Project Manager's Procedure Manual

Project Manager's Procedure Manual Facilities Planning & Construction Department Florida Agriculture and Mechanical University July 2012

Signature Page for Professional Service Guide Approval Director, Facilities Planning & Construction Date Associate V.P for Construction and Facilities Management Date Vice-President for Administrative and Financial Services Date Date Date Date Date

Revision Sheet Page i

TABLE OF CONTENTS Page # 1.0 INTRODUCTION TO THE MANUAL... 1-4 1.1 Manual Description... 1 1.2 Manual Organization... 2 1.3 References... 3 1.4 Capital Project Management... 4 2.0 PROJECT MANAGEMENT... 5-9 2.1 Background... 5 2.2 PM as Leader... 6 2.3 Building Customer Relationships... 7 2.4 Duties of the Project Manager... 8 3.0 CAPITAL PLANNING... 11-31 3.1 Background... 3.2 Conditions for Use of Construction Management and Design-Build... 12 3.3 Educational Plant Survey... 13 3.4 Campus Master Plan... 14 3.5 Facility Programming... 20 3.6 Art in State Buildings Program... 23 3.7 Subleasing of State-owned Property... 25 3.8 Certifications of Outstanding Obligations for Fixed Capital Outlay (FCO) Appropriations as of Jubne 30... 28 3.9 Fixed Capital Outlay Project Furnishing and Equipment Budget Development... 28 3.10 Capital Outlay Implementation Plan... 29 4.0 SELECTION OF PROFESSIONAL SERVICES... 32-41 4.1 Background... 32 4.2 Selection of Design Professional, Construction Manager, or Design Builder... 34 4.3 Professional Service Selection Criteria... 35 4.4 Formation of Certification and Selection Committee... 36 4.5 Placement of Advertisement... 36 4.6 Professional Service Response, Review, and Evaluation Process... 39 4.7 Negotiations... 39 4.8 Maintenance of Selection Records... 40 Project Manager's Procedure Manual Page ii

5.0 ARCHITECTURAL, ENGINEERING AND CONSULTANT SERVICES... 43-50 5.1 Background... 44 5.2 Administration of the Agreement... 45 5.3 The Design Phase Process and Approvals... 47 6.0 BIDDING AND CONTRACT AWARD... 51-59 6.1 Background... 51 6.2 Facilities Planning and Construction Monetary Level for Making a Purchase... 53 6.3 Competitive Solicitations... 54 6.4 Construction Management... 59 6.5 Maintenance of Selection Records... 59 7.0 CODE COMPLIANCE, PERMITTING, AND INSPECTIONS... 61-62 7.1 Duties of the Project Manager for Florida Building Code Compliance... 61 8.0 CONSTRUCTION ADMINISTRATION... 63-73 8.1 Background... 63 8.2 Roles of the TeamBackground... 64 8.3 Project Construction... 65 8.4 Construction Payments... 67 8.5 Construction Closeout... 68 8.6 Post Construction... 70 8.7 Project Accounting Closeout... 72 PM TASKS and EXHIBITS PM Exhibit 2.1 - Project Manager's Checklist PM Exhibit 2.2 - Project Manager's Field Manual PM Task 3.1 Master Plan Guide PM Task 3.2 Preliminary Facility Program Guide PM Exhibit 3.2A - Preliminary Building Program Template PM Task 3.3 Project Scope of Work PM Exhibit 3.3A - Project Scope of Work Template PM Task 3.4 Facility Program Development PM Exhibit 3.4A - Outline for Facility Program PM Task 3.5 Facility Program Committee Appointments PM Task 3.6 Submittal, Review, and Adoption of Campus Master Plans and Campus Master Plan Amendments PM Task 3.7 Capital Outlay Implementation Plans, Encumbrance Authorizations and Budget Authority Project Manager's Procedure Manual Page iii

PM Exhibit 3.7A - Capital OUtlay Implementation Plan (COIP) Sample PM Task 4.1 Professional Service Selection Committee Appointment PM Exhibit 4.1A - Professional Service Selection Committee Recommendation Memo to the President PM Exhibit 4.1B - Professional Service Selection Committee Appointment and Assignment Memo to Committee Members PM Task 4.2 Professional Service Selection Advertisement PM Exhibit 4.2A - Professional Service Advertisement Checklist PM Exhibit 4.2B - Design Professional Services Advertisement PM Exhibit 4.2C - Construction Management or Design-Build Services Advertisement PM Exhibit 4.2D - Project Fact Sheet PM Task 4.3 Design Professional Service Submittal Receipt, Review, Evaluation, and Award PM Exhibit 4.3A - Design Professional Evaluation Instruction for Professional Qualifications Supplement (PQS) PM Exhibit 4.3B - PQS Submittal Irregularities PM Exhibit 4.3C - Selection Shortlist Evaluation - Schedule A PM Exhibit 4.3D - Selection Shortlist Evaluation - Schedule B PM Exhibit 4.3E - Committee Shortlist Worksheet PM Exhibit 4.3F - Committee Shortlist Recommendation to the President Memo PM Exhibit4.3G - Notification of Shortlist to Respondents Letter PM Exhibit 4.3H - Notification of Shortlist Interview Schedule Letter PM Exhibit 4.3I - Professional Services Reference Check PM Exhibit 4.3J - Selection Interview Evaluation - Schedule C PM Exhibit 4.3K - Committee Recommendation to President Memo PM Exhibit 4.3L - Notification Letter to Selected Firm PM Exhibit 4.3M - Notification of Selection to All Respondents Letter PM Task 4.4 Negotiation of Design Service Agreement PM Exhibit 4.4A - Pre-Design Checklist PM Exhibit 4.4B - Request for Fee Proposal Letter PM Exhibit 4.4C - Design Fee Proposal Worksheet PM Exhibit 4.4D - Report of Design Professional Negotiation Conference PM Exhibit 4.4E - Design Professional Agreement to Legal Memo PM Exhibit 4.4F - Design Professional Agreement Signature Letter Project Manager's Procedure Manual Page iv

