Attach 6- aoc-pm-manual-draft-05.pdf

APR 2023

PROJECT

MANAGEMENT

MANUAL

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PROJECT MANAGEMENT DESIGN MANUAL

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CONTENTS

1. INTRODUCTION

1.1. PURPOSE AND APPLICABILITY

1.1.1. Stewardship

1.1.2. Historic Preservation

1.1.3. Life Cycle Project Management

1.1.4. Programs to Integrate into Projects

1.2. PROJECT DELIVERY

1.2.1. The AOC process follows through four stages:

1.2.2. Project

1.2.3. Program:

1.2.4. Project Classification:

1.2.5. Project Complexity:

1.3. PROJECT TEAM AND ROLES

1.3.1. Roles and Responsibilities:

1.3.2. RACI Methodology:

1.4. PROJECT MANAGEMENT PRACTICES

1.4.1. Scope Development and Management:

1.4.2. Budget Development and Financial Management

1.4.3. Schedule Development and Management

1.4.4. Reporting and Communications

1.4.5. Invoicing / Requests for Payment

1.4.6. Change Management

1.4.7. Administration and Documentation

1.4.8. Risk Management

1.5. BEST PRACTICES

1.5.1. Project Definition Rating Index

1.5.2. Economic Analysis/Life-Cycle Cost

2. PROJECT INITIATION AND PROGRAMMING STAGE

2.1. INITIATION AND PROGRAMMING STAGE

2.2. PROJECT INITIATION

2.2.1. Process:

2.2.2. Step 1: Project Initiation Form (PIF) Review

2.2.3. Step 2: Pre-PAM Project Review

2.2.3.1. PIF Review:

TABLE OF CONTENTS

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2.2.3.2. Check Alignment:

2.2.3.3. Initial Project Complexity Review

2.2.3.4. Initial Conceptual Project Risk Impacts

2.2.3.5. Determine a Charter is Required

2.2.3.6. Determine if a Study is Required or Recommended

2.2.3.7. Determine Construction Entity

2.2.3.8. Project Funding Source and Funding Available

2.2.3.9. Schedule and Budget

2.2.3.10. Develop Initial Project Scope

2.2.3.11. Confirm or Update Estimated Project Size

2.2.3.12. Determine Initial Project Classification

2.2.4. Step 3: Project Assignment Meeting (PAM)

2.2.4.1. PAM attendees include:

2.2.4.2. Task Leader Assignments Discussion:

2.2.5. Step 4: Initiation Close-out and Project Notification

2.3. PROGRAMMING

2.3.1. Step 1: Confirm or Determine Contracting Type

2.3.2. Step 2: Determine Project Complexity

2.3.3. Step 3: Develop or Update Project Details

2.3.3.1. Update Project Description / Details:

2.3.3.2. Update Project Scope:

2.3.3.3. Update Estimated Project Size:

2.3.3.4. Develop a Preliminary Project Management Plan

2.3.3.5. Environmental Checklist Analysis:

2.3.3.6. Sustainability Scorecard Review:

2.3.3.7. Prevention Through Design Review:

2.3.3.8. Develop PDRI (if required):

2.3.4. Step 4: Update Schedule & Budget

2.3.4.1. Schedule:

2.3.4.2. Budget:

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2.4. DEVELOP CHARTER (IF REQUIRED)

