ATTACHMENT_1_-_NPR_8820.2G.pdf

NNJ16571636R

ATTACHMENT 1 – NASA PROCEDURAL REQUIREMENTS (NPR) 8820.2G,

FACILITY PROJECT REQUIREMENTS

NASA

Procedural Requirements

NPR 8820.2G

Effective Date: June 5, 2014 Expiration Date: June 5, 2019

COMPLIANCE IS MANDATORY

FACILITY PROJECT REQUIREMENTS (FPR)

Responsible Office: NASA Headquarters Facilities Engineering Division

Table of Contents Preface

P.1 PURPOSE

P.2 APPLICABILITY

P.3 AUTHORITY

P.4 APPLICABLE DOCUMENTS AND FORMS

P.5 MEASUREMENT/VERIFICATION

P.6 CANCELLATION

Chapter 1. NASA’s Facilities Program

1.1. Facility Program Content

1.2 Facility Program Best Practices

1.3 Sustainability Requirements

1.4 COF Program Formulation

Chapter 2. Project Development and Planning

2.1 Facility Project Development

2.2 Facility Project Planning

Chapter 3. Design

3.1 Design Coordination

3.2 Architectural-Engineering (A-E) Services

3.3 Public Release

3.4 Management of Design

3.5 Preliminary Engineering Report

3.6 Design Milestones

3.7 BIM Requirement

3.8 Design Reviews

3.9 Mission-Critical Systems

3.10 Facility Activation Plan

3.11 Activation Budget

Chapter 4. Construction

4.1 Acquisition of Construction

4.2 Preparation of the Acquisition Package

4.3 Authority to Advertise

4.4 Receipt of Bids or Negotiation

4.5 Contract Award

4.6 Building Information Modeling

4.7 Construction Management

4.8 Real Property Capitalization

4.9 Project Closeout

Chapter 5. Activation

5.1 Activation

5.2 Facility Outfitting

5.3 Beneficial Occupancy Prior to Completion

5.4 Completion And Acceptance of Installed Systems

5.5 O&M Manuals and Training

5.6 Commissioning

Chapter 6. Disposal/Deconstruction

6.1 Demolition Plan

6.2 Demolition Planning Checklist

Appendix A. Definitions Appendix B. Acronyms Appendix C. Compliance Matrix Appendix D. Facility and Other Related Costs Appendix E. Demolition Planning Checklist Appendix F. Reference Documents

List of Figures Figure 1-1a CoF Project Life Cycle Figure 1-1b CoF Five-Year Plan Figure 1-1c Institutional CoF Call and Programming Phase of Planning, Programming, Budgeting, and Execution System Figure 1-2 CoF Program Management Figure 1-3a Facilities Project Activities and Funding for Design-Bid-Build Figure 1-3b Facilities Project Activities and Funding for Design-Build

PREFACE

P.1 PURPOSE

a. This NASA Procedural Requirements (NPR) document provides the minimum requirements for planning, approving, and acquiring all NASA facility projects.1 It implements the policy established in NASA Policy Directive (NPD) 8820.2, Design and Construction of Facilities by supplementing the policies and requirements established in NPD 7120.4, NASA Engineering and Program/Project Management Policy and NPR 7120.7, Institutional Infrastructure and Information Technology Program and Project Management with specific facility construction requirements.

P.2 APPLICABILITY

a. This NPR applies to NASA Headquarters (HQ), NASA Centers, and Component Facilities for all sources of construction funding. This NPR applies to the Jet Propulsion Laboratory, a Federally Funded Research and Development Center, and other contractor facilities to the extent specified or referenced in their contracts.2 It also applies to non-NASA-owned facilities constructed on NASA real estate unless the NASA Headquarters Facilities Engineering Division (FED) waives the requirement.

b. In this NPR, all mandatory actions (i.e., requirements) are denoted by statements using the term “shall.” The terms: “may” or “can” denote discretionary privilege or permission, “should” denotes a good practice and is recommended, but not required, “will” denotes expected outcome, and “are/is” denotes descriptive material.

c. All document citations in this NPR refer to the latest version of the document unless otherwise noted.

P.3 AUTHORITY

a. Authority to enter into contracts, as amended (Energy Savings Performance Contracts (ESPC)), 42 U.S.C. § 8287 et seq.

b. The National Aeronautics and Space Act, as amended, 51 U.S.C. § 20113.

c. Lease of non-excess property (Enhanced Use Lease (EUL)), 51 U.S.C. § 20145.

d. NPD 8820.2, Design and Construction of Facilities.

1 “Project” in this document refers to facility work (repair, modification, renovation, or new construction on NASA real property) with an estimated cost greater than or equal to $100,000 (excluding maintenance work).

