

1990 Construction Act

9.2 Asset Surplus Redeployment Form


9.2 Retention Policy Brock University TBD Under development

9.2 Warranty Check Expiry Spreadsheet


9.3 Post Occupancy Evaluation Template


9.3 Lessons Learned Discussion Questions


1.5 Version Control

This PMM is intended to be a living document that will be updated and improved as

required. It will be reviewed periodically by Brock University’s CPPM team and each

revision will be approved by the Director. Table 2 documents the version history.

Table 2. Project Management Manual Version Control

Version Number

Date mm/dd/yy

Section(s) Description Approved By

1.0 05/21/19 All Initial issue of manual Director, CPPM

2.0 11/12/19 6.7, 6.9, 7.1, 9.2

Minor updates related to insurance and bonding, construction documents, pre-construction meeting, and post-construction tasks.

Director, CPPM

https://www.oaa.on.ca/images/docs/1304861860_OAAOGCAGuidetoProjectCloseoutProcedures.pdf



http://www.oaa.on.ca/images/docs/1288762420_Document_100_January_31_2008.pdf



https://www.ontario.ca/laws/statute/90c30


1. Introduction


Version Number

Date mm/dd/yy

Section(s) Description Approved By

2.1 03/04/20 7.2, 7.4, 7.5, 7.14

Addition of procedure for hot work permits (new Section 7.4), procedure for fire protection equipment (new Section 7.5) and figure related to prompt payment concepts (Figure 9).

Director, CPPM

1.6 Deviation Form

The framework presented in this PMM is to be used for all projects administered by

Facilities Management, although smaller projects may not require all of the processes

identified within the manual. If deviations from the manual occur, the Project Manager

shall document a description of the deviation, rationale for the deviation, and any impact

it is expected to have (i.e. on project scope, schedule, budget or other) using the Project

Management Manual Deviation Form. Supporting documentation will be attached as

necessary.

The Project Management Manual Deviation Form is included in Appendix A.

1.7 Glossary of Acronyms

Table 3 contains a summary of the acronyms used throughout this manual. Building

codes are listed separately on the Brock website.

Table 3. Glossary of Acronyms

Acronym Meaning

ACM Asbestos-Containing Material(s)

AODA Accessibility for Ontarians with Disabilities Act

BAFO Best and Final Offer

BAS Building Automation System

BUSU Brock University Students’ Union

CA Commissioning Authority




1. Introduction


Acronym Meaning

CBO Chief Building Official

CC Controls Contractor

CCA Canadian Construction Association

CCDC Canadian Construction Documents Committee

CCN Contemplated Change Notice

CD Change Directive

CDS Commissioning Datasheets

CEO Consulting Engineers of Ontario

CETA Comprehensive Economic and Trade Agreement

CFTA Canadian Free Trade Agreement

CO Change Order

CORD Coordination

COU Council of Ontario Universities

CPPM Capital Planning and Project Management

CRS Change Request Summary

CT Commissioning Team

DC Design Consultant

DUC Differing and Unforeseen Conditions

EC Electrical Contractor

FM Facilities Management

EASR Environmental Activity and Sector Registry

EO Errors and Omissions

FADS Facility Accessibility Design Standards

FMOP Facilities Management Operational Procedure

FRP Facilities Renewal Program

GC General Contractor or Contractor

GSA Graduate Students’ Association

HLSY Health and Safety

HSW Health, Safety and Wellness

ITS Information Technology Services


1. Introduction


Acronym Meaning

ITT Invitation to Tender

LEED Leadership in Energy and Environmental Design

LTCP Long Term Capital Plan

MC Mechanical Contractor

MEA Municipal Engineers Association

MECP Ministry of the Environment, Conservation and Parks

MOL Ministry of Labour

MTO Ministry of Transportation

NEC Niagara Escarpment Commission

NPCA Niagara Peninsula Conservation Authority

O&M Operations and Maintenance

OAA Ontario Association of Architects

OECM Ontario Education Collaborative Marketplace

OGCA Ontario General Contractors Association

PIF Project Initiation Form

PM Project Manager

PMBOK Project Management Body of Knowledge

PMI Project Management Institute

PMM Project Management Manual

PVP President/Vice-Presidents

QBS Qualifications Based Selection

QC Quality Control

RFI Request for Information

RFP Request for Proposals

RFPQ Request for Pre-Qualification

RFQ Request for Quotations

RFSQ Request for Supplier Qualifications

SI Supplemental Instruction

SOA Standing Offer Agreement

SOM System Operation Manual


1. Introduction


Acronym Meaning

SOR Statement of Requirements

SPC Supplier Purchasing Contract

SREC Space Request Evaluation Committee

TAB Test and Balance Contractor

URQ Users Request

VAV Variable Air Volume

VE Value Engineering


2. Organizational Design


2. ORGANIZATIONAL DESIGN

2.1 Governance

2.1.1 Bicameral Governance of Brock University

The bicameral system of governance of Brock University consists of two governing bodies

– the Board of Trustees and the Senate. Generally, the Senate is responsible for the

educational policy of the University, and the Board of Trustees is responsible for the

administrative management of the institution. The Office of the University Secretariat

provides administrative services and overall support for both governing bodies.

2.1.2 The Brock University Act

Brock University was incorporated in 1964 through the Brock University Act, a statute

of the province of Ontario. The Act gives the University its power and authority to establish

and maintain faculties, schools, institutes, departments, chairs and courses and to grant

any and all university degrees and honorary degrees and diplomas in all branches of

learning.

The Act also established the Board of Trustees and the University Senate with their

respective powers and authority. The Board of Trustees and the University Senate

function as the two governing bodies of the institution. The Brock University Act outlines

a more detailed description of the role and powers of each governing body.

2.1.3 Board of Trustees

The Board of Trustees is governed by the Brock University Act noted above, its General

Bylaws and the Faculty Handbook. The General Bylaws (Bylaw #1) of the Board of

Trustees prescribe the procedures, policies and operation of the Board, for example,

powers of the Board, election of trustees, committee structure and requirements, and the

execution of documents.

The Brock University Board of Trustees is responsible for the government, conduct,

management and control of the University and of its property, revenues, expenditures,

business and affairs.

The Board of Trustees consists of 27 trustees including 18 community trustees elected

by the Board, as well as two Brock student trustees (the President of the Brock University




Students’ Union (“BUSU”), ex officio; and the President of the Brock University Graduate

Students’ Association (“GSA”), ex officio), three faculty trustees and two staff trustees

selected by their respective constituencies. The Chancellor, and the President and Vice-

Chancellor, are ex officio trustees of the Board. The Chair of Senate, as one of the three

faculty trustees, is also an ex officio trustee of the Board.

The full Board generally meets five times per year to conduct business and also meets

for an annual orientation and a strategic issues session.

2.1.4 Senate

The Senate is governed by The Brock University Act noted above and by the Faculty

Handbook. The Faculty Handbook acts as a procedural, operational and policy manual

for the Senate and is divided into in four main sections including University Government,

Senate Bylaws, Regulations and Appointment/Reappointment Procedures under the

purview of the President and at the pleasure of the Board.

The Senate is responsible for the educational policy of the University, and, with the

approval of the Board in so far as expenditure of funds is concerned, may enact by-laws

and regulations for the conduct of its affairs.

The University has the power to establish and maintain such faculties, schools, institutes,

departments, chairs, and courses as the Senate deems necessary and as approved with

respect to finances and facilities by the Board.

The Senate currently consists of 70 members. This includes 38 elected full-time teaching

staff and professional librarians, two members of the Board Trustees, and six

undergraduate and two graduate students, and one Alumni Association representative

elected by their respective constituencies. There are also 22 ex officio members of the

Senate including the Chair of the Board.

The Senate meets monthly from September to June to conduct its business. Its eight

standing committees, one special committee and one board meet to conduct business

that is brought forward to Senate as recommendations or for information.




2.2 Organizational Structure

2.2.1 Facilities Management

Facilities Management (FM) is responsible for all activities related to the maintenance,

operations and development of Brock University’s facilities and grounds. FM is organized

into three business units which are each led by a Director. The three business units

include:

• Facilities and Services

• Asset Management and Utilities

• Capital Planning and Project Management

The core responsibilities of each business unit are summarized in Figure 2.

Figure 2. FM Organizational Structure

Facilities Management

Asset Management & Utilities

• Customer Services

• Custodial Services

• Grounds Maintenance

• Structural Services

• Electrical Services

• Mechanical Services

• Satellite Site Management

• Research Facilities

Management

• Asset Management &

Maintenance Coordination

• District Energy & Utilities

• Space Management &

Planning

• Facilities Document

Management & Plans

• Capital Planning & Project

Management

Facilities & ServicesCapital Planning &

Project Management

May 2019




2.2.2 Capital Planning & Project Management

Capital Planning and Project Management (CPPM) is a business unit within FM. Core

responsibilities of this group include the oversight of campus space management, the

management of facility documents and plans and the management of design and

construction projects in accordance with Brock University policies and procedures. Core

responsibilities of the CPPM team are summarized in Figure 3.

Figure 3. CPPM Organizational Structure

2.3 Budget Process

The CPPM group develops, updates and manages Brock’s Long Term Capital Plan

(LTCP). The LTCP is a five-year rolling plan of all projects valued at $10,000 or more. It

is utilized by the university to address construction requirements in accordance with the

approved Fiscal Framework and the fiscal year budget guidance. All minor ($10,000 to

$1,000,000) and major (>$1,000,000) projects being planned by any administrative or

academic unit of the University are included in the LTCP. The goal of the LTCP is to

identify anticipated needs and provide a road map for long term capital spending.

Projects identified in the LTCP address:

• Deferred maintenance (i.e. asset renewal), which currently accounts for

approximately 70% of the total budget;

• New asset work including major capital projects identified through consultation with

the Brock community;

• Facility renewal, modernization and enhancement;

Capital Planning & Project Management

Facilities Document

Management & Plans

• Space Planning

• Space Utilization

Tracking/Reporting

• Technical Plans & Document

Management

• Records Management

Services

• Project Planning & Design

Oversight Services

• Contractor Management

• Project Management &

Reporting Services

Space Management &

Planning

Project Management

Services

May 2019




• Projects evaluated by the Space Request Evaluation Committee (SREC) and

approved by the President / Vice-Presidents (PVP); and

• Legislated projects related to the Accessibility for Ontarians with Disabilities Act

(AODA) and any other project arising from Provincial or Federal legislation.

FM recently re-designed the LTCP development process. The new process seeks to gain

greater input from Faculties and Departments and establishes a clear and transparent

methodology for capital project prioritization. The updated LTCP development process

is described in the following sections and illustrated in Figure 4.

2.3.1 Review Fiscal Framework

The Fiscal Framework, updated annually by the Finance Department, is designed to

support budgetary planning by seeking the most efficient investment of limited funding

sources in a transparent manner. The goal of the Fiscal Framework is “to recognize our

history and budget environment and using key metrics help us address the looking

forward observations and resource allocation questions to ensure a fiscally sustainable

Brock University.” Although the framework may evolve over time, it is anticipated that the

core targets established will continue to serve as a guide.

FM staff annually review the approved Fiscal Framework and current year budget

guidance documents to determine the parameters within which to update the LTCP. This

ensures that CPPM projects are in alignment with a fiscally sustainable Brock University.




Figure 4. LTCP Development Process

Review Fiscal Framework

Issue Call for Projects

Advise InitiatorNO

YES

NO

Include in Five-Year

LTCP

YES

NOTE: If project involves

a space request, adhere

to Space Request

Procedures

Develop Five-Year LTCP

Advise Initiator

YES

Receive Project Initiation

Forms

Review and Assess

Project Need

Evaluate and

Prioritize Project

Submit LTCP to Board for

Approval

Review, evaluate

and prioritize each

requested project

Commence

development of

five-year LTCP

Develop five-year

LTCP to include top

priority projects

Review with Senior

Administration




2.3.2 Issue Call for Projects

Each year, prior to the preparation of the LTCP, FM issues a Call for Projects to the Brock

community. All Faculties and Departments are invited to submit Project Initiation Forms

documenting any identified project needs.

The information requested on the Project Initiation Form includes:

• Description of project work;

• Statement of project need;

• Description of the project alignment with the Brock University Strategic Plan;

• Budget estimate;

• Potential external funding sources; and

• Impact on operating budget.

FM is available to assist Faculty and Department staff in the completion of the Project

Initiation Forms, as required, to ensure all relevant items are captured.

2.3.3 Receive Project Initiation Forms

Faculty and Department representatives prepare Project Initiation Forms and review them

with their Department Head and Dean. The Project Initiation Form shall identify project

scope, budget and funding source and the schedule. FM can provide support to the

Faculties and Departments to address these elements. Project Initiation Forms are

prioritized and screened by the Dean of the Faculty prior to submission to FM for

consideration.

2.3.4 Review Project Initiation Forms and Assess Needs

FM reviews the submitted Project Initiation Forms to ensure sufficient information is

available to evaluate and further prioritize submitted projects based to the Evaluation

Criteria included within the form and other projects currently under consideration. If

needed, FM contacts the Faculty or Department to request more information for

clarification.

In some cases, Project Initiation Forms do not proceed through the rest of the process if

a sufficient need is not established. In these cases, FM communicates the reasoning

back to the Faculty or Department project initiator.




2.3.5 Space Request Procedure

The management of space on university campus is extremely important as space is a

finite and valuable resource that must be managed to the greatest extent possible.

Brock University has adopted a Space Management Policy which enables the University

to plan, allocate, use and manage its building space consistently, and in support of the

Policy, have adopted a Space Management Framework document to guide decisions

related to space. The Framework sets out the process to request space using templates.

Space requests are initiated using a Minor Space Request Short Form document, which

requires the user to provide the following information on the request. The Short Form is

reviewed by Facilities Management and should any of the following criteria be met, a

Major Space Request Long Form is to be completed. The criteria include:

• The change in the amount of space to allocated or renovated exceeds 1,000

square feet.

• The functional classification of the space changes, as defined by the Council of

Ontario Universities (COU) space categorization system.

• The funding of the project is sourced externally to Brock University.

• The estimated project cost exceeds $100,000.

• Any capacity change of an instructional space.

• Significant (+50%) capacity change of non-instructional spaces.

Minor space requests are reviewed by the Director, CPPM, and a follow-up meeting held

with the proponent. The meeting outcomes include a confirmation of the scope,

identification of construction and procurement requirements and a timeline for

implementation. Projects which arise from Short Form requests are generally funded by

the Faculty or Department. If funding is available, a Project Manager is assigned, and the

project initiated.

The Major Project Long Form is submitted to Facilities Management and reviewed for

completeness. All Major Space Requests are reviewed by the Space Request Evaluation

Committee (SREC) and scored based on the Criteria for Space Requests. subsequent to

the scoring, the Project is forwarded to the President, Vice-President Committee for

consideration. A Major Space Request will generally require implementation through the

Long-Term Capital Plan budget and will be considered annually during the budget review

process.




A flowchart of the process is provided in the Space Request Procedures. All space

management documents and procedures are available in the Virtual Library.

2.3.6 Evaluate and Prioritize Projects

A Review Committee is formed each year, with representation from across the Brock

community, to evaluate and prioritize the submitted projects. The Review Committee uses

the Project Prioritization Matrix to assess the value of each project to the University,

Faculty and/or Department. The goal is to ensure the most impactful projects are

approved and funded.

The project evaluation criteria used in the matrix include:

• Alignment with the Brock University Strategic Plan;

• Project need based on legislative, regulatory, audit, or security compliance;

• Improvement in service delivery to end users;

• Improvement in productivity, effectiveness or efficiency;

• Positive impact on the Brock community;

• Positive impact or enablement of other projects; and

• Financial impact on operating costs and/or deferral of future costs.

Where projects are identified not to move forward, FM contacts the Faculty or Department

for a debrief.

2.3.7 Develop Five-Year LTCP

Once the annual project prioritization is complete, it is reviewed with Senior

Administration. FM then develops the five-year LTCP to include the highest priority

projects. Where possible, projects are scheduled to balance annual expenditures,

number of projects per year and phasing.

2.3.8 Approve Five-Year LTCP

Once completed, the LTCP draft is submitted to the Board of Trustees as information.

Formal Capital Budget approval is for one (1) year only. The most recent approved LTCP

is available through Brock University’s Financial Services website.




2.4 Funding Sources

Table 4 summarizes typical project funding sources.

Table 4. Funding Sources

Source Description

Annual Revenues

Through the Brock Fiscal Framework, monies are allocated as “New or Flexible” or “Deferred Maintenance”. “New or Flexible” projects are funded through the Provincial Facilities Renewal Program (FRP), which provides grants to assist postsecondary institutions address ongoing maintenance, repair and renovations. “Deferred Maintenance” projects are funded through Brock funds for infrastructure renewal.

External Grants

External grants typically provide one-time, project specific funding from either the Provincial or Federal government. Brock Government and Community Relations staff lead the application process for these grants and submissions are evaluated based on a set of evaluation criteria. External grants typically require additional reporting as a condition of the award, such as the preparation of a Cash Flow Projection spreadsheet (which is further outlined in Section 3.6).

Research grant applications that will require changes to existing space and/or the construction of new buildings or additions should align with the University’s strategic objectives, conform to the Campus Plan and any other relevant physical planning documents, and be supported by cost estimates developed under the supervision of a Facilities Management Project Manager.

Sponsorship and Donations

Most major projects at Brock include a fundraising component. The Alumni and Donor Relations Department expends a significant amount of time pursuing sponsorships for major capital projects.

2.5 Types of Projects

Project management staff within the CPPM group administer both minor and major capital

project programs for the university.

• Minor projects have a value of less than $1,000,000 and typically relate to

departmental requests for changes to buildings, space or the campus grounds.

Examples include adding or modifying electrical outlets, plumbing, built-in

cabinetry, lighting changes, remodelling classrooms, offices or labs, removing or




adding walls, installing specialized equipment, or landscaping improvements such

as benches/gardens. Minor projects may be centrally funded by the University

administration or may be funded by the requesting department.

• Major projects have a value of $1,000,000 or more and include the construction

of new buildings, significant renovations to existing buildings, and exterior changes

such as new roads, parking lots and landscaped areas. Major projects are funded

centrally by the University administration and approved by the Board of Trustees

prior to implementation.

2.6 Project Charter

A project charter is a document issued by the Project Sponsor that authorizes the project

and provides the Project Manager with the authority to apply organizational resources to

project activities (PMBOK, 2017).

For all major FM projects, the Consultant, in consultation with the Project Manager shall

prepare a project charter using the Project Charter Form. The completed project charter

shall be approved by the Project Sponsor, Project Manager and entire project team. The

Project Sponsor’s authorization of the project charter confirms their expectations of the

project and authorizes it to proceed. The Project Manager and team’s signatures

represent their acknowledgement of the project expectations.

The Project Charter Form documents the following project information:

• Project Team Details

• Project Background

• Objective Statement

• Project Vision

• Project Goals

• Successful Completion Criteria

• Schedule

• Budget

• Contingencies

• Project Trade-Off Matrix

• In Project Scope

• Out of Scope

• Stakeholder Identification




• Risk Identification

• Approval Signatures

2.7 Project Structure

Figure 5 illustrates the typical structure of an FM project. Roles and responsibilities of the

project team members and key stakeholders are summarized in Section 2.8.

Figure 5. Project Structure

2.8 Roles and Responsibilities

Roles and responsibilities of key project stakeholders are outlined in Table 5. This list

provides a high-level summary only; specific responsibilities that relate to each phase of

a project are identified throughout this PMM.

Other

Stakeholder

Groups

Brock Occupant

Stakeholders

Vendor(s)

Senior

Administration

Rep.

Brock Operations

Stakeholders

Project

Team

Project Stakeholders

Contractor(s)

Approval

Agencies

Project ManagerProject

Sponsor

Consultant(s)

Director, CPPM

Occupant and

Operations

Reps.

Design

Team

Technical

Experts

Major

Users




Table 5. Roles and Responsibilities

Role Responsibility Authority

Project Sponsor

The Project Sponsor is the champion for the project and will generally be the Dean, Department Head or Senior Official that is responsible for the approval and on-going reporting to the Board of Trustees.

Authorize the project, approve major deliverables and sign off on each project phase.