2.4.1. Step 1: Conduct Research

2.4.2. Step 2: Establish Project Discipline Requirements

2.4.3. Step 3: Review & Approval:

2.4.3.1. Planning PM Review:

2.4.3.2. Team Review:

2.4.3.3. Jurisdiction Approval:

2.4.3.4. Management Sign-off:

2.4.3.5. Planning PM Clarification:

2.5. TRANSITION TO STUDY OR DESIGN

3. STUDY

3.1. TYPES OF STUDIES

3.2. STAGE PROCESS SUMMARY

3.2.1. Step 1 - Identify problems and opportunities

3.2.2. Step 2 - Inventory and forecast conditions

3.2.3. Step 3 - Formulate potential solutions

3.2.4. Step 4 - Evaluate potential solutions

3.2.5. Step 5 - Compare potential solutions

3.2.6. Step 6 - Select a solution

3.3. PRE STUDY AWARD PHASE

3.3.1. Review and Update Project Details

3.3.2. Review project charter if available

3.3.3. Review previous lessons learned and risks in the PMIS module

3.3.4. Study Stage Kick-off Meeting

3.3.5. Study Foundation

3.3.5.1. Identify problems and opportunities

3.3.5.2. Define problems and opportunities

3.3.5.3. Define study Objectives and Constraints

3.3.5.4. Develop Evaluation Criteria

3.3.6. Develop or Update Project Management Plan -

3.3.7. Develop the Study Statement of Work

3.3.7.1. The following are items to be provided in the study SOW:

3.3.8. Develop the Study Cost Estimate

3.3.9. Request Funds

3.3.10. Procure Study Contract

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3.3.10.1. Develop RFP

3.3.10.2. Solicit Bids

3.3.10.3. Study Contract Award:

3.4. STUDY PHASE

3.4.1. Study Contract Management

3.4.2. Study Team Kick-off Meeting

3.4.3. Site Visits during Study

3.4.4. Determine Existing Conditions

3.4.5. Inventorying and Forecasting Conditions

3.4.6. Formulating Potential Solutions

3.4.7. Evaluate Potential Solutions

3.4.8. Compare Potential Solutions

3.4.9. Selecting a Solution

3.5. STUDY ACCEPTANCE

3.5.1. Stakeholders and signatories

3.6. STUDY STAGE CLOSEOUT

3.6.1. Study Contract Closeout

3.6.2. Prioritization & Funding

4. DESIGN

4.1. PROJECT TEAM IN DESIGN

4.1.1. Planning Project Manager:

4.1.2. Project Manager (PM):

4.1.3. Construction Manager (CM):

4.1.4. Task Leader:

4.1.5. Architect/Engineer (A/E):

4.1.6. Construction Division (CD):

4.2. DESIGN REFRESH

4.3. DESIGN BUILD CONSIDERATIONS

4.4. SECURITY CONSIDERATIONS IN DESIGN STAGE

4.5. THE PRE DESIGN AWARD PHASE

4.5.3. Pre-Design Meeting

4.5.4. Update Project Management Plan

4.5.5. Develop the Design Statement of Work

4.5.6. Develop Project Schedule

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4.5.7. Create a cost estimate for professional design fees

4.5.8. Request Funds:

4.5.9. A/E Selection

4.5.10. Contract Management of A/E Contracts

4.5.11. Change Management

4.6. DESIGN PHASE

4.6.1. Design Kick-off Meeting

4.6.2. Design Submissions

4.6.3. Program Of Requirements

4.6.4. Schematic Design

4.6.4.4. PDRI

4.6.5. 30% Submission

4.6.6. 60% Submission

4.6.7. 95% Submission

4.6.9. Design Reviews

4.6.10. Review Conferences and Formal Presentations:

4.6.11. Constructability review

4.6.12. Construction Budget Development

4.6.13. Risk Analysis

4.7. PERMITTING

4.7.1. Construction Permits:

4.7.2. Building Permit:

4.8. DESIGN COMPLETION

4.8.1. Design Contract Closeout

4.8.2. Design Stage Closeout

4.8.3. Prioritization and Funding for Construction

5. CONSTRUCTION STAGE

5.1. PROJECT TEAM IN CONSTRUCTION:

5.1.1. Construction Management Branch (CMB):

5.1.2. Construction Division (CD):

5.1.3. Project Manager (PM):

5.1.4. Construction Manager (CM):

5.1.5. Matrixed Team Leadership:

5.1.6. Contracting Officer’s Representative (COR):

5.1.7. Commissioning Agent (CxA):

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5.1.8. Contractor:

5.1.9. Construction Inspector (CI):

5.1.10. Designer of Record (DOR):

5.1.11. Task Leaders:

5.1.12. Construction Management Services (CMS):

5.2. SAFETY DURING CONSTRUCTION EXECUTION

5.3. PRE-CONSTRUCTION CONTRACT AWARD

5.3.1. Security Considerations in Pre-Construction Award:

5.3.2. Review and Update Project Details:

5.3.3. Internal Kick-Off Meeting:

5.3.4. Construction Support Contracts Procurement

5.3.5. Construction Contract Procurement

5.4. CONSTRUCTION START-UP

5.4.1. Review and Update Project Details

5.4.2. Pre-Construction Meeting

5.4.3. Pre-Construction Submittals / Contractual Items:

5.4.4. Permitting:

5.4.5. Safety during Pre-Construction

5.4.6. Security Consideration in Pre-Construction:

5.5. CONSTRUCTION EXECUTION

5.5.1. Construction Management

5.5.2. Construction Submittals:

5.5.3. Requests for Information (RFIs)

5.5.4. Project Controls Management

5.5.5. Qualitative Risk Management:

5.5.6. Metrics Management

5.5.7. Quality Management

5.5.8. Project Meetings:

5.5.9. Construction Administration Services (CA)

5.5.10. Customer Relations

5.6. CONSTRUCTION COMPLETION

5.6.1. Start-Up / Final Commissioning

5.6.2. Substantial Completion

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5.6.3. Move In and Occupancy / Transition to Jurisdiction Superintendent

5.6.4. Relocation Management

5.6.5. Government Furnished Property Coordination

5.6.6. Final Inspection Acceptance

5.6.7. Record Drawings

5.6.8. Construction Contract Closeout:

5.6.8.1. Closeout Submittals

5.6.8.2. Final Payment

5.6.8.3. Contractor Performance Evaluation

5.6.9. Warranty Management

5.6.10. Project Closeout

1. INTRODUCTION

The Architect of the Capitol (AOC) is dedicated to being the builder and steward of the heritage assets of America’s Capitol while serving Congress, the Library of Congress, the U.S. Botanic Garden, and the U.S. Supreme Court. AOC works tirelessly with ingenuity and craftsmanship to maintain the historic fabric found throughout the Capitol complex buildings and grounds.

The AOC project delivery process provides a consistent approach to project management throughout the organization. A scalable process allows for differences in complexity while still maintaining consistency. Consistency allows AOC leadership to monitor its portfolio of projects quickly and comprehensively.

