Facilities Project Managers Guide

May 2008

Facilites Project Managers Guide Page 1

TAB L E O F C O N T E N T S

Introduction to the Facilities Project Manager’s Guide ........................................................ 8

Part I: Stakeholders and Roles ............................................................................................ 11

Part II: Project Requests and Approval Process ................................................................. 27

Part III: Project Controls ........................................................................................................ 34

Part IV: Project Process Phases ........................................................................................... 56

Part V: Appendix ................................................................................................................... 75

F O R A S S I S T A N C E I N U S I N G T H I S G U I D E O R T O P R O V I D E C O M M E N T S A N D E D I T S ,

P L E A S E C O N T A C T D O N N A G O S S

Facilities Project Managers Guide Page 2

D E TAI L E D TAB L E O F C O N T E N T S

Introduction to the Facilities Project Manager’s Guide ........................................................ 8

Executive Summary ............................................................................................................................................... 8

How to Locate the Guide ....................................................................................................................................... 8

Summary Overview of this Guide .......................................................................................................................... 9

This Guide and Other Documents ......................................................................................................................... 9

The Cornell Project Management Methodology (CPMM) Guide ....................................................................... 9

The Project Manager’s Toolbox......................................................................................................................... 9

Facilities Services Website and Other Websites ............................................................................................. 10

Part I: Stakeholders and Roles ............................................................................................ 11

Facilities Services: Key Departments ................................................................................................................. 13

Project Team ....................................................................................................................................................... 15

Core Team ....................................................................................................................................................... 15

Executive Group .............................................................................................................................................. 15

Primary Customer ............................................................................................................................................ 15

Project Executive / Director ............................................................................................................................. 16

Project Manager .............................................................................................................................................. 16

Construction Manager ..................................................................................................................................... 16

Project Coordinator .......................................................................................................................................... 16

Project Coordinator Responsibilities ........................................................................................................... 16

Role Agreement .......................................................................................................................................... 17

Cornell Approval Groups ..................................................................................................................................... 18

Consultants and Contractors ............................................................................................................................... 19

Cornell Stakeholders ........................................................................................................................................... 20

Alumni Affairs and Development ..................................................................................................................... 20

Construction Management Office .................................................................................................................... 20

Contracts & Capital Projects Office ................................................................................................................. 21

Cornell Information Technologies .................................................................................................................... 21

Cornell Police................................................................................................................................................... 21

Alumni Affairs and Development ..................................................................................................................... 21

Environmental Compliance and Sustainability Office ...................................................................................... 21

ECOS Checklist .......................................................................................................................................... 22

Environmental Health and Safety .................................................................................................................... 22

Facilities Management ..................................................................................................................................... 22

Maintenance Management .............................................................................................................................. 22

Office of Government and Community Relations Office.................................................................................. 22

Office of the University Counsel ...................................................................................................................... 23

Project Planning and Estimating ..................................................................................................................... 23

Risk Management and Insurance .................................................................................................................... 23

Transportation and Mail Services .................................................................................................................... 23

Treasurer’s Office ............................................................................................................................................ 23

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University Architect .......................................................................................................................................... 23

University Budget Office .................................................................................................................................. 23

University Engineer ......................................................................................................................................... 24

University Planner ........................................................................................................................................... 24

The Roles of the University Planner and University Architect .................................................................... 24

Utilities and Energy Management ................................................................................................................... 24

External Stakeholder Groups............................................................................................................................... 25

Building Inspector and Fire Marshall ............................................................................................................... 25

Community/Neighborhood Associations ......................................................................................................... 25

Planning and Development Boards ................................................................................................................. 25

Other Boards ................................................................................................................................................... 26

Part II: Project Requests and Approval Process ................................................................. 27

Cornell University Approval Process ................................................................................................................... 27

Transaction Authority Policy ................................................................................................................................ 28

The Project Approval Request (PAR) .................................................................................................................. 29

Project Plans.................................................................................................................................................... 29

How to Write a PAR ............................................................................................................................................. 30

Types of PARS ................................................................................................................................................ 30

Concept PAR .............................................................................................................................................. 30

Design PAR ................................................................................................................................................. 30

Construction PAR ........................................................................................................................................ 31

Revised PARS ............................................................................................................................................ 31

Municipal Approval Process ................................................................................................................................ 31

Project Authorization Letter ................................................................................................................................. 33

Letter of Authorization ..................................................................................................................................... 33

Part III: Project Controls ........................................................................................................ 34

Introduction .......................................................................................................................................................... 34

Budget Development ........................................................................................................................................... 34

Budget Planning Phases: Overview ................................................................................................................ 34

Planning Phase ........................................................................................................................................... 34

Design Phase .............................................................................................................................................. 34

Bid Phase .................................................................................................................................................... 34

Construction Phase Cost Tracking ............................................................................................................. 34

Budget Template ............................................................................................................................................. 35

Planning Phase Budget Development ............................................................................................................. 35

Design Phase Budget Development ............................................................................................................... 37

Feasibility Study Phase Budget Development ............................................................................................ 37

Schematic Design (SD) Phase Budget Development ................................................................................. 37

Step 1: Parallel estimate ......................................................................................................................... 37 Step 2: Reconciliation of estimates ........................................................................................................ 37

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Step 3: Allowance Items ......................................................................................................................... 37 Step 4: Value Analysis /Value Engineering (VA/VE) .............................................................................. 37

Design Development (DD) Phase Budget Development ............................................................................ 39

Step 1: Perform a cost/value analysis .................................................................................................... 39 Step 2: VA/VE Items ............................................................................................................................... 39 Step 3: Life Cycle Costs ......................................................................................................................... 39 Step 4: DD Estimate ............................................................................................................................... 39 Step 5: Project Budget Validation ........................................................................................................... 39

Construction Documents Phase Budget Development ............................................................................... 39

Bid Project Phase Budget Development ......................................................................................................... 40

Lump Sum Projects ..................................................................................................................................... 40

Public or Private Bid Openings ................................................................................................................... 40

GMC Projects Negotiations ......................................................................................................................... 40

Bids Exceed Construction Budget .............................................................................................................. 41

Awarding the Project to a Bidder ................................................................................................................ 41

Construction Phase PAR ............................................................................................................................ 41

Construction Phase Cost Tracking .................................................................................................................. 42

Pre-construction .......................................................................................................................................... 42

Construction ................................................................................................................................................ 43

Keep Schedule ....................................................................................................................................... 43 Validate, Track and Monitor Change Orders .......................................................................................... 43 Review for ADA Access Compliance ...................................................................................................... 43 Timely Responses to Contractor ............................................................................................................ 43 Timely Payments .................................................................................................................................... 43 Quality Assurance/Quality Control .......................................................................................................... 43 Monitor Contractor’s Compliance ........................................................................................................... 43

Close-out/Move-in ....................................................................................................................................... 44

Resolve any claims ..................................................................................................................................... 44

Project Contingencies ...................................................................................................................................... 44

Escalation Contingency ............................................................................................................................... 44

Projects with fixed, non-escalating budgets ........................................................................................... 45 Projects with budgets that are allowed to increase with escalation ....................................................... 45

Design Contingency .................................................................................................................................... 46

Design Contingency for Design Phase of Budget .................................................................................. 46

Construction Contingency ........................................................................................................................... 46

Errors and Omissions ............................................................................................................................. 47 Unforeseen Conditions ........................................................................................................................... 47 Scope/Program Change ......................................................................................................................... 47

Capital Project Funding Plan ............................................................................................................................... 50

Schedule Development ........................................................................................................................................ 50

Contractual Agreements ...................................................................................................................................... 50

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Design Agreements ......................................................................................................................................... 51

Project Manager Issues Request for Proposal (RFP) ................................................................................. 51

Project Manager Presents Proposals to C&CP .......................................................................................... 51

C&CP Reviews Proposal ............................................................................................................................ 51

Types of Design Agreements ...................................................................................................................... 52

Construction Agreements ................................................................................................................................ 53

Types of Construction Contracts ............................................................................................................ 53

Invoices and Payment Applications ..................................................................................................................... 54

Setting up an Account ..................................................................................................................................... 54

Receipt of Invoice in C&CP ............................................................................................................................. 54

C&CP Review of Invoice ................................................................................................................................. 54

Construction Manager Reviews....................................................................................................................... 54

Project Coordinator Review ............................................................................................................................. 54

Approval by PM and Return to C&CP ............................................................................................................. 54

CC&P Requests Payment by DFA .................................................................................................................. 55

Project Over Budget ........................................................................................................................................ 55

Project Manager’s Report ................................................................................................................................ 55

Financial Reviews and Reporting ........................................................................................................................ 55

Projects over $5 Million ................................................................................................................................... 55

Projects under $5 Million ................................................................................................................................. 55

Part IV: Project Process Phases ........................................................................................... 56

Project Delivery Flow Chart ................................................................................................................................. 56

Planning Phase .................................................................................................................................................... 57

Goal ................................................................................................................................................................. 57

Deliverables ..................................................................................................................................................... 57

Client Responsibilities ..................................................................................................................................... 57

PM Responsibilities ......................................................................................................................................... 57

Steps ................................................................................................................................................................ 58

Initiate Project ............................................................................................................................................. 58

Review Project Plan .................................................................................................................................... 58

Create Project Team ................................................................................................................................... 58

Create Project Space Program ................................................................................................................... 58

Site Selection (new construction only) ........................................................................................................ 59

Consultant Selection ................................................................................................................................... 59

Decide need for either Concept Study and/or Feasibility Study ................................................................. 59

Project Formulation ..................................................................................................................................... 60

Primary Customer Approval ........................................................................................................................ 60

Planning Phase Approval ................................................................................................................................ 61

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Design Phases ..................................................................................................................................................... 62

Schematic Design (SD) ................................................................................................................................... 62

Deliverables ................................................................................................................................................ 62

Process ....................................................................................................................................................... 63

Schematic Design Approvals ...................................................................................................................... 64

Design Development (DD) ............................................................................................................................... 64

Deliverables ................................................................................................................................................ 64

Process ....................................................................................................................................................... 64

Design Development Approvals .................................................................................................................. 65

Construction Contract Documents (CD) .......................................................................................................... 65

Deliverables: ............................................................................................................................................... 65

Process ....................................................................................................................................................... 65

Construction Documents Approvals ............................................................................................................ 66

Bid Phase............................................................................................................................................................. 66

Deliverables ..................................................................................................................................................... 66

Process ............................................................................................................................................................ 66

Bid Phase Approvals ....................................................................................................................................... 67

Construction Phase ............................................................................................................................................. 67

Site Preparation / Mobilization ......................................................................................................................... 67

Construction..................................................................................................................................................... 67

Deliverables ................................................................................................................................................ 67

Close-out/Move-in ........................................................................................................................................... 68

Deliverables ................................................................................................................................................ 68

Process ....................................................................................................................................................... 68

Obstacles to Closing a Project Account .......................................................................................................... 69

Resources ........................................................................................................................................................ 69

Risk Management in Project Management .......................................................................................................... 71

Assess Financial Risk ...................................................................................................................................... 71

Outline Legal Relationships: Design Phase/Have Clear Contracts ............................................................... 71

Oversee Aspects of the Claims Process ......................................................................................................... 72

Three Types of Claims ................................................................................................................................ 73

Workers Compensation .......................................................................................................................... 73 Liability .................................................................................................................................................... 73 Property Damage Liability Claims .......................................................................................................... 74 Property .................................................................................................................................................. 74

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Part V: Appendix ................................................................................................................... 75

Sample Matrix for Project Coordinator (PC) Responsibilities .............................................................................. 76

Sample Project Manager and Construction Manager and Project Coordinator Duties and Responsibilities ..... 79

Sample Role Agreement ...................................................................................................................................... 82

Sample Revised Par ............................................................................................................................................ 84

Construction Contingencies Exposures ............................................................................................................... 89

GMC Systems ...................................................................................................................................................... 90

GMC Cost of Work (Current Bidding Climate) ..................................................................................................... 91

GMC GC’s............................................................................................................................................................ 93

Sample Budget Sheet .......................................................................................................................................... 96

Sample Budget: Building Cost ............................................................................................................................. 98

Sample Budget : $110 Million .............................................................................................................................. 99

Sample Budget: $154 vs. $140 Million .............................................................................................................. 104

Sample Project Plan .......................................................................................................................................... 109

Sample Feasibility Study ................................................................................................................................... 114

Sample SD VE ................................................................................................................................................... 127

Sample SD Cost Strategy .................................................................................................................................. 133

Sample Design Development Value Engineering ............................................................................................ 135

Sample Construction Development 50 Value Engineering ............................................................................... 150

Sample Change Order Letter............................................................................................................................. 162

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Introduction to the Facilities Project Manager’s Guide

Executive Summary

The Facilities Project Manager’s Guide is designed to support the Capital Project Delivery Process Guide by providing the ―how to‖ of Project Management for capital projects at Cornell University. It is written for Project Managers.

The Capital Project Delivery Process Guide describes the ―what‖ of Project Management, and was written to provide better clarity of the process for project development for clients and users outside Facilities Services.

The Facilities Project Manager’s Guide describes the process for managing large capital projects overseen by Facilities Services; it also provides guidelines common to all capital projects. Small projects may have a very different structure than large projects. Project size and difficulty depend on the desired program, scope of work, and the complexity of the space in which it is to be constructed. Renovation projects are also addressed, to some degree, in this guide.

How to Locate the Guide

Go to www.fs.cornell.edu

From the drop down box under Policies and Procedures, select ―Facilities Manager Project Managers Guide.‖

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Summary Overview of this Guide

The Facilities’ Project Manager’s Guide is organized into four parts.

Part I describes the role of Facilities Services in capital project execution and the list of stakeholders that participate in the process along with their principle roles.

Part II describes the project requests and approval process at Cornell.

Part III describes project controls. Presented separately to emphasize its importance, the controls section describes the systems the University has designed to control the project budget and schedule, and presents an overview of the contract tools used to define the relationship between Cornell and the consultants and contractors that work for us.

Part IV outlines how projects are managed and presents the phases of a typical project and describes what happens in each phase.

This Guide and Other Documents

In addition to this document and the Cornell Project Delivery Guide mentioned above, there are two additional reference tools available to assist project managers when leading projects:

The Cornell Project Management Methodology Guide (CPMM)

The Project Manager’s Toolbox.

The Cornell Project Management Methodology (CPMM) Guide

The CPMM website is located at http://projectmanagement.cornell.edu/

The guide can be found at this web address:

http://www.cit.cornell.edu/computer/robohelp/cpmm/cpmm_guidebook.htm

The website contains useful tools such as templates, training announcements, and document examples. Although Facilities Project Managers typically have the training and knowledge covered in this guide, these resources are still valuable for Project Managers who want to refresh and refine their knowledge.

The Project Manager’s Toolbox

The Project Manager’s Toolbox is the archive for past PM trainings delivered by Facilities Services PM Toolbox team. These materials can be found at

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http://www.fs.cornell.edu/fs/PMT/default.cfm

Throughout this guide we will reference the various trainings that have been offered and archived as they relate to a particular topic.

Facilities Services Website and Other Websites

Throughout this guide, there will be references to the Facilities Services web site http://www.fs.cornell.edu. Many topics are explained in detail under the Resources and the Procedures drop-down boxes. For instance, the Project Manager’s Toolbox page found in the Resources list provides a library of resources for capital project planning and processes that was created specifically for project managers across the University.

This guide will point the reader to other various web sites, such as Environmental Health and Safety, or the City of Ithaca, that have relevant information on how to perform the tasks outlined in this guide.

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Part I: Stakeholders and Roles One of the most important responsibilities of the Project Manager is to identify the key stakeholders for a capital project. The stakeholders listed in this guide include

Facilities Services

Project Team

Cornell Approval Groups

Consultants and Contractors

Cornell Stakeholders

External Stakeholders

The organizational diagram below shows most of the participants in the execution of Cornell’s capital projects. The Core Project Team carries the project from its inception through completion and works with internal and external stakeholders to ensure that their needs are met across the University and in the community.

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Cornell StakeholdersPDC’s Construction Management Contracts & Capital Projects

Cornell Information Technology Cornell Police

Environmental Compliance Office Facilities Management

Government and Community Affairs Office of the University Counsel

PDC’s Project Planning and Estimating

Risk Management Transportation and Mail Services

Treasurer’s Office University Architect

University Engineer University Planner

Utilities & Energy Management

Consultants and

Contractors

Cornell Approval Groups

Core TeamExecutive Group

Primary Customer

Project Executive/Director

Project Manager

Construction Manager

Project Coordinator

External Stakeholder GroupsCity, State and Federal Agencies

Building Inspector

Planning and Development Boards

Other Boards

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Facilities Services: Key Departments

Facilities Services is an administrative support division that includes many of the departments typically involved in capital projects. In this section, we will briefly outline some of these key departments and their roles in capital projects:

Contracts & Capital Projects

Contract Colleges Facilities

Facilities Management

Planning, Design and Construction

Office of the University Architect

Utilities and Energy Management

The Office of the Vice President, Facilities Services serves Cornell through the planning, design, construction, operation and ongoing maintenance of University facilities. All of the departments in Facilities Services may participate as stakeholders in the Project Delivery Process. Two of the departments, Contract Colleges Facilities and Planning, Design and

Construction, play a central role in the management of projects for customers outside the Facilities Services Division. Contracts & Capital Projects also plays a central role in executing the contracts and administering the payments associated with the contracts. The role of these three departments, along with others, in the execution of Cornell’s capital projects is summarized below.

The Contracts & Capital Projects Office (C&CP) has two primary functions:

The formation and management of facilities-related contracts;

The financial tracking support for Project Managers who manage capital projects. Contract formation and management services typically include contracts for architectural/engineering design, consulting services, testing services, renovations and construction services for both capital and non-capital projects.

Financial support includes invoice processing and project tracking to monitor the financial status of projects in support of Project Managers who are responsible for capital projects. Further, this office provides regular project status report summaries to the Buildings & Properties Committee of the Board of Trustees.

The Contracts & Capital Projects Office is funded as an enterprise and charges both on an hourly rate and on a lump sum basis for its services.

The Contract Colleges Facilities Office (CCF) manages the Contract Colleges Capital Plan including project development, initiation, and execution. They facilitate the management of State University Construction Fund (SUCF) projects and provide project management for College and University funded capital projects for the Contract Colleges (State campus). The Contract Colleges Facilities Office is funded by an appropriation.

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Project Design and Construction (PDC) provides project management services for general building and renovation projects in its Science and Technology and Architectural sections. Projects that are somewhat trade specific, such as a mechanical upgrade or structural repair, are generally managed in one of the PDC Engineering sections. PDC is funded as an enterprise and bills on an hourly rate for project management services.

Project Planning and Estimating (PP&E) is often the first point of contact when considering a renovation or small project. This group provides estimates for work and architectural design services that in most cases are constructed by the PDC Shops. Projects that are constructed by the PDC Shops may be managed within one of the Shops or by one of the aforementioned sections.

PDC also includes a Construction Management section that specializes in the management of the construction phase of our medium and large building projects.

The Campus Planning Office and the University Architect become involved in any new building project and any other project that impact the physical campus of the University. See the PM Toolbox training: The Campus Planning office in Capital Projects.

Maintenance Management provides an ADA Coordination function that serves to assist Project Managers in the ADA accessibility implications of their projects. For every project, Project Managers should conduct a preliminary review to determine what, if any, elements will impact accessibility in the interim (construction) or long term for their project. If their projects have implications for accessibility in either the short or long terms, the ADA Coordinator should be involved. If it is unclear if there are any elements for accessibility, consultation with the ADA Coordinator for determination is recommended.

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Project Team

Core Team

Executive Group

Primary Customer

Project Executive / Director

Project Manager

Construction Manager

Project Coordinator

The Core Team for a project includes, at a minimum, the Primary Customer and the Project Manager. The Core Team may also include a Construction Manager, a Project Coordinator, a Project Director and others who are directly involved with the project. The Core Team may report to an Executive Group.

Executive Group

Larger, more complex projects (e.g., new buildings, laboratory renovations) often have an Executive Group. The Executive Group makes strategic project decisions that don’t require approval by the senior University administrators who represent the Capital Funding and Priorities Committee (CF&PC) or the Buildings and Properties Committee (B&P) of the Board of Trustees, and makes recommendations for decisions that do require such approvals. The group stays informed of project progress and challenges, and provide guidance to the Core Team. The Executive Group is selected by and may be chaired by the Executive Vice President for Finance and Administration. Alternatively the Group may be chaired by the Dean or Vice President of the College or Division sponsoring the project.

Other members typically include the following:

The Department Directors who will use or administer the new space;

Someone from the Office of Planning and Budget , if central University funds are involved;

The Vice President for Facilities Services or the Director of Project Design and Construction;

Others associated with the project.

The Core Project Team acts as staff to support the Executive Group, and may provide the agenda for the meetings. When properly configured and chaired, the Executive Group provides a valuable forum for debating and resolving project issues and establishing strategic project goals and direction.

Primary Customer

The Primary Customer establishes the desired program (scope) and works with the Project Manager to define schedule and budget for the project. The Primary Customer may be the

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eventual user of the finished project, or may be acting on behalf of the user. The Primary Customer may be an individual or a group of people. If the latter, the Primary Customer group is encouraged to identify a single individual to work with the Project Manager and serve as program manager.

Project Executive / Director

Construction programs consisting of a series of capital projects or a very complex single project (e.g. residential initiatives, new science buildings), may have a Project Executive/Director (PE/PD). The purpose of this position is to ensure that the sequence of capital projects are coordinated and meet the overall scope, schedule and budget goals of the University. The PE/PD is generally a senior staff member in the Facilities Services Division and serves to guide the project team.

Project Manager

The principle responsibility of the Project Manager is to deliver the project within the scope, schedule, and budget agreed to by all of the stakeholders of the project. The Project Manager may delegate tasks to other project team members, but still retains the responsibility for project success. One of the key responsibilities of the Project Manager is to communicate and consult with all of the various stakeholders. In one of the sections below in this guide, you will find the numerous project stakeholders who may have a stake in capital projects. The Project Manager is responsible for including those stakeholders relevant to the project, and establishing a balance between the sometimes conflicting goals of project stakeholders and between the various elements of the project (scope, schedule, budget, etc.).

Construction Manager

Larger projects (>$2M) typically use the services of a Construction Manager (CM) who manages the construction phase of the project and who is the single point of contact for the Contractor. The split of project tasks between the Project Manager and Construction Manager is not fixed; however, the Project Manager retains responsibility for the overall success of the project, budget and design.

Project Coordinator

Larger projects typically have a Project Coordinator (PC) who assists the Project Manager. PCs also manage projects that range in value from $50,000 to $500,000 having the same responsibilities as a Project Manager. The PC provides both administrative support to the project team, and technical support to the project. PCs play a major role in large and small projects, from inception of the project through to close-out.

Project Coordinator Responsibilities

The PC Matrix is a sample guide for the roles and responsibilities of each of the three levels of Project Coordinator (PC1, PC2, and PC 3). The roles may be assigned differently for each project and depending on the expereineces of thos involved. They may also change as the project progresses.

See: Sample Matrix for Project Coordinator (PC) Responsibilities

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Role Agreement

The Project Manager, Construction Manager and Project Coordinator project team should start with "PM-CM-PC Responsibility agreement in which they agree on roles.

Below are samples of how the Project Manager (PM) , Project Coordinator (PC), and in the first sample, the Construction Manager (CM) can create a clear understanding of what role each plays in a project. Each project will be unique, so please use this as a guide.

See Sample Role Agreement

See Sample Project Manager and Construction Manager and Project Coordinator Duties and Responsibilities

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Cornell Approval Groups

The PM is responsible for coordinating timely authorizations and approvals of the various phases of the project with the following Approval Groups:

Executive Vice President for Finance and Administration (EVP) or Provost ;

Capital Funding and Priorities Committee (CF&PC - members include Senior Administration of the University);

Buildings and Properties Committee (B&P - a committee of the Board of Trustees).

The Project Approval Request (PAR) is the principle document for seeking authorizations and approvals. (See Part II of this guide.) A PAR is required for any capital project with a total project budget greater than $50,000. The approvals required for a project are dependent on the total budget.

PROJECT IS AUTHORIZED/APPROVED WHEN….

TOTAL COST

OF PROJECT

PAR signature list complete

Capital Funding and Priorities Committee

approves (CF&PC)

Buildings and Properties Committee

(B&P) and Executive Committee (funding/financing) approves

$50K- $500K (Referred to as a Signature PAR.)

$500K - $5M

> $5M

See Part II: Project Requests and Approval Process to learn more about the different types of PARS and how to fill them out.

See Part II: Project Requests and Approval Process for more on the approval process.

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Consultants and Contractors

Cornell’s facility capital projects are

generally designed by architectural and engineering consultants (A/E);

built by contractors, with the construction managed by construction managers.

The Project Manager is responsible for insuring that

the A/E and contractors are selected using approved processes .

appropriate contract documents are executed

the work of the A/E and contractor is properly managed.

The Project Manager is generally the University’s point person with the A/E.

As mentioned above, the CM serves as point person for the contractor.

Note:

PDC has an in-house design group that provides A/E services for renovation projects up to about $1M.

The PDC Shops occasionally compete for construction of projects up to about $1M.

See the FS website for more on architect/engineer procurement process. Also see the PM Toolbox training, Architect-Engineer Procurement.

See the Quality control section below for proper management of contractors. Also see the Contractor Qualifications information.

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Cornell Stakeholders

Cornell has numerous departments and individuals who play a role in our capital projects. The PM is responsible for including them as appropriate to the project. Possible stakeholders are:

Alumni Affairs

Construction Management Office

Contracts & Capital Projects Office

Cornell Information Technologies

Cornell Police

Environmental Compliance and Sustainability Office

Environmental Health and Safety

Facilities Management

Government and Community Relations Office

Maintenance Management

Office of the University Counsel

Project Planning and Estimating

Risk Management

Transportation and Mail Services

Treasurer’s Office

University Architect

University Budget Office

University Engineer

University Planner

Utilities and Energy Management

Alumni Affairs and Development

Construction Management Office

PDC’s Construction Management Office includes construction managers and project coordinators who manage contractors and construction phase activities. Individuals in the Construction Management Office are frequently members of the project Core Team. The Director of Construction Management is also responsible for leading the contractor selection process for PDC-managed projects. Core Teams work with the Director to select pre-construction contractors, construction managers, general contractor bidders’ lists, and to develop a construction delivery strategy.

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Contracts & Capital Projects Office

Most projects that involve hiring companies to provide labor for design, construction and renovation work require execution of a contract, as opposed to a purchase order which is used for procurement of supplies and/or materials. The C&CP Office writes the University’s contracts. The C&CP Office also administers the Capital Project System, an accounting system that tracks PAR authorizations, budget allocations, and commitments/expenditures associated with capital projects.

Cornell Information Technologies

Cornell Invormation Technologies (CIT) can play one of three roles in a facilities project:

Construction Standards: CIT authors construction standards and works with designers on the design of IT systems, including telecommunication rooms and raceway systems.

Installation and Maintenance: CIT installs and maintains telecommunication equipment and software across campus and/or manages installation of these systems by contractors.