PM Exhibit 4.4G - Design Professional Agreement to VP Memo PM Exhibit 4.4H - Design Professional Agreement Copy and Notice to Proceed PM Task 4.5 Construction Management or Design Build Service Submittal, Receipt, Review, Evaluation, and Award PM Exhibit 4.5A - Construction Management and Design-Build Evaluation Instruction for Professional Qualifications Supplement (CMPQS) PM Exhibit 4.5B - Construction Manager and Design-Build Selection Shortlist Ranking Worksheet PM Exhibit 4.5C - Construction Manager and Design-Build Selection Shortlist Ranking Form PM Exhibit 4.5D - Committee Shortlist Recommendation to the President Memo PM Exhibit 4.5E - Notification of Shortlist to Respondents Letter PM Exhibit 4.5F - Notification of Shortlist Interview Schedule Memo PM Exhibit 4.5G - Construction Manager and Design-Build Reference Check PM Exhibit 4.5H - Construction Manager and Design-Build Selection Final Interview Worksheet PM Exhibit 4.5I - Construction Manager and Design-Build Selection Final Evaluation Form PM Exhibit 4.5J - Committee Recommendation to the President Memo PM Exhibit 4.5K - Notification of Selection Letter PM Exhibit 4.5L - Notification of Non-Selection Letter PM Task 5.1 Management and Administration of the Design Process PM Exhibit 5.1A - Distribution of Correspondence List PM Exhibit 5.1B - Design Kickoff Meeting Memo PM Exhibit 5.1C - Project Implementation Information, OEF 110A Form PM Exhibit 5.1D - Project Administration and Management Design Guide PM Exhibit 5.1E - Construction Permitting Process and Procedures OverviewPM Exhibit 5.1B - Payment Request Rejection Notice Form PM Task 5.2 Receipt and Approval of Invoices and Pay Requests PM Exhibit 5.2A - Inter-Office Routing Slip PM Exhibit 5.2B - Pay Request - Rejection Notice PM Task 5.3 Design Professional Additional Service Authorization Project Manager's Procedure Manual Page v

PM Exhibit 5.3A - Additional Service Authorization Letter PM Task 5.4 Design Professional Services Evaluation and Appeal Process PM Exhibit 5.4A - Professional Services Evaluation PM Exhibit 5.4B - Instruction for Completion of Professional Services Evaluation PM Task 5.5 Design Phase Submittal Receipt, Review, and Evaluation PM Exhibit 5.5A - Design Submittal Workshop Meeting Schedule Memo PM Exhibit 5.5B - Document Review and Response Form PM Exhibit 5.5C - Design Phase Compliance Memo PM Task 5.6 Plans Review and Approval by State Fire Marshal PM Task 6.1 Solicitation and Award (Less Than or Equal to $75,000) PM Exhibit 6.1A - Minimum Limits of Liability Insurance for Vendor and Builder Services PM Exhibit 6.1B1 - Capital Outlay Implementation Plan (COIP), SAMPLE PM Exhibit 6.1B2 - Minor Projects List, SAMPLE PM Exhibit 6.1C1 - Requisition Order Form, SAMPLE PM Exhibit 6.1C2 - Requisition Order Form Change Order, SAMPLE PM Exhibit 6.1D1 - Instructions for Writing a Statement of Work or Mini Specification PM Exhibit 6.1D2 - Price Quote Form PM Exhibit 6.1E - Emergency Purchasing Certification PM Exhibit 6.1F - Sole Source Certification, SAMPLE PM Exhibit 6.1G - Bid/Proposal Tabulation Form, SAMPLE PM Exhibit 6.1H - Procedure Exception Request PM Exhibit 6.1I - Vendor Quotation Confirmation PM Exhibit 6.1J - Facilities Planning & Construction Code of Ethics PM Task 6.2 Sealed Bid Solicitation and Award (Greater Than $75,000) (Does not include CM and D-B delivery methods) PM Task 6.3 Execution of Agreement for Major Projects Construction Management (with Pre-Construction Service) PM Exhibit 6.3A - Request for Pre-construction Services Proposal PM Exhibit 6.3B - General Counsel Memorandum PM Exhibit 6.3C - CM Agreement letter PM Exhibit 6.3D - CM Agreement Memorandum to the University President PM Exhibit 6.3E - CM Agreement Distribution Letter PM Task 6.4 Bidding Procedures for Construction Management Major Projects Project Manager's Procedure Manual Page vi

