AE Handbook - REVISED 1.9.25.pdf

A/E Consultant Handbook Engineering Department

Facilities Engineering Services Section April 2008

The primary objective at Fermilab is that operations be conducted in a safe, deliberate and controlled manner. The role of the FESS/E procedures is to provide the best knowledge available in order to accomplish the task.

This A/E Consultant Handbook provides a compilation of the FESS/Engineering policies and procedures specific to the utilization of A/E Consultants.

This A/E Handbook provides guidance for the A/E Consultant services and is intended as a supplement to the A/E subcontract.

In all cases the A/E subcontract shall take precedence over the procedures in this A/E Consultant Handbook.

SECTION I INTRODUCTION

SECTION II POLICIES

FEP 2 – Safety April 15, 2008

FEP 4 – Sustainability April 15, 2008

FEP 5 – Tailoring April 15, 2008

FEP 9 – Consultant Support April 15, 2008

SECTION III PROCEDURES

5.3.5.1 – High Performance Buildings, dated April 15, 2008

7.4.5.1 – AE Consultant Progress Reporting, dated April 15, 2008

8.3.5.1 – Document Reviews, dated April 15, 2008

8.3.2.1 – Construction Document Signoff, dated April 15, 2008

8.3.2.2 – Securing Construction Documents, dated April 15, 2008

8.4.5.1 – AE Quality Assurance, dated April 15, 2008

9.3.5.1 – AE Tasking, dated April 15, 2008

10.3.3.1 – Amendments, dated April 15, 2008

10.3.3.2 – Procurement Period Questions, dated April 15, 2008

10.3.5.1 – Meetings, dated April 15, 2008

10.3.5.2 – Project Correspondence, dated April 15, 2008

10.3.5.3 – Drawing Requirements, dated April 15, 2008

12.4.5.1 – AE Consultant Invoicing, dated April 15, 2008

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Office of Science / U. S. Department of Energy / Managed by Fermi Forward Discovery Group

INTRODUCTION AE Consultant Handbook

Section I

1.0 Purpose

The purpose of this handbook is to establish basic procedures and technical standards for architectural and engineering (A/E) professional services provided to Fermilab. It is to supplement the Subcontract under which the A/E firm performs its services.

This handbook does not necessarily represent procedures and requirements in all aspects of performing the service. It is intended as a convenient source for FESS/Engineering personnel and the AE Consultant to find procedural and technical direction. The contents will from time to time be supplemented with updated procedures and standards.

This document is comprised of only general procedures and standards that apply to all construction projects at Fermilab. Specific detailed information about individual projects will be issued to the AE Consultant separately for each project

2.0 Definitions

For the purposes of this manual definitions are summarized below but are subordinate to the definitions stated in the A/E Services Subcontract.

2.1 "DOE" shall refer to The United States Department of Energy, the Owner of all facilities at Fermilab and the “Authority Having Jusridiction.”

2.2 The terms "Fermilab Research Alliance, LLC", "Fermi National

Accelerator Laboratory”, “Fermi” and "Fermilab" may be used interchangeably and refer to the sole contractor to DOE for all operation and development of facilities at Fermilab.

2.3 The terms “AE Consultant”, "Consultant", "A/E Firm", or "A/E Subcontractor" shall refer to the Architectural/Engineering Subcontractor to Fermilab. Their personnel will be referred to as "representatives" for the purposes of this handbook. The term "Sub-Consultant" shall refer to A/E firms subcontracting to Fermilab's A/E Subcontractors.

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

2.4 The "Project" shall mean the Scope of Services required from the

Consultant as stated in the Task Order and/or Subcontract.

2.5 The titles "Project Manager", "Subcontract Administrator", "Engineering Department Head", “Project Engineer”, "Project Coordinator", and "Liaison" refer to Fermilab personnel where referenced in this handbook.

3.0 FESS/Engineering Procedures

The FESS/Engineering procedures are an established method of conducting the operation of the department that incorporates the best knowledge available. These procedures are the documented series of steps taken to accomplish the identified tasks.

The maintenance and distribution of the FESS/E procedures is the responsibility of the FESS/E Department Manager.

In order to better align with current Laboratory business practices, the FESS/E procedures incorporate applicable Department of Energy (DOE) and industry standards. While the use of these standards do not represent formal requirements, their use and reference is essential to the establishment of best identified practices in the FESS/E procedures.

The primary objective of DOE Order 413.3, Program and Project Management For The Acquisition of Capital Assets, is to provide “project management direction for the acquisition of capital assets that are delivered on schedule, within budget, and fully capable of meeting mission performance and environmental, safety, and health standards.” While the implementation of this order is required for projects with a Total Project Cost exceeding $20 million, FESS/E has chosen to incorporate these general principals in the execution of projects and the development of procedures.

