Ex 6 2022 02 24 WPCH - Courtroom 521 - Renovations and Alterations Appendix I.pdf

U . S . C o u r t s D e s i g n G u i d e R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9

U.S. Courts Design Guide

Renovation and Alteration Appendix

Approved by the Judicial Conference of the United States

September 15, 2009 l T a b l e o f C o n t e n t s R 0 R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9

TABLE OF CONTENTS

1-R Introduction

2-R Courthouse Programming and Budgetary Considerations

3-R Planning for a Renovation or Alteration in a U.S. Courthouse

4-R Courtrooms

5-R Jury Facilities

6-R Chambers

15-R Building Systems

16-R Building Security

17-R Historic Buildings

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1-R

INTRODUCTION

Purpose This Renovation and Alteration (R & A) Appendix to the U.S. Courts Design Guide (Design Guide) has been developed to provide guidance and information for major and minor renovation and alteration projects that are planned either by the judiciary or by the General Services Administration (GSA). This document is intended to be used in conjunction with the most current edition of the Design Guide, which provides information about the functions, operational space needs, and space standards for the judiciary, and the GSA Facilities Standards for the Public Buildings Service (GSA P-100),1 which establishes standards and criteria for new buildings, major and minor repair and alterations,2 and work in historic structures.

These standards, however, may not always be achievable in existing buildings. Therefore, while every effort should be made to meet the functional, operational, and security goals of the Design Guide and the GSA P-100, the scope of work will be affected by existing building conditions, availability of funding, and timing.

1 GSA P-100 - www.gsa.gov

2 The GSA term “Repair and Alterations” is also termed “R & A.” The judiciary is not responsible for the “repair” of buildings and therefore, for the purposes outlined in this document, R & A refers to renovation and alteration.

Careful planning and coordination is essential to address both short-term and long-term housing needs of the courts. The judiciary, the GSA, and the U.S. Marshals Service (USMS) must plan and set priorities for operational and physical measures that can be implemented immediately, and those that should be carried forward (planned), modified, or deferred for future consideration. The goal is to provide the courts and the USMS with functional, secure, and operational facilities in a cost-effective, timely manner.

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Goals The GSA has the primary responsibility for meeting the minimum facilities standards documented in the GSA P-100 and the space and performance standards documented in the Design Guide to support the operations of the judiciary. The purpose for developing a written guide for renovation projects is to provide:

Relevant and useful information for judges and court staff so that they become informed participants when working with the GSA and its consultants. The judiciary and the GSA are encouraged to identify priorities and define scope early on, so that careful planning and implementation of both short-term and long-term solutions are successful.

Additional information about court operations and functions for the GSA and its consultants so practical and creative architectural solutions can be developed and deficiencies addressed in a reasonable and cost-effective manner. This approach encourages more fully developed project scopes and realistic budgets up-front so that unanticipated consequences and misunderstandings are minimized.

Guidance so that the judiciary’s requirements and proposed scope presented to the

Judicial Conference and Congress for funding approval is credible and supportable.

Opportunities and Obstacles Renovation or alterations in existing buildings presents both opportunities and obstacles.

Detailed information about the building is necessary in order to assess the viability of potential changes or alterations. The local GSA is responsible for an assessment of existing building conditions called a physical condition survey (PCS). A more detailed evaluation of building conditions and deficiencies is called a building evaluation report (BER), which is coordinated by the GSA and its consultants. Other studies or reports may include, but are not limited to, seismic, structural, or security/blast studies, and accessibility reports. This information is necessary so that:

Opportunities to address operational or security deficiencies are identified and included in scopes of work.

Obstacles, both structural and material, are identified so that appropriate actions (e.g., abatement) and practical solutions can be planned and implemented.

Scopes of work and budgets are thoroughly developed.

Funding sources are identified and rent impact budgeted early on.

Necessary processes and approvals are coordinated.

Lessons learned from past projects are shared and practical alternatives considered.

Planning for expansion or alterations to meet immediate needs must factor in long-term goals. Both the GSA and the judiciary must evaluate future needs and physical capacities/limitations of existing facilities so that both short-term and long-term solutions

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Roles and Responsibilities

General Services Administration (GSA) - Generally, any changes or alterations in federal buildings or leased space must be coordinated through the GSA. The size and scope of the project will determine which GSA group has the primary responsibility for coordination and oversight. Projects that are primarily finishes (such as carpet and paint) and do not require substantial physical changes are coordinated at the local level by the building manager or service center. Projects that include some physical changes in tenant space, or small amounts of expansion, and require circuit judicial council approval are coordinated with the service centers or regional offices.

