Attachment_J.11_CPFMD_Standard_Operating_Procedures.pdf

Version 1.0 – December 2016

District of Columbia Courts

Capital Projects and Facilities

Management Division

Standard Operating Procedures (SOP)

Manual

Capital Projects and Facilities Management Division

1. Introduction, Page 1

1. INTRODUCTION

1.1 Background

District of Columbia Courts The District of Columbia Court (DCC) Reform and Criminal Procedure Act of 1970 created a unified court system. The Act assigned responsibility for the administrative management of the District of Columbia Courts to the Executive Officer, who oversees nine Court divisions. Those divisions include Administrative Services, Budget and Finance, Capital Projects and Facilities Management (CPFMD), Center for Education and Training, Court Reporting and Recording, Office of the General Counsel, Human Resources, Information Technology, and Research and Development.

District of Columbia Courts Mission Statement The DCC mission is to protect rights and liberties, uphold and interpret the law, and resolve disputes peacefully, fairly and effectively in the nation’s capital. To perform the mission and realize DCC’s vision of a court that is open to all, trusted by all, and provides justice for all, the DCC have identified six strategic issues, which form the centers of our strategic goals. Those goals are fair and timely case resolution, access to justice, a strong judiciary and workforce, a sound infrastructure, security and disaster preparedness, and public trust and confidence. The CPFMD plays an integral role in achieving all six goals.

CPFMD Mission Statement The mission of the CPFMD is to provide a high-quality facilities environment for the public, the DCC employees, judicial staff, and detainees by creating and maintaining structural facilities that are clean, healthy, functional, safe, and secure. In completing this mission, the CPFMD will be responsible stewards of public funds with core values that promote a positive sense of community and a commitment to people.

1.2 Roles and Responsibilities

Division Organizational Structure CPFMD is responsible for capital projects, building operations, and facilities support functions.

CPFMD is responsible for developing, implementing, managing, and directing capital construction projects, real property and facilities management, and related environmental programs. CPFMD is comprised of the Office of the Director and two branches:

Building Operations Branch Capital Projects Branch

The Director’s Office is responsible for providing safe, clean, efficiently managed modern facilities that support the DCC delivery of services by directing and administering the modernization of the Courts’ facilities. The Director has the authority to enter into, administer, and/or terminate capital construction and lease contracts, Integrated Justice Information System (IJIS) contractual matters, landscaping contracts, and to make related determinations and findings on behalf of the District of Columbia Courts when the contract value is less than $1,000,000. Contracts in excess of $1,000,000 must be approved by the Executive Officer.

1. Introduction, Page 2

The Building Operations Branch is responsible for facilities management and maintenance of court-owned as well as leased space, lease management, building maintenance and repair (including heating, ventilation, air conditioning, mechanical, electrical, and plumbing), grounds care; and custodial services.

The Capital Projects Branch is responsible for budget preparation, planning, implementation, and management of capital projects pursuant to the District of Columbia Courts Facilities Master Plan dated November 15, 2013 that includes the functional maintenance of the DCC

1.22 million square foot Judiciary Square complex, which is comprised of five buildings including the award-winning D.C. Court of Appeals’ Historic Courthouse.

These groups and their personnel are integrated within a matrix structure which provides the agility and flexibility necessary for CPFMD to meet its strategic objectives (refer to CPFMD Organizational Chart, Page 3).

1.3 Objectives

CPFMD Strategic Objectives Under the guidance and leadership of the Director’s Office, the Building Operations Branch and Capital Projects Branch have each been assigned their own mission-specific, strategic objectives. They are as follows:

Building Operations Objectives

Provide oversight for custodial and landscaping services on behalf of the DC Courts’ employees and visitors so they can operate in a clean and well maintained environment.

Develop and maintain a quality control system for ensuring that customer building operational concerns are addressed expeditiously

Ensure mechanical systems (i.e. HVAC, elevators, building shell conditions, plumbing) are maintainable with assigned preventive maintenance schedules (PMS) based on industry standards and manufacturer recommendations

Expand the CPFMD’s routine replacement program to all of the DC Courts’ buildings to maximize longevity of assets and reduce annual operating and repair costs

Institute quality assurance programs that establish thresholds for conducting scheduled services for the preservation of the DCC upgraded facilities and grounds

Capital Projects Objectives

Define, assess and plan a responsible facility Americans with Disabilities Act (ADA) initiative to ensure the DCC infrastructure is effectively designed and constructed, and are efficiently operated and maintained in accordance with ADA requirements

Utilize the to the District of Columbia Courts Facilities Master Plan dated November 15, 2013 to develop a realistic comprehensive capital project schedule for the future

Efficiently complete major Court building projects to provide new and higher quality services to the DCC employees and visitors

Complete projects on the DCC campus to maximize space and modernize space planning standards to provide an open and collaborative work environment that is flexible to the evolving needs of the Courts’ judicial officers and divisions

Version 1.1 – May 2018

1. Introduction, Page 3

CPFMD Organizational Chart

1. Introduction, Page 4

CPFMD’s primary way of achieving objectives is to execute capital and O&M renovation, new construction, replacement and repair or refurbishment projects. The most common acquisition strategy for projects that CPFMD executes is design-bid-build. Every design-bid-build project executed by CPFMD is comprised of the same nine (9) chronological Project Phases:

Project Initiation & Assignment Phase Project Planning Phase Project Design Phase Project Permitting Phase Project Construction Procurement Phase Project Construction Phase Project FF&E Installation and Tenant Move-In (TMI) Phase Project Close-Out Phase Project Operations and Maintenance Phase

The nine (9) chronological phases listed above form the structure of this document to comprise the CPFMD Standard Operating Procedures (SOP). The SOP details the activities that are completed within each Project Phase and identifies the CPFMD personnel, CPFMD contractor personnel, and DCCS personnel in other divisions or outside agencies responsible for or involved in those activities. Refer to CPFMD Design-Bid-Build Project Phases on Page 5-7 for an overview of the SOP structure or process for completing projects in CPFMD, the activities occurring within each Project Phase and the output or result of each Project Phase.