The Project Management Institute (PMI) is a non-profit advocacy association for the project management profession. PMI defines project management as the “application of knowledge, skills, tools and techniques to a broad range of activities in order to meet the requirements of a particular project”.” PMI publishes A Guide to the Project Management Body of Knowledge (PMBOK) that describes a system of process groups and knowledge areas that provide a framework for the management of projects.

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The process groups are:

• Initiating

• Planning

• Executing

• Monitoring and Controlling

• Closing

The knowledge areas are:

1. Integration

2. Scope

3. Time

4. Cost

5. Quality Human Resources

6. Communications

7. Risk Management

8. Procurement

PMI combines these processes and knowledge areas into a process chart matrix as shown below.

DOE Order 413.3 utilizes a series

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov of Critical Decisions to organize the development and execution of a project.

This process, shown in the chart below, serves as the guidance for the organization of the FESS/E procedures.

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

DOE

Order 413.3

PMI

PMBOK

FESS/E

The FESS/E procedures provide a convergence of concepts contained in DOE Order 413.3 and the organizing principals of the PMI’s Project Management Body of Knowledge (PMBOK).

4.0 FESS/Engineering Organization

Acting as Fermilab’s in-house Architectural/Engineering (A/E) firm, the Engineering department of the Facilities Engineering Services Section (FESS) provides architectural and engineering services for conventional facility design and construction activities and oversees outside A/E Consultants.

The FESS/Engineering vision statement is to:

Provide facilities and infrastructure that meet the initial requirements of the physics community, incorporate flexibility to adapt to changing Laboratory programs, maximize uptime, are economical to construct, operate and maintain, are environmentally responsible, and provide for human comfort and a creative workplace atmosphere.

The FESS/E vision statement supports the FESS mission of:

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Our mission is to establish and maintain a dependable base from which high energy physics and other Fermilab programs can be safely accomplished without interruption.

As part of this mission, FESS/E works with internal customer division/sections to develop and execute projects related tasks in order to support the FESS and Fermilab missions.

FESS/E also provides project management skill sets for others projects (including design, inspection, progress monitoring and payment approval for construction activities).

5.0 Project Phases

Projects are classified by size and complexity according to the necessary phasing of design, production, approvals, bidding and construction. Phasing of projects is done in accordance with the requirements of the U.S. Department of Energy.

The phases described below follow the guidance of DOE Order 413.3

5.1 Project Planning Phase

The project planning phase consists of those activities that describe and document the strategic goals and objectives, safety planning and design. The Project Planning Phase usually consists of two (2) sub-phases as listed below.

5.1.1 Preconceptual Planning

This phase of the project approximates the Programming Phase as described by the American Institute of Architects (AIA) and is tailored to meet specific Fermilab requirements. The integrated project team documents the goals, needs, and function of the project including design expectations, budget and pertinent building code, site restriction and ES&H regulations. The integrated project team prepares a written statement setting forth design objectives, constraints, and criteria for a project, including special requirements and systems and site requirements. The integrated project team also prepares a preliminary estimate of the construction costs based on current area, volume, or other unit costs.

5.1.2 Conceptual Design Phase

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This phase of the project approximates the Schematic Design Phase as described by the AIA and is tailored to meet specific Fermilab requirements. If a project has completed the Preconceptual Planning Phase, the integrated project team reviews the previous documents before proceeding.

It is not unusual for a project to begin with a Conceptual Design phase in which the integrated project team documents the goals, needs, and function of the project including design expectations, budget and pertinent building code, site restriction and ES&H regulations. DOE Order 413.3 defines a Conceptual Design Report as “an integrated systems engineering effort that results in a clear and concise definition of the project.” Also in this phase, the integrated project team documents the project requirements and prepares schematic studies, text consisting of a written statement setting forth design objectives, constraints, and criteria for a project, including special requirements and systems and site requirements, drawings and other documents illustrating the scale and relationships of the project components and site impact. The integrated project team also prepares a preliminary estimate of the construction costs based on current area, volume, or other unit costs. DOE Order 413.3 states that the “products produced by this planning phase provide the detail necessary to develop a range of estimates for the project cost and schedule.”

5.2 Project Execution Phase

The Project Execution Phase usually consists of three (3) sub phases as listed below.

5.2.1 Preliminary Design

This phase of the project approximates the Design Development Phase as described by the AIA and is tailored to meet specific Fermilab requirements and is also been referred to in the past as the Title 1 phase. In this phase, the integrated project team prepares more detailed drawings and finalizes the design plans, showing correct sizes and shapes for spaces. The design plans indicate significant equipment and experimental apparatus, staging areas, and related ancillary spaces. Of key concern is the documentation of the design process including notes, sketches and calculation that detail the evolution of the design. Also included is an outline of the construction

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov specifications, listing the major materials to be used, appropriate construction cost estimate and preliminary construction schedule.