INTRODUCTION1

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1.1. PURPOSE AND APPLICABILITY

The Project Management Manual defines the project delivery processes and procedures for planning, study, design, and construction of projects.

This manual clarifies the responsibilities for both the supervision and accountability of a project from concept to completion. The project delivery process demands the control of scope, cost, schedule, and quality from project initiation to the close-out of every project.

The Project Management Manual is applicable to projects of all sizes and complexities undertaken by AOC. The requirements are mandatory unless otherwise specifically stated. This manual addresses responsibilities of the project management team for both projects designed internally by AOC staff or designed externally by an Architect / Engineering (A/E) consultant.

Project managers and the project team shall not make the procedures in this manual and its appendices part of any construction document by reference. Required text for construction documents is available within agency guide specifications available in the electronic reference library. The AOC Design Standards provides additional direction for design standards and is available in the reference library.

1.1.1. Stewardship

AOC has identified stewardship as one of the agency’s core responsibilities. AOC staff and contractors undertake all design and construction efforts to protect and preserve the Capitol and its surrounding buildings and grounds. AOC designs and constructs new facilities for very long operational lives, using high quality durable materials that return their higher initial cost through reduced replacement and maintenance needs. AOC staff and contractors shall be keenly interested in the energy consumed by these facilities, and must consider value-engineering options, life cycle cost analysis, and sustainable design features.

1.1.2. Historic Preservation

The Historic Preservation Officer (HPO) is responsible for ensuring that all heritage assets are properly protected during any modifications or upgrades.

There are important distinctions between renovation work and rehabilitation work. Renovation has a connotation of major work in the historic building, while rehabilitation refers to work with the original design, space, décor, etc., that is intrinsic to the historic building and then, through rehabilitation, uses those resources in the renewed space. The term rehabilitation shall be used to refer to most projects, while renovation projects shall refer to systems renovations.

1.1.3. Life Cycle Project Management

This manual clarifies the project manager’s responsibilities for both the supervision and accountability of a project from concept to completion. This responsibility demands the control of scope, cost, schedule, and quality from the beginning to the end of every project. This concept is called “cradle-to-grave project management.”

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1.1.4. Programs to Integrate into Projects

Every project at AOC is unique. However, there are common programs that a Project Manager may integrate into the execution of a project. The Project Manager shall determine the appropriate level of incorporation each program into the project.

1.1.4.1. Sustainability

Sustainable design is an integrated, synergistic approach that considers all phases of facility life cycle during the design process. Sustainable design objectives are to:

• Avoid resource depletion of energy, water, and raw materials.

• Prevent environmental degradation caused by facilities and infrastructure throughout their life cycle.

• Create built environments that are livable, comfortable, safe, and productive.

AOC is strongly committed to sustainability and has incorporated sustainable design practices into its design, construction, and rehabilitation projects for many years. AOC prides itself on maintaining the historic fabric of its buildings while incorporating green design.

AOC has a Sustainability, Energy, and Water Management plan that outlines goals and targets for the organization. and. This plan will utilize a “triple bottom line” approach to address environmental impact, social responsibility, and fiscal accountability, as essential components of the procurement and project delivery process.

A copy of the draft plan is included in the Resource Library.

1.1.4.2. Commissioning

Commissioning assures the proper operation of building systems and increases occupant satisfaction. The Architect of the Capitol requires commissioning of various systems. The level of commissioning and details of execution will be determined by the type and complexity of the systems included in the project. Commissioning at AOC typically starts during the Design stage.

Commissioning should not just be an event at the end of the project. The commissioning plan should be developed early and be discussed from project initiation throughout the entire project lifecycle. AOC commissioning guidelines are available in the Resource Library.

1.1.4.3. Historic Preservation

Historic preservation is the process of maintaining and preserving AOC heritage assets, which include the buildings, grounds, statuary, artwork, furniture, fixtures, and even historic plant species.

All AOC jurisdictions planning or carrying out design or construction projects in spaces including or adjacent to any work of fine art, decorative art, or architectural features, shall consult the HPO and AOC Curator to determine appropriate ways to minimize or monitor the impact of the project on heritage assets.

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1.1.4.4. Security Programs

Security is an important program for the protection of physical and digital assets and the safety of AOC employees, Members of Congress, contractors, and visitors.

The Office of the Chief Security Officer (OSCO) includes the Capitol Police Buildings, Grounds and Security jurisdiction and designates and provides oversight of the execution of security-related and sensitive facility and infrastructure projects.

The OCSO is responsible for the maintenance, care and operation of the buildings, grounds, and physical security enhancements of the U.S. Capitol Police, related campuswide physical security infrastructure and an off-site campus supporting all legislative branch agencies. The OCSO also coordinates interagency emergency preparedness and manages internal security programs and policies, including personnel suitability and badging, emergency management, continuity of operations, critical infrastructure and resiliency programs and the emergency management program.

1.2. PROJECT DELIVERY

The AOC project delivery process provides a consistent approach to project management throughout the organization. A common process that can be tailored based on the size or complexity of a project allows AOC leadership to monitor its portfolio of projects quickly and comprehensively. Regular monitoring of the process is important as this provides internal controls and accountability while allowing better risk management and increased coordination throughout the organization.