Director, CPPM

The Director, CPPM prepares the Long Term Capital Plan (LTCP), assigns Project Managers and provides general oversight of all projects. The Director, CPPM is also the owner of this PMM.

Provide general oversight of all projects. Prepare LTCP.

Project Manager

The Project Manager is a representative authorized by Brock University to lead a team that is responsible for achieving the project objectives. The Project Manager is responsible for overseeing the project, taking corrective actions when necessary, and approving scope change, change orders and payment authorizations in accordance with the Contract Documents, Purchasing Policy and Delegation of Authority Policy.

Responsible for overall project delivery

Project Team

The project team executes the project under the direction of the Project Manager. The project team typically includes the Project Sponsor, Project Manager, Director CPPM, occupant and operations stakeholders and the Consultant. A representative from Brock’s senior administration is also included in the project team for all major projects.

Provide input related to scope, cost, schedule, managing risks and decision making and complete project tasks under the direction of the Project Manager.

Design Team

Representatives on the design team attend project meetings, participate in design reviews, and provide written approval (sign-off) of the design at the end of each phase. The design team typically includes the Project Manager, Director CPPM, major users, technical experts, operations stakeholders and the Consultant.

Provide written approval (sign-off) of the design at the end of each phase.




Role Responsibility Authority

Consultant

The Consultant is as an individual or firm that is retained by Brock University to design the project, provide contract administration services and, as required, provide inspection services during construction and assist in commissioning process. The Consultant acts as a liaison between the Contractor and Brock University’s Project Manager for the duration for the project.

Provide design services in accordance with contract or agreement.

Contractors

The Contractor enters into an agreement with Brock University to complete the construction works, as per the contract specifications.

Provide construction services in accordance with contract specifications.

Vendors Vendors are companies retained by Brock University to supply goods and services required for the project.

Provide goods or services in accordance with contract.

Brock Occupant Stakeholders

Occupant stakeholders are representatives from the various groups planned to occupy the new facility. An Occupant Stakeholder Representative may be designated as part of the project team.

Provide input throughout project planning and design.

Brock Operations Stakeholders

Operations stakeholders are representatives from administrative units with operational responsibilities such as FM, ITS, Campus Security, Health, Safety and Wellness, etc.


Other Stakeholders

Other stakeholders may be included in each project. For a listing of typical project stakeholders, refer to Table 11 in Section 5.6.


Approval Agencies

Various approvals may be required for each project depending on its specifications. Typical approvals that may be required are summarized in Section 3.8.

Provide approvals as required in accordance with relevant rules and regulations.

2.9 Document Management

Managing project documents is an important part of all projects. Documents substantiate

work that has been done and serve as records for future reference and auditability. For




these reasons, an organized document management framework is essential to ensure

efficient document retrieval.

Upon initiation of each project, the CPPM Administrative Assistant shall create a project

folder named as “Project Number – Year – Name” on the OneDrive. Within each project

folder, the CPPM Administrative Assistant shall create the folders and sub-folders listed

in Table 6 that mirror the organization of this PMM.

Table 6. Project Filing System

Folder Sub-Folders

Planning and Initiation

Capital Project Budget Sheet

Project Schedule

Project Scope Document

Risk Register

Risk Checklist

Execution

RFP RFQ Consultant Addenda

RFP RFQ Evaluation Consultant Addenda

Consultant Notice to Proceed

Unsuccessful Vendor Letter

Consultant Purchase Requisition

Consultant Contract

Design and Pre-Construction

Design Team Contact List

Design Meeting Minutes

Project Schedule

Design Documents

Cost Estimate

Authorities Having Jurisdiction

Contract Documents Addenda

Site Tour Sign In Sheet

Tender Evaluation

Construction Standards

Notice to Proceed Contract

Contractor Purchase Requisition

Communication Plan




Folder Sub-Folders

Construction

Contract

Contractor Contact Sheet

Construction Schedule

Contractor Insurance, Bonds and NOP

Construction Site Meeting Minutes

Requests for Information

Site Instructions

Change Notices

Change Orders

Certificate of Payment

Submittals

Consultants Inspection Reports

Project Closeout

Architects Engineers Letter(s) of Occupancy

Operations and Maintenance Manuals

Architect's Substantial Performance Letter

Certificate of Substantial Performance

Release of Holdback Payment

Lessons Learned (Major Projects)

Photos Photos

The Project Filing System spreadsheet lists the appropriate filing location for all

common types of project documents. Project Managers shall file all project documentation

according to this structure to ensure consistency and retrievability of all project records.

2.10 Scope-Cost-Time

Scope, cost and time are the three most significant factors impacting project quality and

delivery. These interrelated factors can be represented as a triangle; if any side of the

triangle should increase, at least one of the other sides must also increase.




Figure 6. Project Management Triangle

In the context of project management, it is essential to manage all three of these factors

to prevent negative outcomes including scope creep, cost overruns and project delays.

To ensure effective project delivery on budget and on time, these three factors shall be

carefully monitored by the Project Manager from project initiation through to closeout.

Some of the tools utilized to manage scope, cost and time are outlined in the following

two sections.

2.10.1 Work Breakdown Structure

For major projects, the Project Manager shall require all Consultants and Contractors to

submit a detailed work breakdown structure of their proposed work. The work breakdown

structure must divide the total project scope into smaller components and document the

resources required (budget) and time required (schedule) for each component (PMBOK,

2017). Deliverables and key milestones must also be included in the work breakdown

structure. The work breakdown structure provides a greater level of detail about the

project that will assist the Project Manager with monitoring the project scope, budget and

schedule.

For minor projects, the Project Manager shall prepare a high-level scope of work, cost

and schedule. This will be undertaken in consultation with the Project Sponsor. This

information will be subject to change as the project proceeds.

2.10.2 Monitoring

Once a project is executed, the Project Manager shall closely track project process using

the internal Project Budget Tracking Sheet that is set up in each project folder on the

Scope

QUALITY




OneDrive (see Section 3.3.1). The Project Manager shall monitor the Consultant or

Contractor’s progress against their work breakdown structure and ensure progress is in

alignment with the budget and schedule.

The Project Manager shall also monitor project financial data at least monthly, ensuring

the following sources reconcile with each other:

• Consultant/Contractor invoices to-date;

• Workday Financial Management System; and

• Internal Project Budget Tracking Sheet.

2.11 Project Management

Project Management at Brock University is administered according to the following:

• Project Management services and project oversight for all construction projects

shall be provided by FM unless delegated in advance to a department or unit

stakeholder in writing by the Associate Vice-President, FM.

• All projects will be managed by either: an in-house FM Project Manager/employee,

a contract employee, or an external project management company. In-house staff

resources may be supplemented by contract employees if warranted for the

duration of the project.

• The Project Manager acts in the best interest of the University to provide project

leadership and is responsible for the delivery of projects including construction,

renovation, renewal and other development projects from inception through to

completion of construction/occupancy and project close-out.

• Utilizing in-house project management resources is preferred due to their

experience and familiarity with University culture, procedures and expectations.

• External project managers require oversight which will be provided by a designated

individual(s) from FM.

• An oversight committee may be established for large major capital projects. This

will be determined in the early stages of project planning in consultation with

project stakeholders and senior administration. If required, the oversight

committee will be comprised of project stakeholders including representation from

senior administration, Financial Services and FM. The Project Manager shall

provide administrative support to the committee.




2.12 Delegation of Authority Policy

The Project Manager shall adhere to Brock University’s Delegation of Authority Policy

for the authorization and execution of all project transactions. The policy establishes the

authority of officers and employees to authorize and execute transactions and otherwise

bind the University. It is designed to ensure an appropriate level of control and

accountability. When a signature is required from the President or Vice-President the

Request for Signature Form must accompany the documents to be executed.

2.13 Purchasing Policy

Brock University is committed to obtaining the best value for the total acquisition cost of

all goods and services purchased. To facilitate and encourage the timely purchase of

goods and services, and to ensure its commitment to accountability, transparency,

efficiency and equity, the University has adopted the Purchasing Policy. This policy also

ensures that Brock University is compliant with the Ontario Broader Public Sector

Procurement Directive and meets the requirements of the Canadian Free Trade

Agreement (CFTA) and the Comprehensive Economic and Trade Agreement (CETA).

The Project Manager shall procure all Consultants, Contractors, vendors and goods in

accordance with Brock University’s Purchasing Policy and the Province of Ontario’s

Broader Public Sector Procurement Directive.

While it is not mandatory to obtain multiple quotes for goods and services less than

$15,000 (excluding pure consulting services), it is recommended to get multiple quotes

where feasible in order to obtain maximum value for Brock University. It is particularly

important where the value of the goods or service plus the value of any potential change

order(s) may push the cost over the $15,000 threshold and will need an exception

certificate to process the change order(s).

Before issuance, all Bid Solicitations with a value equal to or greater than $50,000 shall

be reviewed and approved by Procurement Services.

Costs for goods and/or services that require Purchase Orders (>$15,000) may not be

artificially partitioned into components costing less than $15,000 to circumvent the

competitive bidding requirement. Requisitions for the same goods/services from the same

unit and/or same supplier within a short time period may be considered an artificial

division of the purchase (as mentioned in the Procurement Policy).

Competitive bid requirements for goods, non-consulting or services greater than 200,000

SDR (Special Drawing Rights) or construction greater than 5,000,000 SDR must be in

accordance with CETA bid solicitation publication method and extended posting time-

periods.


3. Project Planning and Initiation


3. PROJECT PLANNING AND INITIATION

3.1 Project Scoping

The project scope is the work that must be performed to deliver a product, service or

result with specified features and functions (PMBOK, 2017). At the inception of project

planning activities, the scope of work needs to be clearly defined. In the case of building

projects, scope typically addresses the following questions:

• What type and quantity of space is required?

• Is space available within the faculty or overall?

• Who are the expected users and occupants?

• When is the space is required?

For minor projects Consultants on the Standing Offer Agreement list are typically

contacted for provision of professional services. The project scope is typically defined

through discussion between the Project Manager and Consultant based upon the Project

Initiation Form and identified stakeholder needs. The Project Manager shall request a

proposal from the Consultant based upon the understood scope for approval by the

project team.

If the Consultant’s scope of work and proposal is acceptable to the team, the Project

Manager shall prepare the Consultant Services Request Form. The intent of the form

is to describe the scope of work to the service provider, establish a schedule for their work

and a basis for determining the fee. The form requires information on the following items:

• Project Information: The project number, account number and work request

number must be indicated. To obtain a project and account number, the Project

Manager shall first complete the New Project Request Form.

• Type of Project: Indicate the project type.

• Location of Project: Indicate the project location.

• Professional Services Required: Indicate the specific services required, whether

a cost estimate is required at the end of the phase, and the required completion

dates for the relevant phases (if known). If an investigative study or consultative

services are required, indicate that and provide a brief description.

• Professional Services Fee Basis: Indicate whether the fee is to be a fixed fee, a

percentage fee, a per diem fee with upset limit, or describe another method for




determining the fee. The Project Manager and the service provider must agree

how the fee is to be determined prior to beginning work on the project.

• Additional Information: This area is to be used for providing additional project

information to the service provider so that they understand the scope of work and

any special issues or requirements.

• Professional Services Agreement: The Brock University Project Manager and

the service provider are to agree to the schedule of the Professional Services

required and the fee (or fee basis) prior to commencing work on the project. The

form is to be signed and dated by the Project Manager and the service provider.

As much as possible, project scoping and budgeting activities should be undertaken

concurrently. Further information about project scoping and Consultant retention for

major projects is outlined in Section 4.1.

3.2 Feasibility Study

Where new buildings or significant changes to existing facilities are proposed, a

Feasibility Study should be prepared. The intent of the Feasibility Study is to develop an

accurate indication of the project scope, cost and time requirements. The Feasibility Study

will be prepared by appropriate architectural/engineering Consultants under the direction

of the Project Manager with input from project stakeholders. As a minimum the Feasibility

Study will typically include the development of an outline Statement of Requirements

(SOR) including rooms and space requirements; siting opportunities, analysis and

recommendation; utility servicing strategies and options; schematic floor plans and site

plan; estimated construction cost (with escalation); estimated annual operating costs; and

other analysis and recommendations as may be required. Depending on the scale and

scope of the project the Feasibility Study may require other specialist investigations such

as a land survey, a geotechnical/geological report, traffic study, etc.

3.3 Project Budget

3.3.1 Project Budget Sheet

Upon initiation of a project, the CPPM Administrative Assistant sets up project folders on

the OneDrive, including the creation of a Project Budget Tracking Sheet. The Project

Budget Tracking Sheet describes the financial resources required to undertake all stages

of the project.




The Project Manager shall develop and maintain the Project Budget Tracking Sheet

including the budget amount, contract amount, and spending to date for each of the

following categories:

1. Professional Services

2. Construction

3. Equipment

4. Furniture

5. Miscellaneous Charges (including permits, internal charges, legal fees, etc.)

6. IT Equipment

7. Linear Assets

8. Project Contingency

3.3.2 Contingencies

The total project budget should include a construction contingency and a project

contingency.

The construction contingency is to be used for unforeseen items or conditions that arise

during construction and require a change to the base construction contract value. Use of

this contingency for owner-initiated changes is to be minimized and avoided where

possible. Expenditures against this contingency allowance are authorized through the

construction contract change order process. For budgeting purposes, the construction

contingency should be based on a percentage of the base construction budget. Each

project should be assessed individually, and an appropriate contingency amount

determined based on the project specifics. Recommended amounts are:

• Design-Bid-Build, new construction – 8%

• Construction Management, new construction - 10%

• Construction Management, fast-tracked with high degree of cost risk – 12%

• Design-Bid-Build or Construction Management, renovation - 12%

• Design-Build, contingency for owner-initiated changes – 3%

• Smaller projects or projects where there is a high degree of probability that

unknown conditions will be encountered require a higher contingency allowance

which should be determined based on the project conditions and previous similar

experience.




The project contingency is to be used only when the remainder of the project budget is

not sufficient to properly complete the project. Expenditures against this contingency

allowance are authorized by senior administration. For budget purposes, the project

contingency should be based on a percentage of the total project budget:

• Low risk project – 2%

• Medium risk project – 3%

• High risk project – over 3%

3.3.3 Moving Costs

If a project will result in reallocation and renovation of existing space due to occupants

moving into a new facility than an estimate of the cost of the post-project

moves/renovations shall be developed early in the process and a determination on

whether the move is to be included in the current project or separately as a new project.

This decision will be by the Director, CPPM. If the move is included within the current

project, the costs shall be included on the Project Budget Tracking Sheet.

3.4 Cost Estimating

Cost estimating is the process of developing the cost of resources needed to construct

the project. A preliminary “order of magnitude” total project budget should be developed

as early as possible to assist in determining if a project is financially feasible. The

preliminary budget will include all anticipated hard and soft costs, with costs escalated to

the estimated construction date. A professional Cost Estimator can be consulted on

probable construction costs.

Cost estimates shall be based upon the Canadian Construction Association’s (CCA)

Guide to Cost Predictability in Construction (2012). The CCA Guide defines four

classes of cost estimates – A, B, C and D. Section 5.8 of this PMM describes each class

and outlines the class of estimate required at key project milestones.

3.5 Project Schedule

Upon project initiation, the Project Manager shall work with the Consultant to prepare a

master project schedule. The schedule should begin on the date the project charter is

approved and continue to the end of the project close-out phase. It must be accepted

and approved by the project team. The Project Manager will use the master schedule to




monitor the critical path of the project and highlight any issues or delays. Schedule

changes must be authorized through the Project Manager and/or project team. Any

changes to the project schedule should be reflected in the Project Charter or

acknowledged through project minutes or by email.

Brock University’s preferred schedule format is the use of a Microsoft Project Gantt chart.

The schedule must include all project phases, and highlight deliverables, milestones and

the critical path.

3.6 Cash Flow Projection

A project cash flow projection summarizes cash inflows and outflows required throughout

the duration of the project. Major projects that have external funding sources require the

preparation of a cash flow projection. The Project Manager shall establish and maintain

a cash flow projection for all major projects using the Cash Flow Projection

Spreadsheet. The template includes the following cash flow categories:

• Consultant Fees,

• Construction and Permits,

• Furniture,

• Miscellaneous,

• ITS,

• Net HST, and

• Project Contingency.

The Project Manager shall update the cash flow projection regularly throughout all phases

of the project and submit it for reporting purposes as required.

3.7 Stakeholder Identification

Stakeholders are people, groups, or organizations that could impact or be impacted by a

project (PMBOK, 2017). Stakeholders can be internal or external to Brock University and

include the Project Manager and project team. The PMBOK (2017) outlines the

importance of stakeholder identification and engagement from early stages of projects;

stakeholder identification should begin as soon as the project charter has been approved

and the Project Manager assigned. Effective stakeholder identification and engagement

can contribute significantly to project success.




For minor projects, the key stakeholders will typically be the Project Sponsor and their

colleagues with very few others involved. This will be clarified at the initiation of the

project.

For major projects, the Project Manager shall work with the Consultant to establish a list

of stakeholders. The effort related to stakeholder identification will be very important for

major projects. Typical stakeholders who can impact or be impacted by FM projects are

listed in Table 11 in Section 5.6. The list is provided as starting point and is not

exhaustive; the Project Manager must work with the Consultant and team to establish a

comprehensive list as part of each new major project.

3.8 Approvals and Permits

At the outset of each project, the Project Manager shall work with the Consultant to

identify all applicable approvals that may be required as part of the project. Table 7 lists

typical approvals and permits that may be required as part of Brock FM projects. This list

is provided as starting point; the Consultant must work with the Project Manager and team

to establish a complete list of approvals and permits required as part of each new project.

Table 7. Typical Types of Approvals and Permits

Type of Approval or Permit

Agency Details

Building Permit

City of St. Catharines or City of Thorold

Apply for building permits through City of St. Catharines or City of Thorold, depending on location.

Waterworks Niagara Region Waterworks approvals are required from Niagara Region if the Brock system needs to connect to a Regional Watermain.

Gas Enbridge Enbridge is Brock’s supplier and they own the plant on campus within the Village Residences area.

Telephone Bell Canada Bell Canada provides telephone services on campus.

Electrical Alectra and Hydro One

Brock owns a cogeneration plant in addition to Alectra servicing east campus, and Hydro One servicing the Thorold area.

Site Locates Ontario One Call

Campus locates to be initiated through Ontario One Call request.





Agency Details

Environmental

Ministry of Environment, Conservation and Parks (MECP)

Environmental legislation may be reviewed at the outset of the project to determine Brock’s environmental responsibilities related to the planned project. This is particularly important for any proposed developments off the main campus or on sites with previous uses where an Environmental Risk Assessment may be required.

Prior to occupancy, MECP approvals may be required for the operational activities of the facility, including for the release contaminants into the air, onto land, or into water, or for the storage, transportation, or disposal of waste.

Air, Noise and Odour

MECP

In some cases, Brock may have an ECA, CofA or an EASR for the equipment under review and compliance with the document is required. In addition, any work must comply with MECP requirements.

Health, Safety and Wellness (HSW) staff manage the EASR process and should be included in all discussions.

Niagara Escarpment Commission (NEC)

NEC

The Brock campus has both NEC regulated and non-regulated spaces. An interactive map is available on the website which enables the determination of the area under control NEC approvals typically require completed schematic drawings.

Stormwater Niagara Region Stormwater reviews were previously done by the Niagara Peninsula Conservation Authority (NPCA), but Niagara Region is doing this now.

Wastewater

Niagara Region, City of St. Catharines or City of Thorold

Niagara Region and City of St. Catharines or City of Thorold, handle wastewater approvals, depending on location.

Site Plan City of St. Catharines or City of Thorold

Consult with City of St. Catharines or City of Thorold, depending on location. Approvals are not required.





Agency Details

Fire Systems Inspections

Chubb Edwards or Tyco

Chubb Edwards services non-residence buildings and Tyco services residences.

Brock District Niagara Region Comply with the guidelines developed by Niagara Region.

3.9 Risk Management

3.9.1 Risk Management Plan

A risk is an event or condition that, if it occurs, could have a positive or negative effect on

a project’s objectives. Risk management is the process of identifying, assessing,

responding to, monitoring, and reporting risks. A Risk Management Plan defines how

risks associated with a project will be identified, analyzed, and managed. It outlines how

risk management activities will be performed, recorded, and monitored throughout the

lifecycle of the project and provides templates and practices for recording and prioritizing

risks.