The chart titled DCCS & CPFMD Titles, Abbreviations and Current Personnel (shown on Page

8) lists the titles of all personnel referenced throughout the SOP, the abbreviations used for those titles and the names of the current personnel or vendors with those titles.

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CPFMD Design-Bid-Build Project Phases:

1. Introduction, Page 6

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Version 1.1 – May 2018

1. Introduction, Page 8

DCCS & CPFMD Titles, Abbreviations and Current Personnel/Vendor

TITLES TITLE ABBREVIATIONS CURRENT PERSONNEL/VENDOR

Deputy Executive Officer/Contracting Officer CO Cheryl Bailey (over 1M) / Lou Parker (under 1M)

CPFMD Program Management Office CPFMD PMO DF, MAS, MK, CB, JH, other assigned personnel

CPFMD Director CPFMD Director Dana Friend (Acting)

CPFMD Director Administrative Assistant CPFMD Director Admin Assist. Vacant

CPFMD Deputy Director CPFMD Deputy Director Mary Ann Satterthwaite

CPFMD Move Project Manager CPFMD Move PM Stan Morel

CPFMD Financial Project Manager CPFMD Financial PM Marka Joyner

CPFMD Chief Capital Projects Manager CPFMD Chief Capital Projects Manager Marvin King

CPFMD Chief Capital Projects Manager Assistant CPFMD Chief Capital Projects Manager Assist. Nikki Turner

CPFMD Capital Projects Project Manager CPFMD Capital Projects PM Judith Hill

CPFMD Building Operations Manager CPFMD Building Operations Manager James Vaughan (Acting)

CPFMD Chief Building Engineer CPFMD Chief Building Engineer James Vaughan

CPFMD Building Engineer CPFMD Building Engineer Emanuel Allen

CPFMD Master Plumber CPFMD Master Plumber Roosevelt Bournes

CPFMD Building Maintenance Mechanic CPFMD Building Maintenance Mechanic Elnardo Hicks, Rodrigo Gobantes, Jr., Clyde Elder, Jeffrey Hawkins, Dion Carter, Erwin Hicks

CPFMD Building Maintenance Electrician CPFMD Building Maintenance Electrician Michael Pearson

CPFMD Lead Facilities Technician CPFMD Lead Facilities Technician Eric Butts

CPFMD Facility Repair Worker CPFMD Facility Repair Worker Calvin Bellamy, Armando Baltadano, Marquette Pierce, Jose Arenas

CPFMD Facilities Technician Assistant CPFMD Facilities Technician Assistant Terrell Thomas, Robert Jones

DCCS IT DCCS IT Division Director/assigned representative

DCCS Telecommunications DCCS Telecommunications Division Director/assigned representative

DCCS AV DCCS AV Division Director/assigned representative

DCCS Security DCCS Security Division Director/assigned representative

USMS Security USMS Security Outside Agency/assigned representative

Contractor General Contractor CTR GC Contractor (Various)

Contractor Schedule Manager CTR Schedule Mgr. Contractor (Markon)

Contractor Master Planner CTR Master Planner Contractor (MAP/IBI)

Contractor Architect/Engineer CTR A/E Contractor (IBI, BBB, others as assigned)

Contractor Construction Manager/Project Manager CTR CM/PM Contractor (Markon/Nantuit)

Contractor Quality Assurance Manager CTR QA Manager Contractor (ASAP)

Contractor Safety Manager CTR Safety Manager Vacant

1. Introduction, Page 9

1.4 Commonly Used Acronyms and Abbreviations

CPFMD works with a broad array of agencies and organizations to fulfill their strategic objectives. The agencies and organizations CPFMD most frequently work with are listed below:

Acronym Agency or Organization CFA Commission on Fine Arts CPFMD Capital Projects and Facilities Management Division DCC District of Columbia Courts DCRA Department of Consumer and Regulatory Affairs DCSC District of Columbia Superior Court DCCOA District of Columbia Court of Appeals DCSHPO District of Columbia State Historic Preservation Office DCWASA District of Columbia Water and Sewer Authority DOD Department of Defense DOJ Department of Justice GSA General Services Administration NCPC National Capital Planning Commission USCAAF United States Court of Appeals for the Armed Forces USMS United States Marshal Service

ACRONYMS & ABBREVIATIONS: Acronyms/abbreviations commonly used by CPFMD and in the SOP are as follows:

Abbreviation Meaning A/E Architect/Engineer ASD Administrative Services Division BPA Blanket Purchase Agreement C&A Certification and Accreditation C of O Certificate of Occupancy CA Contract-Administrator