1.2.1. The AOC process follows through four stages:

• Initiation and Programming

• Study

• Design

• Construction

This manual presents a single flexible process to accomplish all project types. Preparation activities in a stage include project prioritization and funding requests. There are also ongoing activities throughout the project’s life (project management practices, project controls, AOC programs, and best practices).

A project may not progress through the study, design, or construction stage depending on project specifics and circumstances.

1.2.2. Project

A project is a single, standalone effort. A project has a clear and agreed-upon objective, has a defined lifespan, requires multiple skills and disciplines to accomplish something that is generally a one-time effort and has specific location, time, cost, quality, and/or performance requirements. A project must be executed using the project delivery process. The process may be tailored based on project size and complexity, as well as construction entity.

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Work performed at the AOC which are not projects and are not required to follow the project delivery process are:

• Preventative maintenance

• Emergency maintenance

• Demand work order (repair)

• Short technical consultations by subject matter experts

• Engineering consultations by Office of the Chief Engineer (OCE) where a design is not required.

• Staff/Visitor services

If any one of the following elements is included in an activity, then it should be considered a project for tracking purposes:

An activity is a project if it:

• Is part of the Line Item Construction Program (LICP).

• Has an estimated construction cost of $250K or greater.

• Requires 3+ trades to complete.

• Has a design from OCE Energy and Design Services Division.

• Has a design from an A/E firm.

• Involves the construction, relocation or installation of any new building or covered enclosure in excess of 120 square feet.

• Increases in height or area of a building, including new enclosed rooftop structures.

1.2.3. Program:

A program is designated as a collection of separate but related projects/project work that contribute to one overall objective. A program will have a common scope further unified by an overall schedule and budget. While projects under a single program may consist of individual budgets and schedules, they are all bound by an overall budget and schedule.

1.2.4. Project Classification:

Projects are classified by complexity, stage, and funding source. These classifications allow AOC leadership to review projects at a portfolio level.

1.2.5. Project Complexity:

Project complexity is determined by a rating system that classifies projects based on relevant factors.

The goal of the complexity rating system is to clarify project resource requirements and support the Office of the Chief Engineer’s decision making for project staffing and workforce planning.

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1.3. PROJECT TEAM AND ROLES

The project team is essential to the success of any project. The project team is comprised of a project manager, project task leads, construction team, and the jurisdiction representative.

In the Office of the Chief Engineer, a bi-weekly Project Assignment Meeting (PAM) is utilized to assign team members such as the Project Manager and discipline task leaders to incoming projects.

The construction team is typically added to the project team after funding is received for construction.

1.3.1. Roles and Responsibilities:

Below are the roles and responsibilities for the project team. Throughout the project, the level of responsibility for each role fluctuates depending on the stage.

1.3.1.1. Planning Project Manager (Planning PM): This role is only active on a project if a charter is developed. The Planning Project Manager is responsible for establishing the initial project scope, schedule, and budget efforts. They communicate with the Project Manager, Jurisdiction project coordinator and task leads, in developing pre-planning documents. The Planning Project Manager ensures a smooth transition of information between the programming and study or design stage of the project.

1.3.1.2. Project Manager (PM): The Project Manager is responsible for leading the core team and additional team members through the project delivery process from the study through closeout using an integrated project team approach. They are responsible for monitoring and reporting on the schedule, budget, and quality of the project. A project manager will not change based on stage.

1.3.1.3. Contracting Officer (CO): Only the Contracting Officer has authority to make changes to the statement of work, extend delivery dates, or give direction to a contractor and only through written modification to the contract.

1.3.1.4. Contracting Officer’s Representative (COR): Each Contracting Officer’s Representative receives an appointment memorandum from the CO listing authorized duties, responsibilities, and limitations. Further information on COR responsibilities and letter of delegation can be found with the Design Construction Acquisition (DCA).

1.3.1.5. Capital Project Administrator: A capitol project administrator may be assigned to act as the overall advisor on very large projects or programs. The Capitol project administrator serves as the overall program manager for the project or program and is ultimately responsible for the work performed.

1.3.1.6. Task Leader: The discipline task leaders are responsible for communicating issues pertinent to their discipline and for knowing processes related to their own area of expertise. They bring detailed and specific technical knowledge to the project. The PM can utilize the task leaders for assistance in technical decisions.

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1.3.1.7. Construction Manager (CM): This role is responsible for the execution of the construction stage, including coordination of commissioning, testing and inspections.

1.3.1.8. Jurisdiction Executives: Jurisdiction Executives are jurisdiction program managers located in OCE. They are the point of the contact for the jurisdiction for project development, advice, and formulation of projects.

1.3.1.9. Jurisdiction Superintendent: Serves as the agency head for their respective jurisdiction, appoints requested project team members as well as can delegate COR responsibilities.

Primarily concerned with functional, operational, and maintenance standards for the jurisdiction, managing change management controls and approval as well as facilitating communications with jurisdiction stakeholders in concert with LPA, Chief of Operations (ChOps), and the Project Manager.

1.3.1.10. Superintendents Project Coordinator: The jurisdiction representative operates throughout the project stages alongside the Project Manager. Jurisdiction representatives are stakeholders and are liaisons between the Project Manager and the building superintendent’s office.

