Attachment X - 157.0m ARS Major Facilities Construction Manual.pdf

United States Department of Agriculture Research, Education, and Economics

ARS � ERS � NASS � NIFA

Manual

Title: Major Facilities Construction

Number: 157.0M

Date: May 31st, 2013

Originating Office: Facilities Division, AFM/ARS

This Replaces: Directive and Manual 242.4 dated March 4, 1998

Distribution: ARS Headquarters, Areas, Locations

This Manual provides procedures for planning, designing, and constructing major facilities modernization or construction programs.

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Table of Contents

1. PURPOSE

2. BACKGROUND

3. POLICY

4. ROLES AND RESPONSIBILITIES

5. AUTHORITIES

6. PHASES AND STEPS

7. GLOSSARY (ABBREVIATIONS) AND DEFINITIONS

8. OTHER REFERENCES

9. SUPPLEMENTAL INFORMATION

10.. EXHIBITS

NOTE: words or phrases in BOLD are defined in the Glossary.

1. PURPOSE

The purpose of this manual is to define major facilities construction, and outline the process for managing and executing major facilities construction projects. This manual also defines the responsibilities of key participants in the process.

2. BACKGROUND

A major facilities construction project is one which provides for the construction of a new facility or provides for the major renovation (modernization) of a facility.

A major facilities construction project is generally designated by the following:

• New Congressional appropriation (usually above $1 million)

• Agency or Congressionally-funded modernization (usually above $1 million)

The objective of major facilities construction project management is to effectively develop, coordinate, design, and construct fully functional and usable facilities to fulfill the Agency’s mission. To meet this objective, it is Agricultural Research Service (ARS) policy to follow the procedures in this manual for the following:

• Expression of program needs and objectives in accordance with the Agency’s mission

• Understanding methods of meeting program objectives through the acquisition of planning, design, and construction services

• Establishment of roles, responsibilities, authorities, and accountability for management of major facilities construction projects

Under direction from the Secretary of Agriculture, Senate Report 111-221, and House Report 112-101, ARS developed a Capital Investment Strategy (CIS), which is summarized in an April 2012 Final Report. This report presents a strategy for recapitalization of existing facilities and for new ARS research facilities based on a correlation of facility condition and research program priorities. The resulting prioritized facilities and associated research programs are listed in Table 5 of the CIS. The Table 5 projects consist of major capital projects in 9 Priority Groups with estimated total construction costs in excess of $1 Billion to be implemented over a 10 to 15 year period depending on funding availability. Implementation of the CIS will require a united and integrated effort by the Eastern and Western Business Service Centers (BSCs) and Facilities Division (FD). In addition to the roles and responsibilities for the BSCs and FD outlined in this P&P, FD will initiate strategic planning sessions once funding is appropriated to discuss how ARS can best execute the capital projects. Several factors that must be considered during these sessions are listed below.

• Current engineering and contracting staffing at the Business Service Centers and FD

• Experience of the available engineers and contracting officers in managing major facilities construction

• Agency priority of specific projects

• Bio-containment level of specific projects

• Ability of ARS to contract with other federal agencies to manage the construction, both in terms of funding availability within the current project budget and expertise of the sister agency’s staff (it may be better to keep certain bio-containment projects in house)

In general, the roles and responsibilities for the major project actions are listed below.

• FD prepares the Action Plan and Fact Sheet

• FD develops conceptual project information, which is provided to the BSCs

• FD is responsible for coordinating the development of the project’s Functional Statement with review and guidance from the BSC.

• The BSC develops the POR with review and guidance from FD

• The BSC implements the design and construction of the project, with an FD representative as part of the project team.

3. POLICY

It is the Agency’s policy that major facilities projects are managed in a structured and professional manner to provide facilities that meet the needs of the research program within the scope, schedule, and cost parameters established for each undertaking. The processes described in this manual govern the activities of diverse project teams representing research, management, stakeholder, and construction professionals to deliver projects in accordance with Agency priorities and meeting all applicable appropriation, environmental, building, and procurement laws, regulations, and policies.

4. ROLES AND RESPONSIBILITIES

There are three (3) distinct areas in the management of a major construction project: (1) Program Management is ensuring that all research program requirements are articulated and included in the project; (2) Contract Management is being responsible for final development of applicable contract terms and conditions, ensuring all terms and conditions are contractually enforceable and enforcing all contract terms and conditions; and (3) Engineering Project Management is ensuring all technical, operational, and program management issues are addressed and incorporated into the project. Project management is accomplished by the Project Team that is identified in the Action Plan and Fact Sheet (AP/FS) approved by the Agency Administrator for each major project.