A Risk Management Plan shall be created by the project team in the planning phase of

all major projects or projects where significant risk is anticipated and shall be monitored

and updated throughout the duration of the project.

The intended audience of the Risk Management Plan is the project team, Project Sponsor

and management stakeholders.

3.9.2 Risk Management Procedure

Risks shall be identified as early as possible in the project to minimize their impact.

Initially, risks shall be identified as part of a risk management meeting facilitated by the

Project Manager. The following stakeholders should participate in the risk management

meeting:

• Project Manager: Act as the chairperson and chair the meeting.

• Project Team: Participate in the meeting, act in the role of recorder or timekeeper

if requested.




• Key Stakeholders: Those identified that could bring value within the identification

of project risks and/or mitigation and avoidance methods.

• Subject Matter Experts: Those identified that could specialize in a particular project

activity and add value but are not formally assigned to the project.

• Project Sponsor: May participate depending on the size and scope of the project.

Risk Identification

Risk identification will occur at the risk management meeting and will involve an

evaluation of environmental factors, organizational culture and the project charter

including the project scope. Careful attention will be given to the project deliverables,

assumptions, constraints, cost/effort estimates, resource plan, and other key project

documents.

A Risk Checklist has been developed to assist in the identification of potential risks. The

checklist shall be used to help the team identify risks during the risk management

meeting. The checklist is not exhaustive and shall be used as a starting point only; the

project team shall ensure all risks are identified.

Identified risks shall be documented on the Risk Register. The Project Manager shall

maintain the Risk Register throughout the project and store it electronically in the project

file. It shall be reviewed as a standing agenda item at project team meetings.

Risk Assessment

The probability and impact of occurrence for each identified risk shall be assessed by the

participants at the risk management meeting:

• Probability scores range from 1 to 5 and represent the likelihood of occurrence

of the identified risk based upon the collective knowledge and experience of the

risk management participants. A score of 1 represents a very unlikely event and

a score of 5 represents a very likely event.

• Impact scores range from 1 to 5 and represent the severity of the impact if a given

risk were to occur based upon the collective knowledge and experience of the risk

management participants. An impact score of 1 represents a low-impact event

and a score of 5 represents a significant impact.

The total risk score is assigned by summing the probability and impact scores together.

Total risk scores will range from 2 through 10. Probability and impact scores as well as

the total risk score for each risk shall be documented on the Risk Register.




Risk Response Planning

There are four typical methods to manage risk; an explanation of each is provided in Table

8.

Table 8. Methods of Managing Risk

Method Objective Features

Avoidance

Risk is eliminated or avoided by changing the parameters of the project

• May change the project plan to eliminate conditions creating the risk (risky requirement, work scope, technology, or Contractor) or eliminate the risk entirely.

• May trade one risk for another lesser risk.

• If a lower risk option is available, revise baseline to favor it.

• Check that the lower risk is the better choice considering the project as a whole.

Transfer

Risk remains viable but is shifted to another project or organization.

Often called risk allocation.

• If full transfer is not possible, consider a partial shift e.g., insurances, performance bond, PI, warranty, or contract guarantee.

• Often, results in risk being shared between project and others. This is often best with funding risks.

• Must consider costs and benefits of transfer. Must ensure recipient is best equipped and prepared to assume the risk in whole or in part.

• Risk is not avoided. Recipient must be willing to assume the risk, in whole or in part.




Method Objective Features

Mitigation

Reduced likelihood and/or consequences of a risk (preferably both) by series of control actions.

• Most common form of risk management.

• Must systematically and carefully identify and attack root causes of the risk.

• Control actions are comprehensive and feasible.

• Early actions often required for success.

• Actions can affect cost, scope, and schedule.

• Cost/benefit analysis can be useful in selecting best control action from a list of alternatives.

• Confidence levels for control actions derived from structured analytical methods can be useful but are not mandatory.

Acceptance/Assumption

Risk is recognized and taken on by the project.

• Last option for controlling a risk. No feasible means to mitigate or otherwise control the risk is available.

• Benefit is that no changes in project plans are required to address the risk.

• Sometimes used when a compellingly large reward could be gained by taking the risk.

• Typically used for obdurate, distant, or least‐ predictable risk e.g. funding levels.

• Residual (remaining) risk is always accepted.

• Requires special diligence in monitoring, because nothing was done to reduce the risk.

• Alternative or acceptable ʺfall‐backʺ positions are especially crucial if the risk is critical to project success.

• Worst case is ʺpassiveʺ.

The Project Manager and team will identify the most appropriate response method for

each identified risk on the Risk Register and develop mitigation strategies for the major

risks.

• For each risk that will be avoided, the Project Manager shall make changes to the

project plan after consulting with the Project Sponsor and other relevant

stakeholders about these changes.




• For each risk that will be transferred, the Project Manager shall consult with the

Project Sponsor and the organization to which the risk will be transferred.

• For each risk that will be mitigated, the project team will identify ways to prevent

the risk from occurring or reduce its impact or probability of occurring. This may

include prototyping, adding tasks to the project schedule, adding resources, etc.

• For each major risk, a contingency plan shall be outlined for the event that the risk

does materialize in order to minimize its impact.

Risk Monitoring, Controlling, And Reporting

The level of risk on a project will be tracked, monitored and reported throughout the

project lifecycle. Each major risk shall be assigned to a project team member for

monitoring purposes to ensure that the risk will not “fall through the cracks”.

All project change requests shall be analyzed for their possible impact to the project risks.

The Project Manager shall notify the Director, CPPM of important changes to risk status

and include updates as part of the Project Status Report (see Section 6.10.4).

3.9.3 Insurance and Bonding

Upon completion of the risk management meeting, the insurance and bonding needs will

be assessed. The goal is identifying the appropriate level of Insurance and Bonding for

each project. In general terms, the decision will be made based on the risks identified that

are transferable, the value of the project, and the potential disruption of the project. The

Project Manager and Director, CPPM shall seek input from the Insurance Coordinator

and Purchasing at this point.

Details about typical insurance and bonding requirements are included in Section 6.7.


4. Execution


4. EXECUTION

4.1 Retention of Professional Services

Professional services can be retained in several different ways depending on the nature

of the project, the value of the project, and the existence of a current Standing Offer

Agreement (SOA). Brock also has the option of using vendors registered with the Ontario

Education Collaborative Marketplace. Brock uses these vendors as a supplement to the

SOA. All purchases, including the retention of professional services, must be in

accordance with Brock University’s Purchasing Policy.

Figure 7 illustrates the execution process from the retention of professional services using

standard bid documents (Section 4.2) or a Standing Offer Agreement (Section 4.3)

through to the completion of a purchase requisition (Section 4.4) and execution of a

professional services agreement (Section 4.5).

4.1.1 Exception Certification

Brock University’s Purchasing Policy is structured to meet all Federal and Provincial laws

and the Broader Public Sector Procurement Directive that govern competitive bidding

practices in Canada and to protect both the University and the individual purchaser from

liability that could result from a challenge to a contract award. Purchases over $15,000

require a minimum of three written quotes unless one of the listed criteria applies.

Therefore, if competitive quotes are not solicited, a signed Exception Certification must

accompany the requisition forwarded to Procurement Services. An Exception Certificate

shall be used only under extraordinary circumstances and must be reviewed with the

Director prior to proceeding.

4.1.2 ID Cards for Professional Service Providers

Many of the professional service providers who will interact with Brock University staff,

such as Campus Security and Facilities Management, or will be working in the public

areas of the University will require Brock University ID Cards. The Project Manager shall

obtain ID cards for professional service providers in accordance with FMOP 5-7:

Contractor/Consultant Identification Cards.


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Figure 7. Retention of Professional Services

SOA Project

$15,000 - $100,000**:

At least three service

providers (SOA or other

firms) are invited to submit

written quotations.

PM to complete Consultant

Services Request Form.

For Non-SOA Projects

$15,000 - $100,000**:

At least three service

providers are invited to

submit written quotations.

May also be advertised on

electronic tendering system

or by direct contact.

For Non-SOA Projects

$100,000 - $250,000***:

RFQ/RFP/Tender is posted

on electronic tendering

system (MERX).

SOA Project

$100,000 - $250,000***:

A Project Specific RFP may

be issued to the service

providers on the SOA.

PM to complete Consultant

Services Request Form.

Are

professional

fees >

$100,000?

Does an

active SOA

exist for

type of work

required?

Are

professional

fees >

$100,000?

Y

Y

N

NYN

Step 2: Prepare Purchase Requisition

PMM Section 4.4

Step 3: Execute Professional Services Agreement

PMM Section 4.5

Step 1: Professional Services Retention

PMM Sections 4.2 - 4.3

Are

professional

fees >

$100,000?

YNUse Brock’s Purchase

Order Standard Terms and

Conditions for projects

< $100,000.

Use Ontario Association of

Architects Document 600

(2013) or MEA/CEO

Client/Engineer Agreement

for projects > $100,000

Regardless of the method of procurement, a purchase requisition must be created for all

professional services assignments using Workday.

Once approved, a purchase order will be issued with standard terms and conditions.

Retaining Professional Services

Using Standard Bid Documents *

PMM Section 4.2

Retaining Professional Services

Using Standing Offer Agreements

PMM Section 4.3

* Refer to Purchasing Policy for complete details.

** Projects with professional fees < $15,000 may be single sourced. Where feasible multiple quotes may be obtained.

*** Projects with professional fees > $250,000 shall be posted in accordance with CETA.


4. Execution


4.2 Standard Bid Documents

Table 9 summarizes the standard bid documents commonly used by FM staff as well as

the purpose of each document. Further details regarding the use of these documents are

available in the Purchasing Policy. The templates are maintained by Brock University’s

Procurement Services.

Prior to reviewing and evaluating any standard bid documents, all participating staff shall

sign the Confidentiality and Conflict of Interest Waiver. Completed waivers must be

returned to Procurement Services and will form part of the official project file.

Table 9. Standard Bid Documents

Standard Bid Document

Acronym Purpose

Request for Proposals

RFP

A Request for Proposals (RFP) is an invitation by Brock University to prospective proponents to submit proposals for a given project and is a competitive process.

Request for Quotations

RFQ

A Request for Quotations (RFQ) is an invitation by Brock to prospective respondents to submit non-binding quotations for a given project.

For high score evaluations, the technical review and pricing scores are added together, and respondents are ranked based on their total scores. The top-ranked respondent will be invited to enter into an Agreement with Brock University.

For low bid evaluations, respondents that are compliant with submission requirements and technical requirements are ranked based on their pricing score. The top-ranked respondent will be invited to enter into an Agreement with Brock University.

Request for Supplier Qualifications

RFSQ

A Request for Supplier Qualifications (RFSQ) is an invitation by Brock University to prospective respondents to provide information about their qualifications as they relate to the provision of a specified good or service.

For many FM projects, the retention of professional services is streamlined by using a

Standing Offer Agreement (SOA). The SOA process is outlined further in Section 4.3.


4. Execution


4.3 Standing Offer Agreements

Standing Offer Agreements (SOA) are used to prequalify professional services and

Contractors. SOAs are advantageous in that they streamline the procurement of goods

and services that are repetitively required, establish affiliations and understanding of

needs over time, and allow for either party to the SOA to continue or exit the agreement

or to renew or not renew the SOA. SOAs are typically entered for a period of three years

with an option for extension.

Brock University FM has active SOAs for the following types of service providers:

• Project Design Teams (Architect and Engineer) – June 2020 +

• Project Management Services – October 2019 +

• Real Estate Services – March 2021 +

• Additional Services through Ontario Education Collaborative Marketplace (OECM)

4.3.1 Establishment of New Standing Offer Agreements

To establish a new SOA, the RFP process (see Section 4.2) shall be followed to source

and receive proposals from interested Consultants. The RFP document should include

information on the following items:

• Professional services required

• Qualifications/experience required

• Term of services

• Projected volume of work

• Administrative and general conditions

• Evaluation method and selection procedure

• Proposal submission requirements

• Terms and Conditions under which the Professional Services will be delivered

A selection committee comprised of relevant stakeholders shall review, score and rank

the proposals. If necessary, interviews with the short-listed proponents may be

undertaken prior to selection.

Prior to engaging for Professional Services, the SOA shall be approved in accordance

with:


4. Execution


• Delegation of Authority Policy

• Purchasing Policy

The SOA is formalized through a letter from Brock to the successful professional service

providers.

4.3.2 Initiating Consultant Work Under SOA

Where multiple service providers are engaged under a single SOA, it is intended, as much

as practically possible, to divide the work evenly amongst the service providers over the

term of the SOA. The Director, with assistance from the Project Planning Assistant will

maintain a list of projects being undertaken under the framework of the SOA, including a

running total of service provider fees incurred/estimated for each Consultant.

Projects With Professional Fees Less Than $15,000

In accordance with the Purchasing Policy, services with a value of less than $15,000 may

be single sourced, however, where feasible multiple quotes may be obtained to maximize

the value to the University.

Projects With Professional Fees Between $15,000 and $100,000

For these projects, the SOA can be used to provide opportunity to the prequalified

professional service providers. A minimum of three firms need to be solicited. The

Purchasing Policy does not reference the SOA therefore other firms may be approached

to provide a quote.

Projects With Professional Fees Over $100,000

For projects with professional fees over $100,000 a Project Specific RFP may be issued

to the service providers on the SOA. The weighting assigned to each of the evaluation

criteria shall be reviewed for each RFP based on the services required for the project.

Weightings shall be selected and adjusted, as required, to sum to 100%. Suggested

evaluation criteria and weighting values are listed below:

• Project Understanding and Methodology – 25 to 35%

• Fee and Overall Proposal – 25 to 35%

• Project Manager and Discipline Leads – 15 to 30%

• Organization and Experience – 10 to 25%

• Relevant Project Experience – 10 to 25%

• Owner Involvement – 10 to 15%

• Innovation – 5 to 10%


4. Execution


The Broader Public Sector Procurement Directive suggests that price should be the

highest weighed evaluation criteria. This is in contrast with the concept of Qualifications

Based Selection (QBS) where the technical content is weighted highest. For Professional

Services, QBS concepts should govern.

Consultant Services Request Form

Prior to engaging a service provider for the provision of services for an individual project,

the Brock University Project Manager is to consult the Director to determine which service

provider to contact.

The Brock University Project Manager is to complete a Consultant Services Request

Form. The intent of the form is to describe the scope of work to the service provider,

establish a schedule for their work and a basis for determining the fee. For projects which

extend beyond one year or have a project value greater than $100,000, a Microsoft

Project Gantt chart will be required. More information about the Consultant Services

Request Form is outlined in Section 3.1.

The Project Manager shall facilitate the distribution of the Consultant Services Request

Form as follows:

• The form shall be sent directly to the Professional Services provider by the Project

Manager.

• The service provider is to return an executed copy to the Project Manager as well

as a Scope/Time/Cost breakdown of fees (see Section 2.10.1).

• The Project Manager shall file the document in the project file.

4.4 Purchase Requisition

Upon selection of a professional services provider for an FM project, the Project Manager

shall complete a purchase requisition. Purchase requisitions are created and processed

using Workday, the finance and HR software solution utilized by Brock University. For

further instructions regarding creating, finding and managing purchase requisitions,

please refer to the Workday help function.

Upon approval of a purchase requisition, a Purchase Order will be issued to the

professional services provider with Brock’s Purchase Order Terms and Conditions.


4. Execution


4.5 Professional Services Agreement

Upon confirming a professional services provider and initiating a purchase requisition, the

Project Manager shall facilitate the execution of a professional services agreement. The

Project Manager shall ensure that all documents are executed in accordance with the

authorities outlined in the Purchasing Policy.

4.5.1 Projects with Professional Fees Greater Than $100,000

The Ontario Association of Architects (OAA) explains that:

The services of an Architect are rendered most effectively when a clear

understanding exists between the Client and the Architect and is incorporated into

a written contractual agreement. This understanding is most effectively

accomplished by a thorough clear discussion and conclusion as to the goals and

objectives of the project.

For projects valued over $100,000, Brock University has adopted the use of OAA’s

Standard Form of Contract for Architect’s Services, Document 600-2013. Document 600

as well as Instructions for Completing Document 600-2013 are available online.

Brock has developed a listing of standard Supplementary Conditions to OAA 600-2013

which shall be included with as part of all OAA 600 – 2013 Agreements. If additional

Supplementary Conditions are required, the Project Manager shall consult with the

Director, CPPM.

Where the Project is lead by an Engineer, the MEA/CEO Standard Agreement may be

used.

Once the terms, conditions and schedules are mutually agreed upon and understood by

Brock University and the professional services provider, the contract shall be finalized for

signature. Document execution shall occur in accordance with Brock’s Purchasing Policy

and the Delegation of Authority Policy. Any documents submitted to the President or

Vice-President for signature shall have the Request for Signature Form attached.

4.5.2 Projects With Professional Fees Less Than $100,000

For projects with professional fees valued at less than $100,000, Brock’s Purchase

Order Terms and Conditions are used in lieu of a formal agreement. The Terms and

Conditions may need editing to ensure only the clauses specific to the services provided

are in effect.


4. Execution


NOTE:

In light of recent changes made to the Construction Lien Act, now named the Construction

Act, Brock is reviewing the agreement process.

Brock is also considering updating the warranty and insurance requirements in the

Purchase Order Terms and Conditions.

4.6 Consultant Invoicing

4.6.1 Monthly Invoice

The service provider is to issue a separate monthly invoice for each project. Invoices are

to be addressed to the Project Manager (or Workday Delegate) and include the project

name and purchase order number, the fee basis (fixed, percentage or per diem), the base

fee, the invoiced fee amount, expenses, and the amount due. The back-up shall be

sufficiently detailed to enable the Project Manager to evaluate the progress. Using the

scope-time-cost spreadsheet (Section 2.10.1) as a basis for the invoice back-up is

encouraged.

Service providers may send invoices directly to Finance for processing

([email protected]), in which case a Workday Supplier Invoice will be created, entered

into Workday and forwarded to the initiator of the Purchase Order for approval.

4.6.2 Invoiced Amount Approvals

The Project Manager (or Workday Delegate) will create a receipt in Workday to process

the invoice for payment. The Project Manager (or Workday Delegate) will then forward

the invoice to Accounts Payable if no Supplier Invoice has been created. Creation of the

receipt is the approval.

4.6.3 Payment and Cost Tracking

Professional service provider payments will be applied to the appropriate project work

request and account number so that the costs are included on the Project Budget

Tracking Spreadsheet.

https://www.ontario.ca/laws/statute/90c30#BK2

https://www.ontario.ca/laws/statute/90c30#BK2

mailto:[email protected]


4. Execution


4.7 Interruption of Professional Services

From time to time, professional services may need to be interrupted for reasons such as

delays, suspension, termination and force majeure.

OAA Document 600-2013 includes terms and conditions related to delays and

suspensions. The MEA/CEO Standard Agreement includes terms and conditions

related to delays, suspension, termination and force majeure.

The Project Manager shall review the agreement’s Terms and Conditions and ensure

they are appropriate for the project. If additional Terms and Conditions are required for

a given project, the Project Manager shall discuss with the Director, CPPM to determine

if there is a need for Supplemental Conditions or if advice is required from Brock’s legal

counsel and/or insurer.


5. Design


5. DESIGN

5.1 Design Process

The design process typically includes the following stages: pre-design, schematic design,

design development, and construction document preparation. An outline of the tasks

typically involved with each design phase as well as information about key deliverables,

design review meetings, and cost estimate classes is illustrated in Figure 8. This figure

is based on OAA Document 600-2013 which should be referenced for complete details.

5.2 Design Considerations

The design of all new facilities and renovations should take into consideration the items

listed in Table 10.

Table 10. Design Considerations

Consideration Details

Furniture, fittings, AV equipment, other equipment and signage

The Design Team shall consider requirements related to furniture, fittings, AV equipment, other equipment and signage as early as possible during the schematic design process.

Campus Plan (2016)

Adhere to the Campus Plan and other planning

documents as well as any specific planning

studies done for the particular project.

Facility Accessibility Design

Standards (2014)

Design to Brock University’s Facility Accessibility

Design Standards (FADS).

Accessibility Audit (2012) Eliminate any existing barriers to accessibility

identified in the audit.