2 For the rest of this document, the term “Centers” refers to NASA Centers, Component Facilities, and JPL to the extent specified in its contract.

http://www.gpo.gov/fdsys/pkg/USCODE-2008-title42/pdf/USCODE-2008-title42-chap91-subchapVII-sec8287.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title42/pdf/USCODE-2008-title42-chap91-subchapVII-sec8287.pdf http://www.nasa.gov/offices/ogc/about/space_act1.html http://www.gpo.gov/fdsys/pkg/USCODE-2011-title51/pdf/USCODE-2011-title51-subtitleII-chap201-subchapIII-sec20145.pdf http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPD&c=8820&s=2C

P.4 APPLICABLE DOCUMENTS AND FORMS

National Historic Preservation Act (NHPA) Section 106 Review, 16 U.S.C. § 470 et seq.

a. Archaeological Resources Protection Act of 1979 (ARPA) as amended, 16 U.S.C. §§ 470aa–470mm.

b. Native American Graves Protection and Repatriation Act (NAGPRA), 25 U.S.C. § 3001 et seq.

c. National Environmental Policy Act (NEPA), 42 U.S.C. § 4321 et seq.

d. Federal Building Energy Efficiency Standards, 42 U.S.C. § 6834.

e. Federal Compliance, 42 U.S.C. § 6835.

f. Clean Air Act (CAA) Amendments of 1990 Title VI (Stratospheric Ozone and Global Climate Protection), 42 U.S.C. § 7401 et seq.

g. Large Capital Energy Investments, 42 U.S.C. § 8253 (g).

h. McKinney-Vento Homeless Assistance Act as amended, 42 U.S.C. § 11301 et seq.

i. Consolidated Appropriations Resolution 2003, Public Law 108-7 section 418.

j. Executive Order (Exec. Order) No. 12114, Environmental Effects Abroad of Major Federal Actions.

k. Exec. Order No. 12372, Intergovernmental Review of Federal Programs, 3 C.F.R.

(1982 Compilation), as amended by Exec. Order 12416, 3 C.F.R. (1983 Compilation).

l. Exec. Order No. 13423, Strengthening Federal Environmental, Energy, and Transportation Management.

m. Exec. Order No. 13514, Federal Leadership in Environmental, Energy, and Economic Performance.

n. Energy Efficiency Standards for the Design and Construction of New Federal Commercial and Multi-Family High Rise Residential Buildings, 10 C.F.R. pt. 433.

o. Energy Efficiency Standards for New Federal Low-Rise Residential Buildings, 10 C.F.R. pt. 435.

p. Environmental Quality, 14 C.F.R. pt. 1216.

q. Protection of Historic Properties, of the National Historic Preservation Act (NHPA), 36 C.F.R. pt. 800.

r. Federal Acquisition Regulation (FAR), 48 C.F.R. pts. 1-99.

s. NASA/FAR Supplement (NFS), 48 C.F.R. pts. 1800-1899.

t. OMB Circular A-11, Preparation, Submission and Execution of the Budget (08/03/2012).

u. OMB Circular A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs (10/29/1992).

v. NPD 1000.0, Strategic Management & Governance Handbook.

http://www.epa.gov/air/caa/

w. NPD 1600.2, NASA Security Policy.

x. NPD 7120.4, Program/Project Management.

y. NPD 7330.1, Approval Authorities for Facility Projects.

z. NPD 8810.2, Master Planning for Real Property.

aa. NPD 8820.2, Design and Construction of Facilities.

bb. NPR 1600.1, NASA Security Program Procedural Requirements.

cc. NPR 1620.2, Facility Security Assessments.

dd. NPR 1620.3, Physical Security Requirements for NASA Facilities and Property.

ee. NPR 2810.1, Security of Information Technology.

ff. NPR 4200.1, NASA Equipment Management Procedural Requirements.

gg. NPR 7120.5, NASA Space Flight Program and Project Management Requirements.

hh. NPR 7120.7, Institutional Infrastructure and Information Technology Program and Project Management Requirements.

ii. NPR 7120.8, NASA Research and Technology Program and Project Management Requirements.

jj. NPR 8000.4, Risk Management Procedural Requirements.

kk. NPR 8510.1, NASA Cultural Resources Management.

ll. NPR 8570.1, NASA Energy Management Program.

mm. NPR 8580.1, NASA National Environmental Policy Act Management Requirements.

nn. NPR 8715.1, Occupational Safety and Health Programs.

oo. NPR 8715.3, NASA General Safety Program Requirements.

pp. NPR 8800.15, Real Estate Management Program.

qq. NPR 8810.1, Center Master Planning.

rr. NPR 8831.2, Facilities Maintenance Management.

ss. NPR 9420,1, Budget Formulation.

tt. NASA Building Information Modeling, Scope of Service and Requirements for Architects and Engineers.

uu. NASA Building Information Modeling Scope of Services and Requirements for Construction Contractor in a Design-Bid-Build Process.

vv. NASA Business Case Guide for Facilities Projects.

ww. NASA Desk Guide for Enhanced Use Leasing of Real Property.

xx. NASA Financial Management Manual, http://www.hq.nasa.gov/fmm/9200/9250.pdf.

yy. NASA Partnering Desk Reference.

http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=2810&s=1A http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/1-NASA_AE_DBB_BIM%20RFP_FINAL_7-9-2010.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/1-NASA_AE_DBB_BIM%20RFP_FINAL_7-9-2010.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/2-2011-0316%20Final%20DBB%20Construction%20BIM%20RFP.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/2-2011-0316%20Final%20DBB%20Construction%20BIM%20RFP.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/Case_Guide_4-20-06.pdf http://www.hq.nasa.gov/fmm/9200/9250.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/PartneringGuide.pdf

zz. NASA’s Programmatic Agreement on Historical Preservation (1989), http://www.achp.gov/pa15.pdf.

aaa. PDRI: Project Definition Rating Index.

bbb. NASA Reliability Centered Building and Equipment Acceptance Guide.

ccc. NASA Reliability Centered Maintenance Guide for Facilities and Collateral Equipment.

ddd. NASA Self-Assessment Metrics.

eee. NASA, Specifications-Kept-Intact (SpecsIntact).