Larger projects that exceed the prospectus3 threshold and require review by the Office of Management and Budget (OMB), and authorization and appropriation from Congress, are coordinated with the GSA Central Office, in Washington D.C., and managed by the GSA regions. The two primary descriptions for major work in existing buildings are “modernization projects” in which the entire building is renovated to meet current codes or “repair and alteration projects” which involves selective repair or replacement work (such as mechanical, electrical, plumbing, blast, seismic, fire and life safety, accessibility, or roof work) or a substantial renovation (such as adding new courtrooms and chambers).

The Public Buildings Service (PBS) within the GSA is responsible for the construction, maintenance, repair, alteration, operation, and disposal of federal buildings and courthouses.

As the federal landlord, the GSA assesses and determines the need for periodic repair or replacement of building systems and elements in order to provide federal tenants a safe, secure, and healthy work environment in which to carry out their missions. Funding, however, is not always sufficiently available to cover all building deficiencies or tenant improvements within one project. In addition, unanticipated emergency conditions may develop in which urgent funding measures are necessary.

3 Prospectus - Projects exceeding a prospectus threshold, set annually, require line item approval by authorizing and appropriations committees of both houses of Congress. For fiscal year 2009, this threshold amount is $2.66 million for construction of new federal buildings, major alteration of existing federal buildings, and new lease projects, such as lease-constructs (build-to-suit). For alterations in existing leased buildings, this threshold amount is $1.33 million.

The judiciary, the GSA, and the USMS, all have different, internal processes and approvals that are required in order to determine funding availability and rent impact. Therefore, communication and coordination of efforts is important, not only with the GSA, but with the local courts, the circuit judicial councils, the Administrative Office of the U.S. Courts (AOUSC), and the USMS, so that the necessary approvals are processed in a timely manner, funding sources are identified, and future rent impact is budgeted.

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The GSA has the primary responsibility for back-filling vacated or vacant space with federal tenants. When courts are considering or being considered to backfill vacated space, it is important not only to assess the short-term and long-term space requirements, but also to factor in the timing, cost, and rent impact, which the judiciary must consider for future budgeting purposes.

Local Courts – Local courts are usually contacted by the local GSA regarding GSA-initiated work in the federal building or courthouse. Local GSA offices survey building tenants prior to initiating a prospectus project involving common or joint use space to determine if there is a need for a cafeteria, a building fitness center, or shared conference and training rooms. The local courts should notify the circuit executive’s office and the Administrative Office of the U.S. Courts (AOUSC) space staff immediately of planned work that is initiated by the GSA. Any planned work must be assessed for rent impact, compliance with judiciary space and security policies, and possible impact on short-term and long-term housing needs.

A recent delegation of authority may allow local courts to contract out for minor work such as paint or carpet replacement at limited funding levels. However, compliance with judiciary policies and procedures, GSA pricing policies, and federal procurement and contracting regulations is still required. Consult with the AOUSC for further guidance.

Office of the Circuit Executive – As staff to the circuit judicial council, the Office of the Circuit Executive is responsible for space criteria approvals and certain budget allotments.

In some circuits, this role includes delegated responsibility for signing Occupancy Agreements (OA))4 for all space changes, except for major projects which exceed the prospectus threshold and lease-constructs5.

Administrative Office of the U.S. Courts (AOUSC) – The AOUSC is responsible for budgeting and funding the rent; reviewing and signing OAs for prospectus projects, lease-constructs and other projects for non-delegated circuits; and assisting courts and circuits with long-range facilities planning, which is used to evaluate short-term and long-term housing needs. The AOUSC also staffs the Judicial Conference Committee on Space and Facilities and the Committee on Judicial Security. Both committees have responsibilities to develop and recommend policy to the Judicial Conference in the areas of space and security.

4 Occupancy Agreement: Each space assigned in a GSA-controlled building has an agreement between the GSA and the customer agency, stating the financial terms and conditions for occupancy.

5 Lease-constructs: Used interchangeably with “build-to-suit.” This term describes new construction of a facility for government use that is built and financed by a private sector developer.

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Budgetary Note The GSA region or its Central Office may plan energy-related or systems-only projects that have no tenant work planned. Or, the courts or other federal tenants may require tenant improvements in order to accommodate changes in operational or security needs. Whether the work planned is generated by the GSA or the local court, any changes that affect the judiciary’s rent bill must be assessed for budget and future rent impact. It is important for the GSA to note that the organization of the judiciary differs from executive branch agencies. There is no single “ordering official”6. Therefore, it is important to notify all three judiciary groups (the local court, the Office of the Circuit Executive and the AOUSC) when major work is planned in a federal building or courthouse where the courts are tenants. Just as the GSA has different levels of responsibility locally, regionally, and nationally, so does the judiciary. Communication with the appropriate decision-making entities within both the GSA and the judiciary is important so that the following can be addressed:

Scopes of work must be clearly defined and separated for budgeting purposes. The GSA may not be able to fund tenant improvement work in some major projects, or the judiciary may not be able to take on the additional rent incurred for proposed work.

