Project Manager's Procedure Manual - Florida A&M … 3_11_3/3_11_3 [32...1.4 Capital Project Management ... Project Manager's Procedure Manual 1 of 73 1.0 INTRODUCTION TO THE MANUAL

Project Manager's Procedure

Manual

Facilities Planning & Construction Department

Florida Agriculture and Mechanical University July 2012

Signature Page for

Professional Service Guide Approval

Date Director, Facilities Planning & Construction

Date Associate V.P for Construction and Facilities Management

Date Vice-President for Administrative and Financial Services

Date

Date

Date

Date

Revision Sheet

Page i

Revision Date: Project Manager's Procedure Manual Page ii

TABLE OF CONTENTS

Page # 1.0 INTRODUCTION TO THE MANUAL ........................................................ 1 - 4

1.1 Manual Description ........................................................................ 1 1.2 Manual Organization ...................................................................... 2 1.3 References ................................................................................... 3 1.4 Capital Project Management ........................................................... 4

2.0 PROJECT MANAGEMENT ..................................................................... 5 - 9 2.1 Background .................................................................................. 5 2.2 PM as Leader ................................................................................ 6 2.3 Building Customer Relationships ...................................................... 7 2.4 Duties of the Project Manager ......................................................... 8

3.0 CAPITAL PLANNING ........................................................................ 11 - 31 3.1 Background .................................................................................... 3.2 Conditions for Use of Construction Management and Design-Build ...... 12 3.3 Educational Plant Survey .............................................................. 13 3.4 Campus Master Plan .................................................................... 14 3.5 Facility Programming ................................................................... 20 3.6 Art in State Buildings Program ...................................................... 23 3.7 Subleasing of State-owned Property .............................................. 25 3.8 Certifications of Outstanding Obligations for

Fixed Capital Outlay (FCO) Appropriations as of Jubne 30 ................. 28 3.9 Fixed Capital Outlay Project Furnishing and

Equipment Budget Development ................................................... 28 3.10 Capital Outlay Implementation Plan ............................................... 29

4.0 SELECTION OF PROFESSIONAL SERVICES ......................................... 32 - 41 4.1 Background ................................................................................ 32 4.2 Selection of Design Professional, Construction Manager,

or Design Builder ........................................................................ 34 4.3 Professional Service Selection Criteria ............................................ 35 4.4 Formation of Certification and Selection Committee ......................... 36 4.5 Placement of Advertisement ......................................................... 36 4.6 Professional Service Response, Review, and Evaluation Process ......... 39 4.7 Negotiations ............................................................................... 39 4.8 Maintenance of Selection Records .................................................. 40

Revision Date: Project Manager's Procedure Manual Page iii

5.0 ARCHITECTURAL, ENGINEERING AND CONSULTANT SERVICES ............ 43 - 50 5.1 Background ................................................................................ 44 5.2 Administration of the Agreement ................................................... 45 5.3 The Design Phase Process and Approvals ........................................ 47

6.0 BIDDING AND CONTRACT AWARD .................................................... 51 - 59 6.1 Background ................................................................................ 51 6.2 Facilities Planning and Construction Monetary Level

for Making a Purchase ................................................................ 53 6.3 Competitive Solicitations .............................................................. 54 6.4 Construction Management ............................................................ 59 6.5 Maintenance of Selection Records .................................................. 59

7.0 CODE COMPLIANCE, PERMITTING, AND INSPECTIONS ........................ 61 - 62 7.1 Duties of the Project Manager for Florida Building Code Compliance ... 61

8.0 CONSTRUCTION ADMINISTRATION .................................................. 63 - 73 8.1 Background ................................................................................ 63 8.2 Roles of the TeamBackground ....................................................... 64 8.3 Project Construction .................................................................... 65 8.4 Construction Payments ................................................................ 67 8.5 Construction Closeout .................................................................. 68 8.6 Post Construction ........................................................................ 70 8.7 Project Accounting Closeout ......................................................... 72

PM TASKS and EXHIBITS

PM Exhibit 2.1 - Project Manager's Checklist PM Exhibit 2.2 - Project Manager's Field Manual

PM Task 3.1 Master Plan Guide

PM Task 3.2 Preliminary Facility Program Guide PM Exhibit 3.2A - Preliminary Building Program Template

PM Task 3.3 Project Scope of Work PM Exhibit 3.3A - Project Scope of Work Template

PM Task 3.4 Facility Program Development PM Exhibit 3.4A - Outline for Facility Program

PM Task 3.5 Facility Program Committee Appointments

PM Task 3.6 Submittal, Review, and Adoption of Campus Master Plans and Campus Master Plan Amendments

PM Task 3.7 Capital Outlay Implementation Plans, Encumbrance Authorizations and Budget Authority

Revision Date: Project Manager's Procedure Manual Page iv

PM Exhibit 3.7A - Capital OUtlay Implementation Plan (COIP) Sample

PM Task 4.1 Professional Service Selection Committee Appointment PM Exhibit 4.1A - Professional Service Selection Committee Recommendation Memo to the President PM Exhibit 4.1B - Professional Service Selection Committee Appointment and Assignment Memo to Committee Members

PM Task 4.2 Professional Service Selection Advertisement PM Exhibit 4.2A - Professional Service Advertisement Checklist PM Exhibit 4.2B - Design Professional Services Advertisement PM Exhibit 4.2C - Construction Management or Design-Build Services Advertisement PM Exhibit 4.2D - Project Fact Sheet

PM Task 4.3 Design Professional Service Submittal Receipt, Review, Evaluation, and Award PM Exhibit 4.3A - Design Professional Evaluation Instruction for Professional Qualifications Supplement (PQS) PM Exhibit 4.3B - PQS Submittal Irregularities PM Exhibit 4.3C - Selection Shortlist Evaluation - Schedule A PM Exhibit 4.3D - Selection Shortlist Evaluation - Schedule B PM Exhibit 4.3E - Committee Shortlist Worksheet PM Exhibit 4.3F - Committee Shortlist Recommendation to the President Memo PM Exhibit4.3G - Notification of Shortlist to Respondents Letter PM Exhibit 4.3H - Notification of Shortlist Interview Schedule Letter PM Exhibit 4.3I - Professional Services Reference Check PM Exhibit 4.3J - Selection Interview Evaluation - Schedule C PM Exhibit 4.3K - Committee Recommendation to President Memo PM Exhibit 4.3L - Notification Letter to Selected Firm PM Exhibit 4.3M - Notification of Selection to All Respondents Letter

PM Task 4.4 Negotiation of Design Service Agreement PM Exhibit 4.4A - Pre-Design Checklist PM Exhibit 4.4B - Request for Fee Proposal Letter PM Exhibit 4.4C - Design Fee Proposal Worksheet PM Exhibit 4.4D - Report of Design Professional Negotiation Conference PM Exhibit 4.4E - Design Professional Agreement to Legal Memo PM Exhibit 4.4F - Design Professional Agreement Signature Letter

Revision Date: Project Manager's Procedure Manual Page v

PM Exhibit 4.4G - Design Professional Agreement to VP Memo PM Exhibit 4.4H - Design Professional Agreement Copy and Notice to Proceed

PM Task 4.5 Construction Management or Design Build Service Submittal, Receipt, Review, Evaluation, and Award PM Exhibit 4.5A - Construction Management and Design-Build Evaluation Instruction for Professional Qualifications Supplement (CMPQS) PM Exhibit 4.5B - Construction Manager and Design-Build Selection Shortlist Ranking Worksheet PM Exhibit 4.5C - Construction Manager and Design-Build Selection Shortlist Ranking Form PM Exhibit 4.5D - Committee Shortlist Recommendation to the President Memo PM Exhibit 4.5E - Notification of Shortlist to Respondents Letter PM Exhibit 4.5F - Notification of Shortlist Interview Schedule Memo PM Exhibit 4.5G - Construction Manager and Design-Build Reference Check PM Exhibit 4.5H - Construction Manager and Design-Build Selection Final Interview Worksheet PM Exhibit 4.5I - Construction Manager and Design-Build Selection Final Evaluation Form PM Exhibit 4.5J - Committee Recommendation to the President Memo PM Exhibit 4.5K - Notification of Selection Letter PM Exhibit 4.5L - Notification of Non-Selection Letter

PM Task 5.1 Management and Administration of the Design Process

PM Exhibit 5.1A - Distribution of Correspondence List PM Exhibit 5.1B - Design Kickoff Meeting Memo PM Exhibit 5.1C - Project Implementation Information, OEF 110A Form

PM Exhibit 5.1D - Project Administration and Management Design Guide PM Exhibit 5.1E - Construction Permitting Process and Procedures OverviewPM Exhibit 5.1B - Payment Request Rejection Notice Form

PM Task 5.2 Receipt and Approval of Invoices and Pay Requests PM Exhibit 5.2A - Inter-Office Routing Slip PM Exhibit 5.2B - Pay Request - Rejection Notice

PM Task 5.3 Design Professional Additional Service Authorization

Revision Date: Project Manager's Procedure Manual Page vi

PM Exhibit 5.3A - Additional Service Authorization Letter

PM Task 5.4 Design Professional Services Evaluation and Appeal Process PM Exhibit 5.4A - Professional Services Evaluation PM Exhibit 5.4B - Instruction for Completion of Professional Services Evaluation

PM Task 5.5 Design Phase Submittal Receipt, Review, and Evaluation PM Exhibit 5.5A - Design Submittal Workshop Meeting Schedule Memo PM Exhibit 5.5B - Document Review and Response Form PM Exhibit 5.5C - Design Phase Compliance Memo

PM Task 5.6 Plans Review and Approval by State Fire Marshal

PM Task 6.1 Solicitation and Award (Less Than or Equal to $75,000) PM Exhibit 6.1A - Minimum Limits of Liability Insurance for Vendor and Builder Services PM Exhibit 6.1B1 - Capital Outlay Implementation Plan (COIP), SAMPLE PM Exhibit 6.1B2 - Minor Projects List, SAMPLE PM Exhibit 6.1C1 - Requisition Order Form, SAMPLE PM Exhibit 6.1C2 - Requisition Order Form – Change Order, SAMPLE PM Exhibit 6.1D1 - Instructions for Writing a Statement of Work or Mini Specification PM Exhibit 6.1D2 - Price Quote Form PM Exhibit 6.1E - Emergency Purchasing Certification PM Exhibit 6.1F - Sole Source Certification, SAMPLE PM Exhibit 6.1G - Bid/Proposal Tabulation Form, SAMPLE PM Exhibit 6.1H - Procedure Exception Request PM Exhibit 6.1I - Vendor Quotation Confirmation PM Exhibit 6.1J - Facilities Planning & Construction Code of Ethics

PM Task 6.2 Sealed Bid Solicitation and Award (Greater Than $75,000) (Does not include CM and D-B delivery methods)

PM Task 6.3 Execution of Agreement for Major Projects Construction Management (with Pre-Construction Service) PM Exhibit 6.3A - Request for Pre-construction Services Proposal PM Exhibit 6.3B - General Counsel Memorandum PM Exhibit 6.3C - CM Agreement letter PM Exhibit 6.3D - CM Agreement Memorandum to the University President PM Exhibit 6.3E - CM Agreement Distribution Letter

PM Task 6.4 Bidding Procedures for Construction Management – Major Projects

Revision Date: Project Manager's Procedure Manual Page vii

PM Exhibit 6.4A, FAMU Guidelines for Self Performance of Work on Construction Management Project

PM Task 6.5 Negotiating Guaranteed Maximum Price (GMP) for Construction Management and Design-Build - Major Projects PM Exhibit 6.5A - Labor Burden Checklist PM Exhibit 6.5B - General Counsel Amendment Memorandum PM Exhibit 6.5C - CM or D-B GMP Amendment #1 Letter PM Exhibit 6.5D - President CM or D-B Amendment #1 Memorandum

PM Task 6.6 Construction Management and Design-Build Amendment for Guaranteed Maximum Price (GMP) PM Exhibit 6.6A - Guaranteed Maximum Price Recommendation Transmittal

PM Task 8.1 Construction Administration PM Exhibit 8.1A - CM/D-B Notice to Proceed Letter PM Exhibit 8.1B - Weekly Project Status Report PM Exhibit 8.1C - Monthly Project Report PM Exhibit 8.1D - Notice of Pre-construction Meeting Letter PM Exhibit 8.1E - Documentation Required with Applications for Payment PM Exhibit 8.1F - Insurance Coverage Request Form (Sample) PM Exhibit 8.1G - Inter-Departmental Substantial Completion Acknowledgement PM Exhibit 8.1H - Substantial Completion Checklist PM Exhibit 8.1I - Building Occupancy Notice Memo PM Exhibit 8.1J - Final Completion Checklist

PM Task 8.2 Identifying and Purchasing Fixtures, Furnishings, and Equipment PM Exhibit 8.2A - Interior Design Consultant Scope of Services for FF&E PM Exhibit 8.2B - Moving Inventory for Furniture & Equipment PM Exhibit 8.2C - Identification Sheet for Furniture & Equipment

PM Task 8.3 Moving a Department

Chapter 1 Introduction to the Manual

Revision Date: Project Manager's Procedure Manual 1 of 73

1.0 INTRODUCTION TO THE MANUAL Facilities Planning and Construction (FP&C) is an integral support unit of Construction and Facilities Management and the Division of Administrative and Financial Services. The department supports the Florida A&M University’s academic mission by providing planning, design, and construction management services to the University building program. The Facilities Planning and Construction Procedures Manual is written to guide Facilities Planning and Construction staff in the management and administration of capital projects. State of Florida, State University Board of Governors (BOG), and Florida A&M Board of Trustees policies (BOT), standards and procedures for procurement of design and construction services, differs from those used in the private sector and those used by other Florida State agencies. The procedures stated herein are those of the Florida A&M University (FAMU) and are to be used by the Facilities Planning and Construction staff and assigned PMs (PM). The Facilities Planning and Construction Procedures Manual (hereafter referred to as the manual) consists of nine chapters with Attachments and Task. The Attachments are additional information of a specific nature that relates to several areas in the chapter and other chapters. The Tasks contain process procedures for very specific tasks, and most tasks contain attachments in the style of forms and templates for use in carrying out the task. Each Task is numbered consecutively following the Chapter number (5.1, 5.2, 5.3, etc.). Also, all Exhibits supporting Tasks are identified with the Task number followed by A, B, C, such as (5.1A, 5.1B, 5.1C, and etc.).

1.1 Manual Description Contents of the manual are directive in nature. Deviations from the procedures outlined within shall be requested by the Department head of Planning, Capital Projects Management, or Administrative and Fiscal Services to the Director of FP&C. The manual’s progression is designed as a typical project progress from project identification to post construction. The manual is arranged in a sequence that parallels a typical development progression for Florida educational capital projects.

Revisions to the manual will be made periodically when FP&C changes its daily service or when Florida Statutes, State University Board of Governors, or Florida A&M Board of Trustees change requirements or policy.



1.2 Manual Organization

The nine (9) chapters in the manual are:

Chapter 1 – Introduction to the Manual: This chapter provides a general overview of the manual with a summary of the chapters included in the manual.

Chapter 2 – Project Management: This chapter describes and provides guidance in establishing the requirements for the management of a project. This chapter initiates the assigned PM into the project management process by identifying project typical duties and responsibilities.

Chapter 3 – Capital Planning: This chapter summarizes Florida A&M University’s process to justify the need for additional space due to program or student growth and identify feasibility, scope requirements, cost and priorities. Capital planning includes the process to justify, identify and determine the total scope of work for a project, including all items required to make a project totally complete, the total cost, and the time period to complete the project.

Chapter 4 – Selection of Professional Services: This chapter provides guidance to the PM during the advertisement, evaluation, and selection of Design Professionals, engineers (Design Professional), Construction Management (CM), and Design Build (DB) professionals.

Chapter 5 – Design Process and Administration: This chapter provides guidance to the PM during the design process, and the evaluation and approval of design phases. It also includes guidelines for the administration of professional services like, fees, invoices, additional services, and the evaluation of professional services.

Chapter 6 – Bidding and Award: This chapter provides guidance to the PM during the solicitation phase. The chapter identifies the requirements for solicitation like, project or component specifications, advertising, bid opening, bid evaluation, and bid award. This chapter also describes the award and agreement process for a CM project, the requirements for bidding, and the evaluation of the guaranteed, maximum price (GMP) for construction.