AV Consulting: CIT provides an audio/visual consulting group that helps project teams and consultants specify, install and commission high tech A/V systems.

See PMT Trainings Communications Wiring, Phone Services and Data Services and Total Technology Integration.

Cornell Police

Cornell Police participate in projects when the following are being addressed:

building security system design

electronic access

video surveillance

intrusion alarm

locations for Blue Light telephones

movement of large construction-related vehicles across campus roadways.

Alumni Affairs and Development

Please see the Alumni Affairs and Development web site for information on this stakeholder.

Environmental Compliance and Sustainability Office

The Environmental Compliance and Sustainability Office (ECOS) provides three distinct services to project teams:

They are available to lead or support the Municipal Site Plan Approval process, including preparation of environmental assessment forms and presentations to municipal approval groups.

They assist in making sure completed projects comply with various State and Federal regulations concerning the protection of air and water resources.

They oversee construction phase preparation and compliance with storm water pollution protection regulations and assist with the LEED certification process.

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For information on the Green Buildings Oversight Committee, contact the Services Team at ECOS.

See Cornell’s Environmental Compliance and Voluntary Environmental Initiatives

See Cornell’s Green Building Guidelines

ECOS Checklist

To better understand how ECOS interacts with capital projects, see the checklist on its website.

PMs are encouraged to fill out this checklist to help them determine what needs to be considered with respect to environmental compliance issues for their projects.

Environmental Health and Safety

Environmental Health and Safety (EH&S) provides four distinct services to project teams.

The Lab Safety group provides advice and review of construction documents for lab projects.

The Fire Protection group provides advice for sprinkler and fire alarm systems.

Document Review for overall code compliance, and assistance with abatement of asbestos and hazardous materials.

EH&S can help with the oversight of construction site safety and review contractor safety plans.

See Your Project and EH&S and EH&S and Construction Services in the PMT Training.

Facilities Management

Facilities Management (FM) provides maintenance and custodial care for academic buildings and grounds care for the overall campus. They provide advice and review of construction documents regarding maintainability of building and site elements of the project. They also provide advice to project managers regarding the forecasted operating and maintenance costs that must be identified and included in Section 8 of PAR’s.

Maintenance Management

Project managers are encouraged to take advantage of collaboration with the ADA Coordinator within Maintenance Management for all projects planned. This is available to Project Managers to ensure ADA compliance for every project on Campus.

Office of Government and Community Relations Office

The Office of Government and Community Relations must be involved in the project for all municipal approvals or when the project is of interest to Cornell’s neighbors. Examples include projects that involve construction on the perimeter of campus, that make a noticeable change in vehicular traffic flow on surrounding streets, or that have other noticeable environmental impact.

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Office of the University Counsel

Office of the University Counsel represents Cornell’s interests with regard to municipal law and the impact on the community and the University. Projects requiring zoning variances or having complex site plan approval processes should involve the University Counsel.

Project Planning and Estimating

PDC’s PP&E Office provides project plans, cost estimates, design services and project management for projects intended for execution by the PDC Shops. When not occupied in design work intended for the Shops, PP&E is available to prepare architectural designs for bid.

The Manager of PP&E also chairs regular meetings with the City and Town Building Departments.

Core Teams are encouraged to use the PP&E venue to initiate discussions with the City and Town Building Departments.

See the PM Toolbox training on Permits.

Risk Management and Insurance

The Risk Management and Insurance Department makes decisions regarding required levels and types of insurance for consultants and contractors, and also analyzes the fiscal health of those companies. See more information on Risk Management in Project Management below.

Transportation and Mail Services

Transportation and Mail Services works with project teams to identify parking resources both for contractors and to support the finished project. See the Transportation Infrastructure Charge Policy in the Cornell Project Delivery Process, Appendix M.

Treasurer’s Office

The University Treasurer (Treasury Management Services):

Arranges debt financing for projects as necessary.

Should be consulted on the source of funding for projects that may have an effect on historic/cultural resources. Projects using State of New York funds or State-issued bonds will trigger review by the NYS Historic Preservation Office.

University Architect

The University Architecht (UA):

Leads the architect selection process. (See also PM Toolbox for more on architect selection.)

Serves as steward for all architectural matters, including working with the University Planner in the site selection process.

Makes presentations at CF&PC and B&P for approval of project concept and design.

University Budget Office

Please see this University Budget Office web site for information about this stakeholder.

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University Engineer

The University Engineer ( UE ):

Works with designers to develop concepts for engineered systems.

Maintains the Cornell Design and Construction Standards

Ensures that construction documents comply with the Design and Construction Standards and other standards of quality. In this role, the UE

o meets with the A/E early in the development of the design,

o reviews design documents.

University Planner

The University Planner ( UP):

Brings the campus-wide planning context to bear upon the individual project and plays a major role in site selection.

Advises on the long-term planning impacts of siting decisions, both from the University’s perspective as well as from the community’s and ensures that decisions are consistent with existing plans.

Writes the Site Development Guidelines (formely called ―Site Criteria‖) for new construction projects. (See CPDP, Appendix C).

Presents selected sites for approval to the CF&PC .

The Roles of the University Planner and University Architect

Here is what the Project Manager needs to know regarding the responsibilities of the University Architect and the University Planner

UNIVERSITY ARCHITECT UNIVERSITY PLANNER

New buildings Site selection for new building

Building expansions Landscaping, mapping, signage

Exterior building changes Other site design

Major interior building changes Land use questions

Building aesthetics Open space use questions

Exterior building finish or other changes Site Development Guidelines

University Architect Selection leadership Planning consultant selection leadership

Utilities and Energy Management

Utilities and Energy Management has two principle functions:

They work with project teams to identify utility construction methods, including metering systems and connections to the various campus distribution networks.

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They provide advice and review of construction documents for energy saving initiatives.

See Energy Management and Utilities Customer Relations - Construction Projects

External Stakeholder Groups

The project team is responsible for acquiring approvals of the following groups external to the University.

Note that the Cornell central campus occupies one county and three municipalities.

Tompkins County

City of Ithaca

Town of Ithaca

Village of Cayuga Heights

In some instances the Village of Lansing and the Town of Dryden may be involved.

Each has unique procedures for permitting and site plan review. The following is intended to be a very general overview of these processes.

Building Inspector and Fire Marshall

The Building Inspector generally works with the project team and the Architect/Engineer during design of the project to prepare a strategy for code compliance. The Building Inspector may include the Fire Marshall to gain consensus on things such issues as fire truck access to the project site, design of fire protection systems, and proposals for handling flammable materials.

Although Cornell’s contractors generally apply for building permits and arrange for inspections themselves, most jobs require the Project Manager to facilitate discussions and resolution of code issues during construction and project close-out phases.

Community/Neighborhood Associations

Cornell’s campus is surrounded by many neighborhoods, each of which has an association of homeowners. Cornell’s Office of Government and Community Relations normally arranges for meetings with these groups as appropriate to keep them informed of projects near their neighborhoods.

Planning and Development Boards

As mentioned above, Cornell’s central campus in Ithaca occupies Tompkins County and three municipalities (City and Town of Ithaca, Village of Cayuga Heights).

Each has a unique Environmental Quality Review and Site Plan Review and approval process, and the PM is responsible for ensuring the timely engagement of the various staff and planning board groups. See ECOS’s Environmental and Local Approvals Resource (ELAR) site for information. Also see the PM Toolbox training called ―ELAR Website Review‖.

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Other Boards

These include zoning boards for projects requiring some form of variance. The City of Ithaca has an Ithaca Landmarks Preservation Commission that must approve projects in the City that affect historic resources that are Designated Landmarks and Designated Historical Districts.

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Part II: Project Requests and Approval Process

Cornell University Approval Process

Building maintenance, renovation and new construction projects with total costs exceeding $50K are designated as capital projects.

The Transaction Authority Policy - Procedure for Processing Facilities Projects establishes cost thresholds and associated approvals.

Schedules for Capital Funding and Priorities Committee (CF&PC) and Building and Properties Committee (B&P) meetings are published by the Vice President for Facilities Services office each summer for the upcoming academic year, and include dates for submission of enabling documents.

PMs should note that all requests and presentations to the Buildings and Properties Committee (B&P) must first be authorized by the Capital Funding and Priorities Committee (CF&PC)

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Transaction Authority Policy

Procedure for Processing Facilities Projects

As adopted by the Executive Committee of the Board of Trustees, March 2, 2005. This can also be

found at http://www.fs.cornell.edu/fs/IR/fs_ta_facility.cfm (Transaction Authority Policy & Procedure

For Processing Facilities Projects)

Project Approval Transaction Authority

$50,000 to $500,000 † Executive Vice President for Finance and Administration or Provost

$500,000 - $5,000,000 † CF&PC

$5,000,000 and beyond: New Construction

Architect Selection CF&PC

Project Concept * Buildings and Properties Committee

Project Design ** Buildings and Properties Committee

Project Construction ^ Buildings and Properties Committee

Financing Executive Committee

$5,000,000 and beyond: Major Renovation

Architect Selection CF&PC

Budget Buildings and Properties Committee

Financing Executive Committee (Investment and Development Committees as appropriate)

Annual Campus Plan Buildings and Properties Committee and Board

Annual Operating & Capital Plan Board

† The B&P Committee may also review any project that significantly changes the outward appearance of a building or

area within the core campus.

* Includes a description of the functional program to be satisfied, a general description of the scope of construction,

citation of the key project schedule milestones, and the major components of a preliminary budget. For new structures,

Project Concept approval may also include review of criteria for the placement of the structure upon a site.

** Design approval includes a review of the schematic or design development documents that illustrate the layout,

massing and exterior appearance of the facility within the context of its site. Also included is an updated planning

budget based upon a refined definition of the project scope and delivery schedule.

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^ Construction approval authorizes construction of the final project scope defined by the construction documents and

specifications. The final project budget is reviewed for the recommendation to the Executive Committee for approval.

The Project Approval Request (PAR)

The PAR is the principle enabling document for capital projects. The purpose of the PAR is to provide information about the project to the project approvers, including the primary customers, and to confirm their agreement with the information provided.

The electronic PAR Approval Process is available online.

In general, Project Managers prepare PARs. The Project Manager places his or her name on the front page of the PAR, and is the person responsible for the overall execution of the project.

PARs are submitted through CCF, FM or PDC, or directly to the VP Facilities Services office, to be entered into the ePAR system to circulate for signature. This also ensures the project is included on the CF&PC/B&P agendas as appropriate.

The approval of a capital project is accomplished by getting full sign-off of the PAR signature page, and approval by CF&PC and B&P, as applicable.

The PAR template lists specific directions for the creation of the PAR, as well as details on who should be included in the signature page.

Project managers are encouraged to become familiar with the schedules for CF&PC and B&P. (For the most recent project approval calendar and the schedules for CF&PC and B&P approvals, see Project Approval Calendars in Information and Resources)

CF&PC meets monthly

B & P meets seven times a year, in September, October, December, January, March, May and June.

See How to Write a PAR below, and the various types of PARs.

Project Managers for State-funded and Contract Colleges projects should consult with the CCF office to obtain the slightly different PAR template and coordinate with their schedule due dates for submittal. Its PAR template is located under Get Things Done on CCF’s home page. Please note the CCF approval calendar that this section provides.

Project Plans

Project Managers are encouraged to write a Project Plan for projects requiring approval by CF&PC. The Project Plan uses the PAR template and describes the overall project purpose and scope, and an estimated schedule, and budget. Project Plans may be combined with PARs requesting approval to begin design work, or for large projects for approval to begin planning. See a Sample Project Plan.

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How to Write a PAR

The PAR is the first approval needed in order for a project to take the next step in the planning phase. See Initiate Project in Part IV.

In the Cornell Project Management Methodology Guide (CPMM), which is a general introduction to project management, the PAR is referred to as a PIP. (Project Initiation Plan).

Types of PARS

In the Plan/Design/Bid/Construct Model used at Cornell, the PM might generate PARs throughout the various phases of the project. There are three general phases of a project: Planning, Design, and Construction. The most often used PARs for each phase include:

Concept PAR

A Concept PAR is used during the Planning Phase and may include the following:

Fleshing out alternatives

Outlining the major Alternatives Considered and Why Rejected

See below Part IV: for more on the Concept Study.

Design PAR

The description of the scope in a Design PAR may include this type of language:

Create design

Design layout

o See Section 3.3 of CPDP Guide, page 36ff.

When the PM outlines the scope of work during the Design Phase with the client, she/he should refer to the Owner/Architect Agreement Schedule G. This contract includes what architects and engineers are required to provide during the design phase.

The PM may want to split the design phase into three PARs:

Schematic Design PAR

Design Development PAR

Construction Documents and Bid PAR

Each of these PARs is a milestone in the design process.

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Construction PAR

The scope of a Construction PAR may include these terms:

Demolish…

Construct…

Provide (furnish and install)…

See Section 3.5 of CPDP Guide page 39ff.

Revised PARS

On an infrequent basis it is necessary to revise a PAR. This may be due to a change in the project scope, schedule, or budget. Revised PARs follow the same procedures and pathways as the original PAR. An effective way to write a revised PAR is to use the text of the original and insert changes in bold type. This allows the reviewers to readily see the changes from what they had originally approved. See Sample Revised PAR.

Revised PARs are submitted for the following cases:

1) To request an increase in the approved project budget;

2) For revisions to the project’s scope of work;

3) For project schedule changes due to unforeseen issues/conditions that occurred during the current phase (design or construction) of the project.

Municipal Approval Process

Local Municipalities

The requirements for municipal approval and permitting vary by municipality. Portions of Cornell’s main campus fall into the jurisdiction of the:

o City of Ithaca

o Town of Ithaca

o Village of Cayuga Heights.

Projects off of the main campus may also be in the:

o Town of Dryden

o Town of Lansing

o other municipalities

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State-funded and/or State-owned Buildings

Projects funded by the State University Construction Fund (SUCF) or performed in a state-owned building are not subject to approval by the local municipality, but instead are reviewed and approved by the Code Enforcement Officer in the Contract Colleges Facilities Office.

New York State Building Code and Local Code Ordinances

All but very small projects require a building permit issued by the municipality in which the project is located. A prerequisite to obtaining a permit is the demonstration to the building inspector that the project meets applicable requirements of the New York State Building Code and local codes and ordinances.

Building Inspector / Fire Department

The Project Manager is responsible for arranging communication between the designers of the project and the building inspector. These meetings may also include a representative from the fire department and from Cornell’s Environmental Health and Safety group. PDC’s Project Planning and Estimating group meets regularly with both the City and Town of Ithaca Building Departments. Project managers are encouraged to use these meetings to initiate discussions on new projects.

Municipal Site Plan Approval

Projects that change the exterior appearance of the campus generally require site plan approval from the municipality in which the project is located. Municipal Site Plan Approval is a multi-step process that includes

an environmental quality review and

Preliminary and final site plan review and approval.

The project manager is responsible for moving the project through these processes and including stakeholders as appropriate to the project.

Municipal Approvals

As with Cornell’s internal approvals, the Project Manager must include time for municipal approvals in the overall project schedule. Projects under SUCF or CCF Code Authority are exempt from Municipal site plan review, but courtesy presentations are sometimes given.

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Project Authorization Letter

Once a project has been authorized/approved by the appropriate group and all signatures are complete in the ePAR system, the Office of the Vice President for Facilities Services issues a Project Authorization Letter (See the sample in the CPDP, Appendix, Item O).

This letter serves as the vehicle for Contracts and Capital Projects to request an account from the Division of Financial Affairs and proceed with the issuance of contracts for the project. Without this documentation, the C&CP office does not have authorization to proceed or incur expenses for the project. No project may start without a written contract.

Letter of Authorization

Under certain circumstances, a project contract may commence with a Letter of Authorization (LOA) signed by the Vice President for Facilities Services or Executive Vice President for Finance and Administration, depending on the dollar amount requested. A LOA is a contractual document that authorizes a consultant or contractor to proceed with a fixed scope of work and to expend a fixed dollar amount which sum shall then be included in their contract.

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Part III: Project Controls

Introduction

This section describes Project Controls. Project Controls exist to help insure projects are efficiently organized and executed in a manner consistent with sound business practices.

Controls exist for the following areas of project management:

Budget Development

Funding Plan

Schedule Development

Contracts

Invoices and Payment Applications

Financial Reviews and Reporting

Budget Development

Budget Planning Phases: Overview

Planning Phase

The Project Manager, working with the Core Team, develops an initial model for the overall project budget during the Planning Phase, using benchmark data and the Project Budget Template. See CPDP Guide Item L. (Disclaimer: Please note that at this time, the budget model provided here does not match up with the Project Manager’s report produced for the project.).

Design Phase

The Project Manager develops and refines the budget model as the project proceeds through the Design Phase.

Bid Phase

Construction Phase Cost Tracking

During the Construction Phase, or project execution phase, the Project Manager updates the budget model at least monthly, including approved amounts, paid amounts to date, and forecast amounts, for each line of the budget model.

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Budget Template

Budget development, tracking and control are primary responsibilities of the Project Manager.

The main subcategories of project costs from the Project Budget Template are:

1. Construction 2. Planning & Design 3. Furniture, Fixtures & Equipment (FFE) 4. Project Support 5. Transportation Assessment (if applicable. See Appendix, Item M, in CPDP Guide) 6. Project Management 7. Project Contingency

The definitions of the above budget lines are provided in the Appendix of the CPDP Guide, Item L. (Disclaimer: Please note that at this time, the budget model provided here does not match up with the Project Manager’s report produced for the project.)

Planning Phase Budget Development

The development of a Planning Budget can start with either:

the selection of a desired budget number, from which a corresponding range for project/program scope can be derived, or

a program scope, from which a budget range can be derived.

In either case a key deliverable for the Project Team is to establish a range of typical unit ($/sf) construction costs and a ratio of construction costs to total project cost.

Estimations of unit construction cost are based on a preliminary understanding of the program and site, and selection of appropriate benchmark projects for comparative purposes. The Project Team will select representative projects at Cornell and, if possible, at other institutions, to establish a range of unit $/SF construction costs.

The Project Manager will also work with the core team to identify any unusual project ―soft‖ costs. For purposes of the initial Planning Budget, the ratio of construction cost to total project cost at the beginning of a project is generally in the range of 2/3 to 3/4, and depends on the anticipated level of the soft costs.

Soft costs are all costs not incorporated in the finished building; they are the expenses other than bricks and mortar incurred in developing a building project. Lines 2.0 (Planning and Design), 4.0 (Project Support), 5.0 (Transportation Assessment) are budget line items for soft costs. 1.0 (Construction) and 3.0 (FF&E) may also show soft costs for suchs things as quality assurance services.

The following table lists the soft cost budget lines and a range of typical percentages of project cost.

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LOW HIGH

Planning and Design 10% 16%

Fixtures, Furnishing and Equipment 2% 6%

Project Support 2% 8%

Transportation Assessment 2% 2% See CPDP Guide Appendix, M

Project Management 2% 6%

Contingency 8% 10%

Building efficiency is another important factor in establishing the relationship between program size and construction cost. The ratio of net program area to building gross area is normally in the range of 55% to 65%.

Remember that the cost per square foot is proportional to efficiency; the higher the efficiency, the greater the cost per gross square foot.

Relationship Between Area Efficiency (NASF/GSF) and Cost Per GSF

NASF GSF Efficiency Cost/GSF Total Cost

80,000 160,000 50% $ 200 $ 32,000,000

80,000 153,846 52% $ 205 $ 31,538,462

80,000 145,455 55% $ 211 $ 30,690,909

80,000 140,351 57% $ 218 $ 30,596,491

80,000 133,333 60% $ 225 $ 30,000,000

80,000 129,032 62% $ 230 $ 29,677,419

Note: It's not easy to increase efficiency. The program and mechanical space are the costlliest spaces.

As efficiency increases, it's the less costly space that's being reduced.

Please note that un-programmed space includes

entrance areas

attics

mechanical rooms

lavatories

corridors

stairways

space within walls

―left-over‖ spaces that occur in a building design.

To estimate archiving fees, see Worksheet for Computation of Capital Project Fees (projects $50K or

greater)

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Design Phase Budget Development

Feasibility Study Phase Budget Development

A feasibility study can be quickly done for some projects, but significant projects usually require a feasibility / concept study. Using the preliminary program requirements for the project, an ―order of magnitude‖ planning budget will be developed by the Core Team. See sample feasibility study.

During this phase of the project a range of project costs, e.g., design fees, management fees, construction estimate, should be used. This range of costs will be further refined as the design progresses.

Realistic contingencies to account for unforeseen circumstances during the development of the project should be established. These tend to be substantial at this stage of project development.

The product of a feasibility phase is the Schematic Design PAR and the budget for this phase, discussed next.

Schematic Design (SD) Phase Budget Development

An important objective at the end of the feasibility study is to develop a Schematic Design phase project budget for the project scope that fully meets the program requirements. The project budget should only require slight adjustments after the end of this phase if the scope of the project does not change.

The Core Team should follow these steps to develop the SD budget:

Step 1: Parallel estimate

In addition to the SD cost estimate provided by the design consultant as part of their contract, an independent cost estimating professional should be used to furnish a second, parallel cost estimate of the proposed work. The estimates should utilize similar formats so that they can be easily compared.

Step 2: Reconciliation of estimates

To the extent possible, both estimators must reconcile the two cost estimates to ensure that they both include the same scope of work. The result of this reconciliation is the determination of a budget for the project.

Step 3: Allowance Items

Identify, and budget for, those items that will be carried in the budget as ―allowance‖ items. Such things as furniture, special user equipment, audio-video equipment, special furnishings, etc., may fall into this category. This allowance will represent the not-to-exceed amount for these items.

Step 4: Value Analysis /Value Engineering (VA/VE)

Earned Value Management (EVM) is a project management technique that measures project progress objectively. EVM has the unique ability to combine measurements of technical performance (i.e., accomplishment of planned work), schedule performance

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(i.e., behind/ahead of schedule), and cost performance (i.e., under/over budget) within a single integrated methodology. EVM provides an early warning of performance problems while there is time for corrective action. In addition, EVM improves the definition of project scope, prevents scope creep, communicates objective progress to stakeholders, and keeps the project team focused on achieving progress.

This process is a rigorous one, in which the project manager attempts to deliver project scope at a lower cost. The Project Manager’s responsibility is to consider life cycle costs. In this process, called ―value analysis / value engineering‖ (VA/VE), the core team, impacted stakeholders, and appropriate experts need be invited to review and accept decisions.

VA/VE is one of the first steps in the Earned Value Management process, which is designed to test and validate cost estimates. The team will identify a long list of items to consider, if estimates exceed the target budget established during the Feasibility Planning Phase. It is strongly recommended that the Project Manager manage the project at or below the maximum range of costs for the design at this phase, before moving on to Design Development. It will become increasingly more difficult (and costly) to identify significant cost savings as the design moves toward completion.

See PM Toolbox training Life Cycle Costing in Value Engineering

See Sample SD VE

Sample SD Cost Strategy.

At the end of Schematic Design, the project budget and program should be aligned and the final budget should be approved.

If the budget and the scope do not yet align, the team will return to the SD process to make the adjustments necessary to get the project scope and budget in alignment before proceeding to the Design Development phase of work.

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Design Development (DD) Phase Budget Development

Step 1: Perform a cost/value analysis

The selected service provider of pre-construction services may perform this analysis which allows the contractors to review the design and propose alternatives that could result in additional cost savings. Design options must be decided on so that the design may progress including the lowest cost systems/assemblies that meet the stated design criteria. This step is a follow up to the cost/value analysis that was conducted at the end of Schematic Design.

Step 2: VA/VE Items

Determine a comprehensive list of VA/VE items to be considered through the subsequent design and bid phase. Even if the budget estimate shows the project aligns, this will not be certain until after bids have been secured and analyzed. See sample DD VE.

Step 3: Life Cycle Costs

Cornell’s project teams are required to design for minimum life cycle costs. Core Teams will consult with Cornell stakeholders (for instance, Maintenance Management, Utilities, and other Facilities Services groups) to solicit their participation in design decisions regarding life-cycle costs, durability and maintainability.

See the PM Toolbox training Life Cycle Costing in Value Engineering.

Step 4: DD Estimate

Perform a DD estimate at the end of the Design Development Phase along with an optional parallel estimate from an independent, professional cost-estimating firm as deemed necessary by the Project Manager. This estimate should have a consistent format with schedule of values in the budget template so that useful forecasting statistics can be maintained.

Step 5: Project Budget Validation

Validate the Project Budget with the DD estimate. At this phase of design, the range of costs must be narrowed to a fairly certain Project Budget target that will carry through the Construction Document/Bid Phase.

Construction Documents Phase Budget Development

The design must not change during this phase.

Alternates to the base bid design must be finalized and agreed to by the Core Team.

Alternates are often developed during the Construction Documents (CD) phase to estimate the costs of specific scope elements or to identify scope that can be deleted from the project in the event that the bids exceed the budget.

Separating items provides a clear means for cost benefit analysis of options that would enlarge or shrink the building program, according to the available project budget.

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A final CD cost estimate is prepared at the end of this design phase.

A contractor selected to perform pre-construction services will review the construction documents to validate the final cost estimate and to help avoid potential bid cost over runs.

Perform final budget reconciliation just prior to bid. Ensure that the selected alternates will allow a construction contract to be issued.

Bid Project Phase Budget Development

The Contracts & Capital Projects Office (C&CP) is responsible to uphold the integrity of the bid process for all construction projects at the University.

For all projects, the Architect /Engineer provide the Technical Requirements (specifications and drawings).

The Core Project Team edits Cornell’s General Requirements to represent the specific circumstances of the project, and provides both the Technical and General Requirements to the Contracts & Capital Projects Office.

C&CP prepares Instructions to Bidders, Bid Forms and Cornell’s General Conditions with assistance from the PM as requested.

C&CP issues the resulting bid documents and administers all flow of paper and information associated with the bid, including conducting the bid opening.

o See in the CPDP, Appendix G, Bid Document Package, and Appendix H, General Conditions and General Requirements.

o See C&CP web page Pricing your Construction Project .

Lump Sum Projects

On lump sum projects, the bids from the invited general contractors are received by C&CP and analyzed with the Core Team.

Public or Private Bid Openings

Bid openings are typically public. However, private openings may be held at the discretion of the Contracts & Capital Projects Office. (State-funded Project must conduct a public bid opening).

If a qualified bid is within the Project Budget, a contractor may be selected for the work.

GMC Projects Negotiations

When the form of contract is Guaranteed Maximum Cost (GMC) the Core Team and the Contracts & Capital Projects Office will negotiate General Conditions, General Requirements (which can be found in the CPDP, Appendix H), contractor fee, and other contractual terms with the selected general contractor. See PM Toolbox Training Negotiations for Project Managers and Fixed Price Audit Program.

All work will be competitively bid by the selected general contractor, and the result will be a negotiated guaranteed maximum cost for the work, that is within the project budget.

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GMC may be used when there is a challenging project schedule or a highly technical or complex project.