fff. NASA SP-2010-3403, NASA Schedule Management Handbook.

ggg. NASA-STD-8719.11, Safety Standard for Fire Protection.

hhh. NASA Form NHQ DIV799DF Demolition of Facilities Project Approval.

iii. NASA Form NHQ DIV799EUL Enhanced Use Lease – Capital Projects Project Approval.

jjj. NASA Form NHQ DIV799PD Facility Planning and Design Project Approval.

kkk. NASA Form DIV80002 Minor Facility Projects.

lll. NASA Form 1046 Transfer and/or Notification of Acceptance of Accountability of Real Property.

mmm. NASA Form 1509 Facility Project-Brief Project Document.

nnn. NASA Form 1510 Facility Project Cost Estimate.

ooo. NASA Form 1579 Flash Bid Report.

ppp. NASA Form 1739, Alternative Future Use Questionnaire.

qqq. FED Form CoF Routine Transaction.

rrr. FED Form CoF Self-Assessment.

sss. FED Form CoF Quality Survey.

ttt. Facilities Engineering Division Form EUL Routine Transaction.

uuu. International Treaty, Montreal Protocol on Substances that Deplete the Ozone Layer.

vvv. OMB Presidential Memorandum, The Federal Acquisition Certification for Program and Project Managers www. U.S. Army Corps of Engineers (USACE), ECONPACK (Economic Analysis Package).

xxx. U.S. Department of Agriculture BioPreferred® Program.

yyy. U.S. Department of Homeland Security (DHS), The Risk Management Process for Federal Facilities: An Interagency Security Committee Standard, August 2013.

zzz. U.S. Environmental Protection Agency (EPA) and the U.S. Department of Energy (DOE), Labs21 program, Labs 21 Environmental Performance Criteria.

http://www.achp.gov/pa15.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/ProjectDefinitionRatingIndex.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/RCB&EGuideJUL04.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/NASARCMGuide.pdf http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/NASARCMGuide.pdf http://www.hq.nasa.gov/office/codej/codejx/jxstaff_design.html http://specsintact.ksc.nasa.gov/ http://server-mpo.arc.nasa.gov/Services/NEFS/DCs/NEF_OtherData/NF1739.pdf http://www.whitehouse.gov/sites/default/files/omb/procurement/workforce/fed_acq_cert_042507.pdf http://www.whitehouse.gov/sites/default/files/omb/procurement/workforce/fed_acq_cert_042507.pdf http://www.wbdg.org/tools/econpack.php http://www.biopreferred.gov/FederalProcurementPreference.aspx http://www.dhs.gov/sites/default/files/publications/ISC_Risk-Management-Process_Aug_2013.pdf http://www.dhs.gov/sites/default/files/publications/ISC_Risk-Management-Process_Aug_2013.pdf http://www.labs21century.gov/ http://www.labs21century.gov/#tool aaaa. American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc., ASHRAE Guideline 0, The Commissioning Process.

bbbb. ANSI/ASHRAE Standard 55-2013, Thermal Environmental Conditions for Human Occupancy. Approved by the American National Standards Institute (ANSI).

cccc. ANSI/ASHRAE Standard 62.1-2013, Ventilation for Acceptable Indoor Air Quality.

dddd. ANSI/SMACNA 008-2008, Sheet Metal and Air Conditioning Contractors’ National Association (SMACNA) Indoor Air Quality (IAQ) Guidelines for Occupied Buildings under Construction 2nd Edition, 2008.

eeee. Construction Industry Institute “CII Best Practices” found at https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii.

ffff. Design-Build Institute of America “Design-Build Manual of Practice” found at http://www.dbia.org/pubs/manualofpractice/ gggg. International Code Council (ICC), International Building Code (IBC).

hhhh. National Building Information Modeling (BIM) Standard, http://www.nationalbimstandard.org/.

iiii. National Fire Protection Association (NFPA), http://www.nfpa.org. Requirements for electrical systems, life safety, and fire protection, detection, and suppression.

jjjj. National Institute of Building Sciences, United States National CAD Standard.

kkkk. U.S. Green Building Council (USGBC), Leadership in Energy and Environmental Design (LEED) Building Program and Certification System found at http://new.usgbc.org/.

llll. USGBC, LEED Green Building Design and Construction Reference Guide as Enhanced Commissioning.

mmmm. USGBC, Reference Guides for Existing Buildings: Operations & Maintenance and Commercial Interiors.

nnnn. Whole Building Design Guide, a program of the National Institute of Building Sciences, Commissioning Guidance, http://www.wbdg.org/project/buildingcomm.php.

oooo. Whole Building Design Guide, a program of the National Institute of Building Sciences, Unified Facilities Guide Specifications (UFGS).