5.2.2 Final Design Phase

This phase of the project approximates the Construction Document Phase as described by the AIA and is tailored to meet specific Fermilab requirements. In the past, this phase has been referred to as Title 2. In this phase, the integrated project team will produce the drawings, Exhibit A and Exhibit B (specifications) that set forth the detail requirements for the construction of the project. Also included are the detailed construction cost estimate and construction milestones.

5.2.3 Construction Phase

This is the Construction Phase of the project and has been known previously as Title 3. In this phase, the integrated project team provides professional engineering and architectural support for the construction of the project.

6.0 Fermilab Provided Services

Fermilab will provide the following services and information to support the A/E Consultant during the execution of the work.

6.1 Safety

The Consultant shall observe all Fermilab safety rules, regulations and procedures. Entry to any areas not open to the public must be arranged through FESS/E Contact. For on-site work where the Consultant will not be escorted by Fermilab employees, a Subcontractor Orientation Class and identification badging must be attended prior to beginning work. Other safety training specific to Fermilab may be provided by Fermilab.

Identification of required training will be established at the beginning of each project. The FESS/E contact will arrange for training specific to Fermilab as listed below:

• Subcontractor Orientation Class: This half-hour class consists of a video and retention of a card by each A/E

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Consultant employee to verify that the training has occurred.

The training expires after 2 years.

• General Employee Radiation Training: This class may be required to enter certain areas of the Laboratory.

• Oxygen Deficiency Hazard: This one-hour class is required, along with a medical exam performed by Fermilab, for entry into areas where there is a potential for oxygen deficiency.

• Radiation Worker: This eight-hour class is necessary for entry into the Fermilab accelerator tunnels and other radiation areas.

Any standard construction industry training, such as confined space, OSHA, lockout-tagout, etc., shall be the responsibility of the A/E Consultant.

6.2 Access to Fermilab Documentation

FESS/Engineering has significant records on the facilities constructed at Fermilab. This information may include:

• Original design drawings;

• Shop drawings and related submittals;

• Monument and benchmark data;

• Vicinity and location plans;

• Underground utility data;

• Aerial Photos.

This documentation will be made available to the A/E Consultant at the beginning of a project. FESS/Engineering personnel will assist the A/E Consultant in locating information in project files and will provide existing raster or AutoCAD electronic files as the need is identified.

6.3 Soil Borings

FESS/Engineering has a large database of existing soil borings and reports from past projects, which will be made available to A/E Consultants on an as-needed basis.

As a project is initiated, the Project Engineer will decide with the A/E Consultant and the FESS/E Contact whether the existing soil information is adequate for a project. If additional information is

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov needed, Fermilab will arrange for its geotechnical consultant to perform the necessary sampling, testing, and reporting, using design criteria developed from Fermilab and the A/E Consultant.

6.4 CAD/GIS Standards

It is expected that all drawings produced for Fermilab with comply with the FESS CAD and GIS standards. The intent of the CAD and GIS standards is to maintain uniformity in the creation of quality design and construction documents. The CAD and GIS standard documents are a FESS/E organizational asset that will be provided to the AE Consultant upon request.

6.5 Coordination

At the beginning of a project, the A/E Consultant and the FESS/E Contact shall together decide what information may be necessary to research a project. The A/E Consultant should plan to have its staff do some research in the FESS/E archives to aid in the identification of appropriate information. The FESS/E Contact will assist in copying and sending to the A/E Consultant any identified Fermilab documentation.

7.0 A/E Consultant Responsibilities

This section outlines responsibilities A/E Consultants may have when working on projects at Fermilab in addition to basic architectural and engineering design. As detailed below, some are applicable to all projects, while others may be required as part of the project specific tasking request.

7.1 All Projects

These services should be included as part of all projects:

7.1.1 Project directory: The A/E Consultant shall prepare and issue a project directory at the beginning of the project listing the members of the integrated project team including the FESS/E Contact, BSS/Procurement Contract Administrator, Project Coordinator, and representatives of the A/E Consultant and any Sub-consultants participating in the project. The Project Directory is to be distributed to all personnel listed.

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7.1.2 Research of existing files: The A/E Consultant shall utilize the

Fermilab construction document archives with assistance from FESS/E Contact. The A/E Consultant shall advise Fermilab in writing of any additional information regarding existing conditions required for the project which are not available in the FESS/E records.

7.1.3 Field survey of existing conditions: The A/E Consultant shall make site visits as necessary to become familiar with the existing conditions. Such visits must be scheduled through FESS/E Contact. The A/E Consultant shall be responsible for making field measurements required to complete construction documents.