Work to address systems, code compliance, or security enhancements initiated by either the GSA or the USMS may provide opportunities for correcting operational or security deficiencies for the judiciary.

Energy efficiency goals for systems-only or energy-related projects should consider agency operational needs so that energy efficiency efforts do not result in increases to local operational costs.

If the work requires the space or building to be unoccupied, the GSA, the judiciary, and the USMS must plan and budget for either interim space or other alternatives so courts and USMS operations can continue with minimal disruption.

If the work is planned in occupied buildings, systems such as electrical, HVAC, telecommunications (voice/data), audio/visual (AV), and security must remain operable in occupied space.

Vacated space or re-stacking may provide opportunities for better utilization of existing space or consolidation of a court unit for more efficient operations.

Agencies may have tenant improvement needs that can be more cost-effectively addressed during major projects, than as separate projects.

Proposed changes or development of joint use or building common space should be discussed with the local court, the circuit, and the AOUSC as rent impact must be assessed and budgeted, floor plans and rent data updated, and operational issues addressed.

6 “Ordering official” is a GSA term for an agency person or “headquarters” group responsible for decisions, approvals, and authorizing rent payments to GSA. The judicial branch differs from the executive branch because such decisions involve the local court, the circuit, and the AOUSC.

U . S . C o u r t s D e s i g n G u i d e C o u r t h o u s e P r o g r a m m i n g a n d R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9 B u d g e t a r y C o n s i d e r a t i o n s l 2 R - 1

2-R

COURTHOUSE PROGRAMMING AND

BUDGETARY CONSIDERATIONS

Introduction Chapter 2 of the Design Guide lists general references; describes cost-control strategies;

explains construction cost benchmarks and cost drivers; lists the four phases of courthouse project development (planning, programming, design, and construction); and describes funding responsibilities. In renovation and alteration projects, programming and budgeting will be more challenging than for new construction.

Challenges Planning and estimating for renovation and alteration projects involve existing conditions that do not apply in new construction. Information from studies and updated reports are necessary to develop accurate scopes of work and estimates for planned work. Unknown conditions, however, often require higher contingencies to cover unanticipated work:

Despite exploratory efforts, not all existing building conditions or the extent of the conditions are found or detected until construction takes place.

Effects of smaller alterations on building systems or adjacent space are not always known or predictable.

Keeping systems (electrical, telecommunications, audio/visual, and security) operable when work is done in occupied buildings can be challenging.

Opportunities to address security, code, and operational deficiencies may not be recognized at the beginning of a project.

Programming in an existing building is much more challenging than programming space needs in a new building where spaces such as courtrooms are designed to meet specific criteria. A new space requirement or “AnyCourt”1 does not always match or configure with existing space.

1 “AnyCourt” - an automated planning tool used by the judiciary to establish a space program of requirements based on data and projections from the long-range facilities plan and the Design Guide.

C o u r t h o u s e P r o g r a m m i n g a n d U . S . C o u r t s D e s i g n G u i d e 2 R - 2 l B u d g e t a r y C o n s i d e r a t i o n s R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9

In addition, the following challenges may exist:

In older, historic buildings, there may be areas which cannot be modified easily.

It is often more cost-effective to use space “as is” without modifications.

Different court units may backfill space originally built out for another court unit.

Separate circulation or additional space is often necessary in order to accommodate security criteria, making these areas inaccessible to the public or other tenants.

Programming Note The following considerations may be helpful in understanding and/or addressing programming challenges and impacts:

The GSA has the primary responsibility for backfilling vacated federal space. Space projections (program requirements in square feet) are requested in advance because the GSA must identify future occupants in order to justify a modernization, or major repair and alteration project. Such projections do not always match how existing space will eventually be utilized, but do provide an early estimate of how much square footage may be required.

Programming for existing space will differ from programming for new space. Factors that must be considered are existing conditions and limitations as well as utilization of existing rooms that may result in spaces that are either larger or smaller than Design Guide standards. Careful assessment and planning of existing space should be coordinated early in the process so that efficient utilization of existing assets is demonstrated and sufficient room for future growth is planned.

Projects that are recommended to move forward must be fully justifiable, defensible, and adequately budgeted.