PM Exhibit 6.4A, FAMU Guidelines for Self Performance of Work on Construction Management Project PM Task 6.5 Negotiating Guaranteed Maximum Price (GMP) for Construction Management and Design-Build - Major Projects PM Exhibit 6.5A - Labor Burden Checklist PM Exhibit 6.5B - General Counsel Amendment Memorandum PM Exhibit 6.5C - CM or D-B GMP Amendment #1 Letter PM Exhibit 6.5D - President CM or D-B Amendment #1 Memorandum PM Task 6.6 Construction Management and Design-Build Amendment for Guaranteed Maximum Price (GMP) PM Exhibit 6.6A - Guaranteed Maximum Price Recommendation Transmittal PM Task 8.1 Construction Administration PM Exhibit 8.1A - CM/D-B Notice to Proceed Letter PM Exhibit 8.1B - Weekly Project Status Report PM Exhibit 8.1C - Monthly Project Report PM Exhibit 8.1D - Notice of Pre-construction Meeting Letter PM Exhibit 8.1E - Documentation Required with Applications for Payment PM Exhibit 8.1F - Insurance Coverage Request Form (Sample) PM Exhibit 8.1G - Inter-Departmental Substantial Completion Acknowledgement PM Exhibit 8.1H - Substantial Completion Checklist PM Exhibit 8.1I - Building Occupancy Notice Memo PM Exhibit 8.1J - Final Completion Checklist PM Task 8.2 Identifying and Purchasing Fixtures, Furnishings, and Equipment PM Exhibit 8.2A - Interior Design Consultant Scope of Services for FF&E PM Exhibit 8.2B - Moving Inventory for Furniture & Equipment PM Exhibit 8.2C - Identification Sheet for Furniture & Equipment PM Task 8.3 Moving a Department Project Manager's Procedure Manual Page vii

Chapter 1 Introduction to the Manual 1.0 INTRODUCTION TO THE MANUAL Facilities Planning and Construction (FP&C) is an integral support unit of Construction and Facilities Management and the Division of Administrative and Financial Services. The department supports the Florida A&M University s academic mission by providing planning, design, and construction management services to the University building program. The Facilities Planning and Construction Procedures Manual is written to guide Facilities Planning and Construction staff in the management and administration of capital projects. State of Florida, State University Board of Governors (BOG), and Florida A&M Board of Trustees policies (BOT), standards and procedures for procurement of design and construction services, differs from those used in the private sector and those used by other Florida State agencies. The procedures stated herein are those of the Florida A&M University (FAMU) and are to be used by the Facilities Planning and Construction staff and assigned PMs (PM). The Facilities Planning and Construction Procedures Manual (hereafter referred to as the manual) consists of nine chapters with Attachments and Task. The Attachments are additional information of a specific nature that relates to several areas in the chapter and other chapters. The Tasks contain process procedures for very specific tasks, and most tasks contain attachments in the style of forms and templates for use in carrying out the task. Each Task is numbered consecutively following the Chapter number (5.1, 5.2, 5.3, etc.). Also, all Exhibits supporting Tasks are identified with the Task number followed by A, B, C, such as (5.1A, 5.1B, 5.1C, and etc.). 1.1 Manual Description Contents of the manual are directive in nature. Deviations from the procedures outlined within shall be requested by the Department head of Planning, Capital Projects Management, or Administrative and Fiscal Services to the Director of FP&C. The manual s progression is designed as a typical project progress from project identification to post construction. The manual is arranged in a sequence that parallels a typical development progression for Florida educational capital projects. Revisions to the manual will be made periodically when FP&C changes its daily service or when Florida Statutes, State University Board of Governors, or Florida A&M Board of Trustees change requirements or policy. Project Manager's Procedure Manual 1 of 73

Chapter 1 Introduction to the Manual 1.2 Manual Organization The nine (9) chapters in the manual are: Chapter 1 Introduction to the Manual: This chapter provides a general overview of the manual with a summary of the chapters included in the manual. Chapter 2 Project Management: This chapter describes and provides guidance in establishing the requirements for the management of a project. This chapter initiates the assigned PM into the project management process by identifying project typical duties and responsibilities. Chapter 3 Capital Planning: This chapter summarizes Florida A&M University s process to justify the need for additional space due to program or student growth and identify feasibility, scope requirements, cost and priorities. Capital planning includes the process to justify, identify and determine the total scope of work for a project, including all items required to make a project totally complete, the total cost, and the time period to complete the project. Chapter 4 Selection of Professional Services: This chapter provides guidance to the PM during the advertisement, evaluation, and selection of Design Professionals, engineers (Design Professional), Construction Management (CM), and Design Build (DB) professionals. Chapter 5 Design Process and Administration: This chapter provides guidance to the PM during the design process, and the evaluation and approval of design phases. It also includes guidelines for the administration of professional services like, fees, invoices, additional services, and the evaluation of professional services. Chapter 6 Bidding and Award: This chapter provides guidance to the PM during the solicitation phase. The chapter identifies the requirements for solicitation like, project or component specifications, advertising, bid opening, bid evaluation, and bid award. This chapter also describes the award and agreement process for a CM project, the requirements for bidding, and the evaluation of the guaranteed, maximum price (GMP) for construction. Chapter 7 - Code Compliance, Permitting, and Inspections: This chapter coincides with Section 7 of the Professional Service Guide. It identifies that the PM is the coordinator between the Design Professional, Builder, and the FAMU Building Code Administrator. Chapter 8 Construction Administration: This chapter provides guidance to the PM for the various aspects of managing a construction project involving, communication, pre-construction conference, payments to the Builder, submittals, changes in the work, management Project Manager's Procedure Manual 2 of 73