Chapter 7 - Code Compliance, Permitting, and Inspections: This chapter coincides with Section 7 of the Professional Service Guide. It identifies that the PM is the coordinator between the Design Professional, Builder, and the FAMU Building Code Administrator.

Chapter 8 – Construction Administration: This chapter provides guidance to the PM for the various aspects of managing a construction project involving, communication, pre-construction conference, payments to the Builder, submittals, changes in the work, management



and administration during construction, substantial completion, and final completion.

1.3 References Florida State Statutes: The Florida Statutes are a permanent collection

of state laws organized by subject area into a code made up of titles, chapters, parts, and sections. The Florida Statutes are updated annually by laws that create, amend, or repeal statutory material. Chapter 1000 – 1013 covers the Florida K-20 Education Code, with 1013 covering Education Facilities.

State Requirements for Educational Facilities (SREF): All School District staff involved in construction administration, and management use the Florida State Requirement for Educational Facilities. SREF is the State of Florida educational interpretation of the Florida State Statutes.

Florida Building Code: The provisions of the Florida Building Code shall apply to the construction, alteration, movement, enlargement, replacement, repair, equipment, use and occupancy, location, removal and demolition of every building or structure or any appurtenances connected or attached to such buildings or structures.

The purpose of the code is to establish the minimum requirements to safeguard the public health, safety and general welfare through structural strength, means of egress in facilities, stability, sanitation, adequate light and ventilation, energy conservation, and safety to life and property from fire and other hazards attributed to the built environment and to provide safety to fire fighters and emergency responders during emergency operations.

Florida Board of Governors Regulations: At the initial meeting of the Board of Governors held on January 7, 2003, the Board adopted in part rules that had been previously promulgated by the Board of Regents for the operation of the State University System and which were indexed under Chapter 6C of the Florida Administrative Code. Since that time, the Board adopted a Regulation Development Procedure and all rules previously adopted by the Board were readopted as regulations. The Board is currently in the process of reviewing and revising those regulations to comport with the Board’s constitutional duties and responsibilities. As part of this process, a new numbering system is being created that will no longer include the 6C prefix.

Florida A&M University Regulations: These are regulations adopted by the Board of Trustees of Florida A & M University that implements it powers and duties. The Florida A&M University regulations are approved by the University Board of Trustees in accordance with Regulation Development Procedure for State University Boards of Trustees, as approved by Florida Board of Governors.



1.4 Capital Project Management Florida A&M University capital projects vary in cost and complexity. They range from multimillion dollar, state-of-the-art facilities to simple facility modifications valued at a few thousand dollars. This document provides guidance for the Facilities Planning and Construction Department on management and administration of a capital project, large or small. The intent of this manual is to document, through the three sections of the Facilities Planning and Construction Department, how a project is identified, approved, assigned, managed and administered from initial development through predesign, design, construction and the warranty period. When the funding for a project(s) is approved annually by the Legislature, the project is assigned to the Facilities Planning and Construction Department for management and administration. At this time, a PM is assigned by the Director to manage the project and to be the single point of contact. The manual identifies the “life” of a project, from conception to completion, and the PM’s duties and responsibilities during the process.

Chapter 2 Project Management


2.0 PROJECT MANAGEMENT A PM is an individual who has the most direct responsibility to organize, manage, and direct a multitude of activities and complete the assigned facility on schedule with the approved funds. The PM is responsible for working in concert with the project user group department head/assigned representative as well as the Design Professional, Builder, FP&C staff and other University staff and committees. The PM is assigned to a project when the University receives funding approval from the legislature, typically in September, and for minor projects as funding and schedule are appropriate. The PM is responsible for management and administration of assigned projects and will look for support from FP&C staff and other university departments, Committees, Design Professionals, engineers, Builder and others to ensure:

Project requirements are defined, documented, and validated. Appropriate project concept studies considering alternatives are provided. Applicable safety, environmental, energy, and occupational safety and

health-related requirements are met. Project specifications and cost estimates are properly developed and

documented. Planning for final design is started. Final construction documents are completed. Budget/approval documentation is prepared and submitted. Final building is constructed in accordance with all documentation.

2.1 Background

2.1.1 Who is the PM Project managers are typically employees of the university selected to provide project management services to a particular project or projects. Depending upon scope, specific craft type, or budget for a project, the project may be assigned to FP&C staff or a consulting firm. Typically, FP&C will assign their own PM and their project management and supervisory roles, duties and responsibilities.

2.1.2 The PM’s Authority The PM provides on-site coordination and communication. The PM shall have signature authority for correspondence in administering the project with the Design Professional, Builder, the university, and other stakeholders. The PM shall NOT have the authority to enter into contracts or agreements or to make changes to any of the contracts or agreements on behalf of the university. Such authority is reserved for the Director FP&C, and higher administrative designees.



2.2 PM as Leader The title “PM," while emphasizing the importance of overseeing and monitoring a project, can cause one to overlook other leadership skills needed to successfully lead a project to completion. A PM is both a “manager” and a “leader.” There are six major responsibilities associated with the roles of manager and leader.

2.2.1 Focus on the customer

All projects begin and end with the customer. It is the duty of the PM to understand the needs and expectations of the customer; to develop the project vision and gain endorsement of it; to plan for customer involvement, communication and service; and to maintain a meaningful dialogue with the customer during the project.

2.2.2 Create the Project Vision The project vision is the image or understanding of what the project will accomplish as its end result. Having a project vision is crucial to effective leadership and management of any project. In creating the vision, the PM is responsible for planning a route to project completion based on customer needs and expectations; articulating the vision with enthusiasm; and modifying the vision and strategy as needed (but it must not be continually modified since it is the foundation of the customer’s needs and expectations).

2.2.3 Build and Maintain the Project Team

A strong team is vital to the success of any project. The PM is responsible for helping the project team members become an effective working unit. Leadership of the project team involves preserving, protecting, and improving the productive capability of people, the most valuable resource available to the PM. Keys to building and maintaining an effective project team includes open communications; attending to individual needs; clearly defining roles and responsibilities; and rewarding and recognizing team members.

2.2.4 Plan the Project Once the vision has been defined, agreed upon, and the project team formed, focus shifts to planning the project, the elaboration of concrete strategies for achieving the goals of the project. The duties of the PM include developing a work plan in which the customer’s vision and definition of the project coincide; involving the appropriate teams, customer and others in endorsing the work



plan; and ensuring that all components of the work plan support project delivery and remain aligned with the vision.

2.2.5 Managing Resources

Once a project has launched, managing resources becomes a major focus of the PM; that is, keeping a clear grasp of where the project is, compared to where it should be, at any moment. The duties of the PM as it relates to managing resources includes, a realistic budget with sufficient contingencies endorsed by the Project Team and customer; preparing a reasonable, flexible schedule that meets the customer’s needs; preparing accurate assessments of progress; and maintaining accurate and comprehensive project records.

2.2.6 Ensuring Quality

Ensuring quality is a leadership responsibility of the PM and cannot be delegated. The PM must establish appropriate definitions of quality for the project. In order to achieve high quality, the PM must commit time to assess quality issues with the team. A PM can ensure a high-quality project by emphasizing quality management to team members and by setting an example.

2.3 Building Customer Relationships A “customer” is a person or organization that has direct responsibility or control over the project. A “stakeholder” is a person or organization that has a stake or interest in the project. At the core of a successful project delivery process is a satisfied customer. The foundation of a satisfied customer is the development of a strong, service-focused relationship. FP&C has aligned PMs into project teams and customer groups to better develop and strengthen FP&C’s customer relationships. It is important to remember that the University is also a customer, and that PMs must balance the needs of the University with the needs of the project user. Successful customer relationships hinge on starting out right. It is critical to know your customer, to be prepared, and to communicate effectively. A PM must work to build commitment and trust with their customers. The organizational structure of FP&C’s PMs is designed to ensure customer focus, leadership commitment, and a collaborative team environment that fosters interdependent participation. Additional keys to successful project delivery include: Well-developed and endorsed project work plan



Project tools Performance measures and metrics

The benefits of a well-developed project delivery process are satisfied customers who receive high-quality projects that routinely meet expectations, costs, and schedule goals; and a consistent customer focus that is adaptable to ever-changing demands and challenges.

2.4 Duties of the PM In addition to the following Chapters and their Tasks and Attachments to guide the PM, a comprehensive list of duties, responsibilities, and activities of the PM is found in the PMs Checklist, PM Exhibit 2.1. For the PM, duties and responsibilities go hand in hand. However, there is a fine line of distinction between the two. Duty is a task performed by a person out of his job profile, and responsibilities are obligations for which he is accountable. All duties may not be responsibilities, but all responsibilities are duties. Another document that summarizes this Manual is the PM’s Field Manual, PM Exhibit 2.2. It was specifically designed to be used in the field as a reminder of all the items needed or required during each phase of a project.

2.5 Records Management

2.5.1 Document Control Document control makes certain that decisions, recommendations and approvals are documented from the initial project planning process through a project's warranty period. Proper document control includes:

A filed copy of all pre-construction information such a project programming; budget development; consultant selection; and a history of design progression such as changes in specification, schedule, and budget.

A filed copy of all construction information such as Builder selection process, bid, procurement, construction, closeout, and warranty of the project

All documents and filing meet the FAMU required standard for security, integrity, quality, and currency.

Document control tracks actions to ensure that changes to the baseline documents are evaluated and approved and that the integrity of the baseline documentation is maintained as changes are executed. The PM shall make certain that the project’s document control process identifies who on the project management team has the authority and accountability for



ensuring that each of the baseline documents is kept current in compliance with the project’s configuration management and document control procedures.

2.5.2 Records Distribution, Storage, and Retrieval Records management controls the distribution, storage, and retrieval of project records in both hard copy and electronic form. The PM should ensure that incoming and outgoing correspondence and documents are transmitted through the project’s records management specialist, who can use records database software to computer index the records. Working copies of records can be retrieved by records management for use by project staff. Records management should securely store original copies and ultimately dispose of the records according to the University’s and the project’s records retention schedule. The PM should not allow project staff to keep their own files of original project documents or correspondence. Records management should maintain the project’s active and historical records and files in order to provide efficient access and complete audit trails of the current status and record of revisions to the project design and baseline documentation and associated correspondence. Records management’s correspondence control system should provide convenient access to records and make certain the records are secure, and the appropriate level of confidentiality maintained. The system should be set up to comply with the University’s administrative, legal, and historical record requirements and provide an audit trail and documentation of project activities. Records management should be used to establish an accessible project library of technical documents, standards, baseline documents, industry codes and standards, studies, and other general information pertaining to the project. Records management should develop a records storage program that identifies and protects project documentation critical to project completion and the ongoing operation of the completed project. The vital records storage program needs a procedure for archiving critical documents and their disaster protection.



Chapter 3 Capital Planning


3.0 CAPITAL PLANNING The purpose of the capital planning process is to ensure that capital projects at the university are properly reviewed and approved by the university president and senior administration, and that projects are consistent with university priorities. The FP&C capital planning process enables the university to plan, prioritize and organize future capital expenditures. The capital planning process identifies and aligns the university’s capital requirements with its strategic, academic, and financial priorities; in support of the university vision and mission. The process provides the framework for development of the annual plans, and with approval by the University Board of Trustees; State University System, Board of Governors; and the State Department of Education, the plan becomes an annual budget request seeking approval by the Legislature. The need for quality university space is considerable with the growth in university programs and research as well as the requirement for existing facilities to meet the university’s teaching, research, and outreach goals. In a time of limited resources, meeting this growing demand requires detailed review, analysis, justification, and foresight to identify the university’s strategic planning priorities. Typically, during the project planning process, especially for major projects, the planning phase is led by the FAMU Associate Director of Planning. At this time, a PM is assigned by the Director of FP&C to assist the Associate Director and supply project continuity throughout the life of the project.

3.1 Background

3.1.1 References Florida Statute

216.192 - Release of Appropriations (COIP) 255.043 - Art in State Buildings (COIP) 1013.30, F. S. - University Campus Master Plans 1013.31, F. S. - Educational Plant Survey 1013.64, F. S. - Funds for Comprehensive Educational Plant Needs

Florida Administrative Code State Requirements for Educational Facilities (SREF) SUS Board of Governors

14.0025 – Action Required Prior to Capital Outlay Appropriation



Office of Policy and Budget Capital Improvements Program Plan Instructions – Fiscal Years 2010-11 through 2014-15

FAMU Board of Trustees

Tasks and Exhibits PM Task 3.1 Master Plan Guide

PM Task 3.2 Preliminary Facility Program Guide

PM Exhibit 3.2A - Preliminary Building Program Template

PM Task 3.3 Project Scope of Work

PM Exhibit 3.3A - Scope of Work Template

PM Task 3.4 Facility Program Development Guide

PM Exhibit 3.4A - Outline for Facility Programs

PM Task 3.5 Facility Program Committee Appointment

PM Task 3.6 Submittal, Review, and Adoption of Campus Master Plans and Campus Master Plan Amendments

PM Task 3.7 Capital Outlay Implementation Plans, Encumbrance Authorizations, and Budget Authority

PM Exhibit 3.7A - Capital Outlay Implementation Plan (COIP), SAMPLE

3.2 Conditions for Use of Construction Management and Design-Build

3.2.1 Use of Construction Management The criteria to be used in determining which projects are candidates for construction management are:

Whether the size of the project is sufficiently large and/or complex to require major emphasis on the qualification of the contractor to have specific expertise in performing highly specialized cost estimating, value engineering, and scheduling during the design process with continuity of construction management through both the design and construction phases;

Whether the initial construction funding is appropriated, and construction is begun with the expectation of substantial appropriations in subsequent years, thereby making it advantageous to retain a single contractor for the duration of the project;

Whether the project is an alteration of an occupied facility which requires working around or relocating occupants while keeping the facility fully operational; or,



Whether the project is a repair or renovation where conditions requiring correction cannot be determined and specified without extensive contractor involvement in removal and examination process during the design phase.

Whether the timely completion of the project is critical to the university’s ability to repay debt service or to meet grant obligations.

BOG14.002(3) provides the criteria for projects considered for the D-B

process. In addition, ear with Error! Bookmark not defined.. This Chapter will give tual plant survey

Be consistent with the university strategic plan, academic and facilities master plan

The first year of the 3 year priority list. Capital projects exceeding $1,000,000, including new construction and/or renovations, are required to be recommended in the Educational Plant Survey, listed on the facilities master plan, and have a detailed facility program approved prior to funding or construction.

3.2.1 Five Year Plan Submission and State Legislative Approval Annually, the BOG calls for submission of FAMU's capital budget request (usually in May). Based upon the approved FAMU Master Plan, FP&C develops a recommended 5 year plan and submits its recommendation to the President. Depending upon the priority of projects approved by FAMU's BOT from the previous year’s 5 Year Plan submission, the Master Plan may need to be modified prior to submission of the current budget request. Once the project submission list is approved by the President, the FP&C Planning Unit starts work developing the five year plan in accordance with the State of Florida Capital Improvements Program Plan. The completed annual five year plan is submitted to the President for review prior to submission to the BOG staff. The BOG staff combines the requests from FAMU with the other nine State University System (SUS) institutions and prepares a system wide 3 year plan and a 5 year plan for review by the Council of Presidents. The presidents meet and make their recommendations to the BOG. The 3 year plan approved by the BOG becomes the State University System legislative budget request.

3.3 Educational Plant Survey The survey, which may be conducted by BOG staff or an agency employed by FAMU, must be conducted at least every five (5) years in conformance with 1013.31(1), F.S. A copy of the survey, in written report form, must be submitted to the BOG for review and validated by the Department of Education, Office of



Educational Facilities. During the five (5) year period, modification to the approved Educational Plant Survey may be submitted to the BOG for approval.

3.3.1 Needs Assessment University VPs are responsible for presenting capital project concepts to the President and Senior Advisory Team (SAT). The President and SAT will assess the concept to determine the overall need, connection to other FAMU programs and initiatives, and consistency with FAMU priorities. If the concept project meets these requirements and does not conflict with the existing FAMU Master Plan, it is forwarded by the President to the Vice President for Administrative and Financial Services with direction for the Director FP&C to provide a preliminary program and cost estimate. The PM shall become familiar with SREF, Chapter 3, Section 3.1, Educational Plant Survey.