Brock University Design

Standards (2019)

Adhere to all relevant Brock University Design

Standards.

FMOP 5-2: Construction

Document Set-Up and Project

Submission Requirements

Adhere to procedure for setting up design and

construction documents and submission

requirements.

Building Condition and

Deferred Maintenance Audits

In renovation work incorporate the renewal of any

items identified in building condition or deferred

maintenance audits.


5. Design


Consideration Details

Leadership in Energy and

Environmental Design (LEED) Design to a minimum of LEED Silver.

Energy Efficiency

Design efficient buildings that conserve energy by

incorporating advanced and proven building

systems and equipment. Investigate opportunities

for incorporating alternative energy sources. The

use of Life Cycle Costing can aid in the up-front

decision-making process from a financial and

operational perspective.

Facility Needs and Priorities

Study (2017) Consider identified needs and priorities.

Space Management Policy

Space Management Framework

Space Request Procedures

Design of new or renovated spaces shall adhere

to Brock’s space management policy, framework

and procedures.

Environmental Sustainability Plan (2018)

Adhere to Environmental Sustainability Plan to ensure development “meets the needs of the present without compromising the ability of future generations to meet their own needs.”

5.3 Design Team

A design team shall be formed for all major projects. The composition of the design team

is illustrated in Figure 5 (Section 2.7). At a minimum, the design team shall include the

following representatives:

• Project Manager

• Director, CPPM

• Consultant

• Technical Experts

• Direct Project Stakeholders, i.e. occupant and operations stakeholder

representatives

Representatives on the design team shall attend project meetings, participate in design

reviews, and provide written approval (sign-off) of the design at the end of each phase.


5. Design


Figure 8. Phases of the Design Process (Based on OAA 600-2013)

Schematic Design Phase

Architect Scope 1

(OAA 600-2013)

Deliverables Design Review 2

PMM 5.8

Cost Estimate

PMM 5.9

• Schematic design documents

• Estimate of construction cost

• Submit schematic design

documents to Brock

Schematic design documents illustrating the

scale and character of the project and how the

parts of the project functionally relate to each

other including as appropriate:

• Site Plan

• Spatial Relationship Diagrams

• Floor Plans

• Elevations

• Building Sections

• Outline Specifications

100% Schematic

Design Review

Meeting

C

• Public Agency Consultation Consultation memo summarizing consultation

Architect Scope 1

(OAA 600-2013)


PMM 5.8

Cost Estimate

PMM 5.9

• Design development

documents

• Continue review of applicable

codes

• Update estimate of

construction cost

• Submit design development

documents to Brock

Design development drawings and documents

to describe the site and character of the project

including as appropriate the architectural,

structural, mechanical, and electrical systems,

materials and other such elements:

• Site Plans

• Floor Plans

• Elevations


• Project Brief

40% Design ReviewC

60% Design Review C (updated if

necessary)

90% Design Review C (updated if

necessary)

100% Design

ReviewB

Construction Documents Phase

Architect Scope 1

(OAA 600-2013)


PMM 5.8

Cost Estimate

PMM 5.9

• Drawings and specifications

• Review applicable codes

• Bidding information

• Update estimate of

construction cost

• Submit construction

documents to Brock

Construction documents consisting of drawings

and specifications setting forth in detail the

requirements for the construction of the project.

50% Contract

Documents Review B

100% Contract

Documents Review A

Notes:

1. Suggested scope and deliverables based on OAA 600-2013. Refer to OAA 600-2013 document for complete details.

2. Design reviews may be part of regular monthly design team meetings.

Design Development Phase

Pre-Design Phase

Architect Scope 1

(OAA 600-2013)


PMM 5.8

Cost Estimate

PMM 5.9

• Pre-design study

• Prepare program of

requirements

• Review and verify drawings

• Prepare measured drawings

• Assist with engagement of a

Consultant to obtain survey,

geotechnical or hazardous

materials reports

Pre-Design report including an analysis of the

reasonable probability of Brock’s objectives for

the project being reached within budget and

advising on measures to align them; an

assessment of the suitability of Brock’s site to

accommodate the project taking into account

known site constraints, ability to support future

additions, and potential impact of known

proposed developments in the vicinity.

Pre-Design Report

Review Meeting

D

• Review program

• Review applicable codes

• Prepare initial evaluation

• Review initial evaluation

• Preliminary concept design

• Functional plan

Preliminary concept design documents

illustrating relationship of the project components.

Preliminary Concept

Design Review

MeetingD


5. Design


5.4 Design Team Meetings

5.4.1 Scheduling

The design team shall participate in regular meetings during the pre-design, schematic

design and design development stages. For major projects, these meetings shall be held

at least once per month. Less frequent meetings will be held during the construction

document preparation stage. For minor projects, design team meetings shall be held as

required.

The Project Manager shall work with the Consultant to schedule all design team meetings

at least two weeks in advance.

In addition to regular design team meetings, design review meetings are also required at

key milestones. Further information about design review meetings is outlined in Section

5.7.

5.4.2 Meeting Agenda and Review Documents

The Project Manager shall ensure that the meeting agenda along with all documents,

drawings and reports that are to be reviewed are sent to meeting invitees at least one

week in advance of the meeting date. For meetings at which design documents are

scheduled for review, the documents will be distributed two weeks in advance to the

Design Team enabling sufficient time for review. This ensures participants have adequate

review time and time to review the documents with other staff, as required.

Comments received during the consultation process shall be tracked using the Capital

Project Review Form. Comments and questions provided shall be address by the

Consultant with the responses entered into the document, and subsequently provided to

the Design Team. The Consultant shall be responsible for maintaining this document

throughout the design process.

Standing agenda items for each design team meeting shall include the review of:

• Previous Minutes

• Project Status Reports

• Project Schedule

• Project Budget

• Change Orders


5. Design


• Risk Register

• Health and Safety

• Project Specific Items

5.4.3 Meeting Minutes

The Project Manager shall ensure the Consultant or a designate prepares minutes and

circulates them to the design team for review no more than one week following the

meeting.

5.5 Support Studies and Expert Consultants

Following the execution of a new project, the Project Manager shall meet with the Director,

CPPM to discuss the unique needs of the project and any support studies or expert

Consultants that may be required, such as:

• Geotechnical

• Environmental (i.e. emission summary and dispersion modelling, acoustic

assessment)

• Tree Preservation including Arborist Report

• Archeological

• Hydrogeological

• Site Survey

• Hazardous Material Investigation

The Project Manager shall instruct the Consultant to prepare a Terms of Reference (if

applicable) for the required special stud(ies). The estimated cost to complete the work

will generally determine the method of retaining the expert Consultant. If the cost is

estimated to be less than $15,000 then the Project Manager may sole source the

assignment. If the cost is estimated to be greater than $15,000 then at least three written

quotations shall be solicited from potential expert Consultants (if possible) in accordance

with Brock University’s Purchasing Policy. Section 4.1 of this PMM outlines further details

about the retention of professional services.


5. Design


5.6 Stakeholder Input

Stakeholder groups will provide written approval (sign-off) of the design at the end of each

stage. Typical stakeholders, as well as information about when they should be consulted,

are listed in Table 11.

Table 11. Stakeholder Consultation Details and Timeline

Potential Stakeholder

Consultation Details and Timeline

Brock University Faculties

Consult Faculties for projects that impact their spaces, either teaching or administration. Contact with the Brock community client should be done at the initiation of the project. Touch points should occur at key milestones and written sign off shall be obtained at the end of each phase of the project.

Brock University Administrative Departments

Consult Administrative Departments for projects that impact their spaces. Contact with the Brock community client should be done at the initiation of the project. Touch points should occur at key milestones and written sign off shall be obtained at the end of each phase of the project.

Brock University FM

Consult FM staff for all projects because they will be required to operate, maintain, and manage the completed asset. Appropriate representatives, i.e. the trades managers, custodial, grounds, etc. should be part of the project team and participate throughout the project.

Consult with the Energy Manager, Maintenance and Utilities to review all final designs to determine if energy rebates or incentives can be applied.

Brock University Health, Safety and Wellness (HSW)

Consult HSW staff for projects that have a health and safety or environmental component, such as asbestos abatement or EASR implications. This should be determined during the project scoping.

Projects with hazardous material abatement shall be reviewed with HSW to determine the communications protocol required relative to the materials to be encountered.

Brock University Human Rights & Equity

Consult Human Rights & Equity staff for human rights and AODA issues.


5. Design




Brock University Students’ Union (BUSU) and Graduate Students’ Association (GSA)

Consult BUSU and/or GSA for any projects which are funded or supported by them. Contacts with BUSU and GSA should be used to determine the actual stakeholder. Contact should be maintained throughout the project.

Brock University Information Technology Services (ITS)

Consult ITS for projects that involve AV, access control, Building Automation Systems (BAS), and/or computerization.

Brock University Security

Consult Brock Security for projects that impact life safety systems or have an element of security.

Other Brock University Stakeholders

In addition to occupant stakeholders, operations stakeholders, and those listed above, some projects may impact additional groups on campus. The project team shall consider all groups that may be directly or indirectly impacted by project and construction activities (for example, occupants in nearby buildings who may be impacted by noise and vibrations during construction).

City of St. Catharines

Although Brock is not subject to site plan control, projects impacting Glenridge Avenue should be reviewed with the City. Contact should be made once a conceptual design has been developed.

Consult with the City Building Department to determine need for a Building Permit.

City of Thorold

Although Brock is not subject to site plan control, projects impacting Merrittville Highway should be reviewed with the City. Contact should be made once a conceptual design has been developed.

Consult with the City Building Department to determine need for a Building Permit.


5. Design




Niagara Region

Consult when any Regional services may be impacted, including the site development adjacent to Merrittville Highway, Glenridge Avenue and Sir Isaac Brock Way. Contact should be made once a conceptual design has been developed. Follow-up will be required as the design proceeds.

In addition, given the creation of the Brock District, design features adjacent to the regional roads should be discussed with the Region to ensure consistency with the Brock District design standards.

Ministry of Environment, Conservation and Parks (MECP)

Consult when noise, air or water may be impacted. Consultation is typically done by the Consultant following the completion of the preliminary report.

Niagara Escarpment Commission (NEC)

Consult NEC for campus development projects when a NEC regulatory area may be impacted. Consultation with the NEC shall be initiated shortly after retaining the Consultant. NEC’s development control area can be determined by using the interactive map on the NEC website.

Niagara Peninsula Conservation Authority (NPCA)

Consult NPCA for water issues.

Utilities Consult utilities as required during design development.

5.7 Design Review

Table 12 lists the required design review milestones for all projects and is based on OAA

600-2013; further details about each milestone are described in OAA 600-2013.

Design review meetings may coincide with monthly design team meetings or may be

scheduled separately.

Table 12. Summary of Design Review Milestones

Milestone Documents/Drawings to Review (OAA 600-2013)

Project Kick-Off N/A


5. Design


Milestone Documents/Drawings to Review (OAA 600-2013)

Pre-Design

Pre-design study report (if applicable) including an analysis of the reasonable probability of Brock’s objectives for the project being reached within budget and advising on measures to align them; an assessment of the suitability of Brock’s site to accommodate the project taking into account known site constraints, ability to support future additions, and potential impact of known proposed developments in the vicinity.

Preliminary Design Preliminary concept design documents illustrating relationship of the project components.

Schematic Design

Schematic design documents illustrating the scale and character of the project and how the parts of the project functionally relate to each other including as appropriate:

• Site Plan

• Spatial Relationship Diagrams

• Floor Plans

• Elevations


• Outline Specifications

40% Design Design development drawings and documents to describe the site and character of the project including as appropriate the architectural, structural, mechanical, and electrical systems, materials and other such elements:

• Site Plans

• Floor Plans

• Elevations


• Project brief

60% Design

90% Design

100% Design

100% Construction Documents

Construction documents consisting of drawings and specifications setting forth in detail the requirements for the construction of the project.

5.8 Cost Estimating

Cost estimates shall be based upon the Canadian Construction Association’s (CCA)

Guide to Cost Predictability in Construction (2012). The CCA Guide defines four


5. Design


classes of cost estimates – A, B, C and D. A brief description of each is included in Table

13.

Table 13. CCA Classes of Cost Estimates

Class Description

(Guide to Cost Predictability in Construction, 2012)

Cost Estimate Variability

D This estimate is generally “based on the initial functional program and broad concept approach. Usually by this time, the site and program have been approved.”

±20-30%

C

“This is a schematic design (construction documents) development estimate, where the program is set; the Consultants have provided plans, elevations, sections, and an approximate palette of materials, as well as a concept design to allow form and spaces, and the design is generally completed up to 33%.”

±15-20%

B

“This is a construction document estimate based on working drawings and more detailed dimensioning from computer generated drawings and systems with preliminary plans for mechanical and electrical. Generally, such items as structural grid, element sizes, and weight are all determined. The outline specifications of all systems and materials are available. The initial Class B estimate is upgraded from 33% during design development, which depending on the project can be at 50%, 66% or 95%.”

±10-15%

A

“This estimate can only be produced after the construction documents are 100% complete and a minimum of two weeks following the completion of drawings is required to prepare the estimate. This estimate is of sufficient quality and reliability as to warrant approval from the owner to proceed with tender, as it is based on detailed systems and component design and accounts for all project objectives and deliverables. It requires that project systems be designed and specified to completion based on a realistic construction schedule and accurate material and labour costs.”

±5-10%

For major capital projects, estimates of construction cost prepared by a professional Cost

Consultant shall be completed at the end of the following stages:

• 100% Schematic Design – Class “C” estimate


5. Design


• 100% Design Development – Class “B” estimate

• 50% Contract Documents – Class “B” estimate

• 100% Contract Documents – Class “A” estimate

For major capital projects, as a risk management measure, a second independent cost

estimate should be prepared by a Cost Consultant contracted directly to the University at

each of the above-noted stages, or for less complex major capital projects at the following

stages as a minimum:

• 100% Design Development – Class “B” estimate

• 100% Contract Documents – Class” A” estimate

Sufficient time shall be allowed in the project schedule to prepare and review the

estimates. Should the estimate be higher than the approved funding, the design shall be

modified to conform to the budget in consultation with the project stakeholders.

Consideration shall be given to increasing the project budget only after other cost savings

options have been exhausted and only as directed by senior administration.

5.8.1 Operating and Maintenance Costs

Annual operating costs shall be included with all Class B and A estimates. An estimate

of the annual operating cost of the building shall be developed to include:

• Utilities

• Maintenance and operations

• Custodial services

• Campus Security

• ITS

• Insurance

• An allocation for deferred maintenance based on a cost/square foot

• Any other relevant costs

Recommended amounts for deferred maintenance are:

• Low – under $1 / square foot

• Medium – $1 to $4 / square foot


5. Design


• High – $4 or higher / square foot

5.9 Value Engineering

For some major projects a Value Engineering (VE) and Quality Assurance Consultant

may be retained. The objective of the VE assignment is to maximize the return of the

capital expenditure that will be invested in major works. At the outset of each major

project the Project Manager and Director, CPPM shall discuss if a VE Consultant would

be beneficial for the project.

VE is an exercise involving one consolidated team comprised of Brock University, the

design Consultant team, and the VE Consultant team. The VE team provides a list of

recommendations and/or alternatives considered and ranks them to determine which

merit further development. The VE team prepares preliminary design of

recommendations with life cycle costing comparisons to the design Consultant’s original

baseline project, and a descriptive evaluation of the advantages and disadvantages of

the proposed recommendations. Various VE team members present the alternative they

have developed to the rest of the group. The VE Consultant presents a summary of the

results of each workshop. The VE Consultant prepares a final report at the end of each

workshop for submission to the owner.

There are typically three (3) VE workshops lead by a Certified Value Specialist as follows:

• at schematic design phase to provide direction for detailed design,

• at 50% design development phase to verify detailed design approach and adjust if

needed, and

• at 100% detailed design for dealing with constructability issues.

The VE process or number of workshops can be modified or tailored as required to best

suit the interests of any particular project.


6. Pre-Construction


6. PRE-CONSTRUCTION

6.1 Project Contracting Strategy

At the outset of each project, the Project Manager and Director, CPPM shall discuss the

contracting strategy most appropriate for the project. Brock University has been

successful utilizing the traditional “Design-Bid-Build” method of construction procurement

in the past. While this method is preferred, other methods may be used if warranted or

required in the specific project circumstances. Contracting methods that may be

considered include:

• “Design-Bid-Build” (DBB) using CCDC-2, as amended by Brock University

through Supplemental Conditions, requires a fully completed design, and a

completed set of construction documents and specifications which are tendered to

general Contractors. The construction documents shall be developed using the

Brock University Design Standards. A stipulated sum contract is entered into with

the lowest compliant bidder. The advantage of design-bid-build is that the base bid

is known prior to commencing construction. The total price at completion has the

potential to exceed the budget due to unknown conditions encountered or changes

required due to document coordination if these costs are greater than the

Construction Contingency allowance.

• “Construction Management” (CM) using CCDC-5B, as amended by Brock

University through Supplemental Conditions, is generally employed when the

project has a very tight deadline or other complexities. The construction documents

shall be developed using the Brock University Design Standards. Typically,

construction management also includes fast-tracking of the construction which

includes sequential tendering of the individual trade contracts’ and starting

construction prior to completion of the Consultant’s design. Advantages of

construction management include the ability to start construction quickly and

flexibility in making changes during construction. As construction is usually started

prior to completion of the construction documents, there is a higher degree of cost

risk and the total cost at completion is less certain than in a Design-Bid-Build

approach. To avoid being deemed the Constructor under Ontario’s Occupational

Health and Safety Act, all sub-contracts must be held by the Construction Manager

directly.

• “Design-Build” (DB) using CCDC-14, as amended by Brock University through

Supplemental Conditions, requires the University to prepare a comprehensive

design brief describing all the project requirements including space requirements,

general design parameters, required materials and methods, operating


6. Pre-Construction


requirements, warranties and contracted maintenance required, schedule, site and

utility information, etc. The construction documents shall be developed using the

Brock University Design Standards. The design brief is appended to a Request for

Proposal issued to pre-qualified design-Build teams who submit proposals to

design and build the project on behalf of the University for a stipulated sum. Any

University initiated changes prior to or during construction will increase the cost of

the project.

• In the “Design-Build-Finance-Maintain” (DBFM) approach, a contract is entered

into with a consortium usually consisting of a Contractor, design Consultants, a

lending authority and a facility maintenance company for the design, construction,

financing and maintenance of a facility for long term period. This method has not

been used by Brock University and given our ability to obtain financing at preferred

rates, it is unlikely to be used for the foreseeable future.

6.2 Contractor Pre-Qualification

Contractors shall be prequalified wherever possible by conducting the Request for Pre-

Qualification (RFPQ) process. Pre-qualification submissions are requested from

Contractors which are then reviewed and scored by a stakeholder committee prior to the

tender. A short list of typically six to eight prequalified Contractors with proven experience

and expertise suitable for the project is then developed. It is good practice to prequalify

general Contractors, construction managers, mechanical and electrical sub-Contractors

and well as any other sub-Contractors that would have a high degree of impact on project

success.

As part of the pre-qualification process, the Project Manager shall ensure that Contractors

for major capital projects employ at least one site superintendent with an accreditation,

such as the Gold Seal Certification from the Construction Institute of Canada.

The RFPQ template is maintained by Brock University’s Procurement Services.

Periodically, Brock University undertakes a pre-qualification process to create a roster for

Contractors. This enables Brock to move quickly on minor projects as the formal tendering

is completed in advance. Currently, Brock University FM has active SOAs for the

following:

• General Contractors

• Flooring, Drywall & Painting Minor Maintenance and Repair

Additional information about Contractor Pre-Qualification can be found in the OGCA’s

Guide to Pre-Qualification of Contractors.


6. Pre-Construction


6.3 Approvals and Permits

Section 3.8 of this PMM lists common approvals and permits that may be required. The

list may not be exhaustive, and the Project Manager shall work closely with the Consultant

and Project Team to ensure all required approvals and permits are identified as well as

the documentation and drawing requirements of each.

The Project Manager and/or Consultant shall submit applications for approvals and

permits as soon as the necessary documentation and drawings are available. For

example, the NEC typically requires schematic drawings, but other agencies may require

detailed design drawings.