P.5 MEASUREMENT/VERIFICATION

The FED verifies compliance with the requirements of this NPR by conducting annual Construction of Facilities (CoF) program reviews at the Centers. For the CoF reviews, the FED identifies a random selection of CoF projects from the Centers and then reviews project documentation and interviews project managers and project stakeholders for those projects. In addition, Centers document compliance with this NPR by completing a Compliance Matrix (Appendix C) for every facility project and submitting the completed Compliance Matrix to the FED upon request.

http://specs4.ihserc.com/Search/Search/Results?sess=346893135&prod=SPECS4 http://www.ashrae.org/resources--publications/bookstore/standard-55 http://www.ashrae.org/resources--publications/bookstore/standards-62-1--62-2 http://smacna.org/bookstore/index.cfm?fuseaction=search_results&keyword=IAQ%20Guidelines%20for%20Occupied%20Buildings%20Under%20Construction,%202nd%20Edition http://smacna.org/bookstore/index.cfm?fuseaction=search_results&keyword=IAQ%20Guidelines%20for%20Occupied%20Buildings%20Under%20Construction,%202nd%20Edition http://smacna.org/bookstore/index.cfm?fuseaction=search_results&keyword=IAQ%20Guidelines%20for%20Occupied%20Buildings%20Under%20Construction,%202nd%20Edition https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii http://www.dbia.org/pubs/manualofpractice/ http://www.nationalbimstandard.org/ http://www.nfpa.org/ http://www.nationalcadstandard.org/ http://new.usgbc.org/ http://www.wbdg.org/project/buildingcomm.php http://www.wbdg.org/ccb/browse_cat.php?c=3

P.6 CANCELLATION

NPR 8820.2F, Facility Project Requirements, dated January 28, 2008.

CHAPTER 1. NASA’s Facilities Program

1.1. Facility Program Content

1.1.1 The annual facility program is part of the Agency’s five-year budget described in NPD 1000.0, NASA Governance and Strategic Management. The five-year budget includes the Construction of Facilities (CoF) program under the Construction, Environmental Compliance and Restoration (CECR) account for projects of more than $1 million. The CoF program comprises the first four project types:

1.1.1.1 Discrete Projects. Discrete projects have a Facility Project Cost Estimate of $10 million or more.

1.1.1.2 Minor Revitalization and Construction Projects (MRCs). MRCs have a Facility Project Cost Estimate of more than $1 million but less than $10 million.

1.1.1.3 Demolition Projects. Demolition projects are independent and stand-alone projects to eliminate or reduce real property assets no longer required by NASA.

1.1.1.4 Facility Planning and Design (FP&D) Funds. FP&D funds are used to plan and design facility projects.

1.1.1.5 Other Facility Project Types (Non-CoF Funded). The following alternative methods are currently the only methods authorized for facility projects (e.g., modifying real property) that may cost in excess of $1 million: Energy Savings Performance Contracts (ESPC), Utility Energy Services Contracts (UESC), Enhanced Uses Leases (EUL), and EUL net revenue.

1.2 Facility Program Best Practices

1.2.1 Center Facility Project Managers (FPMs) shall comply with NASA-required best practices regardless of the funding source (e.g., NASA Program, CECR Account, or external funds). Required best practices include the following:

a. Implementing front-end planning as developed by the Construction Industry Institute (CII) using comprehensive planning tools such as the Project Definition Rating Index (PDRI), team building, and other techniques (see CII Best Practices).

b. Investigating the site and providing sufficient preliminary design to develop a full project scope, assess risks, identify construction complexities, and provide a realistic Facility Project Cost Estimate prior to inclusion in the NASA budget submission to the Office of Management and Budget (OMB).

c. Using life-cycle cost vs. first cost to determine the best economic solution (e.g., new construction vs. renovation or adaptive reuse, mechanical and electrical systems, equipment, materials, and methods) (see NASA Business Case Guide for Facilities Projects). Ensure that any large capital energy investment in an existing building employs the most energy efficient and life-cycle cost-effective designs, systems, equipment, and controls.

http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPD&c=1000&s=0A https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/Case_Guide_4-20-06.pdf

d. Designing for maintainability to optimize operation and maintenance costs and effort (see CII Best Practices).

e. Commissioning installed equipment, systems, building envelope, and other building elements to ensure quality, operability, reliability, and systems integration.

f. Using environmentally friendly processes, materials, and equipment.

g. Maximizing reuse, recycling, and salvage and minimizing disposal when a project includes demolition (see CII Best Practices).

h. Applying constructability concepts and principles during each phase of the facility project process to ensure the project execution remains practical (see CII Best Practices).

i. Using partnering tools and techniques to establish and maintain professional working relationships among project stakeholders including, but not limited to, users, contractors, and construction managers. See NASA Partnering Desk Reference for more specific guidance.

j. Practicing effective configuration and change order control to minimize project cost and schedule growth.

k. Implementing the safety initiative “Making Zero Incidents a Reality” to encourage proactive safe behavior during the construction phase (see CII Best Practices).

l. Using Design-Build Institute of America’s Design-Build Manual of Practice when a design-build approach is planned.

1.3 Sustainability Requirements

1.3.1 For all CoF level projects, Center FPMs shall comply with the five guiding principles described for Federal High Performance and Sustainable Buildings (FHPSB) in Exec. Order 13514, Federal Leadership in Environmental, Energy, and Economic Performance and Exec.

Order 13423, Strengthening Federal Environmental, Energy, and Transportation Management.

1.3.2 For New Construction and Major Renovation, in addition to complying with the five guiding principles referenced in section 1.3.1, CoF FPMs shall ensure all projects are designed to meet a minimum level of Leadership in Energy and Environmental Design (LEED) Silver certification using United States Green Building Council (USGBC) criteria.

1.3.3 Variances to This Policy. If the FPM does not think compliance with the minimum LEED requirements is reasonable for a particular project, the FPM shall submit a letter requesting a waiver from the minimum LEED requirements explaining why compliance is imprudent along with a completed initial LEED checklist to the NASA Headquarters Office of Strategic Infrastructure. Compliance with the five guiding principles in accordance with the previously referenced Exec. Orders is mandatory.