3.4 Campus Master Plan Section 1013.30, F.S., requires all public universities to update their master plans every five years. The development of the campus revolves around BOT, BOG, and legislative approval of capital projects, which must be identified on the master plan. The University BOT adopts a campus master plan for the university and maintains a copy of the plan on the university's website. The following Tasks cover the FAMU Campus Master Plan process:

Master Plan Guide, Task 3.1 - Contains references, procedures, and templates for the development or modification of the campus master plan.

3.4.1 Submittal, Review, and Adoption of Campus Master Plan The University shall submit to the BOT a proposed campus master plan and support materials for each "main campus" and "branch campus," per terms defined in BOG Rule 6C-8.009. The University shall submit a transmittal letter from the president of the University that specifies:

Name, title, address, and telephone number of the University contact person who is familiar with the proposed plan

Any optional elements that are included in the plan The location where the proposed campus master plan will be made available

for public inspection during normal business hours, (8:00 a.m. - 5:00 p.m. Monday through Friday)

Four (4) copies of the proposed campus master plan, including all items



specified in Subsection 1013.30(3)), F.S., and in BOG Chapter 6C-21, Part II, Adopted by Resolution on January 7, 2003

Four (4) copies of support documents used in preparing the plan or summaries of such support documents if not proposed to be adopted as part of the campus master plan

A statement identifying any schedules, maps, data or analyses, or other support documents required by Chapter 6C-21, Part II, ADOPTED BY RESOLUTION ON JANUARY 7, 2003, but not submitted and the justification for each omission (i.e., data not available, requirement not applicable, etc.)

Review of Proposed Campus Master Plans Upon determination that the proposed campus master plan as submitted or resubmitted includes all the required material, the University shall:

Within ten (10) working days advertise and conduct the first public hearing Pursuant to 253.034(8), F.S., make a copy available during normal business

hours, for ninety (90) days, for public review and comment Review the proposed master plan and support documentation for compliance

with the requirements of 1013.30, F.S., BOG Rule 6C-21, Part II, and the most-recent edition of the Guideline for the Comprehensive Campus Master Plan System

Review written comments on the proposed plan

The University shall: Advertise and conduct the first public hearing consistent with the

requirements of 163.3184(15), F.S., and Public Hearings for Campus Master Plans and Plan Amendments policy

Transmit one copy of the proposed campus master plan and support materials to the appropriate host and affected local governments identified in Attachment 1 for review

Pursuant to Subsection 253.034(8), F.S., make a copy available during normal business hours, for ninety (90) days, for public review and comment

Within five (5) working days after the date of the first public hearing, transmit one copy, unless otherwise noted, of the proposed campus master plan and support materials as described above to each of the following agencies (designated contacts are identified, Attachment 1) for their review and written comments:

o The appropriate water management district o The appropriate regional planning council o The Department of Community Affairs o The Department of Environmental Protection o The Department of Transportation (two copies) o The Department of State o The Fish and Wildlife Conservation Commission o The appropriate host local government



o The appropriate affected local government(s) o The Land Management Advisory Council or its successor (10 copies)

The responsibilities of the reviewing agencies and governments identified in this policy include but are not limited to the following:

The review by state agencies and water management districts related to the statutory responsibilities of the agencies and comments regarding those areas required to be addressed in the campus master plan by BOG Rule 6C-21, Part II, Adopted by Resolution on January 7, 2003, and Subsection 1013.30(3), F.S.

The review by state agencies represented on the Land Management Advisory Council (LMAC) or its successor and the Florida Department of Environmental Protection (FDEP) for comments regarding the requirements for five-year state land management plans by Chapter 18-2, ADOPTED BY RESOLUTION ON JANUARY 7, 2003, and Sections 253.034 and 259.032, F.S.

The review by the appropriate regional planning council in the context of the relationship and effect of the campus master plan on the adopted strategic regional policy plan, and comments of any other regional agencies to which the regional planning council may have referred the plan, in accordance with Subsection 163.3184(5), F.S.

The review by the appropriate host and affected local governments in the context of the relationships and impacts of the campus master plan on the local government's adopted comprehensive plan required to be addressed by BOG Rule 6C-21, Part II Adopted by Resolution January 7, 2003, including the requirements placed upon public services and facilities, and compatibility of adjacent land uses, in accordance with Subsection 163.3184 (5), F.S

Any comments from the reviewing agencies and governments shall be sent in writing to the designated University contact person within ninety (90) calendar days after receipt of the proposed campus master plan. The reviewing agencies and governments shall be requested to concurrently provide a copy of their comments to the Director of the Office of Facilities Planning. If no one objects to the plan during the ninety (90) day public review period, then the master plan shall be deemed by FDEP to be approved for the purposes of compliance with Section 253.034, F.S. If there are objections to the plan during the ninety (90) day public review period, then the University shall schedule meetings and discussions with representatives of reviewing agencies and governments as necessary to incorporate appropriate revisions into the campus master plan. Once agreement between representatives of reviewing agencies and governments, and the University has been reached; (with respect to appropriate revisions to the proposed campus master plan), the e University will advertise and conduct the second public hearing consistent with the requirements of Subsection 163.3184(15), F.S., and Public Hearings for Campus Master Plans and Plan Amendments policy.



After the requirements of 253.034(8), F.S., are complied with, the University shall prepare and submit the adoption of the revised campus master plan as an item on the agenda for the next scheduled meeting of the Board of Trustees. The agenda item will include an executive summary recommending whether the proposed amendment should be adopted. Adoption of Campus Master Plans At the Board of Trustees meeting, the University president or designee should be prepared to present a brief summary of the revised master plan. This summary should include, but not be limited to:

Significant land-use changes and campus development proposed during the planning period;

The schedule of and source of funds for capital improvements proposed during the planning period;

An assessment of projected on-site and off-site impacts of proposed campus development during the planning period and proposed measures to mitigate those impacts;

Assurances that the University has complied with all the statutory prerequisites for plan adoption. Adoption of the campus master plan shall be by action of the Board of Trustees.

Notice of Affected Persons Within forty-five (45) days after the date the campus master plan is adopted by the Board of Trustees, the University shall notify all affected persons that the plan was adopted, and identify a location where the plan may be obtained or inspected. An affected person is anyone who submitted written comments to the University or who provided verbal or written comments at either of the two public hearings. Authority Sections 163.3184, 1013.30, 253.034, and 259.032, F.S., BOG Chapter 6C-21, Parts I and II, Rules 18-2, and 6C-8.009, Adopted by Resolution on January 7, 2003.

3.4.2 Submittal, Review, and Adoption of Campus Master Plan Amendments

The University shall submit proposed amendments to adopted 'campus master plans and support materials to the Board of Trustees. Corrections, updates or modifications to the adopted Capital Improvements Element concerning costs, revenue sources, acceptance of facilities or facility construction dates consistent with the adopted plan, and corrections; updates, or modifications of current costs in other plan elements shall not be considered to be plan amendments, and are not subject to the provisions contained in this policy.



The five-year campus master plan update required pursuant to Subsection 1013.30(3), F.S., shall be considered to be a plan amendment and is subject to the provisions contained in this policy. The campus master plans must also meet the requirements for five-year state land management plans; therefore, the proposed amendments must be reviewed by Florida Department of Environmental Protection (FDEP) for compliance with the requirements contained in Sections 253.034 and 259.032, F.S. An amendment to an adopted campus master plan may be made no more than one time during any calendar year, except in an emergency. "Emergency" is the occurrence or threat of occurrence, which results in or may result in:

Substantial injury or risk to University students, faculty or staff, or to the surrounding community; or

Substantial damage to or loss of property; or Substantial loss of public or private funds.

For each proposed plan amendment, the University shall submit a transmittal letter from the president of the University that includes:

Name, title, address, and telephone number of the University contact person who is familiar with the proposed plan amendment;

Whether the proposed amendment, either alone or in conjunction with other plan amendments, exceeds the thresholds established in Subsection 1013.30(9), F.S.;

Whether the proposed amendment changes land use designations or Classifications, or impacts off-campus public facilities, services, or natural

resources; Whether the proposed amendment is an emergency. If so, the transmittal

letter shall include a statement or statements that set forth the facts and circumstances justifying the emergency; and

Four (4) copies of the entire element or elements being amended, all proposed maps and figures, and support documents (data and analysis) or summaries of such support documents, which set forth the facts and circumstances justifying the need for the amendment. The text of the proposed changes shall be coded in such a way as to make clear what is being changed. Text that is proposed for deletion should be stricken through, and text that is proposed to be added should be underlined, Sample Highlighted Format for Proposed Plan Amendment Text, PM Exhibit __.

In the case of proposed amendments to the Future Land Use Map or map series, the following additional information must be provided:

A proposed Future Land Use Map which clearly shows the proposed land use designation for the subject property(ies), the boundaries of the subject property(ies), and the relationship of the subject properties to public facilities and services within the context area;

The size of the subject property in acres or fractions thereof;



A description of the availability of and demand on public storm water management, potable water, sanitary sewer, solid waste, parks and recreation, and traffic circulation (as appropriate);

Information regarding the compatibility of the proposed land use amendments with adjacent land uses (both on-campus and within the context area);

Information regarding the consistency of the proposed land use Amendments with the goals, objectives and policies contained in the Future

Land Use Element and in other elements of the adopted campus master plan. Upon determination that the proposed amendment package as submitted or resubmitted includes all required materials the University shall:

Send a copy to the FDEP Division of State Lands for review and comment; Make one copy available for public review and inspection during business

hours, 8:00 a.m. - 5:00 p.m. Monday through Friday; Review the proposed amendments for compliance with the requirements of

Section 1013.30, F.S., BOG Rule 6C-21, Part II, Adopted by Resolution on January 7, 2003, and the most-recent edition of the Guideline for the Comprehensive Campus Master Plan System;

Schedule meetings and discussions with representatives of reviewing agencies and governments as necessary to incorporate appropriate revisions into the campus master plan. Once agreement has been reached between the reviewing agencies, governments, and the University, the appropriate revisions to the proposed campus master plan shall be made as necessary; and

Request that the proposed amendment be scheduled for approval by the Board of Trustees of the Internal Improvement Trust Fund in accordance with Subsection 253.034(8), F.S.

As a courtesy, the University shall also submit to each host and affected local government for review copies of proposed amendments that have the effect of changing land use classifications or designations, or impacting off campus public facilities, services, or natural resources. Review of Proposed Amendments that Alone or in Conjunction with Other Plan Amendments Exceed the Thresholds Established in Subsection 10113.30(9), F.S. In this case, the process is as described in Submittal, Review and Adoption of Campus Master Plans Policy, beginning with "Review of Proposed Campus Master Plans."

Submittal, Review and Adoption of Campus Master Plan Amendments, Task 3.6 - Procedure for Master Plans approval and revision

Public Hearings for Campus Master Plans and Plan Amendments, Task 3.1 - Provides related master plan information and requirements.



Authority Sections 1013.30, 253.034, and 259.032, F.S. BOG Chapter 6C-21, Parts I and II, and Rule 18-2, Adopted by Resolution on January 7, 2003.

3.5 Facility Programming

A capital project begins as a concept when a faculty, staff, chair, dean or other university stakeholder believes that current facilities are not sufficient to meet program requirements and new or renovated facilities will provide a solution. All-new construction, renovation, and remodeling shall meet the requirements of 6A-2.0010, FAC; SREF, Chapter 3, Section 3.2; Florida Statures; and Federal laws and rules.

3.5.1 Early Feasibility and Estimates The intent of this phase is to acquire additional information about the concept project, including general requirements, sizing, implications, and projected costs. Once direction is received by FP&C, staff works with the originator(s) of the project to identify the needs, requirements, and costs. Once complete, the information is forwarded to the appropriate VP for final presentation to the President. If approved by the President, the project is presented to the BOT. Upon approval by the BOT, the project is added to the official university capital planning priority list managed by the Director FP&C. Two planning document tools assist FP&C with need's assessment, cost estimates, and feasibility. The Preliminary Facility Program Guide, Task 3.2, should be completed for a project estimated to exceed $1,000,000 in cost. The Preliminary Facility Program Guide contains references, procedures, and a template, PM Exhibit 3.2A, for the development of a Preliminary Facility Program. The Project Scope of Work, Task 3.3, should be used to develop a project scope and cost when the project is presumed to cost less than $1,000,000, and it also contains a Scope of Work Template, PM Exhibit 3. 3A.

3.5.2 Facility Program Development The scope of each project shall be clearly established to facilitate the management of construction projects, to provide for more accurate long-range campus planning, and to comply with the requirements of the Florida Statutes. At the University, educational specification's documents are commonly referred to as facility programs. The requirements outlined in this policy for development of facility programs are consistent with the requirements and intent of Section 1013.64(4)(a),



The University shall develop a facility program for all projects for which the construction cost exceeds $1,000,000 and, which are to be included on the first year of the Three-Year Priority List, or are included in the current legislative budget request. Facility Program Committee The University President shall ensure that facility programs are developed in accordance with this policy. The President shall develop the necessary organizational structure, assign adequate personnel, and allocate resources as required to achieve this purpose. The President, or a designated representative, shall appoint facility program committees to develop the facility programs for all projects which require a facility program. The composition of a facility program committee may vary with the complexity and scope of a project. The University President shall make appointments to a facility program committee to meet the administrative needs of the University and to include the expertise required to develop a clear, concise, and comprehensive facility program for the project. Development of Facility Programs Upon appointment, the facility program committee shall develop the facility program for the project using the format outlined in this policy, considering the following requirements:

Use of the proposed facility based on authorized courses and activities. When appropriate, recommendations made by the survey team in current

educational plant surveys conducted pursuant to s. 1013.31, F.S. Program areas will be guided by the "Size of Space and Occupant Design

Criteria Table" of BOG Rule 6A-2.0111, Adopted by Resolution on January 7, 2003.

Any specific requirement of the discipline or activity which will occupy the proposed facility and which must be included in the project scope for proper function of the facility.

Impact of the proposed facility on the campus master plan and existing campus infrastructure.

Future expansion requirements of the proposed project. Consistency with the Universities adopted campus master plan and any

associated campus development agreement. Required Signatures Upon completion of the facility program, the director of facilities planning shall review and verify that the document has been developed in accordance with the requirements specified above. The director of facilities planning shall obtain the following approvals by having the appropriate person sign the signature sheet of the facility program document.



Director of facilities planning (signature signifies that the document has been developed in accordance with the requirements outlined in "Development of Facility Program" above.)

Committee chair (signature signifies recommendation of the facility program committee.)

University Information Resource Manager (signature signifies that requirements listed in Item XI of the "Outline for Facility Programs" have been met)

University President (signature signifies the President's approval and if the project is included in the Three-Year Priority List, that the program scope is consistent with the anticipated funding. Signature also signifies that, when appropriate, as for projects funded from Capital Improvement Fees, the student body has been consulted.)

The requirement of the above four specific signatures is not intended to exclude other University administrators, faculty members, or University staff members from the established review process. The University may include in the facility programs review process any University personnel, which may be required to meet the administrative procedure. Approval of Facility Program Facility programs approved by the process described herein are considered to be approved by the Board of Trustees. Facility programs which are found to be incomplete in content, which lack the appropriate approval signatures, or fail to meet the requirements established by this policy shall be returned to the Director of Facilities Planning, along with appropriate review comments, for additional consideration and development. Amendments to Facility Programs Whenever the program needs require that a previously approved facility program be amended, the University shall develop an amendment to the program. The amendment must be submitted and approved in the same manner as the original program. Development of Facility Programs for Projects Appropriated, Which Were Not Included in the Legislative Budget Request The University shall develop a facility program for any major project, which receives legislative funding, or for any proposed major project that is not subject to the appropriation's process (sponsored research, auxiliary, private funds, etc.), and for which there is no approved facility program. The facility program document shall meet this policy. No implementation of the project shall be commenced until the program or program amendment is approved. Facility Program Format Facility programs shall be developed using the format outlined below. All pages should be numbered. The information specified is the minimum amount of



information required. Additional supplemental information is encouraged and may be required for more complex projects. Upon approval of funding by the legislature, a facility program can be developed and submitted. This involves the creation of a formal program statement by FP&C. Facility Program Development, Task 3.4, contains all references, instructions and a Program Development Guide, PM Exhibit 3.4A, for the completion of a facility program. The development of a facility program involves the creation of a Program Committee that will formulate an initial draft, collect input for modification and recommend a final program document. Facility Program Committee Appointment, Task 3.5, contains all references and procedures required during the committee appointment process. Upon appointment of the Facility Program Committee and their review and conformation of the Program, a formal adoption process is initiated. Each project for which construction management services are requested must have an approved facilities program which addresses the aspects of the project that indicate a need for construction management and budget implications of construction management. Adequate funding for pre-construction construction management fees must be available during the planning phase and must be considered when planning funds are requested for appropriation.