6.4 Tender Package

Tender documents will vary based on the type of Project. For minor projects, the Brock

University Invitation to Tender (ITT) form shall be used. For major projects, CCDC

documents will be prepared by the Consultant for use, including the standard Brock

Terms and Conditions. For site work projects, Brock University uses the Ontario

Provincial Standards (OPS) and the Niagara Peninsula Standard Contract

Document. Guidelines related to the Niagara Peninsula Standard Contract Document

are also available from the Niagara Region website.

Tender documents shall follow the National Material Specification and the Brock

University Design Standard numbering format.

6.5 Addenda

An addendum may be required to change or clarify information in the tender package.

Addenda are typically a result of design changes or questions from bidders. It is

important to ensure that all Contractors are provided with the same information and all

are bidding on the same tenders.

If an addendum is required, the Project Manager shall work with Procurement Services

staff to issue the addendum.

The addendum supplements and/or supersedes the RFP. It forms part of the RFP and

is to be read, interpreted, and coordinated with all other parts. The addendum must be

acknowledged by all bidders and it becomes part of the contract documents.


6. Pre-Construction


6.6 Tender Evaluation and Award

The tender and award process shall be undertaken in accordance with Brock University’s

Purchasing Policy.

6.6.1 Bid Analysis

Bids or quotations are to be reviewed by the Project Manager except in the case where

there has been a Consultant retained and the Consultant’s scope of work includes tender

and award services in which case both the Project Manager and the Consultant shall

review the bids or quotations. Bid information and results shall be documented on the

Tender Opening Record.

Bids not in compliance with the contract documents including the Instructions to Bidders

and the Form of Tender, or the Request for Quotation may be declared non-compliant

and therefore ineligible for consideration.

Provided the low bid is within the budget established for the work, the Project Manager is

to recommend the award of the contract to the lowest compliant bidder. In exceptional

circumstances, the Project Manager may have reason to not recommend award to the

lowest compliant bidder. In this event, the Project Manager is to inform the Director,

CPPM who will review the issue a recommend a course of action to the AVP, Facilities

Management for consideration.

Potential reasons for not awarding the contract to the lowest compliant bidder may

include:

• Contractor’s legal action (or pending legal action) against the University.

• Documented evidence supporting the conclusion that the Contractor will not be

able to complete the work to the satisfaction of the University.

6.7 Insurance and Bonding

The following bonding is required for FM projects:

• Bid bonds should be required of bidders for all tendered contracts with an

estimated value in excess of $100,000. Other acceptable security, such as a

certified cheque or letter of credit, may be permitted for contracts with a pre-tender

estimate of less than $1,000,000.

• Labour and Material bonds and Performance bonds shall comply with the

requirements of the Construction Act.


6. Pre-Construction


• A Consent of Surety (letter from the Surety Company) indicating that the

Contractor will obtain the required final bonding will be required to be submitted by

all bidders.

Information regarding insurance requirements is included in the Brock University

Design Standards and RF documents. Contractor and Consultant insurance

requirements and monetary limits are determined in consultation with Brock’s Risk

Management staff.

If a Certificate of Insurance is required, the Project Manager shall contact Brock’s Risk

Management staff for assistance.

6.8 Contractor Purchase Requisition

Upon selection of a Contractor for an FM construction project, the Project Manager shall

complete a purchase requisition. Purchase requisitions are created and processed using

Workday, the finance and HR software solution utilized by Brock University.

For further instructions regarding creating, finding and managing purchase requisitions,

please refer to the Workday help function.

Upon approval of the purchase requisition, a Purchase Order will be issued to the

Contractor with Brock’s standard Purchase Order Terms and Conditions.

6.9 Agreement / Contract

Upon confirming a Contractor and initiating a purchase requisition, the Project Manager

shall facilitate the expeditious execution of a contract. The Project Manager shall ensure

that all documents are executed in accordance with the authorities outlined in Appendix

B of the Purchasing Policy and the Delegation of Authority Policy. Any documents

submitted to the President or Vice-President for signature shall have the Request for

Signature Form attached.

All contract documents shall be in one bond set with no ribboning.

6.9.1 Projects With Construction Costs Greater Than $100,000

For construction contracts valued over $100,000, Brock University uses industry standard

construction contracts produced by the Canadian Construction Documents Committee

(CCDC). Common CCDC contracts used for Brock FM projects are listed in Table 14.


6. Pre-Construction


Table 14. CCDC Contracts

Contract Form

Description Use

CCDC 2 (2008)

CCDC 2 – 2008 Stipulated Price Contract is a standard prime contract between Owner and prime Contractor that establishes a single, pre-determined fixed price, or lump sum, regardless of the Contractor’s actual costs.

This contract is used for the majority of FM projects that follow the traditional “Design-Bid-Build” model.

CCDC 5B (2010)

CCDC 5B – 2010 Construction Management Contract for Services and Construction is a standard contract between Owner and Construction Manager to provide advisory services during the pre-construction phase and perform the required work during the construction phase.

This contract is used for FM projects that follow the “Construction Management” contracting strategy.

CCDC 14 (2013)

CCDC 14 – 2013 Design-Build Stipulated Price Contract is a standard prime contract between the Owner and the Design-Builder where the Design-Builder provides the design services and performs the work under one agreement, for a single, pre-determined stipulated or fixed price.

This contract is used for FM projects that follow the “Design-Build” contracting strategy.

Brock has developed a listing of standard Supplementary Conditions to CCDC 2 and

Supplementary Conditions to 5B. These Supplementary Conditions shall be included

as part of all construction contracts. If additional Supplementary Conditions are required,

the Project Manager shall consult with the Director, CPPM.

6.9.2 Projects With Construction Costs Less Than $100,000

For construction contracts valued at less than $100,000, Brock’s Purchase Order Terms

and Conditions are used in lieu of a formal agreement.

6.9.3 Supplier Purchasing Contract

In an effort to streamline the approval process for additional works and/or change order

invoices on specific projects, a Supplier Purchasing Contract (SPC) for the Contractor

can be utilized. Workday enables this through a dual approval process at the outset of

the project, and it remains in effect for the duration of the contract.

The decision to set up an SPC will be based on the following:


6. Pre-Construction


• Due to project complexity, i.e. scope, scale and unknowns, multiple change orders

are expected, project extending for several months

• Major project, i.e. greater than $5.M with significant contingency

The following procedure shall be used by the Project Manager to establish an SPC:

• The SPC is set up for total amount of budget for the construction plus the

contingency amount (before HST). The purchase order is set up for the base

contract and linked to the SPC. An additional purchase order (also linked to the

SPC) may be set up for the change orders. This additional purchase order is all or

part of the construction contingency.

• The SPC goes through the appropriate approvals in accordance with the

Purchasing Policy based on its dollar amount.

• The SPC is not shared externally and therefore the Contractor does not know the

value of the SPC or the contingency. The SPC is an internal Brock document.

• The SPC tracks the dollar amount that is committed (purchase orders, PO) and

actuals (invoices) against the total SPC amount.

• The SPC will put a hard stop to additional requisitions or invoices when the SPC

and PO approved amount is reached.

• Purchase orders, invoices and project value must be linked in Workday to the SPC

as they are processed.

• Once the change order total reaches a substantial amount, an additional purchase

order (linked to the SPC) can be generated for the next group of change orders.

The total value of the additional purchase orders (over and above the base

contract) shall not exceed the total construction contingency.

6.10 Communication Plan

Stakeholder buy-in is essential for project success. An effective Communication Plan is

central to achieving this buy-in.

A Communication Plan is required for all major projects and recommended for all minor

projects. The Project Manager shall work with the project team to prepare a

Communication Plan that documents:

• Project Stakeholders

• Project Goals and Objectives

• Key Messages


6. Pre-Construction


• An Action Plan that identifies the following for each piece of communication:

o Audience (Refer to Section 6.10.1)

o Content (Refer to Section 6.10.2)

o Method of communication (Refer to Section 6.10.3)

o Timing

o Person responsible

A Communication Plan Template is available in the Virtual Library.

In addition to following the Communication Plan, the Project Manager and project team

shall ensure they provide effective two-way communication with stakeholders throughout

all project phases. Requests shall be responded to in a timely manner and feedback

provided as appropriate.

6.10.1 Audience

The first step to creating a Communication Plan is identifying who needs to know

something about the project. The audience typically includes the following:

• Project Team: The project team is the core of communication. Team members

work on the project virtually every day. They need to know what’s going on with

the project and they also contribute much of the information that is communicated

to others. As illustrated in Figure 5, team members include:

o Project Sponsor

o Project Manager

o Senior Administration Representative

o Occupant and Operations Representatives

o Director, CPPM

o Consultant

• Project Stakeholders: Project stakeholders are people, groups, or organizations

that could impact or be impacted by a project. Project stakeholders can be internal

(members of the Brock community) or external. Potential project stakeholders are

listed in Section 5.6.

• Other Audiences: Other groups often need or want project information. As the

communication plan is being developed, ask stakeholders if there is anyone else


6. Pre-Construction


who needs to know something about the project. The team shall ensure that all

groups that are directly or indirectly impacted by project activities are identified and

provided appropriate communications. Examples may include:

o Management Stakeholders: Management stakeholders who aren’t

dedicated to the project, but make key decisions about it share similar

needs for project communication and can include clients, the Project

Sponsor, a steering committee or leadership team, functional managers,

etc.

o Neighboring Building Occupants: Nearby faculty, staff and students may

be impacted by project activities such as noise or vibrations. Appropriate

notice shall be provided to them regarding construction activities.

o Custodial Services Staff: Custodial Services staff need to know when

they are to begin servicing all or portions of new and renovated buildings.

o Brock Community: For major projects, communications should be

provided to the wider-Brock community to celebrate significant milestones.

The Communication Plan Template includes a listing of potential stakeholders that can

be used to assist with audience identification.

6.10.2 Content

For all audiences that have been identified, the next step is to determine what they need

to know, what they want to know, and what information the project team wants to tell

them. When identifying information to be communicated, remember that relevance is key.

Not everyone needs or wants the same amount of information delivered in the same way,

but most everyone wants their information delivered consistently and on time.

Table 15 lists common types of project information that should be communicated during

the different phases of a project. This list shall be reviewed by the Project Manager to

help develop the Communication Plan. This list is provided as a starting point only;

additional communications may be required depending on the needs of the project.


6. Pre-Construction


Table 15. Types of Project Information to Communicate

Information to Communicate

Audience Timing / Phase

Rationale

Project Charter

Project Team

All Stakeholders

Planning

The components of the project charter help people involved with the project understand the purpose of the project and their roles in completing it.

Management stakeholders, including the client, Project Sponsor, and other high-level stakeholders, typically care about the overall business goals of a project. Early on, they evaluate the project charter to ensure that it meets their needs.

Project Assignments / Work Plans

Project Team

Functional Managers

Planning

Team members must understand the work they are supposed to perform as well as how that work fits into the big picture of the project. Team members need to know what work they are supposed to do and when.

Functional managers usually provide the staff who perform the project work, so they need to understand the skills required, to know when their people are needed, and to be aware of any constraints, such as cost or availability.

Project Rules and Procedures

Project Team

Planning

Team members should be provided with relevant procedures such as reporting time and expenses, requesting time off, escalating issues, etc.

Project Status Reports

Project Team

All Stakeholders

Functional Managers

Throughout duration of project

Sending status reports to stakeholders makes it easy for them to read the information and scan the reports for pertinent topics. Section 6.10.4 includes more information about creating status reports and their recommended content.


6. Pre-Construction


Information to Communicate

Audience Timing / Phase

Rationale

Construction Updates

Project Team

Appropriate Stakeholders

Construction

Updates shall be provided to appropriate stakeholders to communicate construction activities and potential impacts, as required. This is of particular importance when occupants remain in a building or near the work site during construction.

Stakeholders should be informed of appropriate communication channels if they wish to ask a question or report an issue during construction.

Issues

Project Team

Appropriate Stakeholders

Ongoing

Team members need to know about issues that might affect them, proposed solutions, and how closed issues were resolved.

Other stakeholders should also be informed of issues, as appropriate.

Decisions Project Team

Ongoing

Team members must know about any decisions that affect the direction or objectives of the project, so they can conform to the new guidelines.

Lessons Learned

Project Team

Ongoing Team members can work more effectively if they can take advantage of tips, shortcuts, or practices to avoid.

Summary Report

Project Team

Stakeholders

Project Closure

All projects should be wrapped up with a report that summarizes the performance of the project and key outcomes that is distributed to all stakeholders.

6.10.3 Methods of Communication

As part of the Communication Plan development, the Project Manager shall determine

the best method for delivering various types of information. Typical communication

methods and a description of each are listed in Table 16.


6. Pre-Construction


Table 16. Methods of Communication

Method Description

Meetings

Meetings can vary from one-time kickoff meetings to daily meetings of small groups of team members, weekly or monthly executive updates, or occasional all-hands meetings. Getting stakeholders in the same room is ideal for discussions, brainstorming, and decision making.

When hosting meetings, the Project Manager shall ensure:

• The right people are invited.

• An agenda is prepared to keep the meeting focussed.

• Meeting minutes with assigned action items are prepared and distributed to all attendees.

Conference Calls and Video-Conferencing

Conference calls are a good option for meetings when people are distributed geographically; however, they are not ideal if the team is working through issues.

A videoconference or Microsoft Office LiveMeeting provides more effective interaction than a traditional conference call and can be useful for important topics or high tensions. Brock has limited videoconferencing capability, so the Project Manager shall book facilities early when this is the preferred communication method.

Document Distribution

Distributing documents is important if recipients are required to review information and take action. Often, the best way to obtain approval and signatures is to hold a meeting, but documents should always be distributed for review in advance.

Electronic distribution of documents is typically most efficient. However, some information, such as reports for government agencies, may be required in different formats. The Project Manager shall adhere to required formatting and transmission methods.

Network Storage

Document-based deliverables, such as the current project plan, requirements, specifications, change requests, and other project information should be stored in the project file on the OneDrive where other Brock stakeholders may access them. Refer to Section 2.9 for more information about document management.

Newsletters and Email Distribution Lists

Newsletters and mass emails work well for announcements and other information to be disseminated to broad audiences. Information can be distributed to many people efficiently.

Mass email notification has been the traditional method of communicating activities related to projects with the Brock community. This method should only be used when high level information is required as communicating through mass email does not allow a lot of information to be transmitted and key messages may be lost.


6. Pre-Construction


Method Description

Face-to-face Discussions

Face-to-face communication is time consuming but highly effective for transmitting important information, brainstorming solutions, delivering delicate information, and achieving buy-in and commitment.

Promotional Materials and Publicity

Publicity can help build enthusiasm and commitment for a project. At the outset of a project, announcements in Brock News or road shows describing the purpose and benefits of project can help build enthusiasm and commitment. Other promotional materials, such as project newsletters and swag, can help publicize accomplishments and advertise the project. Celebrations can be hosted upon completion of significant milestones.

6.10.4 Project Status Reports

Project status reports keep people informed about the progress that has been made on

a project and what’s happened in the recent past. For all major projects, the Project

Manager shall prepare monthly project status reports containing the following information:

• A summary of activities in progress and when they will be completed;

• A summary of recently completed activities;

• Status of schedule;

• Status of budget;

• Identification of issues and risks;

• Results of meetings, discussions, training sessions, etc.; and

• Other information as required.

Other suggestions for preparing a project status report include:

• Provide specific, quantitative results; use numbers rather than terms such as few

or numerous;

• Take the time to correct typographical errors and grammatical errors;

• Proofread the report;

• Be concise while delivering information that stakeholders need or want to hear;

and

• Provide links to a project repository so readers who want more information can

locate it.


6. Pre-Construction


Status reports may vary by the needs of the audience. For example, the Project Sponsor,

management stakeholders, team members and functional managers all require a project

status report, but they may be interested in different information:

• The Project Sponsor and management stakeholders frequently review

performance, such as how much progress has been made, how much money has

been spent, and the quality of the results that have been achieved. They may also

want information about the project strategy and issues and risks that might affect

the business objectives for the project.

• Team members need to know the status of their work and related tasks. As work

progresses on the project, they need to know detailed status about completed work

and the work that’s scheduled for them in the near future.

• Functional managers want to know how much longer their staff are needed so they

can plan work for their team.

6.10.5 Requests and Follow-Up

The most effective way to obtain a response to a request is to tell people up front what

they need to do and when. Requests should be included in the first paragraph of an email,

memo, or other written communication and stated in the first sentence of voice messages.

It is the Project Manager’s responsibility to follow-up on action items, requests, and issues

and keep the project moving forward.

6.10.6 Communication Reminders

The Project Manager shall ensure key project information is communicated in accordance

with the Communication Plan. It is recommended that the Project Manager create

reminders for key communication milestones using one of the following options:

• Set up communication tasks as milestones in the Microsoft Project schedule.

• Create one time or recurring tasks and reminders in Microsoft Outlook.

• Use an alternate preferred system for managing tasks.


7. Construction


7. CONSTRUCTION

7.1 Pre-Construction Meeting

A pre-construction meeting shall be held before the initiation of construction to acquaint

all involved parties. Issues affecting the initiation of the project are discussed at this

meeting. Section 7.1.2 identifies the items which should be considered when preparing

an agenda for the pre-construction meeting.

7.1.1 Scheduling

The Project Manager shall work with the Consultant to schedule the pre-construction

meeting at least two weeks in advance of construction commencement. Standard and

optional invitees are listed in Table 17.

Table 17. Pre-Construction Meeting Invitees

Title Affiliation

Standard Invitees

Project Manager Brock University

Director, CPPM Brock University

Project Sponsor Brock University

FM Divisions – Asset Management & Utilities and Facilities & Services

Brock University

Other Brock Stakeholders Brock University

Consultant Project Manager Consultant

Consultant Site Inspector Consultant

Consultant Contract Administrator Consultant

Contractor Project Manager Contractor

Contractor Site Supervisor Contractor

Sub-Contractor(s) as needed Sub-Contractor(s)

Optional Invitees

Health, Safety and Wellness Coordinator Brock University

Geotechnical Consultant Project Manager Geotechnical Consultant

Affected Utility Representative(s) Utilities

Municipal Representative (project-dependent) Niagara Region or Area Municipality


7. Construction


Title Affiliation

Ministry of the Environment, Conservation and Parks (MECP) Representative

MECP

Other Affected External Agency Representative(s) External Agency

7.1.2 Meeting Agenda

The Project Manager shall provide the Pre-Construction Meeting Agenda Template to

the Consultant to be completed with the project-specific information. Table 18 lists the

topics to be included on the agenda.

Table 18. Pre-Construction Meeting Agenda Topics

Agenda Topic Supporting Documents and Details

Requirements Prior to Commencing Work

WSIB Certificate • Contractor shall provide WSIB Certificate to Brock prior to

commencement.

Project Contact List

• Consultant and Contractor shall provide personnel list including emergency phone numbers and Health and Safety representative.

• Refer to Project Contact List Template.

Health & Safety

• Contractor shall provide copy of Health and Safety Policy and name of representative.

• Contractor shall observe all safety precautions including wearing of safety helmet, boots, and eye protection as required by law and activities of the site.

• Pre-start Health and Safety Review

• Refer to Section 7.3 for further information.

Introductions • Superintendent and Project Manager shall introduce themselves to

Campus Security at ext. 4300 (8:30 – 4:30 Monday to Friday).

Notice of Project • Contractor shall file the Notice of Project with the Ministry of Labour

(MOL) prior to commencement.

Certificate(s) of Insurance

• Contractor shall provide Certificate(s) of Insurance to Brock prior to commencement.

Quality Control (QC) Plan

• Contractor, Consultant and Brock’s Project Manager shall conduct a mutual understanding meeting to discuss and review the Contractor’s QC Plan prior to commencement of construction.



7. Construction



Campus Specific Requirements

Campus Plan

• Brock Project Manager shall provide a copy of the Campus Plan to the Contractor.

Smoking • Contractor shall adhere to no smoking and designated smoking areas.

Deliveries • Contractor shall arrange for a representative to meet incoming

deliveries. Do not direct personnel or deliveries to Brock Central Receiving.

Emergencies

• Contractor shall advise Campus Security of emergencies at ext. 3200 (emergency extension). Campus Security must be informed in the event of a 911 call in order to meet emergency vehicles at Glenridge Avenue and assist/direct them on campus.