The goal should be to utilize existing assets in a cost-effective, functional, and secure manner that meets the court’s operational needs per the performance standards and functional criteria in the Design Guide and the GSA P-100.

Agency missions can sometimes conflict (i.e., defense vs. prosecution). Early discussions and coordination can identify conflicts so that a comprehensive housing plan with compatible tenants can be developed.

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Minor and Major Projects Renovation and alteration projects fall into two primary categories: minor and major projects separated by a prospectus threshold,2 an amount set by Congress which is increased incrementally each year. If the project cost for federal construction or alteration, or the annual rent for lease-constructs, or alterations in leased space, exceed the applicable threshold, then line item authorization and appropriation from Congress is necessary. This will add significant time to a project, because it will become subject to federal government budget submission cycles.

Minor projects (those under the prospectus threshold) can be funded by the judiciary or the GSA (pending funding availability) and typically include the following types of projects:

Chambers alteration or build-out of new chambers in existing space Courtroom alterations or modifications Alterations in existing space for more efficient utilization Alterations addressing operational or security deficiencies Expansion of court space to accommodate growth

Major projects (those above the prospectus threshold) are usually funded by the GSA through its Federal Buildings Fund (FBF) and must be authorized and appropriated by Congress. Typical major projects include:

New chamber and courtroom combination(s) or courtroom(s) which include space such as holding cells, attorney conference rooms, jury deliberation suites, etc.

Modernization or repair and alteration projects initiated by the GSA to update and replace aging building systems, upgrade the building to current code, and/or re-stack tenants in the building.

Backfill of existing vacated federal buildings with other federal tenants. For the judiciary, a typical example is the court of appeals or the bankruptcy court utilizing space vacated by the district court.

2 Prospectus - Projects exceeding a prospectus threshold, set annually, require line item approval by authorizing and appropriations committees of both houses of Congress. For fiscal year 2009, this threshold amount is $2.66 million for construction of new federal buildings, major alteration of existing federal buildings, and new lease projects, such as lease-constructs (build-to-suit). For alterations in existing leased buildings, this threshold amount is $1.33 million.

It is important that communication and planning is coordinated with the local court, the circuit, the AOUSC, the GSA, and the USMS to ensure that critical information is gathered, necessary approvals are obtained, and funding and future rent impact is adequately budgeted.

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Asset Management Planning (AMP) The Asset Management Planning (AMP) process is an objective methodology that identifies and assesses housing strategies to meet the short and long-term space needs of the courts.

The AMP process involves an analysis of court facilities and future space needs of the courts by district and/or circuit. The USMS and the U.S. attorneys also participate in this analysis with the judiciary since Department of Justice initiatives and programs impact the caseload of courts. Out of this process, multiple housing strategies are suggested and considered (e.g., utilization of existing facilities, leased space, or new federal construction). The decision about whether to remain in existing buildings or to build new buildings is not made by the judiciary alone. The GSA has the responsibility to study the cost and impact of housing alternatives through detailed feasibility studies. Feasibility studies provide detailed cost comparisons and scope detail that supports prospectus level projects that are submitted to the OMB and Congress for review and authorization. With information gathered through the AMP process, the judiciary is able to assess housing strategies and plan for future impact on the judiciary’s rent budget.

In addition, the AMP process may identify smaller projects under the prospectus threshold that are necessary to meet short-term or interim housing needs. These types of projects may be necessary because authorization by Congress is uncertain for prospectus level projects.

Not all R & A projects necessarily result from an AMP. R & A projects are also generated when:

A court unit, such as the appellate court or the bankruptcy court, backfills space vacated by another court unit, such as the district court.

A modernization project is planned to bring a building up to current code or repair and alteration project is planned to address aging building systems and infrastructure.

Other agencies move out and the tenants must be relocated or restacked within a building, which might provide an opportunity for court units to consolidate, expand, or better utilize occupied space.

A new annex or courthouse is planned and the existing building requires repair and alteration or modernization for continued use.

Circuit Rent Budget (CRB) The Judicial Conference approved the Circuit Rent Budget (CRB)3 program as a cost-containment initiative that limits annual rent growth and puts more responsibility on the circuit judicial councils to determine space need priorities within set allocations for rent.

The rent budget has been separated into three components:

3 http://jnet.ao.dcn/Facilities/index.html

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Component A: Funds for Current Space – Rent funding is provided for the existing space inventory, including inflationary increases.

Component B: Project-Specific Funds

- Major projects (e.g., new courthouses, annexes, modernizations, and lease-construct courthouses) approved by both the Space and Facilities Committee and the Judicial Conference.

