Attachment_026_-_CoE_Design_Submittal_Requirements_Manual.pdf

NANP-1110-1-1

AUGUST 2009

US Army Corps of Engineers New York District

Design Submission Requirements Manual e3endtrd Typewritten Text e3endtrd Typewritten Text

T A B L E O F C O N T E N T S

CHAPTERS TITLES

1 GENERAL INSTRUCTIONS

2 PRESENTATION OF DATA

3 SPECIFICATIONS

4 SITE DEVELOPMENT

5 SURVEYING AND MAPPING

6 GEOTECHNICAL

7 LANDSCAPING, IRRIGATION, PLANTING AND TURFING

(Not Used at This Time)

8 WATER, WASTEWATER AND ENVIRONMENTAL PROTECTION

9 ARCHITECTURAL

10 INTERIOR DESIGN (Not Used at This Time)

11 STRUCTURAL

12 PLUMBING

13 HEATING, VENTILATING, AND AIR CONDITIONING

14 FIRE SUPPRESSION SYSTEM

15 OTHER MECHANICAL SYSTEMS AND EQUIPMENT

16 ELECTRICAL AND ELECTRONIC SYSTEMS

17 CORROSION CONTROL AND CATHODIC PROTECTION

SYSTEMS (Not Used at This Time)

18 COST ESTIMATING

19 ANTITERRORISM/FORCE PROTECTION

20 SUSTAINABLE DESIGN

21 QUALITY MANAGEMENT

22 DESIGN-BUILD REQUEST FOR PROPOSAL DEVELOPMENT

23 CHARRETTES

24 MILCON TRANSFORMATION

25 ACRONYMS AND ABBREVIATIONS

e3endtrd Typewritten Text e3endtrd Typewritten Text e3endtrd Typewritten Text (Not Used at This Time)

CHAPTER 1

GENERAL INSTRUCTIONS

INDEX

1.1 GENERAL

1.1.1 Purpose

1.1.2 Proponent

1.1.3 Military Construction (MILCON) Transformation

1.1.4 A-E Task Order (TO) Statement of Work (SOW)

1.1.5 Acronyms and Abbreviations

1.1.6 Discipline Coordination

1.2 APPLICABLE PUBLICATIONS

1.3 INSTRUCTIONS

1.3.1 Pre-design Conference

1.3.2 Quality Management

1.3.3 Studies, Renderings and Models

1.3.4 Charrette

1.3.5 Life, Health and Safety Standards

1.3.6 Design for the Physically Handicapped

1.3.7 Topographic Surveys, Basements and Utilities

1.3.8 Foundation Investigation

1.3.9 Environmental Regulatory Permits

1.3.10 Sustainable Design

1.3.11 Anti-Terrorism/Force Protection (AT/FP)

1.3.12 Lessons Learned

1.4 DEFINITIONS

1.4.1 Design Analysis

1.4.2 Drawings

1.4.3 Specifications

1.5 SUBMITTAL REQUIREMENTS

1.5.1 General

1.5.2 Project Definition (10-15%)

1.5.3 Concept Design (30-35%)

1.5.4 Value Engineering

1.5.5 Interim Design (50-65%)

1.5.6 Final Design (Unreviewed 100%)

1.5.7 Ready-To-Advertise (RTA) (Reviewed 100%)

EXHIBITS

1-1 Sample Architect-Engineer (A-E) Task Order (TO) Statement of Work

(SOW)

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CHAPTER 1

GENERAL INSTRUCTIONS

1.1 GENERAL

1.1.1 Purpose

This New York District Design Submission Requirements Manual prescribes standard procedures and instructions to accomplish the required design, drawings, specifications, project definition narrative, design analyses, cost estimates, and related support tasks for Military (Army and Air Force, including Medical projects), Support For Others Projects. This manual is written for the purpose of assisting designers, both In-House (I-H) and Architect-Engineer (A-E) consultants, with a consistent logical approach to performing design and developing design related documents. The format presented is for:

the development of fully detailed 100% complete design drawings and fully edited Unified Facility Guide Specifications (UFGS) for use in a Design-Bid-Build (D-B-B) or a Performance-Price-Trade-Off (PPTO)construction contract acquisition; and Design-Build (D-B) Request for Proposal (RFP) construction contract acquisition including subsequent D-B Contractor design after award. A D-B RFP may include performance and or/prescriptive specifications which allow/require technical criteria that do not follow the specific requirements of this manual.

1.1.2 Proponent

The Chief, Design Branch, Engineering Division, New York District is responsible for maintaining this Design Submission Requirements Manual (Design Manual). Comments on, proposed corrections or improvements to, or discrepancies in the Design Manual should be addressed to: Thomas Dannemann, thomas.r.dannemann@usace.army.mil, 917-790-8363.

1.1.3 Military Construction (MILCON) Transformation

Designated Army MILCON and Army Base Realignment and Closure (BRAC) 2005 Act projects are subject to Army Transformation and supporting U.S. Army Corps of Engineers (USACE) MILCON Transformation (MT) procedures. These designated projects will be completed in cooperation with USACE Centers of Standardization (CoS). CoS roles, responsibilities and duties, and geographic district (GD) roles, responsibilities and duties on “standard” MT designated projects are described in the chapter on MILCON TRANSFORMATION.