Respectful Work Environment

• Refer to Brock’s Respectful Work and Learning Environment Policy.

Material Laydown Area

• The Contractor will be restricted to an area for laydown of materials, equipment, etc. Brock will provide this information to the Contractor when requested.

Site Cleanliness

• Contractor shall ensure work area remains as clean as possible, debris is removed and disposed of in a timely fashion and tracking from construction area through public areas is kept to a minimum. Use tack mats wherever possible.


Contractor Parking Requirements

• Brock Project Manager shall confirm quantity of Contractor parking permits required and provide them to Contractor in advance of project commencement.

Directions • Contractor shall provide clear instructions to visitors to the site with

respect to safety and directions to avoid wandering.

Keys and ID Cards

• Keys shall be signed out from Space Management Coordinator at 573A Glenridge, Room 111.

• Refer to FMOP 5-7: Contractor/ Consultant Identification Cards

o 5-7: Annex A

o 5-7: Annex B

Hours of Work

• Work to occur during normal business hours (7am to 5pm).

• For some projects, after-hours work may be required to minimize disruptions (i.e. to limit occupant exposure to noise and other hazards). Requirements for after-hours work shall be clearly discussed by the Project Manager, Consultant and Contractor.

Washroom Facilities

• Use of university washroom facilities vs. portable toilets.


7. Construction



Use of Elevators

• Refer to FMOP 2-9: Operation of Elevators

o 2-9: Annex A

o 2-9: Annex B

o 2-9: Annex C

Permits and Procedures

Building Permit • The Consultant shall apply for a Building Permit on behalf of Brock.

• Refer to Sections 3.8 and 5.6.

Hot Work Permit

• Required for any temporary operation involving open flames or producing heat and/or sparks, including brazing, cutting, soldering, torch-applied roofing, welding and another other operation.

• Requires completion of the Hot Work Permit and application to Facilities Management. Allow 48 hours for processing.

• Refer to Section 7.4 for further information and the Application for Hot Work Permit.

Fire Protection Equipment

• Work related to fire protection equipment requires 48 hours notice.

• Early consultation with the Manager, Electrical Services is encouraged.

• Refer to Section 7.5 for further information and the Application for Scheduled Work on Fire Protection Equipment.

Award of Contract • Refer to Section 6.9 for further information.

Maintenance, Locates, etc.

• Contractor shall refer to Customer Service at Facilities Management for inquiries related to maintenance, locates, etc.

• Refer to FMOP 3-2: Utility Locates and 3-2: Annex A

Lines of Communication

• Correspondence related to construction work shall be directed to the Consultant and copied to Brock’s Project Manager.

• The Contractor shall not take any direction related to work involving cost from personnel other than the Consultant or Project Manager.

• When Contractor activities will have an impact on the operations of the campus such as disruptions due to noise, dust, deliveries, etc., the Project Manager will facilitate communications between the Contractor and the relevant University departments and provide notification and communication to the affected Brock community.

Full Time Site Supervision

• The Contractor shall ensure the site is supervised at all times and provide contact information for the person(s) fulfilling this role.

Demolition of Data Outlets/ Wi-Fi/ Security Cameras

• Any demolition or disconnection work related to data outlets/Wi-Fi/security camera devices must be performed by ITS personnel. Cutting a data line can cause damage to a switch

Door Hardware • The Contractor shall arrange a pre-installation meeting with the Door

Hardware Consultant.


7. Construction



Site Administration

Minutes • Contractor shall provide typed, accurate minutes of site meetings.


Paperwork • Contractor shall provide prompt paperwork.

Schedule

• Contractor shall provide updated schedule including baseline schedule with site meeting minutes.


Request for Information (RFI)

• Consultant, Contractor and Brock shall discuss RFI process and forms.

• Contractor shall provide updated RFI log with site meeting minutes.


Change Management

• Consultant, Contractor and Brock shall discuss change management process including Contemplated Change Notices, Change Orders, Change Directives and associated forms.

• Contractor shall provide updated Change Register with site meeting minutes.


Shop Drawings

• Contractor shall provide updated Shop Drawing Log with site meeting minutes.

• Shop Drawings to be reviewed by Consultant, only if they are stamped by Contractor and sub-Contractor first


Invoicing

• Brock University expects a “high level of contract administration” ensuring good paper flow in pursuit of the best performance, scheduling and communication in order to make payments without delay.

• Contractor shall send invoices first to Consultant for review.

• Refer to Section 7.14 for further information about progress payments.

Safety Meetings • Contractor shall provide schedule of safety meetings to allow a Brock

University representative to attend.

Other Issues

Other Issues

The Project Manager and Consultant shall include other project specific issues to be discussed at pre-construction meeting, such as:

• Scheduling details

• Coordination of activities with Brock

• Coordination with other service providers

• Dumpster requirements


7. Construction


7.2 Site Meetings

Regular bi-weekly or monthly meetings are held on-site to report on the status of

construction and to update project progress. Operations and construction related issues

affecting project cost and timeline are typically discussed during these meetings.

Site meetings shall be held at a bi-weekly frequency for all major projects and on an as

required basis for minor projects. Invitees shall include:

• Project Manager

• Director, CPPM

• Other Brock Stakeholders (as required)

• Consultant Project Manager

• Consultant Site Inspector

• Consultant Contract Administrator

• Contractor Project Manager

• Contractor Site Supervisor

• Sub-Contractors (as required)

The Project Manager shall ensure the Consultant or a designate prepares minutes and

circulates them to all invitees no more than one week following the meeting. The following

items shall be attached with each set of minutes:

• Updated Schedule (Section 7.8)

• Updated RFI Log (Section 7.9)

• Updated Change Register (Section 7.10)

• Updated Shop Drawing Log (Section 7.11)

7.3 Contractor Health and Safety

In accordance with the Ontario Occupational Health and Safety Act, the Contractor is

responsible for health and safety on the construction site.

Health and safety considerations for all projects include the following:


7. Construction


• The Contractor shall provide Brock with a copy of their Health and Safety Policy

and name of their representative.

• The Contractor shall observe all safety precautions including wearing of safety

helmet, boots, and eye protection as required by law and activities of the site.

• The Project Manager shall ensure that a pre-start health and safety review is

included as part of the pre-construction meeting (Section 7.1).

• The Project Manager may invite the Brock University Health, Safety and Wellness

(HSW) staff if Asbestos-Containing Material(s) (ACM) or hazardous materials are

present in the Project area. Consultation with users shall be required for Type 3

ACM abatement. The HSW staff will facilitate the consultation. Refer to Brock

University’s Asbestos Management Plan and Hazardous Materials Information

System.

• The Contractor shall inform Brock’s Project Manager of safety meeting dates to

allow a Brock representative to attend.

• To avoid being deemed the Constructor under Ontario’s Occupational Health and

Safety Act, any Contractors and suppliers/installers contracted directly by the

University are only to perform work on the construction site after certification of

Substantial Performance of the work and where their work does not overlap in time

and space with other Contractors. All construction sub-contracts shall be held by

a General Contractor or Construction Manager directly.

• Contractors are to be provided with a copy of the Brock University Respectful

Work and Learning Environment Policy.

• Contractors shall be encouraged to obtain a Certificate of Recognition (COR) from

the Infrastructure Health and Safety Association (IHSA). A COR is recommended

for all Contractors submitting bids for major capital projects with an estimated value

over $1,000,000.

• All applicable legislative and regulatory requirements.

7.4 Procedure for Hot Work Permit

The following procedure applies if the project requires temporary operation involving open

flames or producing heat and/or sparks, which may include brazing, cutting, grinding,

soldering, torch-applied roofing, welding, etc.

A new Hot Work permit is required for each shift/day when Hot Work is required (i.e. one

permit per day/shift).


7. Construction


1. An Application for Hot Work Permit shall be completed by the Contractor and

must be filed 48 hours in advance of commencement of work. The Project Manager

will assist in the preparation and processing of the Permit.

2. Typically to perform Hot Work, the Contractor will also require the Project Manager

to prepare an Application for Scheduled Work on Fire Protection Equipment.

Refer to Section 7.5 for further details on this application.

3. In preparation to perform Hot Work, the Contractor is required to complete the Hot

Work Checklist. The Contractor shall complete the following required tasks prior to

performing Hot Work:

o Ensure sprinklers, hose streams and fire extinguishers are in good working

condition

o Ensure all hot work equipment in good working condition

o Within 35’ (11m) of hot work, address the following:

▪ Any flammable liquid, dust, lint and oily deposits removed

▪ Explosive atmosphere is area eliminated

▪ Floors are sweep clean

▪ Combustible floors are wet down, covered with damp sand or fire-

resistant sheets

▪ Where possible, remove other combustible material. Otherwise,

protect with FM approved welding pads, blankets and curtains, fire-

resistant tarpaulins or meal shields

▪ All floor, wall and ceiling openings to be covered

▪ FM approved welding pads, blankets and curtains installed under

and around work

▪ Protect or shut-down ducts and conveyors that may carry sparks to

distant combustible materials

o If Hot Work proposed near combustible wall or ceiling materials, the

combustible material will need to be moved away or protected

o For Hot Work on equipment:

▪ Enclosed equipment will be cleaned of all combustible materials

▪ Containers to be purged of flammable liquid or vapour

▪ Pressurized vessels, piping and equipment shall be removed from

service, isolated and ventilated

o Fire Watch is required for all Hot Work and shall consist of the following:


7. Construction


▪ Fire watch shall be provided during Hot Work, including work break

period and continued until 60 minutes after work is complete

▪ Fire watch to be supplied with suitable fire extinguishers, and where

feasible, a charged small hose

▪ Fire watch is trained in the use of the equipment and in activating the

alarm

▪ Fire watch may be required in adjoining areas of the work

▪ Monitoring of Hot Work area is required for an additional three (3)

hours after 60-minute fire watch

o Other precautions may be required, and FM should be consulted if unusual

conditions exist.

4. The Contractor performing Hot Works must post the approved permit on the

entranceway to the Area.

5. The Contractor shall advise the Project Manager when work is complete. A new

Hot Work permit is required for each shift/day when Hot Work is required. (i.e. one

permit per day/shift). The permit will be forwarded to the Manager, Mechanical

Services for archiving.

7.5 Procedure for Scheduling Work on Fire Protection Equipment

The following procedure applies if the project is recognized to have an impact on the

Brock fire alarm system in a specific building. Potential scenarios include:

• Temporary shutdown and protection of existing detection devices for construction

to occur and to avoid false alarms. The Project Manager should err on the side of

caution as these devices are very sensitive to construction dust and hot work. For

hot work, please refer to the Hot Work Permit procedure.

• Modifying/relocating existing detection and notification devices by others.

• Adding new detection and notification devices by others.

• Adding/tying in or working near sprinkler heads (plumbers & fire-techs needed).

1. An Application for Scheduled Work on Fire Protection Equipment shall be

completed and reviewed with Manager, Electrical Services or designate for all

work. The Project Manager shall ensure that all relevant contact information is

included on the Application. For complex projects, consultation with the Manager,

Electrical Services may be required.


7. Construction


2. For complex projects, a consultation meeting with FM and Emergency

Management and Life Safety may be held to determine the impact. This shall

include the Architect, and/or Electrical Engineer. The Architect’s role is related to

interpretation of the OBC and the Electrical Engineer’s role is to undertake the

design. The Project Manager will assist in the determination of the need.

The Architect/Engineer shall determine the fire alarm design requirements based

on building information, fire alarm documentation, and building classification

(OBC) and prepare a Design Brief for review. Upon acceptance of the design,

tender documents shall be prepared

Note: Fire Alarm systems vary by building and a thorough review of the

documentation available should be undertaken prior to proceeding with the design

meeting by the Architect and Engineer. This information is available to the

designers on the Brock Virtual Library.

3. Once the Contractor is retained, the Contractor shall engage Chubb Edwards

(Academic Buildings) or Johnson Controls (Residence Buildings) for system

verification and programming. An alternate Fire Alarm company may be used for

verification portions only. The Project Manager shall consider the need for fire

watch and a Fire Technician as part of the shutdown. Consideration of the Fire

Works graphics upgrade also needs to be considered.

Notes:

o The Project Manager shall prepare the Application for Scheduled Work on

Fire Protection Equipment, and once approved, the form shall be placed on

the appropriate fire panel by a Brock Fire Technician.

o The Project Manager shall ensure as per The Ontario Fire Code Div. C

Section 1.2 that any repairs, replacements or alterations performed on

existing fire protection systems must be done by a certified fire technician.

The fire technician must be onsite can have two workers performing fire

alarm work under their supervision.

o Shutdown/disabling of Fire Alarm/devices to be by Brock Staff only.

4. Notification to Brock community of fire alarm equipment work shall be required. FM

Customer Service staff will distribute copies of the approved Application to the

Project Manager and Campus Security. The Brock community is only notified when

audible testing and 3rd party verification is required. The Project Manager is

responsible for circulating notice to Contractor and to building occupants when any

audible testing which is typically only allowed prior to 7 am (outside

business/academic hours) as follows:


7. Construction


o Notification is the last part of the process and shall be distributed to FM

Managers, Electrical and Mechanical Leadhands, Fire tech phone, and

Director, Facilities and Services. When the shutdown impacts Residence,

the Manager, Residence Facilities and Finance and the Residence Service

desks.

o Three (3) copies of the Application for Scheduled Shutdown are provided to

the trade responsible for the shutdown.

5. Initiate work including provision for fire watch, as required. When a fire watch is

required, the Contractor will be responsible for maintaining it for the duration for

the shut-down. Fire alarm systems SHALL be reinstated daily.

6. The PM shall ensure the Electrical contractor updates the fire alarm graphics on

Fire Works, when applicable. A review with the Manager, Electrical Services is

required to confirm scope of work.

7. Any fire alarm device that is relocated or replaced will require re-verification.

Note: The same process and Form is used when undertaking work on sprinkler

systems. In addition to the process, the Project Manager is required to prepare and

submit a Work Requisition to have a Plumber drain the sprinkler system.

7.6 Securing and Housekeeping of the Site

The following applies to all work carried out in the Brock physical plant facility proper, and

in the paved area surrounding the physical plant. These rules apply to new work, ongoing

work or remedial work.

• Brock University requires that all work areas be returned to a clean condition on

completion of any work. The Contractor will inspect the area before starting work

and if there is any doubt about the existing level of cleanliness, or the level of

cleanliness that will be required at the end of the project, will request a pre-project

inspection by the Consultant.

• Contractor’s materials will be stored in areas designated by the engineer until

used. Packaging and waste materials will be removed from the work area daily to

an area designated by the engineer, and from site weekly. The Contractor will be

responsible for the storage and removal of waste material from site. If the

Contractor is requested by Brock personnel to leave material on site, the engineer

will be informed of this request.

• Work areas shall be defined as the actual hoarded area, extending out to the routes

required to access the hoarded area and will be kept safe and secure at all times.

If the nature of the work creates hazards to the safe passage of Brock personnel,


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the area will be roped off and closed to traffic. Closing of areas to traffic will be

coordinated through the engineer and will be for a period of time agreed with the

engineer. Hoarding and/or fencing shall be required to secure the area.

• Work areas will be swept clean daily before the Contractor leaves site. The

Contractor may be required to wash the area at the end of the contract to return

the area to its original condition. Walkways and stairwells to the work area will be

regarded as part of the Contractor’s work area and will be returned to their original

level of cleanliness at the end of the project.

• The Contractor will protect all existing plant, equipment and piping from damage

and debris from the Contractor’s operations. Dust from grinding, welding, cutting

and painting spatter will be contained, and any dirt, debris or paint that does fall on

existing plant will be removed. The Contractor will be responsible for ensuring that

any damage to existing plant caused by his work will be repaired at no additional

cost to the project.

• Extraneous material such as soil, sand or stone will be removed by the Contractor

on a timely basis with final removed prior to the end of the project.

• Existing materials removed by the Contractor as part of a demolition contract will

be removed from site by the Contractor unless otherwise designated by the

engineer. Any demolished material that is to stay on site will be moved by the

Contractor to an area designated by the engineer. Materials shall be disposed of

in a manner consistent with the type of material.

7.7 Quality Control

Quality Control (QC) is fundamental to the works and services undertaken by the

Contractor and shall be practiced by all on-site personnel in their daily activities.

It shall be the responsibility of the Contractor to ensure that quality control procedures

are implemented consistently and effectively and that they are reviewed regularly to

reflect the requirements of the contracts throughout the duration of the works. It is the

responsibility of the Contractor to implement a QC Plan, establish and put into practice

necessary systems and procedures, and ensure adherence to the QC Plan through

regular auditing.

7.7.1 Quality Program Overview

The Contractor will be responsible for the construction of work in accordance with the

plans and specifications. A program of inspections and production control to attain the


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required standards of quality is implemented to preclude problems resulting from

noncompliance.

The Contractor will establish their own QC Plan that shall provide for testing and

inspections pursuant to various technical specifications. It will define procedures to

ensure that activities affecting quality are properly documented and accomplished in

accordance with contract documents, written instructions, and industry standards, codes

and procedures. The QC Plan shall also define methods for ensuring that activities

affecting quality will be accomplished under controlled conditions.

Independent of the Contractor’s QC plan, the Consultant will provide QC services through

periodic monitoring and scheduled inspections. The Consultant will ensure that the

Contractor’s QC program is working effectively, and that the resulting construction

complies with the quality requirements established by contract.

7.7.2 Quality Control

Before the start of construction, the Contractor, Consultant and Brock’s Project

Manager shall conduct a mutual understanding meeting to discuss and review the

Contractor’s QC Plan.

The Consultant and Brock shall ensure that the Contractor’s QC Plan is sufficient to

obtain quality of construction designed in the contract plans and specifications.

7.7.3 Quality Control Plan Phasing

This Quality Control Plan shall cover the following three phases:

• Preparatory phase meetings: A QC meeting will be held before each definable

feature of work to ensure that the documentation is complete, materials are on

hand, and the people who are to perform the work understand what they need to

know about the feature of work. Both the actual contract specifications and those

referenced in the contract specifications shall be in the Contractor’s library and

available during the QC inspections so they can be enforced.

• Initial Inspections: QC inspections shall be conducted in a timely manner at the

beginning of each phase of the work. A check of the preliminary work will determine

whether or not the Contractor thoroughly understands and is capable of

accomplishing the work as specified.

• Follow-up Inspections: Follow-up inspections are conducted by the Contractor’s

QC staff and occur regularly when work is in progress and are for the purpose of


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assuring that the controls established in the earlier phases of inspection continue

to provide work which conforms to the contract requirements. Most of the

comments in both the Contractor’s QC and QC daily reports should result from

these inspections.

In all projects, there is work that is ‘cut and cover’ that is, work that cannot be inspected

after the fact. This includes concrete where the size, number and location of

reinforcing steel cannot be readily determined after the concrete is placed. Most of

the underground utilities cannot be inspected after covering. Work of this nature shall

be closely controlled and monitored.

7.8 Schedule Management

In accordance with the industry standard CCDC construction contracts, the Contractor

shall (CCDC 2, GC 3.5, 2008):

• Prepare and submit to Brock and the Consultant prior to mobilization of

construction forces, a construction schedule that includes the timing of all major

activities of the work and provides sufficient detail of the critical events and their

inter-relationship to demonstrate the work to be performed in conformity with the

contract time;

• Monitor the progress of the work relative to the construction schedule and update

the schedule prior to each site meeting or as stipulated in the contract documents;

and

• Advise the Consultant of any revisions required to the schedule as a result of the

extensions of the contract time as documented in a Change Order or Change

Directive (see Section 7.10 for more information about Change Orders and

Change Directives).

The Project Manager shall review the above information with the Contractor as part of the

schedule discussions at the pre-construction meeting (Section 7.1).

7.9 Requests for Information

A Request for Information (RFI) is a formal request from the Contractor to the Consultant

regarding specific equipment or installation details during the construction phase. RFI’s

may lead to a Supplemental Instruction or Contemplated Change Notice, which are

discussed further in Sections 7.10.1 and 7.10.2, respectively. The RFI process shall be

included as an agenda item at the pre-construction meeting (Section 7.1).


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The definition of an RFI does not exist in the standard CCDC contract, but it may be

included through the use of Supplementary Definitions and Conditions. The OAA’s article

related to RFI’s provides further guidance.