3.6 Art in State Buildings Program Section 255.043, F. S., requires that up to be one-half of one percent of the total appropriation for construction of new buildings, not to exceed $100,000, be set aside for acquiring artwork for permanent display as part of the State of Florida's permanent art collection. The Florida Arts Council (Council) is responsible for establishing program guidelines and providing oversight of state agencies for compliance with those guidelines throughout the art acquisition process. Administration of the art selection process is provided by a program administrator at the Department of State. Detailed information about the program as well as guidelines for its administration is provided in the Florida Department of State publication, Florida's Art in State Buildings Program. The following sub-paragraphs provide a summary of the Florida's Art in State Buildings Program, but the Art in State Buildings, Program Handbook for State Agencies, provide the step by step procedure with appropriate forms. Rather than duplicate information, the staff person assigned from FAMU to administer the Florida Arts in State Buildings Program or specific project art, shall administer the program or project per the Florida's art in State Buildings Program and the Art in State Buildings, Program Handbook for State Agencies.



3.6.1 Submission of Project Information to the Florida Arts Council.

FAMU will provide the Division of Cultural Affairs with a "Construction Appropriation Notification Form," Attachment A, approximately 45 days before each Council meeting. The Council meets four times a year: late January/early February, mid-April, mid-July, and early November. The form may be submitted by fax, by mail or by e-mail. The art allocation shall be an amount of up to 2% of the total project amount. All projects for which planning funds have been appropriated should be reported. If the appropriation is for planning funds only, construction budgets and art allocations should be based on program estimates. When the construction appropriation is received and added to the Capital Outlay Implementation Plan (COIP), a confirmation of the final art allocation amount should be submitted to the Division of Cultural Affairs, regardless of whether the art allocation has changed from the original notification. With the exception of this confirmation, a Construction Appropriation Notification Form will only be submitted again if the art allocation is revised. Once an art allocation has been reported to the Council, it may not be reduced; however, if substantial additional funding is received, it may be increased.

3.6.2 Requests for Exemptions An art allocation should be made for any building which the public can reasonably be expected to visit. If the project consists of two types of space, then the art allocation should be based on the construction amount for the eligible space. For example, the allocation would only be based on the administrative office portion of a campus support facility which also includes machine shop areas, or on the new construction portion of a renovation and expansion project. The University must request any exemptions for eligible projects by submitting its justification to the Division of Cultural Affairs Administrator, who will present the request to the Council.

3.6.3 Development of Art Selection Committee Once the art allocation amount has been reported to the Council, an art selection committee will be established pursuant to the guidelines included in the publication "Florida's Art In State Buildings Program." The committee member named as the Designated Program Administrator in accordance with the guidelines shall track the selection process of all projects and shall report their status to the Division of Cultural Affairs Administrator quarterly. The status report shall be submitted on the form provided by the Division of Cultural Affairs.

3.6.4 Florida Arts Council Review of the Art Selection Process



After the Committee selects an artist(s and/or artwork(s) for the project, the Council reviews the selection process for compliance with established program guidelines. This review is based on required documentation, which is submitted by the University to the Division of Cultural Affairs Administrator.

3.6.5 Notification of Florida Arts Council Action After the Council has determined that a project's selection process was in compliance with program guidelines, the Division of Cultural Affairs will issue an approval letter to the University president, with a copy to the University representative on the selection committee (User Agency Representative). A copy is also sent to the University's Facilities Planning director, who shall maintain it as a permanent part of the project file in the University Facilities Planning office.

3.6.6 Contracting with the Artist Upon receipt of Council action, the University will take the necessary steps to contract with the artist for the development of commissioned work(s) of art or for the purchase of existing works of art, as determined by the art selection committee, in accordance with University purchasing procedures.

3.6.7 Maintenance and Security of Artworks Works of art acquired through the Art in State Buildings Program constitutes the State of Florida's permanent art collection. The University takes possession of the artworks for the state and acts as custodian with responsibility for their maintenance and security. The University President shall designate an individual familiar with maintenance of artworks to fulfill this responsibility, and the identity of this person will be reported to the Division of Cultural Affairs administrator.

3.7 Subleasing of State-owned Property All sub-leases of state-owned land shall require Board of Trustees (BOT) approval. State-owned property is titled in the name of the Board of Trustees of the Internal Improvement Trust Fund (Trustees) and leased to the Board of Education (BOE) for use by the universities in the Division of Colleges and Universities (DCU). Therefore, prior to the BOE executing a sublease agreement or the University soliciting competitive proposals for the lease-purchase of a facility to be constructed on state property, the University shall determine the need to sublease the land and submit a comprehensive study through the President to the BOT for consideration by the BOE and Trustees. The study and proposed sublease agreement shall be reviewed and approved by all appropriate university departments, such as Facilities Planning,



Office of General Counsel, Academic Affairs, Student Affairs, and Physical Plant, before submission to the Board of Education.

3.7.1 Comprehensive Study The comprehensive study should address, at a minimum, the following elements to substantiate the need for the facility:

The relationship of the facility to the mission and academic goals of the institution;

The contribution the facility will make to the educational growth or satisfaction of student needs (statement of benefit to the university);

The degree to which a proposed facility is consistent with the goals of the institution, including an evaluation of the program to be housed, the specific academic needs to be served, and the contribution to the overall institutional mission;

The economic factors supporting the decision to grant a sublease to obtain a facility, such as the savings to be realized by the state;

The source of state funds that will be used to administer and operate the facility, as well as a copy of the legislative authorization to use general revenue funds for this purpose (if applicable); and,

The life cycle analysis conducted for the proposed facility. In addition, the comprehensive plan should include a building program,

developed in accordance with DCU construction program guidelines and a financial plan. The financial plan is to address operating costs associated with the increased cost for maintenance, parking, security, utilities, etc. If the facility to be constructed is to be revenue producing, a budget and operating statement must be provided.

3.7.2 Sublease Agreement A proposed sublease agreement shall be developed in conjunction with the comprehensive plan and submitted for consideration by the BOE with the plan. Provisions shall incorporate the terms and conditions required by the Trustees and the Department of Environmental Protection, and the policies and procedures of the BOE, as outlined below:

The sublease shall contain the requirements of the FAMU construction program, including: procedures, rules, and the FAMU Cost Containment Guide.

B The sublease shall comply with all applicable codes; such as Florida Building Codes, NFPA Codes, State Fire Marshall and Americans with Disability Act requirements. The sublease shall contain a provision for the BOT to refuse construction work of a lower standard.

The sublease shall conform to the current University Master Plan. The sublease shall provide for the sub lessee to follow the FAMU



Architect/Engineer Selection Process policy, including the FAMU Professional Services Guide, Cost Containment Guidelines, and Bonding and Insurance Requirements.

The sub lessee shall be required to furnish an affidavit from the architect or engineer of record and the contractor stating that no asbestos or lead-based paint products were used (new construction) or found (existing building) in the facility.

The sublease shall include insurance requirements for the construction period and for the term of the lease.

The sublease shall contain a provision for monetary compensation, based on the status of the sub lessee (not-for-profit, or direct support organization);

The term of the sublease, which cannot exceed 50 years or the term of the lease the BOE has with the Trustees, shall be included in the sublease;

The sublease shall require the sub lessee to obtain all applicable tax certificates and exemptions and submit proof of such;

The sublease will include a provision for the sub lessee to indemnify and hold harmless to the BOE, Florida A & M University, Florida A & M University BOT and Trustees; and,

The sublease must contain a provision for title to the facility to vest with the state upon completion of construction or expiration/termination of the sublease; or, if applicable, the sublease may include a requirement that the sub lessee removed the improvements and returns the property to a usable condition upon termination/expiration of the sublease.

All applicable provisions of FAMU's BOT, Contracts and Agreements, should also be included in the sublease agreement. In addition, the University will be responsible for obtaining two certified surveys that comply with the minimum technical standards required by the Department of Environmental Protection. 3.7.3 Solicitation of Proposals In the event, the University determines that it would be cost-effective for a private developer to construct a facility on state-owned property, ownership to which would come to the state through a lease- purchase arrangement, the University shall issue a request for proposal or invitation to bid upon approval by the BOT. The proposal/bid should include the following information:

The proposed scope of the project, based on the comprehensive plan. The proposed Sublease Agreement. The terms and conditions required by the State of Florida, as enumerated in

the Contracts and Agreements policy. The requirements of the DCU construction program relating to the

competitive selection of an architect/engineer and contractor. Prior to the release of the proposal, the proposal document must be reviewed and approved by the appropriate university departments and forwarded to the BOT for review. The proposal should then be advertised in a newspaper with a circulation of not less than 100,000 and in the Florida Administrative Weekly. Proposals shall be



received and evaluated by the University in a manner consistent with Florida Statutes and competitive practices, and the recommended award shall be forwarded to the Board Office for appropriate action by the BOE.

3.8 Certifications of Outstanding Obligations for Fixed Capital Outlay (FCO) Appropriations as of June 30

The annual instructions developed by the Office of Budgets and Finance will designate responsibilities for each group of funds with respect to administration of the certification forward process for fixed capital outlay appropriations. The DCU will be responsible to provide appropriation balance control totals for appropriations that benefit more than one university or are appropriated to the DCU. Florida A & M University will be solely responsible for certification forward of their local funds and any direct appropriation to the University. Project appropriation's balance and project status information will be provided to DCU in the required report format for each project that benefits the University. The Controller's Office will work in conjunction with the Office of Facilities Planning and Construction to collect and verify the information submitted for construction accounts in the certification forward process.

3.9 Fixed Capital Outlay Project Furnishing and Equipment Budget Development

3.9.1 Responsibility for Furnishings and Equipment Budget FP&C, in collaboration with the user group is responsible for the development of the fixed capital outlay project furnishings and equipment (F&E) budget. The budget should be developed with consideration given to availability of existing equipment, other fund sources available for replacement or enhancement of equipment to support program functions, and conformity to guidelines for eligibility of items as fixed capital outlay expenditures.

3.9.2 Eligible Fixed Capital Outlay F&E Expenditures Generally, the F&E portion of a fixed capital outlay project budget is restricted to moveable furnishing and equipment items to be housed within the facility and primarily used within the facility. The following types of expenditures are eligible as charges to a fixed capital outlay project F&E budget:

Moveable furniture, e.g., chairs, desks, tables. Fixed seating is not eligible and must be included in the construction budget.

Moveable equipment to be located within the facility such as portable



machines, lab equipment, building maintenance or cleaning equipment, computers, and telecommunication equipment such as phone instruments, and the routers and servers to fit user requirements.

Furnishings that are not required to make the building functionally operational such as window treatment, e.g., drapes, blinds. Floor covering is not eligible and must be included in the construction budget.

Equipment that directly supports programs or activities to be housed within the facility and requires some installation such as equipment that must be mounted to a wall or permanently connected to utilities, for example, a spectrophotometer or a voltmeter. This type of equipment expenditure does not include essential building systems components such as fume hoods, essential components of building mechanical systems, telecommunication wiring to achieve connectivity to user stations, and built-in equipment such as laboratory casework, benches, and cabinets that are required to make the building function as designed.

Delivery and setup charges for eligible equipment that are normally paid pursuant to applicable purchasing rules and procedures.

Moving costs for equipment to be purchased or reused when special expertise is required or when the magnitude of the moving task is beyond the normal capability of the University to perform.

The Office of Facilities Planning and Construction will notify the Controller's Office and the Office of Procurement Services in advance for the need to encumber the furniture and equipment funds. The project manager and project accountant will work closely with the Office of Procurement Services on all furniture and equipment orders, model numbers, vendors and delivery dates to ensure best costs and timely delivery before occupancy.

3.10 Capital Outlay Implementation Plan The objective of a Capital Outlay Implementation Plans (COIPs), is to provide guidelines and procedures for establishing and revising individual fixed capital outlay project budgets and for encumbrance authorizations. A COIP is a project budget document approved by the President, or designee, which provides information regarding the project funding sources, project scope and planned uses of the funds for a major project or any project funded by a legislative appropriation. Encumbrance authorization and budget authority are required prior to encumbering funds on fixed capital outlay projects. At certain points during the implementation of a funded project, this document is used to report contractual obligations and updated estimates for project budget categories as a means to demonstrate the availability of funds for an impending contractual obligation. This document, while identifying budget categories at points in time, does not serve as the working project budget. The working project budget,



maintained by Construction Accounting, is used to report the actual contract amounts, changes to contracts and revised estimates for costs not yet incurred as a project is implemented. A major project has a construction budget that does not exceed $1,000,000. A COIP is not required for a minor project (a project with a construction budget of $1,000,000 or less) or for a planning or study activity to be performed by a design professional provided:

The project is funded from university funds (e.g. auxiliary funds, grants, private donations)

OR

The project was not appropriated by the Legislature as a line-item appropriation.

3.10.1 When are COIPs Required A COIP or COIP revision is required, as follows:

To establish an initial COIP pursuant to the above criteria To add funds to or remove funds from an existing project To transfer funds to another project, when specific legislative or statutory

authority exists To transfer budget between project budget categories

For an original COIP, zeroes are shown in the “Current Budget” category and the funds being proposed for approval are shown in the “Proposed Budget” category. If the total project funding is not being approved, then the “Future Funding” column would include the total anticipated funds. For subsequent COIPs, the formerly approved funds are shown in the “Current Budget” column, and the proposed new amounts are shown in the “Proposed Funding” column. When reviewing a signed COIP, the official project budget is the one in the “Proposed Funding” column.

3.10.2 When are COIPs Required At the beginning of each fiscal year, the Department of Education, Office of Educational Facilities, will provide FAMU with a summary of its appropriations and the allocation of department-wide or aggregate appropriations such as Remodeling, Renovation, Maintenance, Repair and Site Improvements. This report will also contain re-appropriations and redirection authority for prior appropriations. Project numbers will be assigned by the Construction Accounting Department in the Facilities Planning and Construction Office (FP&C). Upon receipt of the appropriation summary, FP&C will generate a COIP for each of the appropriations.



The University cannot execute contracts against appropriated funds until such funds have been released by the Executive Office of the Governor. The Department of Education, Office of Educational Facilities, coordinates this effort with the Executive Office of the Governor and notifies the University when the funds are available.

3.10.3 When are COIPs Required A COIP provides information regarding the source and use of current and future funding (sample included in form's section). The source section identifies amounts by revenue source and fiscal year of budget authority within each named fund. A future funding section is also provided to identify anticipated future project revenue. The COIP development process is contained in Capital Outlay Implementation Plans, Encumbrance Authorizations, and Budget Authority, PM Exhibit 3.7.

Chapter 4 Selection of Professional Services


4.0 SELECTION OF PROFESSIONAL SERVICES The University selection of professional services is a qualifications-based process with the goal to select the most qualified team of consultants for the project, using 287.055, F.S. and SREF Chapter 4, Section 4.1. FAMU uses the Construction Management (CM) delivery method for most major projects and the Design-Bid-Build for most minor projects. The design and construction professionals provide services to the University under the following types of contracts: (refer to 287.055, F.S. to confirm a dollar amount for agreements and types of service)

Campus Service Agreements (Continuing Contract) – Architects, engineers, construction managers, and consultants may be selected to provide services under a continuing contract for projects for which the construction cost is $2,000,000 or less, or for planning or study activities for which the fee is $200,000 or less. A Campus Service Agreement is effective for a fixed term or with no time limitation except that the contract must provide a termination clause.

Individual Project Agreements – Architects, engineers, construction managers, design-builders, and consultants may be selected to provide services for a specific project as described in a public notice in accordance with University procedures.

The University requires an approved facilities program for projects with an estimated construction cost greater than $1,000,000. The requirements for the development of a facilities program are found in Chapter 3.