1.1.4 A-E Task Order (TO) Statement of Work (SOW)

(a) For A-E professional and technical services under A-E Indefinite Delivery contracts with New York District or through capacity provided by other organizations, the A-E Task Order (TO) Statement of Work (SOW)

1-2 mailto:thomas.r.dannemann@usace.army.mil will provide project specific execution criteria in conformance with the current version of the Design Manual. Samples are provided in Exhibit 1-1.

(b) The A-E shall furnish sufficient technical, supervisory, and administrative personnel to insure satisfactory accomplishment of the work specified in the SOW including accomplishment of work by agreed milestone dates and progress schedule. Additionally, the A-E shall furnish all services, materials, supplies, equipment, investigations, studies, and travel required in connection with the SOW.

(c) As issued, the TO SOW will take precedence over the standard procedures and instructions in this Manual. The A-E shall document any conflicts between this Manual and the TO SOW in writing and bring them to the immediate attention of the New York District Technical Manager (TM)or Project Engineer (PE) for projects in the design phases and to the Resident Engineer for D-B projects that have been awarded.

(d) The A-E shall accept directions only from the New York District

Contracting Officer (CO) or the authorized Contracting Officer Representative (COR). Requests or desires of the users or using agency made directly to the A-E will be immediately brought to the attention of the TM or PE, and CO. Any changes to the project scope or other provisions of the SOW must be authorized in writing by the CO.

(e) A-E Actions Required Prior to TO SOW Approval

(1) The A-E shall submit a proposal detailing anticipated costs for conduct of the SOW. The A-E shall follow the instructions provided in the Request for Proposal letter issued by C, Engineering Division.

(2) The A-E shall prepare and submit to the COR for approval a progress chart showing the various items included in the work as a percentage of the total fee, the order in which the work will be carried out, and the dates on which the items of work will be started and completed. Significant milestones such as review submittals will be shown. The schedule will provide for completion of all work within the time specified in the SOW. The progress chart may incorporate the requirements of paragraph 21.3.2(c).

(f) A-E Negotiation. Negotiations shall be held to insure a mutual understanding of the SOW and to reach an agreement on a fair and reasonable fee. During negotiations, the SOW shall be thoroughly reviewed and revised as necessary; and the designer's fee proposal shall be examined and discussed in detail.

(g) A-E Actions Required During Conduct of the TO SOW

(1) Updated Progress Chart. An updated progress chart will be submitted with each payment estimate.

(2) Payment Estimate. ENG Form 93 will be used. Information and instructions regarding the use of this form can be found on the Internet at the following address along with Engineering Division’s NYD Contract/Task Order Administration and Management Guide:

http://www.nan.usace.army.mil/business/buslinks/contract/ae/index.htm

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(3) Final Payment. When submitting for final payment, include a

Release of Claims Statement on the ENG 93. The following statement is acceptable:

“The work under the above numbered task order having been completed and finally accepted, I hereby release the United States of America, it’s officers and agents from all claims whatsoever arising under or by virtue of this contract upon payment of a balance due of $__________.”

(4) The A-E will use those individuals designated in their SF330 submission. If any of these individuals are changed, New York District will be immediately notified in writing. The SF 330 will be resubmitted with these personnel changes and those person’s individual qualifications. Government approval for these changes will be required.

(5) Needs List. Throughout the life of the TO SOW the A-E shall furnish the TM/PE a "needs" list every two weeks until all open issues are resolved. The needs list will also be included in each formal submittal. The needs list will be an itemized list of design data required by the A-E to advance the design in a timely manner. This list will be maintained on a continuous basis with satisfied action items checked off and new action items added as required. Action items in the needs list will include a sequence number, description of action item, name of the individual or agency responsible for satisfying the action item, and remarks.

(6) Site investigations must be sufficiently thorough to ensure that design details are compatible with the project site. Siting will not be changed without approval of New York District. At the Final Design submittal stage the A-E shall make a plan-in-hand site inspection to ensure that the final design accurately reflects existing site conditions. Any changes in site conditions that were made by the Government during the design period shall be annotated and brought to the attention of the Contracting Officer for direction.

(7) Should the project cost estimate exceed the funding limitation (PA), the A-E shall make recommendations for reducing the project scope and/or identifying optional bid items of work. Upon receiving written approval from the COR, the A-E shall modify the contract drawings and specifications to incorporate all changes necessary to reduce the base bid cost estimate below the funding limitation. If any criteria provided to the A-E during design prevents him from meeting the cost limitations, the AE shall notify the COR immediately. The A-E shall list the specific criteria and explain the negative impact on the design cost.

(8) Construction Schedule.

a. The A-E will develop and submit for review a schedule for construction, as a part of each design submittal phase. The schedule shall be task oriented, indicating the number of calendar days, after Notice to Proceed, by which milestones are to be achieved.

The critical path Method (CPM) of network calculation shall be used to generate the construction schedule. The schedule will be either the Precedence Diagram Method (PDM) or the Arrow Diagram Method (ADM). The schedule will be a network analysis and will be based on the technical

1-4 and contractual requirements of the contract and estimated construction durations of the project. The schedule will clearly show the critical path for the overall completion of construction. All activities shall have an estimate of the average number of workers per day that are expected to be used during the execution of that activity. Schedules for construction of buildings shall contain, as a minimum, the milestones shown in the table below at each design submittal phase.