The Project Team is a diverse group of ARS professionals contributing their skills, talents, and knowledge to plan, design, and construct a research facility in support of the Agency’s research mission within a specified scope, budget, and schedule. The Project Team is generally established at the time the project requirements are determined. The primary goal of each member of the Project Team is the accomplishment of the group’s common goal--to plan, design, and construct the best facility possible within the time and monetary resources available. In this team relationship, individual members: (1) perform different tasks and responsibilities as needed by the group, (2) jointly share responsibility for ensuring team results, (3) develop clear strategies and approaches for achieving their team goal, (4) help each other in achieving their common purpose, and (5) recognize individual achievements with team accomplishments. This approach needs to be followed by all team members on a consistent and effective basis through all phases of an ARS major facilities construction project.

This section provides a general discussion of the roles and responsibilities of each team member.

Specific responsibilities of the Project Team members are discussed in more detail for the various phases of the project execution. Active participation of all members of the Project Team is essential for the successful planning and completion of major facilities construction projects. The members of the Project Team are accountable for the successful and timely execution of the project.

The general roles and responsibilities of each Project Team member are as follows:

Research Program Manager (RPM)

The RPM is usually the Area Director (AD). The RPM is responsible for establishing the research program requirements and selecting the Research Program Representative (RPR). The RPM retains final authority for decisions on program issues of the project, but this authority is frequently delegated to the RPR. The RPM relies upon various Project Team members for technical engineering and contracting support during the design and construction process. The RPM approves the Functional Statement developed by the RPR and is involved in the development of the AP/FS. Any deviations from the AP/FS must have the approval of the RPM and be communicated to the Project Team for appropriate action that will ensure that such deviations are reflected in the final contract documents. The RPM has final approval authority of the Functional Statement (sometimes called the Preliminary Program of Requirements (POR)) developed by the RPR and Engineering Project Manager (EPM), ensuring that it is consistent with the AP/FS approved by the Administrator. The RPM, together with the RPR, ensures that the proposed and constructed facility satisfies program criteria for a complete and usable facility to support research and satisfies special requirements of any Cooperator.

Facilities Division (FD) will obtain approval of the RPM, RPR, and Office of National Programs Representative (ONPR) for the final POR and the final design ensuring that they are consistent with the approved AP/FS. The RPM is responsible for compliance with the National Environmental Policy Act (NEPA) as it relates to the project (Reference 7 CFR 520, Procedures for Implementing National Environmental Policy Act, and 40 CFR 1508, Protection of

Environment, Chapter V, Council on Environmental Quality). The RPM is the fund holder for the project and is responsible for requisition approval and issuance. The RPM may delegate authority to approve and issue Procurement Requests. The RPM should be directly involved in the orientation session, provide guidance during development of the POR, provide concept and final design reviews, as well as review major issues related to program changes such as project scope, budget, and schedule. The RPM is accountable to the Administrator and will keep him/her informed on project developments, such as program related-problems/decisions, budget issues, political issues, Congressional contacts, and Cooperator interface problems/issues.

Research Program Representative (RPR)

The RPR represents the RPM. The RPR is selected by the RPM and is usually the Location Coordinator (LC), Research Leader (RL), or Laboratory Director (LD). The RPR prepares the Functional Statement for RPM approval, and coordinates the project’s program requirements with the EPM to formulate a specific statement for the POR. The RPR serves as the primary source of program criteria information and any special Location criteria and works closely with FD and the Business Service Centers (BSCs) in preparation of the AP/FS. The RPR recommends POR approval to the RPM.

During the design phase, the RPR, or their designee, is invited to participate as a voting member on the Architect-Engineer (A-E) Evaluation Board that recommends the selection and contract award of the A-E firm who will design the project. The RPR coordinates the review of design submissions among the other researchers involved in the requirements to ensure the design meets the functional needs of the research program and provides consolidated review comments on the proposed design to the EPM. The RPR also coordinates the review with other Location and BSC entities involved in the long-term operation and maintenance of the facility considering such things as maintenance requirements, compatibility with existing systems (IT, fire, security, etc.)

and facilities, local operational protocols, and staffing needs. The RPR, with other Project Team members, is responsible for reviewing and approving all design submissions with primary emphasis on function, program, and special local issues/interests. The RPR will provide written concurrence with the final design documents. Implementation of research program needs is the major objective of the project. The RPR is responsible for obtaining all the necessary agent registrations or other programmatic inspections, certifications, registrations, permits, and approvals from the appropriate regulatory agencies (e.g., Centers for Disease Control and Prevention (CDC), United States Department of Agriculture (USDA)-Animal and Plant Health Inspection Service (APHIS), Food & Drug Administration (FDA), Nuclear Regulatory Agency (NRC), etc.) that may be required by the research program and will provide the necessary information and program requirements to the EPM and A-E. Together, the EPM, RPR, and Design Reviewer (DR) ensure that the final design prepared by the A-E complies with the POR and confirm this to the Contracting Officer (CO) for final acceptance of the design contract.