- Chambers and courtrooms for senior/replacement judges and new judgeships approved by the Space and Facilities Committee.

Component C: Circuit Discretionary Funds – Funding allocated to circuit judicial councils by formula for under-prospectus space acquisitions and alteration projects.

For minor renovation or alteration projects, courts can utilize either local funds or request Component C funding from circuit councils. If a project involves a new chambers or courtroom, then Component B funding can be requested and coordinated through circuit executives’ offices and the AOUSC.

For major renovation or alteration projects, the process will take more time, primarily because congressional authorization must be secured. Project drivers must be identified and the following questions asked:

If new or replacement judges are expected – has the existing court space been thoroughly assessed for alteration or expansion possibilities?

If other agency space is viewed for possible expansion, has their Occupancy Agreement4

(OA) terms been checked? If sufficient notice is given and planned to coincide with the expiration of the other agency’s OA, the judiciary can save money by not paying forced move costs.

Is the space viewed for expansion occupied by a large agency which cannot move piecemeal and must move all at once? This may create excess vacant space that the GSA may not be able to rent out easily, or that the judiciary may be obligated to pay rent on.

Has an AMP been completed recently for the district or circuit? What are the findings?

Have all the relevant CRB business rules5 been followed?

Is GSA planning any type of systems work that will affect tenant space or operations?

4 Occupancy Agreement - Each space assigned in a GSA-controlled space has an agreement between the GSA and the customer agency, stating the financial terms and conditions for occupancy.

5 Circuit Rent Budget (CRB) business rules – A set of eleven (11) business rules governs how the three funding components are determined and how rent funds can be used.

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It is important to understand the GSA’s plans for its buildings. What may appear initially as a cost-saving measure for the judiciary (such as remaining in an existing building or in leased space), may not always end up being the most cost-effective solution in the long run.

For example, if the GSA is unable to find other tenants to fill up the building, or if a building’s deficiencies cost more to fix than a new building, the judiciary may end up paying higher rent than originally contemplated.

Occupancy Agreement (OA) The occupancy agreement (OA) describes the business and financial terms and conditions between the GSA and the customer agency for space it occupies, and consists of four parts:

• Description of the space and services

• Terms and conditions

• Financial summary

• Signature page

OAs in federally owned space are typically set for 10 years but can be set for longer terms, up to 20-30 years. However, the shell rent is set for five years, for periodic market adjustments. When significant events are planned, such as a major modernization, repair and alteration, or disposal, which would necessitate vacating the building, the GSA is responsible for monitoring and limiting OA terms so these actions are not impeded and agencies are given sufficient time to budget for necessary moves. If the GSA sets an occupancy agreement term beyond the date by which a building must be vacated for the GSA initiated work, then the GSA must fund the customer agency’s move. Otherwise, customer agencies are responsible for all costs associated with moves for major planned work.

Forced moves - In the event that the judiciary is planning expansion space or moving into space that is currently occupied by another agency, planning carefully to coincide with the terms of the other agency’s occupancy agreement can save the judiciary money by avoiding “forced move” costs. Current GSA pricing policy requires the forcing agency to pay all associated move costs for the agency that is being forced to move and relocate prior to the end term of its occupancy agreement. This may include the principal balance of amortized tenant improvement costs, telecommunications (voice/data) costs, and move costs.

If an agency’s occupancy term ends earlier than the time needed to plan for a move, the GSA can extend the OA for a year or two so that the agency is not obligated for the full term of the occupancy agreement..

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The GSA Pricing Desk Guide6 provides detailed information on policies and procedures that the GSA uses to price real estate and related services including moves and occupancy agreements.

Budgetary Note When the judiciary initiates work in space that it already occupies and pays rent on, it is responsible for funding any changes to the space. If work is required in new or expansion space that the judiciary does not currently pay rent on, this is called an initial space acquisition (ISA) and GSA typically funds the tenant improvements within certain limits (allowance) and is subject to funding availability. According to the GSA pricing policy, a general tenant improvement allowance is a dollar amount per usable square foot set to cover the cost of typical office build-out. A customization tenant improvement allowance is intended to cover the difference between a typical or “vanilla” office space, and the specialized needs of the individual agency. Different agency spaces are assigned a “tier level” which determines the amount allotted to the customization portion of the tenant improvement allowance. For example the tier level for a courtroom build-out will be more than the build-out of a probation office. Consult with the GSA or judiciary space staff for the most current amounts allotted to the different tier levels.