7.1.4 Meetings: The need for effective communication is identified as a key component for successful project. The A/E Consultant should include the provision for participating in project meetings in all proposals.

7.2 Project Specific Requirements

The following services may be necessary for some projects. If required, the Request for Proposal shall request the services:

7.2.1 Safety plan and hazard analysis: On projects that entail inspection or construction-type activities, the A/E Consultant shall provide a Safety Plan and Hazard Analysis of the work activities. Past projects that have required these include structural inspections and special testing where the A/E Consultants acts a prime consultant with other consultants acting under them.

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POLICIES AE Consultant Handbook

The complete FESS/Engineering procedures reside in the FESS/Engineering Policy Manual. The policies specific to the use of A/E Consultant services are contained within this handbook. All FESS/Engineering policies are available on request.

The A/E Consultant specific polices are listed below:

II

FESS/Engineering Policy 2 – Safety FESS/Engineering Policy 4 – Sustainability FESS/Engineering Policy 5 – Tailoring FESS/Engineering Policy 9 – Consultant Support

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

FESS/Engineering Policy

Policy Name: Safety and Environmental Protection

Policy Identifier: FEP 2

Effective Date: April 15, 2008

Objective

FESS/E will perform design and construction in a safe and environmentally sound manner.

Applicability

Design, construction, and project management work under the direction of FESS/Engineering.

Policy Statement

FESS/E will systematically integrate excellence in environment, safety and health (ES&H) into the management and work practices of all activities at all levels so that safety is achieved while protecting the public, the workers, and the environment.

Responsibilities

All FESS/E employees shall fully comply with all procedures, instructions and directives contained in the Fermilab Environmental Safety and Health Manual (FESHM) in order to reduce or eliminate hazards in the workplace.

FESS/E Department Head shall review procedures to ensure that FESS/E integrates environment, safety and health protection into all aspects of our work, utilizing the principles and core functions of the Integrated Safety Management System.

FESS/E employees shall ensure that all required training is kept current.

FESS/E supervisors shall ensure that all direct reports are current on all lab and departmental training requirements and that these requirements are documented in the ES&H Training database.

FESS/E Department Head shall ensure that training requirements for all FESS/E employees are kept current and that training deficiencies are kept to a minimum.

References

Director’s Policy Manual: http://www.fnal.gov/directorate/Policy_Manual.html

Fermilab Integrated ES&H Management Plan: http://www-esh.fnal.gov/FIESHM_Plan/IESHM_113006.pdf

Fermilab ES&H Manual: http://www-esh.fnal.gov/pls/default/esh_home_page.page?this_page=800

FESS Engineering Policy 5 - Tailoring

Other

None noted

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov http://www.fnal.gov/directorate/Policy_Manual.html http://www-esh.fnal.gov/FIESHM_Plan/IESHM_113006.pdf http://www-esh.fnal.gov/pls/default/esh_home_page.page?this_page=800

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

Policy Name: Sustainability

Policy Identifier: FEP 4

Effective Date: April 15, 2008

Provide adequate stewardship of DOE assets.

Applicability

Design and construction work under the direction of FESS/Engineering.

Policy Statement

Fermilab incorporates sustainable design principals into the planning, design and construction of projects.

This direction is taken from the Fermilab Director’s Policy 3.

Sustainability is broadly defined as the design and implementation of projects to simultaneously minimize their adverse environmental impacts, maximize occupants’ health and well-being, and improve bottom line, life cycle, economic performance. The concept of sustainability is a desirable approach to development that recognizes that resources are limited, and that there is a responsibility of the present generation to preserve resources for future ones.

The United States Green Building Council (USGBC) has developed the Leadership in Energy and Environmental Design (LEED) standard to provide guidance for builders who wish to incorporate sustainable elements into their projects. LEED for new construction (and remodeling) is a set of specific and quantifiable measures, each of which confers a credit towards certification of a project as a “LEED-certified” building.

While Fermilab projects are generally not intended to become LEED certified, the project processes and each project element will be evaluated during the final design phase to reduce their impact on natural resources without sacrificing program objectives. The project design will incorporate maintainability, aesthetics, environmental justice and program requirements to deliver a well-balanced project.

For General Plant Projects and other projects as appropriate, the implementation of guidelines is accomplished by the use of the LEED checklist throughout the life of the project.

Responsibilities

FESS/E Project Engineer will lead the implementation of this policy.

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

References

Director’s Policy #3: http://www.fnal.gov/directorate/Policy_Manual.html#No_3

Executive Order 13423: http://www.whitehouse.gov/news/releases/2007/01/20070124-2.html

Federal Leadership in High Performance and Sustainable Buildings Memorandum of Understanding http://www.energystar.gov/ia/business/Guiding_Principles.pdf

U.S. Green Building Council: http://www.usgbc.org/ http://www.fnal.gov/directorate/Policy_Manual.html#No_3 http://www.whitehouse.gov/news/releases/2007/01/20070124-2.html http://www.energystar.gov/ia/business/Guiding_Principles.pdf http://www.usgbc.org/

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

Policy Name: Tailoring

Policy Identifier: FEP 5

Effective Date: April 15, 2008

Provide a flexible approach to the level of detail applied to procedures based on the scale, complexity and particular nature of the activity.