Chapter 1 Introduction to the Manual and administration during construction, substantial completion, and final completion. 1.3 References Florida State Statutes: The Florida Statutes are a permanent collection of state laws organized by subject area into a code made up of titles, chapters, parts, and sections. The Florida Statutes are updated annually by laws that create, amend, or repeal statutory material. Chapter 1000 1013 covers the Florida K-20 Education Code, with 1013 covering Education Facilities. State Requirements for Educational Facilities (SREF): All School District staff involved in construction administration, and management use the Florida State Requirement for Educational Facilities. SREF is the State of Florida educational interpretation of the Florida State Statutes. Florida Building Code: The provisions of the Florida Building Code shall apply to the construction, alteration, movement, enlargement, replacement, repair, equipment, use and occupancy, location, removal and demolition of every building or structure or any appurtenances connected or attached to such buildings or structures. The purpose of the code is to establish the minimum requirements to safeguard the public health, safety and general welfare through structural strength, means of egress in facilities, stability, sanitation, adequate light and ventilation, energy conservation, and safety to life and property from fire and other hazards attributed to the built environment and to provide safety to fire fighters and emergency responders during emergency operations. Florida Board of Governors Regulations: At the initial meeting of the Board of Governors held on January 7, 2003, the Board adopted in part rules that had been previously promulgated by the Board of Regents for the operation of the State University System and which were indexed under Chapter 6C of the Florida Administrative Code. Since that time, the Board adopted a Regulation Development Procedure and all rules previously adopted by the Board were readopted as regulations. The Board is currently in the process of reviewing and revising those regulations to comport with the Board s constitutional duties and responsibilities. As part of this process, a new numbering system is being created that will no longer include the 6C prefix. Florida A&M University Regulations: These are regulations adopted by the Board of Trustees of Florida A & M University that implements it powers and duties. The Florida A&M University regulations are approved by the University Board of Trustees in accordance with Regulation Development Procedure for State University Boards of Trustees, as approved by Florida Board of Governors. Project Manager's Procedure Manual 3 of 73

Chapter 1 Introduction to the Manual 1.4 Capital Project Management Florida A&M University capital projects vary in cost and complexity. They range from multimillion dollar, state-of-the-art facilities to simple facility modifications valued at a few thousand dollars. This document provides guidance for the Facilities Planning and Construction Department on management and administration of a capital project, large or small. The intent of this manual is to document, through the three sections of the Facilities Planning and Construction Department, how a project is identified, approved, assigned, managed and administered from initial development through predesign, design, construction and the warranty period. When the funding for a project(s) is approved annually by the Legislature, the project is assigned to the Facilities Planning and Construction Department for management and administration. At this time, a PM is assigned by the Director to manage the project and to be the single point of contact. The manual identifies the life of a project, from conception to completion, and the PM s duties and responsibilities during the process. Project Manager's Procedure Manual 4 of 73

Chapter 2 Project Management 2.0 PROJECT MANAGEMENT A PM is an individual who has the most direct responsibility to organize, manage, and direct a multitude of activities and complete the assigned facility on schedule with the approved funds. The PM is responsible for working in concert with the project user group department head/assigned representative as well as the Design Professional, Builder, FP&C staff and other University staff and committees. The PM is assigned to a project when the University receives funding approval from the legislature, typically in September, and for minor projects as funding and schedule are appropriate. The PM is responsible for management and administration of assigned projects and will look for support from FP&C staff and other university departments, Committees, Design Professionals, engineers, Builder and others to ensure: Project requirements are defined, documented, and validated. Appropriate project concept studies considering alternatives are provided. Applicable safety, environmental, energy, and occupational safety and health-related requirements are met. Project specifications and cost estimates are properly developed and documented. Planning for final design is started. Final construction documents are completed. Budget/approval documentation is prepared and submitted. Final building is constructed in accordance with all documentation. 2.1 Background 2.1.1 Who is the PM Project managers are typically employees of the university selected to provide project management services to a particular project or projects. Depending upon scope, specific craft type, or budget for a project, the project may be assigned to FP&C staff or a consulting firm. Typically, FP&C will assign their own PM and their project management and supervisory roles, duties and responsibilities. 2.1.2 The PM s Authority The PM provides on-site coordination and communication. The PM shall have signature authority for correspondence in administering the project with the Design Professional, Builder, the university, and other stakeholders. The PM shall NOT have the authority to enter into contracts or agreements or to make changes to any of the contracts or agreements on behalf of the university. Such authority is reserved for the Director FP&C, and higher administrative designees. Project Manager's Procedure Manual 5 of 73