1.3.2. RACI Methodology:

AOC uses RACI methodology to assign and track responsibilities in the project delivery process.

1.3.2.1. Responsible Individual: Shall make the final decision on the technical aspects of the phase. Those who do the work to achieve the task. There is always at least one responsible role for each task, although others can be delegated to assist in the work required.

1.3.2.2. Accountable Individual: Shall be accountable for a portion of the phase but does not have final authority. The person ultimately answerable for the correct completion of the task, and the one who delegates the work to those responsible. The accountable person makes the final decision and has the ownership of the task and responsibility to ensure the task gets done. This often comes in the form of repeated calls, meetings, and generally ensuring the work is being accomplished by the responsible party. There can be only one accountable person for each task.

1.3.2.3. Consulted Individual: Shall be consulted prior to a decision or action. Those whose input is sought before an action is taken, and with whom there is two-way communication.

Those whose input is sought before an action is taken, and with whom there is two-way communication. A Consulted person is also informed after an action is taken.

1.3.2.4. Informed Individual: Shall be informed that a decision or action has been taken. Those are informed after an action has been taken through one-way communication.

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1.4. PROJECT MANAGEMENT PRACTICES

This section serves as the toolbox for project managers to reference during project execution. All of these activities are ongoing required responsibilities during the project’s lifecycle.

1.4.1. Scope Development and Management:

A project’s scope is the work that shall be executed. The project team shall work to define, develop, and control the scope of the project as it progresses through the project stages.

1.4.2. Budget Development and Financial Management

The project budget is a key element of the project. The project team shall review the budget information in PMIS. During development of the initial budget, the Project Manager can consult the Cost Estimating Group (CEG) in the Technical Support Division for assistance. A sample budget template is available in the Resource Library.

1.4.3. Schedule Development and Management

A project schedule helps the project team understand, track, and communicate project & activity status. All projects need a written schedule.

1.4.4. Reporting and Communications

The Project Manager, and later the Construction Manager, is responsible for reviewing information and risks throughout the project. Many reporting activities will take place in the PMIS system. The Project management plan for each project will contain a communication plan that details how the project team communicates risks, project status, and other concerns to the rest of AOC. The types and frequency of meetings will also be included in the communication plan.

1.4.5. Invoicing / Requests for Payment

The COR shall process and approve all payment applications in accordance with the provisions in the contract’s general conditions and provide the Project Manager with a copy for the project files. More details are available in the Resource Library.

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Invoice Processing Cycle

1.4.5.1. As required by the contract, the contractor submits the detailed cost report following the end of the previous reporting period. If the cost report is derived from a cost-loaded CPM, an updated progress schedule shall also be submitted. The updated progress shall be current through the end of the reporting month.

1.4.5.2. The COR shall immediately review the update progress schedule and reported percent complete for each activity. This reported progress data shall be field verified with the contractor if necessary. For unit price contracts and payment from a schedule of values, the COR shall verify claimed quantities and units.

1.4.5.3. The COR shall issue either an Acceptance or Non-Accepted notice to the contractor as specified by the contract. The contractor must remedy any noted discrepancies and shall submit the corrected & date-stamped detailed cost report. The COR shall then complete the review within three days.

1.4.5.4. The contractor shall then prepare and formally submit an application and certificate for payment as instructed in the contract. The payment application will be forwarded to the Project Manager for final signature and completion of processing.

1.4.6. Change Management

If there is a change to a contract, the CO shall negotiate change orders with the contractor. The COR (PM in study or design or CM in construction) evaluates any change requests and provides the CO with a recommendation for action.

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The CO is responsible for final acceptance of all contract changes. The change management process is tracked in PMIS. Any questions about the process should be directed to the CO.

1.4.6.1. Bilateral Modification: The preferred process for change to a contract is a bilateral modification if time permits. A bilateral modification can be used for in-scope and out-of-scope changes. In this process, The AOC issues an RFP to the contractor; the AOC receives their proposal, concludes negotiations, and then issues a bilateral modification.

A government estimate and requisition committing funds are required prior to issuing the RFP.

A contract modification package (blue book) shall be forwarded to the CO and shall include a government estimate for both price and time, if time is needed, and a copy of the RFP sent to the contractor. It shall also include the contractor’s proposal, a price negotiation memorandum (“Price Reasonableness Form” that, in addition to addressing price issues, must also document the rationale for providing the contractor additional time) and pre-negotiation objective memorandum; a determination that the price is fair and reasonable, any other appropriate documentation, and a complete discussion of the change.

1.4.6.2. Unilateral Modification: If time does not allow issuance of an RFP, then the AOC shall issue a unilateral modification. A unilateral modification can be used for in-scope changes only. The contractor is then required to proceed with the work to be followed as soon as practicable with submittal of a proposal. However, unilateral modifications shall only be issued when extenuating circumstances exist such as maintaining schedule, avoiding delays, and protecting Government property.

Unilateral modifications must contain a “limitation of funds” clause to limit the amount the contractor can bill for the work subject to completion of negotiations.