The GMC delivery method allows the owner, contractor and design team to work together to save time during construction.

o See the GMC Cost of Work spreadsheet for estimating.

o See Appendix for examples of GMC documents and spreadsheets:

GMC Systems

GMC Cost of Work (Current Bidding Climate)

GMC GC’s

Bids Exceed Construction Budget

If all bids exceed the construction budget, conduct a scope review and/or value engineering (cost saving) session to determine if the project can be completed within the approved construction budget. This is sometimes referred to as ―de-scoping the bidder‖.

De-scoping the bidder is the process the Project Manager uses to reassure herself that the contractor has provided a responsible bid and has priced the project for the scope of work the contractor was asked to bid on. The Project Manager might sit down with the contractor and review the responsibilities of the contractor in order to confirm explicitly what the contractor is responsible for in the bid scope.

Awarding the Project to a Bidder

On a Lump Sum project, award is made on the basis of low base bid or project specific criteria. Once this selection has been made, alternate pricing is then taken into consideration.

State-funded projects are awarded on the basis of base bid plus alternates in sequential order.

A contract is then awarded by the Contracts & Capital Projects Office.

Prior to award, the Core Team considers and makes decisions as to incorporation of all acceptable VA/VE suggestions made by the selected contractor.

See the PM Toolbox Training Bidding a Project.

See sample budgets.

Construction Phase PAR

The Construction Phase PAR is finalized with the construction budget fixed, including contingency. Funds are authorized.

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Construction Phase Cost Tracking

Construction phase Project Contingency is generally set at 10% of the value of the

construction contract. During the Construction Phase, the Project Manager and Construction Manager are responsible for

administering the intent of the construction agreement

monitoring progress

ensuring conformance to plans and specifications

quality control

payment application approvals

pending items

controlling the budget

Pre-construction

The Project Manager should implement effective processes of communication between the Core Team, design consultant and contractor.

See PM Toolbox Training:

o Projects Communications Plan

o Managing Expectations

o Project Communications

o Project Communications Checklist (use this as a model)

o The Project Manager is responsible for conducting a pre-construction meeting per the terms of the Agreement.

Prior to a contractor mobilizing on site, a contract must be fully executed and all contractual requirements for insurance, bonding, etc., as specified in the Contract must be in place. Project-specific methods for addressing such things as Change Orders, answering questions related to the work and control of payments are discussed. See Risk Management below.

Minimize or eliminate the occurrence of ―scope creep‖. Contingency funds are not to be used for discretionary design changes or scope items not specifically defined in the PAR.

The Project Manager and Construction Manager develop an expedited means to review/approve submittals, and monitor it carefully. Coordination of trades and site logistics must be expedited, as well, by the Construction Manager.

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Construction

Keep Schedule

The Construction Manager keeps to current published schedule.

The Project Manager and Construction Manager avoid discretionary changes to the design at this phase. Changes made now carry a severe cost penalty.

Validate, Track and Monitor Change Orders

o The Project manager and Construction Manager validate all Change Orders in a timely manner including the processing of contractual change orders. Document the cause of all Change Orders ( e.g., field conditions, design errors and omissions, owner initiated program change).

o Keep an accurate, current Change Order log and insure Change Order costs are added to/deducted from the Master Project Budget Model.

o See C&CP website for information on change orders.

o See Sample Change Order letter.

Review for ADA Access Compliance

Project Managers should -keep an accurate review of partners consulted on access review, as well as have conversations with architects and Cornell University staff on access elements.

Timely Responses to Contractor

Make sure there is always a timely response to all requests by the Contractor.

Adopt an effective system to manage and document this flow of information.

Timely Payments

Make timely payments. See invoice payment.

Quality Assurance/Quality Control

Implement a Quality Assurance/Quality Control system during the Construction Phase. See PM Toolbox training Quality Control, Inspections and Commissioning. Also, see next section.

Monitor Contractor’s Compliance

Continue to monitor Contractor’s compliance with contractual submissions. Many different Cornell stakeholders can play a role in monitoring compliance. The Cornell shops, structural engineers, designers, project team, EH&S, clients, the commissioning agent, Maintenance Management, are examples of groups who can provide input into compliance of the contractor.

See PM Toolbox training for contractor compliance and quality assurance topics

Energy Management Tools

Facilities Project Managers Guide Page 44

LEED Rating System at Cornell

Quality Control, Inspections & Commissioning

Testing & Inspection Services

Your Project and Environment Health and Safety

Close-out/Move-in

During this phase of the project, the Project Manager should promptly initiate the financial close-out of all Project commitments. This will avoid accumulation of unnecessary administrative costs to the Project.

Resolve any claims

The Project Manager should resolve any claims. See Risk Management. Morever, this is a good time to advise other Project Teams of any lessons learned and/or innovations that could be used in the future.

Project Contingencies

Capital building project budgets carry three types of contingencies:

Escalation

Design

Construction

Escalation Contingency

Escalation Contingency adjusts the project budget model for changes in the cost of construction, caused by increases in labor costs and volatility/increases in material costs, and inflation of the other budget lines over time.

Escalation Contingency must be considered for projects lasting over a year.

The following guidelines apply to the use of cost escalation in project budgets.

o Project budget models should list a separate line for escalation for each of the six major budget categories. Construction cost estimates from our pre-construction estimators should break escalation out separately and the same factor used to escalate the construction estimate to the bid date should be used in the Construction section of the project budget.

o Escalation factors will probably be different for each of the project budget sections. For example:

The Planning and Design section might not escalate once the A/E fee has been negotiated.

Project Management costs will escalate with increases in the enterprise billing rates.

Construction costs will escalate per the anticipated conditions in the local construction market.

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Projects with fixed, non-escalating budgets

o Projects with fixed, non-escalating budgets are more sensitive to volatile construction escalation than projects that are allowed to escalate.

o Fixed budget projects require the project team to estimate future escalation figures at the start of the project, and then adjust the scope if the escalation estimates are wrong.

o Scope adjustment can be very difficult, especially late in the design phase of the project. Consequently fixed budget projects require a more conservative approach to picking escalation figures, i.e., they have a larger escalation contingency.

o The intent of fixed project budgets is to emphasize preservation of project budget over scope.

o The preferred method for building the project budget is to structure the budget model at each project milestone cost estimate (i.e., Concept, SD, DD 50%DD), assuming immediate construction start. Then an escalation contingency factor is applied to each of the main budget subcategories to arrive at the total project cost. Finally the scope is adjusted as required to match the estimated total project cost to the budget. Escalation contingency applied to the construction line should come from the construction cost estimators working on the project, in concert with the Project Team.

o Finally the scope must be adjusted as required to match the estimated total project cost to the budget. Escalation contingency applied to the construction line should come from the construction cost estimators working on the project, in concert with the Project Team.

o Projects with fixed, nonescalating bugets should include bid alternates that may be taken in the event that escalation assumptions are inadequate. Development of a strategy for use of alternates is particularly important if the project budget is non-escalating.

Projects with budgets that are allowed to increase with escalation

o Projects with budgets that are allowed to increase with escalation are easier to match scope with cost than projects with fixed budgets, because there is less risk from faulty escalation assumptions.

o The concept is that, if you can afford the project now, you will be able to afford it in the future because you are protected from escalation, except in circumstances where the escalation is so extreme, the project becomes unaffordable.

o For projects with budgets that are allowed to escalate, the starting budget is allowed to escalate from the project approval date (the date the project base budget is set) to the start of construction.

o The intent of escalating project budgets is to emphasize preservation of project scope over budget.

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o Escalating project budget models can be structured in the same manner as non-escalating projects except the escalation contingencies are treated as additions to the project budget.

o The purpose of the escalation contingency is to provide an estimate of the eventual total project cost.

Design Contingency

Design Contingency is used in the design phase of a project in acknowledgement that, until the design is completed, the construction cost estimate is based on incomplete information.

The following guidelines apply to use of Design Contingency in project budgets.

Design Contingency for Design Phase of Budget

Design phase Project Contingency is used during the design phase of the project to pay for things such as

o increases in A/E fees due to program changes,

o complications in the site plan review process, or

o delays in the project during which the project team continues to work and bill its time.

The Design Contingency belongs in the construction section of the budget. Funds are moved from the Design Contingency line into the construction line to pay for scope that is identified as the design progresses.

There is no need for a Design Contingency when using unit square foot costs to benchmark the cost of a proposed project during the Planning phase. The proposed project is being compared to an existing facility that is complete.

The Design Contingency should be set at 10% to 15% of the construction cost-of-work amount in cost estimates during the planning or feasibility stage of a project. Projects typically carry

o 10% at the end of Schematic Design,

o 5% at the end of Design Development, and

o 2.5% at the 50% construction document estimate.

o Design Contingency is 0% when the design is complete and ready for bid.

Construction Contingency

Construction phase Project Contingency is generally set at 10% of the value of the

construction contract. Project contingency is used during the construction phase for some of the above reasons, as well as for the following possibilities:

o unforeseen expenses in areas such as underperforming value engineering initiatives,

o quality assurance inspections

o added commissioning costs. See sample budgets.

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o allowances or alternates to the construction contract

o Factory Mutual (insurance) or Building Inspector requirements identified during construction.

Use of the contingency for these items is generally determined by the Project Manager with input from the Construction Manager.

Project Contingency is also used during the construction phase to pay for three general categories of cost increases related to the construction contract:

o Errors and Omissions

o Unforeseen Conditions

o Scope / Project Changed

Errors and Omissions

Errors and Omissions (E&O) in the design documents are defined this way:

o Errors occur when the designer makes mistakes in the contract documents; e.g. specifying a 32‖ wide door when a 36‖ door is required.

o Omissions occur when the designer neglects to put something in the contract documents that should have been there; e.g. forgetting to put a door where one is needed.

Unforeseen Conditions

Unforeseen conditions occur when the architect or contractor had no way of anticipating a job site condition that affects the project. For example, in a renovation project the contractor may discover a structural problem in the building when a wall is opened up. Another example is the contractor doing an excavation and encountering a utility line that was not on the construction documents and not on the Owner’s utility maps. In each case, no one is responsible for not having addressed the condition in the construction documents and Cornell must pay to fix the problem.

Responsibility: E & O and Unforeseen Conditions

The Project Manager is responsible for determining use of contingency in the E&O and Unforeseen Conditions categories.

Project teams frequently encounter circumstances at the conclusion of a project, when the building is newly occupied and problems arise as a result of the dissatisfaction of certain occupants or stakeholders. For example, the occupant of an office might want an extra data outlet, or a piece of mechanical equipment may prove to be unreliable, even though it was purchased and installed according to the contract documents. The Project Manager is responsible for post-construction contingency use when it falls into the E&O and Unforeseen Conditions categories.

Scope/Program Change

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Scope or program changes occur when Cornell makes a change to the scope of the project after the work has been bid and awarded. It is important to note that discretionary changes to the project after construction has begun are strongly discouraged.

Although Project Contingency is not intended for scope/program changes during the construction phase, these changes are sometimes unavoidable.

Typically there is an executive committee comprised of the Project Manager and the PDC Director; there may also be a a central admininistrative representative and the program representatives. This group discusses options and makes a recommendation on the use of contingency. At the next level--VP Facilities— s/he will probably insist on bringing forward a PAR to approve the use. For example, on the Life Sciences Technology Building project, the PAR's have noted the use of contingency and asked for backup in that amount if the project goes over budget.

Responsibility: Scope / Program Change

Requests to spend construction contingency on Scope/Program change require the authorization of the

VP for Facilities Services, the person representing the source of the funding, and, depending on

the size of the change, CF&PC.

When large projects are involved, the Executive Committee should make timely decisions on the use of contingency for scope changes.

A Construction Contingency Worksheet for exposures is available for project managers.

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BUDGET

TYPE OF

CONTINGENCY PLANNING DESIGN CONSTRUCTION

ESCALATION The Planning and Design section might not escalate once the A/E fee has been negotiated.

Project Management costs will escalate with increases in the enterprise billing rates.

Construction costs will escalate per the anticipated conditions in the local construction market.

DESIGN 10% to 15% of the construction cost-of-work amount in cost estimates during the planning or feasibility stage of a project.

10% of the cost of the design fee for each phase

--10% at the end of Schematic Design,

--5% at the end of Design Development, and

--2.5% at the 50% construction document estimate.

Design Contingency is 0% when the design is complete and ready for bid.

The Design Contingency belongs in the construction section

CONSTRUCTION 10% of the value of the construction contract.

Errors and

Omissions

Unforeseen

Conditions

Scope / Project

Changed

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Capital Project Funding Plan

Each capital project is required to have a funding plan, identifying

the source(s) of funding for project costs,

the need for debt financing and

the source of repayment of debt service (principal and interest).

This funding/financing plan is the responsibility of the business manager or similar position within the unit that is providing the project funding.

Funding sources, including identification of account numbers, must have sufficient funds available to cover the project cost or an explanation of where funding will ultimately come from. If debt financing is needed to cover project cost, either on a short-term, bridge basis or long-term, permanent basis, the unit business manager is to work with the University’s Director of Debt on the loan terms and loan application process.

Project funding to come from gifts must have backup listing the gifts raised for the project, payments received, and a schedule of anticipated payments on outstanding gift pledges.

Schedule Development

Schedule development and update is another principal responsibility of the Project Manager. The contractor provides the schedule to the Project Manager.

A properly designed schedule includes

each phase of design work with time for design review

cost estimating milestones

associated redesign periods if needed,

bid or buy-out period,

construction period, and

internal and municipal approvals.

The duration of a typical project that experiences no unusual delays, from start of initial programming through move-in of users, ranges from 6-8 months for a smaller project designed and built by PDC, to five or six years for a large laboratory building.

See PM Toolbox training Construction Scheduling

Contractual Agreements

After a consultant or contractor has been selected for a project, and prior to start of design or construction work, the terms and conditions surrounding the execution of the work must be documented in a Contractual Agreement.

Cornell’s Office of Contracts & Capital Projects (C&CP) maintains Cornell’s contractual instruments and develops all Contractual Agreements between the University and its consultants and contractors. The Project Manager is responsible for working with Contracts &

Facilities Project Managers Guide Page 51

Capital Projects on modification of the contract instrument to meet the specific requirements of the project.

Design Agreements

Project Manager Issues Request for Proposal (RFP)

The Project Manger issues the RFP. In order for a contract to be executed with a consultant, the consultant needs to have responded to a Request for Proposal which includes

o a description of the services requested,

o the deliverables and schedule requirements, and

o a copy of Cornell’s A/E agreement (see page 8) which allows the consultant to respond to the RFP with an understanding of the terms of the proposed contract.

o The University Architect is also involved in the selection of an architect for the project.

Project Manager Presents Proposals to C&CP

The Project Manager should review thoroughly (but not sign) proposals from consultants to ensure that all required work has been addressed and that no fees are included for services that are not requested (alternate pricing options may be identified) and present the resulting proposal to Contracts & Capital Projects for consideration in the preparation of a contract.

C&CP Reviews Proposal

Contracts & Capital Projects will review the proposal to make sure that it is consistent with the stipulations within the proposed contract.

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Types of Design Agreements

DOCUMENT

NAME USE BACK-

UP LIMIT

Owner/Architect Agreement (Short Form)

Short Form (limited)

Short form (full service)

Professional Design Fees and Services

None Less than $100,000 in Professional Fees

Owner/Architect Agreement

See Long form

Professional Design Fees and Services

None Greater than $100,000 in Professional Fees

Preconstruction Services Agreement

Preconstruction Fees and Services

None No Limit

See Design Agreements.

See Blanket A/E Agreements.

See relevant sections in PMToolbox Architectect Procurement

For Contract College Facilities, see

o Pofessional Service Selection Information Sheet

o Standard 254 Form

o Standard 254 Form Guidelines

Facilities Project Managers Guide Page 53

Construction Agreements

The Core Team, working with Contracts & Capital Projects, selects the bid and/or negotiates the proposal that is most advantageous to the University.

Contracts & Capital Projects handles the development and execution of the construction contract.

Types of Construction Contracts

DOCUMENT

NAME USE BACK-UP LIMIT

Short form agreement

The procurement of small renovation and/or construction services

Written scope of work, contract value cost, schedule, funding source, PAR (over $50,000)

Typically $100,000

Construction Agreement

Construction costs and services contracted with a Lump Sum cost.

Bid Form Plans, Specifications, Addendums incorporated by reference.

Typically greater than $100,000

*Guaranteed Maximum Cost (GMC) Agreement

Construction costs and services contracted with a Guaranteed Maximum Cost

Contractor Proposal, General Conditions Costs, Assumptions and Clarifications Plans, Specifications, Addendums incorporated by reference.

Typically greater than $1,000,000

*These are customized agreements in which the Project Team works closely with the Office of Contracts and Capital Projects on the wording of the General Conditions (see GMC GC’s).

Key items for negotiation with the Construction Manager include fee, general conditions costs (see GMC GC’s), contractor’s contingency and sometimes incentive/disincentive clauses.

Under this contracting method, assembly, distribution of the bid documents and receipt of bids for subcontractor work is generally done by the Construction Manager.

See PM Toolbox Training Managing Contracts.

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Invoices and Payment Applications

The Project Manager is responsible for insuring the accuracy and appropriateness of payments made by the University to consultants and contractors in payment for execution of the various work tasks of the project. C&CP oversees the payment of invoices for projects.

Setting up an Account

Before invoices can be paid, the PM must generate a PAR and have an Approval Letter, which C&CP uses to set up the project account with the Division of Financial Affairs (DFA).

Each month C&CP receives an accounting statement from DFA.

Receipt of Invoice in C&CP

Invoices are received by the Contracts & Capital Projects Office. Invoices received by the Project Manager or Construction Manager should be routed to C&CP.

C&CP Review of Invoice

Upon receipt of an application for payment C&CP performs the following steps before forwarding it to the Project Manager for approval:

Identify the payment source

Review the payment history

Check invoice against contract terms and conditions

Resolve any discrepancies with the applicant’s accountant

Construction Manager Reviews

The Construction Manager reviews the construction invoices. The Construction Manager negotiates changes, and can determine if the contractor is offering a responsible proposal. The Construction Manager also ensures that the services for which Cornell is being billed have been delivered. If the project has a Project Coordinator, and if general conditions are included in the contract, the Construction Manager may create a ―pencil copy‖.

Project Coordinator Review

Project Managers typically route payment applications to a Project Coordinator who reviews them for completeness of supporting documentation and accuracy.

For contracts that allow billing of reimbursable expenses, the supporting documentation must include receipts for all expenses.

For contracts that allow billing of actual general conditions costs (Cornell’s GMC contract), the PM must check to be sure only allowable expenses are billed.

Approval by PM and Return to C&CP

The Construction Manager or Project Coordinator returns the invoice to the Project Manager, who approves payment. The PM sends the invoice to others for approval, including the PM’s

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supervisor and, in the case of PDC PMs, to the PDC Director, the appropriate finance person, and the VP for Facilities Services.

The PM then sends the payment applications to the Contracts & Capital Projects Office where all contractual payments are processed.

CC&P Requests Payment by DFA

Pay requests are sent to the DFA, where checks are issued.

Project Over Budget

CC&P will not sign off on a commitment if it causes the project to go over budget. The Project Manager must submit a new PAR or re-allocate funds (for example, use contingency.)

Project Manager’s Report

The Project Manager’s Report contains

Approved Budget

Current Commitments in the contract

Amount of the budget expended to date.

See an example of a Project Manager’s Report in the CPDP Guide, Appendix , Item N.

CC&P sends this report to Project Managers monthly.

The Project Manager can access job cost invoices by going to the Facilities Services website, and click on ―Facilities Information‖ and then on ―FS Administrative Services /Job Cost.‖

See also Project Controls and Payments.

Financial Reviews and Reporting

Projects over $5 Million

For projects with a budget greater than $5 million, the Project Manager submits a Project Status Report (PSR) to the VP Facilities Services and Primary Customer on a monthly basis.

The PSR includes:

a financial status report using the seven budget categories,

a brief summary of project activity, with focus on elements of the project that are significant milestones or challenges.

Projects under $5 Million

For projects with a budget less than $5 million, the PM prepares a monthly PSR if requested by the Primary Customer. See Appendix, Item P in the CPDP Guide for an example of a PSR.

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Part IV: Project Process Phases

Project Delivery Flow Chart

The Project Delivery Flowchart summarizes the approval process for endowed Cornell capital construction projects on the Ithaca campus. This chart represents the most common method of project delivery used by Cornell University – Design/Bid/Build. Contract College Facilities has a similar flow chart which can be obtained from their office.

The chart has two basic purposes. (1) to consolidate a very complex process into a simple, one page format that can be easily understood by any Project Team member or other interested person that may want to gain a basic understanding of the overall Project Delivery Process. (2) to provide a concise visual tool for the Project Management Team to manage milestone activities as well as to provide a list of common tasks that must be accomplished each step of the way.

The chart shows the general phases of each project – Planning, Design and Construction. Individual steps within each general phase further define the order normally followed by projects.

The ―Steps‖ section of the chart indicates the various stages in the sequence of project delivery.

The section of the chart above the steps, describes the various approvals for either funding or design required for the project by senior university administration, Board of Trustee committees or the Board of Trustees. Level of approval required is based on the total project budget.

The section of the charts below the steps describes project milestones for the Project Team, including the client group.

See the Project Deliver Flow Chart in the CPDP, page 34.

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Planning Phase

Goal

The Project Manager’s goals during the planning phase are to initiate the project properly, review and understand the client’s needs, address options thoroughly, and select the option that is most feasible.

Deliverables

Project Space Program

Site Selection (new construction only)

Consultant Selection

Project Formulation

Approvals

Client Responsibilities

Define need and project goals

Develop Project Plan (sometimes with the PM)

Identify funding sources

Initiate project

PM Responsibilities

Initiate Project with client

Review and/or help develop Project Plan.

Create project team.

Initiate Project Space Program.

Ensure Site Selection is completed(new construction only) or define existing boundaries (renovation)

Select Consultant

Decide need for either Concept Study and/or Feasibility Study

Project Formulation

Ensure Primary Customer Approval

Develop Schematic Design PAR and/or Design Development PAR to begin next phase of the Project Management Process

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Steps

Initiate Project

The client may initiate a project with either of the following:

o Ticket through Facilities Services Customer Services

o Request for Services

o Request for Capital Project

o Request for Renovation work

All of the above methods for entering into a project are a device to engage resources for information and advice about infrastructure and existing space

Review Project Plan

Client and Project Manager review Project Plan. See a Sample Project Plan.

Create Project Team

o Identify all stakeholders that will contribute to program development.

o Identify the Project Team.

o Run team meetings. See PM Toolbox for tips on how to run effective meetings:

Job Meeting Problems

PM Meeting Techniques

Running Job Meetings

Create Project Space Program

o Define programming needs with the Core Team.

o Create Space Program. New building and building addition projects always start with a Space Program. Initially, it begins as a simple list of space types (e.g. faculty office, class room) and floor area. The Program is developed over time to include a complete description of each space. The description includes area, finishes, adjacencies to other spaces, environmental and infrastructure requirements, and furnishings to be provided by the contractor.

o Resources for developing a space program may include:

Search Facilities Services’ Web Sites

Find Information About Your Facility

Document Archive

Project Manager’s Environmental Checklist

o For a restoration project, define the project boundaries.

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Site Selection (new construction only)

o The Project Manager should contact the University Planning Office and the University Architect as soon as he or she is aware of a project of significant size.

o Project Team, University Planner and University Architect develop context study in which the question ―how does this project fit with the rest of the neighborhood and surrounding area?‖ is addressed.

o Site selection options are explored and narrowed to the preferred site. Criteria for selecting the site must be developed with the University Planning Office and University Architect.

o It takes a few months to complete the Site Development Guidelines (formely called ―Site Criteria‖). The University Planning Office will review the Site Development Guidelines (formely called ―Site Criteria‖) with the project team, stakeholders, and the Campus Planning Committee.

o Once a preferred site has been identified, the University Planning Office and the Project Team will develop the Site Development Guidelines (formely called ―Site Criteria‖). (See CPDP, Appendix C).

o For both site selection and criteria the UP presents to CF&PC and B&P for approval.

Consultant Selection

o The established University Consultant Selection process will be followed. This effort is led by the chair of the selection team.

Decide need for either Concept Study and/or Feasibility Study

The Project Plan usually leads to a Feasibility Study (see sample Feasibility Study) or a Concept Study.

o Both studies are conducted by a consultant to determine if the project is possible within a pre-defined budget or other program expectation.

o A Concept Study looks in more detail at options for the deliverables listed below and produces a plan that can be reviewed by the customer and University. A Feasibility Study generates a possible solution to that space need with associated dollar amount. It generally has a program study. The feasibility study asks: ― I know I need the space, how do I get the space?‖

o Upon the completion of this phase and after the required approvals are obtained, the preferred option will then proceed into design.

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Both the Concept Study and the Feasibility Study take into account the following:

PROGRAM SCOPE STAKEHOLDER

Codes and regulations Federal, state, municipal,

ECOS, EH&S, Maintenance Management (ADA compliance) local code officials

Site or location Site Selection University Planner

Building context and existing campus fabric

Context Study University Architect

Building technology Lab? Office? CIT

Cost See budget section Utilities, O&M, Client

Project Formulation

o Develop conceptual budgets and timelines.

o Consider the various project delivery methods for design and construction.

o Funding sources should be identified by the primary customer.

o Known risks should be identified for budget and schedule impacts.

o Narrow possible options that meet stated program requirements.

o Project Manager prepares PAR for Schematic Design Phase which includes an overall context, concept and scope of the project.

Primary Customer Approval

o Select one concept for development

o Approve and align program and conceptual budget

o Finalize site selection.

o Develop Site Development Guidelines (formely called ―Site Criteria‖).

o Agree on the project delivery method for design and construction.

o Identify known risks to primary customer.

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Planning Phase Approval

With these approvals, the schematic design phase can begin.

EXECUTIVE

COMMITTEE OR

FULL BOARD

Approve site selection

Authorize funding if >$5M

B & P Review A/E Selection

Approve Project Plan Approve site selection

Approve Site Development Guidelines (formely called ―Site Criteria‖)

CF&PC Approve Concept Par

Authorize PAR

Authorize site selection

Approve Site Development Guidelines (formely called ―Site Criteria‖)

Authorize SD

Authorize project plan: budget, scope, schedule and funding

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Design Phases

Schematic Design (SD)

The Schematic Design:

leads to clarification of the project program

explores of the most promising alternative design solutions

provides a reliable basis for analyzing the project cost.

The result of the Schematic Design is a clearly defined, feasible concept that can be presented in a form that achieves the Primary Customer’s understanding and acceptance.

Deliverables

o 100% Schematic Design documents (See CPDP, Appendix, Item F, Schedule G, Documents Submittal Requirements ) from the Design Consultant that include, but are not limited to:

Site Plan , Including connection to central Utilities, if required.