Chapter 2 Project Management 2.2 PM as Leader The title PM," while emphasizing the importance of overseeing and monitoring a project, can cause one to overlook other leadership skills needed to successfully lead a project to completion. A PM is both a manager and a leader. There are six major responsibilities associated with the roles of manager and leader. 2.2.1 Focus on the customer All projects begin and end with the customer. It is the duty of the PM to understand the needs and expectations of the customer; to develop the project vision and gain endorsement of it; to plan for customer involvement, communication and service; and to maintain a meaningful dialogue with the customer during the project. 2.2.2 Create the Project Vision The project vision is the image or understanding of what the project will accomplish as its end result. Having a project vision is crucial to effective leadership and management of any project. In creating the vision, the PM is responsible for planning a route to project completion based on customer needs and expectations; articulating the vision with enthusiasm; and modifying the vision and strategy as needed (but it must not be continually modified since it is the foundation of the customer s needs and expectations). 2.2.3 Build and Maintain the Project Team A strong team is vital to the success of any project. The PM is responsible for helping the project team members become an effective working unit. Leadership of the project team involves preserving, protecting, and improving the productive capability of people, the most valuable resource available to the PM. Keys to building and maintaining an effective project team includes open communications; attending to individual needs; clearly defining roles and responsibilities; and rewarding and recognizing team members. 2.2.4 Plan the Project Once the vision has been defined, agreed upon, and the project team formed, focus shifts to planning the project, the elaboration of concrete strategies for achieving the goals of the project. The duties of the PM include developing a work plan in which the customer s vision and definition of the project coincide; involving the appropriate teams, customer and others in endorsing the work Project Manager's Procedure Manual 6 of 73

Chapter 2 Project Management plan; and ensuring that all components of the work plan support project delivery and remain aligned with the vision. 2.2.5 Managing Resources Once a project has launched, managing resources becomes a major focus of the PM; that is, keeping a clear grasp of where the project is, compared to where it should be, at any moment. The duties of the PM as it relates to managing resources includes, a realistic budget with sufficient contingencies endorsed by the Project Team and customer; preparing a reasonable, flexible schedule that meets the customer s needs; preparing accurate assessments of progress; and maintaining accurate and comprehensive project records. 2.2.6 Ensuring Quality Ensuring quality is a leadership responsibility of the PM and cannot be delegated. The PM must establish appropriate definitions of quality for the project. In order to achieve high quality, the PM must commit time to assess quality issues with the team. A PM can ensure a high-quality project by emphasizing quality management to team members and by setting an example. 2.3 Building Customer Relationships A customer is a person or organization that has direct responsibility or control over the project. A stakeholder is a person or organization that has a stake or interest in the project. At the core of a successful project delivery process is a satisfied customer. The foundation of a satisfied customer is the development of a strong, servicefocused relationship. FP&C has aligned PMs into project teams and customer groups to better develop and strengthen FP&C s customer relationships. It is important to remember that the University is also a customer, and that PMs must balance the needs of the University with the needs of the project user. Successful customer relationships hinge on starting out right. It is critical to know your customer, to be prepared, and to communicate effectively. A PM must work to build commitment and trust with their customers. The organizational structure of FP&C s PMs is designed to ensure customer focus, leadership commitment, and a collaborative team environment that fosters interdependent participation. Additional keys to successful project delivery include: Well-developed and endorsed project work plan Project Manager's Procedure Manual 7 of 73

Chapter 2 Project Management Project tools Performance measures and metrics The benefits of a well-developed project delivery process are satisfied customers who receive high-quality projects that routinely meet expectations, costs, and schedule goals; and a consistent customer focus that is adaptable to everchanging demands and challenges. 2.4 Duties of the PM In addition to the following Chapters and their Tasks and Attachments to guide the PM, a comprehensive list of duties, responsibilities, and activities of the PM is found in the PMs Checklist, PM Exhibit 2.1. For the PM, duties and responsibilities go hand in hand. However, there is a fine line of distinction between the two. Duty is a task performed by a person out of his job profile, and responsibilities are obligations for which he is accountable. All duties may not be responsibilities, but all responsibilities are duties. Another document that summarizes this Manual is the PM s Field Manual, PM Exhibit 2.2. It was specifically designed to be used in the field as a reminder of all the items needed or required during each phase of a project. 2.5 Records Management 2.5.1 Document Control Document control makes certain that decisions, recommendations and approvals are documented from the initial project planning process through a project's warranty period. Proper document control includes: A filed copy of all pre-construction information such a project programming; budget development; consultant selection; and a history of design progression such as changes in specification, schedule, and budget. A filed copy of all construction information such as Builder selection process, bid, procurement, construction, closeout, and warranty of the project All documents and filing meet the FAMU required standard for security, integrity, quality, and currency. Document control tracks actions to ensure that changes to the baseline documents are evaluated and approved and that the integrity of the baseline documentation is maintained as changes are executed. The PM shall make certain that the project s document control process identifies who on the project management team has the authority and accountability for Project Manager's Procedure Manual 8 of 73

Chapter 2 Project Management ensuring that each of the baseline documents is kept current in compliance with the project s configuration management and document control procedures. 2.5.2 Records Distribution, Storage, and Retrieval Records management controls the distribution, storage, and retrieval of project records in both hard copy and electronic form. The PM should ensure that incoming and outgoing correspondence and documents are transmitted through the project s records management specialist, who can use records database software to computer index the records. Working copies of records can be retrieved by records management for use by project staff. Records management should securely store original copies and ultimately dispose of the records according to the University s and the project s records retention schedule. The PM should not allow project staff to keep their own files of original project documents or correspondence. Records management should maintain the project s active and historical records and files in order to provide efficient access and complete audit trails of the current status and record of revisions to the project design and baseline documentation and associated correspondence. Records management s correspondence control system should provide convenient access to records and make certain the records are secure, and the appropriate level of confidentiality maintained. The system should be set up to comply with the University s administrative, legal, and historical record requirements and provide an audit trail and documentation of project activities. Records management should be used to establish an accessible project library of technical documents, standards, baseline documents, industry codes and standards, studies, and other general information pertaining to the project. Records management should develop a records storage program that identifies and protects project documentation critical to project completion and the ongoing operation of the completed project. The vital records storage program needs a procedure for archiving critical documents and their disaster protection. Project Manager's Procedure Manual 9 of 73