There should also be a statement as to whether a time extension will be allowed. A unilateral modification can also be issued if agreement on the fair and equitable cost of a change cannot be reached. This is usually issued as a unilateral price to be determined later with a “Not to Exceed.”

1.4.7. Administration and Documentation

1.4.7.1. Project Control Systems: The AOC project controls cover three main areas: document management, facility management, and project management systems. Project teams use these systems as needed. Having the same key data elements entered into the PMIS allows for consistent tracking of the project. The PMIS will be the repository of project information including the project initiation form, lessons learned, and closeout information.

1.4.7.2. Project Checklist: The project checklist provides a concise listing of project team responsibilities and provides AOC leadership with internal controls to maintain consistent quality and process execution across AOC. A sample is located in the Resource Library.

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1.4.7.3. Filing Formats: The project documents shall be stored using PMIS or a local shared server. The location of project files and procedures shall be reviewed at the project kick off meeting. There are two options for creation of the file structure. Large projects should utilize the entire folder structure option, but smaller projects can utilize a structure with only the top-level folders.

Files will be named in the format of YYYYMMDD as the first portion of the name.

The Project Manager shall contact the Records Management Branch for project closeout filing procedures.

1.4.7.4. Project Correspondence: The Project Manager is responsible for coordinating all project correspondence, serving as the point of contact for all individuals and entities associated with the work, and maintaining project data. The Project Manager shall ensure that copies of project correspondence are placed in the PMIS. All correspondence shall contain the project title and the AOC project number. Transmittals shall be used for official correspondence. A template is available in the Resource Library.

Reports of all conferences and telephone instructions shall be prepared, posted to PMIS, and distributed to the project team within five working days of the event being documented.

1.4.8. Risk Management

Risk management is a process that assists project teams in identifying and addressing risks that could prevent the successful achievement of businesses objectives. Project risks are the uncertainties that the project team shall identify early during the planning process; however, risks can be identified at any stage of the project. Details on risk management can be found in the Reference Library.

1.5. BEST PRACTICES

The use of the best practices below by the project team may be required based on the size and complexity of the project.

1.5.1. Project Definition Rating Index

The Project Definition Rating Index (PDRI) is a benchmarking tool which uses a weighted checklist to help determine areas of poor definition that can create risk during project execution. The PDRI tool, as developed by the Construction Industry Institute, is used to identify any potential data gaps that require further investigation or definition. The recommended time to complete a PDRI is during preparation of the Program of Requirements (POR). Requirements on the use of the PDRI are included in the AOC Risk Management Policy. If required by the risk policy, the PDRI is only required to be performed once. It is at the discretion of the project team whether multiple PDRIs should be conducted. Refer to the Risk Management Policy and the Resource Library for more information on PDRI.

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1.5.2. Economic Analysis/Life-Cycle Cost

Life Cycle Cost (LCC) is an important economic method of project evaluation used to select alternatives that affect both current and future costs. LCC measures the economic value of decisions of a project. A project’s costs are influenced by environmental, economic, social, and security factors.

LCC allows all costs from owning, operating, maintaining, and disposing of an asset to be considered during the initial project funding decisions. LCC compares initial investment options and identifies the least cost alternatives for a 20-year period.

AOC projects shall be designed using LCC to ensure that it preserves and maintains buildings in the most efficient manner. The LCC may be developed using the methodology outlined in the Code of Federal Regulations (CFR), Title 10, Part 436, Subpart A: Program Rules of the Federal Energy Management Program, The National Institute of Standards and Technology (NIST) Life Cycle Costing Manual for the Federal Energy Management Program, or an equivalent, at the discretion of the Project Manager.

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PROJECT

INITIATION &

PROGRAMMING

2. PROJECT INITIATION AND PROGRAMMING STAGE

The objectives of project initiation and programming are as follows:

• Define preliminary project purpose, scope, cost, roles, and timeline.

• Formalize the project in the PMIS.

• Assign project task leaders in PMIS.

• Identify all project stakeholders.

• Create a project charter, as applicable, to guide all subsequent project planning and management activities.

• Secure customer and Office of the Chief Engineer (OCE) approval to advance the project to the study or design stage in the project lifecycle.

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2.1. INITIATION AND PROGRAMMING STAGE - PROCESS SUMMARY

Project initiation begins when a request for a project is submitted via the Project Initiation Form (PIF). The Planning and Project Development Division (PPDD) reviews the request to ensure all relevant information is captured and identifies stakeholders to develop high-level project requirements.

From there, project classification and complexity are determined, critical milestones and budget are developed, potential funding source identified, and the need for a project charter is determined. Finally, the Planning PM will determine if the project requires a study before moving on to the design stage.

2.2. PROJECT INITIATION

Project Initiation is the first step to operationalize a customer request for minor construction or capital improvement projects. Projects originate from a variety of sources including but not limited to:

• Facility Conditions Assessment work elements

• Jurisdiction 5 Year Capital Improvements Plan (CIP)

• Capitol complex master plan

• Citations

• Campus-wide studies

2.2.1. Process:

The project initiation process ensures that each project request is reviewed by the Planning and Project Development Division (PPDD) to determine the high-level goals and objectives as well as assign key personnel and stakeholders before moving on to further defining the project details in the next phase.