Schedules for construction projects which do not contain buildings shall include milestones detailed enough to allow analysis of the proposed durations and critical path of the work required to complete the contract.

b. The schedule will clearly identify procurement and

Government activities (submittals, approvals, fabrication, delivery, installation, start-up, testing, balancing, commissioning, inspections, utility tie-ins and Government furnished equipment). Also constraints (materials availability, weather, permits, access/work restrictions at the construction site, etc.) shall be clearly identified on the schedule. The network analysis will include major milestones, activities, durations, phased construction, and partial turnovers which describe the construction schedule.

c. The Government will review the schedule and provide comments, at each scheduled design or BCOE review. The A-E will address the comments, make revisions to the schedule and provide the revised schedule to the Government. Services and pricing for preparation of the construction schedule will be a separate line item in the A-E’s proposal.

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A Phase -I Project Definition B Phase -II Concept C Phase -III Interim D Phase -IV Final E Phase -V Ready to Advertise

MILESTONES FOR BUILDINGS

No. A B C D E

1 NTP X X X X

2 Grade Site - Building Pad X X 3 Foundation X X X X X 4 Underslab Utilities X X 5 Slab on Grade X X 6 Structural Fram X X X X X 7 Roof Framing - Deck X X 8 Roofing X X X X 9 Exterior Walls and Windows X X X 10 Building Dry-in X X X X X 11 Interior Walls-Framing X X 12 Permanent Power X X 13 Wall Finish X X X 14 Prime Paint X X 15 Mechanical/Electrical Rough-in X X X X 16 Plumbing X X 17 Mechanical/Electrical above Ceiling X X 18 Flooring (VTC/Ceramic) X X 19 Doors-Hardware X X 20 HVAC - Ductwork/Controls X X X 21 Ceiling Finish X X 22 Finish Paint X X 23 Mechanical/Electrical Systems X X X X 24 Site Work - Utilities/Pavement X X 25 Carpet X X 26 QC System test - Debugging X X X X 27 QA System Test - Acceptance X X 28 CQC Inspection X X X X 29 HVAC Test and Balance X X X 30 Landscape/Grassing X X 31 Pre-Final Inspection X X X X X 32 Commissioning HVAC X X X X X 33 Final Inspection/Acceptance BOD X X X X X

DESIGN SUBMITTAL PHASE

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d. Construction Duration Targets. Construction durations shall be developed based on the specific requirements of the project.

SF1391 will have an estimated construction duration which is provided for guidance. The following are construction duration targets, from acknowledgement of the Notice to Proceed (NTP) by the Construction Contractor to Beneficial Occupancy Date (BOD) of the project, are provided in the event that no duration is provided in the guidance documents. The A-E will address these targets in the Construction Schedule and the Construction Cost Estimate. The schedule activities and logic used, that extends construction durations in excess of these targets, will be discussed and provided in a narrative with each design submittal.

CONSTRUCTION DURATION TARGETS

PROGRAMMED AMOUNT CONUS PROJECTS

Less than $5M 365 Calendar Days or less

PA > $5M and PA < $20M 540 Calendar Days or

Greater than $20M 730 Calendar Days or

(9) The A-E shall not correspond either in writing or verbally, with any prospective bidder during the advertisement period. All requests for information from a prospective bidder shall be submitted to the person specifically identified in the solicitation.

(10) Design Errors/Deficiencies: The provisions of the contract clause entitled "RESPONSIBILITY OF THE ARCHITECT-ENGINEER CONTRACTOR" will be fully enforced by the Government. Of particular note are the A- E responsibilities noted below:

a. The A-E is completely responsible for the professional quality, technical accuracy, and coordination of all designs, drawings, specifications, and other work or materials produced and furnished by his own staff and that of consultants, and will be required to corrector revise any errors or deficiencies in his work, notwithstanding any review, approval, acceptance, or payment by the Government. Thus the responsibility continues after final payment is made to the A-E.

Corrections and changes resulting from review of the A-E's completed work will not be made by the Government but will be returned to the A-E for correction. Further, the A-E shall be liable to the Government for damages to the Government caused by negligent performance by the A-E.

These responsibilities apply equally to any consultant used by the A-E and in no way relieve the consultant from a similar responsibility and accountability to the A-E.

b. During the construction period, the A-E shall provide an evaluation of any problem resulting from what the Government considers to be a design error or deficiency. The evaluation will be provided within 10 days of notification by the Government and will be in the following format:

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Problem: Provide a brief description of the problem and the status of the construction at the time of its discovery.

Analysis: Provide a complete and detailed analysis of the problem. Background facts such as circumstances, conditions, dates, personnel involved, and cost data should be included if pertinent.

Design conflicts, errors, omissions, and/or ambiguities contributing to the problem should be identified. Describe recommended corrective actions. Attach sketches or drawings if appropriate.

A-E Evaluation: Provide the rationale and justification for whether or not the problem should be considered a design deficiency.

The determination of A-E liability in connection with this problem will be made by the New York District A-E Liability Review Board. Any evidence or information the A-E wishes the Board to consider should be addressed here.

(11) During the construction period the A-E shall furnish advice as may be requested. During the construction period, limited construction phase services may be required. If construction phase services are required, appropriate modifications to the contract will be made.

1.1.4 Acronyms and Abbreviations

Acronyms and abbreviations are generally written out on first use in each chapter. The “ACRONYMS AND ABBREVIATIONS” chapter provides a summary listing.

1.1.5 Discipline Coordination

(a) Individual design team members are responsible for coordinating their efforts with those of other design team disciplines.