1.4 CoF Program Formulation

1.4.1 The CoF project life cycle shown in Figure 1-1a (from NPR 7120.7) comprises the formulation phases of project planning/development and design and the implementation phases of construction, activation, operations and maintenance, and decommissioning. The figure shows the full life cycle and this NPR addresses all phases except Operations, Phase E. NASA https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii http://www.hq.nasa.gov/office/codej/codejx/Assets/Docs/PartneringGuide.pdf https://www.construction-institute.org/scriptcontent/bp.cfm?section=aboutcii http://www.dbia.org/about/Pages/DBIA-Milestone-The-Design-Build-Manual-of-Practice.aspx http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24518.pdf http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24518.pdf http://www.gpo.gov/fdsys/pkg/FR-2007-01-26/pdf/07-374.pdf http://www.gpo.gov/fdsys/pkg/FR-2007-01-26/pdf/07-374.pdf https://new.usgbc.org/

Centers and Headquarters formulate the CoF program through a collaborative process that spans four consecutive phases: concept presentations are for out-year projects, prioritization of construction, design funding, and construction funding. The following paragraphs describe this process.

Figure 1-1a CoF Project Life Cycle

1.4.2 Guidance. Each year, NASA’s Office of the Chief Financial Officer (OCFO) issues guidance to the Centers for reporting their budget requests. The OCFO coordinates this through the Mission Directorates and Mission Support Offices.

1.4.3 Establishing Project Scope. The scope of a project defines the extent of the proposed work, project goals, and justification. The FPM shall establish the project scope in cooperation with Center management and other project stakeholders.

1.4.4 Fragmentation. FPMs shall ensure all CoF projects are complete and usable within the proposed scope of the project. Splitting project into parts with the intent of circumventing the CoF approval process is an example of fragmenting a project. NASA Centers do not have authority to fragment facility projects. In establishing a project scope, a NASA Center includes all of the necessary elements in a single project to avoid fragmentation or the appearance of fragmentation. (See Appendix A, Definitions for clarification of “fragmentation,” “facility project,” and “full disclosure concept.”)

1.4.5 Incremental Programming for Facility Requirements. Incremental programming for facility requirements is a process of planning and executing CoF funding over more than one fiscal year for a specific purpose. Incremental programming differs from fragmentation in that it fully discloses the overall plan. NASA has no authority to formulate or execute CoF projects using incremental programming and shall not do so without special legislation.

1.4.6 Phased Projects. Phasing involves repairing or replacing a facility in segments. NASA is authorized to accomplish work in phases. A completed phase will be usable (e.g., a useful segment that stands alone and independent of subsequent phases). On the NASA Form 1509, the FPM shall include a statement that explains the scope of the particular phase, how many phases are planned, and the associated estimated total cost of all phases.

Figure 1-1b CoF Five-Year Plan

Current Fiscal Year

FY XX

Interim Budget

(BY – 1)

Fourth Out

(BY + 4)

Third

(BY + 3)

Second

(BY + 2)

First

(BY + 1)

Budget Fiscal

(BY)

Five-Year

Oct. 1 Oct. 1 Oct. 1 Oct. 1 Oct. 1 Oct. 1 Oct. 1 Oct. 1

1.4.7 Budget Request (Five-Year Plan). Center CoF Program Managers shall develop and submit a budget request (five-year plan) in accordance with the annual guidance issued through the NASA OCFO (see NPR 9420,1, Budget Formulation). See Figure 1-1b CoF Five-Year Plan for an overview and Figure 1-1c Institutional CoF Call and Programming Phase of Planning, Programming, Budgeting, and Execution System (PPBES) for a more detailed delineation of the three years from prioritization through construction. FED issues data calls (one for institutional and one for program direct) to the Centers and Mission Directorates in support of the OCFO budget guidance. Centers provide the required data to facilitate prioritization of the CoF program Agency-wide.

Figure 1-1c Institutional CoF Call and Programming Phase of Planning, Programming, Budgeting, and Execution System

1.4.8 Documentation. The CoF program manager shall prepare the following documentation for each CoF project:

a. A NASA Form 1509, Facility Project-Brief Project Document.

b. A NASA Form 1510, Facility Project Cost Estimate.

c. A Life-Cycle Cost Analysis (LCCA). LCCAs for discrete CoF projects are submitted during the data call, along with the draft budget narrative (see NASA Business Case Guide for Facilities Projects). LCCAs for all other CoF projects should be kept in the project folder and made available on request by FED.

d. A Risk Assessment. Risk assessment format and content will comply with the template provided in FED’s annual data call.

1.4.9 Headquarters Review and Prioritization. The FED leads the review and prioritization of institutional facility projects proposed for NASA’s five-year plan based upon documentation provided by the Centers. This review includes an evaluation of existing capabilities to minimize or eliminate the creation of excess capacity within NASA or the private sector, e.g., construction of a ground-based test facility at a particular Center when there is adequate availability and capability to accomplish the same requirements at a different Center or in the private sector. For facility projects funded from other sources (e.g., program-direct or external funds), the FED and the associated Mission Directorate coordinate the process.

1.4.10 CoF Program Approvals. Figure 1-2 depicts the CoF program approval process. The CoF program is part of the annual appropriation request NASA submits to OMB.

1.4.11 Public Release. Until released by the appropriate committees of Congress, no project stakeholder (e.g. FPM, Architectural-Engineering (A-E) firm, NASA employee) shall publicly disclose CoF project information (including subprojects and/or work packages). A-E contracts will include a statement governing public release of project specifics.