During the construction phase, the RPR participates in regular construction progress meetings, clarifies established program criteria information, is always consulted for concurrence on construction changes that relate to research program requirements, and is informed of all other changes. The RPR serves as a resource to the Project Team and maintains a liaison with the

Construction Inspection Contractor (CIC) during the construction process. All written correspondence with the CIC and other contractors must be coordinated with the EPM and CO.

The RPR is expected to notify the EPM/Contracting Officer’s Representative (COR) and the CO if he/she becomes aware of unusual or important circumstances pertinent to the construction project.

The RPR has no responsibility for construction inspection or supervision and is not expected to evaluate contractor performance. The RPR may, however, provide observation comments to the appropriate Team Members to assist in maintaining a quality, timely project. As part of the final inspection, closeout, and acceptance procedures of the contract, the RPR, EPM, and CIC will:

(1) verify that the construction contractor has provided key personnel with demonstrations and training on operation of new equipment; (2) participate in the final inspection; and (3) recommend acceptance/rejection of the project based on the contractor fulfilling their contractual obligations.

A smooth transition from the construction phase to the operational phase is critical. The RPR, with the BSC and/or Area Office (AO), will establish an effective Operation and Maintenance (O&M) program and arrange for personnel or maintenance contracts for facility systems and equipment and the establishment of contracts to install systems furniture, telephone systems, moveable equipment, etc. These types of activities are not funded with Building and Facilities (B&F) appropriations. The RPR will coordinate occupancy of the facility and, if applicable, any ceremonial activities. It is critical that the staff responsible for operation and maintenance of the new or modernized facility is available to actively participate in training on the facility systems and commissioning of the facility. During the warranty period following completion of the project, the Project Team members will provide the RPR with assistance in resolving any contractual or construction problems that may arise. It is imperative that the Location operate and maintain the facility in such a manner that warranties remain enforceable.

The RPR is responsible for keeping the Project Team members informed of all communications and actions concerning the project from the perspective of the program.

Office of National Programs Representative (ONPR)

The ONPR is assigned to the project team as the Agency’s principal representative to provide information regarding the Location’s current and projected research mission, program, and staffing levels. The ONPR, with the support of the RPR, is responsible for developing the Functional Statement and approving the final POR.

Engineering Project Manager (EPM)

The EPM is a BSC architect or engineer whose primary responsibility, with other Project Team members, is to ensure Agency needs are met within the approved scope, budget, and schedule.

The EPM provides technical oversight and direction and is assigned to the project early on. The EPM role will continue throughout the planning, design, and construction phases of the project.

The EPM serves as the lead point of contact (POC) for the project actions and will disseminate information to the appropriate Project Team members for their action or involvement. The EPM will keep Project Team members advised of project activities, required actions by team members, schedule, budget, and progress of the project. All Project Team members will keep the EPM advised of their needs and concerns. The EPM, along with the CO, is the lead POC between the Project Team and contractors for day-to-day business, working within the terms and conditions of the contracts.

During the planning phase, the EPM will coordinate the development and review of the AP/FS which summarizes the general scope, budget, and schedule for the project for approval by the Administrator. The EPM will work closely with the RPR in the development of the preliminary POR for the project. After consulting with other Project Team members, the EPM will prepare a Project Requirements Document (PRD) or Statement of Work (SOW) for professional services for the design of the various phases of the project and developing cost estimates for each phase..

The EPM will chair the A-E Evaluation Board to evaluate and recommend selection of the A-E for a particular project.

During the planning and design phases, the EPM will normally be designated as the COR and will act as the principal liaison with the A-E firm. The EPM/COR will coordinate A-E visits with the members of the Project Team, conduct design progress meetings and design reviews, review all A-E submittals, and make recommendations to the CO for approval of payment. During the development of the POR, the EPM/COR will ensure that the project complies with the approved AP/FS. Should the POR change during the course of design, the EPM/COR will ensure, after consultation with the Project Team, that the AP/FS is revised and resubmitted for approval by the Administrator. The EPM/COR will take the lead to ensure that all Project Team members, including the A-E and the DR, incorporate all project requirements of the POR and that the documents are in compliance with applicable codes, Agency design standards, energy and sustainability policies, safety standards, etc.

During the construction phase, the EPM usually serves as the COR. In rare occurrences, the CO may designate the Facility Engineer to serve as COR, if beneficial to the Agency in execution of the project. The EPM is still responsible for general project management and will work closely with the Project Team to provide such information as needed to support the roles of the other team members.

During the construction phase, the EPM/COR is responsible for monitoring and classifying all changes to the construction contract. Each change order will be classified by purpose, such as:

“A-E Error/Omission,” “Customer Requested,” “Differing Site Condition,” or “Other.” The EPM/COR shall maintain a spreadsheet listing each change order, its classification, and the cost for each. The EPM will coordinate budget and schedule issues with the RPR on a continual basis.

The EPM/COR provides interim (if applicable) and final evaluations of all contractors’ performance (A-E, DR, and Construction Contractor (CC) at the end of each phase of the project design, design review, and construction) in accordance with Agency procedures.