(b) The A-E shall prepare a written record of each site visit, meeting, or conference, either telephonic or in person, and shall furnish this record within five working days to the COR with copies to all parties involved. The written record will include the subject, the names of participants, an outline of discussion, and the recommendations or conclusions reached.

(c) The chapter “PRESENTATION OF DATA” includes requirements for Antiterrorism/Force Protection, Sustainable Design and Development, Notes to the Resident Engineer, chapters in Project Definition narratives and Design Analyses. These require cross discipline coordination for which no primary discipline is designated. For in-house designs, the Project Engineer will initiate these chapters and ensure input by appropriate discipline members.

1.1.6 Metric Design Policy

(a) The current USACE metric policy for Military Construction is consistent with Executive Order 12770 which requires the use of the metric system in Federal acquisitions except when such use is “impracticable or is likely to cause significant inefficiencies or loss of markets to United States firms.”

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(b) Generally, design and construction of new or renovated facilities shall use the metric system of measurement, unless such use leads to inefficiencies or would be otherwise impractical. Increased initial cost or life cycle cost is certainly an indicator of inefficiencies. The C, Design Branch or Project Manager is responsible for making the determination on whether or not to use the metric system of measurement on a project-by-project basis. Customer preferences or limited designer experience are not adequate justifications on their own for eliminating metric use, but may be part of the decision process. Decisions to not use the metric system must be justifiable and documented in the permanent project files and maintained by the Technical Manager.

(c) Where Request for Proposals (RFP) or similar alternatives to the design-bid-build process are used, the RFP may be issued in dual units (inch-pounds and metric) with the requirement that each proposal indicate the system of units to be used by the contractor throughout.

Drawings will not be accomplished in dual units on any type of project.

(d) Where the metric system of measurement is used the Designer shall strive to use as many hard metric products as possible in the design. Only where hard metric products are determined to be unavailable or uneconomical should soft metric products be used.

1. Hard Metric – a measurement that indicates a non-interchangeable SI value and is based on SI values that change in size and properties from inch-pound (IP) values.

2. Soft Metric – a measurement is a mathematical approximation or equal unit conversion of an IP product.

1.1.7 Ownership of Project Documents

The clauses set forth in DFAR 252.227-7023, Drawings and Other Data to Become Property of Government, DFAR 227.71, Rights in Technical Data, and DFAR 227.72 Rights in Computer Software and Computer Software Documentation, apply to all project design documents.

1.2 APPLICABLE PUBLICATIONS

1.2.1 Construction Criteria Base and Whole Building Design Guide

Applicable publications are listed in various chapters of this Manual.

The most recent editions of the cited publications at the start of Concept Design (30-35%) for D-B-B or Interim Design (50%) for D-B will be referenced and incorporated (as appropriate) in work prescribed by this manual. The publications cited in individual chapters, but referred to thereafter by basic designation only, form a part of this manual. These publications are supplemented by the Unified Facilities Guide specifications (UFGS) to form design criteria. Unless specifically stated otherwise in this Manual or the SOW, the designer shall be responsible for obtaining all publications applicable to the design of the project including, but not limited to, the cited publications. The recommended source for many publications is the Construction Criteria Base (CCB) which contains USACE Technical Manuals(TM), Unified Facilities Criteria (UFC), Engineering Regulations

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(ER), Engineering Technical Letters (ETL), and industry and other government standards. The CCB is at the following web site.

http://www.wbdg.org/ccb/ccb.php

Additional Criteria are available from the Whole Building Design Guide web site:

http://www.wbdg.org/references/docs_refs.php

For A-E projects, additional project specific customer and user requirements, or additional publications and references may be listed in the SOW. The A-E shall furnish copies of all instructions, manuals, and other documents pertaining to design requirements to all consultants to insure a completely coordinated design.

1.2.2 CADD Standards

The Designer’s drawings shall conform to the A/E/C CADD Standards (latest release). The following information is provided as a guide to the Designer.

A/E/C CADD Standard are available at:

http://www.wbdg.org/ccb/browse_lib.php?l=07

CENAN CADD Standard Standards https://intranet.nan.usace.army.mil/cad/index.htm http://www.nan.usace.army.mil/business/buslinks/contract/ae/index.htm

1.2.3 BIM Standards

If the Designer’s Scope of Work requires the application of BIM technology, all design drawings will be created using Building Information Modeling (BIM) technology and shall conform to the A/E/C CADD Standards (latest release). The version of Bentley Building must be compatible with version used by the New York District, incorporating specific USACE workspace and data sets, Model Files and all relevant design files. The Designer will provide the Building Information Model (BIM) and the supporting data set/library that supports the BIM to the Government in electronic format as a contract submittal requirement.

CENAN CADD Standard Standards https://intranet.nan.usace.army.mil/cad/index.htm

1.3 INSTRUCTIONS

1.3.1 Pre-design Conference

1-10 http://www.wbdg.org/ccb/ccb.php http://www.wbdg.org/references/docs_refs.php http://www.wbdg.org/ccb/browse_lib.php?l=07

The TM/PE shall request that designers attend a pre-design conference at the project site and participate in discussions prior to the preparation of a design budget for in-house designs, or fee proposal and negotiation for a project designed by A-E. During these discussions, all aspects of the required effort, which shall affect the designer’s effort, will be addressed.

(a) I-H Design. The TM/PE will be responsible for recording minutes from the pre-design conference.