Applicability

All FESS/E policies, procedures and standards that are not specifically mandated by law, DOE Order, or Fermilab Policies, except as provided by its self contained tailoring policy.

Policy Statement

Adjustments or applicability to the adherence of FESS/E policies and procedures shall reside at the level of authority and responsibility as determined by the organizations, documents and customs. In the tailoring approach, requirements are applied to a level of detail based on the size, risk, complexity or duration of the task. However, the tailoring is in the degree of detail, not in omitting the requirements altogether. Tailoring of policies and procedures shall be uniform for like or similar applications.

Reasonableness standards shall be applied to adjudicate the appropriateness of tailoring.

Responsibilities

FESS/E Department Head will perform self assessment reviews on a tri-annual (or as necessary) basis to confirm consistency of tailoring within the department.

References

None noted

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

Policy Name: Consultant Support

Policy Identifier: FEP 9

Establish fair and uniform guidelines for work with consultant firms.

Applicability

Design and construction work under the direction of FESS/Engineering.

Policy Statement

The following polices statements apply to the use of consultant architectural/engineering firms utilized to supplement the in-house FESS/E staff.

1. Selection and tasking of firms will be done in compliance with Business Services Section procedures.

2. Consultant firms selected by FESS/E will be managed by FESS/E.

3. FESS/E will not compete consultant firms on the basis of price.

Responsibilities

FESS/E Department Head will provide oversight and periodic review of use of consultant firms.

References

BSS/Procurement A/E Selection Procedure: http://bss.fnal.gov/procurement/A_E_Selection_Procedure.doc

Other http://bss.fnal.gov/procurement/A_E_Selection_Procedure.doc

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PROCEDURES AE Consultant Handbook

The organization of the FESS/E procedures is divided into two (2) general groups. The first group is the operational policies of the department listed below:

1. Purpose

2. FESS/E Personnel Procedures

3. Organization Assets

The operational polices include such things as job descriptions, organization chart, work priorities, training and record keeping, self assessments, etc.

The second group contains the policies related to the management of tasks and project. These sub-groups, based on the Project Management Institute’s (PMI) Knowledge Areas are listed below:

4. Integration

5. Scope

6. Time

7. Cost

8. Quality Human Resources

9. Communications

10. Risk Management

11. Procurement

The management group contains five (5) process categories based on the PMI process groups as listed below:

1. Initiating

2. Planning

3. Executing

4. Monitoring and Controlling

5. Closing f

III

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A further breakdown of each process category incorporates the phasing as described in DOE Order 413.3 x.x.0 - CD-0 – Those procedures related to CD-0 activities x.x.1 – Those procedures related to CD-1 activities x.x.2 – Those procedures related to CD-2 activities x.x.3 – Those procedures related to CD-3 activities x.x.4 – Those procedures related to CD-5 activities x.x.5 - Those procedures related to all phases

PROCEDURES AE Consultant Handbook

The chart below indicates the organization of FESS/E procedures.

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PROCEDURES AE Consultant Handbook

An example of this nomenclature is shown below for the procedure for Meetings with the identifier of 10.3.5.1

10.3.5.1

10 indicates that this is in the

Communications Knowledge area

3 indicates that this is in the

Executing Process group

5 Indicates that this applies to all phases of the project

1 Indicates the unique identifier of this procedure

The FESS/Engineering procedures specific to the A/E Consultant support are contained within this handbook.

f

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S t a n d a r d O p e r a t I n g P r o c e d u r e

SOP Identifier: 5.3.5.1 Version Number: 1.0

Subject Matter Expert: S. Dixon (steveo@fnal.gov)

Title: High Performance Building Checklist

I Applicability This procedure applies to projects designated as suitable for incorporation of sustainable design principals. Generally, this applies to General Plant Projects.

The United States Green Building Council (USGBC) has developed the Leadership in Energy and Environmental Design (LEED) standard to provide guidance for builders who wish to incorporate sustainable elements into their projects. LEED for new construction is a set of specific and quantifiable measures, each of which confers a credit towards certification of a project as a “LEED-certified” building.

This checklist serves as the template for the FESS/E process. The checklist is completed and included in the development of a Conceptual Design Report. The checklist is reviewed when the project is issued for proposals and again at the completion of the project. This review allows the project team to measure the design against the baseline objectives developed at the Conceptual Design stage.