These “tier” levels should not be used to estimate a project as existing conditions and build-out requirements will vary. When building out new courtrooms and chambers, the GSA or the judiciary space staff can provide construction “benchmark” estimates, which are a more accurate indicator of average costs adjusted to localities for these types of spaces. However, projects in existing buildings will have many different factors, so such benchmarks should not be used as the final estimate, but they can be helpful in determining average costs.

6 www.gsa.gov

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The following table provides a sample of funding responsibilities that are common in R & A projects:

BUILDING OR

TENANT

IMPROVEMENT (TI)

COMPONENT

GSA JUDICIARY USMS

Asbestos If part of a GSA-initiated project If judiciary- initiated.

Carpet/Paint/Millwork and other related Tenant Improvement (TI) work.

If space is an initial space acquisition (ISA), space that the judiciary does not currently pay rent on, GSA typically funds (if available) as part of the tenant improvement allowance and the cost is amortized into rent.

If judiciary- initiated and the work is in space the judiciary already pays rent on, the judiciary funds lump sum .

Courtroom Technology

– Audio/Visual

Infrastructure (conduit, electrical), if part of prospectus project or

ISA.

The design, purchase, and installation of the AV system. Also infrastructure, if the work is in existing space.

Telecommunications Voice/Data

Infrastructure, if part of a prospectus project or

ISA.

The design, purchase, installation of telecommunications equipment and wiring.

Also the infrastructure if the work is in existing

Security Infrastructure, if part of a prospectus project or

ISA.

Equipment and installation. Also infrastructure if work is in existing space.

Moves If the terms of the OA exceed a planned event.

If judiciary-initiated or GSA-planned events with sufficient notice from the GSA.

Tenant improvements (TIs) for swing space

Consult with the GSA and the AOUSC

If judiciary-initiated or GSA-planned events with sufficient notice from the GSA.

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Considerations Understanding the condition of the building and the work proposed by the GSA is important in recognizing opportunities to address operational and security deficiencies.

This can be done by asking the GSA to share the reports and studies, or since these documents can be very technical, request briefings and meetings to thoroughly understand the scope of work planned.

Teamwork and open communication between the judiciary, the GSA, and the USMS is critical to the success of any project. Typically for larger projects, there should be representation from the local groups, regional groups (service center, circuit), and the national groups (GSA Central Office, AOUSC, USMS headquarters).

Understanding the judiciary and its operations is very important. GSA team members and its consultants can benefit from observing court proceedings and taking the time to talk to judges, court staff, and USMS personnel about critical court and USMS functions. Likewise, the judiciary can benefit from understanding the executive orders, agency regulations, and legislative policies that the GSA is obligated to work under, all which can be more restrictive and time consuming than conditions under which the private sector operates.

The USMS is an important partner in any courthouse project. There are three different groups who should be represented: the local marshals who run the operations in the courthouse; the facilities group from USMS Headquarters that is responsible for space such as holding cells, sallyports, prisoner elevators, and USMS office space; and the judicial security group from USMS Headquarters that is responsible for security for judges and judiciary-occupied space.

Once building conditions are known, and the GSA starts scope development, the GSA, the judiciary, and the USMS should communicate and share information so that building and operational deficiencies are noted and work can be cost-effectively coordinated. For example, if the GSA plans sprinkler replacement, moving or replacing mechanical ductwork, or replacing light ballasts or fixtures, the ceilings will likely be opened up.

This may provide opportunities for work such as updating or installing audio-visual cabling and equipment, telecommunications wiring (voice/data), or security equipment.

It can be much more cost-effective and less disruptive to plan and coordinate the tenant work while the building is under construction. This work must be coordinated with the GSA, the USMS, the local court, the circuit, and the AOUSC so that any necessary processes and approvals are coordinated, tenant and shell work monitored, and funding and future rent impact is budgeted.

U . S . C o u r t s D e s i g n G u i d e P l a n n i n g f o r a R e n o va t i o n o r R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9 A l t e r a t i o n i n a U . S . C o u r t h o u s e l 3 R - 1

3-R

PLANNING FOR A RENOVATION OR

ALTERATION IN A U.S. COURTHOUSE

Chapter 3 of the Design Guide describes the spaces common to all courts and the functions of all three court types: U.S. courts of appeals, U.S. district courts, and U.S. bankruptcy courts. In existing buildings, there are often obstacles or limitations that will make compliance to the Design Guide challenging, if not impossible. In renovation or alteration projects however, circumstances might provide opportunities to address security requirements, building codes, and operational deficiencies. Architects and court planners are encouraged to find creative and cost-effective solutions that improve the operational needs of the court safely and securely within established budgets. The space and performance standards of the Design Guide and the building and performance standards of the GSA P- 100 should be considered goals. While all courts have the same responsibilities, local operations must be considered when evaluating the best solutions to address space and security needs.