Contracting Officer (CO)

The CO is an ARS Contract Specialist with the BSC and the legal Government representative to the contractors, authorized to enter, administer, and terminate contracts on behalf of the Government. The CO is the only member of the Project Team with the authority to obligate Government funds or change any of the specifications, drawings, terms, and conditions of the contract. The CO may delegate certain responsibilities not affecting the contract scope, performance time, or cost, to the EPM, COR, and/or Location Monitor (LM).

The CO is assigned to the project early in its development and will continue with this role through planning, design, construction, and closeout of the project. The CO will assist other members of the Project Team in meeting project goals and objectives. The CO is responsible for ensuring that all planned or existing contractual activities or instruments comply with all applicable laws, policies, and regulations, and that all activities are conducted in a fair, impartial, and equitable environment. The CO shall ensure that sufficient funds are identified by the fund holder for obligation.

The CO assists/participates with the Project Team in developing the AP/FS. The CO officially designates the A-E Evaluation Board members and provides regulatory and procedural guidance to ensure appropriate selection activities and reports. The CO makes final selection approval recommendations, and is the liaison between the A-E Evaluation Board and the selection official.

The CO is responsible for guiding the Project Team through the contractual and business management aspects of the project. The CO is responsible for ensuring that contract performance complies with all contractual provisions, including, but not limited to, scope, budget, and schedule. The CO is responsible for ensuring adequate contract performance and contract management. The CO is also responsible for monitoring contract performance and budgetary events, conducting and participating in Pre-Bid/Pre-Proposal, Pre-Construction Conferences, project meetings, conducting negotiations, and taking other actions necessary to assure adequate progression and protection of the Government’s interest.

The CO will request and consider the advice of specialists in audit, law, engineering, other fields as appropriate, and the advice of the Project Team members. This advice will cover technical, legal, budgetary, reporting, and reprogramming activities.

The CO is responsible for keeping Project Team members informed of all communications and actions concerning contracting issues and decisions for the project.

Contracting Officer’s Representative (COR)

The COR is usually part of the BSC and is the EPM. The assignment as COR is made at the time of the contract award by an official appointment letter from the CO that outlines the responsibilities, authorities, and limitations of the COR function. A copy of this appointment letter is provided to the contractors and Project Team members.

The COR is responsible for interpreting technical data in the A-E, construction, and construction CIC contracts. The COR is responsible for reviewing progress payment requests for these contracts and making acceptance/rejection recommendations to the CO. The COR may approve minor changes to the project that do not affect the program requirements, price, scope, or performance time of the contracts. Such changes shall be documented and communicated to the Project Team as well as the contractors involved.

The COR will provide the CO with technical and administrative recommendations and documentation regarding changes to terms and conditions of these contracts.

The COR is responsible for discussing and resolving routine contract performance concerns with the A-E, construction, and CIC contractors. The COR is responsible for immediately notifying the CO of all concerns which may affect contract progress, cost, or scope and providing recommendations to the CO for resolution of these matters.

The COR is responsible for ensuring that all team players are kept advised of the actions and progress of the project. The COR is usually the primary POC between the Project Team and A-E, construction, and CIC contractors for day-to-day business, working within the terms of their delegation.

If the CO appoints someone other than the EPM as COR, the EPM is still the lead POC for the Project Team and the COR will work closely with the EPM to assure that appropriate information is provided to support the roles of the other Team Members.

BSC Safety, Health, and Environmental Management (SHEM) Personnel

The SHEM representative is a resource to the Project Team for safety, health and environmental issues during the planning, design, and construction of projects. Throughout the project, the BSC SHEM representative shall be consulted to provide interpretation and guidance on safety, health, NEPA, and other environmental matters related to the project. The SHEM representative will be asked to coordinate waivers for any proposed deviation from Agency policy for approval by the FD/Safety, Health, and Environmental Branch (SHEMB). The SHEM representative shall also be consulted during construction to address safety, health, and environmental matters. The SHEM representative will participate, as required, in project meetings and serve as the primary Subject Matter Expert (SME) concerning waiver requests. The EPM will inform SHEM of any project issues which fall under their area of oversight.

The Business Service Center, Safety and Health Manager (BSC SHEM) serves as the SHEM advisor and a resource to the Project Team during the planning, design, and construction phases on projects within their Area and shall be consulted on such issues. During the planning phase, the BSC SHEM may be consulted to provide input on developing the POR and the PRD for design.

The BSC SHEM will assist in the preparation of the variances on safety, health, and environmental issues during the planning and site investigation phases. Also, the BSC SHEM shall assist in prioritizing the safety, health, and environmental items to be incorporated in the PRD for design. The BSC SHEM will advise the project team of any unique safety, health, and environmental issues related to the specific research programs to be housed in the facilities.

During the design phase, the BSC SHEM shall, review the design submittal and incorporate the safety, health, and environmental requirements into the contract documents.