1.4.12 NASA Headquarters. Based on the five-year plans submitted by the Centers, NASA Headquarters prepares and submits the draft appropriation request to OMB. This submittal is coordinated with the OCFO, Mission Directorates, Mission Support Offices, and Center Management. The NASA Administrator, through the OCFO, is responsible for NASA’s appropriation request.

1.4.13 OMB Review. OMB reviews NASA’s five-year plan and responds with changes, comments, and questions via a “passback.” After NASA answers the passback, OMB provides a “markup” for use in preparing NASA’s final submission. Using the OMB budget markup, NASA prepares and submits a final budget appropriation request to OMB. Following final approval, OMB incorporates NASA’s planned budget into the President’s budget for submission to Congress.

1.4.14 Facility Project Authorization and Appropriations. Using the President’s budget as a starting point, committees in the Senate and House of Representatives develop the authorization and/or appropriation bills. The Congress approves and sends the bill(s) to the President for review and action. The bill becomes public law (or act) once the President has approved it.

http://server-mpo.arc.nasa.gov/Services/NEFS/DCs/NEF_OtherData/NF1509.pdf http://server-mpo.arc.nasa.gov/Services/NEFS/DCs/NEF_OtherData/NF1510.pdf

1.4.15 Program Oversight. As the CoF program proceeds through the authorization and appropriation process, NASA Headquarters (OCFO, FED, Mission Directorates, and Mission Support Offices) inform the Centers concerning the status of proposed facility projects.

1.4.16 Process for Handling Dissenting Opinions. Programs and projects shall follow the Dissenting Opinion Process per NPD 1000.0, NASA Governance and Strategic Management Handbook.

1.4.17 Program Execution. Execution is the process of obligating and managing contracts to accomplish project objectives. To “obligate” funds on a project means to award a contract (including ESPC and UESC) or purchase order. The FED goal is to obligate all CoF projects approved for design and construction by the end of the fiscal year. Early obligation of CoF projects is encouraged, and late obligation could place a project at risk of losing project funding (see Appendix A, Definitions, “at-risk project”3). The following paragraphs describe facility program execution, and Figure 1-2 depicts this process.

1.4.18 Financial Resources for Facility Projects. The annual appropriations acts contain the principal funding authorities for CoF projects. This funding supports preliminary engineering, design, and construction of those projects. Identifying, planning, and developing the requirement into a proposed project and its activation after construction are paid for using non-CoF funds (see Figure 1-3a, Facilities Project Activities and Funding for Design-Bid-Build and Figure 1-3b, Facilities Project Activities and Funding for Design-Build). In some instances, another Federal agency, State or local government, or other party acquires funding for facility work at a Center through Agency agreements, the private sector as specified in contracts, or a nonappropriated fund activity such as a NASA Exchange. Regardless of the source of funds, approval authority shall comply with NPD 7330.1, Approval Authorities for Facility Projects.

Note 1: Non-CoF-funded studies evaluate current systems, facilities, and capabilities.

These studies are done prior to or during project development. The decision to proceed with a CoF-project may be the product of this study, but it is not the primary reason for the study. CoF-funded studies are for site investigations to verify as-builts and/or existing utilities, as well as site conditions; e.g., soil borings. These studies are done once a project scope and preliminary Facility Project Cost Estimate have been developed. These studies are typically done as predesign.

Note 2: CoF-funded activation includes installed IT/communication infrastructure up to signal outlets; required demountable partitions and installed systems furniture; and any installed building support specialty equipment such as required emergency warning systems, installed security systems, and installed specialized material or file handling/storage equipment necessary for the facility to function for its intended use.

Non-CoF-funded activation includes any other items necessary for the occupancy of the facility.

3 Funding allocation may be lost when a project is at risk. The resources allocated to an at-risk project can then be made available to satisfy shortages in Congressional appropriations or fund projects at locations where resources can be obligated in a timely manner.

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Note 3: Mixing funds between CoF, Center-directed, power purchase agreements (PPA), ESPC, and UESC is not authorized; however, there may be selected instances where it would be acceptable to combine efforts within a new construction or major renovation project; e.g., using a PPA to add photovoltaic panels to augment the power to the new facility. HQ FED reserves the right to approve or reject any such expenditure when coupled to a CoF project. The CoF project will, in all instances, be a stand-alone project providing a complete and usable end product.

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1.4.19 Facility Project Fiscal Management

1.4.19.1 CoF Thresholds. See section 1.1 for current CoF fund types and associated thresholds.

The annual appropriation legislation is the only accepted source for adjustments to CoF thresholds.