(b) A-E Design. The A-E will be responsible for recording the minutes from the pre-design conference. Upon submission, review and approval by the PM, these minutes will be incorporated as part of the TO SOW. The A-E designer shall be furnished a draft SOW which will contain project specific design criteria and instructions. Subsequent to the pre-design conference, the A-E designer shall receive a request to furnish a fee proposal for accomplishing the work agreed upon during the conference. The TM/PE will develop a government estimate for anticipated A-E costs prior to negotiations.

1.3.2 Quality Management

An I-H Quality Control Plan (QCP) or A-E Quality Assurance Plan (QAP) is required for all projects. For A-E Designs the A-E is responsible for performing developing QCP and performing a QC review on their products prior to submission. See the chapter “QUALITY MANAGEMENT” for specific requirements.

1.3.3 Studies, Renderings and Models

(a) Studies. At various times, studies will be required that do not conveniently fit into the design phases and procedures required in this Manual. In such cases, requirements will be detailed in the TO SOW.

(b) Models and interior/exterior color renderings necessary for a visual presentation to the customer shall be furnished only as determined during the pre-design meeting, funded, and as directed in the SOW for A-E projects.

(1) Renderings. The style of rendering and number of views required will be determined at the Pre-Design conference. Final rendering size/s, matting, framing and glazing will also be established at that conference. Each framed rendering will include: project name, project location, U.S. Army Corps of Engineers, New York District, and the A-E firm name. The number and size of unframed photographs of the rendering/s will also be determined at the Pre-Design Conference. These requirements will be incorporated in the final TO SOW issued to the A- E.

(2) Models. The size, scale, construction method and materials, and functions of the model will be determined at the Pre-Design conference. These requirements will be incorporated in the final TO SOW issued to the A-E.

1.3.4 Charrette

Charrette conduct will be determined during the pre-design meeting.

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The requirements for a charrette will be as specified in the SOW.

The chapter, “CHARRETTES” provides additional information.

1.3.5 Life, Health and Safety Standards

The most recent version of the International Building Code (IBC) will be used as the basis of design of facilities unless specifically exempted by the customer and documented. In addition, the most recent version of NFPA 101 Life Safety Code and other NFPA Codes shall be incorporated into the design as appropriate. UFC 1-200-01 will be used by all designers as the basis for determination of code requirements.

(Changes mandated in use of codes in UFC 1-200-01 will be adjusted based on use of the most recent IBC and NFPA codes until UFC 1-200-01 is updated.) The facilities, systems, and equipment design standards of the Occupational Safety and Health Act, Code of Federal Regulations, Title 29, Chapter XVII, Parts 1910 and 1926, as applicable, shall be incorporated by the designer into all design and analyses. Other customer-specific health and safety regulations will be determined during the pre-design conference, and incorporated in the design effort. Any problem in incorporating these standards due to conflicts with other technical criteria shall be promptly submitted to the PE for resolution.

1.3.6 Design for the Physically Handicapped

Unless specifically stated otherwise in the SOW, all facilities shall be designed to be accessible to and usable by handicapped persons in accordance with the Americans With Disabilities Act (ADA) Accessibility Guidelines (ADAAG) and the Uniform Federal Accessibility Standards(UFAS). Consolidated ADA - Architectural Barriers Act (ADA- ABA) guidelines were published in 2004 but have not been adopted by USACE. A draft UFC 1-200-01, General Requirements dated 4 August 2006 will provide final guidance when adopted.

1.3.7 Topographic Surveys, Easements, and Utilities

Unless otherwise specified during the pre-design conference, topographic, hydrographic, and utility surveying and mapping data will be funded and obtained. The “SURVEYING AND MAPPING” chapter provides specific instructions. Specific requirements for A-E designs will be included in the SOW. Subsurface utility investigation using Ground Penetrating Radar or other means of determining the three dimensional location of underground utility lines will be specifically addressed in the SOW.

1.3.8 Geotechnical Investigation

Unless otherwise determined during the pre-design conference, geotechnical investigations shall be funded and completed (including soil and rock borings, sampling, laboratory testing, and pile load tests, where applicable), as well as tests such as percolation tests for septic tanks, soil resistivity tests for grounding and cathodic protection systems and infiltrometer test for stormwater detention ponds. Chapter 6 GEOTECHNICAL provides specific instructions. Specific requirements for A-E designs will be included in the SOW.

1.3.9 Environmental Regulatory Permits

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Responsibilities for environmental permits include:

(a) The designer shall contact the appropriate Federal, State, local, and interstate pollution and environmental control agencies to determine the permits required and the procedures and documentation necessary to obtain them. A written record of each such contact shall be prepared and furnished within five working days to the Project Manager with copies to all parties involved.

(b) Where formal documents are required to be submitted to obtain permits, the designer shall prepare all such documents and provide them in a "ready for signature" condition. This includes necessary copies of the plans, specifications, design analyses, and other required supporting documentation. After review by the COE and comment incorporation, the corrected documents will be forwarded by the COE to the installation for signature by the appropriate official and submission to the appropriate agency. Permit requirements shall be ascertained and documented by the designer during the Concept Design stage.

(c)The designer shall provide the following information and data for each required permit with the Concept submittal:

(1) Permitting authority (State, local, etc.).

(2) Type of permit required (construction, operation, etc.).

(3) Procedure and time necessary to complete the permit application.