4.1 Background

4.1.1 References

Florida Statute Sections 287.055, 1001.7, 1013.38, 1013.46

State Requirements for Educational Facilities (SREF) Chapter 4.1 – Professional Services and Construction Techniques

SUS Board of Governors

Prepare RFQ

Review/ Evaluate Proposals

Interview/ Select

Professionals

Negotiate Contract

Initiate Contracting



Regulation, 14.004, 14.0055

FAMU Board of Trustees 2005-7A – Professional Consultants Selection Process for Construction Projects

Tasks and Exhibits PM Task 4.1 Professional Service Selection Committee Appointment

PM Exhibit 4.1A - Professional Service Selection Committee Recommendation Memo to the President

PM Exhibit 4.1B - Professional Service Selection Committee Appointment and Assignment Memo to Committee Members

PM Task 4.2 Professional Service Selection Advertisement PM Exhibit 4.2A - Professional Service Advertisement Checklist PM Exhibit 4.2B - Design Professional Services Advertisement PM Exhibit 4.2C - Construction Management or Design-Build

Services Advertisement PM Exhibit 4.2D - Project Fact Sheet

PM Task 4.3 Design Professional Service Submittal Receipt, Review, Evaluation, and Award

PM Exhibit 4.3A - Design Professional Evaluation Instruction for Professional Qualifications Supplement (PQS)

PM Exhibit 4.3B - PQS Submittal Irregularities PM Exhibit 4.3C - Selection Shortlist Evaluation - Schedule A PM Exhibit 4.3D - Selection Shortlist Evaluation - Schedule B PM Exhibit 4.3E - Committee Shortlist Worksheet PM Exhibit 4.3F - Committee Shortlist Recommendation to the

President Memo PM Exhibit4.3G - Notification of Shortlist to Respondents Letter PM Exhibit 4.3H - Notification of Shortlist Interview Schedule Letter PM Exhibit 4.3I - Design Professional Reference Check PM Exhibit 4.3J - Selection Interview Evaluation - Schedule C PM Exhibit 4.3K - Committee Recommendation to President Memo PM Exhibit 4.3L - Notification of Selection to Selected Firm Letter PM Exhibit 4.3M - Notification to Non-selected Firms Letter

PM Task 4.4 Negotiation of Design Service Agreement PM Exhibit 4.4A, Pre-Design Checklist PM Exhibit 4.4B, Request for Fee Proposal Letter PM Exhibit 4.4C, Design Fee Proposal Worksheet PM Exhibit 4.4D, Report of Design Professional Negotiation

Conference PM Exhibit 4.4E, Design Professional Agreement to Legal Memo PM Exhibit 4.4F, Design Professional Agreement Signature Letter PM Exhibit 4.4G, Design Professional Agreement to VP Memo



PM Exhibit 4.4H, Design Professional Agreement Copy and Notice to Proceed

PM Task 4.5 Construction Management or Design Build Service Submittal, Receipt, Review, Evaluation, and Award

PM Exhibit 4.5A, Construction Management and Design-Build Evaluation Instruction for Professional Qualifications Supplement

PM Exhibit 4.5B, Construction Manager and Design-Build Selection Shortlist Ranking Worksheet

PM Exhibit 4.5C, Construction Manager and Design-Build Selection Shortlist Ranking Form

PM Exhibit 4.5D, Committee Shortlist Recommendation to the President Memo

PM Exhibit 4.5E, Notification of Shortlist to Respondents Letter PM Exhibit 4.5F, Notification of Shortlist Interview Schedule

Memo PM Exhibit 4.5G, Construction Manager or Design-Build Reference

Check PM Exhibit 4.5H,Construction Manager or Design-Build Selection

Final Interview Worksheet PM Exhibit 4.5I, Construction Manager or Design-Build Selection

Final Evaluation Form PM Exhibit 4.5J, Committee Recommendation to the President

Memo PM Exhibit 4.5K, Notification of Selection Letter PM Exhibit 4.5L, Notification of Non-Selection Letter

4.2 Selection of Design Professional, Construction Manager, or Design-Builder

The selection process is directed by the Director FP&C. The PM coordinates the overall selection process and uses the department’s administrative support for advertisements, notification letters, presentation schedules, agreements, and approval memoranda. Projects requiring the services of a professional must adhere to the “Consultants Competitive Negotiation Act," Section 287.055, F.S. To support 287.055; the following SUS BOG Regulations and FAMU Policy must be met;

BOG Regulation 14.004 - Public Announcement Requirements BOG Regulation 14.005 - Certification and Competitive Selection of

Professionals BOG Regulation 14.055 - Certification and Competitive Selection for

Construction Management Services and Design-Build Services. FAMU Policy 2005-A - Professional Consultants Selection Process for

Construction Projects.



To take advantage of the many opportunities available for construction management, the construction managers should be appointed and ready to work during the schematic design phase of a project. Contracts for construction management services consist of two phases.

The first phase of the contract is for pre-construction services, wherein the construction manager functions as an agent of the University, is paid a fixed fee for services performed, and is an integral part of the design team. Pre-construction services shall include value engineering, scheduling, constructability analyses, etc., and the development of a Guaranteed Maximum Price (GMP).

If the GMP is accepted, the second phase (the construction phase) is implemented. During the construction phase, the construction manager ceases to be an agent of the University, becomes the single point of responsibility for performance of the construction contract for the project, and functions in the role of an independent Builder, publicly bidding trade contracts.

4.3 Professional Service Selection Criteria

4.3.1 Design Professional and Consultants Public announcement for professional services is not required when the basic construction cost estimated by the University is below the threshold in 287.017, F.S. for CATEGORY FIVE (for FY 2012 the amount was $325,000), or for a planning or study activity when the fee for professional services is below the threshold amount provided in 287.017, F.S. for CATEGORY TWO (for FY2012 the amount was $35,000). The public announcement is except in cases of valid public emergencies certified by the University President. Florida law requires the University to evaluate, at a minimum, capabilities, adequacy of personnel, past record, and experience. The University may also consider additional criteria, such as safety records, cost estimating services, and in some cases, specific items applicable to the project needing services. Such selection criteria are adapted to fit the needs of each particular selection and may include additional criteria. The facility program will identify the need for additional project criteria.

4.3.3 Construction Managers and Design-Builders The criteria to be used in determining which projects are candidates for construction management and Design-Build were identified in sub-paragraph 3.1.4 of the PSG.



In addition to construction method use criteria, each project for which CM/D-B services are requested must have an approved facilities program which addresses the aspects of the project that indicate a need for CM/D-B and budget implications of construction management. Adequate funding for pre-construction construction management fees must be available during the planning phase and must be considered when planning funds are requested for appropriation.

4.4 Formation of Certification and Selection Committee When FP&C is ready to select a design or construction professional for an individual project, or to provide continuing services under a Campus Service Agreement, the President, or designee, will appoint a Professional Service Selection Committee. The process of assigning members and identifying duties is established in Professional Service Selection Committee Appointment and Project Advertisement, PM Task 4.1. The Selection Committee composition shall be as provided in BOG Rule 6C-14.005. The Selection Committee reviews and approves the proposed Project Fact Sheet, and Notice to Professional Consultants. It also discusses the requirements of the project and determines any selection criteria to be used. Selection criteria may affect the Design Professional Qualifications Supplement (PQS) form PQS Exhibit 4.1, and Construction Manager Qualifications Supplement (CMQS) or Design-Builder Qualifications Supplement (D-BQS), PQS Exhibit 4.5. from the Professional Services Guide. Additional selection criteria must elicit information, which cannot otherwise be determined from the standard PQS form, must be related to the firm’s experience and ability, and must not request a firm to describe its approach to the proposed project (approach is only requested of the short-listed firms). The Selection Committee also develops the selection schedule, establishing dates for the shortlist meeting and the final interviews.

4.5 Placement of Advertisement The University places their Notice to Professional Consultants advertisement in the Florida Administrative Weekly when professional services are required per BOG Regulation 14.004. This advertisement provides a general description of the project and the selection process. No public announcement is required if university personnel are performing these services instead of an external party. A public announcement is required for:

Architectural or engineering services for a project, when estimated construction costs exceed $250,000. The university may use a continuing contract, or one of the other procurement methods.

Continuing contracts for professional services or continuing contracts for construction management service. There is no limit on the total value of the



continuing contact, but no single project, as specified in the contract, may exceed $2,000,000.

Professional services for development of design criteria required for design-build projects. The firm selected to develop the design criteria package IS NOT eligible to render services under the Design-Build Contract.

Construction management services for a project. The university may use a continuing contract, or one of the other procurement methods provided.

Design-build services.

Professional services for planning or study activity when the fee exceeds $50,000. The university may use a continuing contract for this activity.

Continuing contracts for professional services for planning or study activity. There is no limit on the total value of the continuing contact, but no single study or plan, as specified in the contract, may exceed $200,000.

The professional services' advertising process is established in Professional Service Selection Design Professional Advertisement, PM Task 4.2.

4.6 Professional Service Response, Review, and Evaluation Process

The University’s procedure for selection of professional services takes place in accordance with Design Professional Services, Receipt, Review, Evaluation, and Award, PM Task 4.3 and Construction Management and Design-Build Services Submittal Receipt, Review, Evaluation, and Award, PM Task 4.5. The following is a summation of the process.

4.6.1 Required Qualification Data The applicant should submit a copy of the following:

Professional Qualifications Supplement Professional Registration Certificates Corporate Charter Registration Joint Venture Agreements: If applicable, see instructions in PQS form Requirements deemed appropriate for a specific project included in the

Notice to Professional Consultants.

4.6.2 Information on Web Site

FAMU FP&C will post the following information on its web site: The Project Fact Sheet



The final project advertisement, Notice to Professional Consultants The PQS, CMPQS, or D-BQS form Other information the University considers relevant.

4.6.3 Responses to Design Professional, Construction Managers, and Design-Builders

If a firm contacts FP&C for the information related to a particular project, FP&C will refer them to the FP&C website, but will not refuse a request to e-mail the firm the documents available on the website.

4.6.4 Review and Development of Shortlist After receipt of submittals, FP&C reviews them for compliance with the PQS Instructions. The Selection Committee convenes to review each Applicant’s submittal; they evaluate, rank, and make their recommendation. With the recommendation, FP&C seeks administrative approval and notifies firms appropriately. This process includes reference checks, evaluation forms, ranking forms, memorandums, and letters required for documentation, approvals, and notification from the initial receipt of submittals, to a short list, and final award.

4.6.5 Notification of Applicants

Applicants are notified of the results of the short list by letter and the posting of the results on the FP&C web site, FP&C office, and the Office of Procurement Services. The University notifies the firms which were short-listed and provides them with:

A list of the final interview evaluation criteria The time, date and location of the interview The length of time allotted for the interview

4.6.6 Presentations, Interviews, and Recommendation

The Selection Committee convenes to hear the finalists’ presentations. Following the presentation, a time may be set aside for questions and answers. Initially, only the Selection Committee members may ask questions of the firms. If time permits and the Selection Committee members have no further questions, observers may be allowed to ask questions. Immediately following the interviews, the Selection Committee may ask for input from non-Selection Committee member user representatives who attended the presentations and interviews as observers. The Selection Committee totals the



points for each Applicant interviewed and determines the recommended ranking. The Selection Committee ranks the interviewed applicants in writing and recommends the ranking to the University President. In the event of a tie, a majority vote of the Selection Committee to determine the recommended applicant prevails. All members of the Committee must sign the interview forms. The Selection Committee does not divulge its recommendation to anyone prior to approval of the Selection Committee’s recommendation by the President. Upon approval by the President, FP&C will notify each interviewed firm of the President’s action. Notification shall be by certified letter, return receipt requested.

4.7 Negotiations The Agreement and negotiation process for Design Professional is identified in detail in Negotiation of Design Professional Agreements, PM Task 4.4. The Agreement and negotiation process for CM and D-B is identified in Chapter 6, subparagraph 6.6.

4.7.1 Prerequisite to Design Agreement From the time, the facility program is completed until a project is BOG approved, funded, and staff is given the OK to advertise for professional services; questions about aspects of the project are raised or problem areas are identified. These issues may be managerial or technical in nature, but they must be resolved before the design process. These tweaks in information are required to preclude false starts and/or expensive redesign with associated cost and schedule problems. The resolution of these issues is performed by the user for problem areas that is part of the functional requirements and by the PM for problems that is part of the project architectural/engineering and construction phase. In both cases, the PM is responsible for coordinating any changes in the program or project approach prior to placing the project design under contract. Predesign Checklist, PM Exhibit 4.4A, provides a list of items to confirm before design. If any items on the predesign Checklist need to be changed, they should be corrected prior to approval of design agreement. The PM must confirm that the approved COIP will meet the budget needs for the anticipated fees for design services. Also, the PM must confirm that funds are available for immediate encumbrance of a contract when negotiation became final. In the absence of established funding at the time needed to encumber contract costs, the project design may start with time delays.



4.7.2 Architectural, Engineering, and Consulting Agreements and Fees

Upon approval of the Professional Service Selection Process, the project PM contacts the selected firm to start the Agreement process. Architects, engineers, and consultants retained by the University are required to comply with an executed Agreement. The University uses both stand-alone (project specific) and continuing service contracts depending on the size, complexity, and value of the project work to be accomplished. The PM shall be cognizant that the active participation by the Design Professional or consultant in the initial and final steps of the Agreement process is essential. The PM, Director FP&C and consulting firm’s staff work to reach an agreement on a fair and reasonable fee based on the scope of work to be accomplished and budgetary needs. Other terms of the contract are not negotiable. The FAMU professional design service negotiation process contains the following tools to facilitate design services and fees.

Design Professional Fee Proposal, PM Exhibit 4.4.B Contract Negotiation Meeting Letter, PM Exhibit 4.4C Design Professional Fee Proposal Worksheet, PM Exhibit 4.4D Report of Design Professional Negotiation Conference, PM Exhibit 4.4E

Two of the tools, the Design Professional Fee Proposal and the Design Professional Fee Proposal Worksheet help develop the scope and fee for a specific project. Optional design services may also be included to formulate the plan and fee negotiation. If the selected Design Professional for a stand-alone project declines the work or is unable to negotiate a fair and reasonable fee, then the consultant firm ranked second by the Selection Committee will be offered the project. If the second- ranked firm declines, the third-ranked firm will be offered the project. Declination does not negatively impact consideration for future opportunities. Upon receipt of the signed Agreement, the PM and FP&C staff initiate the required internal approval process for executing the Agreement. The agreement and negotiation process from the first meeting through the distributed of the executed contract, takes between four to five weeks. An executed agreement is necessary for payment on work performed under a given contract.

4.8 Maintenance of Selection Records

The completed selection evaluation forms together with any notes kept by the Selection Committee members throughout the selection process, correspondence related to the selection and the proposals of the applicant firms shall be filed in FP&C official project file.



Documentation of the selection process is extremely important due to the procedures involved in the qualification process. The PM shall make sure the documentation is filed in the official project file to demonstrate or justify the selection process was properly solicited, evaluated, and awarded in accordance with State, SUS Board of Governors, and University policy.



Chapter 5 Design Process and Administration


5.0 DESIGN PROCESS AND ADMINISTRATION This chapter provides guidance for managing and the administration of the design process, placing the Design Professional under contract, and coordinating, reviewing development phases, and approving the final design. It also identifies the design requirements found in the Professional Service Guide, Design Guidelines & Specifications, and Cost Containment Guidelines. The goal of Facilities Planning and Construction is to create a capital investment that meets the functional requirements, program requirements and provides the most economical life-cycle cost for the University. Our buildings and structures have and will continue to be used for periods exceeding fifty (50) years and consequently, should be designed for durability, adaptability, and economy of operation and ease of maintenance. The Task documents included with their checklists, and templates will help PMs negotiate fair contracts and administer the contracts to produce accurate, and complete final designs, including plans and specifications. The design guidance contained in this chapter is applicable to all facility design work regardless of the procurement process used to obtain the design. The actual design of a project is the process in which the factual physical size, shape and appearance of the project are determined. Design is typically done in four stages at the University, each with at least one review and approval before moving to the next stage. The four stages are:

Conceptual Design - Is a preliminary design based on the University’s ideas and inputs. During this phase, layout, form and overall appearance of both the building and the site are determined. This phase sets the final direction for refining the design.

Schematic Design – Includes development of the basic layout of the space, the skeleton framework of the space, with a preliminary cost estimate based on the layout.

Design Development – Includes more detailed design, with development of the look and feel of the space to flesh out the skeleton framework. A better estimate is developed.

Construction Documents – Includes documentation of all the details needed for a Builder to bid and build the project, including a detailed estimate of the costs.

