Project Management Manual - Facilities Planning & …

1 April 2012 Project Management ManualOffice of Design & Construction ManagementPhoto on cover courtesy of KU University RelationsSource: The University of Kansas, Offi ce of University Relations. David F. McKinney, photographer. Sincere efforts have been made to ensure the accuracy of the information contained within this document. Errors should be brought to the attention of:The Offi ce of Design and Construction ManagementThe University of KansasCarruth O Leary Hall, 1141246 West Campus RoadLawrence, KS 66045-7505 Phone: The University of Kansas, 2012 Project Management ManualApril 2012 Offi ce of Design & Construction ManagementThe University of KansasLawrence, KansasBernadette Gray-LittleChancellorJeffrey S. VitterProvostDiane GoddardVice Provost for Administration & FinanceBarry SwansonAssociate Vice Provost for OperationsJames E. ModigDirector, Offi ce of Design & Construction ManagementUniversity ArchitectivivivDCM Project Management ManualvDCM Project Management Manualv1 INTRODUCTION2 OFFICE OF DCM3 Project TEAMT able of Contents iii - vExecutive Summary Summary Flow Chart DCM services Organizational Chart DCM Team Contacts Project Team Leadership Client Administrative Review & Approvals Team Diagram Offi ce of the Chancellor Offi ce of the Provost Endowment liated Corporations Agencies and Governance Government Design and Construction Group KU Departmental Support & Reviews OF CONTENTSvDCM Project Management ManualviDCM Project Management Manualvi4 CAPITAL Planning PROCESS5 SMALL CAPITAL PROJECTSI ntroduction Capital Projects Council Planning & Space Management Planning Advisory Committee Summary A Review Process One Assessment Diagram Two Assessment Diagram

2 For Requests of study Capital Project Approval Process Planning Diagram Summary study Diagram Initiation Diagram Capital Funding Process Approval Diagram Process Overview Phase Diagram and Construction Options Phase Phase Diagram Cap Project Management Checklist Project Management ManualviiDCM Project Management Manualvii6 LARGE CAPITAL PROJECTS7 ABC Project CLOSE-OUTPROCESS FLOW CHARTSREFERENCE LIST OF DOCUMENTSGLOSSARYO verview Summary Summary Chart Initiation Process Overview Phase Diagram and Construction Options Phase Phase Diagram Cap Project Management Checklist Close-Out Close-Out Diagram Capital Projects Capital Projects OF CONTENTS viiiviiiviii1xxDCM Project Management 1 - Introduction1 INTRODUCTIONEXECUTIVE SUMMARYThe Offi ce of Design and Construction Management (DCM) has been assigned by The University of Kansas administration and the Kansas Secretary of Administration the responsibility for oversight of all design and construction projects under Management authority of the Lawrence campus.

3 All KU departments and affi liates are required to submit Project requests for DCM to provide feasibility studies, design services or consultant oversight, code compliance, construction Management and required approvals for campus development DCM Project Management Manual illustrates our commitment to providing excellence in Project delivery to our University clients. The Manual has been developed in collaboration with over 50 entities within the KU community and will serve as a communication tool to provide a better understanding of the Project delivery process and the services that the Offi ce of Design and Construction Management provides. The Manual will also serve as a guide for DCM s Project Managers (PM) to deliver projects with systematic best practice policies and procedures. Currently, there are over 140 possible variations to the Project delivery process based upon the potential cost of the Project , funding types, and design and construction procurement options.

4 This document helps to organize and streamline these processes based upon the type of funding and the estimated construction cost of the Project . The Manual describes a standardized process for each of the fi ve phases of Project delivery --- Project initiation, funding, design, construction, and close out --- including required approvals and deliverables, a Project Management checklist, applicable forms and templates, and graphic representations of the control procedures have been identifi ed. The quality controls are risk Management tools that will help DCM ensure adherence to Project budgets, scopes of work, schedules, and procurement regulations. We endeavor at all times to be good stewards of the University s assets and is DCM s intent to post updates periodically. Visit for the latest version of the Manual and associated forms. Offi ce of Design and Construction Management James E.