The process is broken down into four steps:

1. Project Initiation Form review

2. Pre-Project Assignment Meeting (PAM) project review

3. Project assignment

4. Project notification

2. PROJECT INITIATION

& PROGRAMMING

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2.2.2. Step 1: Project Initiation Form (PIF) Review

The purpose of the PIF is to document customer requests for Office of Chief Engineer (OCE) services. A requestor submits a PIF via the Project Management Information System (PMIS). Any AOC employee with access to PMIS can submit a PIF.

Planning and Project Development Division (PPDD) reviews the PIF to understand the basis and general scope of the request. PPDD should confirm the information submitted in the PIF to ensure the request is not a duplicate project. The review should also capture potential impact from the project to adjacent projects, structures, spaces or building features.

The PPDD team will meet with the requestor to debrief them about the project request and better define the project needs.

2.2.3. Step 2: Pre-PAM Project Review

A project is formalized and assigned task leaders at the PAM. Before a project is referred to the PAM, The PPDD team will hold a pre-PAM meeting to come to a consensus whether to move a project request into the PAM or close the request. Some investigation may be required before the meeting.

When preparation has concluded, PPDD presents a proposed project at the pre-PAM meeting to OCE leaders. The pre-PAM leader shall document meeting minutes from the pre-PAM.

The pre-PAM meeting involves the following discussions:

2.2.3.1. PIF Review:

Review the PIF process in PMIS. Confirm PIF readiness for project creation and project number assignment. Determine if the project is defined well enough to move forward, or more preparatory work is needed. A decision at this stage could be that the effort is not a project and then closed.

Reasons a PIF may be voided include if the request is part of a different contract.

2.2.3.2. Check Alignment:

Determine if the proposed project is aligned with AOC-wide programs, including but not limited to:

a. ADA program

b. Preservation program

c. Facility Condition Assessment program

d. Capitol Campus Master Plan program

e. Safety and Security

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2.2.3.3. Initial Project Complexity Review

The initial complexity review is intended to conceptually define how complex the project is using a scale of: Extra Low, Low, Medium, High, Extra High.

Initial complexity is determined in the PMIS. The process includes variables such as project cost. See PMIS for additional information on each classification. This process can be re-run several times throughout the project lifecycle. A more complex calculation is performed in the Programming phase. See PMIS guidance for more information.

• Extra Low:

Characteristics of an extra low complexity project include budget values of extra small or small are typically completed by in-house AOC expertise and have limited scope.

• Low:

Characteristics of a low complexity project include budget values of extra small, as defined below, are typically completed by-in house AOC expertise or minimal external support and have limited scope.

• Medium:

Characteristics of a Moderate complexity project include budget values of small or medium as defined below, are typically completed with external support, and have more robust scope.

• High:

Characteristics of a high complexity project include budget values of medium or large, as defined below, are almost always completed with external support, and have substantial, multi-disciplinary scope.

• Extra High:

Characteristics of an extra high complexity include budget values of large or extra-large, as defined below, are almost never completed by internal AOC resources, and have a highly complex scope including multiple disciplines, requiring a high degree of coordination.

2.2.3.4. Initial Conceptual Project Risk Impacts

Initially a high level assessment of the project risk is determined by the Planning PM, based on the information provided in the PIF and as a result of the pre-PAM. The types of risk assessments required are identified in the AOC risk policy.

2.2.3.5. Determine a Charter is Required.

Project charters primarily include additional research steps, defining discipline requirements, as well as a multi-step, formal review and approval process.

When the project is well defined at this stage, a charter is not typically required.

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A charter recommendation will be made based on project size, complex aspects of the project, or when project requirements are not initially well defined or highly complex. It is recommended that a Charter be developed for high or extra high complexity projects with insufficient project definition to develop: a statement of work for a study or Program of Requirements or by jurisdiction request according to the following criteria:

• Upcoming/near-term Line Item Construction Program projects

• Congressional interest

• Life safety

• Code compliance

• Initial conceptual project risk impact

• Initial project complexity review

• Backlog reduction

• Project prioritization by the jurisdiction

• Time criticality

• The charter will be developed after the programming phase and shall incorporate all requirements developed during that phase.

2.2.3.6. Determine if a Study is Required or Recommended.

A study is not required for every project. When a study is required, there will be an increased level of effort necessary either by the Planning Division or Project Management Division, depending on who is assigned to manage the study during the PAM.

Studies are recommended for projects that require additional technical investigation or inspections, require destructive testing to determine condition, large or campus-wide programs or initiatives, as enabling work to define the design statement of work.

An initial recommendation for an internal or external A/E should be made.

2.2.3.7. Determine Construction Entity

There are several different types of construction methods for executing projects. For projects designed in-house, construction is usually completed via the Construction Division, job order contractor, Jurisdiction Shops, or a combination thereof. For projects designed by an external A/E firm, construction is usually completed via a general contractor. Determination of the construction entity impacts not only project schedule but also project budget considerations.

2.2.3.8. Project Funding Source and Funding Available

There are several different types of project funding. The funding source should be discussed and preliminarily identified. If identifiable, the amount of available funding should be documented.