1.4.19.2 Project Approval. The authorities and responsibilities identified in NPD 7330.1, Approval Authorities for Facility Projects, apply to all facilities projects, regardless of fund source. At a minimum, project concurrence and approval shall include the Center representative with delegated responsibility for construction, validation of requirements by support program or organization and the funding organization. Each facility project with a Facility Project Cost Estimate of $100,000 or more will have an approved NASA Form 1509, Facility Project-Brief Project Document, and NASA Form 1510, Facility Project Cost Estimate, prior to obligating funds on that project. The FPM prepares these. Approval requirements vary according to the types of funds expended as follows:

a. Center-Approved and -Funded Projects. Center-approved and -funded projects have a Facility Project Cost Estimate of $1 million or less. Centers approve and fund these projects;

however, FED reviews NASA Forms 1509 for projects with a Facility Project Cost Estimate of $100,000 or more to ensure compliance with NASA policy, to prevent the appearance of fragmentation, and to ensure a complete record in the NASA Real Property Management System (RPMS). Center CoF Program Managers shall submit approved 1509s in excess of $100,000 to FED for review prior to obligating funds.

b. Facility Planning and Design Funds (FP&D). Based on the results of the prioritization process, FED authorizes projects for design and provides funds to accomplish facility planning and design of CoF projects. Center CoF Program Managers shall request funds and approval via the Space Act Agreement Maker (SAAM) and attach a NASA Form 1509 in the SAAM. FED replies with authority to design using the NHQ DIV799PD, Facility Planning and Design - Planning and Design form transmitted either through SAAM or by e-mail.

c. MRC Projects and Discrete Projects. Centers request the authority to advertise for construction and approval for construction by submitting a signed version of NASA Form 1509 and the CoF Routine Transaction Form to the FED via SAAM. After FED reviews the project documentation and the proposed project complies with current budget authority, it approves the project and the expenditure of discrete or minor funds by concurring in the SAAM. For CoF projects, FED includes stipulations for expenditures on NASA Form DIV80002, the Minor Facility Projects Summary Brief Project Document, at the time of issue.

d. Externally Funded Facilities Projects. Funding approval and authority comes from the party providing funds; however, NASA facility project approval requirements shall comply with NPD 7330.1, Approval Authorities for Facility Projects. Centers will request approval by submitting NASA Form 1509 and NASA Form 1510 to the Director, FED for review and approval.

e. Energy Savings Performance Contracts (ESPC) and Utility Energy Services Contracts (UESC). For projects where the estimated investment value in any individual facility is less than $1 million, follow section 1.4.16.2.a Center-Approved and -Funded Projects. For all other projects, Centers request facility project approval by submitting NASA Forms 1509 and 1510 to FED via the SAAM E-Router; FED reviews and approves the facility project by approving the E-Router.

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f. Enhanced Use Leases (EUL). For EUL agreements that include a facility project, follow section 1.4.16.2.d Externally-Funded Facilities Projects and NASA Desk Guide for Enhanced Use Leasing of Real Property.

g. EUL Net Revenue At or Above $100,000. Centers request approval to implement a facility project using EUL net revenue with an estimated cost of greater than or equal to $100,000 by submitting NASA Forms 1509 and 1510 along with the EUL Routine Transaction Form to FED via the SAAM E-Router. FED reviews and approves the facility project and the expenditure of EUL net revenue by approving the E-Router including a NHQ DIV799EUL Enhanced Use Lease Project Approval Form generated at HQ.

h. EUL Net Revenue Below $100,000. Centers request approval to implement a facility project using EUL net revenue with an estimated cost of less than $100,000 by submitting a EUL Routine Transaction Form to FED via e-mail. FED reviews and approves the facility project and the expenditure of EUL net revenue by approving that form and with a NHQ DIV799EUL Enhanced Use Lease Project Approval Form generated at HQ.

1.4.19.3 Requesting Construction Funds. Center CoF Program Managers shall request construction funds using the SAAM with the CoF Routine Transaction Form and NASA Form 1509 attached for each project.

1.4.19.4 Receipt of Funds. After project approval is complete and upon receipt of the work breakdown structures (WBSs) from Centers for approved design and construction projects, FED transmits funding to the Centers electronically through NASA’s financial system. Center Contract Officers shall award CoF contracts only upon receiving approval authority and funds.

1.4.19.5 Authority to Advertise. FED grants authority to advertise for design and /or construction when it approves (via SAAM) NASA Form 1509. However, FED may grant advanced authority to advertise if necessary and appropriate.

1.4.19.6 Procurement. When professional services such as a design by an A-E firm or a construction contractor are identified, the contract acquisition shall comply with the FAR and NASA FAR supplement. FPMs will collaborate with Contracting Officers to comply diligently with the goals set forth in section 1.4.17, Program Execution.

1.4.19.7 Program Reporting Requirements. Center CoF Program Managers shall maintain records for each CoF project and submit Quarterly Reports, Functional Performance Metrics, and Sustainability Progress Reports to Headquarters.

1.4.19.8 Quarterly Report. Unless the Headquarters program manager has access to current project status via a Center electronic project management system, the Center CoF Program Manager provides the Headquarters program manager with quarterly project updates that include the following at a minimum:

a. Program-related requirements such as capability, schedule, and cost.

b. Design milestones for 30 percent and 90 percent including estimated and actual start dates, review dates, and completion dates.

c. Construction milestones including estimated and actual start dates, work packages, phases, commissioning, activation, beneficial occupancy, and closeout.

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d. Funds management for design and construction including the budget amount requested during the budget formulation phase, the Current Cost Estimate (CCE), funds received, funds committed, and funds obligated.

e. Outstanding issues such as significant change orders, safety concerns, or cost overruns and the plans to mitigate these actions.

1.4.19.9 Functional Performance Metrics. The Center CoF Program Managers shall provide functional performance metrics to the FED in response to the FED’s annual call for functional performance metrics. These metrics include the CoF Self-Assessment Metrics and the Quality Survey (included as a tab within the CoF Self-Assessment Metrics file). The date for the submission to the FED is included in the call letter but typically would be January 31 after the fiscal year (FY) being assessed.