CAD Computer Aided Drafting CCO Contract Change Order CMMS Computerized Maintenance Management System CPM Critical Path Method CSO Court Security Officer CCTV Closed Circuit Television CD Construction Documents CO Contract Order (Number) CO Contracting Officer COI Certificate of Insurance COTR Contracting Officer’s Technical Representative CM/PM Construction Manager/Project Manager Cx Commissioning DI Digital Image

1. Introduction, Page 10

DID Design Intent Document Abbreviation Meaning EFT Electronic Fund Transfer FF&E Fixtures, Furniture & Equipment FCA Facilities Condition Assessment FCI Facilities Condition Index FMP Facilities Master Plan HVAC Heating, Ventilating & Air Conditioning HCMCB H. Carl Moultrie Courthouse Building IDIQ Indefinite Delivery Indefinite Quantity IFC Issued for Construction IPT Integrated Project Team IT Information Technology MEP Mechanical, Electrical, Plumbing NTP Notice to Proceed OSF Occupiable Square Feet O&M Operations and Maintenance PCO Project Change Order

PCR Potential Change Request PMP Program Management Plan PR Purchase Request QA/QC Quality Assurance/Quality Control RFI Request for Information RFP Request for Proposal RFQ Request for Quotation ROM Rough Order of Magnitude RPT Relocation Planning Team SFO Solicitation for Offers SOP Standard Operating Procedures SSEB Source Selection Evaluation Board SSO Special Security Officer or Site Security Officer TFO Tenant Fit-Out TMI Tenant Move-In UFC Unified Facilities Criteria USG United States Government WO Work Order

1.5 References

Documents and standards commonly referenced by CPFMD and in the SOP are as follows:

District of Columbia Courts Standards, 2013 District of Columbia Courts Facilities Master Plan dated November 15, 2013 United States Army Corps of Engineers Safety and Health Requirements

Manual, EM-385-1-1, 2014 Version

1. Introduction, Page 11

American Institute of Architects (AIA) A101, A201, and A701(most current) Procurement Guidelines of the District of Columbia Courts Federal Acquisition Regulation (FAR) General Contract Provisions for Use with DC Courts Supply and Service

Contracts

2. Initiation, Page 1

2. PROJECT INITIATION & ASSIGNMENT

Overview The project initiation phase is the phase in which a new project or phase of an existing project is defined, available funds are verified, authorization is given by DC Court System (DCCS) Capital Projects and Facility Management Division (CPFMD) Director to start the project or phase, and a Contractor Construction Manager/Project Manager (CTR CM/PM) is assigned to the project.

The most common acquisition strategy for construction projects that CPFMD executes is Design-Bid-Build. CPFMD has an IDIQ task order contract for architectural and engineering (A/E) planning and design services. If the acquisition strategy for project execution is design-bid-build, then the IDIQ task order contract is utilized to engage the Contractor A/E (CTR A/E) as the Contractor Master Planner (CTR Master Planner) during the project initiation phase and as the Architect of Record (AOR) during the project planning and design phase.

2.1 CPFMD Project Initiation

CPFMD projects are typically initiated in the following ways:

(1) The District of Columbia Courts Facilities Master Plan dated November 15, 2013 and Master Program Schedule

(2) The District of Columbia Courts Facilities Condition Assessment Final Summary of Findings dated March 4, 2013

(3) The Judiciary Square Master Plan - Washington, D.C. dated 4 March 2005

(4) At a DCCS Division Director’s request

(5) As an unplanned or emergency repair or replacement need

(6) As an unplanned service need

Project Initiation—District of Columbia Courts Facilities Master Plan & Judiciary Square Master Plan - Washington, D.C.

The most recent version of the District of Columbia Courts Facilities Master Plan dated November 15, 2013 is a comprehensive facilities master plan for the DCCS properties addressing long term space needs, required improvements to infrastructure and the physical environment and the planned consolidation of the mandated Family Court (required per the District of Columbia Family Court Act of 20001).

The District of Columbia Courts Facilities Master Plan includes the restoration of historic buildings, expansion of the existing Courts structure, and the construction of below grade parking and the restoration of green spaces as shown in L’Enfant’s plan—all within the context of a rapidly evolving and publicly oriented area of Washington, D.C.

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The Judiciary Square Master Plan - Washington, D.C. dated 4 March 2005 is the DC Courts’ vision to re-invigorate the historic Judiciary Square by reintroducing green space to the area, creating a strong perimeter to enhance historic character and to resolve important existing technical issues with access, service, circulation, and security.

The CPFMD PMO aligns the District of Columbia Courts Facilities Master Plan or the Judiciary Square Master Plan - Washington, D.C. with the Master Program Schedule and funds available to determine what capital projects will be executed each fiscal year.

If a project is initiated from the District of Columbia Courts Facilities Master Plan or the Judiciary Square Master Plan - Washington, D.C., the CPFMD PMO and the CTR Master Planner work together during the project initiation phase to complete the following (at a minimum):

Develop an initial project Scope Statement or project Proposal Develop an Acquisition Strategy Develop a list of internal and external stakeholders Develop a cost Rough Order of Magnitude (ROM) Determine fiscal year and type of financial resources that will be committed to execute the project Develop a forecast of CPFMD human resources and/or CPFMD contractor resources who will be committed to execute the project Authorize and assign project

Project Initiation—District of Columbia Courts Facilities Condition Assessment

(FCA)

The most recent version of the District of Columbia Courts Facilities Condition Assessment (FCA) Final Summary of Findings dated March 4, 2013 was completed to determine the overall condition of all DC Court assets, identify and prioritize the buildings mechanical, electrical and plumbing systems and necessary requirements, recommend actions to be taken for these requirements, and determine anticipated Capital renewal. The CPFMD Building Operations Manager uses the FCA to assist in determining annual budgets and identifying projects to be completed to maintain a low Facility Condition Index (FCI), a key benchmark indicator which quantifies the condition of a building. Once funding for the fiscal year has been received, the CPFMD Building Operations Manager aligns prioritized projects with funds available, determines what operations and maintenance projects will be executed, assigns a CTR CM/PM to each project, and gives authorization to the CTR CM/PM to begin project planning activities.