Typical floor pllans for each level

All typical elevations

Two or more sections

An outline specification

Other characteristics in comparison to the program

A preliminary cost estimate (may require an independent additional estimate)

Renderings, models or other drawings needed adequately present the concept, including sustainable design charrette and narrative which is required during this phase for all capital projects.

o Confirmed budget

o Confirmed schedule

o Commissioning Strategy (SeePM Toolbox training Quality Control, Inspections and Commissioning.)

o Identification of local, state and federal approvals needed and strategies to obtain them.

o Plan for occupant relocation, swing space, and move timing

o Schematic Design Package review and approval. Refer to Schedule G, Document Submittal Requirements.

o Engagement of Facilities Inventory Group.

o PAR for Design Development Phase

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Process

o Develop schematic design budget and ensure project budget confirmation (including adjustments to either the program or budget to achieve alignment).

o Project schedule confirmation.

o Project Team must coordinate with stakeholders (such as PDC Engineering, Utilities, Contracts, Cornell Police, CIT, Maintenance Management, EH&S, ECOS, etc.)

o Review for ADA Access Compliance

o Keep an accurate review of partners consulted on access review.

o Conversations with architects and Cornell University staff on access elements.

o Optional pre-construction services of a qualified contractor or construction manager.

o Commissioning strategy development, depending on project scope a 3rd party commissioning agent should be brought in at this time if not sooner. SeePM Toolbox training Quality Control, Inspections and Commissioning.

o Form Municipal Approvals Team which will identify local, state and federal approvals needed and strategies to obtain them. Be aware of municipal calendar.

o Begin planning for occupant relocation, swing space and move timing.

o Review and approve the Schematic Design package. (See Schedule G.) Obtain Primary Customer and Stakeholder approvals (including design review by PDC Engineering or Facilities Management).

o Project team must engage Facilities Inventory Group for assignment of facility code (new buildings) and for room numbering (all new buildings and renovations that move partition walls). See ―For Project Managers: When does a new building or renovation get added to the Facilities Inventory‖?

See PMT Training Project Archiving and Project Documentation.

For document archives, go to the FIG archiving page.

o Prepare PAR for Design Development Phase.

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Schematic Design Approvals

With these approvals, the project can move to the Design Development Phase.

EXECUTIVE

COMMITTEE OR

FULL BOARD

Authorize funding if > $5M

B & P Approve Schematic Design

Authorize DD if >$5M

CF&PC Validate budget, scope, schedule, funding

Approve SD

Authorize DD

Design Development (DD)

This phase develops the scope of work previously approved in the Schematic Design Phase. The primary purpose is to define and describe all important aspects of the project so all that remains after the completion of this phase is the creation of construction contract documents.

Deliverables

100% Design Development documents from the Design Consultant that include all documents from SD, documentation defined in the contract’s Schedule G (Appendix Item F in CPDP) modified as required to meet the project requirements, as well as:

o Fully developed floor plans, interior and exterior elevations, reflected ceiling plans, wall and building sections, and key details

o Basic mechanical, electrical, plumbing and fire protection systems are accurately defined, if not fully drawn.

Process

o Project Team must continue to coordinate with stakeholders such as PDC Engineering, Utilities, Contracts, Cornell Police, CIT, Maintenance Management, EH&S, ECOS, etc.

o Validate project schedule, including definition of long-lead items.

o Validate and reconcile project budget with DD estimate. This may require an additional independent estimate.

o Review and get approvals for DD package from Core Team and Stakeholders (including design review by PDC Engineering or Facilities Management and customer agent). Obtain sign-off on plans.

o Begin dialogue and agreements regarding front ends General Conditions and General Requirements for the bid package by our contracts office and the consultant.

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o Prepare PAR for Construction Contract Document and Bid Phase. (See CPDP, Appendix Item B)

Design Development Approvals

With these approvals, the project can move to the Construction Phase.

EXECUTIVE

COMMITTEE OR

FULL BOARD

Authorize funding if > $5M

CF&PC Validate budget, scope, schedule, funding

Approve DD

Authorize CD

Construction Contract Documents (CD)

This is the final stage of the design process, which finalizes the drawings and specifications for all components and systems of the project, resulting in construction contract documents used to solicit bids for the work and construct the project.

Deliverables:

100% Construction Contract Documents. This set of documents fully describes the project and will be the basis for soliciting bids from the selected contractors. This documentation is defined in the contract’s Schedule G (Appendix Item F in CPDP) modified as required to meet the project requirements.

Internal review of the documents by University stakeholders is normally done at 50% and 95% completion for content and final comments.

Process

o Construction Documents Estimate

A Construction Document Estimate that finalizes the project budget is required. All final adjustments to the program and budget should be completed in anticipation of bidding the project.

o Validate schedule and budget.

o Construction management plan finalized.

o Review and approve CD package.

o Prepare bid document package, noting any special project requirements such as accelerated schedule or working on off shifts .

o Prepare DRAFT PAR for Construction Phase awaiting bids.

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Note that the PAR requires changes to Operating and Maintenance (O&M) Costs; these costs should be researched and described within the document. See PM Toolbox Maintenance Costs.

The key issue is to identify the range of the costs, and which department(s) will be responsible for assuming them. The analysis should include a discussion on energy use and life cycle costs.

For energy use range of costs, see PM Toolbox Utilities and Your Project.

Please contact Facilities Management for assistance.

Construction Documents Approvals

With these approvals, the project can move to the Bid Phase.

CF&PC Authorize Bid Phase

Bid Phase

The bid phase tasks include working closely with the Contracts & Capital Projects Office as well as Director of Construction Management in selecting preferred, qualified contractors, and securing bids for the specified work. A construction contract will eventually be negotiated and awarded to the selected bidder.

Deliverables

Select qualified contractors, including interviews, if deemed necessary.

Process

o Determine whether bid opening will be public or private. (Note: State-funded projects require that certain procedures be followed regarding bidders, public bid opening, payment of prevailing wages, etc.)

o Determine bidding period and schedule pre-bid meeting with all invited bidders to answer any remaining questions about the work. Issue addendum to the bid documents, if necessary. (See CPDP, Appendix, Item G)

o Select lowest responsive responsible bid, after consideration of all other factors.

o Finalize PAR for Construction Phase. Note the O&M section and expected utility costs need to be complete at this stage.

o Contract preparation and execution.

o See PM Toolbox training

Bidding a Project.

Managing Contracts

General Conditions and Requirements

Negotiations for Project Managers

Facilities Project Managers Guide Page 67

Bid Phase Approvals

With these approvals, the project can move to the Construction Phase.

EXECUTIVE

COMMITTEE OR

FULL BOARD

Authorize construction if > $5M

B & P Authorize construction if > $5M

CF&PC Authorize construction if > $500K

Construction Phase

The primary objective is to build the specified project within the agreed-upon schedule and budget and with a high level of quality.

Site Preparation / Mobilization

During the early phase of construction, a the Construction Manager will establish will establish with the contractor:

o administrative procedures

o progress meeting schedules

o progress update requirements

o schedule controls

o methods to expedite the required approvals of certain documents provided by the design consultants.

Permits must be obtained by the contractor, and coordination of building trades and site logistics must be determined and agreed to by the Construction Manager.

Construction

Deliverables

Required submissions are listed in the General Conditions and General Requirements sections of the contract which can be found in the CPDP, Appendix H.

o The Construction management point of contact information plan as described in the General Requirements, includes a site-specific Safety Plan, Affirmative Action requirements for the general contractor (GC), etc.

Cornell Construction Contract Environmental General Requirements

o Manage and limit scope creep.

Facilities Project Managers Guide Page 68

o Keep schedule and budget current and communicated to the Project Manager and Construction Manager.

o Process any Change Orders in a timely manner.

Reminder: If there are changes in the design that impact the floor plan, Facilities Inventory needs to be notified to re-assign official room numbers. It could be costly to correct errors after design documents have been published.

o Pay contractors promptly.

o Assure quality of work.

o Review for ADA Access Compliance

Keep an accurate review of partners consulted on access review.

Conversations with architects and Cornell University staff on access elements.

o Contractor must communicate clearly with the Construction Manager, especially on items that pose a risk to either the budget or schedule.

o Core Team and contractor must finalize move-in plan, and date of occupancy.

o Punch list

Close-out/Move-in

This phase facilitates the occupancy and turnover of the completed and commissioned project to the Primary Customer.

Deliverables

Delivery of the completed project to the occupants.

Process

o See CPDP Guide, Appendix, Item K for the suggested close-out procedures.

o Coordinate with Primary Customer on CIT, furnishings and move-in .

o Punch list items completed promptly.

o Before occupancy, initiate the process of obtaining measured drawings through Facilities Inventory see ―When does a new bulding or renovation get added to the Facilities Inventory?‖ (budget line 02.06.03), and site conditions CAD mapping through PDC Civil Section (budget line 02.06.01).

o Obtain Certificate of Occupancy.

o Archiving: Sort project materials for dispensation to one of these:

the University Archives (See FIG website)

Facilities Document Records Center

Primary Customer.

Facilities Project Managers Guide Page 69

o See CPDP, Appendix Item I. The master list defines those records needed for the archives. All other records belong in the Records Center with copies sent to the Primary Customer as needed.

o Meet with the PDC archivist to turn over project records to turn over project records, including record drawings and develop a plan for any outstanding documents. See Archiving Questionnaire for this meeting. Other useful links include filing protocol worksheet and document archiving instructions.

o Complete commissioning activities, including generation of final building commissioning report and owner training in building operations by the Design consultant and Contractor.

o EH&S Hood / Safety Inspections

o Fire alarm testing - EH&S

o Post-occupancy survey/analysis if desired

o Resolution of any claims

o Obtain contractual close-out documentation and make final payment to the Contractor.

o Financial close-out of project promptly after completion of all work and payment of all project related expenses.

Obstacles to Closing a Project Account

1. Open RFS or Purchase Order against a project

2. Legal action or claim (see Risk Management)

3. Lack of final paperwork from the contractor. (for example, .e., record drawings/asbuilts, required O&M manuals & warranties.)

4. Open contract or commitment.

Close-out phase lasts through the end of contract warranty periods.

Resources

PM Toolbox training Closing out a Project which provides checklists for close-out for the following areas:

o Project Close- out: Construction Site

o Contract Close-out and Final Payment

o Capital Project Account Closure

o Archiving

Suggested Close-out Procedures in the CPDP Guide, Appendix, Item M.

Final Release in General Conditions Article 12.04, located in the PM Toolbox training Closing out a Project and the CPDP, Appendix Item H.

Guarantee in General Conditions, Article 14

Facilities Project Managers Guide Page 70

Consent of Surety of Final Payment in General Conditions, Article 12.04

Record drawings as cited in Owner/Engineer Agreement, p. 13, section 9 and in Retention of University Records Policy

Complete specifications as cited in Owner/Engineer Agreement, Schedule G, Document submittal requirements, first item.

Master List of Records for archival storage from all PAR level facilities projects

Facilities Project Managers Guide Page 71

Risk Management in Project Management

There are three responsibilities the PM assumes in Risk Management of a project:

Assess Financial Risk

Outline Legal Relationships

Oversee Aspects of the Claim Process

Assess Financial Risk

During Design Phase/Bid Process/Bid Analysis: Risk Management and Insurance reviews financial risk of contractors with a model developed to determine a contractor’s risk of bankruptcy. The model is only one indicator among others that are used by Contract’s Management to evaluate risk of contractors.

If the risk is high, Cornell can require a bond from the contractor, which will add to the cost of the project.

Outline Legal Relationships: Design Phase/Have Clear Contracts

The legal relationship concerning risk is defined in the answers to these two questions:

1) Who is responsible for insuring safety on the site? 2) How are safety roles and issues addressed? (see Claims below)

Risk Management defines these types of relationships with respect to who is responsible for safety

TYPE OF

RELATIONSHIP WHO HAS

RESPONSIBILITY

FOR RISK

RISK LEVEL

FOR

OPERATIONS-SIR

EXPOSURE

INSURANCE

COVERAGE

RISK

Normal construction process

Contractors

Low High

Owner-Controlled Insurance Program or OCIP

Contractors but Cornell has financial risk.

High Low

Cornell as General Contractor

Cornell High

Low

State

The PM should understand these relationships. They are defined in the contracts. If the PM knows the contracts and legal relationships which define the University’s exposure to risk, they can better manage the project by determining if the contractor is adhering to responsibilities defined in the contract.

Facilities Project Managers Guide Page 72

See the PM Toolbox presentation ―Risk Management at Cornell University.‖ Slides 15 – 18 define the insurance requirements relative to the contract, and how to make claims

1) Major Construction Project General Liability 2) Contractor Insurance Requirements 3) A/E Insurance Requirements 4) Builders Risk

What if contractor is not adhering to safety requirements as stated in the contract?

Set up meeting with contractor. If contractor still not meeting requirements:

o Set up meeting with contractor and Director of Risk Management and Insurance. If contractor still not meeting requirements:

Set up meeting with contractor and Director of Risk Management and Insurance where Risk Management will state consequences. If contractor still not meeting requirements:

Cornell may create a work stoppage, dismiss contractor from site, or terminate contract (depending on seriousness of noncompliance.) It is important that the PM brings many people to the table before this last point is reached, such as EH&S, Director of Construction, etc.

Oversee Aspects of the Claims Process

The claims process is determined by the relationships defined in the contracts. Claims occur during the Construction Phase.

PM needs to know who to call to start the process.

PM may be asked to provide information about an incident. For this reason, it is important that the PM keep good notes and meeting minutes. PM may also be called to testify in court.

Caution: The PM must be concerned with the facts of the case and not attempt to place blame. Responsibility can only be determined after a full investigation and after all experts have weighed in regarding an incident. Contact Legal Counsel and/or Risk Management before giving any statements.

Facilities Project Managers Guide Page 73

Three Types of Claims

The PM should be aware of the following claims, and should be prepared to address them should they arise:

o Workers Compensation

o Liability

o Property

Workers Compensation

PERSON

INJURED RELATIONSHIP CLAIMS PROCESS

Cornell Endowed employee

All Contracts Cornell Medical Leave

Administration-EH&S link

Cornell State employee

All Contracts Covered by state insurance fund

Contractor’s employee Normal contract Contractor’s insurance

OCIP OCIP claims process-OCIP Administrator

See http://prp.ehs.cornell.edu/Acc-Inj/ for endowed employee claims forms.

Liability

RELATIONSHIP PERSON

RESPONSIBLE FOR

INJURY

CLAIMS

PROCESS

Normal contract Cornell Employee Cornell Insurance—report

to Risk Management

Contractor Contractor reports to his carrier

Contractor employee is injured and sues Cornell

May tender back to Contractor—Over-action Claim

OCIP All Report to OCIP administrator

Facilities Project Managers Guide Page 74

Property Damage Liability Claims

PROPERTY

OWNER PERSON

RESPONSIBLE CLAIM PROCESS

Cornell Contractor Cornell files claim or sues contractor

Contractor Cornell Contractor files claim or sues Cornell

Property

PROPERTY OWNER COVERAGE CLAIMS

Cornell Builders risk Requires an understanding of who is carrying builders risk, Cornell or contractor

Contract College Builders risk SUCF process

Contractor Contractor’s property insurance

Contractor’s claim process

Facilities Project Managers Guide Page 75

Part V: Appendix

Facilities Project Managers Guide Page 76

Sample Matrix for Project Coordinator (PC) Responsibilities

PC1 PC2 PC3

COMMUNICATION

Work directly with User Groups on logistical issues such as moving, signage and data jacks. x

Communicates with and coordinates day-to-day issues with the customer contact person, e.g. moves, information exchange, parking, traffic, EHS, police, fire department/alarm testing, crane schedules, inspections, COs and TCOs, etc. x

Coordinate with Transportation on issues such as parking, coordinating contractor permits, laydown areas, etc. x

Answer public questions on the project with standard responses. Provide site tours. x

Manage non-capital projects and segments of projects with budgets of < $50k. x

PM for projects that are in the range of $50k-250k x

PM for projects in the range of 50k-2M x

FINANCIAL

Financial Management - Generate reports from database using BRIO, monitor expenses against budget lines, and maintain spreadsheet of project expenses. Supervise administrative activities related to the project (i.e. accounts payable, job cost, status reports). x

Issue tickets to the shops and monitor progress. Track ticket costs and keep PM informed. Highlight deviations from budget estimates. x

RESPONSIBILITIES

Coordinate job site safety efforts of EH&S including review of the Safety Plan and scheduling mock OSHA inspections. x

Manage and enforce site safety plan x

Coordinates with CIT - schedule and coordinate activities x

Coordinates with CIT - Secure estimates and manage installation x

Coordinate field inspections by PDC Shops and other parties. Monitor quality of workmanship and materials with the assistance and support of the Design Consultant and associated PDC Shops to maintain high standards x

Conduct field inspects and punch list conformance inspections. x

Facilities Project Managers Guide Page 77

PC1 PC2 PC3

Supervise and conduct field inspections to assure conformance with plans and specifications. x

Schedule and attend regular job meetings, prepare and distribute minutes. Work with the PM to prepare meeting agenda. x

Run regular job meetings in absence of PM. x

Provide direction at regular job meetings, make immediate decisions within the authority given by the project manager. x

Manage submittal process including tracking submittals & RFI's on projects x

Manage change orders to agree upon the scope, cost, and schedule impact of changed conditions. Prepares independent CU cost estimates. Present rational/justification for approval to the PM. x

Approve Change Orders presented by the CM x

Coordinates and directs, as authorized by the contract, Contractors during construction, acts as a single voice for CU to the contractor. PM is the backup voice. Day-to-day communication is between contractor and CM. x

Prepare RFPs with direction from the PM. x

Independently prepare RFPs within established procedures. Review terms of contracts with respect to examples. x

Manage consultant selection process, negotiate terms of contract. x

Manage and direct the activities of A/E consultants. Review contract compliance and authorize payments. x

TECHNICAL SKILLS

Project Scheduling - Builds and maintains project schedule using MS Project or Primavera from data given by others. x

Project Scheduling - Monitors project schedule milestones against progress. x

Project Scheduling - Implements corrective action to keep project on schedule x

Lab furniture and equipment - coordinate purchase, arrange for storage and transport as requested by the PM. x

Lab furniture and equipment - manage purchasing process, responsible for inspection prior to turnover to contractor, Responsible for installation contract. x

Lab furniture and equipment purchasing - review technical standards x

Formal Training in construction and contracting practices (TC3 class or CEE 595) x

Build and maintain databases in Access x

Independently prepare Power point presentations for project approval from Sr Administration x

Facilities Project Managers Guide Page 78

PC1 PC2 PC3

Develop and maintain comprehensive section schedule x

Manage section work schedule by recommending adjustments to staffing assignments x

Author PARS (Draft) x

Maintain section web site and Project web site x

Maintain List Serve x

Maintain Standards on web x

Manage commissioning process x

Perform Web Research for products and services x

Facilities Project Managers Guide Page 79

Sample Project Manager and Construction Manager and Project Coordinator Duties and Responsibilities

Action PM CM PC

Manage change orders to agree upon the scope, cost, and schedule impact of changed conditions. Prepares independent CU cost estimates. Present rational/justification for approval to the PM.

X

Approve Change Orders presented by the CM X

Coordinates and directs, as authorized by the contract, Contractors during construction, acts as a single voice for CU to the contractor. PM is the backup voice. Day-to-day communication is between contractor and CM.

X

Work directly with User Groups on scope items and project development issues. CM and PM negotiate the magnitude of scope items the CM can and can't commit to during construction (scope creep). PM and CM to negotiate the level of cost change issues, either additive or deductive, that need PM approval before the fact.

X

Communicates with and coordinates day-to-day issues with the customer contact person, e.g. moves, information exchange, parking, traffic, EHS, police, fire department/alarm testing, crane schedules, inspections, COs and TCOs, etc.

X X

Reviews schedule for constructability. Monitors progress against the schedule and keeps PM informed of deviations. Recommends actions to get back on schedule if needed. Maintains schedule.

X X

Reviews schedule evaluation and recommendationss from CM. Advises CM as to correctness of schedule and evaluation and to jointly develop actions for schedule compliance corrections.

X X X

Monitor output of Contractors; feedback, site productivity, etc X X X

Coordinate efforts of EH&S (Job Site Safety). Work with EHS to review the Safety Plan, enforces Safety Plan. Schedules mock OSHA inspection with EHS.

X X

Coordinates the construction efforts of CIT X

Coordinates the construction efforts of Cornell Line Crew (cableing and hookups)

X

Oversee purchasing (ex: buying furniture) for owner supplied equipment identified in the PAR as an F&CS responsibility.

X X

Assist PM & CM

Coordinate arrival of CU purchased equipment. Arrange for storage and transport to the site as required and requested by the PM. Responsible for inspection prior to turnover to contractor. Responsible for installation contract if needed.

X X

Facilities Project Managers Guide Page 80

Action PM CM PC

Responsible for installation contract if needed. X

Tracking construction costs, telecommunications costs, site work and other costs that need to be tracked on an as needed basis against budget costs

X X

Responsible for controlling the use of contingency funds X X X

Issue tickets to the shops and monitor progress. Track ticket costs and keep PM informed. Highlight deviations from budget estimates.

X X

Supervise the coordination of administrative activities related to the project (i.e. accounts payable, job cost, status reports). CM to track reports as requested by PM.

X X X

Develop contracts and subcontracts as needed X X X

Supervise payments for project services, ensure that expenses are monitored against project budgets.

X

Supervise and inspect field conditions and progress of work against project schedule; coordinate and/or act as liaison among participants to resolve problems or conflicts. Work with PDC Shops in providing quality inspections

X X X

Who can say "NO" from a contractual perspective to the Contractors? The Contracting Officer

X X

Run the "owners" weekly job meetings. Write the minutes. PM and CM work together to develop the format of the meetings.

X X

Prepare space programs, building standards and other project criteria to guide the work of outside A/E consultants.

X Assist PM Assist PM

Interview and advise on the selection of A/E consultants for major design projects.

X Assist PM Assist PM

Negotiate service agreements with outside A/E consultants. Prepare contracts.

X Assist PM Assist PM

Manage and direct the activities of A/E consultants. Review contract compliance and authorize payments.

X Assist PM Assist PM

Monitor quality of workmanship and materials with the assistance and support of the Design Consultant and associated PDC Shops to maintain high standards. Coordinate and schedule Shops inspections.

Assist CM

X Assist CM

Create the CM and PC budget line dollar amount. X X X

Responsible for the project construction documents review/written response process.

X X X

Empowered to give field direction changes to the contractor Assist CM

X Assist CM

Facilities Project Managers Guide Page 81

Ensures frequent contact between the CM and the Contract Officer. Computer status reports by CM and Superintendent.

X X

Establish criteria and measure Team performance X X X

Responsible for the monthly/trustee report X Assist PM Assist PM

Review and approve progress payments Approves Approves Assist PM & CM

Authorized to release retainage Approves Approves

Provides feedback on contractors/AE performance X (AE) X (Contractor)

X

Speaks to the news media X X Assist PM & CM

Coordinate parking issues, such as coordinating contractor permits and how does PDC arrange for laydown areas, etc.

X X Assist PM & CM

Who settles insurance issues? Risk Management and Contract Officer

Who is empowered to settle claims? Director for Contracts Administration

Recommend a scope or time increase during construction X X

Authority to make no cost/no time field related changes? PM & CM to discuss & negotiate

X X

At least once a month review of the project with the PM, CM, University Architect, University Engineer, Director of Construction Management, Director of Facilities and Director for Contracts Administration

X X

Bid Attendance. Who determines how money shortages will be met, whether from contingency or elsewhere? Who determines which alternates will be accepted? The PM has authority up to 25%; The Director of PDC has authority greater than 25%. If continugencybring to attention of Director of PDC and VP for Facilities

X X

Authority to take risks with University resources? University Architect, University Engineer, and Director of PDC

NOTE: The PM may delegrate authority for any of the above to the CM, and may ask that the CM perform any of the above. In such cases, the PM remains responsible for those portions of the project listed above.

Facilities Project Managers Guide Page 82

Sample Role Agreement

RESPONSIBILITY GUIDELINES FOR CONSTRUCTION

ACTION PM CM PM

PC

CM

PC

Manage change orders to agree upon the scope, cost, and schedule impact of changed conditions. Prepares independent CU cost estimates. Presents rational/justification for approval to the PM

X

Approve Change Orders presented by the CM X

Work directly with the User Groups on scope items and project development issues. CM and PM negotiate the magnitude of scope items the CM can and cannot commit to during construction. PM and CM negotiate the level of cost change issues, either additive or deductive that need PM approval before the fact.

X X

Communicates with and coordinates day-to-day issues with the customer contact person, e.g. moves, information exchange, parking, traffic, EHS, police, fire department alarm testing, crane schedules, inspections, COs and TCOs

X

Reviews schedule for constructability. Monitors progress against the schedule and keeps PM informed of deviations. Recommends actions to get back on schedule and maintains schedule

X

Coordinates efforts of EH&S for job site safety. Work with EHS to review Safety Plan, enforces Safety Plan. Schedules mock OSHA inspection with EHS.

X

Coordinates the construction effort of CIT X

Oversee purchasing for owner supplied equipment such as Cage Wash and racks.

X

Coordinate arrival of CU purchased equipment. Arrange for storage and transport to site as required and requested by the PM. Responsible for inspection prior to turnover to contractor. Responsible for installation contract if needed.

X

Tracking construction costs, telecommunication costs and other costs that need to be tracked against budget costs

X

Responsible for controlling the use of contingency funds X

Issue tickets to the shops and monitor progress. Track ticket costs and keep PM informed. Highlight deviations from budget estimates.

X X

Supervise the coordination of administrative activities related to the project (i.e. accounts payable, job cost, status reports). CM to track reports as requested by PM.

X X

Supervise and inspect field conditions and progress of work against project schedule: coordinate and or act as liaison among participants to resolve problems or conflicts

X X

Run the owners weekly job meetings and write minutes. X X

Facilities Project Managers Guide Page 83

ACTION PM CM PM

PC

CM

PC

Manage and direct the activities of the A/E consultants. Review contract compliance and authorize payment

X

Monitor quality of workmanship and materials with the assistance of the Design Consultant and associated PDC Shops to maintain high standards

X

Coordinate and schedule Shops inspections X X

Responsible for project construction documents review/written response process

X

Empowered to give field direction changes to contractor X

Responsible for monthly trustee report X

Review progress payments for approval and payment X

Approve progress payments X

Coordinate parking issues, site layout, staging areas X

Recommend scope or time increases during construction X X

Authority to make no cost/no time field related changes X

Coordinate for A/E meetings or attendance X

Responsible for Budget and cost compliance X

Responsible for the coordination and recommendations for independent lab testing

X X

Facilities Project Managers Guide Page 84

Sample Revised Par

This example of a Revised PAR is a request for additional money to cover an increase in the project's

scope of work.

PROJECT APPROVAL

REQUEST (PAR)

#…

BUILDING Q

ELECTRIC SERVICE

CONSTRUCTION

PAR ID #

Project Team

Project Manager: (name) PDC Shops Representative: (name)

Engineer-in-Charge: (name) Utilities Representative: (name)

Questions or comments should be directed to the

Facilities Services Project Manager:

(name)

Revised – (date)

Facilities Project Managers Guide Page 85

PROJECT APPROVAL REQUEST

==================================================================

This PAR requests an increase in the original authorized amount of $68K (date) to $95k for the

connection of the Office Q electric service to the Utility Department’s 13.2kV electric distribution

system. This revised PAR will allow for an increase in electric distribution capacity and reliability to

accommodate a planned facility to be located near the new office building.