During the construction phase, the BSC SHEM may be requested to assist with ensuring that all appropriate safety, health, and environmental management related regulations are in place. The ASHM may participate in final inspection and acceptance of the project.

BSC Realty Specialist (RS) /Real Property Leasing Officer (RPLO)

The BSC RS/RPLO is responsible for ensuring that all realty interests are obtained for the planned project sufficient to cover the Federal Government’s investment in the construction of facilities. The RS/RPLO is responsible for ensuring that easements, rights-of-way, or leases for the project, including roads and utilities are prepared, negotiated, and executed. The RS/RPLO will review each project to assure compliance with approved Master Plans, the National Historic Preservation Act, and the Threatened and Endangered Species Act. The RS is responsible for making a determination regarding capitalization and initiating the preparation of a Unique Asset Identifier Request Form and creation of a shell record within the Corporate Property Automated Information System (CPAIS). These actions will require coordination with the EPM and CO, as well as the Real Property Management Branch (RPMB). Upon receipt of either a Certificate of Completion or Notice of Beneficial Occupancy from the EPM or CO, the RS/RPLO will coordinate with the EPM and CO to update the facility information in CPAIS and obtain all Final Records of Payment from the CO to place the asset(s) in service for depreciation through RPMB. RPMB reviews the documentation submitted and forwards to the Financial Management Division (FMD) who closes the corresponding Work In Progress and places the facility in service for depreciation. The BSC RS/RPLO will coordinate with the FD/Real Property Management Branch (RPMB) for realty interests exceeding delegated authority expressed within his/her Certificate of Appointment.

Location Monitor (LM)

The LM is an ARS representative at the construction site (or nearby location), and is formally appointed by the CO, and serves as a point of contact for either the A-E, CIC, or the CC to provide information regarding location rules, procedures, and regulations. The LM designation is normally made to the Location Facilities Manager/Maintenance or Facilities Engineer, Location Administrative Officer (LAO), or LC. The LM has no responsibility for construction inspection or supervision, and is not expected to evaluate contractor performance. The LM acts as an observer and is expected to notify the COR and the CO if he/she becomes aware of unusual or important circumstances pertinent to the contract. Examples of the situations in which the LM may get involved are: (1) designating parking areas for contractor’s employees; (2) coordinating use of Government facilities, restrooms, and utilities; (3) coordinating utility shutdowns and connections; (4) coordinating authorization for contractor to work beyond normal work hours; (5) coordinating access to facilities and security protocols related to the site; and (6) designating material staging areas and contractor trailer location(s), etc. The LM should be an active participant in the design and construction process to provide input on Location operation and maintenance procedures and to gain familiarity with the facility in preparation for transitioning into the O&M mode. During construction, the LM should actively participate in all facility turnovers, commissioning, and training activities, and have a thorough understanding of the O&M manuals and warranty information provided by the CC.

Cooperator

A Cooperator is a State or Federal Agency, college or university, or private organization having a mutual interest in agricultural research that has entered into a valid and legal long-term lease or revocable permit. A Cooperator is not always involved in all major construction projects.

Architect Engineer (A-E)

The A-E is a private contractor who provides professional services of an architectural-engineering nature with primary emphasis on the design of research facilities, laboratory support facilities, and administrative facilities. The design is performed under the supervision of a registered or licensed professional architect or engineer as required in the State where the project is located.

The A-E also provides investigative studies, assists in quality assurance of the construction project, assists in project management, reviews submittals during construction, and provides consultative services as needed. The A-E will contact the EPM/COR for day-to-day business, working within the terms of the contract. Adjustments to the contract always remain under the authority of the CO.

During the planning phase, the A-E finalizes the POR, prepares the NEPA documentation, and other investigative reports as may be required.

During the design phase, the A-E develops conceptual drawings and provides a preliminary cost estimate. After approval of the conceptual plans, the A-E may be tasked with preparation of the final design and working drawings (if construction funding is available). At various stages of design, submittals of plans, specifications, and cost estimates are made to the Government for program, technical, and budget review. The Government will submit written comments to the A-E at each design submission and the A-E will respond to all comments in writing. Those comments will be incorporated into the next design submission. The A-E may be required to make formal presentations at the various stages of design development. The A-E keeps the EPM and the CO advised of the status and progress of the project during design.

During the post-design and construction phase of the project, the A-E may be required to participate in the Pre-Bid/Pre-Proposal, Pre-Construction Conferences, and other meetings, as well as prepare solicitation amendment documents that result from contractor or Government questions on technical issues or program changes. The A-E may be tasked to review and approve shop drawings, material submittals, review and comment on construction contract modifications, progress payments, and other related activities as directed by the terms and conditions of their contract. The Government may confirm construction compliance with design intent through a separate inspection contract, or may contract for these services through the design A-E firm.

Design Reviewer (DR)

The DR is an independent A-E who provides professional services to review the design submittals prepared by the design A-E. The DR is required to perform services under the supervision of a registered or licensed professional architect or engineer.