Smaller projects may skip some of these steps if deemed appropriate by the Director FP&C. The objective is to accomplish the design process in a way that reduces the time required while meeting the projects’ needs and budget.



5.1 Background

5.1.1 References

Florida Statutes 215.422, F.S. - Payments, warrants, and invoices; processing time limits; dispute resolution; agency or judicial branch compliance

255.29(3), F.S. - Construction contracts; department rules

287.055(3)(d), F. S. – Acquisition of professional architectural, engineering, landscape architectural, or surveying and mapping services; definitions; procedures; contingent fees prohibited; penalties

553.79, F.S. - Permits; applications; issuance; inspections

633.085, F.S. - Inspections of state buildings and premises; tests of fire safety equipment; building plans to be approved

1013.371(1), F.S. – Conformity to codes

1013.38, F.S. - Boards to ensure that facilities comply with building codes and life safety codes

1013.50, F.S. - Final payment to Builder (provide for permanent archiving of plans)

Florida Administrative Code 6C-14.007, F.A.C. - Competitive Negotiation

6C-14.020, F.A.C. - University Supervision of Construction Program

14-75.0051, F.A.C. - Revocation, Denial, or Suspension of Qualification

14-75.0052, F. A. C. - Professional Consultant Work Performance Evaluation System

69A-52, F.A.C. - Fees charged for inspection and administrative expenses incurred by State Fire Marshal

State Requirements for Educational Facilities (SREF) Section 4.3 - Documents and Submittals

SUS Board of Governors 14.020 – University Supervision of Construction Program

FAMU Board of Trustees None identified

Tasks and Exhibits PM Task 5.1 Management and Administration of Design Process

PM Exhibit 5.1A, Distribution of Correspondence List PM Exhibit 5.1B, Design Kick-Off Meeting Agenda



PM Exhibit 5.1B, Design Kick-Off Meeting Agenda PM Exhibit 5.1C, Project Implementation Information Form, OEF

Form 110A PM Exhibit 5.1D, Project Administration and Management Design

Guide PM Exhibit 5.1E, Construction Permitting Process and Procedures

Overview PM Task 5.2 Receipt and Approval of Invoices and Pay Requests

PM Exhibit 5.2A, Interdepartmental Routing Slip PM Exhibit 5.2B, Payment Request Rejection Notice

PM Task 5.3 Design Professional Additional Service Authorization PM Exhibit 5.3A, Additional Services Authorization Letter

PM Task 5.4 Design Professional Services Evaluation and Appeal Process PM Exhibit 5.4A, Professional Services Evaluation PM Exhibit 5.4B, Instructions for Completion of Professional

Services Evaluation PM Task 5.5 Design Phase Submittal Receipt, Review, and Evaluation

PM Exhibit 5.5A, Design Submittal Workshop Meeting Schedule Memo

PM Exhibit 5.5B, Document review and Response Form PM Exhibit 5.5C, Design Phase Compliance Memo

PM Task 5.6 Plans Review and Approval by State Fire Marshal

5.2 Administration of the Agreement The University’s PM is the Owner’s Representative during the design and construction of the project. As the project’s coordinator and manager, the PM must take the position of instructing and approving not only the process, but controlling scope, cost, and schedule. The PM’s process of managing and administering a design project is contained in Management and Administration of the Design Process, PM Task 5.1. The goal of the PM is to manage the design process so the construction contract documents meet the project criteria; and, result in a complete usable facility that meets the physical scope of the approved facility program and can be constructed on time within the approved budget.

5.2.1 Architectural/Engineering/Consultant Invoices The Design Professional submits invoices to the Office of Facilities Planning and Construction for approval per the Professional Services Guide. The PM and FP&C staff review the invoice, checking that services have been rendered; appropriate documentation is included, and all calculations are correct. If the work product described in the invoice did not have prior approval by FP&C, the invoice is rejected and returned to the Design Professional, with instructions to resubmit after approval of the work product. After approval of the invoice, the FP&C sends it to the



University comptroller’s office for processing and transmittal to the State Comptroller. All invoices must be processed within the time limits described in 215.422, F. S. The process for receipt, review, and approval of Design Professional, engineer, or consultant invoices is covered in Receipt and Approval of Invoices and Pay Requests, PM Task 5.2.

5.2.2 Additional Service Authorization When a scope change is needed (e.g. addition of funds, program amendment, sub-consultant services, etc.), which alters the original agreement, the agreement must be amended. (Additions of funds which are made solely to prevent the need for redesign of the Design Professional's documents are not eligible for a fee amendment, since the Design Professional would have been obligated to redesign at the Design Professional's own expense under the terms of the agreement.) Amendments are negotiated, documented, executed and distributed in the same manner as the original agreement. The construction cost cannot be revised in the agreement unless a corresponding change is made to the COIP. Releases must be requested for amendments in the same manner as for the original agreement. Any services, which are not authorized by the original agreement, must be authorized in writing by means of an Additional Service Authorization prior to commencement of the services by the Design Professional. Authorization types include:

Lump Sum - Issued when the exact scope of work can be determined. Lump sum authorizations may only be paid upon the approval of deliverables as established in the authorization, and for which the fee for the deliverable is documented in detail in the proposal.

Not-to-Exceed - Issued when the exact scope of work cannot be easily

determined, cannot be agreed upon, or may require future revisions (e.g. Project Representative, geo technical services). Not-to-exceed authorizations are paid monthly based on a detailed invoice, including time sheets, receipts, etc.

A lump sum authorization must be documented by a detailed proposal per the Professional Services Guide and fees for the services must be released prior to execution of the authorization. The process for requesting, receipt, review, approval, and distribution of an Additional Service Authorizations are covered in Design Professional Additional Service Authorization, PM Task 5.3.

5.2.3 Consultant Evaluations The Consultant Evaluation is a tool to be used by the PM or the Director FP&C when communicated expectations or services have or have not been met. At a minimum, the PM shall perform two evaluations during the consultant’s period of service, one after



completion of the 100% Construction Phase and the other at submission of the Certificate of Substantial Completion in the Contract Administration Phase. This evaluation is performed using the Design Professional Services Evaluation and Appeal Process, PM Task 5.4.

5.3 The Design Phase Process and Approvals The University’s typical design phases are conceptual schematic, schematic, design development, and 50%, 75%, and 100% construction documents. The designer’s requirements for each of these are contained in the FAMU Professional Service Guide which is provided to the Design Professional and is referenced in the Agreement Between the Owner and Design Professional. In addition to spaces, materials, and equipment, the PM must coordinate the design so the final Construction Documents meet the needs of the chosen construction method. The Agreement Between Owner and Design Professional will be an agreement written for a specific method of construction. The Design Professional duties and responsibilities are different in information and structure for construction documents and construction administration depending on the method of construction. All major construction projects are subject to review by the University for conformance to FAMU Standards, building codes, and applicable State of Florida regulations as outlined in, Professional Services Guide, and Section 423, Florida Building Code – State Requirements for Educational Facilities. The Design Phase Submittal Receipt, Review, and Evaluation, PM Task 5.5, process incorporates review comments from the PM, other FP&C staff, User Group Design Committee, as well as other University departments that provide services to the facility (i.e., Environmental Health and Safety, Security, Custodial Services, Plant Operations, Information Technology, and others). All construction documents and shop drawing for projects, including modifications, new construction, rehabilitation and additions are submitted to Environmental Health & Safety and the Building Code Official for conformance reviews. EH&S shall ensure that these documents comply with all applicable fire codes. The coordination of these documents for this review process is found in Design Phases Submittal and Review.

5.3.1 User Group Design Committee

The User Group Design Committee is assigned to assist the PM in the functional design elements of the project. The project PM is responsible for gathering information from the Committee by the coordination of meetings and multiple reviews of drawings and specifications. The PM’s goal is to gather vital information for the Committee, provide technical experience and knowledge to guide the



Committee, and keep the overall scope within the approved Facility Program and construction budget.

The Committee reviews each project in design approximately three times. The three typical reviews by the Committee are: conceptual design, schematic design and design development. Design development is the final review of the project by the Committee. The remaining design process is the technical application for construction of all the project elements previously approved by the Committee. During construction, the PM will schedule periodic walk troughs with the Committee to see the construction progress.

5.3.2 Initial Design Meeting Procedure The PM coordinates a Design-Kick off Meeting with the Design Professional, User Group Design Committee, and campus support service departments. During this meeting, there are introductions, and a general scope of the design process is presented by the Design Professional. Also, the schedule is presented and discussed, and initial issues are presented and discussed.

5.3.3 Conceptual Schematic Design Phase:

The primary objective of the Conceptual Schematic Design Phase is for the Design Professional to review the Facility Program and confirm that the project can be built and occupied for the assigned budget. This early design phase is where the narrative Facility Program starts to evolve into the overall form of a building, its massing, and its placement on the site. This phase also becomes the starting point to identify all requirements for the building, physical, statutory, and administrative. The PM’s responsibility for this phase is to make sure the Design Professional has correct and sufficient information to perform their job under their contract obligations.

5.3.4 Schematic Design Phase:

The primary objective of Schematic Design Phase is to arrive at a clearly defined, feasible concept and to present it in a form that achieves the University’s understanding and acceptance. Although the design is not entirely represented, the schematic drawings can demonstrate basic spaces, scale and relationship of components. The schematic phase adds sufficient detail of the architectural, engineering and site elements for an evaluation of possible problems associated with funding, planning, and code compliance. This is a critical time for the User Group Committee and University support service departments to have input into



the overall project. This phase may require multiple meetings between all parties, individual groups, or individual departments. The secondary objective is to clarify any Facility Program issues, explore the most promising alternative design solutions, and provide a reliable basis for analyzing the cost of the project.

5.3.5 Design Development Documents: The primary purpose of the Design Development phase is to define and describe all important aspects of the project so that all that remains is the formal documentation step of construction contract documents. The phase focuses more on the technical aspects of materials and building systems. Although this phase allows the designer to finalize space and function to a great degree, the primary achievement is to enable the user to understand how the project will function as well as give more detail about what it will look like.

At the end of this phase all spaces should be identified and their square footages established along with all system equipment and materials identified. After Design Development documents are approved, the focus is how to build the facility.

5.3.6 Construction Documents

Construction documents consist of drawings and specifications that describe the quality, configuration, size, and relationship of all components to be incorporated into the project. Specifications are the written description of the construction materials and processes required to complete the project with the drawings serving as the visual complement. Technical review by appropriate departments is imperative at this point in the design process, and their review and comments shall be required by the PM. Emphasis is put into review for constructability and cost of the project. The objective is to provide a clear, concise, and complete set of construction documents. Due to the technical complexity of the Construction Documents and the desire to make them as accurate and complete as possible, the University has separated this phase into three submittal and approval phases, 50%, 75%, and 100%.

5.3.7 Plans Review and Approval by State Fire Marshal The plans for all construction of any new state owned or state lease building and renovation or alteration of any existing state owned or state leased building are subject to review and approval of the Division of State Fire Marshal for compliance with the Uniform Fire Safety Standards prior to commencement of construction or change of occupancy.



The University, as described in the Professional Services Guide, requires all Design Professionals/engineers under contract for major projects to review their designs with the State Fire Marshal (SFM) early in the design process. For every project, upon completion of 100% Construction Documents, the University will submit plans and specifications as described in Plans Review and Approval by State Fire Marshal, PM Task 5.6.

5.3.8 Construction Documents - Approval/Disapproval It is the Design Professional’s responsibility to correct cited mandatories from the previous phase and incorporate them into the next phase submittal. Upon approval of Construction Documents by State Fire Marshal, Building Code Administrator and FP&C, the University is prepared to receive and open bids from a general contractor or accept a guaranteed maximum price from a construction management company. If approval is withheld from Construction Documents, the PM shall see that the Design Professional corrects cited mandatory’s and submits corrected documents back to the PM for approval.

Chapter 7 Bidding and Award


6.0 BIDDING AND AWARD The evaluation and selection of Builders leading to the award of construction contracts is a vital part of the construction process at Florida A&M University. As a PM and employee of the University, you must adhere to the applicable laws of the State of Florida, including but not limited to the Standard of Conduct; as set forth in Chapter 112, Part 3, and Chapter 1013 Florida Statutes; Florida A&M University Board of Trustees Policy, and University Regulations Chapter 6-Purchasing Program. Other than qualification based selection (CM/D-B), the University requires construction projects, services, or commodities exceeding a cost of $75,000 to be publicly advertised and awarded to the “lowest responsible bidder. “Responsible” refers to a prospective bidder’s ability to satisfactorily perform the Work. Selection of the lowest responsible bidder does not require an award to the bidder submitting the lowest dollar bid unless that bidder is qualified and thus deemed to have the ability to satisfactorily perform the Work. Construction projects, services, or commodities $75,000 or less are performed with sealed quotations and do not require the formal bidding process. The University will not assume liability for payment of obligations undertaken, which have not been made in accordance with University policies and procedures and approved by the designated purchasing officers for the University.

6.1 Background

6.2.1 References

Florida Statutes 112, F.S. – Public Officers and Employees 119.071, F.S. - General exemptions from inspection or copying of public records 120.57(3), F.S. – Additional procedures for particular cases 255.05, F.S. - Bond of Builder constructing public buildings; form; action by material men 255.0525, F.S. - Advertising for competitive bids or proposals 286.0113, F.S. - General exemptions from public meetings 287.0935, F.S. - Surety bond insurers 471.003(2)(b), F.S. - Qualifications for practice; exemptions 489, F.S., Contracting 553.79, F.S. - Permits; applications; issuance; inspections 1013.38, F.S. - Boards to ensure that facilities comply with building codes and life safety codes 1013.45(4), F.S. - Educational facilities contracting and construction techniques

Florida Administrative Code



6C-14.007 – Competitive Negotiations 6C.14.020 – University Supervision of Construction Program

State Requirements for Educational Facilities (SREF) Chapter 4, Section 4.1 – Professional Services and Construction Techniques Chapter 4, Section 4.2 – General Contract Procedures

SUS Board of Governors 14.002, Board of Governors Regulations, Definitions 14.020, Board of Governors Regulations, University Supervision of Construction Projects 14.021, Board of Governors Regulations, Procedures for Construction Contract Bidding

and Award 18.003, Board of Governors Regulations, Bonding Requirements 18.001, Board of Governors Regulations, Purchasing Regulations

FAMU Policy and Regulations Board of Trustees - 6.005(12)(c) – Competitive Solicitation Bonds Florida A&M University Regulation – 6.002, Code of Conduct FAMU Purchasing Manual

Tasks and Exhibits Task 6.1 Solicitation and Award (Less Than or Equal to $75,000)

PM Exhibit 6.1A, Minimum Limits of Liability Insurance for Vendor and Builder Services

PM Exhibit 6.1B1, Capital Outlay Implementation Plan (COIP), SAMPLE

PM Exhibit 6.1B2, Minor Projects List, SAMPLE PM Exhibit 6.1C1, Requisition Order Form, SAMPLE PM Exhibit 6.1C2, Requisition Order Form – Change Order, SAMPLE PM Exhibit 6.1D1, Instructions for Writing a Statement of Work or

Mini Specification PM Exhibit 6.1D2, Price Quote Form PM Exhibit 6.1E, Emergency Purchasing Certification PM Exhibit 6.1F, Sole Source Purchasing Certification PM Exhibit 6.1G, Bid/Proposal Tabulation Form, SAMPLE PM Exhibit 6.1H, Procedure Exception Request PM Exhibit 6.1I, Vendor Quotation Confirmation PM Exhibit 6.1J, Facilities Planning & Construction Code of Ethics

Task 6.2 - Solicitation and Award (Greater Than $75,000 and Less Than $2,000,000) Task 6.3 - Execution of Agreement for Major Projects Construction Management (with

Pre-Construction Service) PM Exhibit 6.3A, Request for Pre-construction Services Proposal PM Exhibit 6.3B, General Counsel Memorandum PM Exhibit 6.3C, CM Agreement letter PM Exhibit 6.3D, CM Agreement Memo to University President PM Exhibit 6.4E, CM Agreement Distribution Letter



Task 6.4 - Bidding Procedures for Construction Management – Major Projects PM Exhibit 6.4A, FAMU Guidelines for Self Performance of Work on

Construction Management Project Task 6.5 - Negotiating Guaranteed Maximum Price (GMP) for Construction Manager and

Design-Builders - Major Projects PM Exhibit 6.5A, Labor Burden Checklist PM Exhibit 6.5B, General Counsel Amendment Memorandum PM Exhibit 6.5C, CM or D-B GMP Amendment #1 Letter PM Exhibit 6.5D, President CM or D-B Amendment #1

Memorandum Task 6.6 - Construction Management and Design-Build Amendment for Guaranteed

Maximum Price (GMP) PM Exhibit 6.6A, Guaranteed Maximum Price Recommendation

Transmittal

6.2 Facilities Planning and Construction Monetary Levels for Making a Purchase

Table 1-7 Construction and Facilities Management

Monetary Levels for Competitive Solicitation

Competitive Solicitation of Quotations Administered by FP&C

The three levels of purchasing ($0 up to $75,000) identified below must meet the following requirements:

Shall be performed with a defined written scope of work or specification. Scope of work or specification should include details as to work or product as the project increases in estimated cost or complexity.