==================================================================

1. Sponsoring Department: Utilities Department

2. Purpose and Need: The purpose of this project is to add distribution equipment to an existing medium

voltage circuit to allow for the connection of cables to feed the new office building. The need to provide

service to the office building comes from the customer’s desire for low electric rates and a high level of

reliability.

3. Scope of Work: The scope of work for this PAR includes the following:

• Install a three-way separable tap in manhole 112.

• Increase cable capacity from 200 amps to 400 amps.

• Increase duct capacity from two-way to three-way. This will allow for a loop circuit plus one spare

duct.

• The 13.2kV loop circuit will be completed only when plans for future construction are finalized.

4. Major Alternatives Considered and Why Rejected:

• Have NYSEG provide the electric service to the new office building. This was rejected due to the

customer desire for lower electric rates and higher reliability.

5. Proposed Schedule: The proposed schedule for this phase is as follows:

Approval Begin Complete

Construction Jun (year) Jul (year) Jan (year)

Facilities Project Managers Guide Page 86

6. Project Budget: This PAR requests an increase in the original authorized amount of $68K (date) to $95k

for the connection of the Office Q electric service to the Utility Department’s 13.2kV electric distribution

system. This revised PAR will allow for an increase in electric distribution capacity and reliability to

accommodate a planned facility to be located near the new office building. The proposed budget for this

PAR is as indicated below:

Category

Previously

Authorized This Request To Date Budget

1. Construction $ 52,000 $ 25,000 $ 77,000

2. Planning & Design Fees - $ - $ -

3. Long-Lead Equipment - $ - $ -

4. Project Support (Shops) - $ - $ -

5. Project Management $ 5,000 $ 2,000 $ 7,000

6. CP Admin Fee $ 3,000 $ 3,000

7. Project Contingency $ 8,000 $ 8,000

TOTAL $ 68,000 $ 27,000 $ 95,000

7. The project will be funded as follows:

8. Change in Maintenance and Operating Costs: Maintenance and Operating costs will slightly increase

when the project’s electric distribution equipment is turned over to Utilities.

9. Mode of Accomplishment: (name) will serve as Project Manager of this project. Construction will be

performed by the PDC Electric Shop on a Time & Material (T&M) basis.

Amount Primary Account

Number funds will be

provided by

Funds provided by Unit / College $95,000 (account #)

Total project expenses ***see below $95,000

Name Phone NetID

Contact person in unit for funding issues/questions

(name)

Contact person to authorize transfer of funds.

(name)

***Total project expenses must equal the total project budget amount to date as listed on

this PAR.

Facilities Project Managers Guide Page 87

10. Municipal, State and Federal Discretionary Approvals: This project falls within the municipal jurisdiction

of the Town of Ithaca. There are no related discretionary issues and it is not subject to the State

Environmental Quality Review (SEQR) process.

11. Potential Issues:

• An outage to the (building name) will be required. A generator can be provided during the outage

time frame, if needed, to alleviate disruption to building occupants.

Facilities Project Managers Guide Page 88

12. Submitted by:

Project Manager Date

Planning, Design and Construction

Manager Date

Electric Purchasing & Energy Distribution

Endorsed by:

University Engineer Date

Planning, Design and Construction

Director Date

Planning, Design and Construction

Director Date

Utilities and Energy Management

Vice President Date

Facilities Services

Vice President Date

Planning and Budget

Executive Vice President Date

Finance and Administration

(date)

Date Prepared

dm

Facilities Project Managers Guide Page 89

Construction Contingencies Exposures

Exposure Category

Low

Estimate

High

Estimate

Budgeted

Amount or

Subcontract(s)

Value

Notes

Regulatory/Variance Code – We have negotiated mitigations to gain the City Building/Fire department support for the use of flammable gases, flammable liquids in the basement and high toxics in BUILDING H

$ 600,000

$ 750,000

$ -

Contractor Parking – We will probably lose the Hoy South lot.

-

50,000

-

Building Skin – We expect to encounter additional costs for integration with building systems and field implementation issues.

750,000

1,250,000

12,403,845

PDC Shops Q/A Inspections – Missing or incorrect items are typically found during inspection, especially in the mechanical, electrical, and plumbing systems.

500,000

600,000

-

MEP Coordination & Commissioning – The coordination and commissioning process uncover issues that need to be addressed similar to the inspection process.

750,000

1,250,000

32,706,609

Furniture Purchase – The budget is very tight for this item.

500,000

1,000,000

2,000,000

Utility Costs During Construction – Contingency may be required to cover rising costs.

500,000

750,000

1,050,000

NYSERDA – The project financial plan includes $440K of rebates that may not be fully realized or the program could be eliminated.

220,000

440,000

440,000

Plant Science Tunnel - Add’l underpinning, interior stair change, custom elevator.

300,000

500,000

2,245,866

Space Customization – Construction inflation is eroding our ability to accommodate specific faculty.

250,000

750,000

-

Fit-out – Construction inflation is eroding our ability to accommodate a longer schedule and/or customization of labs.

800,000

1,000,000

4,231,110

$5,170,000 $ 8,340,000 $ 55,077,430

Current GMC Value $104,235,108

Value of Work in Place (25,000,000)

Balance To Be Accomplished $79,235,108

Contingency on balance $7,923,511

Facilities Project Managers Guide Page 90

GMC Systems

Description Source/Phase

GMC Cost of Work (Current Bidding Climate)

Foundations $ -

Structure

Exterior Enclosure

Roofing

Interior Architectural Development

Specialties & Millwork

Furnishings, Fixtures and Equipment

Vertical Circulation

Plumbing

Fire Protection

HVAC

Electrical

Controls

Sitework and Utilities

FitOut

SubTotal GMC Cost of Work

$ - A

Design/Estimating Contingency to 100% CD’s B $ - C=A*B

Escalation to Bid Date D - E=(A+C)*D

Total GMC Cost of Work

$ - F

GMC General Conditions

General Conditions Worksheet H=G/F $ - G (from GC detail)

Builder’s Risk I - J=F*I

GL Insurance K - L=F*K

Performance Bond M - N=F*M

Total GMC General Conditions P=O/F $ - O

GMC Internal Contingency Q $ - R=(F+O)*Q

GMC Fee S $ - T=(F+O+R)*S

Total GMC $ U=F+O+R+T

Facilities Project Managers Guide Page 91

-

GMC Cost of Work (Current Bidding Climate)

Section Description Source/Phase

Division 1 General Requirements $ -

Division 2 Existing Conditions

Division 3 Concrete

Division 4 Masonry

Division 5 Metals

Division 6 Wood & Plastics

Division 7 Thermal & Moisture

Division 8 Openings

Division 9 Finishes

Division 10 Specialties

Division 11 Equipment

Division 12 Furnishings

Division 13 Special Construction

Division 14 Conveying Equipment

Division 21 Fire Suppression

Division 22 Plumbing

Division 23 HVAC

Division 25 Integrated Automation

Division 26 Electrical

Division 27 Communications

Division 28 Electronic Safety and Security

Division 31 Earthwork

Division 32 Exterior Improvements

Division 33 Utilities

Division 34 Transportation

Division 35 Waterway and Marine Construction

Division 40 Process Integration

Division 41 Material Processing and Handling Equip.

Division 42 Process Heating, Cooling & Drying Equip.

Division 43 Process gas and Liquid handling Equip.

Division 44 Pollution Control Equipment

Division 45 Industry-Specific Mfgr. Equipment

Division 48 Electrical Power Generation

SubTotal GMC Cost of Work

$ - A

Facilities Project Managers Guide Page 92

Design/Estimating Contingency to 100% CD’s

B $ - C=A*B

Escalation to Bid Date D

- E=(A+C)*D

Total GMC Cost of Work

$ - F

GMC General Conditions

General Conditions Worksheet F $ -

G (from GC detail)

Builder’s Risk I - J=F*I

GL Insurance K

- L=F*K

Performance Bond M

- N=F*M

Total GMC General Conditions

P=O/F

$ -

O

GMC Internal Contingency Q

$ - R=(F+O)*Q

GMC Fee S

$ - T=(F+O+R)*S

Total GMC

$ - U=F+O+R+T

Facilities Project Managers Guide Page 93

GMC GC’s

Description Quantity Unit Unit Price Total

On Site Staff

Project Executive weeks $ -

Reimbursables weeks

Senior Project Manager weeks

Reimbursables weeks

Project Manager weeks

Reimbursables weeks

Superintendent weeks

Reimbursables weeks

Project Engineer weeks

Reimbursables weeks

Accountant/Cost Eng weeks

Reimbursables weeks

Project Safety Manager weeks

Reimbursables weeks

Administrative Assistant weeks

Reimbursables weeks

On Site Staff SubTotal

$ -

Off Site Staff

Project Executive weeks $ -

Reimbursables weeks

Project Scheduler Mngr weeks

Reimbursables weeks

Project Accountant weeks

Reimbursables weeks

Computer Support weeks

Reimbursables weeks

Off Site Staff SubTotal

$ -

Facilities Project Managers Guide Page 94

Field Office Expenses

Extra Plan Copies sets $ -

Office Supplies lump sum

Telephone, Data month

Office Trailers month

Trailer Utilities month

Trailer Furniture & Equipment lump sum

Field Office Expenses SubTotal

$ -

Professional Expenses

Stormwater Plan lump sum $ -

Licensed Surveyor lump sum

Temporary Utilities

Temporary Electric lump sum

Temporary Water and Sewer lump sum

Temporary Heating Equipment lump sum

Fuel for Temporary Heating lump sum

Professional Expenses SubTotal

$ -

Construction Site

Fire / Safety lump sum $ -

Winter Protection lump sum

General Hoisting lump sum

Portable Restrooms month

Trash Removal lump sum

Protect Trees to Remain lump sum

Pump Water lump sum

Snow Removal lump sum

Storage Trailer month

Temporary Fencing linear foot

Wash Glass square foot

Facilities Project Managers Guide Page 95

Protect Floors square foot

Final Cleaning lump sum

Maintain Traffic / Street Clean lump sum

Trucking lump sum

Construction Site SubTotal

$ -

Total GMC General Conditions

$ -

NOTES: Reimbursable expenses include transportation, lodging, meals for the individual listed.

List all other general conditions expenses as applicable.

Facilities Project Managers Guide Page 96

Sample Budget Sheet

$90 Million Dollar Project

GSF: 193,400 NSF/GSF

$ 90,000,000

NSF: 113,410 58.64%

$ -

DESCRIPTION Project

Budget

CONSTRUCTI0N

Building Construction $ 62,000,000

Site Work (Utl, Parking, etc) 2,900,000

Furnishings, Tele/Data & Equipment 2,400,000

Munincipal Approvals (Bldg permit, Site Plan, SEQR) 485,000

Construction Contingency 6,730,000

Total Construction Budget

$74,515,000

PROFESSIONAL FEES

Design Fees $ 8,300,000

0.133871

Environmental & Safety Consultants (EIS) 1,560,000

Pre-construction Services 750,000

Professional Fees Contingency 475,000 $ 530,500.00

Total Professional Fees $11,085,000

0.148762

OTHER COSTS

Design Review & Project Supervision $ 500,000

Project, Enviro, Contract & Construction Mgmt 2,500,000

Commissioning & Q/A 500,000

General Expenses 500,000

Other Costs Contingency 400,000 $ 4,000,000

Total Other Costs $ 4,400,000

0.059049

CONTINGENCY

Construction $ 6,730,000

Professional Fees 475,000

Other Costs 400,000

Total Contingency $ 7,605,000

0.0845

Facilities Project Managers Guide Page 97

PROJECT BUDGET SUMMARY

CONSTRUCTION $ 74,515,000

PROFESSIONAL FEES 11,085,000

OTHER COSTS 4,400,000

PROJECT TOTAL $90,000,000

$'s/GSF Bldg Cost

$ 290 $ 56,086,073

$ 300 $ 58,020,075

$ 310 $ 59,954,078

$ 320 $ 61,888,080

$ 330 $ 63,822,083

$ 340 $ 65,756,085

$ 350 $ 67,690,088

$ 360 $ 69,624,090

$ 370 $ 71,558,093

$ 380 $ 73,492,095

$ 390 $ 75,426,098

Facilities Project Managers Guide Page 98

Sample Budget: Building Cost

Bldg GSF: 230,000 Bldg/Proj=70.9% 70.91%

$'s/GSF Bldg Cost Proj Cost

$ 290 $ 66,700,000 $ 94,058,354

53000000

300 69,000,000 97,301,745

290000

310 71,300,000 100,545,137

182.7586

320 73,600,000 103,788,528

330 75,900,000 107,031,920

Realistic Target

340 78,200,000 110,275,311

350 80,500,000 113,518,703

360 82,800,000 116,762,094

370 85,100,000 120,005,486

380 87,400,000 123,248,877

$ 390 $ 89,700,000 $ 126,492,269

BUILDING H O&M Model

O&M Item Cost/GSF Annualized Cost

Bldg Care $ 1.50 $ 345,000

Routine & Preventive Maint 1.50 345,000

Planned Maint @1.5% of construction 4.95 1,138,500

Utilities

7.50

1,725,000

$ 15.45

$ 3,553,500

Facilities Project Managers Guide Page 99

Sample Budget : $110 Million

#REF! Area GSF: 250,037

#REF! Area NSF: 131,767

ITEM DESCRIPTION Current REMARKS

Budget 01. CONSTRUCTI0N

01.0101 GMP $ 74,816,000

BUILDING H, tunnel to PlantSci and landscape

Cost of Work (Trades-All) 64,000,000

54,400,000.00

74,816,000

GMP-GCs $6,400,000

GC/CoW = 10.00%, incl Bldr's Risk Ins

299.22

Contractor Contingency 1,600,000

Cntgcy='s 2.5% CoW

GMP-Fee 2,816,000

Fee ='s 4% of CoW+GC

01.0102

Athletics Compensation Projects

2,000,000

01.0103

Asbestos Removal/Monitoring

250,000

Asbestos Removal 175,000

Asbestos Monitoring 75,000

01.0900 Municipal Approvals/Fees 474,400

Building Permit 360,000

Initial fee +10% for extend beyond 3yrs

Municipal Services-Site Plan Review

54,400 $1/K of CoW

EIS Review Consultant to City

60,000

CEQR approval facilitation

01.1000

PDC/CIT Construction Support

590,000

PDC Shops Construction Support

70,000

Facilities Project Managers Guide Page 100

CIT Construction Support 20,000

Q/A, Commissioning, T&B (PDC Shops)

500,000

Uncommited

Total Construction $ 78,130,400 115.20

02. SITE WORK

02.0100 UFPO/PDC Engr - Site Support $ 25,000 ID Utilities & other civil support

02.0200 Utility Operations 500,000 Utility costs until occupancy

02.0300 CU Utilities Reloc & Ext 1,725,000 Stm, ChW & PotW - by CU Utilities Dept

02.0400 NYSE&G Relocation 5,000 NYSEG, Bell Atlantic & Time Warner

02.0500 Tel/TV/Computer Conduits

02.0600 Project Control 30,000 Detailed site surveys

02.0700 Landscaping 50,000 Tree protection & relocation of donor trees

02.0800 Parking Tax - 2% 2,200,000 2% of project budget $110M

02.0801 Replacement Parking 345,000 69 spaces @$5Kea

02.0900 Construction Site Preparation

02.1100 Misc Site Unfpreseen

Uncommited

Total Site Work

$ 4,880,000

03. FURNISHINGS

03.0100 New Furniture Purchase $ 2,000,000

03.0600 Moving Costs 100,000

03.0700 Telephone & Data 350,000

03.0900 Janitorial Svcs & Supplies 50,000

03.1100 Plaques & Signs 75,000

03.1400 AV Equipment 300,000

Uncommited

Total Furnishings

$ 2,875,000

04. PROFESSIONAL FEES 04.0100 A/E Fee (RMP) #REF! 04.0100 Feasibility Study #REF!

Facilities Project Managers Guide Page 101

04.0200 Schematic Design #REF!

04.0300 Design Development #REF!

04.0400 Construction Documents #REF!

04.0500 Add'l Due To EIS 100,000

04.0600 Construction Administration #REF!

04.0700 A/E Reimbursables #REF!

04.0800 Utility Design 195,000 Gryphon

04.0900 Geotechnical Engineer 100,000

05.1500 CM Pre-Construction Fee/Direct Payment

600,000

05.1600 CM Pre-Construction Reimbursables

200,000

04.0800 Special Consultants 150,000

04.0800 EIS Consultant 120,000

04.1000 Environmental Engineer 600,000

04.1100 Existing Conditions-Survey 20,000

04.1200 Asbestos Design Services 25,000

04.1300 As-Built Drawings 37,506 Space Inventory dwgs @ $0.15/gsf

Uncommited

Total Professional Fees #REF!

05. OTHER COSTS

05.0100 PDC - Design $ 150,000

UA, Dir PDC & design reviews

05.0200 PDC - Engr 200,000

UE & PDC design reviews

05.0300 Contract/Financial Mgmt 100,000

05.0400 Proj Mgmt 825,000 5 yrs full time @$110/hr 825000

05.0400 Asst Proj Mgmt 414,000 5 yrs full time @$60K/yr 414000

05.0401 Proj Coord 412,500 5 yrs full time @$50/hr 412500

05.0402 Constr Mgmt 427,500 3 yrs full time @ $90/hr 427500

05.0402 Environmental Proj Mgmt 150,000

05.0500 Travel & Subsistence 150,000

05.0600 Reproduction & Printing

Facilities Project Managers Guide Page 102

25,000

05.0700 Photography 10,000

05.0800 Communications 10,000

05.0900 Publicity 30,000

05.1000 Testing Services 150,000

05.2000 Job Office Site 20,000

Uncommited

Total Other Costs

$ 3,074,000

06. CONCEPTUAL COSTS

06.0100 A/E Fees $ 38,000

Actual costs - ASTI Space Assessment &

06.0200 Other Costs 6,000 Preplanning Phase

Total Conceptual Costs

$ 44,000

99. CONTINGENCY Target %

99.01 Construction $ 7,813,040 10%

99.02 Site Work 488,000 10%

99.03 Furnishings 287,500 10%

99.04 Professional Fees #REF! 2.50%

99.05 Other Costs 184,440 6%

99.06 Conceptual Costs - Completed

Total Contingency #REF!

PROJECT BUDGET SUMMARY

01. CONSTRUCTION $ 78,130,400

02. SITE WORK 4,880,000

03. FURNISHINGS 2,875,000

04. PROFESSIONAL FEES #REF!

05. OTHER COSTS 3,074,000

Facilities Project Managers Guide Page 103

06. CONCEPTUAL COSTS 44,000

99. CONTINGENCY #REF! #REF!

PROJECT TOTAL #REF!

Facilities Project Managers Guide Page 104

Sample Budget: $154 vs. $140 Million

Area GSF: 251,057 247,978 GMC @ $382 vs $371/GSF

Area NSF: 132,135 130,189

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

01. CONSTRUCTI0N

01.0101 GMC $ 96,345,309 $ 92,000,000

BUILDING H, tunnel to Building I and landscape

Cost of Work (Trades-All) 78,834,992

75,440,000

01.0102 Athletics Compensation Projects 3,500,000 2,000,000

01.0103 Asbestos Removal/Monitoring 250,000 250,000

Asbestos Removal 175,000

175,000

Asbestos Monitoring 75,000

75,000

01.0900 Municipal Approvals/Fees 562,575 540,930

Building Permit 402,060

384,744 $6/K of adjusted CoW

Municipal Services-Site Plan Review 100,515

96,186

$1.50/K of adjusted CoW

EIS Review Consultant to City 60,000

60,000

CEQR approval facilitation

01.1000 PDC/CIT Construction Support 590,000 1,090,000

Construction Support 70,000

70,000

Construction Support 20,000

20,000

Q/A, Commissioning, T&B 500,000

1,000,000

01.1100 Construction Testing Services 200,000 200,000 Independent Testing Agency

Total Construction $ 101,447,884 $ 96,080,930

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

02. SITE WORK

02.0100 Engr - Site Support $ 25,000

$ 25,000

ID Utilities & other civil support

02.0200 Utility Operations 500,000 500,000 Utility costs until occupancy

Facilities Project Managers Guide Page 105

02030.0 CU Utilities Reloc & Ext 500,000 2,000,000 Stm, ChW & PotW - by CU Utilities Dept

02.0400 Non-CU Utl Relocation 5,000 5,000

NYSEG, various company names

02.0500 Connection to HiVolt 50,000 50,000

02.0600 Project Control 30,000 Detailed site surveys

02.0700 Landscaping 50,000

Tree protection & relocation of donor trees

02.0700 Job Office Site 20,000 20,000

02.0801 Replacement Parking 414,000 414,000

69 spaces @$6Kea or reduce and pave something

Total Site Work $ 1,594,000 $ 3,014,000

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

03. FURNISHINGS FF&E

03.0100 New Furniture Purchase $ 2,000,000

$ 2,000,000

~$4K/person, expl recyclers

03.0300 Growth Chambers Equipment $ 6,000,000

$ 3,210,000

Growth Chambers & other unique unshared equip.

03.0400 Vivarium Equipment $ 2,050,000

$ 1,100,000 Mouse racks

03.0600 Moving Costs 100,000 100,000

03.0700 Telephone & Data 750,000 750,000 Based on discussions w/ CIT Engr

03.0800 Security System Equipment 350,000 350,000 Allowance based on previous

03.0900 Janitorial Svcs & Supplies 50,000 50,000 Allowance based on previous

03.1100 Plaques & Signs 75,000 75,000 Allowance based on previous

03.1400 AV Equipment 500,000 500,000 Allowance, need program and design

Uncommited

Total Furnishings $ 11,875,000 $ 8,135,000

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

04. PROFESSIONAL FEES

04.0100 A/E Fee 17,325,000 14,226,019

04.0100 Feasibility Study $ 750,000

$ 750,000

04.0200 Schematic thru Construction Admin 15,675,000 11,960,000 16.5% vs 13% of GMC

Facilities Project Managers Guide Page 106

04.0300 Record Drawings 50,000

04.0400 Pre-guarantee Expiration Inspection 20,000

04.0500 Add'l Due To EIS 100,000

Excess Liability Insurance 446,019 3.73%

04.0700 A/E Reimbursables 900,000 900,000

04.0800 Utility Design 50,000 100,000 Stm, ChW & PotW - by CU Utilities Dept

04.0900 Geotechnical Engineer 100,000 In A/E Fee

05.1500 CM Pre-Construction Fee/Direct Payment

550,000

550,000 Per Agreement

05.1600 CM Pre-Construction Reimbursables 250,000

-

04.0800 Special Consultants 150,000 150,000 Safety, LEEDs, etc.

04.0800 EIS Consultant to Faciltate Municipal Approvals 120,000 By Proj Team

04.1000 Environmental Engineer 600,000 400,000 EIS, wind tunnel, chemical analysis

04.1100 Existing Conditions-Survey 20,000

20,000

Interface with existing buildings

04.1200 Asbestos Design Services 25,000 25,000

05.0700 Photographer 10,000 10,000

Fly Overs, Visual Simulations, etc.

04.1300 Archiving and Inventory Services 37,659 86,792

Space Inventory & Archiving dwgs @ $0.35/gsf

Total Professional Fees $ 19,237,659 $ 15,567,811

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

05. OTHER COSTS

05.0100 Project Executives $ 150,000

$ 150,000 Dir PDC, UA

05.0200 Engr 600,000

400,000

UE, Proj Dir & PDC design reviews

05.0300 Contract/Financial Mgmt 100,000

100,000

05.0400 Proj Mgmt 825,000

670,000

$'s ToDate, 2 yrs full time, 2 yrs half time @$x/hr

05.0400 Prgm Mgmt 414,000

414,000 5 yrs full time @DPE

05.0400 Asst Proj Mgmt 594,000

475,200 4 yrs full time @$x/yr

05.0401 Construction Admin Asst 412,500

68,112

2.5 yrs full time @$x/hr

05.0402 Constr Mgmt 2.5 yrs full time

Facilities Project Managers Guide Page 107

855,000 427,500 @$x/hr

05.0402 Environmental Proj Mgmt 150,000

50,000

Technical Review and Site Inspections

05.0500 Travel & Subsistence 200,000

150,000

05.0600 Reproduction & Printing 25,000

25,000

05.0700 Photography 10,000

10,000

05.0800 Communications 10,000

10,000

05.0900 Publicity 30,000

30,000

Total Other Costs $ 4,375,500 $ 2,979,812

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

06. CONCEPTUAL COSTS Report

06.0100 A/E Fees $ 34,584

$ 34,584

Actual costs - Space Assessment &

06.0200 Other Costs 12,047

12,047 (company name)

Total Conceptual Costs $

46,631 $

46,631 ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

99. CONTINGENCY Target %

99.01 Construction $ 10,144,788

$ 9,608,093 10%

99.02 Site Work 159,400

301,400 10%

99.03 Furnishings 1,187,500

813,500 10%

99.04 Professional Fees 961,883

778,391 5.00%

99.05 Other Costs 262,530

178,789 6%

99.06 Conceptual Costs -

- Completed

Total Contingency $ 12,716,101 $ 11,680,172

ITEM DESCRIPTION $154M Budget $140M Budget REMARKS

PROJECT BUDGET SUMMARY

01. CONSTRUCTION $ 101,447,884

$ 96,080,930

02. SITE WORK

1,594,000

3,014,000

03. FURNISHINGS

Facilities Project Managers Guide Page 108

11,875,000 8,135,000

04. PROFESSIONAL FEES 19,237,659

15,567,811

05. OTHER COSTS 4,375,500

2,979,812

06. CONCEPTUAL COSTS 46,631

46,631

99. CONTINGENCY 12,716,101

11,680,172 9.19% vs 9.29%

PROJECT SubTOTAL $ 151,292,775 $ 137,504,357

2% Parking Tax 3,025,855 2,750,087

PROJECT TOTAL 154,318,630 140,254,444

Facilities Project Managers Guide Page 109

Sample Project Plan

PROJECT PLAN

ROUTINE MAINTENANCE

COST STUDY

Project Team Project Manager:

PDC Shops Representative:

Customer Representative:

IT Representative:

Facilities Customer Service Representative:

Questions or comments should be directed to the

Facilities Services Project Manager:

(name and phone)

(date)

Facilities Project Managers Guide Page 110

PROJECT PLAN

==================================================================

This Project Plan requests authorization for $75K to fund a Routine Maintenance Cost Study. Associated

PARs may be forthcoming, as the study is expected to provide recommendations requiring additional actions.

==================================================================

1. Sponsoring Department: Facilities Management

2. Purpose and Need:

The purpose of this project is to analyze and investigate routine maintenance cost data. This is needed to

guide planning efforts and assure cost effective maintenance is provided consistent with the University

mission and maintenance goals.