It is important to understand if the project is required to go through the approval process associated with Line Item Construction Project (LICP).

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2.2.3.9. Schedule and Budget

The budget is conceptual at this time based on available funding, if applicable.

A milestone schedule can better define critical milestones, classification, complexity, scope, funding source, etc. during the Programming phase.

AOC policies and standards should be reviewed for applicability to the project scope. AOC-specific standards and policies may directly impact project milestone schedules and overall project budget. Some examples are listed below:

• Design Reviews: The quantity, frequency, and subsequent durations of necessary design reviews impact overall stage durations and budgeted professional services.

• Historic Preservation Officer (HPO) Reviews: Extensive coordination may be required with the Historic Preservation Officer. These reviews, regardless of the project stage, impacts project schedule and project budget, particularly if the design is externally contracted.

• Architectural Review Board (ARB) Review: Independent project reviews may be required for some projects, in accordance with the ARB policy. Multiple reviews at various stages may be required as per the policy. ARB reviews have significant impact to overall project stage schedules and may impact project budgets if they are performed by external contractors.

• Reviews required by applicable external agencies and stakeholders such as DDOT, PEPCO, Oversight, etc.

2.2.3.10. Develop Initial Project Scope

This is a high level project scope that could be the project description from PMIS or a separate and more detailed project scope depending on factors such as project value, complexity, funding, and the PIF.

2.2.3.11. Confirm or Update Estimated Project Size

This section addresses the estimated dollar value of the project related to either the available budget or what the jurisdiction wants to spend on the project. The definitions for different project sizes are contained in PMIS.

2.2.3.12. Determine Initial Project Classification

The project must be classified for future reference and various reporting across the AOC portfolio.

All projects at the AOC fall under the following project classifications: capital construction, capital improvement, capital renewal, deferred maintenance, and facility condition assessments.

Additional information on classification is in the Resource Library.

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2.2.4. Step 3: Project Assignment Meeting (PAM)

The Project Assignment Meeting ensures the project management entity knows of new projects in PMIS and assigns task leaders to the project review team. The PAM provides the managing entity with the minimum information needed to have a successful project.

The intent of the PAM is to:

• Identify the Project Manager and make task leader assignments.

• Determine baseline project details & requirements.

• Addresses all actionable fields and information required by the PIF.

PPDD is responsible for facilitating the meeting by presenting new projects, highlighting project complexity, critical milestones and assigning task leaders.

Data produced and information gathered during the pre-PAM step shall be provided for discussion.

2.2.4.1. PAM attendees include:

• Project Management Division (PMD) representatives including Assistant Director, Section Chiefs, and Jurisdiction Executives ( JEs)

• Energy & Design Services Division (EDSD) representatives including EDSD Director, Assistant Director of Architecture & Preservation Branch, Executive Architect, Assistant Director of Electrical Engineering Branch, Fire Protection Engineer, Mechanical Engineering, and Assistant Director of Energy, Water & Sustainability.

• Planning & Project Development (PPDD) representatives including PPDD Director, Assistant Director of Technical Services Branch, Assistant Director of Project Development, and planners.

• Construction Division (CD) Director and select representatives.

• May involve members of the project specific request, such as the PIF requestor for more technical submissions.

2.2.4.2. Task Leader Assignments Discussion:

Leadership from the jurisdictions, OCE, and/or Design Services shall review the assignment of the project team and ensure members are available and appropriate to the project.

Task leader assignments are determined by project needs and project stage.

2.2.5. Step 4: Initiation Close-out and Project Notification

A project number is assigned after the PAM when it moves forward through PMIS. Following the PAM, the project is handed off to the PM through a PMIS notification.

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2.3. PROGRAMMING

Programming is the further development of project information from the PAM and further detailing project requirements and developing all the project artifacts required before a project can move onto Study or Design.

Programming defines early project requirements through a series of relevant scoping divisions/ categories and AOC standards. It provides a clearly defined path forward for scheduling, funding, and project execution by defining information such as high-level project scope, schedule milestones, constraints, and goals.

The goal at the end of programming is to ensure project requirements are adequately defined prior to agreement from the appropriate stakeholders and further resource assignment.

Process:

The process diagram below outlines all of the steps that may be required in the programming phase.

The Planning PM will lead the following steps:

2.3.1. Step 1: Confirm or Determine Contracting Type

The type of contract needs to be determined before executing other steps. If the project is intended to go to construction, the PM shall determine if the project will be executed with in-house staff (Construction Division or a jurisdiction shop) or with an external construction contractor.

If the project has been requested to be design-build (D-B), or might be best executed as Design- Build, then the programming team will need to refer to the Design-build policy and produce a checklist and scorecard to gain approval from the acquisition board.

The D-B method of project delivery is not suitable for every project. When first considered, the D-B approach may seem preferable, as the single point of responsibility lends itself to continuity and efficiency. However, there are both advantages and disadvantages to the use of the delivery method.

AOC Design Build Policy provides guidelines and procedures for implementation of the delivery of a D-B Project. Guidelines and processes include roles and responsibilities, selection criteria, procurement processes, acquisition strategy, and technical requirements and standards to plan and award a D-B procurement.

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The PM needs to determine who needs to be part of development of the D-B scorecard.