Chapter 2 Project Management Project Manager's Procedure Manual 10 of 73

Chapter 3 Capital Planning 3.0 CAPITAL PLANNING The purpose of the capital planning process is to ensure that capital projects at the university are properly reviewed and approved by the university president and senior administration, and that projects are consistent with university priorities. The FP&C capital planning process enables the university to plan, prioritize and organize future capital expenditures. The capital planning process identifies and aligns the university s capital requirements with its strategic, academic, and financial priorities; in support of the university vision and mission. The process provides the framework for development of the annual plans, and with approval by the University Board of Trustees; State University System, Board of Governors; and the State Department of Education, the plan becomes an annual budget request seeking approval by the Legislature. The need for quality university space is considerable with the growth in university programs and research as well as the requirement for existing facilities to meet the university s teaching, research, and outreach goals. In a time of limited resources, meeting this growing demand requires detailed review, analysis, justification, and foresight to identify the university s strategic planning priorities. Typically, during the project planning process, especially for major projects, the planning phase is led by the FAMU Associate Director of Planning. At this time, a PM is assigned by the Director of FP&C to assist the Associate Director and supply project continuity throughout the life of the project. 3.1 Background 3.1.1 References Florida Statute 216.192 - Release of Appropriations (COIP) 255.043 - Art in State Buildings (COIP) 1013.30, F. S. - University Campus Master Plans 1013.31, F. S. - Educational Plant Survey 1013.64, F. S. - Funds for Comprehensive Educational Plant Needs Florida Administrative Code State Requirements for Educational Facilities (SREF) SUS Board of Governors 14.0025 Action Required Prior to Capital Outlay Appropriation Project Manager's Procedure Manual 11 of 73

Chapter 3 Capital Planning Office of Policy and Budget Capital Improvements Program Plan Instructions Fiscal Years 2010-11 through 2014-15 FAMU Board of Trustees Tasks and Exhibits PM Task 3.1 Master Plan Guide PM Task 3.2 PM Task 3.3 PM Task 3.4 PM Task 3.5 PM Task 3.6 PM Task 3.7 Preliminary Facility Program Guide PM Exhibit 3.2A - Preliminary Building Program Template Project Scope of Work PM Exhibit 3.3A - Scope of Work Template Facility Program Development Guide PM Exhibit 3.4A - Outline for Facility Programs Facility Program Committee Appointment Submittal, Review, and Adoption of Campus Master Plans and Campus Master Plan Amendments Capital Outlay Implementation Plans, Encumbrance Authorizations, and Budget Authority PM Exhibit 3.7A - Capital Outlay Implementation Plan (COIP), SAMPLE 3.2 Conditions for Use of Construction Management and Design-Build 3.2.1 Use of Construction Management The criteria to be used in determining which projects are candidates for construction management are: Whether the size of the project is sufficiently large and/or complex to require major emphasis on the qualification of the contractor to have specific expertise in performing highly specialized cost estimating, value engineering, and scheduling during the design process with continuity of construction management through both the design and construction phases; Whether the initial construction funding is appropriated, and construction is begun with the expectation of substantial appropriations in subsequent years, thereby making it advantageous to retain a single contractor for the duration of the project; Whether the project is an alteration of an occupied facility which requires working around or relocating occupants while keeping the facility fully operational; or, Project Manager's Procedure Manual 12 of 73

Chapter 3 Capital Planning Whether the project is a repair or renovation where conditions requiring correction cannot be determined and specified without extensive contractor involvement in removal and examination process during the design phase. Whether the timely completion of the project is critical to the university s ability to repay debt service or to meet grant obligations. BOG14.002(3) provides the criteria for projects considered for the D-B process. In addition, ear with Error! Bookmark not defined.. This Chapter will give tual plant survey Be consistent with the university strategic plan, academic and facilities master plan The first year of the 3 year priority list. Capital projects exceeding $1,000,000, including new construction and/or renovations, are required to be recommended in the Educational Plant Survey, listed on the facilities master plan, and have a detailed facility program approved prior to funding or construction. 3.2.1 Five Year Plan Submission and State Legislative Approval Annually, the BOG calls for submission of FAMU's capital budget request (usually in May). Based upon the approved FAMU Master Plan, FP&C develops a recommended 5 year plan and submits its recommendation to the President. Depending upon the priority of projects approved by FAMU's BOT from the previous year s 5 Year Plan submission, the Master Plan may need to be modified prior to submission of the current budget request. Once the project submission list is approved by the President, the FP&C Planning Unit starts work developing the five year plan in accordance with the State of Florida Capital Improvements Program Plan. The completed annual five year plan is submitted to the President for review prior to submission to the BOG staff. The BOG staff combines the requests from FAMU with the other nine State University System (SUS) institutions and prepares a system wide 3 year plan and a 5 year plan for review by the Council of Presidents. The presidents meet and make their recommendations to the BOG. The 3 year plan approved by the BOG becomes the State University System legislative budget request. 3.3 Educational Plant Survey The survey, which may be conducted by BOG staff or an agency employed by FAMU, must be conducted at least every five (5) years in conformance with 1013.31(1), F.S. A copy of the survey, in written report form, must be submitted to the BOG for review and validated by the Department of Education, Office of Project Manager's Procedure Manual 13 of 73