If a project is initiated from the FCA, the CPFMD PMO, the CPFMD Building Operations Manager and the CTR Master Planner work together to complete the following (at a minimum):

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Develop an initial project Scope Statement or project Proposal (includes requirements)

Develop an Acquisition Strategy Develop a list of internal and external stakeholders Develop a cost Rough Order of Magnitude (ROM) Determine fiscal year and type of financial resources that will be committed to execute the project Develop a forecast of CPFMD human resources and/or CPFMD contractor resources who will be committed to execute the project

Project Initiation—At District of Columbia Courts Division Director’s request If a project is initiated at the request of a DCCS Division Director, the CPFMD PMO, with receipt of the approved requisition assigns the project to either the Capital Projects or Facility Management Branch, assigns a CTR CM/PM to the project, and gives authorization to the CTR CM/PM to begin project planning activities. The CTR CM/PM works with the CPFMD PMO, the CPFMD Procurement Team and the DCCS Division Director simultaneously to complete all of the following activities:

Develop an initial project Scope Statement or project Proposal (includes requirements)

Develop an Acquisition Strategy Develop a list of internal and external stakeholders Develop a cost Rough Order of Magnitude (ROM) Determine fiscal year and type of financial resources that will be committed to execute the project Develop a forecast of CPFMD human resources and/or CPFMD contractor resources who will be committed to execute the project

The CPFMD expects to receive the following information (at a minimum) from the DCCS Division Director who initiates the request. The CTR CM/PM will work directly with the Division Director to ensure all information below and adequate requirements are received by CPFMD:

An updated organizational chart of the organizations that the project will impact An updated roster of all personnel in the Division to include vacant positions A list of requested/funded positions for the upcoming fiscal year An initial project Scope Statement or project Proposal (includes project requirements) Identification of financial resources that will be committed to execute the project A list of internal and external stakeholders

(Refer to Section 11, Attachment 2A, So You Have an Idea for a Project?) The CPFMD Guide to Project Initiation for details of initiating a project via DCCS Division Director’s request.

2. Initiation, Page 4

2.2 Develop Initial Project Scope Statement or Project Proposal An initial project Scope Statement or project Proposal is an initial understanding/documentation of the project to the extent that the CPFMD Director has enough information to provide authorization for the project to move forward. An initial project Scope Statement or project Proposal contains high level project background and justification, goals and objectives, requirements, assumptions, boundaries/exclusions, constraints, deliverables, timeline/duration of required activities, and user acceptance criteria. Since CPFMD is typically performing renovations in an operational courthouse or court facility, it is imperative that the initial project Scope Statement or Proposal include swing space requirements, as they affect the budget, schedule and scope of the overall project.

2.3 Develop an Acquisition Strategy

The CTR CM/PM works with the CPFMD Procurement Team to develop an acquisition strategy for the project based on the initial project Scope Statement or project Proposal, project type, and project ROM. Types of acquisition strategies may include (but are not limited to) the following:

Design-Bid-Build Design-Build Task order on IDIQ IDIQ task order contract for architectural and engineering (A/E) planning and design services IDIQ task order for maintenance IDIQ Task order for services contract Fixed Price contract for housekeeping, landscaping and HVAC repairs

2.4 Develop List of Internal and External Stakeholders

A stakeholder is defined as a person or organization that is actively involved in the project, or whose interests may be positively or negatively affected by execution or completion of the project. A stakeholder my also exert influence over the project and the project deliverables.

CPFMD executes projects that impact internal stakeholders—such as the DC Court of Appeals, the DC Superior Court and the DC Court System—as well as external stakeholders. External stakeholders include agencies such as the Unites States Marshall Service (USMS), the United States Attorney’s Office (USAO), the DC Department of Health and the DC Bar Counsel. External stakeholders also include representative’s agencies such as the Mental Health Administration, Public Defender Services and the Court Security Management Office. Furthermore, internal and external stakeholders include DC Court personnel and DC Court contracted personnel.

Developing a comprehensive list of internal and external stakeholders prior to the start of project planning and ensuring that they are involved from the very start of a project,

2. Initiation, Page 5 reduces the risk of re-work or changes later in the project that may negatively impact scope, schedule, budget and overall project success.

Internal and External Stakeholders—DC Courts Security All stakeholders’ input is essential to overall project success, but due to the nature of court activities, security and confidentiality are extremely important when executing projects at the DC Courts. It is essential that all security stakeholders—internal and external—are involved at the start of planning for all projects. Most commonly, internal and external stakeholders include the DC Courts Security Branch Chief, TYCO (contracted by the DC Courts Security Branch Chief), the Unites States Marshall Service (USMS) and the United States Court Security Officers (contracted by the

USMS).