Responses to solicitations must be received in sealed envelopes. This requirement is more stringent than Office of Procurement Services requirements.

If the PM determines that commodities/contractual services are available only from a single source or that conditions warrant negotiation on the best terms and conditions, the PM may proceed with the procurement, but only after discussion with the Director of FP&C

The PM shall document the conditions and circumstances used to determine the procurement method for all quotation levels.

Purchases $0 up to $5,000 Shall be carried out using good purchasing practices.

Purchases $5,000 up to $10,000 Shall be carried out using good purchasing practices, but must include two (2) or more written sealed quotations.

Purchase $10,000 up to $75,000 Shall be carried out using good purchasing practices, but must include three (3) or more written sealed quotations.

Competitive Solicitations Administered by the Office of Procurement Services



Purchases $75,000 up to $2,000,000

Shall be awarded pursuant to one of the following competitive solicitation processes: Invitation to Bid Request for Proposal Invitation to Negotiate

Competitive and Qualification Based Solicitations Administered by FP&C

Purchases above $2,000,000

Shall be awarded pursuant to one of the following competitive solicitation processes: Competitive

o Invitation to Bid o Request for Proposal o Request for Qualification

Qualification Based (CM or D-B) Note: Facilities Planning and Construction consider all solicitations, even written quotes, as

competitive solicitations.

6.3 Competitive Solicitations The Office of Facilities Planning and Construction with specific delegated authority may issue solicitations without going through the Office of Procurement Services. As you see from Table 1-7 above, there are several levels and processes to obtain a formal and informal competitive solicitation. The process for each of these levels of purchase is contained in the following Tasks:

Solicitation and Award (Less Than or Equal to $75,000), Task 6.1. These solicitations for written quotations will be administered internally by FP&C.

Solicitation and Award (Greater Than $75,000 and up to $2,000,000), Task 6.2. These solicitations for Invitations to Bid, Request for Proposal, or invitation to Negotiate, will be administered by the Office of Procurement Services.

6.3.1 What are the Different Competitive Solicitations

Written Quote – An unsealed competitive offer based upon a limited scope of work or specification for a material, product, or service under $75,000.

Invitation to Bid Process- An Invitation to Bid (ITB) is used for all purchases when an award can be made based upon price and other specifically defined criteria.

Request for Proposal or invitation to Negotiate Process- Requests for Proposals (RFP) and/or invitations to Negotiate (ITN) are used when specifications cannot be written in a sufficiently specific manner to award based on price, and where other criteria such as experience, service, manner of performance, etc., are to be considered along with price.



6.3.2 Statement of Work and Specifications The PM shall prepare or have prepared a written statement of work or specification for every project, no matter what the estimated value of the solicitation. The degree or quantity of information in the statement of work or specification should relate proportionally to the estimated cost and the material, product, or service being satisfactory for the purpose intended. If your project involves the services of a Design Professional, they shall provide the technical specifications for the project. The service of a licensed Design Professional is required:

If a project is estimated to cost more than $50,000, 1013.45(4), F.S. If a project is estimated to cost more than $10,000, 471.003(2)(b), F.S.

The Office of Procurement Services is available to assist in the development, use, and monitoring of specifications for commodities and services below $75,000. The acquisition of professional architectural, engineering, landscape architectural or land surveying services will be performed by FP&C. To protect the University, Builders are required to furnish a commercial automobile liability, commercial general liability, worker's compensation, builder's risk, and, in addition to payment and performance bonds, a commercial blanket bond and fidelity bond. Professional design errors and omissions are an additional requirement for Design-Builders. These policies protect Florida A&M University and the public from all liability and property damage hazards which may result from the performance of an agreement between the University and the Builder. The payment of such funds shall be the sole responsibility of the Builder. The Minimum Limits of Liability Insurance Guidelines for Vendor and Builder Services, PM Exhibit 6.1A, and the Risk Management and Insurance section of the University General Counsel will assist the PM with the oversight of minimum Builder insurance requirements. Failure to ensure Builders and Design Professionals are maintaining adequate insurance could increase the University's risk or loss in the event of an occurrence causing injury to persons, damage to property, or the Builder defaults on its contractual obligations.

6.3.3 Availability of Funds The PM must confirm that the approved COIP will meet the budget needs for the anticipated fees for the anticipated construction project. Also, the PM must confirm that funds are available for immediate encumbrance of a contract when bids are received. In the absence of established funding at the time needed to encumber contract costs, the construction project may start with time delays.



6.3.4 Advertising All competitive solicitations (quotations, invitations to bid, requests for proposals or invitations to negotiate) shall be in writing and shall not be less stringent than University Regulation 6.005.

6.3.5 Solicitation Opening Solicitations shall be opened publicly at the time, and place designated in the solicitation. The amount of each solicitation and the name of each vendor shall be recorded. If a bidder or Offeror fails to seal his solicitation response, the solicitation response is disqualified. The failure of a respondent to supply information or literature in connection with a competitive solicitation may be grounds for a determination of non-responsiveness with respect to such solicitation. A vendor’s response to an invitation is based on all documents received in their response to the solicitation opening.

In the case of extension errors, unit prices will prevail.

Vendors or any party outside of the University will not be permitted to examine the documents after opening until the notice of final award is announced or 20 days after opening, whichever is earliest. If the University rejects all responses or cancels a solicitation and provides notice of its intent to reissue, such responses are exempt from disclosure in accordance with 119.071 and 286.0113, F.S.

6.3.6 Withdrawal of Solicitations and Cancellation of Awards A vendor may withdraw his or her proposal in writing if done within seventy-two (72) hours of the solicitation opening, if the bid or proposal is clearly erroneous, and it is withdrawn prior to final award or the purchase order being issued. A solicitation may be withdrawn prior to final award or purchase order being issued with written consent of the President or designee when the interest of the University will not be adversely affected by the withdrawal. Any alterations or corrections appearing on responses must be initialed by the vendor's representative prior to opening.

6.3.7 Solicitation Evaluation The Director of FP&C or Director of Procurement Services, in consultation with the evaluation committee, if applicable, shall determine the responsive and qualified responders or proposal based upon the applicable evaluation criteria. No criteria may be used in the solicitation evaluations that are not set forth in the



solicitation.

6.3.8 Receipt of Only One Response When only one response is received in a solicitation, it is the responsibility of the Director of FP&C or Director of Procurement Services to evaluate their response and investigate the reasons, if any, for the receipt of only one response. If it is determined that a second call for quotes/bids/proposals would not be in the best interest of the University, the justification and circumstances are documented, and the Director proceeds with the purchase. If the one response received is over budget, the appropriate Director or designee may negotiate with the single respondent and attempt to agree on a price that is within budget. The requestor shall be advised of this circumstance prior to posting.

If it is determined that a second call for quotes/bids/proposals would be in the best interest of the University, the appropriate Director issues additional solicitations. A single response to a formal bid/proposal exceeding $75,000 is to be documented on a single response affidavit.

6.3.9 Cancellation/Rejections of Competitive Solicitation The University reserves the right to cancel or reject all bids or proposals in whole or part, when it is in the best interest of the University. Such reservation and cancellation shall be made part of the file.

6.3.10 Posting of Tabulations/Award Tabulations with recommended awards will be posted for review by interested parties on the FP&C Bulletin Board or Office of Procurement Services website designated by the University or publicly posted by the Office which issues the competitive solicitation and will remain posted for a period of seventy two (72) hours excluding Saturdays Sundays and University holidays. Failure to file a protest and submit a bond within the time prescribed in Section 120.57, F.S., shall constitute a waiver of proceedings under Chapter 120, F.S. If no protest is received, the notice of award shall be sent with reasonable promptness, in writing, to the qualified and responsive vendor/Builder who meets the requirements, and criteria set forth in the solicitation.

6.3.11 Right to Protest Vendors/Builders who disagree with University purchasing decisions or intended decisions may challenge such determinations in accordance with 120.57(3), F.S



and University Regulations 6.005(9)(k) and (12)(c).

The notice of intent to protest and the formal notice of protest along with a protest bond, University Regulation 6.005(12)(c)-Competitive Solicitation Bonds, are submitted to the Office of Procurement Services, in writing, specifying each ground relied upon, within 72 hours of receiving the bid, by the protesting vendor or Builder. The seventy-two hour (72) period for filing a notice of intent to protest does not include Saturdays, Sundays, or state holidays. A formal written protest must be filed within 10 calendar days after the filing date of the notice of intent to protest if the matter is not resolved. Failure to file a notice of protest or failure to file a formal written protest shall constitute a waiver of proceedings under Chapter 120, F.S.

The Director of Procurements Services or designee is responsible for handling the protests when they are received by the University. Each protest is date-stamped and referred in writing on the same day the protest is received by the Office of Procurement Services to the Office of the General Counsel for handling and further coordination.

Upon receipt of a notice of protest which has been timely filed, the University shall stop the competitive solicitation process or the contract award process until the subject of the protest is resolved by final University action, unless the University President provides written particulars of the facts and circumstances which require the continuance of the bid solicitation process or the contract award process without delay to avoid an immediate and serious danger to the public health, safety or welfare.

6.4 Construction Management and Design-Build In Chapter 4, we selected a CM/D-B firm through a qualification process that will be used for FAMU projects greater than $2,000,000. During that period, the Design Professional or engineer was likely busy developing a project design and working toward the development of construction documents. To place the CM/D-B firm under contract for services and negotiate any pre-construction services, refer to Execution of Agreement for Major Projects Construction Management (with Pre-Construction Service), PM Task 6.3. At this point, in a CM at Risk project, the Design Professional has made all changes to the construction documents as required by the University’s, CM’s, and State Fire Marshal’s review and comments. The documents represent a resolution of all questions of constructability, code compliance, compliance with university standards, and other issues identified during the review of the documents. With construction documents nearing completion, the CM needs to assume the leadership responsibility for obtaining subcontractor bids, obtaining an approved guaranteed maximum price from the University, and awarding contracts to the



subcontractors. To accomplish these tasks, the University has created Bidding Procedures for Construction Management – Major Projects, PM Task 6.4 and Negotiating Guaranteed Maximum Price (GMP) for Construction Manager and Design-Build – Major Projects, Task 6.5. Now the CM can prepare bid documents and issue them to prospective bidders previously approved by the University. The CM conducts a bid opening with the PM and Design Professional in attendance and from the bids prepares a GMP proposal recommending a cost to the University for construction and management of the project.

6.4.1 Availability of Funds The PM must confirm that the approved COIP will meet the budget needs for the anticipated fees for the anticipated construction project. Also, the PM must confirm that funds are available for immediate encumbrance of a contract when bids are received. In the absence of established funding at the time needed to encumber contract costs, the construction project may start with time delays.

6.5 Maintenance of Selection Records

The completed selection evaluation forms together with any notes kept by the Selection Committee members throughout the selection process, correspondence related to the selection and the proposals of the applicant firms shall be filed in FP&C official project file. Documentation of the selection process is extremely important due to the procedures involved in the qualification process. The PM shall make sure the documentation is filed in the official project file to demonstrate or justify the selection process was properly solicited, evaluated, and awarded in accordance with State, SUS Board of Governors, and University policy.



Chapter 7 Code Compliance, Permitting, and Inspections


7.0 CODE COMPLIANCE, PERMITTING, AND INSPECTIONS

Florida law and regulations require that all new buildings constructed and modifications to existing buildings be reviewed and inspected for compliance with adopted building codes and standards. The regulations require all University entities charged with building construction, repair, repair, or modifications on University owned property to submit construction plans and specifications for review by the FAMU Building Code Administrator (BCA). No construction may begin until a building permit has been issued for a project. Minor repairs may be made with the approval of the FAMU BCA without a permit, provided that such repairs shall not violate any of the provisions of the Florida Building Code. For buildings outside of Leon County, the FAMU BCA will coordinate with qualified outside inspection agencies for inspections of construction projects. Plan review will be performed by the FAMU BCA or designee.

7.1 Duties of the Project Managers for Florida Building Code Compliance

There are no direct duties or responsibilities of the PM to obtain a Building Permit, or Certificate of Occupancy at the University. As PM, your duties revolve around:

The coordination between the Design Professional, Builder and the BCA, Making sure the Design Professional and Builder are communicating with the

BCA Making sure the BCA is keeping you informed of project building code design

and construction issues that may affect the schedule and cost of the project The PM shall read and become familiar with the requirements of the Professional Service Guide, Section 7, Code Compliance, Permitting, and Inspections. The following is a summary of project building code requirements:

Architects, Engineers, and University design professionals shall prepare documents in accordance with the requirements of all applicable codes.

The appropriate Builder or Departmental Representative shall forward the construction documents to the FAMU BCA for review.

FAMU BCA shall review the construction documents for code compliance and will return comments to the submitting entity or issue a Letter of Code Compliance.

Chapter 7 Code Compliance, Permitting, and Inspections


The Builder shall apply for the Building Permit. FAMU BCA will review the Building Permit application and issue the permit if all information is supplied, complete, and acceptable.

FAMU BCA, Builder, and PM shall develop an inspection plan. The Builder shall call and request an inspection in accordance with the

inspection plan. FAMU BCA shall perform inspections on request. The Office of the SFM shall be required to inspect all renovations and new

construction at specified intervals of construction, Chapter 633, F.S. The Builder will be responsible for the scheduling of all SFM inspections.

After the building is substantially complete and all required, inspections have been performed, including the SFM, the FAMU BCA will issue the appropriate Certificate of Completion or Certificate of Occupancy.

Chapter 8 Construction Administration


8.0 CONSTRUCTION ADMINISTRATION The objective of the Construction phase is to build the project to drawings and specifications at the level of quality included in the Construction Documents within budget, schedule and the scope defined and approved by the University Board of Trustees. The Builder is responsible for the purchase of all building components included in the contract documents, coordinating their delivery and installation, and facilitating the inspection process to achieve building occupancy. Throughout the course of construction, the PM, Design Professional, and Builder meet, as previously agreed, on-site to report and discuss construction activities, submittal status, budget and schedule, and resolve conflicts and contract document discrepancies. In addition, proposed change order and request for information are discussed and at some point a plan of action to resolve issues is determined and the project is constructed. While the Builder is orchestrating project activity, he is also documenting material, equipment, and labor costs for his monthly request for payment from the University. As the construction process nears its end, completion lists are made, certifications are signed, final pay requests are made, and hopefully, sooner than later, the project is complete and certified for occupancy.