Chapter 3 Capital Planning Educational Facilities. During the five (5) year period, modification to the approved Educational Plant Survey may be submitted to the BOG for approval. 3.3.1 Needs Assessment University VPs are responsible for presenting capital project concepts to the President and Senior Advisory Team (SAT). The President and SAT will assess the concept to determine the overall need, connection to other FAMU programs and initiatives, and consistency with FAMU priorities. If the concept project meets these requirements and does not conflict with the existing FAMU Master Plan, it is forwarded by the President to the Vice President for Administrative and Financial Services with direction for the Director FP&C to provide a preliminary program and cost estimate. The PM shall become familiar with SREF, Chapter 3, Section 3.1, Educational Plant Survey. 3.4 Campus Master Plan Section 1013.30, F.S., requires all public universities to update their master plans every five years. The development of the campus revolves around BOT, BOG, and legislative approval of capital projects, which must be identified on the master plan. The University BOT adopts a campus master plan for the university and maintains a copy of the plan on the university's website. The following Tasks cover the FAMU Campus Master Plan process: Master Plan Guide, Task 3.1 - Contains references, procedures, and templates for the development or modification of the campus master plan. 3.4.1 Submittal, Review, and Adoption of Campus Master Plan The University shall submit to the BOT a proposed campus master plan and support materials for each "main campus" and "branch campus," per terms defined in BOG Rule 6C-8.009. The University shall submit a transmittal letter from the president of the University that specifies: Name, title, address, and telephone number of the University contact person who is familiar with the proposed plan Any optional elements that are included in the plan The location where the proposed campus master plan will be made available for public inspection during normal business hours, (8:00 a.m. - 5:00 p.m. Monday through Friday) Four (4) copies of the proposed campus master plan, including all items Project Manager's Procedure Manual 14 of 73

Chapter 3 Capital Planning specified in Subsection 1013.30(3)), F.S., and in BOG Chapter 6C-21, Part II, Adopted by Resolution on January 7, 2003 Four (4) copies of support documents used in preparing the plan or summaries of such support documents if not proposed to be adopted as part of the campus master plan A statement identifying any schedules, maps, data or analyses, or other support documents required by Chapter 6C-21, Part II, ADOPTED BY RESOLUTION ON JANUARY 7, 2003, but not submitted and the justification for each omission (i.e., data not available, requirement not applicable, etc.) Review of Proposed Campus Master Plans Upon determination that the proposed campus master plan as submitted or resubmitted includes all the required material, the University shall: Within ten (10) working days advertise and conduct the first public hearing Pursuant to 253.034(8), F.S., make a copy available during normal business hours, for ninety (90) days, for public review and comment Review the proposed master plan and support documentation for compliance with the requirements of 1013.30, F.S., BOG Rule 6C-21, Part II, and the most-recent edition of the Guideline for the Comprehensive Campus Master Plan System Review written comments on the proposed plan The University shall: Advertise and conduct the first public hearing consistent with the requirements of 163.3184(15), F.S., and Public Hearings for Campus Master Plans and Plan Amendments policy Transmit one copy of the proposed campus master plan and support materials to the appropriate host and affected local governments identified in Attachment 1 for review Pursuant to Subsection 253.034(8), F.S., make a copy available during normal business hours, for ninety (90) days, for public review and comment Within five (5) working days after the date of the first public hearing, transmit one copy, unless otherwise noted, of the proposed campus master plan and support materials as described above to each of the following agencies (designated contacts are identified, Attachment 1) for their review and written comments: o o o o o o o o The appropriate water management district The appropriate regional planning council The Department of Community Affairs The Department of Environmental Protection The Department of Transportation (two copies) The Department of State The Fish and Wildlife Conservation Commission The appropriate host local government Project Manager's Procedure Manual 15 of 73