External Stakeholders—most common

Newseum Embassy of Canada National Law Enforcement Museum (NLEM) DC State Historic Preservation Office (DC SHPO) National Capital Planning Commission (NCPC) The Commission of Fine Arts (CFA) District Department of Transportation (DDOT) DC Government Office of Planning (DC OP)

Internal Stakeholders—most common

DC Court of Appeals and DC Superior Court Government and contractor tenants (includes Judges)

DC Court System Government and contracted tenants (includes Executive Office) DC Superior Court Government and contracted tenants Outside Agencies Representatives Agencies

2.5 Develop a cost Rough Order of Magnitude (ROM)

For most CPFMD projects initiated by the District of Columbia Courts Facilities Master Plan and the FCA, a cost estimate or ROM has been already been developed. For projects initiated at a DCCS Division Director’s request, the CPFMD PMO assists the DCCS Division Director to develop a ROM. In order to do so, the CPFMD PMO has developed the TOTAL Project Cost Checklist (Refer to Section 11, Attachment 2B, Total Project Cost Checklist and refer to DCRA Permit Fees Estimator as a supplement) that aids in the calculation of a ROM inclusive of all costs associated with a proposed project.

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2.6 Determine Financial Resources to be Committed

The CPFMD PMO meets with the CPFMD Financial PM to determine which fiscal year funds will be committed to funding the project and what line item the project funds will be committed.

2.7 Develop Forecast of DCCS Resources and DCCS Contracted Resources Forecasting human resources supports the CPFMD PMO in the development of a project cost ROM and helps to determine what resources need to be immediately assigned in order to engage during the project planning phase. At the initiation stage it is not important to determine the entire project team and each team member’s role and responsibilities (that will be done as part of the project planning phase), however, at a minimum, the CPFMD PMO determines what CTR CM/PM they will assign to the project so that they can be engaged at the start of the project planning phase.

Based on the project requirements (new real estate, new construction, existing renovation work, etc) external resources may be engaged as part of the project team to secure land, building leases, existing facilities, etc.

2.8 Authorize and Assign Project

At the close of the project initiation phase, if it is determined that the project will move forward, the CPFMD Director gives authorization to start the project planning phase and assigns a CTR CM/PM to the project by issuing a Notice to Proceed (NTP) and Contract Order (CO) for Supplies and Services (GSA Form 300).

If the acquisition strategy for project execution is design-bid-build, then the CPFMD Director utilizes the IDIQ task order contract to issue a task order to the A/E, for the provision of A/E services during the project planning phase.

3. Planning, Page 1

3. PROJECT PLANNING

Overview The project planning phase is the phase in which the total scope of the project is determined, the total project and tenant requirements are defined and refined, the total project cost is refined, and a course of action and timeline for executing the project is developed. In addition, it is when the CTR CM/PM creates a filing system to organize all project documents.

The CTR CM/PM, in conjunction with the CTR Master Planner, takes the lead to manage the planning process.

During the project planning phase (and prior to the design and construction of the assigned project) the CTR CM/PM leads the project team (Refer to Section 11, Attachment 3A, CPFMD Planning Phase Process, for overall process and list of commonly assigned Project Team members) assigned by the CPFMD PMO to complete the following tasks with which the CTR CM/PM assembles a project package for approval by the DCCS Division Director or tenant representative and ultimately, the CPFMD Director:

Develop a Planning Schedule Develop a Program & Test Fit Develop a Migration Plan Develop a Scope of Work (SOW) Develop an Independent Government Estimate (IGE) Develop Evaluation Criteria Develop a Project Management Plan (PMP) Assemble Project Package Create Project file (hard and soft copies)

If the acquisition strategy for project execution is design-bid-build, then the CTR A/E is awarded a task order to complete project planning activities at the end of the project initiation phase. Of the tasks listed above, the CTR A/E is solely responsible for completing the following items. The CTR CM/PM then includes them in the project package for approval by the CPFMD Director:

Program & Test Fit Migration Plan Design scope of work and narrative (for CTR CM/PM inclusion in SOW) Design activity identification and duration estimate for each activity (for CTR

CM/PM inclusion in Planning Schedule)

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3.1 Develop a Planning Schedule

Immediately following project assignment, the CTR CM/PM works with the project team to develop a preliminary planning schedule for the project to include estimated durations for each project phase (Refer to Section 11, Attachment 3B, DC Courts DRAFT Planning Schedule New Stacked Restrooms, for example of a planning schedule). The CTR CM/PM manages project execution from planning to closeout to ensure that the planning schedule is met and makes adjustments to the planning schedule, as necessary, during project execution.

3.2 Develop Program and Test Fit

Utilizing the initial project Scope Statement or Proposal and the list of internal and external stakeholders as a starting point, the CTR A/E gathers specific project requirements (to include IT, TELECOMM and AV requirements, security requirements, space requirements, adjacency requirements, storage/filing requirements, etc.) and verifies all initial information provided by CPFMD at the beginning of the planning phase by conducting meetings to interview all project stakeholders. The CTR A/E develops the requirements gathered into a design program and develops a test fit based on that program.

The CPFMD Move Manager accompanies the A/E to requirement-gathering interviews to confirm occupancy and assist in identification of tenant move requirements—priorities, major issues involved with the move, special needs that should be considered, critical operations that must be maintained, public interactions that will be affected, etc.