II Responsibilities The following responsibilities have been identified:

Fermi Project Director

• Participate in evaluation process;

FESS/E Project Manager

• Assembly review team;

• Chair review meetings;

• Transfer project documentation to project file.

FESS/E Project Coordinator

• Participate in reviews

III Procedure

1.0 Initial Review

The initial review of the project occurs during the development of the Conceptual Design Report and is used to document the sustainable design objectives for the project. As a minimum, the review team consists of the following:

• Fermilab Project Director;

• Project Manager;

• Project Coordinator.

1.1 Using the LEED checklist modified with FESS/E specific information, the review team examines the documents and determines the applicability of the LEED credits to the specific project.

mailto:(steveo@fnal.gov

5.3.5.1 Page 2 of 4

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1.2 The completed checklist is included in the Conceptual Design Report.

1.3 The completed checklist is stored in the project file.

2.0 Final Design Review

The integrated project team examines the final design documents that are issued for proposals to understand the changes to the baseline objectives that were documented in Step 1.0 above. The results of this review are retained in the project file.

3.0 Construction Complete Review

The integrated project team examines the project documents at the conclusion of the construction to understand the changes to the baseline objectives that were documented in Step 1.0 and Step

2.0 above. The results of this review are retained in the project file.

IV References The following references have been identified:

• FESS/Engineering Policy FEP 4, Sustainability

V Revision History

Version Number

Date Author Change Summary

VI Other

1.0 Example of FESS/E specific LEED Checklist

5.3.5.1 Page 3 of 4

1.0 Example of FESS/E specific LEED Checklist.

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5.3.5.1 Page 4 of 4

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

SOP Identifier: 7.4.5.1

Title: A/E Consultant Progress Reporting

I Applicability The review of A/E Consultant progress allows for timely reporting of A/E usage and earned value. This procedure applies to projects managed by FESS/E.

A/E Consultant

• Provide progress reporting data to FESS/E Project Engineer.

FESS/E Project Engineer

• Reviews progress data for reasonableness;

• Forwards progress data to FESS/A Budget Office

• Transfer documentation to project file.

BSS/Procurement Contract Administrator

• Reviews progress data for reasonableness.

1.0 Develop Progress Report

The A/E Consultant shall submit a monthly progress status report that contains that contains, as a minimum, the following information:

• Activities completed in the reporting period;

• Activities planned for the coming period;

• Task summary including planned versus earned information;

• Task summary percentage complete;

• Variance analysis;

• Issues and concerns.

The progress report should use the project status information contained in the task proposal as a baseline for tracking purposes.

2.0 Forward Progress Report

The A/E Consultant shall forward the progress report to the FESS/E Project Engineer and the BSS/Procurement Contract Administrator. The transmittal can be in the form of electronic mail or as agreed upon.

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Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

3.0 FESS/E Project Engineer Review

3.1 The FESS/E Project Engineer reviews the A/E Consultant Project Status Report for reasonableness.

3.2 The FESS/E Project Engineer forwards the cost data to the FESS/A Budget Office for incorporation into the Task Accounting System.

3.3 The FESS/E Project Engineer transfers the documentation to the project file.

4.0 BSS/Procurement Contract Administrator Review

The BSS/Procurement Contract Administrator reviews the A/E Consultant Project Status

Report for reasonableness.

• FESS/Engineering Policy 5 – Tailoring

• FESS/Engineering Standard Operating Procedure 9.3.5.1 – AE Tasking

• FESS/Engineering Standard Operating Procedure 8.4.5.1 – AE Quality Assurance

• FESS/Engineering Standard Operating Procedure 12.4.5.1 – AE Invoicing

1.0 Example of Baseline Data Submitted with A/E Consultant Proposal

2.0 Example of Typical A/E Consultant Progress Status Report

7.4.5.1 Page 3 of 4

1.0 Example of Baseline Data Submitted with A/E Consultant Proposal

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

7.4.5.1 Page 4 of 4

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

7.4.5.1 Page 5 of 4

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

2.0 Example of Typical A/E Consultant Progress Status Report

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

SOP Identifier: 8.3.2.1

Title: Construction Document Signoff

I Applicability This procedure applies to projects managed by FESS/E. The signoff of construction documents indicates that the documents are ready to be issued for procurement and that they meet the technical requirements of the project.

FESS/E Project Engineer

• Develop sign-off sheet;

• Obtain signature sheet from A/E Consultant (if applicable);

• Transfer documentation to project archives at completion of project.

AE Consultant (if applicable)

• Complete signature sheet;

• Forward signature sheet to FESS/E Project Engineer.

FESS Signatories

• Ensure that project document meets the requirements of FESS;

• Sign sheet.

Client Signatories

• Ensure that the project meets the minimum technical requirements for the project;

• Sign sheet.