The Cornell University core endowed campus consists of approximately five million square feet of

classrooms, laboratories, offices, athletic facilities, recreation, and other specialty areas. In its mission to lead

excellence in education and research, the University facilities continuously evolve and age, with associated

changes in maintenance requirements. As a result, it has become increasingly difficult to forecast costs for

the routine maintenance portion of the maintenance budget. The maintenance allocation is budgeted in three

major categories: planned, routine (unplanned /breakdown), and preventive maintenance. Gross analysis of

these major budgetary components indicates the requirements for routine maintenance are growing at a

greater rate than the others. Routine Maintenance Costs have more than doubled over the last ten years,

going from approximately $1.5M to $3.5M annually. While it could be predicted that routine maintenance

spending would be up as a result of the aging physical plant and the growth in the planned maintenance

inventory, the exact correlation among these factors is unclear. Analysis of the maintenance costs data is

expected to provide useful guidance to correct the trend or verify appropriateness of the current maintenance

spending.

3. Scope of Work:

The scope of work for this Project Plan includes the following:

o • Preliminary investigation of routine maintenance cost information and development of data plots to establish and verify routine maintenance cost trends in terms of maintenance categories, and building usage types. Both macro level (campus) and micro level (building) investigations will be completed.

o • Secondary investigation and analysis to suggest correlations between maintenance costs and applicable building maintenance cost factors: building infrastructure, building use/function, building system technology, building code, legal factors, as well as, University policies and business practices.

o • Responsive managerial initiative(s) to guide routine maintenance activities for continued improvement.

o • Review the efficacy of the routine maintenance work management process, including work identified, work planning, work scheduling, work accomplishment, documentation, analysis and performance.

4. Major Alternatives Considered and Why Rejected:

Facilities Project Managers Guide Page 111

• Do nothing. This was rejected because unscheduled maintenance costs have increased significantly in recent years and the investigation will provide necessary facilities managerial information for continuous improvement.

• Maintenance Management has considered funding a term position to achieve the goals of this project but rejected the alternative; because, developing the expertise requires extended time and a change of career path is likely to occur before significant results are gleaned.

5. Proposed Schedule: The proposed schedule for the study phase is as follows:

Investigation – Phase I

Approval Begin Complete

Feb 04 Feb 04

Jun 04

6. Project Budget: This Project Plan requests authorization for $75K to fund a Routine Maintenance Cost

Study. Associated PARs may be forthcoming, as the study is expected to provide recommendations requiring

additional actions. The proposed budget for this Project Plan is as indicated below:

Study Phase

Consultant Fees $

Project Management Contract Admin

Miscellaneous

Contingency

Total $

7. The project will be funded as follows:

Amount

Primary Account

Number funds

will be provided

by

Funds provided by

Unit / College $

Contact person in

department to

authorize transfer of

funds

8. Change in Maintenance and Operating Costs:

The study is intended to provide insight into causes for trends in increased routine maintenance costs. The

results will be used to identify initiatives that assure effective use of maintenance resources.

9. Mode of Accomplishment:

Facilities Project Managers Guide Page 112

X Inc. will investigate trends of increasing routine maintenance costs to provide data plots and analytic tools

for the project team. The project team will assist X Inc with gaining access to necessary information,

interpret investigation results, and identify productive initiatives.

10. Potential Issues:

• The investigation will rely on data available through the job cost system. Skanska will be given access to

the maintenance cost data.

• Outreach to other university databases and facilities information may be required.

Facilities Project Managers Guide Page 113

12. Submitted by:

Project Manager Date

Planning, Design, and Construction

, Director Date

Maintenance Management

Endorsed by:

Director Date

Facilities Management

Director Date

Planning, Design, and Construction

Associate Vice President Date

Division of Facilities Services

Vice President Date

Planning and Budget

Vice President Date

Administration and CFO

Date Prepared

Facilities Project Managers Guide Page 114

Sample Feasibility Study

Executive Summary

The department of x intends to augment its research capabilities at (name of building) by installing two

growth chambers in Room B74. Two used “XYZ Company” growth chambers have been purchased and

reassembled in the East wing of (name of building). The chambers are approximately 15 years old and

when completed, they will be made operational as part of the departments purchase agreement. To

complete the growth chamber installation, they must be connected to an electric power source, a heat

rejection system, and additional requirements may become evident during design development.

To develop this report Persopn A met with Person B (name of company.), Person C (PDC HVAC/R

Shop), and Person D (PDC Mechanical Design) to review the conditions at the site. We reviewed the

building conditions to establish options for heat rejection Appling a diversity factor to full time

operations, we estimated life cycle energy costs for each of the heat rejection options. Identifying

categorical scope elements, we applied gross cost estimating methods and contacted XYZ Company for

budget cost information to develop a potential range of construction costs.

Infrastructure costs will be sensitive to the design details, selected scope of construction work, and the

existing conditions. In this case, electric power is readily available for connection to the growth

chambers; however, water based heat rejection sources are not readily available. A source for chilled

water requires approximately 500 ft of piping; there is no cooling tower based condenser water loop in

the building. A domestic water source is readily available; however, it is not a feasible long term means

for heat rejection. Based on these observations and associated economic analysis, air cooled condensing

is the most economically feasible means of rejecting heat from the growth chambers. (See Table 1)

Reviewing the decision to purchase new or used equipment, we note economic considerations. Two used

chambers cost $73K; two new units of equivalent capacity cost approximately $260K. Accommodative

infrastructure is necessary for both new and used equipment, as (name of building) is not fully equipped

to support growth chamber operations, the cost to provide the infrastructure is expected to be in a range

of $100K to $160K. Therefore, capital costs for the new vs. used option are in the ranges of $360K to

$420K and $170K to $230K, respectively. Energy requirements are not appreciably different for new

and used equipment. The manufacturer representative indicates the technological advances employed in

the new chambers primarily reduce manufacturing costs. Long term maintenance costs will also be

similar for the used and new equipment; driven by reliability requirements, a comprehensive

maintenance program is recommended for both new and used equipment. Nonetheless, there is a risk

that maintenance costs will be initially higher for the used equipment, but the decision to purchase new

or used equipment is not sensitive to this difference. Therefore, we conclude the used equipment will

have minimum life cycle costs.

In conclusion, modifying the existing equipment to achieve heat rejection via air cooled condensers

results in minimum life cycle costs. To implement this option, new air cooled condensers will be located

on the roof immediately above the growth chambers. XYZ Company will adapt new heat rejection

systems to the existing growth chambers, and install the new equipment in coordination with local

trades. A structural design will also be necessary to place the condensers on the roof, assure structural

integrity, and coordinate the required utility connections. Project cost to provide the necessary

modifications and infrastructure is estimated to be in the range of $100K to $160K.

Facilities Project Managers Guide Page 115

(NAME OF BUILDING)

B74 ENVIRONMENTAL GROWTH CHAMBER

FEASIBILITY STUDY

TABLE OF CONTENTS

Page

Executive Summary

Background

Condition Evaluation of the Growth Chambers

Heat Rejection Options

Economic Analysis

Alternatives for Condenser Heat Rejection

New vs. Used Growth Chamber Purchase

Schedule and Mode of Accomplishment

Conclusion

Appendix A – Life Cycle Cost of Differential Options

Option 1-Air cooled Condenser

Option 2 – Cooling Tower Water Cooled Condenser

Option 3 – Chilled Water Condenser Cooling

Option 4 – Domestic Water Cooling

Option 5 – Chilled Water Direct Cooling

Facilities Project Managers Guide Page 116

Background

The Department of X intends to augment its research capabilities at (name of building) by installing two

growth chambers and has purchased two used “XYZ Company” growth chambers. The growth

chambers have been reassembled at (name of building), but they must be connected to electric power

and a means for heat rejection. Electric power is readily available for

connection to the growth chambers; however, there are several heat rejection options having

significantly different first cost and life cycle costs.

The growth chambers have been situated in their present location since 2002 and the department is

anxious to put them into operation. The equipment had been purchased through a used equipment

broker; disassembly, storage, reassembly, and start-up services had been purchased with costs to date of

$73K. If purchased new, a budget estimate of the cost is $130K per chamber. The service provider is

contracted to return to the site to complete the work after utility connections have been

completed. In an effort to expedite placing the chambers into operation, Person B (name of company.),

provided a proposal to design a temporary domestic water system anticipating availability of chilled

water in the near future. Person B provided valuable input to establish the alternative options for long

term operations.

The original water-cooled heat rejection systems on the growth chambers had been connected to a

cooling tower condenser water system. A cooling tower is not available at the (name of building)

facility, so an alternate means for heat rejection is required.

There are several options for providing the necessary heat rejection systems, which have varying levels

of cost. (See Heat Rejection Options for a comprehensive explanation of the different system

characteristics and cost factors.)

Economic analysis indicates that modifying the existing equipment to achieve heat rejection via air

cooled condensers results in minimum life cycle costs, and the used equipment will also result in

minimum life cycle costs as opposed to purchasing new equipment.

Analysis indicates that completing the installation is feasible, and that converting the condensing portion

of the refrigeration system water cooled to air cooled will have minimum life cycle costs. Total project

costs associated with completing the installation are estimated to be in a range between $100K and

$160K.

Condition Evaluation of the Growth Chambers

The growth chambers are approximately 15 years old and appear to be in good condition capable of

providing precision control of environmental conditions for growing plants. A combination of Metal

Halide and High Pressure Sodium Lights are used to illuminate the chambers to what the manufacturer

describes as an optimal spectral blend. The level of lighting can be automatically varied with several

levels of lighting. Control is provided electronically by a programmable panel

that maintains the lighting level, temperature, humidity, and auxiliary functions such as automatic

watering and can be ramped or stepped up to 192 times per day.

The design temperature range is 4?C to 40? C with the lights off and 10?C to 40? C with the lights on. The

humidity control system is design to maintain 85%RH at 30C, by adding water via spray nozzle

humidification, but is not capable of active dehumidification. Temperature is controlled to within 0.5?C

and humidity is controlled to within 3%. The design ranges are generally considered to be the industry

standard for growth chambers.

Facilities Project Managers Guide Page 117

The X Departmentwill be using the chambers for plant growth experiments. The temperature range will

be from 10 C to 38 C as a min and max, with most experiments probably in the 24 to 28 range. The

humidity control will be in the 45 to 85 %RH range, with most experiments around 50-60%RH. These

conditions are all within the capabilities of the growth chambers being considered.

Reviewing the condition of the used equipment, the cabinet shells are solid and square, appearing to

have good insulation and panel seals. The doors open and close freely. There is some disarray, as most

of the ceiling panels have not been installed, and the interior of the units have not been cleaned. The

control cabinets remain in a standard condition and control wiring has been terminated at the I/O

devices. We understand the assembly contractor will be responsible for final testing of the control

components upon connecting the systems to the required utilities. Prior to disassembly, the units where

reported to be operational. Nonetheless, the equipment is used and increasing levels of maintenance will

be required to keep them operational. Spare parts from a third chamber may reduce the material costs;

however, labor associated with storing, handling, cataloging the spare parts will increase the operating

expenses.

The refrigeration systems will be critical elements in terms of system reliability. The system components

have been completely reassembled and the refrigerant piping is brazed together. As such, the

refrigeration systems have not been left open to the damaging affects of humidity and airborne dirt.

Upon placing the equipment into operation, the lighting and cooling systems will impart significant

loads on the electrical system, with associated cost. To provide close tolerance temperature control, the

refrigeration compressors will run continuously when the chambers are in operation contributing electric

load. The associated energy costs are expected to be in the range of $10K to $20K per year In terms of

sustained operability, XYZ Company remains in business providing standard replacement parts for the

systems and supporting versatile and reliable growth chamber operation. Additionally, the

campus contains many other XYZ Company chambers and there is a significant resource base for

maintenance, trouble shooting, and repair. As previously mentioned the refrigeration compressor run

continuously and periodic compressor replacement may be necessary. To assure reliable operations, a

preventive maintenance program is also outlined in the manufacturers operating instructions. It includes

daily system checks and periodic cleaning. Depending upon the reliability requirements and mode of

accomplishment, the maintenance costs could vary over a large ranger, but through an effective

maintenance strategy, they may be kept between $5K and $10K per year.

Heat Rejection Options

As previously noted, the purchased growth chambers require a heat rejection system. The existing

chambers were previously connected to a cooling tower rejection system. Cooling towers normally

complete the heat rejection system and recirculate bulk system water while a portion evaporates to reject

waste heat to the atmosphere. The associated cooling towers require ongoing maintenance to prevent

fouling from dissolved build-up from the make-up water. However, when combined to serve

a large quantity of individual units, they provide the most efficient refrigeration effect with the best

economy. In this case, the scale is not sufficiently large to support cooling tower operations.

Dry coolers are more commonly used where individual water cooled condensers units must reject heat

remotely and at a distance. They recirculate water mixed with antifreeze within a closed circuit having a

water-to-air finned heat exchanger and operate at relatively high temperatures, relying on sensible

Facilities Project Managers Guide Page 118

cooling. Spray systems can be incorporated to improve heat transfer with increased maintenance

requirements. They provide the advantage of rejecting heat remotely, trading off

lowered efficiency caused by higher operating temperature. In this case, we will not consider a dry

cooler because, heat rejection can be accomplished within a relatively short distance from the growth

chamber.

Air cooled condensing provides the most direct means of rejecting system heat. Refrigerant is

circulated directly through a remote air cooled heat exchanger. Sensible cooling requires relatively high

condensing temperatures, with lower operating efficiency and higher electrical energy costs for the

refrigeration compressor energy. Spray water systems can be added to improve efficiency, additional

maintenance and first cost requirements must be compared with base characteristics to

establish benefit. Relative to the base cooling tower case, the heat rejection costs are minimal and

include condenser fan energy and increased refrigeration compressor energy from reduced efficiency of

higher condensing temperatures. This is the most economically attractive option.

Chilled water condenser cooling is a form of cascaded cooling; the cooling medium is pumped to the

site at significant expense to except the heat of rejection from the local refrigeration system. The local

system contains a refrigeration compressor which operates at significant expense to refrigerate the

system. The cumulative costs of the two refrigeration systems are prohibitively expensive. Therefore the

option is not recommended for this application.

Domestic water condensing is cost prohibitive and wasteful of potable water resources. Termed once

through cooling, this method of condenser cooling results in utility cost to cover the potable water

treatment and transportation, as well as, the sanitary waste treatment costs. This method typically

provides emergency backup of cooling tower operations or for interim operations while a normal source

is being planned and implemented.

Direct Chilled Water Cooling is a feasible option that replaces the local refrigeration circuit entirely.

Implementing this option requires replacement of the refrigerated cooling coil in the growth chamber

with a new chilled water coil. Control system retrofit for the chamber temperature is also necessary.

These changes have significant expense and also have a significant impact on operational performance.

The cooling coil dewpoint temperature is limited by the chilled water supply

temperature, which also limits the ability to operate at lower temperatures and limits the ability to

control humidity. Frequently, these limits do not impact usefulness for research involving plant growth.

Economic Analysis

Alternatives for Condenser Heat Rejection

To provide an economic analysis of the alternatives for heat rejection at the condenser, we assume each

of the options has a similar level of cost for compressor energy consumption, maintenance, and

operation of the refrigeration systems, and develop differential analysis of the available heat rejection

media. The analysis indicates that conversion to air cooled condensers will result in minimum life cycle

costs. Net present values of five options including first cost and annual differential cost over a 20 year

analysis period are presented in the following table.

Facilities Project Managers Guide Page 119

Local Refrigeration Compressor

Air cooled

condenser

Tower Water

Cooled

Condenser

Chilled

Water

Cooled

Condenser

Domestic

Water Cooled

Condenser

Direct Chilled

Water Growth

Chamber

Cooling

First Cost 90,000 $120,000 $90,000 $50,000 $93,500

Annual Condenser Heat Rejection Cost

$657 $6,728 $35,040 $37,142 $28,032

NPV of Life Cycle Operating Cost

$ $64,000

$81,000 $290,000 $306,000 $216,000

NPV of Total Life Cycle Costs

154,000 $201,000 $380,000 $356,000 $310,000

Table 1

Please note the analysis does not include the energy costs associated with lighting, humidifying, and

heating the chamber. Those costs may be higher by a factor closely related to the Energy Efficiency

Ratio of the refrigeration system. This analysis is intended to inform a decision regarding the most

economical means of rejecting chamber heat associated with the application described in this report.

New vs. Used Growth Chamber Purchase

Comparing life cycle costs of purchasing new or used equipment, the energy requirements to operate

new or used chambers are similar. The manufacturer indicates that the technology advances employed in

the new chambers primarily reduce manufacturing costs and have little if any impact on energy

consumption. For example, new lighting ballasts tend to be lighter in terms of weight of the materials

used to make them, as higher starting voltage can be generated with electronic components, but the

energy required to operate the lights is lower.

Growth Chamber with Air cooled condenser

Used New

First Cost $148,000 $380,000

Annual Condenser Heat Rejection Cost $657 $657

NPV of Life Cycle Heat Rejection Costs $64,000 $64,000

Annual differential Maintenance Cost $ 28,000 $0

NPV of Annual Differential Maintenance Costs

$216,000 $0

Annual Differential Chamber Energy $0 $0

Facilities Project Managers Guide Page 120

Costs

NPV of Annual Differential Chamber Energy Costs

$0 $0

NPV of Total Life Cycle Costs $428,000 $444,000

Table 2

The refrigeration system components have changed slightly, however, the main characteristic in term of

energy consumption has not changed; the refrigeration compressor runs continuously during operation.

As the system is used and the refrigeration system had been disassembled there is some risk of an early

failure which would cost approximately $10K to replace; failure usually results in acid byproducts in the

refrigeration circuit that must be removed. However, both the new and used systems require periodic

maintenance to assure early detection of refrigeration leaks, failed components, and clean heat transfer

surfaces. Here we would note that the used equipment first costs are significantly lower than new

equipment and a decision for used equipment purchase is not sensitive to maintenance costs. In this case

annual differential maintenance cost would have to be in excess of $28K to trigger a decision to buy new

equipment. See Table 2.

Schedule and Mode of Accomplishment

As the anticipated costs exceed $50K, the project will require authorization as a capital project through

the PAR system for design and construction. The feasibility study report will form the basis of a Design

and Construction PAR. Gaining authorization for design and construction will enable pre-purchase of

the condensing units which have a 60 to 90 day lead time.

Upon receiving PAR approval, design services will begin in order to occur in parallel with equipment

pre-purchase. The design documents will define the construction work for a fixed price estimate by PDC

shops.

After receiving a fixed price estimate within the construction budget, a 2 month construction period is

anticipated. Based on this approach, the project can be completed in approximately 6 months after

receiving departmental approval to proceed. This approach will also allow for an abbreviated design

effort with associate reduction in time requirements and costs. To validate the fixed price cost estimate,

we also recommend a parallel estimate; this will add approximately $2K to the project costs.

Alternatively, construction documents can be developed for a competitive bid. These documents would

have to be developed to a higher level of detail with specifications and general requirements for a

contract. The additional design and associated bid periods will add approximately 3 months to the

completion schedule.

Conclusion

In conclusion, providing a mean to reject the heat generated in the growth chambers presents the most

challenging obstacle to placing the growth chambers into operation. Several options were considered for

meeting the most challenging component of the project. On the basis of minimum life cycle costs, air

cooled condensing is a clear choice. Although this choice does not have the lowest first costs, the lowest

first cost alternative, domestic water cooling, has high water and sewerage utility costs and is not a

viable long term option. The other options have significantly higher costs than the air cooled option.

Facilities Project Managers Guide Page 121

To implement this option, new air cooled condensers will be located on the roof immediately above the

growth chambers. XYZ Company will provide proprietary engineered components for installation by

union tradesmen. A structural design will also be necessary to place the condensers on the roof, assure

structural integrity, and coordinate the required roof penetrations.

A new water supply and drainage system will also be provided for humidification and watering. The

refrigeration systems will contain sufficient refrigerant to require leak detection and alarm. At this early

stage, we also anticipate additional scope may be required to accommodate design details not considered

at this early stage, feasibility.

Total project costs associated with completing the installation, are estimated to be in a range between

$100K and $160K as indicated in the budget presented below. Additional breakdown of the anticipated

costs are presented in the appendices.

Budget Range

Construction $75,000 $120,000

Planning and Design 8,000 10,000

FFE 0

Project Support 2,000 3,000

Transportation 0

Project Management 10,000 15,000

Contingency 5,000 12,000

Total $100,000 $160,000

Table 3

Facilities Project Managers Guide Page 122

APPENDIX A – LIFE CYCLE COST OF DIFFERENTIAL OPTIONS

Option 1-Air cooled Condenser

Construction Costs low NPV high

General Conditions $5,000 $6,000

GC Roof penetrations and stuctural dunnage

5,000 10,000

Mechanical 2,000 5,000

Electrical 20,000 25,000

Plumbing 10,000 20,000

Refrigeration

Refrigerant Monitoring

3,000 5,000

Refrigeration 8,000 12,000

Condensing unit 22,000 22,000

Design Development Allowance

0 15,000

$75,000 $75,000 $120,000

Used Equipment Purchase 73,000

Net Present Value of Life Cycle Compressor Energy Costs(eer=5)

58,979

Annual Air cooled condenser hear rejection cost

Energy Consumption (electrical)

Cooling Capacity (tons) 40

Diversity 0.50

delta Temp (air) 10

condenser fan horse power 1

annual hours of operation 8,760

electric use rate (kw) 1

annual useage (kwh) 6,570

electric billing rate ($.10/kwh) $0.10

annual air cooled condenser heat rejection cost $657.00 $5,073

Net Present value $212,052 Refrigeration Compressor (Air Cooled)

Rated Amps 21

Voltage 480

Phase factor 1.73 KVA 17

EER @ Tc=115 5

full load heat rejection(tons) 25 full load refrigeration capacity (tons) 20

diversity 50%

Annual hours of operation 8760 Annual compressor energy consumption (kwh) 76,380

Electric power billing rate ($/kwh) $0.10

Annual compressor energy cost ($) 7,638 discount rate 0.05

Facilities Project Managers Guide Page 123

Net Present Value of Life Cycle Compressor Energy Costs(eer=5) 58,979

Option 2 – Cooling Tower Water Cooled Condenser NPV

General Conditions $5,000.00

Mechanical 16,000 Electrical 23,000

Plumbing

Domestic water & sanitary connection 26,000 Roof 15,000

Cooling Tower Package 20,000

Design Development Allowance 15,000 $120,000.00 $120,000

Net Present Value of Life Cycle Compressor Energy Costs(eer=10) $29,489

Energy Consumption (condenser water)

Cooling Capacity (tons) 40

Diversity 0.50 delta Temp 8

average flow rate (gpm) 72

annual hours of operation 8,760

annual evaporation rate (gal) 33,692

blowdown 67,385

domestic water billing rate ($/gal) $0.0032 sanitary waste billing rate $0.0040

fan energy 1,000

water treatment 5,000 annual domestic water cost 323

annual sanitary waste cost 404

$6,727.75 $51,950 Net Present Value $201,439

Refrigeration Compressor (Chilled Water Cooled Condenser)

Rated Amps 21

Voltage 480

Phase factor 1.73

KVA 17

EER @ Tc=115 5

EER @ Tc=85 10

full load heat rejection(tons) 25

full load refrigeration capacity (tons) 20

diversity 50%

Annual hours of operation 8760

Annual compressor energy consumption (kwh) 38,190

Electric power billing rate ($/kwh) $0.10

Annual compressor energy cost ($) 3,819

discount rate 0.05

Net Present Value of Life Cycle Compressor Energy Costs(eer=10) 29,489

Facilities Project Managers Guide Page 124

Option 3 – Chilled Water Condenser Cooling NPV

General Conditions $2,500

Mechanical 2,000

Electrical 14,000

Plumbing

Domestic water & sanitary connection 16,500

Isolation heat exchanger package 20,000

2" Chilled water line 500 ft. 20,000

Design Development Allowance 15,000

90,000 $90,000

Net Present Value of Life Cycle Compressor Energy Costs(eer=15) 19,660

Energy Consumption (chilled water)

Cooling Capacity (tons) 40

Diversity 50%

delta Temp 24

average flow rate (gpm) 20

annual hours of operation 8,760

annual flow rate 10, 512,000

annual useage (ton hours) 175200

chilled water billing rate ($/ton hour) $0.20

annual chilled water heat rejection cost $35,040 270,570

Net Present Value $380,229

Refrigeration Compressor (Chilled Water Cooled Condenser)

Rated Amps 21

Voltage 480

Phase factor 1.73

KVA 17

EER @ Tc=115 5

EER @ Tc=70 15

full load heat rejection(tons) 25

full load refrigeration capacity (tons) 20

diversity 50%

Annual hours of operation 8760

Annual compressor energy consumption (kwh) 25,460

Electric power billing rate ($/kwh) $0.10

Annual compressor energy cost ($) 2,546

discount rate 0.05

Net Present Value of Life Cycle Compressor Energy Costs(eer=15) 19,660

Facilities Project Managers Guide Page 125

Option 4 – Domestic Water Cooling Option 4 - Domestic Water Cooling NPV

General Conditions $ 2,500

Mechanical 2,000

Electrical 14,000

Plumbing 16,500

Design Development Allowance 15,000

50,000 $50,000

Net Present Value of Life Cycle Compressor Energy Costs(eer=15) 19,660

Energy Consumption (domestic water)

Cooling Capacity (tons) 40

Diversity 0.50

delta Temp 48

average flow rate (gpm) 10

annual hours of operation 8,760

annual flow rate 5,256,000

domestic water billing rate ($/gal) $0.0031

Sewer water billing rate ($/gal) 0.004

annual domestic water cost $16,118

annual sanitary waste cost $21,024

annual domestic water heat rejection cost $37,142.40 286,804

Net Present Value $356,463

Facilities Project Managers Guide Page 126

Option 5 – Chilled Water Direct Cooling

Option 5 - Chilled Water Direct Cooling NPV

General Conditions $2,500

Mechanical 2,000

Electrical 14,000

Plumbing

Control Modifications 15,000

Evap Coil 25,000

2" Chilled water line 500 ft. 20,000

Design Development Annalysis 15,000

93,500 $93,500

Net present value of compressor energy costs 0

Energy Consumption (chilled water)

Cooling Capacity (tons) 40

Diversity 0.50

delta Temp 12

average flow rate (gpm) 40

annual hours of operation 8,760

annual flow rate 21,024,000

annual useage (ton hours) 140160

chilled water billing rate ($/ton hour) $0.20

annual chilled water heat rejection cost $28,032 216,456

Net Present Value $309,956

Facilities Project Managers Guide Page 127

Sample SD VE

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

Mechanical

1 Heat Recovery Options $ (60,000) Analyze in DD (60,000)

2 Eliminate 2 speeds from Recirc clean room (150,000) Analyze in DD

(150,000)

3 50% fixed sash @31 fume hoods (31,000)

(31,000)

4 Eliminate 3rd floor specialty labs Scrubber (245,000) (245,000)

4a Downsize scrubber

ENSR advise, $ TBD

5 View current AHU #4 - Eliminate Fan Coil (10,000) (10,000)

6

Reduce Floor Ht at 16' floors and raise penthouse (200,000)