3.3 Develop a Move/Migration Plan

The development of a Migration Plan is designed to create a seamless transfer of personnel, equipment and systems and to allow the various DC Courts divisions and personnel to continue to provide constant and consistent services to the DC Court System, the US Marshal’s Service (USMS), the US Attorney’s Office, other City and Federal Agencies that work with the DC Courts, and to the public.

During the planning phase, the CTR A/E (with input from the CPFMD Move Manager) develops a migration strategy or plan. The Migration Plan addresses the entirety of the movements or relocation of personnel impacted by the proposed project. For example, personnel may be relocated temporarily to an existing swing space prior to the start of the proposed project, a swing space may be constructed as a separate project, a swing space may be created as part of the proposed project construction, or personnel may sometimes be moved directly into their new locations. The CTR A/E and the CPFMD Move Manager work together to develop a Migration Plan that details all of the moves (to include swing space moves) that will occur related to each proposed CPFMD project and develop a list of move-related requirements.

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3.4 Develop Scope of Work (SOW)

During the project initiation phase an initial project Scope Statement or project Proposal was developed. The initial project Scope Statement or project Proposal is the starting point for developing the SOW. The CTR CM/PM works with the project team to determine the total scope of the project and refine the Scope Statement or Proposal to develop the SOW. The CTR CM/PM gathers all information that the CTR A/E provides—the program, test fit, design scope of work and design narrative—and the rest of the project team provides to develop the draft SOW.

Once a draft of the SOW is complete, the CTR CM/PM circulates the SOW with in CPFMD for review by all subject matter experts (Refer to Section 11, Attachment 3A, CPFMD Planning Phase Process), makes revisions as necessary and then circulates the SOW to the CPFMD PMO for review and approval.

Once the CPFMD PMO has reviewed and approved the SOW, the CTR CM/PM sends the finalized SOW with all attachments to the CPFMD Contract PM for inclusion into a Request for Proposal (RFP) and to publish for solicitation.

3.5 Develop an IGE/Revise ROM

During the project initiation phase, a ROM was developed based on the initial project Scope Statement or project Proposal. Once the project Program and Test Fit, the Migration Plan and the SOW have been developed, the CTR CM/PM revises the ROM to determine if additional funding is required to execute the project.

3.6 Develop Evaluation Criteria

Once the project Program and Test Fit, the Migration Plan and the SOW have been developed, the CM/PM works with the CPFMD Procurement and Contracts Team to develop the evaluation criteria that will be issued as part of the RFP and will be used to evaluate the bidder’s proposals.

3.7 Develop a Project Management Plan (PMP)

The purpose of the PMP (Refer to Section 11, Attachment 3C, HCMCB: C Street Addition Project PMP Draft, for an example of a PMP) is to provide a road map to execute the project. The PMP is designed to ensure that work is performed in accordance with the CPFMD PMO procedures and project requirements and states strategies that the CTR CM/PM and the project team will implement to complete the project on time, on schedule and within budget. The PMP ensures that stakeholder expectations are met and that the end user/tenant acceptance criteria are met when the project is complete and ready for turnover/acceptance prior to occupancy. The PMP should contain the items such as the a project description, identification of the project team, a communications plan, a risk assessment and management plan, a change management plan, design & construction oversight approach, an environmental

3. Planning, Page 4 compliance oversight approach, a quality assurance approach, safety assurance plan, and all relevant information for managing the project successfully from planning through closeout.

3.8 Assemble Project Package

When all of the components of the project package above are above complete, the CTR CM/PM compiles them into a complete project package for approval by the DCCS Division Director and/or tenant/end user representative and ultimately, to the CPFMD Director. After the DCCS Division Director and/or tenant/end user representative and the CPFMD Director approves the project package, then CPFMD Director authorizes the CTR A/E to move forward with the design process by issuing a design NTP.

3.9 Create Project File (Hard and Soft Copy)

During the planning phase, the CTR CM/PM creates a binder that will contain all of the hard copy project files and a digital folder on the CP-PMO shared drive (filed at (\\dcchq101\CP-PMO\CPFMD Projects) where all of the project soft copy documents will be filed. The CTR CM/PM ensures that both the project binder and the digital folder are consistently updated as new files are produced and received. In addition, the CTR CM/PM initiates a project folder in Procore (https://app.procore.com/4008/company/home/thumbnail), the online project management platform used by CPFMD for management of all projects.

Create Project File—Hard Copy Project Binder The CTR CM/PM creates a project binder labeled with project name, project location and CPFMD number (at a minimum) and files all project hard copy documents. Binder cover and spine templates are located on the CP-PMO drive (\\dcchq101\CP- PMO\CPFMD Master Planning\PROGRAM Templates\Binder Templates).

The CTR CM/PM files most recent version of the following (at a minimum) in the project binder:

Project Team Directory (list of all project team members, their role on the project and their contact information)

Project Initiation & Planning Documents (tenant organizational charts, program & test fit, migration plan, IGE, SOW, PMP, etc.)

Project Contract/Procurement Documents (Acceptance, Solicitation and attachments, signed Contract Order, PCR’s)

Project Design Documents (design meeting minutes, signed DID, signed permit drawing, final furniture drawing)

Project Controls Documents (baseline schedule, approved schedule, etc.)