Reasons for renovation or alteration projects can involve one or more of the following:

A courthouse recently vacated is planned to be occupied by another court unit. The appellate courts (court of appeals) or bankruptcy courts often occupy space vacated by a district court, because existing courtrooms and chambers can be utilized and there is no requirement for prisoner circulation.

Additional chambers and/or courtrooms must be provided to accommodate new judgeships, senior judges, or their replacements.

A modernization or major repair and alteration project is planned by the GSA to address aging building systems, or to upgrade to current standards and codes.

An important planning consideration for existing buildings is protecting significant architectural features or preserving historic elements. Solutions that detract from positive or historic building elements should be avoided, if possible. An example is covering a historic ceiling with dropped ceiling tile in order to comply with a ceiling height standard meant for new construction.

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A major tenant or multiple tenants have moved out of the building and opportunities might exist for consolidation or more efficient utilization of space.

Prospectus-Level Projects

Prospectus-level projects require detailed information and much more additional time. The process includes multiple levels of review and approvals by all three branches of government. The following describe terminology related to prospectus-level projects.

Federal Buildings Fund (FBF)

The Federal Buildings Fund (FBF) is a GSA intra-governmental fund which agencies pay rent. Building repairs, new construction, and leases are usually funded from the FBF, although separate legislation often provides additional funding for specific programs or projects. Congress exercises control over the FBF through the annual appropriations process by setting limits on how much of the fund can be expended for various activities. Section 3307 of Title 40, United States Code, requires the Committee on Transportation and Infrastructure of the House of Representatives and the Committee on the Environment and Public Works of the Senate to pass resolutions authorizing the construction, repair, alteration, or leasing of prospectus-level space requirements prior to an appropriation of funds.

The GSA is required by Congress to submit a prospectus for requesting authority for any project in excess of an established threshold (for fiscal year 2009, this amount is $2.66 million). The prospectus must be approved by the Office of Management and Budget (OMB), and must detail the particular project along with the cost, benefits, and plan for federal occupancy.

Feasibility Study The GSA is responsible for developing feasibility studies which define basic requirements of projects, and examine viable alternatives and estimated costs in order to determine the best housing solution (preferred alternative) for federal tenants, and the best long-term value for the government. For judiciary-generated needs, such as a backfill by another court unit, or if the judiciary’s Asset Management Planning (AMP) process reveals that it may be likely that the housing needs can be met in existing courthouses, then the GSA is notified (after circuit judicial council and Judicial Conference approvals) to start a more in-depth investigation through a feasibility study, which is required for every prospectus-level project.

Feasibility studies include customer agency programs or operational requirements, building evaluation reports (BERs), seismic reports, security studies (blast and progressive collapse), National Environmental Policy Act (NEPA) studies, and any other studies that support the alternatives. The feasibility study also serves as the primary source of information to support the project in response to inquiries from the OMB and Congress. Therefore, R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9 A l t e r a t i o n i n a U . S . C o u r t h o u s e l 3 R - 3 information such as project scope, budget, schedule, implementation strategies, and financial viability are necessary and important in order to produce an accurate feasibility study.

Feasibility studies are required for all prospectus level projects.

Housing Solutions

Creative solutions are encouraged to be studied in the feasibility study. Numerous factors will determine the best housing and operational solution for the courts:

Court operations, court unit types, and projected growth Condition, age, and capacity of existing buildings Site location and expansion capacity and/or availability of adjacent land or property Overall housing needs of federal agencies in a particular location Market conditions

Prospectus The Prospectus is a formal document prepared by the GSA which is sent to the Office of Management and Budget (OMB) and Congress to secure project authorization. It includes project scope information, the proposed housing plan, the total estimated project costs, the funding requested by fiscal year, and schedule. Approval of the Prospectus results in authorization resolutions from both the House and Senate that approve the project (whereas an appropriations bill actually funds the project).

Typically, funding for site and design activities is requested separately from construction funding. Construction funding is usually requested two years following the appropriation of the design funds. If there are budget delays, additional design funds are often requested with the construction funds.

Project prospectuses are submitted by the GSA regional offices during the late spring as the GSA begins development of its portion of the President’s budget to be submitted to the Congress the following February. The GSA Central Office coordinates and reviews the

The affected court units, the circuit executive’s office, and the AOUSC should all participate in the development and review of the feasibility study to ensure accuracy and to convey project goals at the earliest opportunity. Systems work often involves removal of ceilings, walls, and floors which might provide opportunities for courts to address infrastructure (AV, voice/data installation) or finish work (carpet, paint). It is also important to monitor and provide input on project phasing, swing space and the impact on the courts’ operations.