8.1 Background

8.1.1 References

Florida Statutes 255.05, F.S. – Bond of Builder constructing public buildings; form; action by material men 255.20, F.S. – Local bids and contracts for public construction works; specification of state-produced

lumber 255.40, F.S. - Use of asbestos in new public buildings or buildings newly constructed for lease to

governmental entities; prohibition 255.551, through 255.565, F.S. – Asbestos 287.0935, F.S. - Surety bond insurers 287.133, F.S. – Public entity crime; denial or revocation of the right to transact business with public

entities 489.113(4)(c), F.S. – Qualifications for practice; restrictions 553.60 through 553.64, F.S. – Trench Safety Act 1013.48, F.S. - Changes in construction requirements after award of contract

Florida Administrative Code

State Requirements for Educational Facilities (SREF) Chapter 4.2, General Contract Procedures

SUS Board of Governors 14.018, Contracting Authority for construction Contracts 14.020, University Supervision of Construction Program



14.0025, Action Required Prior to Capital Outlay Appropriation 18.003, Bonding Requirements

FAMU Board of Trustees 2005-06, Change Orders for Construction Contracts

Tasks and Exhibits Task 8.1 Construction Administration

PM Exhibit 8.1A, CM/D-B Notice to Proceed Letter PM Exhibit 8.1B, Weekly Status Report PM Exhibit 8.1C, Monthly Project Report PM Exhibit 8.1D, Notice of Preconstruction Meeting PM Exhibit 8.1E, Documentation Required for Application for

Payment PM Exhibit 8.1F, Insurance Coverage Request Form PM Exhibit 8.IG, Inter-Department Substantial Completion PM Exhibit 8.1H, Substantial Completion Checklist PM Exhibit 8.1I, Building Occupancy Notice Memo PM Exhibit 8.1J, Final Completion Checklist

Task 8.2 Identifying and Purchasing Fixtures, Furnishings, and Equipment PM Exhibit 8.2A, Interior Design Consultant Scope of Services for

FF&E PM Exhibit 8.2B, Moving Inventory for Furniture & Equipment PM Exhibit 8.2C, Identification Sheet for Furniture & Equipment

Task 8.3 Moving a Department

8.2 Roles of the Team During the construction phase, the Design Professional will interact with the PM as well as the Builder’s representative. Overall, the construction team is comprised of the Builder, the Design Professional, and the University PM.

The PM has the single-point responsibility for the University and is ultimately responsible for the success of the entire project, budget, adherence to design intent, scope, schedule and the receipt of all required deliverables. The Director, FP&C has the primary authority to act on behalf of University in contractual matters.

For further clarification, the PM is the specialist, inspector, and technical staff person designated to represent the University. The Design Professional is the interpreter of the drawings and specifications and is responsible for project design. During the construction phase, the Design Professional acts in the capacity of an agent of the University, overseeing construction to ensure conformity to construction drawings, specifications, and standards.



The PM is the project team’s primary contact for communicating and coordination with the University and its end-users.

8.3 Project Construction The actual construction of a project is broken down into building permits, subcontractors, scheduling subcontractors, shop drawings, project submissions, and change orders. The PM’s construction phase process with its notification, progress meetings, checklists and certifications is described in Construction Administration, PM Task 8.1.

8.3.1 Building Permits Before construction can begin, the University, as permitting authority, must issue a building permit. Specifications and drawings must be provided by the FAMU BCA along with the application for a Building Permit. Depending upon the size and scope of a project, required soil testing, environmental impact studies, and other necessary testing or studies have been performed, in advance, by the University. Because of these advance studies and the review and approval of the construction documents prior to a permit application; the permit may be issued in a few hours or days, if the Builder meets requirements. University construction projects must follow standards of the Florida Building Code. The FAMU BCA, as inspector, is involved at various construction stages in order to verify that the project is being constructed according to code. The PM and FAMU BCA have different responsibilities, but they coordinate information to make a successful project. The PM shall become familiar with PSG, Section 7, Code Compliance, Permitting, and Inspections.

8.3.2 Subcontractors Subcontractors will range from a one-man operation to nationwide, publicly traded corporations, or divisions of larger corporations, and it is the PM’s duty to meet the level of knowledge or support. Subcontractors are distinguished from general Builders (GC), construction managers (CM), or design-builders (D-B) by their limited scope of work, which usually involves a special skill, trade, knowledge, or ability. Subcontractors, which include plumbers, electricians, framers, and concrete workers, generally enter into contracts with a GC, CM, or D-B and may provide the raw materials used in their specialty areas. The GC, CM or D-B, not the University, pays the subcontractors. Materials purchased by the subcontractors are generally delivered directly to the job site and are the responsibility of the GC, CM or D-B. The subcontractors’ work may either be completed in stages, or it may be continuous and totally dependent on the type of project, contract and method of construction.



8.3.3 Scheduling of Subcontractors The GC, CM or D-B schedules the subcontractor's work so that the construction runs smoothly and is completed on schedule. The GC, CM or D-B is also responsible for scheduling the subcontractor in such a way that one subcontractor does not hold up another. This order on subcontractor sequencing is known as the "critical path." The PM is responsible for monitoring the “critical path” and the overall schedule for timely completion.

8.3.4 Shop Drawings Working drawings include only enough detail to show the GC, CM, or D-B the overall layout of the building. The individual specialty trades and suppliers use working drawings to produce shop drawings for items such as granite finishing, cabinets and countertops, structural steel, etc. Shop drawings detail the specific building components and are usually produced after the final design phase but before or early beginning of the construction phase. Drawings are prepared in accordance with instruction or references in the contract document and forwarded to the Design Professional. The Design Professional is responsible for checking each shop drawing for precise measurements, and for compliance with the construction documents issued to the Builder. It is the responsibility of the PM to make sure proper materials and equipment, as defined in the FAMU Design Standards Manual, are approved as well as keeping the approval process flowing. 8.3.5 Project Submittals Project submittals are an important part of the construction process. Each installed building item must receive the Design Professional’s approval to ensure that the item or product is in conformance with technical specifications. Project submittals illustrate each items intended use, function, method of attachment or installation requirements, and placed-in-service date. The Design Professional also monitors the Builder’s progress and recommends approval to the PM of the progress payments to the Builder. The Design Professional may also make modifications to the building plans as needed, with prior approval of the University. The submission, review, approval, and disapproval of submittals are a continuous flow of both verbal and written communications, and it is up to the PM to make sure everyone is meeting the need of the University while keeping the process flowing. 8.3.6 Change Orders



Change orders are the written contract revisions that increase or decrease the total contract price. Change order documents contain a consecutive change order number, change order date, a description of the change, and the amount, increase or decrease, of the change order cost and/or time. A typical change order evolves through a process of discovery, initiation, review, discussion, negotiation and approval. It is the responsibility of the PM to make sure change orders are timely; costs are fair, and each change resolves the issue.

8.3.7 Furniture, Fixtures, and Equipment (FF&E) FF&E is movable furniture, fixtures or other equipment that has no permanent connection to the structure of a building or utilities. Items such as chairs, desks, filing cabinets, computer equipment, copier, fax machine, telephone equipment is identified and purchase by the University early in the construction phase due to manufacturing and delivery schedules. The identifying and purchasing process is contained in, Identifying and Purchasing Furniture, Fixtures, and Equipment, PM Task 8.2. Most projects require some level of moving related to new FF&E, and that’s when the PM refers to Moving a Department, PM Task 8.3, for guidance.

8.4 Construction Payments All construction contracts extend over a period of time from several months to several years. The order of any business operation is to collect money as soon as work is complete or upon a portion of completion. When a Builder completes a prescribed amount of work, a pay request is made, reviewed and approved by the Design Professional and PM, and the University pays the Builder for the completed work. For most projects, this is a monthly process of payments for completion of portions of a total project. 8.4.1 Specifications for Payment The conditions for contract payments are described in the contract documents and the Professional Services Guide. The Builder submits a request for payment and schedule of values, typically on a monthly basis on forms referenced in the contract documents. The Builder completes the request for payment by listing the total construction cost for each item of work completed to date. The amount previously paid for the work, and the amount accomplished in this billing period are subtracted from the total amount to arrive at the amount of money remaining, minus a retainage for the completion of the work. The Builder submits the request for payment to the Design Professional for review and approval prior to the PM’s review and approval for payment. The Professional Services Guide requires the Builder to break down their previous bid or contract amount into various parts of work. The Design Professional critically reviews the schedule of values prepared by the Builder, and either accepts or



rejects them. The scrutiny of this form is due to the future release of funds that will be used to pay for the progress (and ultimately the completion) of construction. This form also provides the first basis for the construction cost control on a project. The Design Professional has a legal and fiduciary responsibility for the accuracy of the cost allocations. The Design Professional and the PM also want an adequate and timely distribution of funds to ensure smooth progress payments and to ensure that there will be the sufficient funds to pay for the completion of the last portion of the project. In the absence of adequate controls over the monitoring of construction payments, there is an increased risk that the University may overpay for services provided or fail to realize potential cost savings.

8.5 Closeout The goal of the closeout phase is to facilitate the occupancy and turnover of the finished and fully commissioned project to the User Group and Plant Operations and Maintenance Department. Upon receipt of a Certificate of Occupancy or Temporary Certificate of Occupancy from the FAMU BCA, the facility is occupied. The User Group and other service departments are notified, building insurance and maintenance responsibilities start, and the Warranty period begins. After the user's move-in, it continues to be the responsibility of the PM and FP&C staff to complete all jurisdictional, legal and contractual obligations; reconcile the project accounting; evaluate and report the outcomes of the project; conduct warranty reviews 11 months after occupancy; transfer all project records to appropriate departments, and officially retire the project. The closeout phase lasts through the duration of the project warranties (typically one year), but should be financially closed four to six months after the user's move-in. Financial closure requires that all contract work be completed, As-Built Contract Documents received from the Design Professional and submitted to Archives & Records, lien releases filed, final invoices submitted and paid; project accounting reconciled with the universities operating statements; funding surpluses returned, and the Project Account retired.

8.5.1 As-Built Documents After a project is completed, the Design Professional and Builder prepare a set of plans known as the "as built documents." These plans represent exactly how the facility was constructed, and they also incorporate all the changes to the original construction plan. It is very important that the PM utilizes the "As-Built Documents" when reviewing a cost study because these represent the actual construction of the project.

8.5.2 Notice of Partial Completion



In some instances, the University may desire to occupy a portion of the completed building. In this case, the FAMU BCA conducts an inspection to determine if that portion of the facility meets all building codes and is safe to be occupied. If approval is granted, a "Certificate/Notice of Partial Occupancy" is issued.

8.5.3 Certificate of Substantial Completion/Certificate of Occupancy

Substantial Completion refers to a stage of a construction or building project or a designated portion of the project that is sufficiently complete, in accordance with the construction contract documents, so that the owner may use or occupy the building project or designated portion thereof for the intended purpose. The Certificate of Occupancy is issued by the EFAMU BCA, designating a newly completed (or substantially completed) building meets the required health, safety, and code standards and therefore, can be inhabited.

8.5.4 Certificate of Contract Completion The Certificate of Contract Completion is a document certified by the Design Professional and another document certified by the Builder, that the construction project has been completed in accordance with the terms, conditions, and specifications contained in the contract documents.

8.5.5 Design Professional Contract Closeout The University expects the Design Professional to follow up on all final requirements identified during Substantial Completion and resolve any outstanding claims or issues in order to close construction contracts as soon as possible after Substantial Completion. The PM shall push the Design Professional to complete their responsibilities related to closing the facility. The Design Professional’s contract will not be closed until:

All prime construction contracts (for which Design Professional is responsible) are closed.

Record Documents are submitted by Design Professional and accepted by the PM.

When all of the above are complete, the Design Professional may submit its final request for payment. After final payment is approved the PM, with approval of the Director FP&C, will close the Design Professional contract. The PM in consultation with the Associate Director CPM and Director FP&C will then complete the Consultant Performance Evaluation for the Construction Phase. Refer to Professional



Service Guide, Chapter 5.14.3, Design Professional Evaluation Form, PSG Task 5.12 for the performance evaluation process.

8.6 Post Construction

The first year of operations is anything but routine for the User as well as all the service support responsibilities for Plant Operations and Maintenance of a new facility. The priority is to begin program operations in the new facility. During this period, the PM must be responsible for coordinating the completion of all remaining minor items and incomplete work, respond to User Group issues, respond to reported warranty issues, process any remaining closeout items, and make final payment to the Design Professional.

A smooth start-up and first-year operations in a new facility is a blessing for all involved. Good planning a preparation by the User Group, FP&C, and other campus service support departments can make it a reality. Nothing is more frustrating for the User during the first year than constantly working out and trying to work out continuingly rising issues. Some of the items that might smooth out the first year are:

Establishing emergency operating procedures - An excellent source for data and guidance for emergency procedures is the Environmental Health and Safety Department. They would be glad to assist departments establish safety and emergency procedures.

Department operational guidelines - These guidelines would establish uses of space, furnishings, time and place for breaks, use of food and beverages, etc.

Reporting maintenance deficiencies – It is a good idea to assign a specific person and the facility coordinator for the department. This person, as part of their official duties, would be the in-house contact for maintenance or other facility related deficiencies. The facility coordinator would be a point of contact to and from Plant Operations and Maintenance.

8.6.1 Post-Occupancy Evaluation (POE) Post-occupancy evaluation means, quite literally; the evaluation of a facility after the occupants have moved in. Post-occupancy evaluations may encompass any phase of the planning, design, construction, and occupancy cycle. The purpose of the evaluation is twofold; (1) to learn how well the facility meets its intended purpose and what, if any, changes could be made to improve the facility; and (2) to improve the design of future educational facilities. The Post-Occupancy Evaluation Survey Questionnaire, PM Exhibit 8.4A, is provided for the PM to use as an evaluation tool. A Post Occupancy Evaluation involves systematic evaluation of opinions about the facility in use, from the perspective of the people who use them. It assesses how



well buildings match users' needs, and identify ways to improve building design, performance and fitness for purpose. Key features of Post Occupancy Evaluations are:

'Building users are all people with an interest in a building - including staff, managers, customers or clients, visitors, owners, design and maintenance teams, and particular interest groups such as the disabled.

Post Occupancy Evaluation differs significantly from conventional surveys and market research. It uses the direct, unmediated experiences of building users as the basis for evaluating how a building works for its intended use.

Post Occupancy Evaluation can be used for many purposes, including fine tuning new buildings, developing new facilities and managing 'problem' buildings. Universities also find it valuable when establishing maintenance, replacement, purchasing or supply policies; preparing for refurbishment; or selecting accommodation for purchase or rent.

8.6.2 Project Warranty There are generally three levels of guarantee that protect the state after Substantial Completion of the Work:

The Builders’ one-year guarantees of their work as required of the General Conditions, “Warranties”;

Subcontractors, suppliers and manufacturers’ guarantees of specific materials, products or equipment;

The Performance/Payment Bond provided by the Builder (on all State projects except for “Small Projects”). The bond is generally invoked only when a Builder is unresponsive in providing a remedy to a failure, defect or damage.

Defects or deficiencies in the Work are generally first discovered by the University, and the PM maintains a record of discovery and/or occurrence of malfunctions, defects and deficiencies. For issues involving straightforward claims against a warranty, the University initiates follow-up action starting with written, one on one meetings, and finally legal action.

For issues involving a Builder’s performance of work under a construction contract with the University, the PM shall notify the Associate Director CPM, Director FOC, Design Professional, and Builder as soon as the defect is discovered. The PM and FP&C staff will take follow up action with the Builder.

If an issue involves a question of design or performance of Design Professional services, and it cannot be resolved by the PM, the PM shall confer with the Director FP&C who will then notify the Design Professional. FP&C expects the prime Design Professional to be responsive and pro-active in settling issues related to its own work and that of its Sub consultants.



8.6.3 Coordination of Warranty Items Upon receipt of the issues in the building once identified through the assigned building coordinator, the PM will assist Plant Operation and Maintenance in determining the responsible party. Builder response issues are referred to the PM for immediate correction while issues of design are referred to the PM and if applicable, brought to the attention of the Director FP&C for disposition. Plant Operations and Maintenance will be the responsible party in maintaining the facility and holds the warranties; however, the PM and FP&C staff will assist them in helping determine which issues are warranty-related. Other issues of a maintenance nature will be referred back to maintenance or the user as appropriate. In addition, the project team will conduct warranty reviews after the first growing season for landscape and eleven months after occupancy for equipment and other building items. At the end of the standard warranty period the user and Physical Facilities will assume full control of the facility with the FPD project team only addressing the extended warranty and design-related issues.

8.7 Project Accounting Closeout When final payments are completed to the Builder and Design Professional, effort should now concentrate on final financial closeout of the project and distribution of any remaining funds back to the master account. Any remaining consultant contracts, special testing contracts, open purchase orders, or pending authorizations for reimbursement should be completed, paid, and closed. The Assistant Director for Administrative and Fiscal Service should review the project account and produce a list of outstanding project encumbrances. With this list, the Assistant Director for Administrative and Fiscal Service should meet with the Projects PM to determine if the purchase order with the encumbrance is complete. All completed work with encumbrances will be closed and the encumbrance returned to the master account. In an effort to close the account, the Assistant Director for Administrative and Fiscal Service should question each PM, as part of the weekly staff meeting, about their open purchase orders for a closed project.

Tasks Task Documents


PM Tasks