The DR is to provide assurance to the Government that the design A-E is proceeding in accordance with the project requirements. The DR will review the major design submittals, including cost estimates, referencing project requirements cited in the design A-E contract, (e.g., final POR), geo-technical study, applicable Codes and Industry Standards, and good practices of design. The DR will use the ARS Design Review Check List as part of their review, but will be responsible to see that all project requirements are being satisfied.

The DR will also be tasked to perform Value Engineering (VE) studies for major construction projects, when required. The DR may also be tasked to perform the services of a CIC for major construction contracts.

Construction Inspection Contractor (CIC)

The CIC is an independent contractor, generally an A-E firm, whose primary role is to provide Quality Assurance (QA) that the construction project is being constructed as designed and to provide oversight on the Quality Control (QC) plan of the CC. The CIC will utilize the services of a CIC manager that has access to a technical staff that can report to the project site in a timely manner on an as needed basis. For major construction projects, the CIC responsibility may be assigned through a task order under an existing Indefinite Delivery/Indefinite Quantity (IDIQ) contract with an A-E firm separate from the design A-E.

The CIC will monitor the QC plan of the CC and ensure that special test results, material certifications, etc., are obtained as required. In cases where test results or certifications, etc. are not satisfactory, the CIC will take immediate actions to notify the CC’s Superintendent and the EPM/COR. Keeping the EPM/COR informed of these findings will enable corrective actions to be implemented by the CO if necessary.

The CIC is to report to the EPM/COR all findings, observations, and communications with the CC. A daily construction log will be maintained by the CIC, and daily "QA" reports will be submitted concurrently to the CO and EPM/COR. If it is identified that the CC has made deviations from the plans, the CIC will document these observations and bring them to the attention of the CC’s Superintendent, the CO, and the EPM/COR. Keeping the CO and EPM/COR informed will enable corrective actions to be implemented by the CO and/or other appropriate Project Team members.

Construction Contractor (CC)

The CC is an independent firm hired under Government contract to provide those professional construction services defined by Federal Acquisition Regulation (FAR), Part 36. The specific work to be performed by the CC shall be set forth in writing in the specific contract document which includes the construction drawings and specifications. The CC’s team may consist of the prime contractor, who has a direct contractual relationship with the Government and various subcontractors and suppliers. No legal contract exists between the Government and the subcontractors and suppliers. In other words, the Government has no privity of contract with anyone other than the prime CC. The CC has full responsibility for the construction Project Team, including coordination of work, performance, material delivery and storage, permits, licenses, protection of property, and all other elements of construction. The CC shall maintain a competent Superintendent at the work site at all times during performance of the contract.

The CC shall contact the CO and the EPM/COR directly on all matters of the contract affecting changes to the contract provisions, contract scope, performance, time, or cost. The CO is the only legal Government representative authorized to enter, administer, and terminate contracts, and is the only member of the Project Team with the authority to obligate Government funds or make changes to the contract. The EPM/COR is usually the primary POC for the CC for day-to-day business, working within the terms of the contract.

The CC must prepare and maintain a suitable QC plan. The CC shall develop a progress schedule for approval by the CO and adhere to this schedule throughout the contract. In accordance with Occupational Safety and Health Administration (OSHA) regulations, the CC will assure that safety is maintained on the job site at all times. Proposed change orders must be coordinated with the CO, EPM/COR, and CIC. The CC is responsible for maintaining as-built documents on the job site to show the construction of a particular structure or work as actually completed under contract. The CC shall submit shop drawings to the CIC or designated A-E firm, as required by the contract documents. The CC must attend all scheduled progress meetings and report the progress of the project as required.

During the closeout and warranty phase of the contract, the CC will, in accordance with the contract, commission the facility, prepare O&M manuals, ensure systems are fully functioning, provide system training and demonstration to Location personnel, EPM/COR, and other individuals designated by the CO. During the warranty phase, the CC is required to respond promptly to requests for warranty service and shall be responsible to coordinate corrective actions as necessary to mitigate or resolve Government concern(s).

Largely dependent on the funding availability for a project, the Government may consider alternate project delivery methods, such as Design-Build (D-B) or Construction Manager (CM) at Risk to expedite the project schedule. These concepts will be explained to the project team in detail if they are selected. Generally, the D-B process provides a conceptual design to a contractor who is responsible for both completion of the design documents and construction of the project. The D-B allows for award of a construction contract before completion of the full set of construction documents. This allows start of construction on elements, such as site work, foundations, etc., concurrent with the completion of the design.

5. AUTHORITIES

• 7 USC 2250

• Public Law 99-198, Food Security Act of 1983

• Public Law 92-582, The Brooks Act

6. PHASES AND STEPS

Generally, there are four (4) distinct phases to a major facilities construction project and numerous steps within each of those phases. These Phases are: Program Development; Project Planning;

Project Design; and Construction.