Chapter 3 Capital Planning o o The appropriate affected local government(s) The Land Management Advisory Council or its successor (10 copies) The responsibilities of the reviewing agencies and governments identified in this policy include but are not limited to the following: The review by state agencies and water management districts related to the statutory responsibilities of the agencies and comments regarding those areas required to be addressed in the campus master plan by BOG Rule 6C- 21, Part II, Adopted by Resolution on January 7, 2003, and Subsection 1013.30(3), F.S. The review by state agencies represented on the Land Management Advisory Council (LMAC) or its successor and the Florida Department of Environmental Protection (FDEP) for comments regarding the requirements for five-year state land management plans by Chapter 18-2, ADOPTED BY RESOLUTION ON JANUARY 7, 2003, and Sections 253.034 and 259.032, F.S. The review by the appropriate regional planning council in the context of the relationship and effect of the campus master plan on the adopted strategic regional policy plan, and comments of any other regional agencies to which the regional planning council may have referred the plan, in accordance with Subsection 163.3184(5), F.S. The review by the appropriate host and affected local governments in the context of the relationships and impacts of the campus master plan on the local government's adopted comprehensive plan required to be addressed by BOG Rule 6C-21, Part II Adopted by Resolution January 7, 2003, including the requirements placed upon public services and facilities, and compatibility of adjacent land uses, in accordance with Subsection 163.3184 (5), F.S Any comments from the reviewing agencies and governments shall be sent in writing to the designated University contact person within ninety (90) calendar days after receipt of the proposed campus master plan. The reviewing agencies and governments shall be requested to concurrently provide a copy of their comments to the Director of the Office of Facilities Planning. If no one objects to the plan during the ninety (90) day public review period, then the master plan shall be deemed by FDEP to be approved for the purposes of compliance with Section 253.034, F.S. If there are objections to the plan during the ninety (90) day public review period, then the University shall schedule meetings and discussions with representatives of reviewing agencies and governments as necessary to incorporate appropriate revisions into the campus master plan. Once agreement between representatives of reviewing agencies and governments, and the University has been reached; (with respect to appropriate revisions to the proposed campus master plan), the e University will advertise and conduct the second public hearing consistent with the requirements of Subsection 163.3184(15), F.S., and Public Hearings for Campus Master Plans and Plan Amendments policy. Project Manager's Procedure Manual 16 of 73

Chapter 3 Capital Planning After the requirements of 253.034(8), F.S., are complied with, the University shall prepare and submit the adoption of the revised campus master plan as an item on the agenda for the next scheduled meeting of the Board of Trustees. The agenda item will include an executive summary recommending whether the proposed amendment should be adopted. Adoption of Campus Master Plans At the Board of Trustees meeting, the University president or designee should be prepared to present a brief summary of the revised master plan. This summary should include, but not be limited to: Significant land-use changes and campus development proposed during the planning period; The schedule of and source of funds for capital improvements proposed during the planning period; An assessment of projected on-site and off-site impacts of proposed campus development during the planning period and proposed measures to mitigate those impacts; Assurances that the University has complied with all the statutory prerequisites for plan adoption. Adoption of the campus master plan shall be by action of the Board of Trustees. Notice of Affected Persons Within forty-five (45) days after the date the campus master plan is adopted by the Board of Trustees, the University shall notify all affected persons that the plan was adopted, and identify a location where the plan may be obtained or inspected. An affected person is anyone who submitted written comments to the University or who provided verbal or written comments at either of the two public hearings. Authority Sections 163.3184, 1013.30, 253.034, and 259.032, F.S., BOG Chapter 6C-21, Parts I and II, Rules 18-2, and 6C-8.009, Adopted by Resolution on January 7, 2003. 3.4.2 Submittal, Review, and Adoption of Campus Master Plan Amendments The University shall submit proposed amendments to adopted 'campus master plans and support materials to the Board of Trustees. Corrections, updates or modifications to the adopted Capital Improvements Element concerning costs, revenue sources, acceptance of facilities or facility construction dates consistent with the adopted plan, and corrections; updates, or modifications of current costs in other plan elements shall not be considered to be plan amendments, and are not subject to the provisions contained in this policy. Project Manager's Procedure Manual 17 of 73

Chapter 3 Capital Planning The five-year campus master plan update required pursuant to Subsection 1013.30(3), F.S., shall be considered to be a plan amendment and is subject to the provisions contained in this policy. The campus master plans must also meet the requirements for five-year state land management plans; therefore, the proposed amendments must be reviewed by Florida Department of Environmental Protection (FDEP) for compliance with the requirements contained in Sections 253.034 and 259.032, F.S. An amendment to an adopted campus master plan may be made no more than one time during any calendar year, except in an emergency. "Emergency" is the occurrence or threat of occurrence, which results in or may result in: Substantial injury or risk to University students, faculty or staff, or to the surrounding community; or Substantial damage to or loss of property; or Substantial loss of public or private funds. For each proposed plan amendment, the University shall submit a transmittal letter from the president of the University that includes: Name, title, address, and telephone number of the University contact person who is familiar with the proposed plan amendment; Whether the proposed amendment, either alone or in conjunction with other plan amendments, exceeds the thresholds established in Subsection 1013.30(9), F.S.; Whether the proposed amendment changes land use designations or Classifications, or impacts off-campus public facilities, services, or natural resources; Whether the proposed amendment is an emergency. If so, the transmittal letter shall include a statement or statements that set forth the facts and circumstances justifying the emergency; and Four (4) copies of the entire element or elements being amended, all proposed maps and figures, and support documents (data and analysis) or summaries of such support documents, which set forth the facts and circumstances justifying the need for the amendment. The text of the proposed changes shall be coded in such a way as to make clear what is being changed. Text that is proposed for deletion should be stricken through, and text that is proposed to be added should be underlined, Sample Highlighted Format for Proposed Plan Amendment Text, PM Exhibit. In the case of proposed amendments to the Future Land Use Map or map series, the following additional information must be provided: A proposed Future Land Use Map which clearly shows the proposed land use designation for the subject property(ies), the boundaries of the subject property(ies), and the relationship of the subject properties to public facilities and services within the context area; The size of the subject property in acres or fractions thereof; Project Manager's Procedure Manual 18 of 73