(4) Fees required.

(5) Statement that the project is covered by variances or that permits are not required. If a variance is required, the procedures for obtaining the variance shall be provided. If a permit is not required, reasons and supporting justification (i.e., cite State, local, and/or other regulations) shall be furnished.

(6) An evaluation of all State and/or local regulations to determine if monitoring devices are needed. Where required, monitoring devices shall be included in the project design.

(d) The designer shall provide the completed permit applications not later than the Interim submittal or 60 days prior to the Final submittal, whichever is earlier. Permit applications shall be ready for signature by the appropriate official and submission to the approving authority.

(e) With the Final submittal, the designer shall provide all supporting documents, plans, and specifications. The designer shall also have accomplished the necessary coordination to obtain permit application approvals.

1.3.10 Sustainable Design

Sustainable design is an integrated approach to planning, designing, 1-13 building, operating and maintaining facilities in a collaborative and holistic manner among all stakeholders. It is meant to provide resource efficient, environmentally friendly and healthy facilities with emphasis on renewable energy and recycled materials. The project specific criteria and rating level will be determined during the pre-design meeting. The SOW will identify requirements for A-E projects.

See the chapter, “SUSTAINABLE DESIGN”, for specific requirements.

1.3.11 Anti-Terrorism/Force Protection

Anti-Terrorism/Force Protection is an inherent part of all projects.

See the Chapter, “ANTI-TERRORISM/FORCE PROTECTION”, for specific requirements.

1.4 DEFINITIONS

1.4.1 Design Analysis

(a) The design analysis shall be provided with each submittal including RTA (unless it is determined during the pre-design conference that it is not required at a specific design submittal phase).

(b) At RTA, the design analysis is not a contract document, but rather a final documentation of the basis of design for the Resident Engineer, and digital archival document for Engineering Division. The design analysis should be developed from Concept Design to include a discussion of any new or unfamiliar products, critical product features, critical milestones that may require designer consultation, items of particular customer interest revealed in design meetings, shop drawings of particular interest or criticality, anticipated difficult construction features.

(c) The design analysis is a written explanation of the project design and is expanded and revised for each submission. The design analysis shall contain a summary of the criteria for and the history of the project design, including criteria designated by the customer, letters, codes, references, conference minutes, and pertinent research.

The justification for each major selection and design decision shall be clearly stated. Design calculations, computerized and manual, shall be included in the design analysis in digital format. Narrative descriptions of design solutions shall also be included. Diagrams and sketches to convey design concepts may be provided to illustrate all written material. Design phase review comments and the specific actions (annotations) taken in response to each comment from the preceding design phase review shall be included with each submission of the design analysis. A separate section with pertinent notes to the Resident Engineer shall also be included. Specific requirements for the design analysis are provided in other chapters of this manual.

1.4.2 Drawings

Drawings are required in each design submittal. The drawings at each submittal stage shall be complete, thoroughly checked, and coordinated.

Specific drawing requirements are defined below and in other chapters of this Manual.

1.4.3 Specifications

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The Construction Specifications Institute (CSI) 48 division format is mandatory. The specifications shall be developed in accordance with guidance provided below and in other chapters of this Manual.

1.5 SUBMITTAL REQUIREMENTS

1.5.1 General

Requirements for each submittal are generally described below.

Additional requirements are contained in other chapters of this Manual.

Specific instructions for A-E design projects for number of copies, addressing, and other instructions are provided in the SOW.

1.5.2 Project Definition (10-15%)

This submittal represents approximately 10 to 15% of the design effort, and shall be used to document and validate projects requirements and the construction cost. The submittal shall include preliminary schematic plans, a narrative describing each aspect of the project including a sustainable design points assessment checklist and narrative, and a parametric cost estimates. This level of design effort equates to the final report prepared to document charrette completion (see the Chapter, CHARRETTES).

1.5.3 Concept Design (30-35%)

This submittal represents approximately 30 to 35% of the design effort and shall be of sufficient detail to show how the users' functional and technical requirements will be met, indicate the designer's approach to the solution of technical problems, show compliance with design criteria or provide justification for noncompliance, and provide a valid estimate of cost. The Concept Design consists of:

(a) Design Analysis:

(1) Design narrative, and design calculations for all disciplines.

(2) Intended (outline) specifications list.

(3) Environmental permitting memorandums

(b) Concept drawings.

(c) Bidding schedule with Bid Options identified when applicable.

(d) Concept cost estimate.

(e) Required information and data for each required permit.

(f) Annotated Project Definition review comments.

1.5.4 Value Engineering

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The Value Engineering requirements apply to all Corps of Engineers’ construction project with a current construction estimate of $2 million or more unless a waiver has been obtained.

(a) Shortly after or in conjunction with the Concept Design submittal, the designer shall perform a Value Engineering (VE) Study as directed. It is strongly recommended that the VE Study be conducted at the installation for which the project is intended, and involve user and installation representatives such as representatives from the Base Civil Engineer or Directorate of Public Works organizations.

(b) VE Study. This effort shall include study of design memorandum documents, cost data, and other information furnished as the basis of the design. The VE study shall develop alternate designs to achieve the required mission(s) or function(s) at the lowest overall cost consistent with performance for structures, structure or facility siting, site development, equipment, electrical and materials or methods. The study includes examination of high cost items including life cycle cost, anticipated construction time, and conservation of energy. Design details and analysis will be considered and alternatives developed as appropriate. The VE team should consider the latest technology in development of alternatives to achieve maximum results for life cycle cost, energy conservation, functional use, maintainability, and first cost (construction) savings.