Project Financial Documents (funding letters, invoices, payment applications, CO’s, budget reports) https://app.procore.com/4008/company/home/thumbnail

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Project Construction Documents (construction meeting minutes, RFIs, submittal register/logs, permits, access requests, inspection reports, Certificate of Occupancy)

Project Quality Documents (Contractor QCQ Plan, inspection reports, punch lists, NCNs)

Project Safety Documents Project FF&E Vendor Documents Project Photos Project Correspondence and Lessons Learned Log Project Closeout Documents

Create Project File—Soft Copy Project Folder The soft copy project folder on the CP-PMO shared drive (\\dcchq101\CP-PMO\CPFMD Projects) is standard and is created by copying and pasting a pre-populated template folder already saved on the shared drive to create the new soft copy project folder. The CTR CM/PM uses the template folder to create the soft copy project folder to ensure that all soft copy project files are filed consistently, making them easy to find and use for the entire CPFMD team. The soft copy project folder is essentially a duplicate of the hard copy binder and the addition of digital files and correspondence that the CTR CM/PM creates and receives. In addition, the CTR CM/PM creates a project folder on www.procoretech.com that will be updated with all project information as well.

http://www.procoretech.com/

Version 1.0 - December 2016

4. Design, Page 1

4. PROJECT DESIGN

Overview As previously stated, the most common acquisition strategy for construction projects that CPFMD executes is design-bid-build. CPFMD has an IDIQ task order contract for architectural and engineering (A/E) planning and design services. If the acquisition strategy for project execution is design-bid-build, then the IDIQ task order contract is utilized to engage the A/E as the Master Planner during the project initiation phase and as the Architect of Record (AOR) during the project planning and design phase.

The project design phase is the phase in which the CTR A/E develops the design and ultimately submits the stamped and signed drawing set for CPFMD (specifically the CTR CM/PM) to obtain required permits and complete construction.

If the acquisition strategy for project execution is design-bid-build, then the CTR A/E is awarded a task order to complete project planning activities at the end of the project initiation phase. Once CPFMD has approved the project package submitted by the CTR CM/PM at the end of the project planning phase, CPFMD gives the CTR A/E authorization to move forward with the design phase during which time the CTR A/E completes the following tasks:

Submit Design Quality Control (DQC) Plan Submit Design Submission Schedule Conduct Design Kick-Off Meeting Survey site, furniture and equipment Verify Program, Test Fit and Migration Plan (created in the planning phase) Develop Design Intent Documents (DIDs) Develop Construction Documents (CDs) Acquire required outside agency approvals and identify required permit variances Submit signed and stamped drawing set for permitting and construction

Throughout the design phase the CTR A/E ensures that all documents produced are in compliance with the following:

All applicable codes DC Courts Standards Manual (most current) DC Courts Cable and Wire Management Procedures Manual dated 25 January

USMS Publication 64 Requirements and Specifications for Special Support Space

Manual, Volumes I and II, 2014 Edition Signage Manual

4. Design, Page 2

4.1 Submit Design Quality Control (DQC) Plan

Excellence in architectural/engineering design is a prime goal of CPFMD. Accordingly, quality architectural design that is functional, environmental and energy conscious and compatible with existing elements is required for all projects. At a minimum, quality of engineering design must provide appropriate facilities at the lowest practical construction cost, with due consideration for economy in maintenance and operation.

The construction material must be of a quality that is consistent with the intended use of the facility and reflect local availability and construction skills. New materials and methods should be considered, but only if they provide an economic or functional advantage. The design quality control plan should be part of the overall quality control plan; this plan must assure that all documents are reviewed by a technically competent, independent reviewer specially named in the plan. The design quality control manager should be provided by the contractor; this individual should be a Registered Architect or Professional Engineer.

Within 7 calendar days of CPFMD authorization to begin the design phase and prior to the CTR A/E beginning any design work, the CTR A/E submits the Design Quality Control (DQC) Plan to CPFMD for review and approval. The CTR A/E’s DQC plan outlines the general guidelines associated with ensuring a quality design is produced for the CPFMD project. The DQC identifies the design team members (to include consultants and interdisciplinary parties), each design team member’s responsibility for quality control, and the process within each design phase by which the CTR A/E will monitor their quality control plan. In short, the DQC Plan describes in detail how the CTR A/E intends to ensure the design is prepared and reviewed such that CPFMD receives the best quality design for approval and execution.

The CTR CM/PM ensures that the CTR A/E adheres to the approved DQC Plan throughout the design phase.

4.2 Submit Design Submission Schedule

Within seven (7) calendar days of CPFMD authorization to begin the design phase and prior to the CTR A/E beginning any design work, the CTR A/E submits the Design Submission Schedule to CPFMD for review and approval.

The Design Submission Schedule is a schedule by which all drawing packages will be submitted, reviewed and revised throughout the design phase. The CTR A/E includes the following information (at a minimum) for each submission in the Design Submission Schedule:

Date CTR A/E submits drawing package to CPFMD for review (milestone) Duration of CPFMD review period

4. Design, Page 3

Date CPFMD submits review comments to CTR A/E (milestone) Duration of CTR A/E comment incorporation/revision Date CTR A/E submits revised drawing package to CPFMD for review

(milestone)

The CTR CM/PM ensures that the CTR A/E adheres to the approved Design Submission Schedule throughout the design phase. Should the CTR A/E need to make changes to the Design Submission Schedule, the CTR A/E submits a request for changes to the CTR CM/PM for approval. The CTR CM/PM coordinates with the CPFMD PMO to determine if the change is acceptable and grants approval to the CTR A/E if it is. Once the CTR A/E has received approval for the requested change to the Design Submission Schedule, the CTR A/E revises the Design Submission Schedule and submits it to the CPFMD PMO for approval.