1.4.19.10 Sustainability Progress Reports. NASA Center Program Managers shall submit an annual report of their progress toward implementing sustainability goals. FED requests and transmits reporting requirements annually, but the following represent typical minimum requirements:

a. Total number of new design projects initiated during the fiscal year.

b. Total number of new designs eligible for LEED registration.

c. Number of new design projects registered for LEED certification and at what level, i.e., Certified, Silver, Gold, or Platinum.

d. Number of completed construction projects eligible for LEED certification and number of completed construction projects achieving LEED certification and at what level, i.e., Certified, Silver, Gold, or Platinum.

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CHAPTER 2. Project Development and Planning

2.1 Facility Project Development

2.1.1 The Center CoF Program Manager shall develop a systematic process for developing projects for potential inclusion in the CoF process. At a minimum, this process includes the following:

a. A method for the ongoing collection of institutional technical capabilities and programmatic requirements throughout the year.

b. A method for identifying operations and maintenance requirements such as excessive trouble calls on a system or facility.

2.2 Facility Project Planning

2.2.1 Acquisition Planning and Execution. The FAR and the NASA FAR Supplement control all of the acquisition phases for all facility project work. The FPM and Center facility planning office shall coordinate all acquisition planning and execution with the Center acquisition office to ensure compliance with these regulations.

2.2.2 Center Master Plan. The FPM shall ensure assigned CoF projects are in accord with the Center Master Plan. See NPD 8810.2, Center Master Planning and NPR 8810.1, Center Master Planning for Real Property for clarification on Master Planning policy and implementation.

2.2.3 Facility Project Manager (FPM). Centers assign an FPM for each CoF project. With support from the project team (see section 2.2.4), the FPM shall organize, manage, and direct facility project work to meet the requirements of this NPR.

2.2.3.1 FPMs should have experience with facility project management commensurate with the size and complexity of the project to be undertaken. As a minimum, FPMs should have completed the Construction of Facilities Management course. In addition, a NASA course in Project Management would be beneficial.

2.2.3.2 For larger and more complex projects, management should consider requiring FPMs to have the level of training provided by the NASA Project Management and Systems Engineering Competency Framework and the Federal Acquisition Certification for Program and Project Managers. Programs and projects with a life-cycle cost of $250 million or greater shall be managed by program and project managers who have been certified in compliance with the Office of Management and Budget (OMB)’s promulgated Federal acquisition program/project management certification requirements. For projects using a design-build approach, specific training in design-build acquisition and requirements is highly recommended.

2.2.4 Facility Project Team. The project team includes all project stakeholders such as representatives from the using organization, safety, health, engineering, fire protection, security, historic preservation, environmental, acquisition, operations and maintenance, and technicians.

2.2.5 Front End Planning (FEP). The FPM ensures that all project stakeholders take part in FEP: the process of gathering and developing sufficient information to define a facility project.

Once the FPM and the planning team have identified the initial project goals and objectives, the FEP process starts and continues through the approval of the design statement of work (SOW) and the start of final design. The FEP phase establishes the project approach, requirements, and concept that provide the basis for project budget and approval.

2.2.5.1 In cooperation with the Contracting Officer (CO), the FPM decides whether to conduct the procurement as a Design-Bid-Build or as a Design-Build.

a. Design-Bid-Build. In this approach, the design is provided by an A-E company and then the approved design is put out for a construction bid with the winning contractor building the approved design (see Figure 1-3a).

b. Design-Build. In this approach, a single entity—the design-build team— works under a single contract with the Center to provide the design and then do the construction for the project (see Figure 1-3b). Different elements of the contract may be subcontracted out, but there is a single responsible organization. Front End Planning for design-build is not different from design-bid-build.

2.2.5.2 The FPM shall initially use the PDRI as the primary tool for FEP as a checklist to determine the project areas needing clarification and further study.

2.2.6 Facility Project Requirements. The following are required for all facilities projects regardless of fund source:

2.2.6.1 Functional Requirements Document4

a. The FPM shall complete a Functional Requirements Document that contains more detail than is found on the NASA Form 1509 and forms the basis for developing documents for budget formulation and/or project approval. The detailed requirements in this document need to be accurate and complete for use in further development of the project. The Functional Requirements Document includes the following elements:

(1) A clear and concise statement of purpose for the project.

(2) A description of the project, including existing conditions, problems, potential or preliminary solutions, operational need dates, studies, user requests, and reports or Operations and Maintenance (O&M) data. (The FPM either attaches supporting documentation as appendixes or at least notes how and where to obtain it.)

(3) Identification of all safety, health, environmental, and security requirements.

(4) Justification for the project.

4 The Functional Requirements Document is insufficient in detail to use as the requirements document necessary for a design-build acquisition. For design-build requirements, see sections 1.2.l and 3.6.2.

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(5) An SOW, if the project development and design work is to be done by contract.

(6) The funds source(s) and points of contact for those funds.

b. After the FPM writes the Functional Requirements Document, the project stakeholders (as described in section 2.2.4) shall review it.

2.2.6.2 Facility Project Management Plan

a. For CoF projects, the FPM shall prepare a Facility Project Management Plan that establishes a schedule for implementing a facility project and assigns roles, responsibilities, and authorities to develop and complete the project. The plan provides a detailed outline of the steps in the facility implementation process with well-defined milestones to measure progress. The Facility Project Management Plan includes the following elements:

(1) Identification of the FPM, the project team members, and other individuals or organizations responsible for project implementation.

(2) Functional Requirements Document (see section 2.2.6.1).

(3)…