(c) The VE Team. The VE Team Leader shall be appointed by the New York District VE Officer. The VE Team Leader shall be headed by an architect or engineer with no prior input/knowledge of the design.

Architecture disciplines required for participation are civil, structural, mechanical, electrical, and cost engineering. Similarly, VE team members shall have no prior input to, or knowledge of the design.

Selected team members will be different from the design team. All members should have past experience performing VE analysis.

(d) VE Report. The results of the study shall be prepared and submitted on 8 1/2" x 11" bond paper. Back-up data and detailed estimates shall be included. Sketches may be 8 1/2" x 11" or 11" x 17" fold-outs. Pages must be sequentially numbered in the lower right-hand corner for assembly purposes. Report will include as a minimum:

(1) Transmittal letter.

(2) Cover Sheet.

(3) Table of Contents.

(4) Summary of existing and proposed design.

(5) Study Methodology.

(6) Tabulation of proposed changes with first cost savings, operations and maintenance costs, and energy savings displayed separately. Life cycle coat analysis shall be included. Present worth and annualized cost shall be computed using ten percent (10%) per annum.

(7) Advantages and disadvantages of proposed changes.

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(8) Appropriate drawings for each proposed change showing the existing conditions and proposed alternatives.

(9) Estimates comparing the existing design with all proposed changes.

(10) Results and conclusions.

(11) Recommendations shall include comments concerning the feasibility of implementation of each proposal. A separate summary tabulation will be included in the front of the report indicating if the change is minor of major with recommendations concerning the most efficient way to accomplish each change.

(12) List of possible design conflicts.

(13) Summary of VE Actions

(e) VE Report Distribution. The report summarizing the VE proposals shall be submitted to those listed in the TO SOW Design Submittal Distribution List, or as determined by the TM/PE in prepared in house.

(f) Presentation of VE Study Results. The VE team leader shall attend a ½ day meeting at the start of the Concept Design (30%) Review Conference at the project site to present the VE proposals. The presentation shall be scheduled with the Corps of Engineers Project Manager at least 14 days prior to the proposed presentation date.

(g) Implementation of Approved VE Changes. VE proposals accepted by the Government will be incorporated into the subsequent submittals of the design project. The designers will be required to validate savings for accepted proposals for their final impact on the project cost estimate.

(i) The Value Engineering Proposals and ideas become the property of the Government and may be used on future contracts or designs without additional compensation to the A-E.

1.5.5 Interim Design (60-65%)

This submittal, if required, is intended to insure that funding limitations are not being exceeded and that the drawings, design analysis, specifications, and cost estimate are proceeding in a timely manner and that the design criteria and previous review comments are being correctly interpreted. Redlined marked up specifications will be submitted at this design phase. The Interim Design shall consist of:

(a) Design Analysis developed to approximately 60% completion.

(b) Approximately 60% complete drawings including those addressing construction phasing.

(c) Detailed cost estimate developed to approximately 60% completion including Bid Options where applicable.

(d) Redlined marked up specifications.

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(e) Annotated Concept review comments.

(f) Completed permit applications (if an Interim submittal was not required, the completed permit applications are required 60 days prior to the Final submittal).

1.5.6 Final Design (90% Design Submission/Unreviewed 100% Design)

This submittal represents a 100% complete design with the exception of the incorporation of any review comments resulting from the review of the submittal. The Final Design shall consist of:

(a) Design Analysis with all items l00% complete. It shall include all backup material previously submitted and revised, as necessary, all design calculations, all explanatory material giving the design rationale for any design decisions which would not be obvious to an engineer reviewing the Final drawings and specifications, and any information for the Resident Engineer that will assist in administering the construction contract.

(b) 100% complete drawings including those addressing project construction phasing.

(c) Specifications. Final edited specifications. The contract front-end (boiler plate) with the exception of Section 00800 and portions of 0090 will be completed by the New York District and forwarded to the AE for inclusion in the Final Design Submittal.

(d) Bidding schedule and an Explanation of Bid Items. Identify Bid Options where applicable.

(e) Detailed 100% complete cost estimate.

(f) Annotated Interim review comments.

(g) All supporting documentation required for permit application approvals.

1.5.7 Ready-To-Advertise (RTA) (Reviewed 100%)

This submittal represents a complete design (design analysis, specifications, and drawings) including annotated design submittal review comments that answer and/or incorporate review comments resulting from the review of the Final design submittal.

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EXHIBIT 1 - Sample Architect-Engineer (A-E) Task Order (TO) Statement of Work (SOW)

Samples of Scope of Works for the following installations, including installation specific requirements, are included for Picatinny Arsenal and USMA.