1.0 Develop Signature Sheet

The FESS/E Project Engineer develops a signature sheet for the project with, as a minimum, the following signature slots:

• FESS/E Project Coordinator

• FESS/E Project Engineer

• FESS/E Department Head

• FESS Head

• Division/Section/Resource Center Project Contact

8.3.2.1 Page 2 of 4

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

2.0 A/E Consultant Letter (if applicable)

The A/E Consultant shall develop a signature sheet that indicates that the project was design in accordance with applicable codes, standards and regulations as required. The letter should be on the A/E Consultant letterhead and be signed and sealed.

This letter should be forwarded to the FESS/E Project Engineer with the deliverables of the Final Design phase.

3.0 Obtain Signatures

The signatories should be contacted and signatures obtained on the signature sheet.

4.0 Documentation

Once the signatures are obtained, the FESS/E Project Engineer transfers the documentation to the project file.

• FESS/Engineering Policy 9 – Consultant Support

1.0 Example of Signature Sheet

2.0 Example of A/E Consultant Signature Sheet

8.3.2.1 Page 3 of 4

1.0 Example of Signature Sheet

8.3.2.1 Page 4 of 4

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

2.0 Example of A/E Consultant Signature Sheet

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

SOP Identifier: 8.3.2.2

Title: Securing Construction Documents

I Applicability The proper securing of construction documents during the procurement phase of the project ensures that inadvertent changes to the documents do not occur. This procedure applies to projects managed by

FESS/E.

AE Consultant (if applicable)

• Produces an electronic set of the construction documents;

• Forwards construction documents to FESS/E Project Engineer.

• Transfer construction documents to project archives.

1.0 A/E Consultant (if applicable)

1.1 The A/E Consultant develops a set of documents (drawings, specifications, exhibit A, etc.) that represent the state of the construction documents that will be issued for solicitation. This should include the signature sheet for the project (see FESS/Engineering Standard Operating Procedure 8.3.2.1 – Construction Document Signoff).

1.2 The electronic form of the construction documents should be provided in an Adobe Acrobat (www.adobe.com) format.

1.3 In addition, the electronic set of the construction documents should be provided in the following format:

• Drawings: AutoCAD native format;

• Specifications: Microsoft Word native format;

• Exhibit A: Microsoft Word native format;

1.4 The A/E Consultant forwards the electronic version of the construction documents to the FESS/E Project Engineer. Preferably, the electronic documents should be provided in a CD-ROM media.

2.0 Transfer Electronic Files

The FESS/E Project Engineer shall move the electronic version of the construction documents to the Archive area of the FESS server.

http://www.adobe.com/

8.3.2.2 Page 2 of 2

• FESS/Engineering Standard Operating Procedure 8.3.2.1 – Construction Document Signoff

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

SOP Identifier: 8.3.5.1

Title: Document Reviews

I Applicability This procedure applies to document reviews for projects managed by FESS/Engineering and is intended to provide a framework for the review and distribution of design and construction documents with the following goals:

• Agreement and documentation of Customer requirements and FESS/E response to those requirements;

• Review of developing designs by Fermilab divisions and sections for:

o Appropriateness of proposed systems;

o Impacts on existing systems and operations;

o Specific technical requirements to be incorporated into the design;

o Compliance with best and required practices of authority having jurisdiction.

• Notification of affected Fermilab divisions and sections when a project is released for Bid.

For the purposes of this procedure definitions are summarized below:

• “Fermilab” is Fermi National Accelerator Laboratory;

• “FESS/E” is Facilities Engineering Services Section, Engineering department;

• “Customer” is the Fermilab group that tasked FESS/E to develop the design and construction documents.

• “SPOC” is the Single Point Of Contact.

• “Building modifications” are defined as any modification which modifies any structural element of the building, adds or removes additional interior walls, or modifies any of the existing high voltage electrical, HVAC, fire protection, sanitary sewer, potable water, or industrial water services.

• “Construction” is any combination of engineering, procurement, erection, installation, assembly, or fabrication activities involved in creating a new facility or altering, adding to, or rehabilitating an existing facility. It also includes the alternation and repair (including dredging, excavating and painting) of buildings, structures, or other real property, as well as any construction & excavation activities conducted as part of environmental remediation efforts.

Division/Section/Resource Center Head

• Appoint a Single Point of Contact (SPOC);

Division/Section/Resource Center (D/S/R) SPOC The Single Point of Contact within each D/S/RC will be responsible for the following:

• Controlled distribution of documents to be reviewed within each Division/Section;

• Ensuring that the documents to be reviewed are routed to the correct groups or individuals within the Division/Section/Resource Center;

8.3.5.1 Page 2 of 8

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

• Reviewing the documents to determine the appropriate internal Division/Section/Resource Center routing, considering the specific Division/Section/Resource Center requirements to ensure that the appropriateness of the proposed systems, impacts on existing systems and operations and specific technical requirements in the design is acceptable.