However, not all scope items may be accommodated due to budget limitations for both the GSA (initial cost) and the judiciary (rent impact). It is important to note that these opportunities to address operational and security deficiencies can be more cost-effective and less disruptive when coordinated and planned with the GSA initiated projects.

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OMB Review and the President’s Budget Each September, the Administrator of GSA formally submits a budget request for the next fiscal year to the OMB for inclusion in the President’s budget. The OMB then weighs the GSA’s request against the many competing needs of the federal government and the overall fiscal priorities of the Administration. In late November, the OMB typically “passes back” the budget request to the GSA with questions, comments, and modifications of the original budget request. During this “pass back” phase, the GSA may appeal some of the modifications made to the initial budget request.

Every February, the President submits a proposed budget to Congress for the entire federal government. Once the budget is submitted, specific budget items are reviewed by members of the various congressional committees and subcommittees involved in the funding appropriation process. During this congressional review period, it is not uncommon for committee staff members to pose questions about specific projects or about judiciary space policies. It is important that the GSA and its customer agencies communicate so that information provided is accurate and consistent.

Non-Prospectus Projects Courts often have smaller projects in which design and construction expertise, as well as detailed technical information is also important and necessary. Larger projects benefit from a large group of technical experts, however, smaller projects are often under-estimated for complexity and fewer resources are assigned. Sufficient time, communication, and cooperation among all parties are key factors for the successful implementation of any project regardless of size.

The GSA P-100 describes building standards and the Design Guide describes the space requirements for the judiciary. However detailed and specific information such as floor plans, elevations, and specifications are necessary even for smaller projects, in order for the scope of work to be described accurately, documented, appropriately estimated, and built-out satisfactorily. If the scope is poorly defined or not clearly understood, then the construction

Early and ongoing communication by all stakeholders enhances the timely exchange of information. Consistent and accurate information is necessary so projects can be supported through multiple reviews without further delays, which can result in higher costs.

R e n o va t i o n a n d Al t e r a t i o n Ap p e n d i x l 2 0 0 9 A l t e r a t i o n i n a U . S . C o u r t h o u s e l 3 R - 5 cost estimate can be inadequate or over-inflated to cover unknown conditions or unnecessary work. A detailed estimate should include line item costs for all the building material and labor, applicable GSA overhead fees, and sufficient information so over-inflated prices and unnecessary or missing work can be identified.

Projects which are under-scoped and under-estimated often take more time to fix and cost more than originally planned and budgeted. Whether a single wall or room is planned, the following describe some of the most commonly overlooked factors when developing the scope:

Affected Surfaces/Elements – Any changes that touch the ceiling and floors may affect surrounding elements and building systems. Creating a new room or adding a wall can affect the ceiling, light fixture layout, sprinklers, HVAC vents for supply and return air, paint/wall-covering, floor coverings, and possibly fire and life safety codes.

Wall Types – The Design Guide provides information about different acoustical criteria for room/wall types based on function, and the GSA P-100 provides technical information about wall types to obtain these acoustical levels. For example, judges’ private offices and conference rooms require higher degrees of sound transmission (noise control) and acoustic privacy. This must be described in industry standard terms and detailed in order to attain the acoustical properties appropriate for the use/user.

Walls that are not insulated and built to the surface of the ceiling will not have much acoustic privacy.

Electrical Outlets and Light Fixtures – New outlets and light fixtures must be specifically located so that the electrician can check for capacity at the electrical panels and provide the necessary infrastructure and controls.

Voice/Data or Audio Visual (AV) – Voice/Data or Audio Visual (AV) cabling and equipment installation are the responsibility of the courts, so coordination with the telecommunications/AV designer and installer, the electrician, and the contractor, through GSA, is necessary so that infrastructure (conduit, cable trays) is planned and provided, and work is coordinated.

HVAC (Heating/Ventilation/Air Conditioning) – Heat load for equipment, particularly for server rooms that require 24/7 cooling, is important in order to calculate and design adequate cooling and ventilation. Additional performance criteria can be found in the Design Guide.

Door Hardware and Locks – Building standards exist, but additional functions such as special locks or card readers may require electrical connections and must be specified up front and, when necessary, coordinated with the USMS.

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Furniture and Equipment – The location of furniture and equipment documented on a plan is useful for locating electrical and voice/data outlets, light fixtures, and supply and return vents.

Paint /wall-covering – Changes to a wall or room affect surrounding or connected finishes and patch work can result in…