Sample Scope of Work Picatinny Arsenal, New Jersey

Development of Final Design Documents for the

FY09 BCA PN-65425 Packaging, Handling, Storage, and Transportation Center, 8 February 2008

1.0 Project Description:

Title: Packaging, Handling, Storage and Transportation (PHS&T) Center

Project Number: 65425

Location: Picatinny Arsenal, New Jersey

Program Amount (PA): $26,000,000 (per Design Directive CENAD-COF-BAA

(ER) dated 06 Nov 2007, calculated as follows)

Estimated Contract Cost (Contract for Construction): $22,930,000

Scope: Per DD Form 1391 dated 18 August 2007

Construction Cost Limit (CCL): $21,083,930 (1) (Base Bid Only)

Notes:

1. The CCL is the Government’s desired maximum or target cost for the base bid (and base bid only) at the time of award of the construction contract. It is formulated by multiplying the PA (see above*) x 90% and then dividing the results by (1.05 x 1.057) which results in a total in the amount of $21,083,930. The CCL may also be expressed as a Base Bid CWE (or construction cost plus other government cost for construction which, in this instance, is the CCL (Base Bid Construction Cost Limit) x 1.05 (construction cost contingency) x (1.057) CoE SIOH or $21,083,930 x 1.05 x 1.057 = $23,400,000.

2. CWE equals the estimated cost prior to award or actual construction cost of any given item or unit of construction plus all government costs. A CWE is the determined as follows; CWE = Estimated (or actual) Construction Cost x 1.05 (construction cost contingency) x (1.057) CoE SIOH.

2.0 Scope of A-E Services

2.1 General Description of Facility to be Designed & Constructed: This facility will provide new administrative space and high bay lab space for the BRAC mission.

Special features include High bay space, engineering work space, storage, an Outdoor Covered Test Area and spaces that satisfy SIPRNET and Secret Compartmentalized Information Facility (SCIF) requirements, information systems, fire protection, and Anti-terrorism (AT) measures. In addition to engineering office space, the new facility will have conference rooms with video teleconferencing capability, restrooms, break rooms, laboratory spaces and mechanical rooms.

Supporting Facilities include site work, paving, site improvements and utilities.

Emergency generator system will be provided as a back up power. Comprehensive building and furnishings related interior design services are required. Access for individuals with disabilities will be provided. Demolish 1 Building (2,610 Total SF). Air Conditioning (Estimated 150 Tons). The design will include Sustainable Design and Development (SDD) and Energy Policy Act of 2005 (EPAct05) features.

2.2 The work includes, but is not specifically limited to, studies, investigation, and concept and final design or studies of supporting utilities and/or facilities, such as, 1-20

8 February 2008 water supply, sewer, natural gas, HVAC, electric service, exterior and/or security lighting, storm drainage, communications and information systems, fire protection, force protection, and general site improvements. The project work also includes parking areas, walks, and utility service connections. Additionally, this work may require demolition of sub grade utilities and foundations, structure or equipment.

The work shall proceed based upon the DD FORM 1391. The design shall address the probable presence of Radon gas and TCE in the ground water and soil including means to mitigate the migration of the Radon gas and TCE vapor into the facility.

The measures employed for the protection against TCE entering the facility shall be supported by analysis or accepted standard and shall be prepared in a manner suitable for submission by Picatinny to NJDEP for review and approval. The A-E is responsible for the coordination of the work and other requirements with the Picatinny Garrison Offices.

2.3 General Description of Professional Services and Phase of Work: The A-E services under this contract will be accomplished in two (2) phases: Phase I –30% Concept Design Submission. Phase II – 60%, 65% (DDESB), 90%, and 100% Design Submissions. All of the construction work, identified within the DD form 1391 must be accomplished within a Current Working Estimate (CWE) for the base bid at or below ninety percent (90%) of the project’s Programmed Amount; i.e., a contract estimate for the base bid at or below the CCL established above. If the CWE for the entire work at any time exceeds 90% of the Programmed Amount or the project CCL, the A-E shall provide recommendations for the Government’s consideration for reducing the project cost (CWE) to within the target goals of 90% of PA and/or within the CCL, either by identifying possible scope reductions, establishing additive or optional bid items, or changes to design elements or products.

The Phases of Work are as follows:

The Phases of Work (Architectural and Engineering Services) for this project under this contract are as follows:

PHASE I - 30% Concept Design Submission Participation in Value Engineering Conference

PHASE II – 60%, 65% (DDESB), 90%, and 100% Design Submissions

3.0 NOT USED

4.0. PHASE I - 30% Concept Design Submission

4.1 Based on the Final Parametric Design (program and design validation) prepared under a previous contract, the A/E will prepare a 30% design in accordance with criteria listed in paragraph 9.0 below and in accordance with (IAW) all applicable Unified Facilities Criteria (UFC). This includes, but will not be limited to, the preparation of 30% design analysis, design drawings, design cost estimates and listing of UFGS specifications. In addition the design shall address handicapped requirements in

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8 February 2008 accordance with the "Uniform Federal Accessibility Standards and/or ADA requirements".

4.2 The A-E shall prepare this submission inclusive of studies, schematics, cost estimates (Enclosure 8), drawings, and outline specifications IAW the "MANUAL OF STANDARD PROCEDURES FOR PLANNING AND DESIGN", NANP 1110-1-1 (Should this contact conflict with NANP 1110-1-1, this contract shall govern). The submittal shall include, but are not specifically limited to, the following material or content:

4.2.1 Drawings presented shall include existing site conditions, proposed utility plan, demolition plan, if required, proposed site plan including building and test range orientation, parking, lighting and fencing, proposed elevation illustrating exterior finish and proposed floor plans illustrating functional areas in SF. Site plans should include topographical detail, parking spaces with traffic flow and floor plans should show door locations and swing.

4.2.2 Prior to the Concept Review meeting, the A-E shall prepare and submit to the Environmental Affairs Office (EAO) a permit listing for the subject project…