PHASE I – PROGRAM DEVELOPMENT

Program Development includes project conception, scope and cost formulation, and budget request. (Typically 180 to 360 days in duration.)

A new project (either new construction or modernization) is typically generated by the AD to meet a research program need or is in response to a specific request from Congress (usually through language in an appropriations bill) to provide a feasibility study for a research facility that they determine is needed. The individuals primarily involved in this phase include the AD, a designated RPR, Office of National Programs (ONP), BSC, and FD. The Area will develop a Functional Statement that outlines the research needs of the facility and the staffing required to conduct the research program. The BSC and FD will assist the Area team in determining the type of space and the size of space necessary for the research and site considerations for a new facility. At this early stage of development, the space requirements are based on general industry standards when specific research needs cannot be fully defined. Once the space requirements are identified, a project cost estimate will be developed based on historical cost information of similar facilities. The BSC and FD will also develop an estimate of annual O&M costs for the proposed facility.

The ONP will obtain the Administrator’s approval of the proposed project based on the information presented in the final Functional Statement. If the project was requested by Congress, FD will prepare a brief communication outlining the scope, cost and anticipated schedule for the project, forward it to the Budget and Program Management Staff (BPMS) who will forward it to Congress. The Area will work with the BSC to include the approved facility on the annual update of their Capital Project Repair Plan (CPRP).

An AP/FS places limitations on the scope and cost of the proposed facility and is prepared by FD in coordination with BSC for the Administrator’s approval. The Fact Sheet is based on the Functional Statement previously approved by ONP and the Administrator. FD will coordinate with the BSC, Area, and ONP to identify individuals to be named for the project team in the Action Plan. The roles and responsibilities for each individual are delineated below for each step of this phase.

Phase 1 is comprised of three (3) steps:

1. Project Conception and Scope Formulation

2. Appropriation Request and Allocation of Funds

3. Project Initiation and Action Plan Development

Step 1 – Project Conception and Scope Formulation

The roles of the individual project team members during this step are as follows:

AD Identifies need for project through Annual Resource Management Plan (ARMP), Capital Investment Strategy, or CPRP process or directly with ONP.

ONP Recommends approval of project and obtains Administrator approval.

Initiates appropriate Congressional contacts.

ADMINISTRATOR Approves project.

AD Provides the leadership in development of facility and program needs.

(Functional Statement)

- program mission

- number of scientist years (SY’s)

- types of space and quantity of space

- fixed equipment Selects proposed site.

Develops preliminary assessment of environmental feasibility.

Develops and evaluates alternatives to accomplish mission goals.

The Area Office Engineer (AOE) may participate.

Consults ONP and FD for recommendations.

BSC, FD Assists AD in the development of preliminary project data, design alternatives, site selection, budget estimate, schedule, realty, environmental, safety and health, and other project development issues. FD develops estimate for total project budget cost (planning, design, and construction). BSC will coordinate reviews for studies (e.g., site selection, environmental, estimating).

ONP Reviews and approves preliminary program and project data, site selection, and budget estimate outlined in the Functional Statement.

Step 2 – Appropriation Request and Allocation of Funds

FD Develops and submits Justification Statement to ONP.

ONP Initiates appropriation request through BPMS.

BPMS Submits the project and Justification Statement to Office of Budget and Program

Analysis (OBPA). Incorporates the project in the ARS budget request and serves as the liaison for OBPA and Congress.

OBPA Approves project and Justification Statement and determines if the project should be incorporated as a line item in the USDA budget request to the Office of Management and Budget (OMB).

OMB Approves/incorporates USDA budget request in Federal budget request.

Congress Appropriates partial or full funding of the project.

OMB Provides apportionment of the funds through OBPA.

BPMS Provides written notification of Congressional appropriations and provides allocation of funds to AD.

BSC Establishes accounting codes/provides account maintenance services for fund holders.

Step 3 – Project Initiation and Action Plan Development

The roles of the individual project team members during this step are as follow:

FD Consults with ONP and AD to establish project team.

RPM RPM is usually the AD and selects RPR.

FD Prepares a written AP/FS identifying project team members and defining responsibilities (see EXHIBITS 1 and 2 at the end of this document). FD shall obtain the Administrator’s approval of AP/FS. FD, with assistance from BSC, begins planning by preparing tentative schedule and preliminary budget for design and construction. Coordinates with the RPR and advises ONP and RPM of any schedule or budget concerns.

ONPR Concurs with AP/FS.

RPM Recommends Administrator’s approval of AP/FS.

ADMINISTRATOR Approves AP/FS.

RPM Develops project Functional Statement and preliminary POR.

ONPR (See EXHIBIT 2)

RPR Consults with the Office of the Chief Information Officer (OCIO) for telecommunications advice.

FD Reviews and refines preliminary POR to insure consistency between project scope, budget and schedule before finalizing the preliminary POR.