RFI Form and RFI Log templates are available in the Virtual Library.

7.10 Change Management

The change management process, including responsibilities and timelines, shall be

documented and included in the tender documents. The change process is to be reviewed

with the Contractor and Consultants at the pre-construction meeting (Section 7.1).

The Project Manager is the lead individual responsible for management of the change

process and will monitor the Contractor’s, Consultant’s and the University’s change

resolution responsibilities to ensure that changes are being resolved in a timely manner

over the course of construction. Disputed items that cannot be resolved through

negotiation are to proceed to mediation promptly.

All required and proposed changes to the contract documents are issued by the

Consultant to the Contractor in the form of Supplemental Instructions (SI), Contemplated

Change Notice (CCN), and Change Directives (CD). These documents must include a

description of the scope change and the reason for the revision and each is further

outlined in Sections 7.10.1 to 7.10.3, respectively.

Contemplated Change Notice Form, Change Order Form, and Change Directive

Form templates are available in the Virtual Library.

7.10.1 Supplemental Instruction

A Supplemental Instruction (SI), also known as site instruction, is issued to provide

clarification and direction which is intended to result in no cost or schedule impact. An SI

is issued in the form of specifications, drawings, schedules, samples, models or written

instructions, consistent with the intent of the contract documents (CCDC 2, 2008).

If there is a price or time impact, the Contractor shall notify the Consultant and the item

will become a Contemplated Change Notice as described in Section 7.10.2.

7.10.2 Contemplated Change Notice (CCN) and Change Order (CO)


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A Contemplated Change Notice (CCN) is used to track changes that will affect the

contract price and contract time. The work listed in the CCN shall not be performed until

Brock approves the price and time adjustments and a Change Order (CO) is issued.

The CCN / CO process is summarized in Table 19.

Table 19. Change Order Process

Step Activity Responsibility of

1 Identify and assess the need for a change notice. Consultant

2

Issue CCN electronically to Contractor and copy to Brock’s Project Manager. The Consultant shall ensure the CCN indicates all disciplines that are impacted by the CCN and list all documents that should be reviewed.

Consultant

3 Receive and review CCN. Evaluate schedule and cost impact. Notify Consultant if a Change Directive is required (refer to process outlined in Table 20).

Contractor

4 Issue CCN to Sub-Contractors for pricing. Contractor

5 Assemble and review Contractor and Sub-Contractor pricing and schedule impacts.

Contractor

6

Prepare a Change Request Summary (CRS) which includes a quotation for the adjustment in pricing and time and issue to Consultant. All Contractor and Sub-Contractor costs associated with the change including material, labour and mark-up shall be included.

Contractor

7 Review CRS and negotiate pricing and schedule implications.

Consultant

8 Issue CO to Brock for approval. Consultant

9 Review and approve CO. Brock

10 Distribute approved CO to Contractor Consultant

11 Distribute approved CO to Sub-Contractors Contractor

7.10.3 Change Directive

A Change Directive (CD) is used to authorize a change in the work prior to Brock and the

Contractor agreeing upon the corresponding adjustment in contract price and contract

time. A CD is to be issued only when the revision to the scope of work will negatively


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impact the critical path of the construction schedule and only after the issuance of the CD

is approved by Brock. A CD shall only be used when necessary.

The CD process is summarized in Table 20.

Table 20. Change Directive Process

Step Activity Responsibility of

1 Issue CCN electronically to Contractor and copy to Brock’s Project Manager.

Consultant

2

Contractor recommends and justifies to Consultant that due to negative schedule impacts a CD is required to replace the CCN in order to maintain the schedule and control costs.

Contractor

3 Review CD requirement with Brock’s Project Manager prior to issuance.

Consultant

4 Issue CD to Brock for approval. Consultant

5 Review and approve CD. Brock

6 Issue CD to Contractor. Consultant

7 Issue CD to Sub-Contractors for pricing. Contractor

8 Assemble and review Contractor and Sub-Contractor pricing and schedule impacts.

Contractor

9

Prepare a CRS which includes a quotation for the adjustment in pricing and time and issue to Consultant. All Contractor and Sub-Contractor costs associated with the change including material, labour and mark-up shall be included.

Contractor

10 Review CRS and negotiate pricing and schedule implications.

Consultant

11 Issue CO to Brock for approval. Consultant

12 Review and approve CO. Brock

13 Distribute approved CO to Contractor Consultant

14 Distribute approved CO to Sub-Contractors Contractor


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7.10.4 Tracking of Changes

All SIs, CCNs, COs and CDs must be recorded and tracked in a “Change Register” or

other suitable format by the Consultant. A Change Register Template is available on

the Virtual Library. The Consultant shall include the reason for each change in the

Change Register as provided for in Workday including:

• Users Request (URQ)

• Differing and Unforeseen Conditions (DUC)

• Health and Safety (HLSY)

• Errors and Omissions (EO)

• Coordination (CORD)

The Contractor shall update and submit the Change Register to Brock with each set of

site meeting minutes.

7.11 Shop Drawings / Submittals

Shop drawings shall be discussed as part of the pre-construction meeting (Section 7.1).

Requirements related to shop drawings for all projects include:

• The Contractor shall provide shop drawings as outlined in the contract documents.

• Shop Drawings will be reviewed by the Consultant only if they are stamped by

Contractor and Sub-Contractor first.

• The Contractor shall update and submit the Shop Drawing Log to Brock with each

set of site meeting minutes.

7.12 Factory and Site Acceptance Testing

Testing shall occur in accordance with the following:

• Testing and inspections (T&I) of building materials and elements will be carried out

by a T&I Consultant directly engaged by Brock University.

• The Contractor’s testing of equipment shall occur in the presence of the Consultant

staff and other staff as deemed necessary prior to commissioning. The Contractor

shall arrange for relevant operations equipment manufacturers to attend the site

to conduct equipment-specific Site Acceptance Tests, which can be compared to


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the Factory Acceptance Test results. The Consultant shall verify that results of the

testing are acceptable and report findings to Brock.

• The Contractor will arrange for pre-commissioning start-up with Project Team and

relevant Brock stakeholders.

• Brock stakeholders will be provided instructions and training on the operations of

new equipment and their associated processes.

• The Contractor will arrange for equipment manufacturers to conduct on-site

training of Brock stakeholders through the Consultant and/or Project Manager.

Training requirements are further outlined in Section 8.13.

• Contractor start-up with the project team must include the provision of training on

the maintenance, operation and function of key equipment for Brock’s relevant

stakeholders. Training requirements are further outlined in Section 8.13.

• For additional information, refer the Brock University Design Standards.

7.13 Project Budget Management

For major capital projects, a formal Project Team will be established, and the Project

Manager shall provide updates on the status of construction contingency expenditures,

including a forecast of expenditures at completion, to the Project Team on a regular basis.

Issues related to the project budget will be resolved at these meetings.

7.14 Monthly Progress Payments

The steps for processing monthly progress payments are summarized in Table 21. The

Project Manager shall ensure that progress payments are made in accordance with the

provisions included in the executed CCDC contract and in accordance with the

Construction Act.

Refer to Figure 9 for details about prompt payment concepts under the Construction Act.

Table 21. Payment Certificate Process

Step Activity Responsibility

1

At least 15 days prior to issuing the first application for progress payment, the Contractor shall submit a schedule of values to the Consultant to facilitate the Consultant’s evaluation of applications for payment.

Contractor


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Step Activity Responsibility

2

The Contractor shall submit a monthly application for payment proportionate to the amount of work performed and the products delivered as of the end of the payment period. The Contractor shall include the following with the application:

A statement based on the Schedule of Values.

Evidence of products delivered but not yet incorporated into the work.

Contractor

3 The Consultant shall promptly inform Brock of the date of receipt of the Contractor’s monthly application for payment.

Consultant

4

The Consultant shall evaluate the application and determine whether it is reflective of the work accomplished on site. If the Consultant amends the application, they shall advise the Contractor in writing as to the reasons for the amendment.

Consultant

5 No more than 10 days after receiving the application for payment, the Consultant shall issue a Payment Certificate to Brock and copy the Contractor.

Consultant

6 Payment shall be processed promptly through Workday. Brock

7

Brock shall make payment to the Contractor in accordance with timelines stipulated in the executed contract and the Construction Act. Refer to Figure 9 for details about prompt payment concepts under the Construction Act.

Brock


7. Construction


Figure 9. Prompt Payment Concepts


7. Construction


7.15 Inspectors Log / Field Reviews

A Consultant construction supervisor retained by Brock will be assigned for the duration

of the project with the responsibility of keeping a weekly log, monitoring construction

activities, answering questions from the Contractor and verifying quantities for payment

for inclusion in the review of the payment certificates. Field inspection will be established

as either full time, part time, or irregular times (weekends, nights, etc.), as appropriate for

the project (usually specified in the RFP). Brock University reserves the right to provide

an inspector on the job.

7.15.1 Photographs

The Contractor maybe requested to develop and maintain a project file of photographs

which document the construction progression. If this is required, the clause shall be

included in the Tender documents so requesting. This is particularly important for

providing a visual record of buried services, and can be used to review quality concerns,

deficiencies, and in the event legal issues arise pertaining to schedule or scope of work.

Utilizing a commercial service to photographically document the construction process on

a regular schedule, including documenting the locations of services, pipes, etc. buried or

enclosed within walls, is recommended for major capital projects or where otherwise

warranted.

7.16 Deficiencies

The Contractor shall prepare a deficiency list for review by the Consultant and Brock. The

Project Manager shall holdback monies for the value of all incomplete work and/or

deficiencies.

The Contractor shall remedy all deficiencies within a reasonable time frame. Upon

satisfactory completion of all items on the deficiency list, the Project Manager shall

release the deficiency holdback.

Further information about deficiencies and non-conformances during commissioning are

included in Section 8.9.4.


8. Commissioning


8. COMMISSIONING

For major projects with a requirement for Third Party Commissioning, as specified in the

Tender Documents, Section 8 shall apply.

8.1 Work Included

Commissioning is a systematic quality assurance process of ensuring that all building

systems perform interactively according to the design and conforms to the project

requirements. This is achieved by the commissioning process commencing in the design

phase and continuing through construction, acceptance, and the warranty period with

actual verification of performance. The commissioning process shall encompass and

coordinate the system documentation, equipment start-up, control system verification,

testing and balancing, performance testing, integration performance verification,

seasonal testing and training.

The commissioning process shall comply with the requirements of CSA 320-11 (Building

Commissioning Standard & Check Sheets), ASHRAE Guideline 0-2005 (The

Commissioning Process) and meet the commissioning requirements of Canada Green

Building Council (CaGBC) EA 1: Fundamental Commissioning of Building Energy

Systems and EA3: Enhanced Commissioning.

8.2 Abbreviations

Table 22 lists common abbreviations used in this section of the PMM and in the

Commissioning Plan.

Table 22. Commissioning Acronyms

Acronym Meaning Acronym Meaning

CA Commissioning Authority EC Electrical Contractor

CC Controls Contractor GC General Contractor or Contractor

CDS Commissioning Datasheets

(pre-functional and functional verification)

MC Mechanical Contractor

CT Commissioning Team PM Project Manager (Owner)

DC Design Consultants TAB Test and Balance Contractor


8. Commissioning


8.3 Commissioning Authority

The General Contractor shall retain the services on an independent third-party

Commissioning Authority (CA) to perform the obligations of the CA as outlined in the

specifications.

The CA shall be a company having a minimum of five years’ experience in the

commissioning of mechanical and electrical systems in facilities of similar scope and

complexity, shall be licensed by Professional Engineers Ontario (PEO) and shall be

familiar with and knowledgeable about each of the standards set out in this specification.

All commissioning work shall be overseen by a licensed professional engineer (PEO)

The CA shall satisfy the requirements of Canada Green Building Council (CaGBC) with

respect to independence from the design team or construction.

8.4 Coordination

8.4.1 Commissioning Team

The members of the commissioning team consist of the CA, the PM, the Contractor, the

Design Consultants (particularly the Mechanical Engineer), the MC, the EC, the TAB

representative, the CC, and any other Contractors or suppliers of equipment and the

Owner’s facility operation and maintenance staff.

8.4.2 Management

The CA manages, directs and coordinates the commissioning activities and reports back

to the commissioning team. All members work together to fulfill their contracted

responsibilities and meet the objectives of the Contract Documents.

8.4.3 Scheduling

The CA will work with the Contractor according to established protocols to provide input

on the scheduling of the commissioning activities. The Contractor will integrate all

commissioning activities into the master schedule. All parties will address scheduling

problems and make necessary notifications in a timely manner in order to expedite the

commissioning process.


8. Commissioning


8.5 Commissioning Process

8.5.1 Commissioning Plan

The Commissioning Plan provides guidance in the execution of the commissioning

process. The commissioning plan shall be developed by the CA with input from the

commissioning team and approved by Brock’s Project Manager. The commissioning plan

describes the commissioning process, details the commissioning activities and identifies

the roles and responsibilities of the commissioning team. Scheduling of the

commissioning activities is identified in the commissioning plan. The commissioning plan

is updated by the CA during the construction.

8.5.2 Commissioning Process

The following narrative provides a brief overview of the typical commissioning tasks

during construction and the general order in which they occur.

1. Commissioning during construction begins with an initial Commissioning meeting

conducted by the CA where the commissioning process is reviewed with the

commissioning team members. Additional meetings will be required throughout

construction, scheduled by the CA with necessary parties attending, to plan,

coordinate, schedule future activities and resolve problems.

2. Design and submittal documentation are provided to the CA for review and

comments during the design and construction. These documents are utilized by

the CA to develop the pre-functional and functional performance datasheets.

3. The CA works with the Contractors in each discipline to review the start-up plans

and start-up documentation formats. The CA will provide the Contractors with the

pre-functional commissioning datasheets to be completed by the Contractors

during the installation and start-up process.

4. In general, the checkout and performance verification proceeds from simple to

complex; from component level to equipment to systems and integrated systems

with CDS being completed before functional testing occurs.

5. The Contractors, under their own direction, will execute and document the

completion of CDS and perform start-up and initial checkout. The CA documents

that the checklists and start-up were completed according to the approved plans.

This includes the CA witnessing start-up of major equipment.

6. The CA develops specific equipment and system functional performance

datasheets with test procedures. The functional test procedures are reviewed with

the DC, CA, and Contractors. The functional testing and procedures are executed


8. Commissioning


by the Contractors under the direction of and documented by the CA. Items of non-

compliance in material, installation, or setup are corrected by the Contractor’s and

the system is retested.

7. During initial functional tests and for critical equipment, the Engineer will witness

the testing, as required by the contract.

8. The CA reviews the O&M documentation for completeness. The CA shall develop

the system operation manuals and utilize the SOM for training.

9. The CA reviews and coordinates the training provided by the Contractors and

verifies that it was completed.

10. Deferred (seasonal) testing is conducted as specified or required. Refer to Section

8.14 for details about Seasonal Testing.

11. The CA and the commissioning team shall develop and implement a system test

matrix for the integrated testing of all building systems.

12. The CA and commissioning team shall develop and implement a commissioning

tracking log for all issues identified during the commission process.

13. The project will not be considered substantially complete until the conclusion of

commissioning functional testing procedures as defined in the commissioning plan.


8. Commissioning


8.6 Commissioning Responsibilities

The responsibilities of various parties in the commissioning process are provided in this

section. The responsibilities are as defined in the contract document and listed in the

Commissioning Plan. Table 23 summarizes the commissioning responsibilities of the

commissioning team.

Table 23. Matrix of Commissioning Responsibilities

Commissioning Activities Owner DC CA GC

(MC/EC) CC

Owner’s Project Requirements (OPR)

P R R R R

Basis of Design (BOD) R P R R R

Design document

CA review at schematic and construction stage, CA prepare report

R P R R R

Develop commissioning requirements

P R R R R

Develop commissioning plan and update during construction

R R P R R

Commissioning meetings

CA to setup and chair, prepare minutes

P P P P P

Commissioning schedule R R R P R

Submittals

Shop drawings, start-up procedures, test reports

R R,A R,A P P

Installation R R R P P

Startup and testing of equipment and systems

R,W R,W R,W P P

Develop Pre-functional and Functional Performance Verification Datasheets

R R P R R

Pre-functional Datasheets

Completed by Contractor R R R,A P P

Performance verification of equipment and systems

R,W R,W R,W,A P P


8. Commissioning


Commissioning Activities Owner DC CA GC

(MC/EC) CC

Development of commissioning log

Document commissioning issues and resolutions

R R P R R

Development of integration test matrix

R R P R R

Operation and maintenance manuals R R,A R P P

Training of operation and maintenance staff

Training agenda prepared by Contractor

P,R P,R,A P,R,A P P

System operation manuals

Contractor to provide information to CA

R R P R R

Seasonal system performance verification

R R R P P

Commissioning reports R R P R R

P – Prepare, Execute or Participate

R – Review (provide input, comments)

W – Witness

A – Approve

8.7 Systems to be Commissioned

The following equipment and systems are to be commissioned. This list is not exhaustive

and shall be edited to suit the specific project:

1. Air Handling Unit(s)

2. Building Automation System (BAS)

3. Exhaust Fan(s)

4. VAV Boxes

5. Reheat Coil(s)

6. Fan Power Boxes

7. Fan Coil Unit(s)


8. Commissioning


8. Pump(s)

9. Heat Exchanger(s)

10. Chemical Treatment System

11. Radiant Panel(s)

12. Convector(s)

13. Unit Heater(s)

14. Domestic Hot Water Heater(s)

15. Domestic Hot Water Storage System

16. Domestic Water Booster Pump(s)

17. Storm and/or Sanitary Pump(s)

18. Fuel Oil Pump(s) and System

19. Computer Room Unit(s)

20. Lighting and Day Lighting Control System

8.8 Commissioning Meetings

The CA will schedule, plan and conduct an initial commissioning meeting with the entire

commissioning team in attendance. Meeting minutes will be distributed to all parties by

the CA. Information gathered from this meeting will allow the CA to revise and update the

Commissioning Plan, which will be distributed to all parties.

Future commissioning meetings will be planned, scheduled and conducted by the CA as

required. These meetings will cover commissioning coordination issues, review the

commissioning schedule, commissioning deficiency resolution and planning issues.

8.9 Startup, Commissioning Datasheet, and Initial Checkout

The procedures outlined in Sections 8.9.1 to 8.9.4 apply to all equipment to be

commissioned.

8.9.1 General

Commissioning datasheets are important to ensure that the equipment and systems are

hooked up correctly and operational. Checklists also ensure that functional performance

testing (in-depth system checkout) may proceed without unnecessary delays. Each piece


8. Commissioning


of equipment receives full construction checkout. No sampling strategies are used. The

construction testing for a given system must be successfully completed prior to formal

functional performance testing of equipment or subsystems of the given system.

8.9.2 Startup and Initial Checkout Plan

The CA will assist the commissioning team members responsible for start-up of any

equipment in providing input on the development of detailed start-up plans for all

equipment. The primary role of the CA in this process is to ensure that there is written

documentation that each of the manufacturer-recommended procedures has been

completed. Contractor(s) responsible for construction checklists and start-up are

identified in the initial commissioning meeting and in the checklist forms.

1. The Contractor adapts the recommended manufacturer start-up procedures, if

necessary, the representative CDS and procedures from the related sections.

These checklists indicate required procedures to be executed as part of start-up

and initial checkout of the systems and the party responsible for their execution.

2. The CA provides the CDS (commissioning pre-functional datasheets). The

Contractor determines which trade is responsible for executing and documenting

each of the line item tasks and notes that trade on the form. Each form will have

more than one trade responsible for its execution.

3. The Contractor responsible for the purchase of the equipment develops the full

start-up plan by combining the manufacturer’s detailed start-up and checkout

procedures from the O&M manual and the normally used field checkout sheets.

The plan will include checklists and procedures with specific boxes or lines for

recording and documenting the checking and inspections of each procedure and

a summary statement with a signature block at the end of the plan.

4. The Contractor submits the full start-up plan to the CA for review and approval.

5. The CA reviews and approves the procedures and the format for documenting

them, noting any procedures that need to be added.