Verify archit/struct/MEP impact

(200,000)

7 Acid Nuetralization systems -Eliminate (30,000) (30,000)

8

Eliminate all humidifyers for clean room (20,000) (20,000)

9

Eliminate lab humidifyers in penthouse (50,000) (50,000)

10 Unify humidification / dehudificate to 42% (65,000) (65,000)

11 Central HVAC in Penthouse (20,000)

Reduce # of AHU (20,000)

12 Delete 18 meg ohm system (360,000)

Reduce distribution, final polish (360,000)

13 PVC Pipe for DI water (32,000) (32,000)

14

Galvanized steel ductwork for solvent exhaust (100,000) (100,000)

14a Consolidate all solvent exhaust (20,000) add CNF to lab

(20,000)

15 Revise non-potable water system (21,000) at lab sinks (21,000)

16 Delete natural gas to (21,000) Utility corridor (21,000)

Facilities Project Managers Guide Page 128

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

labs distribution only

17 Delete nitrogen to labs (5,000) Utility corridor distribution only (5,000)

18

Delete vacuum sys/install exhaust system (100,000)

explore requirements

(100,000)

19 Reduce Utl compressed air (20,000)

explore requirements

(20,000)

20

Reuse Company E AHU/Combine non lab AHUs

SubTotal $ (1,560,000) SubTotal $ (979,000) $ (350,000)

$ (231,000)

20% Markup (1,872,000) SubTotal w/ 20% Markup (1,174,800)

(420,000)

(277,200)

60% Realized $ (1,123,200) Realize 100% Yes, 35% Maybe $ (1,174,800)

$ (147,000) $ -

Electrical

1 VFD Change $ (24,000) (24,000)

2 Locate generator in basement (40,000)

verify storage of fuel

(40,000)

3

Downsize generator - look at optional standby (140,000) (140,000)

4

Relax CU spare capacity standard - generator (5,000)

(5,000)

5 Lighting package reduction to $6/sqft (131,000)

consider fewest # of fixtures (131,000)

6 Review quantity of power outlets (12,500) (12,500)

6a Reduce raceway standards (13,000) (13,000)

7 Rough in changes (25,000) (25,000)

8 delete Central Clock sys (31,000) (31,000)

9 TeleData

Adjust to 500 drops -

10 Delete Video/Confr (18,000) Not construction budget (18,000)

11 Delete Paging Sys (16,000) Not construction (16,000)

Facilities Project Managers Guide Page 129

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

budget

12 Lightning Protection system (65,000)

(65,000)

SubTotal $ (520,500) SubTotal $ (386,500) $ (129,000)

$ (5,000)

20% Markup (624,600) SubTotal w/ 20% Markup (463,800)

(154,800)

(6,000)

60% Realized $ (374,760) Realize 100% Yes, 35% Maybe $ (463,800)

$ (54,180) $ -

Structural

1 Reduce vibration at 3rd floor $ (50,000)

(50,000)

2

Relocated tunnel, infill basement, move elevator (50,000) Verify sheilding

(50,000)

SubTotal $ (100,000) SubTotal $ - $ (100,000) $ -

20% Markup (120,000) SubTotal w/ 20% Markup -

(120,000)

-

50% Realized $ (60,000) Realize 100% Yes, 35% Maybe $ -

$ (42,000) $ -

Architectural

1 Adjust slate flooring pricing to thin set $ (120,000) (120,000)

2 Reduce stone walls in atrium (200,000) Revise materials (200,000)

2a Add 40 fire shutters @ Atrium 80,000 80,000

3 Reduce railings in atrium (30,000) (30,000)

4 Reduce stone on exterior (50,000)

(50,000)

5 Another freight elevator scheme (50,000)

(50,000)

6 Review casework allowance (100,000)

(100,000)

7 Delete Natural gas

in Mechanical

8 Barrell vault roof (50,000)

(50,000)

Facilities Project Managers Guide Page 130

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

9 Cleanroom Wall system (50,000)

Verify rated assembly needs (50,000)

9a Revise perimeter walls of cleanroom (50,000)

(50,000)

9b Reduce ClnRm ceiling system (70,000)

(70,000)

10 Reduce sound treatment at atrium (50,000) (50,000)

11 Reduce carpet allowance to $25/sqyd (20,000) (20,000)

12 Eliminate cleanroom casework - TBD

13 Eliminate Elevator or Stair (45,000) (45,000)

14 Reduce Curtainwall (50,000) (50,000)

15 Eliminate fritted glass (20,000) Increases HVAC

(20,000)

16

Terrace deck material change 80/20 crete/stone (150,000) (150,000)

17 Delete Window washing equipment (25,000)

(25,000)

18 Cleanroom floor system (45,000)

(45,000)

19 Interior Signage (40,000) (40,000)

20 Gas cabinets to fit out (220,000) (220,000)

SubTotal $ (1,355,000) SubTotal $ (895,000) $ (340,000)

$ (120,000)

20% Markup (1,626,000) SubTotal w/ 20% Markup (1,074,000)

(408,000)

(144,000)

50% Realized $ (813,000) Realize 100% Yes, 35% Maybe $ (1,074,000)

$ (142,800) $ -

Contract/Purchasing Strategy

Adjust Escalation/Acceleration Assumptions $ - TBD

Early Procurement $ (300,000) Big $ items

(300,000)

Open Spec $ - TBD

SubTotal $ (300,000) SubTotal $ - $ $ -

Facilities Project Managers Guide Page 131

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

(300,000)

20% Markup (360,000) SubTotal w/ 20% Markup -

(360,000)

-

100% Realized $ (360,000) Realize 100% Yes, 35% Maybe $ -

$ (126,000) $ -

Total Projected value of VE Ideas $ (2,730,960)

$ (2,712,600) $ (511,980)

$ -

Function/Program Options

1 Office Support adjustment by Users (350,000) (350,000)

2 Adjust Program - swap space types -

Variable, but insufficient

-

3 Reduce Dry Lab covertiblity (250,000)

(250,000)

4

Reduce Cleanroom; Accommodate all characterization, Teaching Lab & CNF Admin - TBD

-

5 Reduce Cleanroom Class to 10,000 - TBD

-

6 No High Toxic Lab capability -

-

7 Change module size from 11' to 10'-6" (665,100)

Shorten bldg by 8'

(665,100)

8 Trim 1 module slice (1,490,320) Shorten bldg by 10'6"'

(1,490,320)

9 Trim 2 module slice (2,981,200) Shorten bldg by 21'

(2,981,200)

10 Move Colloquium to Bldg footprint (250,000)

Reduces other program

(250,000)

SubTotal $ (350,000)

$ (2,405,420)

$ (3,231,200)

20% Markup

SubTotal w/ 20% Markup (420,000)

(2,886,504)

(3,877,440)

Total Projected value of Function/Progra

Realize 100% Yes & Maybe $ (420,000)

$ (2,886,504

$ -

Facilities Project Managers Guide Page 132

Value Engineering Ideas by

Discipline Cost Impact Comments Yes Maybe No

m Ideas )

Atrium

Building

Name W

64 70

72 90

4608 6300

73.14%

12 30

22 30

264 900

5.73% 14.29%

4344 5400

80.44%

Building Name

Building

Name W

80 70

72 90

5760 6300

91.43%

Building Y

Building

Name W

30 70

194 90

5820 6300

92.38%

Total Atrium

Building

Name W

16188 6300

256.95%

Facilities Project Managers Guide Page 133

Sample SD Cost Strategy

Building Company A Company B

Project Elements Estimate Estimate Delta

New Bldg. $ 31,390,718 $ 32,623,000 $ (1,232,282)

Atrium Addition and Modifications 5,995,745 6,530,000 (534,255)

―B‖ Hall 2,044,009 1,077,000 967,009

Sitework 2,639,180 2,607,000 32,180

Total $ 42,069,652 $ 42,837,000

$ (767,348)

Buidling Company A Company C

Project Elements Estimate Estimate Delta

Landscape (Carried Above) $ 953,000 $ 1,300,000

$ (347,000)

Gross Area

Type of Space Budget Estimate Delta

Mechanical Rooms 22,500 46,934 24,434

Service, Misc. 13,120 12516 (604)

1st Floor Clean Room ** 36,600 27301 (9,299)

2nd Floor Lab Space 30,000 26954 (3,046)

3rd Floor Lab Space 28,640 27589 (1,051)

Atrium 18,940 22142 3,202

Total Project GSF 149,800 163,436 13,636

Project Budget/SD Estimate $ 37,000,000 $ 42,069,652 $ 5,069,652

Cost/GSF $ 247.00 $ 257.41

Cost/GSF x GSF Delta $ (3,368,037) $ (3,510,009)

Facilities Project Managers Guide Page 134

How to get to 37 million? Goals

I. Reconcile A/BDifferences $ -

II. Reconcile A/C Differences $ -

III. Value Engineering Yes Maybe

Mechanical $ 1,174,800 $ 147,000

Electrical 463,800 54,180

Architectural 1,074,000 142,800

Structural - 42,000

Contract/Purchasing - 126,000

SubTotal VE

$ 2,712,600

$ 511,980

Continued

IV. Functional/Program Changes Yes Maybe

Reconfirm program $ 420,000 $ -

Quantity/function of lab - 300,000

SqFt reduction - 2,586,504

Redesign - -

Reduce Quality Not Explored Beyond VE

$ 420,000 $ 2,886,504

Yes Maybe

Net Total Cost Reductions $ 3,132,600 $ 3,398,484

V. Risk Items

Rock

Verify storage for

events

Vibration Study Redundancy

Shoring/Underpinning EIS Study

Code Issues Gas Detection

Company E In Operation

Off peak work

vibration, sound

Const. Freight

elevator, travel

Temp Eclosure on west

elevation

I.E.S. study

Wind Tunnel results

Environmental

Casework in cleanroom

Facilities Project Managers Guide Page 135

Sample Design Development Value Engineering

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

Foundations

1.01 6/12/2000 Delete stainless steel rebar at characterization.

$ (10,000) Pending Need EMI consultant

1.02 6/12/2000 Revise rock unit pricing. $ 226,000 Approved

1.03 6/12/2000 Revise bank shoring unit pricing/quantity, look at alternate wall forming methods (in at $36/sf).

$ (21,000) Approved

1.04 6/12/2000 included with 1.06 $ - N/A

1.05 6/12/2000 Raise basement floor elevation 1' in mechanical room and 2' in electrical room

$ (72,000) Approved

1.06 6/12/2000 Revise Caisson per new sizing.

$ (25,000) Approved

Floor and Roof Structures

3.01 6/12/2000 Change concrete frame unit prices.

Pending

3.02 6/12/2000 Delete fireproofing at penthouse roof framing.

$ - N/A included in revised design and estimate

3.03 6/12/2000 Change roof framing from 15# to 10# per sf.

$ (85,000) Approved

3.04 6/12/2000 Reduce concrete frame heating.

$ (33,000) Approved Per John H.

Enclosure

4.01 6/12/2000 Revise composite metal panels from gasketed system to wet seal.

$ (80,000) Rejected

4.02 6/12/2000 Lower atrium curtain wall elevation heights 5'-0" +/-. Eliminate/minimize clerestory windows at Building Y terrace (reduce by 5'-0" +/-)

$ (75,000) Pending ABC to review design implications

4.04 6/12/2000 Delete storefront on north side of Building Y; existing to remain

$ (18,000) Rejected Bob thinks we are light in the estimate

Facilities Project Managers Guide Page 136

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

Roofing and Waterproofing

5.01 6/12/2000 Eliminate rectangular skylights at Atrium.

$ (16,000) Rejected

5.02 6/12/2000 Eliminate skylight at Atrium stair

$ (7,500) Rejected

5.03 6/12/2000 Weathered Terne Coated Steel to painted metal on barrel vault roof.

$ (88,000) Rejected Cannot be taken with 5.03a

5.03a 6/12/2000 Terne Coated Steel to Sarnafil profile

$ (105,000) Rejected Cannot be taken with 5.03

Interior Partitions

6.01 6/12/2000 Reduce cleanroom ceiling height to 9'. (from 10')

$ (18,000) Approved Cannot be taken with 17.17

6.02 6/12/2000 Use hollow metal frames in lieu of aluminum.

$ (40,000) Approved

6.03 6/12/2000 Change all interior doors from 9'-0" to 8'-0".

$ (4,500) Rejected

6.03a 6/12/2000 Change all interior doors from 8' to 7'

$ (4,500) Rejected

6.04 6/12/2000 Review extent of sidelights/transoms at interior doors.

$ - N/A

6.05 6/12/2000 Change interior doors from solid core maple finish to more economical species - based on 3x9' doors

$ (10,000) Rejected Possible Bid Alternate

6.05a 6/12/2000 Change interior woodwork from maple to more economical species

$ (20,000) Rejected Possible Bid Alternate

Facilities Project Managers Guide Page 137

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

6.06 6/12/2000 Eliminate roll down fire shutters and glass guardrails at all openings (1st, 2nd, 3rd floors). Replace with tempered/laminated glass windows in gasketed frames with minimum two deluge sprinklers per opening (to maintain 2 hour separation required by New York State Building Code.) include bridge connections in this change

$ (6,000) Pending 1450 sqft of acoustical treatment needed.

6.07 6/12/2000 Included in 6.06 $ - N/A

6.08 6/12/2000 Reduce number of doors in clean room or change size or type.

$ (8,000) Approved

6.09 6/12/2000 Replace automatic sliding doors in clean room with single swinging doors.

$ (19,000) Approved

6.10 6/12/2000 Reduce size of doors upstairs to serv. Corridor-width double doors to single doors.

$ (11,000) Approved research finish hardware count on these leaves

6.11 6/12/2000 Replace ZB walls with Z $ (39,000) Approved

6.11a 6/13/2000 Replace some clean room walls with standard stud walls for "fixed" rooms

$ (11,000) Rejected

6.12 6/12/2000 Revise F13 Partition @ clean room to Epoxy finish

$ (30,000) Approved

Floor, Wall and Ceiling Finishes

7.01 6/12/2000 Change slate paving to slate tile, thin set application. (Investigate fixed tile sizes, pattern options, and domestic stone supplier.)

$ - N/A included in revised design & estimate

Facilities Project Managers Guide Page 138

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

7.02 6/12/2000 Change stone tile to patterned stained concrete for Atrium floor.

$ (75,000) Rejected Potential to re-price slate tile in lieu of stamped concrete

7.03 6/12/2000 Change stone tile walls to painted gyp. Board.

$ (29,000) Rejected

7.04 6/12/2000 At Atrium ceiling, revise ceiling design to utilize suspended T-bar/perf. Metal lay-in panel construction with acoustical material behind.

$ (27,000) Rejected

7.05 6/12/2000 Revise Atrium ceiling to use Tectum type acoustical panel instead of perf. Metal.

$ (41,000) Rejected

7.06 6/12/2000 Eliminate acoustical fabric wrapped paneling Compare performance/cost to glue down fabric installation

$ (37,000) Rejected

7.07 6/12/2000 Revise carpet cost from $35/yd to $28/yd. Verify carpet as direct glue installation, no pad. (Cannot be taken with 7.08)

$ (13,000) Approved

7.08 6/12/2000 Investigate using poly-olefin type carpet and reducing carpet cost to $15-$20/yd.) (Cannot be taken with 7.07)

$ - N/A see 7.07

7.09 6/12/2000 Revise cleanroom materials

$ - N/A see 6.11 and 6.12

7.10 6/12/2000 Revise cleanroom layout $ (240,000) Rejected

7.11 6/12/2000 Remove ceiling grid over service area in clean room

$ - N/A included with 7.13

7.12 6/12/2000 Change floor in mos service area (end of clean room) to vct controls?

$ - N/A included with 7.13

7.13 6/12/2000 Reduce ceiling grid at clean room - eliminate furnace back area - use

$ (18,000) Approved

Facilities Project Managers Guide Page 139

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

VCT in lieu of static flooring

Function Equipment and Specialties

8.01 6/12/2000 Eliminate all racks, etc. in chem storage area. Owner will fit out as needed.

$ (52,850) Approved

8.02 6/12/2000 Replace walk-in hoods in chem waste area with snorkels.

$ (37,000) Approved

8.03 6/12/2000 Reduce/eliminate overhead service carriers.

$ - N/A with 8.05

8.04 6/12/2000 Reduce out fitting of toxic gas labs until occupants better known.

$ - N/A with 8.05

8.05 6/12/2000 Eliminate some lab specialties items.

$ (415,851) Approved Target $1,000,000 for lab equipment - Lynn to review Kewaunee estimate

8.06 6/12/2000 Reduce Lab Furniture $ - N/A with 8.05

8.07 6/12/2000 Delete Clean Room Equipment added at DD

$ - N/A with 8.05

8.08 6/12/2000 Reduce Signage allowance to $30,000

$ (30,000) Approved

Vertical Transportation and Stairs

9.01 6/12/2000 Provide standard cab finishes in elevators.

$ (24,000) Approved go to the standard stainless cab interior

9.02 6/12/2000 Stair railings to be standard SS mesh product in painted metal frame with SS grab rails

$ - N/A estimate not based on custom design

9.03 6/12/2000 Delete translucent glass risers

$ (30,000) Approved Go to standard riser

9.04 6/12/2000 Relocate elevator at Building Y south.

$ - N/A included with 9.11

Facilities Project Managers Guide Page 140

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

9.05 6/12/2000 Change Stair #1 and #2 to rectangular switchback stairs (not squares).

$ - N/A

9.06 6/12/2000 Eliminate star #3 at South Building Y. Retain exterior fire escape for egress from 2nd floor.

$ - N/A impacted by 9.11

9.07 6/12/2000 Remove dumbwaiters completely, transport chemicals in service elevators.

$ (24,000) Rejected

9.08 6/12/2000 Change guardrails from stainless steel/mesh to all painted metal.

$ - N/A included with 9.02

9.09 6/12/2000 Review changing handrails from stainless steel to wood.

$ - N/A included with 9.02

9.10 6/12/2000 Alternative to the handicap elevator - wheel chair lift

$ - N/A not allowed by code

9.11 6/12/2000 Redesign HRM delivery systems. Delete Stair 12, delete elevator 1, Elevator 2 becomes (elev 1) freight & passenger and adds basement HRM corridor stop. Elevator 3 becomes hydraulic three stop ( basement MER, HRM and cleanroom/service). Add 6x6 hatch in penthouse deck with chain fall to 3rd floor (service corridor @ south?). South Building Y stair (#3) extended to 785'6". Move dumbwaiter to that area, use Company E basement for HRM route & storage. Ventilate storage w/HRM, new lights in storage.

$ (430,000) Approved

9.12 6/12/2000 Change Traction Freight elevator to hydraulic

$ - N/A included with 9.11

Subtotal Architectural $

(1,225,701)

Approved

$ (91,000) Pending

Facilities Project Managers Guide Page 141

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

$ (837,500) Rejected

$ (2,154,201) Total

10.01 6/12/2000 Delete non-potable water system.

$ (14,000) Approved Cannot be taken with 10.05

10.02 6/12/2000 Delete laboratory suction vacuum system.

$ (94,000) Rejected Reconsider distribution to 2nd & 3rd floors Watch acceptance of 10.06

10.03 6/12/2000 Eliminate roof drains/overflows. Provide scuppers/gutters at exterior.

Rejected

10.04 6/12/2000 Add insulation for non potable domestic water

$ 39,000 Approved

10.05 6/12/2000 Delete non potable hot water system and associated 10.04 insulation

$ (114,000) Rejected Cannot be taken with 10.01

10.06 6/13/2000 Delete gases distribution in corridors, risers only

$ (55,000) Rejected Reduce credit by 8,000 if 10.02 is accepted

10.07 6/13/2000 Bring gases into building only

Rejected

10.08 6/13/2000 Use copper materials in lieu of stainless for nitrogen

$ (5,000) Rejected

Subtotal Plumbing $ 25,000 Approved

$ - Pending

$ (268,000) Rejected

$ (243,000) Total

HVAC

11.01 6/12/2000 Reduce HEPA's (increase air flow from 62 fpm to 80 fpm), changes coverage from 30% to 25%

$ (39,500) Rejected

11.02 6/12/2000 Reduce process cooling from 400 to 200 gpm.

$ (17,000) Approved

Facilities Project Managers Guide Page 142

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

11.03 6/12/2000 Reduce chilled water system gpm.

$ - Rejected

11.04 6/12/2000 Reduce heating water system gpm.

$ - Rejected

11.05 6/12/2000 Delete temporary exhaust system for canopies.

$ (121,000) Rejected

11.06 6/12/2000 Fan filter units at clean room.

$ (416,000) Rejected Mario would prefer 11.26

11.06a 6/20/2000 Fan Filters at Corridors Pending Explore at CD's

11.06b 6/20/2000 In duct HEPAs at class 10,000 space

Pending Explore at CD's

11.07 6/12/2000 Delete heat recovery unit along with all heat recovery piping, pumps, controls, etc.

$ (331,000) Approved need this with constant volume

11.08 6/12/2000 Change all fume hoods to constant volume half sash. Use a non ddc phoenix valve heresite coated with sound attenuator for each fume hood or grouped snorkels. The labs will remain vav with ddc tracking supply and exhaust terminal units with Building Z Control controllers mounted on teh terminal units. Therefore, you eliminate the Anemostat lab control system. To save further energy consider using the Air Sentry fume hood by Flow Safe Inc which requires 330 to 500 cfm for a 18"-21" sash opening at 40' per minute velocity compared to 900 cfm at 100 fpm for the standard hood.

Pending

11.08a 6/20/2000 Low Flow Fume Hood Pending Cornell To Give Guidence

11.09 6/12/2000 Delete the return air terminal units in the office areas. Use flow measuring station in the

$ - Rejected Already included in estimate

Facilities Project Managers Guide Page 143

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

main return duct to track the supply fan.

11.10 6/12/2000 Verify that there are no control valves at the radiant panels.. The radiant panel system is a constant flow variable temperature system. A main control valve controls the loop temperature based on outdoor air temperature.

N/A

11.11 6/12/2000 Delete scrubber. Leave space.

$ - Rejected Already included in estimate

11.12 6/12/2000 Delete clean steam generator for clean room.

$ (36,000) Rejected

11.13 6/12/2000 Eliminate some back up systems/pumps.

Rejected

11.13a 6/19/2000 Eliminate Chilled Water stand-by pump chp-2

$ (28,000) Rejected

11.13b 6/19/2000 Eliminate process chilled water stand-by pump PCHP-2

$ (9,000) Rejected

11.13c 6/19/2000 Eliminate glycol hot water stand-by pump gwp-2

$ (10,000) Rejected

11.13d 6/19/2000 Eliminate hot water stand by pump HWP-2

$ (10,000) Rejected

11.13e 6/19/2000 Eliminate perimeter heat stand-by pump HWP-4

$ (6,000) Rejected

11.14 6/12/2000 Fan filters instead of fans and filters.

$ - N/A void

11.15 6/12/2000 Reduce di capacity. N/A

11.16 6/12/2000 Reduce air changes in upstairs labs.

N/A

11.17 6/12/2000 Reuse some Company E lab Exh. Lam. Flow benches.

Pending

11.18 6/12/2000 Eliminate natural gas on 3rd floor. (Still costing Cornell at least $16,000.)

$ (4,000) Approved (name) to re-price

Facilities Project Managers Guide Page 144

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

11.21 6/12/2000 Utilize steam preheat in lieu of hot water with glycol

$ (100,000) Rejected

11.23 6/12/2000 Replace desiccant drier with low temp chiller and coil

$ 100,000 Rejected

11.24 6/12/2000 Delete clean room instrument air loop

$ (37,000) Approved

11.25 6/13/2000 Delete stack sound attenuators

$ (55,000) Approved

11.26 6/13/2000 Adjustment of re-circulating supply duct to units

$ (391,500) Approved

11.27 6/13/2000 Provide premanufactured clean room system (modular tunnel)

Pending

11.28 6/13/2000 Reduce recirculation air by 10%

Rejected

Subtotal HVAC $ (835,500) Approved

$ - Pending

$ (675,500) Rejected

$ (1,511,000) Total

Electrical

12.01 6/12/2000 Remove cable tray/isoduct language from office spaces and distribute majority of voice/data at the perimeter walls. Distribute to centers of rooms via fixed drop (poles or fixed architectural walls).

$ - N/A refer to 12.07

12.02 6/12/2000 Rotate lights parallel to lab benches and maintain 75 fc at bench height.

$ (16,000) Approved

12.03 6/12/2000 Select cheaper fixture for Labs and provide alternate selections/manufacturers.- stay with parallel scheme

$ (87,000) Approved

Facilities Project Managers Guide Page 145

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

12.04 6/12/2000 Provide fixture alternates for Offices at $6/sf.

$ (90,000) Approved

12.05 6/12/2000 Reduce cost of Atrium lighting by 10% without affecting the design (does not include light tube).

$ (30,000) Approved

12.06 6/12/2000 Eliminate draw-out construction for feeder circuit breakers on the main switchboard. Main draw-outs for the main and tie circuit breakers. This will require that one side of the main switchboard be shut down to pull periodic maintenance of feeder circuit breakers.

$ (36,000) Approved Bob review by maintenance

12.07 6/12/2000 Provide a system of fixed power poles in lieu of linear flexibility Quantities and layout to be determined.

$ (55,000) Pending Pending redesign

12.08 6/12/2000 Fully develop the design of the cleanroom to determine the actual power requirements. At this time the requirements are for an allowance of 30 watts/sf. This needs to be confirmed. Detailed equipment lists will be required.

$ - N/A Pending overall design

12.09 6/12/2000 Delete door access and card reader system $ remaining in construction cost. Limit security and CCTV work to power and raceways only. System equipment and wiring to be provided by the Owner.

$ (30,000) Rejected

12.10 6/12/2000 Relocate the generator to the roof of Building X to reduce the length of the emergency feeder.

$ (37,000) Rejected

Facilities Project Managers Guide Page 146

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

12.11 6/12/2000 Reduce emergency generator capacity - life safety only- 1250 kw to 900 kw

$ (135,000) Approved

12.12 6/12/2000 Reduce 110v outlets by 25%

$ (29,000) Rejected

12.13 6/12/2000 Reduce isoduct by 25%-shorter sections along each wall.

$ (11,000) Rejected

12.14 6/12/2000 Lighting in labs - drop in fixtures vs alternate pendant fixtures parallel to benches

$ (58,000) Pending additive with 12.03

12.14a 6/12/2000 Lighting in offices - drop in fixtures not pendant.

$ (187,000) Pending Additive with 12.04

12.15 6/12/2000 Wireless as a solution to the open office tele/data problem.

$ - N/A

12.16 6/12/2000 Alternative wire distribution in flex-office space.

$ - N/A see 12.07

12.17 6/13/2000 Review & Adjust Clean Room Fixture Counts & Pricing

$ (30,000) Approved

12.18 6/13/2000 Delete Lightning Protection

$ (30,000) Pending Bob get comments from FMI

12.19 6/20/2000 Additional Smoke Detectors at all rooms that are enclosed

$ 100,000 Approved Mike to confirm qtys and budget

Subtotal Electrical $ (324,000) Approved

$ (330,000) Pending

$ (107,000) Rejected

$ (761,000) Total

Sitework

15.01 6/12/2000 Direct burial of utilities in lieu of cast in place

$ (55,000) Pending Additional saving to 16.01 - precast utility tunnel.