ONPR/RPM Approves final preliminary POR.

PHASES II AND III – PROJECT PLANNING AND DESIGN

Starting at Phase II, FD turns over management of the project and all prior project documentation to the BSC. FD will continue to provide guidance on the project to the BSC. The discussion of these two (2) phases is combined in this section as many of their processes are very similar.

These phases are performed using a private A-E firm. The A-E firm documents detailed planning information for the project into a POR document. This POR becomes the Basis of Design for the facility. Generally the same A-E that developed the POR will be tasked with performing the design services when sufficient funding is available to do so. (Phase II Typically 6 to 9 months in duration; Phase III typically 12 to 18 months in duration.)

There are three (3) steps in this Phase II and III:

1. A-E Selection and Contract Award

2. Detailed Project Planning

3. Project Design Development

Step 1 - A-E Selection and Contract Award Process

A-E TECHNICAL SELECTION:

The selection of an A-E firm to provide programming, design, and CIC services is done in accordance with standard contracting policies. The A-E may be selected from one of several already under a nationwide or Area IDIQ contract or one could be solicited through a project-specific request for proposal when unique technical, geographic, or other considerations warrant. Depending on the method used, the process to select and enter into a contract with an A-E generally takes from 4 to 12 months.

Public Law 92-582, the Brooks Act, is the Federal statute that contains the basic Government policy for procuring architectural and engineering services. FAR Part 36.6 provides guidance to the Government for evaluating the qualifications and performance of A-E firms and conducting discussions to select the firm deemed to be most highly qualified based on technical merits only.

There is no evaluation of cost. The Agency is then authorized to negotiate a contract with the most highly qualified A-E firm for a compensation determined fair and reasonable by the Government in accordance with the procedures in the FAR.

Project Participates in project Orientation Session.

Team

RPM Submits approved preliminary POR to FD.

Submits a funded Procurement Request for A-E services to CO.

CO Prepares Procurement Plan.

Appoints A-E Evaluation Board.

EPM Prepares and submits PRD/SOW for A-E services, project Estimated Construction

Cost (ECC), and A-E evaluation criteria to CO.

FOR A PROJECT-SPECIFIC AWARD:

EPM Prepares and submits PRD, Government estimate of A-E fees, ECC, and A-E revaluation criteria to the CO.

CO Reviews the PRD, ECC, and evaluation criteria.

Publicizes the project and the evaluation criteria.

Advises A-E Evaluation Board of guidelines for integrity, evaluation, fairness, and contents of evaluation report.

Receives A-E Qualifications Statements from interested A-E firms.

Provides direction to the A-E Evaluation Board during the evaluation process.

Board, EPM, Evaluates A-E Qualifications Statements and submits preliminary evaluation report RPR, BSC of most highly qualified A-E firms (minimum of three) to CO.

Engineers

CO Reviews preliminary evaluation report and invites most highly qualified firms for interview process.

Board Interviews A-E firms and evaluates technical qualifications.

Prepares and submits final report with order of preference to CO.

CO Prepares/submits final selection report.

Selects A-E for negotiations; this selection is based solely on the A-E firms’ technical qualifications in accordance with the Brooks Act. Pricing is not a factor at this time.

FOR SELECTION OF AN A-E USING TASK ORDER UNDER IDIQ CONTRACT:

CO Reviews the PRD and ECC.

RPM, RPR May request a presentation from contractors under existing IDIQ contracts.

RPM, RPR, Develop the topical areas to be addressed by A-E’s.

EPM

CO, EPM Coordinate and document decision to use an IDIQ.

CO Invites A-Es to conduct presentation based on topics from RPM/RPR. Presentations are not mandatory. Selection of A-E from pool of IDIQ firms may be based on the A-E firm’s past performance, experience, unique qualifications.

Board Evaluates presentations and provides a recommendation to the CO for selection of the A-E to perform the design of the facility. Recommendation is submitted in writing and signed by the Board members.

A-E CONTRACT AWARD:

Once the A-E has been selected on technical merit, a cost proposal is requested from the A-E and the fee is negotiated. Depending on the funds appropriated for the project and how well defined project scope is, the CO may solicit a proposal for developing the POR, Conceptual Design, and Final Design. The CO then makes an initial award for the initial phases only, with the remaining design actions to be awarded at a later date under a separate Task Order.

The roles of the individual project team members during this step are as follows:

CO Prepares the Request for Proposals (RFP) for A-E Pre-design and design services.

Obtains required advice and reviews (e.g., Contract Review Board (CRB)), legal review by the Offices of General Counsel (OGC), pertinent State Historic Preservation Organization, etc…).

EPM Updates PRD/SOW for A-E services, if necessary.

Prepares and submits revised Government estimate of A-E services fees to the CO, if necessary.

RPMB Finalizes the realty acquisition prior to design award. Pre-design award may occur prior to finalizing realty acquisition.

RPR Assists in updating…