8.9.3 Execution of Commissioning Datasheets and Startup

1. Four weeks prior to start-up, the subcontractors and vendors schedule start-up and

checkout with the Contractor and CA. The performance of the CD, start-up and

checkout are directed and executed by the Contractor or vendor. When checking

off CD, signatures may be required of other Contractors for verification of

completion of their work.

2. The CA will observe the procedures for each piece of primary equipment.


8. Commissioning


3. For lower-level components of equipment, (e.g., VAV boxes, sensors, controllers),

the CA shall observe a sampling of the construction and start-up procedures.

4. The Contractors shall execute start-up and provide the CA with a signed and dated

copy of the completed start-up and construction tests and checklists.

5. Only installing individuals who have direct knowledge that a line item task on the

CD was actually performed shall initial or check off that item.

8.9.4 Deficiencies, Non-Conformance and Approval in Checklists and Startup

1. The Contractors shall clearly list any outstanding items of the initial start-up and

construction procedures that were not completed successfully, at the bottom of the

procedures form or on an attached sheet. The procedures form and any

outstanding deficiencies are provided to the CA within two days of test completion.

2. The CA reviews the report and submits either a non-compliance report or an

approval to the Contractors. The CA shall work with the Contractors to correct and

retest deficiencies or uncompleted items. The CA will involve the Contractors and

others as necessary. The Contractors shall correct all areas that are deficient or

incomplete in the checklists and tests in a timely manner and shall notify the CA

as soon as outstanding items have been corrected and resubmit an updated start-

up report and a Statement of Correction on the original non-compliance report.

When satisfactorily completed, the CA recommends approval of the execution of

the checklists and start-up of each system to the DC.

8.10 Functional Performance Testing

This subsection applies to all commissioning functional performance testing for all

divisions.

8.10.1 Objectives and Scope

1. The objective of functional performance testing is to demonstrate that each system

is operating according to the Contract Documents. Functional testing facilitates

bringing the systems from a state of substantial completion to full dynamic

operation. Additionally, during the testing process, areas of deficient performance

are identified and corrected, improving the operation and functioning of the

systems.

o In general, each system should be operated through all modes of operation

(seasonal, occupied, unoccupied, emergency, life safety, equipment failure,

warm-up, cool-down, part- and full-load) where there is a specified system


8. Commissioning


response. Verifying each sequence in the sequences of operation is

required. Proper responses to such modes and conditions as power failure,

freeze condition, low oil pressure, no flow, equipment failure, etc. shall also

be tested.

8.10.2 Test Methods

1. Functional performance testing and verification may be achieved by manual testing

or by using the control systems to manipulate the equipment and systems under

the various test parameters and conditions.

8.10.3 Development of Test Procedures

1. Before test procedures are written, the Contractor shall provide the CA with all

requested documentation and a current list of change orders affecting equipment

or systems, including an updated points list, program code, control sequences and

parameters. Using the testing parameters and the specifications the CA shall

develop specific test procedures and forms to verify and document proper

operation of each piece of equipment and system. Each Contractor or vendor

responsible to execute a test shall provide assistance to the CA in developing the

procedures (answering questions about equipment, operation, sequences, etc.).

Prior to execution, the CA shall review the test procedures to the Contractors, who

shall review and comment on the tests for feasibility, safety, equipment, and

warranty protection.

8.10.4 Setup

1. Each function and test shall be performed under conditions that simulate actual

conditions as close as is practically possible. The Contractor executing the test

shall provide all necessary materials, system modifications, etc. to produce the

necessary flows, pressures, temperatures, etc. necessary to execute the test

according to the specified conditions. At completion of the test, the Contractor shall

return all affected building equipment and systems, due to these temporary

modifications, to their pre-test condition.

8.10.5 Sampling

1. A sampling strategy of the commissioning multiple identical pieces of non-life-

safety or otherwise non-critical equipment shall not be used unless agreed with the

Owner. If a sampling strategy is utilized, then significant application differences


8. Commissioning


and significant sequence of operation differences in otherwise identical equipment

invalidates their common identity. A small size or capacity difference, alone, does

not constitute a difference.

8.10.6 Coordination and Scheduling

1. The Contractors shall provide sufficient notice to the CA regarding their completion

schedule for the construction checklists and start-up of all equipment and systems.

The CA will schedule functional tests through the Contractor. The CA shall direct,

witness and document the functional testing of all equipment and systems. The

Contractors shall execute the tests.

o In general, functional testing is conducted after construction testing and

start-up has been satisfactorily completed. The control system is sufficiently

tested and approved by the CA before it is used for TAB or to verify

performance of other components or systems. The air balancing and water

balancing is completed and debugged before functional testing of air-

related or water-related equipment or systems. Testing proceeds from

components to subsystems to systems. When the proper performance of

all interacting individual systems has been achieved, the interface or

coordinated responses between systems is checked.

8.10.7 Problem Solving

1. The CA will recommend solutions to problems found; however, the burden of

responsibility to solve, correct, and retest problems is with the Contractors and DC.

8.11 Documentation, Non-Conformance and Approval of Tests

8.11.1 Documentation

1. The CA shall witness and document the results of all functional performance tests

using the specific procedural forms developed for that purpose. Prior to testing,

these forms are provided to the Contractors for review. The CA will include the

filled-out forms in the Operations and Maintenance manuals.

8.11.2 Non-Conformance

1. The CA will record the results of the functional test on the procedure or test form.

All deficiencies or non-conformance issues shall be noted and reported to the DC.


8. Commissioning


2. Corrections of minor deficiencies identified may be made during the tests at the

discretion of the CA. In such cases the deficiency and resolution will be

documented on the procedure form.

3. Every effort will be made to expedite the testing process and minimize

unnecessary delays, while not compromising the integrity of the procedures.

4. As tests progress and a deficiency are identified, the CA discusses the issue with

the executing Contractor.

o The CA documents the deficiency in a deficiency log and the Contractor’s

response and intentions, and they go on to another test or sequence. The

CA submits the reports to the DC and the Contractor. The Contractor

corrects the deficiency, signs the statement of correction at the bottom of

the report certifying that the equipment is ready to be retested, and sends it

back to the CA.

o The Contractor reschedules the test and coordinates with CA to establish a

time and date that the test is to be repeated.

8.11.3 Approval

1. The CA notes each satisfactorily demonstrated function on the test form. Formal

approval of the functional test is made later after review by the CA. The CA

recommends acceptance of each test to the Owner and DC. The DC gives final

approval by signing off on each test.

8.12 Operation and Maintenance Manuals

1. The Contractor shall provide a complete copy of the Operation and Maintenance

(O&M) Manuals to the CA for review after the O&M manuals have been reviewed

and approved by the DC.

8.13 Training of Owner O&M Staff

The Contractor shall be responsible for training coordination and scheduling and

ultimately for ensuring that training is completed as per the contract document.

The CA shall be responsible for overseeing and approving the content of the training of

Owner O&M Staff for commissioned equipment.

1. The CA shall interview the facility manager and lead engineer to determine the

special needs and areas where training will be most valuable. The Owner and CA


8. Commissioning


shall decide how rigorous the training should be for each piece of commissioned

equipment. The CA shall communicate the results to the Contractor and vendors

who have training responsibilities.

2. Each Contractor and vendor responsible for training will submit a written training

plan to the CA for review and approval prior to training. The plan will cover the

following elements:

o Equipment (included in training)

o Intended audience

o Location of training

o Objectives

o Subjects covered (description, duration of discussion, special methods,

etc.)

o Duration of training on each subject

o Instructor for each subject

o Methods (classroom lecture, video, site walk-through, actual operational

demonstrations, written handouts, etc.)

o Instructor and qualifications

3. For the primary HVAC equipment, the controls Contractor shall provide a short

discussion of the control of the equipment during the mechanical or electrical

training conducted by others.

4. The CA develops a training plan and coordinates and schedules, with the Owner

and Contractor, the training for the commissioned systems. The CA develops

criteria for determining that the training was satisfactorily completed, including

attending of the training, etc. The CA recommends approval of the training to the

DC using a standard form. The DC also signs the approval form.

5. The CA shall provide video recording of the training sessions, with recordings

cataloged by the CA and added to the SOM manuals.

6. The mechanical and electrical design engineer shall at the first training session

present the overall system design concept and the design concept of each

equipment section. This presentation shall include a review of all systems using

the simplified system schematics (one-line drawings) including chilled water

systems, heat rejection systems, heating systems, fuel oil and gas supply systems,

supply air systems, exhaust system, and outside air strategies, electrical single

line diagram.


8. Commissioning


7. At first training session, the CA presents a presentation discussing the use of the

blank functional test forms for re-commissioning equipment.

8.14 Seasonal Testing

1. During the warranty period, seasonal testing (tests delayed until weather

conditions are closer to the system’s design) specified in the contract shall be

completed as part of this contract. The Contractor shall take part in the seasonal

testing coordinated by the CA. Tests will be executed, documented and any

deficiencies corrected by the appropriate Contractor, with facilities staff and the CA

witnessing. Any final adjustments to the O&M manuals and as-builts due to the

testing will be made.

8.15 System Operation Manual

1. The CA shall develop and provide a copy of the System Operation Manual (SOM)

to the Owner’s operation and maintenance staff for their use in the day to day

operation of the facility.

2. The SOM shall include all commission datasheets, test reports and shall describe

the operating sequences for the equipment and systems under all modes of

operation (occupied, unoccupied, fire alarm, life safety, emergency, etc.). All

training videos shall be included in the SOM.

3. The CA shall review the content of the SOM with the operation and maintenance

staff.

8.16 Quality Assurance Development

1. The CA and commissioning team shall develop and implement a commissioning

tracking log for all issues identified during the commission process. The log shall

identify the issue, resolution, responsibility and date issue was corrected. The CA

shall verify that the issue was resolved as part of the commissioning process. The

log shall be reviewed and updated by the CA at the regular commissioning

meeting.

2. The CA and the commissioning team shall develop and implement a system test

matrix for the integrated testing of all building systems. The matrix shall identify the

systems to be tested and commissioned under all modes of operation including

but not limited to the following modes; occupied, unoccupied, fire alarm and

emergency (power). A tracking log shall be utilized to identify any issue and

resolution of the issues during the commissioning process.


9. Post Construction and Project Closeout


9. POST CONSTRUCTION AND PROJECT CLOSEOUT

9.1 Post Construction and Project Closeout Procedures

All post construction and project closeout activities shall be conducted in accordance with:

• Contract and Contract Documents

• OAA/OGCA Guide to Project Closeout Procedures

• OAA/OGCA Document 100 (Take-Over Procedures)

• FMOP 5-2: Construction Document Set-Up and Project Submission Requirements

• Construction Act and all other applicable legislation and regulations

An illustration of key tasks and milestones related to post construction and project

closeout is provided in Figure 10. Refer to the above-listed documents for specific details

and timelines.

Figure 10. Post Construction and Project Closeout Milestones

Project

Completion

Consultant

Review

Substantial Performance

Publication

Contractor

Review

Release of Statutory

Holdback

Document and Drawing

Submissions

Commissioning

Activities

Warranty

Period Begins

1-year (or as stipulated in Contract Documents)

Section 8

60 days

Substantial

Performance

Final

Payment

Release of

Maintenance

Holdback

POST

CONSTRUCTION

SUBSTANTIAL

PERFORMANCE

PROJECT COMPLETION

and CLOSEOUT

* This figure is a summary only. Refer to Contract Documents, OAA/OGCA Documents and applicable legislation for details and timelines.

WARRANTY

PERIOD





9.2 Internal Closeout Procedures

The Project Manager shall complete the closeout procedures as outlined in Table 24.

Table 24. Summary of Internal Project Closeout Procedures

Procedure Details

Occupant Moves

Occupant moves may be staged, may occur all at once, or may occur multiple times during construction. To help ensure successful moves, the Project Manager shall consider the following:

• The Project Manager should work closely with occupant stakeholders and the Consultant to organize and communicate office assignments and moves. Effective planning and communication are essential.

• Tracking of personal belongings must be carefully coordinated. All boxes shall be labelled with the owner’s full name prior to being moved or placed in storage.

• Consideration should be given to the types of items that should be stored in different locations.

Post-Occupancy Chair Clinic

The Project Manager shall arrange a clinic for interested occupants to meet with the chair vendor regarding proper chair settings.

Post-Occupancy Communications with Stakeholders

The Project Manager shall be in regular communication with occupant and Facilities Management stakeholders. For a period of time following occupancy, there are likely to be ongoing questions and concerns from the stakeholders. It is important to address these questions and concerns in a timely manner.

Depending on the complexity of the Project, the continuation of monthly team meetings for a period of time following occupancy may be considered so the team can continue to efficiently work together to address post-occupancy issues.

Communications with the Brock Community

For major projects, a Brock News article is typically published.




Procedure Details

Asset Surplus Redeployment

For assets surplus to the project, the PM shall complete the Asset Surplus Redeployment Form. If the assets cannot be redeployed, they shall be identified as surplus, and disposed of through a donation to charity organizations. If the surplus is not accepted, they shall be disposed of.

As Constructed Records

As Constructed Records shall be prepared and submitted in accordance with FMOP 5-2. Documents shall be loaded into the Brock Virtual Library for future reference.

Operations and Maintenance Manuals

The table of contents shall be submitted two months prior to substantial performance; draft documents to be provided for training of staff; final documents to be submitted one month after substantial performance. Operations and Maintenance Manual to include listing of sub-contractors and suppliers for each Division.

Warranty (s) Warranty(s) shall be submitted with the Operations and Maintenance Manual, one month after substantial performance.

Commissioning Report

The commissioning consultant shall submit a commissioning report addressing all of the processes and results experienced during commissioning.

Chief Building Official (CBO) Certificate

The CBO will be requested by the architect to issue a completion certificate for the project.

Insurance and Bonding

Certificates for insurance and bonding shall be maintained by the contractor for one year post substantial performance.

Asset Management Physical assets shall be inventoried and loaded into the Brock Building Operations Module by Asset Management and Utilities Staff.

Spare Parts Inventory

The Contractor shall deliver the spare parts as prescribed in the contract documents and provide chain of custody for said spare parts.

Substantial Performance

Refer to OAA/OGCA Document No. 100. A search for liens shall be undertaken by Facilities Management prior to release of Holdback.

Brock Accounting Practices

Once the final holdback has been released, the Project Manager shall advise Finance to close the project.

Post Occupancy Evaluation Survey

Refer to Section 9.3.1.




Procedure Details

Lessons Learned Refer to Section 9.3.2.

Externally Funded Projects

For projects with Provincial and/or Federal funding, an audit process is generally prescribed within the funding agreement documents. The PM should be aware of the this, and ensure the documents identified for audit are maintained throughout the project life.

Project Archiving The Brock University Retention Policy (under development) stipulates archiving requirements. Refer to the Retention Policy for details.

Project Closeout Checklist

The Contractor, with assistance from the Architect, shall develop and maintain the Project Closeout Control Form.

9.3 Lessons Learned Procedures

As part of continuous improvement, it is important to learn from the successes and

challenges of each project. To help achieve this learning, Brock’s Project Manager (PM)

shall arrange a Post Occupancy Evaluation (POE) survey and a Lessons Learned

Workshop following the completion of each major project. The POE survey can help to

identify lessons learned from the building occupants and the workshop can help to identify

lessons learned from the project team.

Sections 9.3.1 and 9.3.2 include procedures for facilitating a POE survey and Lessons

Learned Workshop, respectively.

9.3.1 Post Occupancy Evaluation Survey

For all major projects, a POE survey shall be prepared and distributed approximately

three months after occupancy. The purpose of the survey is to gather information from

building occupants regarding project delivery and building performance. A recommended

procedure for facilitating the POE survey is outlined below.

1. Brock’s PM shall determine if a third-party facilitator is required to oversee the POE

survey. A third-party Facilitator brings a sense of independence to the POE and

based on the type of project and the extent of success, should be considered. If

so, a Facilitator who was not involved with the project shall be retained. If not, the

PM or other Brock delegate shall be designated as the Facilitator.

2. The Facilitator shall prepare the POE survey questions. The survey should cover

a variety of topics such as building design and construction, teaching and study




spaces, common areas, personal workspaces, signage, security, building services,

accessibility, and overall satisfaction. A template Post Occupancy Evaluation

survey form is available on the Virtual Library. The questions included in the

template should be updated to address the unique aspects of each project.

3. The PM and Facilitator shall identify occupant stakeholders to be invited to

complete the survey. Occupant stakeholders may include faculty, staff,

undergraduate students and graduate students. It is recommended that the PM

consults with the Faculty Dean, Department Head, Department Representative, or

other occupant representative prior to distributing the survey.

4. The Facilitator shall distribute the POE survey to all identified occupant

stakeholders via email or using an approved online survey tool. Consultation with

Brock ITS is recommended if an online survey tool is to be used.

5. Survey respondents shall be given at least two weeks to complete the survey. A

reminder email may help increase participation rates.

6. After the survey closes, the Facilitator shall review and analyze the results and

prepare a summary memo/report. The memo/report shall include a summary of

survey results, key lessons learned and identify recommendations.

7. The PM or Facilitator shall send a summary email to the identified occupant

stakeholders to thank them for their time and provide a high-level summary of the

results and recommendations.

8. The PM shall save the summary memo/report in the electronic project file on the

R: drive so it can be accessed by all Brock PM’s for future reference.

9.3.2 Lessons Learned Workshop

For all major projects, a Lessons Learned Workshop should be held approximately three

months after completion. Members of the project team should be invited to participate,

including the Architect, Contractor and other key stakeholders. The purpose of the

workshop is to gather information from the team about what went well and what could be

improved. A recommended procedure for facilitating the Lessons Learned Workshop is

outlined below.

1. Brock’s PM shall determine if a third-party facilitator is required. If so, a Facilitator

who was not involved with the project shall be retained. A third-party Facilitator

brings a sense of independence to the workshop and based on the type of project

and the extent of success, should be considered. If not, the PM or other Brock

delegate shall be designated as the Facilitator.




2. The PM and Facilitator shall work together to establish the invitation list. It is

important to ensure that all team members and stakeholders who played a

significant role in the various stages of the project are represented.

3. The PM shall contact all required participants to confirm a mutually agreeable

workshop date.

4. The PM shall book a room on campus and send out a meeting request as soon as

a date is confirmed.

5. The Facilitator shall email an agenda and details about the workshop expectations

to all invitees at least two weeks in advance.

6. The Facilitator shall establish a plan for the workshop including required handouts,

slides and discussion questions. Example Lessons Learned Discussion

Questions that cover the Planning, Pre-Construction, Construction and Post-

Construction phases are available on the Virtual Library. These questions may be

updated and adapted depending on the unique aspects of the project and the

Facilitator’s preferences.

7. The PM shall arrange refreshments and/or lunch for the workshop, ensuring any

dietary restrictions are accommodated.

8. If the Facilitator will be having participants work in small groups, a seating plan is

recommended. The PM and Facilitator shall work together to establish a seating

plan that ensures each group includes individuals with different roles who

represent various stakeholders.

9. The PM or Facilitator shall send a reminder email to all participants with any final

details the week before the workshop.

10. The PM and Facilitator shall ensure all necessary supplies are brought to the

workshop including laptops, AV equipment, handouts, facilitation supplies, name

tags, seating plans, etc.

11. Following the workshop, the Facilitator shall deliver a summary memo or report to

the PM for approval. Upon approval, the Facilitator shall distribute the

memo/report to all workshop participants.

12. The PM shall save the memo/report summarizing all lessons learned in the

electronic project file on the R: drive so it can be accessed by all Brock PM’s for

future reference.


Appendix


Appendix A. Project Management Manual Deviation Form


Appendix


Document ID:

Issue Date:

May 2019

Revision Number:

0

Responsibility:

Director, CPPM

Review Period:

As Needed

Approval:

Director, CPPM

Project Management Manual Deviation Form

The management of all projects shall conform to Brock University’s Project Management Manual.

If deviations from the manual occur, the Project Manager will document a description of the

deviation, rationale for the deviation, and any impact it is expected to have (i.e. on project scope,

schedule, budget or other) using this form. Attach supporting documentation as necessary.

Project Information

Project Name:

Project Number

Deviation Information

Manual Section Number

Requirement of the Manual

Description of Deviation

Rationale for Deviation

Impact of Deviation

Supporting Documentation

•

Project Manager Sign-Off

Name Signature Date