4.3 Conduct Design Kick-Off Meeting

Within 14 calendar days after CPFMD has approved the DQC Plan and the Design Submission Schedule and prior to the CTR A/E beginning any design work, the CTR A/E schedules and conducts a Design Kick-Off meeting with the CPFMD PMO and all stakeholders present to prepare for the design phase. At the Design Kick-Off Meeting the CTR A/E makes introductions and explains how the CTR A/E will manage the design phase of the project and how the CPFMD PMO and all stakeholders will be involved in the design phase.

The CTR A/E also provides the Design Submission Schedule to ensure that the CPFMD PMO and all stakeholders are aware of the schedule upon which they will need to review, provide comments and provide approval on the scheduled drawing submissions.

At the CTR A/E’s discretion and as detailed in the Design Submission Schedule, the Design Kick-Off Meeting may be combined with a meeting to conduct other business, such as verifying Program, Test Fit and Migration Plan.

4.4 Survey Project Site, Furniture and Equipment

Within 14 calendar days of CPFMD authorization to begin the design phase and prior to the CTR A/E beginning any design work, the CTR A/E surveys the existing project site and all furniture and equipment that will be accommodated in the design. If the CTR A/E encounters any unexpected conditions or issues during their surveying, the CTR A/E immediately informs the CTR CM/PM and works with the CTR CM/PM to determine if the unexpected conditions or issues will impact the approved project package (includes the Planning Schedule, design Program, Test Fit, Migration Plan, SOW, ROM

4. Design, Page 4 and PMP). If the unexpected conditions or issues will impact the approved project package, then the CTR A/E and the CTR CM/PM work together to revise the project package for re-submission to CPFMD for approval of the revised package. In the case that a revised project package is required, the CTR A/E does not continue design work until the revised package is approved by CPFMD.

Since design-bid-build is the most common acquisition strategy for CPFMD projects, there are instances where there is a lapse of several months or years between the project planning phase and the project design phase. In this case, it is essential that the CTR A/E re-survey the project site, furniture and equipment to ensure that there have been no changes that will affect the approved project package.

4.5 Verify Program, Test Fit and Migration Plan

If there are no unexpected conditions or issues during their surveying, the CTR A/E begins the process of verifying the design Program, the Test Fit and the Migration Plan.

During the planning phase the CTR A/E conducted meetings and interviews with all project stakeholders to develop the design Program, the Test Fit and the Migration Plan.

After the CTR A/E surveys the project site, furniture and equipment, the CTR A/E verifies the design Program, the Test Fit and the Migration Plan prior to proceeding with development of the DIDs.

In the case that the design phase immediately follows the planning phase, the A/E does not anticipate changes to the design Program, Test Fit or Migration Plan, however, since design-bid-build is the most common acquisition strategy for CPFMD projects, there are instances where there is a lapse of several months or years between the project planning phase and the project design phase. In this case, the A/E takes extra care to verify the design Program, Test Fit and the Migration Plan, as it is likely that there have been personnel, organizational or operational changes that will require revision of them.

In the case that there have been personnel, organizational or operational changes, the CTR A/E immediately informs the CTR CM/PM and works with the CTR CM/PM to determine if the changes will impact the approved project package (includes the Planning Schedule, design Program, Test Fit, Migration Plan, SOW, ROM and PMP). If the personnel, organizational and/or operational changes impact the approved project package, then the CTR A/E and the CTR CM/PM work together to revise the project package for re-submission to CPFMD for approval of the revised package. In the case that a revised project package is required, the CTR A/E does not continue design work until the revised package is approved by CPFMD.

4. Design, Page 5

4.6 Develop Design Intent Documents (DIDs)

The first part of the design phase is the development of the DIDs. The DIDs are the initial subset (typically up to 35%) of the construction drawing package. The purpose of DID is to provide a summary-level design set that is easy for DCCS Division Directors and tenants/end users to understand the requirements as applied to the areas they will occupy.

The number of DIDs that will be produced is customized for each project (depending on the project size and complexity) and is determined during the project planning phase when the CTR CM/PM works with the CTR A/E to identify design activities and produce a planning schedule and a SOW. The Design Submission Schedule that the CTR A/E submits to CPFMD to identify the DID packages that will be produced during the design phase.

Below is a breakdown of typical DID content and submissions, however, the CTR A/E’s Design Submission Schedule for each project will indicate content and submissions specific to that project.

DIDs are typically 11x17 or half size drawings that contain the following sheets (at a minimum):

Title Page with Signature Block Legend Building Plan (highlighting tenant areas) Floor Plan of each tenant area Furniture Plan of each tenant area IT/AV/Power Plan of each tenant area Reflected Ceiling Plans of each tenant area

DIDs are typically broken out into three separate packages (DID1, DID2 and DID3) that evolve to a final DID package for approval and sign-off by all required parties. Required party signatures include the following:

CPFMD PMO representative DCCS IT representative DCCS Telecommunications representative DCCS AV representative DCCS Security representative USMS representative DCCS ADA representative/Committee on Fairness & Access/AHJ

CTR CM/PM

DCCS…