• Ensuring that internal D/S/R comments are reviewed for appropriateness and internal conflict resolution prior to being entered into the comment database;

• Coordinating submission of review comments into the tracking database.

FESS/E Project Engineer

• Establishing the number and type of reviews based on the project requirements;

• Establishing distribution list;

• Coordinate the development of the distribution cover sheet;

• Coordinate the establishment of an electronic file;

• Issuing a review notification;

• Coordinating the response to comments received;

1.0 Establish Review Criteria

The review criteria will be tailored to each specific project and be driven by the project requirements. Listed below are general guidelines for reviews:

1.1 Review Types

Reviews commonly used are listed below

1.1.1 A Comment and Compliance Review (CCR) is used to determine the appropriateness of the proposed systems, impacts on existing systems and operations, specific technical requirements to be incorporated into the design and compliance with best and required practices of the authority having jurisdiction.

1.1.2 Other reviews, driven by project specific requirements may be undertaken. The type, distribution and length of these reviews should be based on the project specific requirements.

1.2 Number of Reviews

At least one (1) CCR is generally required for each phase of the project. For example, a General Plant Project (GPP) usually has a review during the Conceptual Design phase and another during the Final Design Phase. One (1) CCR may be appropriate for smaller scale projects. In the event that a project is not subject to a CCR, documentation should be included in the project file noting the circumstances surrounding this decision.

1.3 Review Timing

The review should occur when a project is sufficiently developed to a point where reviewers are able to determine the impacts on existing systems and operations.

1.4 Review Length

In general, a CCR is ten (10) working days in duration. In the event that a shorter time is provided by project driven requirements, documentation should be included in the project file noting the circumstances surrounding this decision.

8.3.5.1 Page 3 of 8

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2.0 Distribute Review Documents

In general, review documents are distributed, reviewed and commented upon electronically.

Listed below are the steps to create and distribute the review documents

2.1 Create Distribution List

The distribution list for reviews should contain, as a minimum, the following:

2.1.1 FESS/Engineering

FESS/E Quality Control Representative Project Engineers

2.1.2 FESS

Section Head Department Heads Senior Safety Officer Budget Officer Site Services Group Head Operations Engineering Group Head Wilson Hall Building Manager

2.1.3 Accelerator Division

Division Head Deputy Head Operations Department Head Senior Safety Officer Radiation Safety Officer

2.1.4 Business Services Section

Deputy Head Telecommunication Department Head Fire Chief Battalion Chief Lieutenant

2.1.5 Single Point of Contact

Computing Division ES&H Section Workforce Development and Resources Section Particle Physics Division Technical Division Directorate Chief Operating Officer

2.1.6 Integrated Project Team

Customer Contact Project Engineer/Project Manager Project Coordinator BSS/Procurement

8.3.5.1 Page 4 of 8

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

2.2 Create Electronic File

The electronic review files should consist of the documents to be reviewed and the distribution cover sheet in an Adobe pdf format. These documents should be located in the Review area of the FESS Archive server in order to be accessible to reviewers outside of

FESS.

2.3 Issue Review Notification

Electronic notification of a review should be issued via e-mail and should contain, as a minimum, the following information

• Project Name;

• FESS/E Project Number;

• FESS/E Contact;

• Review Start Date;

• Review End Date;

• Project Description;

• List of Review Documents.

3.0 Comment Collection

Comments that result from reviews are entered by the reviewer into an electronic comment database. This database is a FileMaker Pro database and is currently titled Review Comments.fp5 and is located on fesserver1.

3.1 The comment form will contain, as a minimum, the following information

• Reviewer Name;

• Comment Date;

• FESS/E Project Number;

• Drawing or Specification Reference;

• Comment.

3.2 Reviewers are encouraged to enter “No Comment” in the database for projects reviewed without any exception taken in order to document the review process.

4.0 Comment Response

The integrated project team will respond to comments entered into the electronic database.

5.0 Issue Construction Phase Notification

When a project is sent out for proposals during the construction phase notification is sent to the distribution list that received the reviews. This notification is done via e-mail and is similar to the process described in section 2.0 above.

8.3.5.1 Page 5 of 8

Fermi National Accelerator Laboratory / Kirk Road and Pine Street / P.O. Box 500 / Batavia, IL 60510 / 630.840.3000 / www.fnal.gov / fermilab@fnal.gov

• FESS/Engineering Policy FEP 9, Consultant Support

1.0 Example of distribution list

2.0 Example of Review Notification Form

3.0 Example of Comment Form

8.3.5.1 Page 6 of 8

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1.0 Example of distribution list with names as of February…