15.02 6/12/2000 Remove terrace walkway (no wall, simple path.

$ - Rejected

Facilities Project Managers Guide Page 147

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

15.03 6/12/2000 Make terrace walk narrower (12 feet instead of 16 feet).

$ (4,000) Rejected

15.04 6/12/2000 Revise pricing cover at Loading Dock area.

$ (35,000) Approved

15.04a 6/12/2000 Remove cover on Loading Dock area.

$ (60,000) Rejected

15.05 6/12/2000 Remove enclosure walls @ service area

$ (14,000) Rejected

15.06 6/12/2000 Move X north entrance to Quad budget

$ (66,000) Pending

15.07 6/12/2000 Delete limestone and llenroc handrail at west side terrace from mechanical shaft south to ahndicap access (137 lf) and associated concrete footing/retaining wall

$ (45,000) Rejected

16.01 6/12/2000 Precast south utility tunnel in lieu of cast in place

$ (170,000) Approved Cannot accept with 15.01

16.02 6/12/2000 Sleeves versus concrete for utility tunnel.

$ - N/A see 15.01

Subtotal Site $ (205,000) Approved

$ (121,000) Pending

$ (123,000) Rejected

$ (449,000) Total

General Conditions and Scope

17.01 6/12/2000 Refine tower crane duration/size/cost, move to GC's.

$ (60,000) Approved adjust duration to 14 months

17.02 6/12/2000 Adjust escalation. $ - N/A No value in current market

17.03 6/12/2000 Take 6'-0" off south end of Building X (approximately 1,000 gsf).

$ (30,000) Rejected

17.04 6/12/2000 Eliminate bridge/interaction space at Building Y Atrium on 3rd floor (+/- 500 sf).

$ (27,000) Rejected

Facilities Project Managers Guide Page 148

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

17.05 6/12/2000 Eliminate bridge connection between Building Y and at the 3rd floor level.

$ (35,000) Rejected

17.06 6/12/2000 Eliminate bridge connection between Building Y and at 2nd level

$ (35,000) Rejected

17.07 6/12/2000 Build Chem. Tunnel in Phase 2, use Stair #3 to acccess/egress from basement level. Use Elevator #4 as temporary service elevator and serve Building X through west entry until completion of tunnel in Phase 2 (demolition of Company E) is complete.

$ - N/A included with 9.11

17.08 6/12/2000 Move service elevator and dumbwaiters outside of Building Y footprint (into Atrium).

$ - N/A included in 9.11

17.09 6/12/2000 Delay renovation to Building Y 1st floor. Use chemical storage trailers at exterior. Perform renovation as part of donor or grant proposal build out (by future occupants, companies, etc.)

$ - N/A Sacred - Program compromise

17.10 6/12/2000 Delete owner/architect trailer rental/setup/utilities.

$ (13,000) Approved Target some savings from $26,500; perhaps utilize larger contractor trailer

17.11 6/12/2000 Reduce Kitchen/vending $ - N/A

17.12 6/12/2000 Abandon the flex office concept.

$ - N/A

Facilities Project Managers Guide Page 149

Compnay A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X

Cornell University June 21, 2000

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

17.13 6/12/2000 Reduce basement size by using some of Company E lab basement for incidental mechanical items.

$ - N/A included in other items

17.14 6/12/2000 Basement smaller, penthouse bigger to cut down on rock excavation.

$ - N/A too late in design

17.15 6/12/2000 Shorten time frame by early occupation of clean room.

Pending

General Conditions and Scope Summary $ (73,000) Approved

$ - Pending

$ (127,000) Rejected

$ (200,000) Total

W/ 15 % markup

Total Summary $ (2,638,201) Approved (3,033,931)

$ (542,000) Pending (623,300)

$ (2,138,000) Rejected (2,458,700)

$ (5,318,201) Total (6,115,931)

Summary DD Estimate $43,341,000

Budget $39,000,000

Delta $4,341,000

Approved VE W/ markup ($3,033,931)

Current Delta $1,307,069

Facilities Project Managers Guide Page 150

Sample Construction Development 50 Value Engineering

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

Approved Pending Rejected

1 - Foundations 0 0 0

1.01 11/30/2000 Review Rock Excavation Quantity

$ 20,000

Approved Provide trench for laterals/pit

D 20000 0 0

1.02 11/30/2000 Review MEP Trench excavtion in rock

$ (124,794)

Approved Provide all MEP rock excavation by sitework

D -124794 0 0

1.03 11/30/2000 Review bank shoring - un-realized VE of $235K

$ (200,000)

Approved Company C/company B qtys - 9,900 sf

D -200000 0 0

1.04 11/30/2000 Verify underdrain quantity at basement slab

$ (20,000)

Approved ABC to validate 700 lf quantity with geotech

D -20000 0 0

1.04a 11/30/2000 Review requirement for underdrains at basement slab

$ (24,000)

Pending ABC to validate requirement with geotech

D 0 -24000 0

3 - Floor and Roof Structures 0 0 0

3.01 11/30/2000 Add penthouse structure to Building Y for HVAC equipment

$ 20,000

Approved P 20000 0 0

3.02 11/30/2000 Revise atrium structural steel pricing to $3200/ton

$ (46,000)

Approved -46000 0 0

3.03 11/30/2000 Review concrete pan slab pricing - target savings

$ (50,000)

Approved -50000 0 0

3.03 A 12/7/2000 Eliminate all 4" distribution ribs at pans slab

$ (5,000)

Approved -5000 0 0

3.03 B 12/7/2000 Revise pan slab layout to eliminate 20" wide pans

$ (15,000)

Rejected 0 0 -15000

3.04 11/30/2000 Delete fireproofing at penthouse steel

$ (41,800)

Rejected 0 0 -41800

3.05 11/30/2000 Delete fireproofing at upper atrium steel and/or bridges

$ (16,000)

Approved -16000 0 0

4 - Enclosure 0 0 0

Facilities Project Managers Guide Page 151

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

4.01 11/30/2000 Adjust unit pricing for curtain walls/support steel at atruim

$ -

Pending ABC to refine design for future cost review

0 0 0

0 0 0

4.02 11/30/2000 Adjust unit price for curtain walls/support steel at Dufflied

$ -

Pending ABC to refine design for future cost review

0 0 0

4.03 11/30/2000 Revise north entry to existing Building Y - existing to remain

$ (32,000)

Pending 0 -32000 0

4.04 11/30/2000 Revise exterior caulking scope

$ (15,000)

Approved -15000 0 0

5 - Roofing and Waterproofing

5.01 11/30/2000 Provide membrane roofing as 0.060 EPDM un-reinforced fully adhered with design average R-value

$ (20,000)

Approved D -20000 0 0

5.02 11/30/2000 Revise smoke vents at stairwell roofs

$ 7,000

Approved D 7000 0 0

5.03 11/30/2000 Fluid applied vs. membrane foundation waterproofing

$ (16,000)

Approved D -16000 0 0

6 - Interior Partitions 0 0 0

6.01 11/30/2000 Pending $ -

Pending 0 0 0

0 0 0

7 - Floor, Wall and Ceiling Finishes

7.01 11/30/2000 Revise slate wall material/thickness from mechanically fastened to adhered

$ (42,000)

Approved Confirm unit pricing

A -42000 0 0

7.02 11/30/2000 Revise source of slate materials

$ (72,000)

Approved Vermont Slate D/A -72000 0 0

7.03 11/30/2000 Review clean room ceiling quantites/details at partitions

$ -

Pending 16192 sf per ABC D 0 0 0

7.04 11/30/2000 Review clean room ceiling support system under

$ -

Pending Company A to verify estimate

D 0 0 0

Facilities Project Managers Guide Page 152

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

recirc units and ductwork

7.05 11/30/2000 Revise Mech room B0070 floor to clear sealer

$ (17,000)

Approved D -17000 0 0

7.06 11/30/2000 Delete ceiling grid at clean room furnace area

$ (14,117)

Approved D -14117 0 0

8 - Function Equipment and Specialties

8.01 11/30/2000 Reduce quantity of lab casework and equipment to 85% DD VE scope

$ (102,545)

Approved D -102545 0 0

8.01 A 12/8/2000 Delete coldroom - move to fitout costs

$ (45,000)

Approved -45000

8.02 11/30/2000 Review lab casework unit pricing

$ -

Pending D 0 0 0

8.03 11/30/2000 Add gas cylinder restraints at labs

$ -

Rejected D 0 0 0

8.04 11/30/2000 Revise window treatment unit pricing

$ (40,000)

Approved Still have 6000 sf at $5/sf

D -40000 0 0

8.05 11/30/2000 Reivew projection screen vs. marker board quantities

$ (8,000)

Approved R -8000 0 0

9 - Vertical Transportation and Stairs 0 0 0

9.01 11/30/2000 Reduce freight elevator capacity from 7000# to 5000# for #1 and #4

$ (135,000)

Pending Changes openings and door heights and arrangements

D/A 0 -135000 0

9.02 11/30/2000 Provide direct purchase of dumbwaiters

$ (20,000)

Approved Need vendor quotes

D/P -20000 0 0

Subtotal Architectural $ (826,456)

Approved

$ (191,000)

Pending

$ (56,800)

Rejected

$ (1,074,256)

Total

Facilities Project Managers Guide Page 153

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

10.01 11/30/2000 Reduce misc. plumbing R/I's quantity from 100 to 50

$ (10,649)

Approved D -10649 0 0

10.02 11/30/2000 Revise Laboratory air compressor

Pending D 0 0 0

10.03 11/30/2000 Provide mechanical joint pipe at under 3" vents for acid waste piping

$ (10,562)

Approved D -10562 0 0

10.04 11/30/2000 Provide mechanical joint pipe at under 3" drains for acid waste piping

w/10.03 Approved D w/10.03 0 0

10.05 11/30/2000 Provide welded stainless steel nitrogen piping for clean roon

$ 30,000

Pending Bob to pursue as vendor provided

D 0 30000 0

10.06 11/30/2000 Delete fire wrap on plastic pipe in plenums ((DI, acid waste)

$ (15,900)

Approved Need sprinklers on ceiling plenum at cleanroom

D -15900 0 0

10.07 11/30/2000 Revise cost per Company Dl pricing

Pending all 0 0 0

10.08 11/30/2000 Provide kitchen equipment rough-ins

$ 20,000

Approved No exhaust D/P 20000 0 0

10.09 11/30/2000 Delete tool hook-up piping - provide as fit-out (DI, vacuum, air, nitrogen)

$ (92,914)

Rejected D 0 0 -92914

10.10 11/30/2000 Bore permanent Building Y water feed from Building X thru to Building Y basement

Pending D 0 0 0

10.11 11/30/2000 Future drain locations above clean-rooms

$ 10,000

Approved D 10000 0 0

10.12 11/30/2000 Simplify clean-room fit-out

Pending Cornell to confirm scope

D 0 0 0

10.13 11/30/2000 Delete automatic flush valves

$ (14,076)

Approved D -14076 0 0

10.14 11/30/2000 Delete domestic water booster pump

$ (9,700)

Approved D -9700 0 0

10.15 11/30/2000 Delete vacuum to 2nd and 3rd floor labs

$ (40,000)

Approved D -40000 0 0

10.16 11/30/2000 D 0 0 0

Facilities Project Managers Guide Page 154

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

0 0 0

Subtotal Plumbing $ (60,238)

Approved

$ 30,000

Pending

$ (92,914)

Rejected

$ (123,152)

Total

11- HVAC

11.01 11/30/2000 Revise cost per Company D pricing

11.02 11/30/2000 Change FRP duct to alternate material

$ (200,000)

Approved (name) to confirm pricing

D -200000 0 0

11.03 11/30/2000 Revise loacations for FRP duct

w/11.02 D 0 0 0

11.04 11/30/2000 Delete FRP duct connections to hood - provide with fit-out

Rejected D 0 0 0

11.05 11/30/2000 Utilize standard valves in lieu of process quality valves and controls at re-circ air units at clean room - quantity of 24 (all but RAHU 2/3)

$ (54,000)

Approved D -54000 0 0

11.06 11/30/2000 Provide competitve controls bidding

Pending D/A 0 0 0

11.07 11/30/2000 Revise smoke exhaust duct in atrium

$ (40,000)

Approved (name) to review BR+A drawings

A

11.08 11/30/2000 Eliminate cooling at bridges

$ (27,089)

Approved A -27089 0 0

11.09 11/30/2000 Review costs for temporary air intake relocation (only needed 2 months per Cornell)

$ (10,000)

Approved Review schedule D -10000 0 0

Facilities Project Managers Guide Page 155

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

0 0 0

11.10 11/30/2000 Spark resistant vs. explosion proof motors at exhast fans

$ (2,000)

Approved D -2000 0 0

11.11 11/30/2000 Add flying fin-tube heating of curtain walls - no cover

$ 18,000

Approved Need drawings from A/E

D 18000 0 0

11.12 11/30/2000 Bore permanent Building Y steam feed and condensate return from Building X thru to Building Y basement

Pending D 0 0 0

11.13 11/30/2000 Delete clean room process cooling fit-out

$ (65,286)

Rejected 0 0 -65286

11.14 11/30/2000 Delete lap-top computer with full graphical software package

$ (5,000)

Approved D -5000 0 0

11.15 11/30/2000 Delete training instructions per specifications

$ (10,000)

Pending confirm pricing of revised spec

D 0 -10000 0

11.16 11/30/2000 Provide laboratory quality in lieu of process quality temperature transmitters (except for RAHU 2/3)

$ (12,000)

Approved D -12000 0 0

11.17 11/30/2000 Change silane duct from SS 304 welded to galvanized spiral

$ (42,824)

Approved -42824 0 0

11.18 11/30/2000 Delete recirculating pumps at 24 RAHU's

$ (33,000)

Pending review load calcs D 0 -33000 0

0 0 0

11.19 11/30/2000 Change class of instructional lab from 1000 to 10,000

$ (27,000)

Approved

11.20 11/30/2000 Adjust chilled water and condensate meters

$ 8,000

Approved D 8000 0 0

Facilities Project Managers Guide Page 156

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

11.21 11/30/2000 Change vacuum pump exhaust duct riser from 20 to 12 inch diameter

$ -

Pending (name) to confirm pricing

0 0 0

11.22 11/30/2000 Change outside air plenumbs from SS to galvanized G90 except for the bottom panel

$ (4,700)

Approved -4700 0 0

11.23 11/30/2000 AHU-2, 3 & PH-1 to be double wall in lieu of single wall

$ 50,250

Approved (name) to confirm with Trane

50250 0 0

11.24 11/30/2000 $ -

Pending

Subtotal HVAC $ (281,363)

Approved

$ (43,000)

Pending

$ (65,286)

Rejected

$ (389,649)

Total

12 - Electrical

12.01 11/30/2000 Delete lab equipment connections

$ (75,583)

Approved D -75583 0 0

12.02 11/30/2000 Provide solid bottom/covered cable tray vs. ladder type

$ (17,000)

Approved D -17000 0 0

12.03 11/30/2000 Revise pricing of light pipe at Atrium

$ -

Rejected Cornell to prepurchase

A 0 0 0

12.04 11/30/2000 Revise power pole pricing at offices

$ -

Approved No data - (name) to price

D 0 0 0

12.05 11/30/2000 Review Company E demolition costs

$ (20,000)

Approved S -20000 0 0

12.06 11/30/2000 Owner to provide tele/data wiring

$ (34,000)

Approved all -34000 0 0

12.07 11/30/2000 Provide kitchen equipment rough-ins

$ 10,000

Approved D/A 10000 0 0

12.08 11/30/2000 Increase power and data outlets at Atrium

$ 9,450

Approved A 9450 0 0

Facilities Project Managers Guide Page 157

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

12.09 11/30/2000 Delete remote ballasts at e-beam rooms and utilize incandescent

$ -

Approved (name) to review pricing

D 0 0 0

0 0 0

12.10 11/30/2000 Class A wiring for initiating devices not required - use class B

$ (10,000)

Approved R -10000 0 0

12.11 11/30/2000 Change 600 kcmil to 500 kcmil up to 800A, eliminate special devices

$ (20,000)

Approved Revises to standard breakers at 80%

-20000 0 0

12.12 11/30/2000 Delete witness testing on transformer and generator

$ (15,000)

Approved -15000 0 0

0 0 0

12.13 11/30/2000 Delete impulse testing on transformers, provide data for similar equipment

$ (1,000)

Approved -1000 0 0

12.13 11/30/2000 Utilize aluminum in lieu of copper at switchgear, panels, etc.

Pending (name) to price 0 0 0

12.14 11/30/2000 COMPANY A - delete limit 6 buckets per vertical stack

$ (2,000)

Approved -2000 0 0

0 0 0

Subtotal Electrical $ (175,133)

Approved

$ -

Pending

$ -

Rejected

$ (175,133)

Total

13 - Fire Protection

13.01 11/30/2000 Eliminate flex heads at clean rooms

$ (31,306)

Approved BR+A to review details for ability to change hepas

D -31306 0 0

0 0 0

13.02 11/30/2000 Provide Sch. 10 vs. Sch. 40

$ (6,700)

Approved D/A -6700 0 0

Facilities Project Managers Guide Page 158

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

piping

0 0 0

13.03 11/30/2000 Verify no sidewall heads at skylights

$ -

Pending BR+A to review A 0 0 0

0 0 0

13.04 11/30/2000 Add pre-action system to E-beam rooms

$ 40,000

Rejected Estimate include preaction at Characterization

0 0 40000

0 0 0

13.05 11/30/2000 Delete Pre-action system to Characterization

$ (41,000)

Pending 0 -41000 0

0 0 0

Subtotal Fire Protection $ (38,006)

Approved

$ (41,000)

Pending

$ 40,000

Rejected

$ (39,006)

Total

15 - Sitework

15.01 11/30/2000 Revise routing for emergency generator thru Building Y Hall

$ (85,000)

Approved BR+A and Lemessuir to review routing, Company A to price

S -85000 0 0

15.02 11/30/2000 Revise routing for tele/data ductbank thru Building Y Hall

$ (50,000)

Approved Need design information from BR+A

S -50000 0 0

15.03 11/30/2000 Provide on-site stockpiling of excavated materials to be re-used/filled

$ (5,000)

Rejected Discuss with Company M, potential location at equestrian building

S 0 0 -5000

15.04 11/30/2000 Revise natural gas piping/NYSEG allowance - $40,000

Pending Costich to evaluate

S 0 0 0

15.05 11/30/2000 Review concrete vault removal costs

$ -

Pending Company A to evaluate

S 0 0 0

15.06 11/30/2000 Review site painting cost of $25K

$ (10,000)

Approved -10000 0 0

Facilities Project Managers Guide Page 159

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

15.07 11/30/2000 Review dumping costs for Company E and Building Y

$ (20,000)

Pending Company A to evaluate

S 0 -20000 0

15.08 11/30/2000 Add SDR-21 liner to 16" DIP sanitary sewer under Atrium

$ -

Pending (name) to review with (name)

S 0 0 0

15.09 11/30/2000 Provide clean corridor and elevation adjustment for access between clean rooms in Company E and Building X

$ -

Pending Review at future CNF move strategy meeting

S 0 0 0

15.10 11/30/2000 Delete or change Gothic lights

$ (21,000)

Approved S -21000 0 0

15.11 11/30/2000 Revise pricing for bulk Nitrogen tank piping

$ (4,000)

Pending (comments) S 0 -4000 0

15.12 11/30/2000 Add temporary stairs for south Building Y during construction

$ 5,000

Approved S 5000 0 0

15.13 11/30/2000 Add temporary dock for CNF move

$ 5,000

Pending Review at future CNF move strategy meeting

S 0 5000 0

15.14 11/30/2000 Revise pricing for bulk Nitrogen tank systems

$ (25,000)

Pending (comments) S 0 -25000 0

15.15 11/30/2000 Temporary HRM storage facility

$ -

Pending (comments) S 0 0 0

15.16 11/30/2000 Revmove cost of stairs and bollards at loading dock and site signage

$ (19,000)

Approved S -19000 0 0

15.17 11/30/2000 Eliminate benches

$ (10,600)

Approved S -10600 0 0

15.18 11/30/2000 Delete special shoring

$ (10,000)

Approved S -10000 0 0

15.19 11/30/2000 Delete duplication on Gothic lights on wall

$ (56,250)

Approved S -56250 0 0

0 0 0

$ (256,850)

Approved

$ Pending

Facilities Project Managers Guide Page 160

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

(44,000)

$ (5,000)

Rejected

$ (305,850)

Total

17 - General Conditions and Scope

17.01 11/30/2000 Review moving CNF to Building X with 100% shutdown of Company E as soon as Duffiled cleanroom is on line and validated

$ -

Pending Review at future CNF move strategy meeting

G 0 0 0

17.02 11/30/2000 Provide unit prices for lab fit-out work a reduce fit-out work included in construction

$ -

Pending G 0 0 0

17.03 11/30/2000 Revise General Conditions estimate

$ (50,000)

Approved G -50000 0 0

17.04 11/30/2000 Reduce contingency to 2.5%

$ (358,149)

Pending 0 -358149 0

General Conditions and Scope Summary

$ (50,000)

Approved

$ (358,149)

Pending

$ -

Rejected

$ (408,149)

Total

App/pend (2,521,782)

Total Summary $ (1,698,695)

Approved (1,826,097)

$ (647,149)

Pending (695,685)

$ (180,000)

Rejected (193,500)

$ (2,525,844)

Total (2,715,282)

50% CD Estimate

$42,017,447

Facilities Project Managers Guide Page 161

Company A

VALUE ENGINEERING/COST ADJUSTMENTS

Building X Hall

Cornell University

(date)

Don't forget to hide these columns

NO DATE DESCRIPTION AMOUNT ACTION COMMENTS

Summary

Budget $39,100,000

Delta $2,917,447

Approved VE W/ markup ($1,826,097)

Current Delta $1,091,350

Facilities Project Managers Guide Page 162

Sample Change Order Letter

DATE: June 8, 1998

TO: (name)

(name at C&CP)

FROM: Project manager

SUBJECT: X Project

Change Order #6, Contract # C…

X Construction Company

Please process Change Order #6 to the Guaranteed Maximum Cost (GMC) agreement between Cornell

and the Company G contract #C…, dated …, to cover the following detailed in the attached

documentation:

The following Potential Change Orders (PCO’s) were due to Design Changes:

PCO General Description COW GC's Fee Amount

149 Added type FAG light fixtures not indicated on drawings

$7,965 $159 $8,124

167 RFI#404 -- Foot grill size increase $807 $16 $823

174 ASI#110a - Relocation of floor boxes in classrooms

$20,743 $415 $21,158

216 Change to ACT-4, ceiling tile in classrooms $3,444 $69 $3,513

218 Upgrade brackets & standards in 20 faculty offices

$3,905 $78 $3,983

236 Add 8 ceiling cruciforms in classrooms at projectors

$5,317 $106 $5,423

243 Upgrade concrete and asphalt walks to CU standards

$13,718 $274 $13,992

248 RFI#423-Provide (12) 2" circuit setters $2,526 $51 $2,577

253 RFI#618-Relocate classroom equipment $2,550 $51 $2,601

254 Finials atop vaulted roof $1,369 $27 $1,396

269 Gold Leaf on signature stones $1,505 $30 $1,535

Total PCO’s due to Design Changes: $63,849 $1,276 $65,125

Facilities Project Managers Guide Page 163

The following PCO was due to a Scheduled Allowance Adjustment:

PCO General Description COW GC's Fee Amount

114 Spire Allowance Adj. $66,828 $8,483 $1,337 $76,648

The following PCO’s were Owner Directed:

PCO General Description COW GC's Fee Amount

217 Change shelving to bookcases in 40 faculty offices

$143,280 $2,866 $146,146

225 Wood ceiling in Exec Ed classroom 141

$8,435 $169 $8,604

244 ASI#123-Added concrete walks $8,473 $169 $8,642

255 Delete mow strip ($4,500) ($4,500)

262 Added locks at storm windows per CU $2,065 $41 $2,106

266 Additional receptacles in telephone closets per CU

$4,337 $87 $4,424

273 Telecom Tie-in to Dover Elevator $1,413 $28 $1,441

Total PCO’s due to Owner Directed: $163,503 $3,360 $166,863

The following PCO’s were due to Unforeseen Conditions:

PCO General Description COW GC's Fee Amount

081 Existing Floor Joist Work per RFI#316

$1,049 $21 $1,070

104 Remove existing plank at roof edge for blocking

$693 $14 $707

116 Unforeseen at Projected Dormer $2,073 $41 $2,114

185 Window jamb extensions $28,456 $569 $29,025

222 Upgrade parking lot to CU standard $34,402 $688 $35,090

PCO’s due to Unforeseen Conditions: $66,673 $1,333 $68,006

Facilities Project Managers Guide Page 164

The following table summarizes Change Order #5 costs and the impact to the GMC line items:

Item Current Change Revised

Unforeseen Conditions $68,006.00

Scheduled Allowance Adj. 76,648.00

CU Directed Changes 166,863.00

Design Changes 65,125.00

Cost Of Work

$23,680,821.00 $360,853.00 $24,041,674.00

General Conditions

$2,216,869.00 8,483.00 $2,225,352.00

Fee $902,851.00 7,306.00 $910,157.00

Total GMC $26,800,541.00 $376,642.00 $27,177,183.00

Additionally, retainage reduction to zero is requested for various . subcontractors:

Company

Trade

Original Contract Amount

Final Contract Amount

Retainage

Held

Retainage Reduction

Request

(name) Spire Steel Fab $19,900 $19,900 $1,990 $1,990

(name) Spire Erection, etc.

$43,954 $43,954 $4,779 $4,779

(name) Fireproofing $228,375 $280,914 $28,247 $28,247

(name) Scaffolding $288,680 $314,621 $31,462 $31,462

(name) Auto Closing Doors

$82,616 $86,386 $4,319 $4,319

(name) Accordion Doors $52,173 $52,173 $5,217 $5,217

(name) Telephone Spec. $4,800 $4,800 $480 $480

(name) Signage $4,091 $4,091 $409 $409

(name) Libr. Security Sys.

$13,145 $13,145 $1,314 $1,314

(name) Access Flooring $4,500 $4,500 $225 $225

(name) Microfiche Cabinets

$14,928 $14,928 $1,492 $1,492

(name) Historic Moldings $5,940 $5,940 $594 $594

(name) Refrigerators $1,088 $1,088 $108 $108

(name) Louvers $5,041 $5,041 $504 $504

(name) Library Book Drop

$2,133 $2,133 $213 $213

Facilities Project Managers Guide Page 165

Company

Trade

Original Contract Amount

Final Contract Amount

Retainage

Held

Retainage Reduction

Request

(name) Foot Grilles $5,900 $16,457 $1,645 $1,645

If you have any questions or require additional documentation, please let me know.

Thank you.

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