5 Modig, Director DCM Project Management 1 - Introduction1 INTRODUCTIONM ission The Offi ce of Design & Construction Management strives to support and enhance the environment for teaching, research, and support Facilities at the University of Kansas by delivering buildings and other campus infrastructure that are functional, aesthetically appropriate, cost-effective, sustainable, compatible with the University s mission and policies, and Values The KU Offi ce of Design & Construction Management strives to embody the following core values in every Project and every interaction with our clients, partners, and all members of the University that we serve: Health and Safety: Public health, safety and welfare are of paramount importance in all that we do. Life safety is the most critical component of any Project we manage involving occupancy. We look for opportunities to optimize life safety features, accessibility, and healthful, sustainable environments in our projects.

6 Integrity: Our work must comply with building codes and other applicable requirements. Our conduct is consistent with the rules and code of ethics of our professions. Our words and actions engender trust because we deliver on commitments. Quality: The projects we deliver meet or exceed customer needs and expectations. Buildings, building systems and infrastructure function properly and are aesthetically appropriate. The University is better positioned to attract students, researchers and professors due to the excellent spaces and environments we create. Customer Service: We routinely deliver projects on time and within budget; when this is not possible, we make every effort to minimize schedule and cost overruns. We treat our clients, partners and all members of the University with respect and a helpful attitude. We re open to suggestions for improvement and we continuously strive to improve our University of KansasOffi ce of Design and Construction Management1246 West Campus Rd, Room 114 Lawrence, KS 66045 Phone ( )Website: ( )STARTFEASIBILITY study SERVICESASSESSMENT/PROGRAM DOCUMENTSFUNDINGAPPROVAL OF Project Projects exceeding $500,000 are submitted by the KU client group to CPSM for the CPC review process.

7 CPAC and DCM may assist in preparing the required assessments. Once approved, the Project is submitted to DCM. For approved projects from the CPC process and/or new Project requests for projects under $500k, the Project is submitted to DCM from review of appropriateness and assignment of a DCM Project Manager to coordinate the preparation of a Planning /Programming study (if over $500k) or a Feasibility study (if under $500k). DCMF easibility study Includes Budget & TimelineLimit: $750,000 Est. Construction Cost - Arch. services $500,000 Est. Construction Cost - MEP services $1,000,000 on Union and Athletic FundsGift KU Design & Construction Management (State/Non-State Funds) Production services DivisionLimit: $750,000 Est. Construction Cost - Arch services $500,000 Est. Construction Cost - MEP ServicesKU Facilities services (State/Non-State Funds) Projects - Remodels, Dollar Limit = Under $750,000 (Typ)Job Order Contracting (State/Non-State Funds) Projects - Remodels, No Dollar LimitAlternate Bid - Affiliated Corps.

8 (Non-State Funds) $1,000,000 Limit on Union/Athletics, No Limit on KUCRA lternate Project Delivery (Non-State Funds) Projects - Any, No Dollar Limit (CM @ Risk)Negotiated Procurement (State/Non-State Funds)Projects - Typ. Building System, No Dollar LimitCompetitive Bid (Non-State Funds)Projects - Any, No Dollar LimitAlternative Project Delivery - OFPMP rojects - Any, No Dollar Limit (CM @ Risk) (State Funds)Competitive Bid - OFPM (State Funds)Projects - Any, No Dollar LimitDesign Build (State Funds) (Future SB9 - Non-State Funds)Projects - Any, No Dollar LimitOn - Call Consultant (State/Non-State Funds) Design Firms Under 3 yr Contract with StateLimit: $750,000 Est. Construction Cost - Arch services $500,000 Est. Construction Cost - MEP ServicesConsultant (Non-State Funds) Advertised through DCM/KU PurchasingDesign Firms Submit Qualifications StatementsIf Short Listed - Interviewed and Selected by CommitteeNo dollar limit on servicesConsultant (Non-State Funds) Advertised through OFPM/State PurchasingDesign Firms Submit Qualifications StatementsIf Short Listed - Interviewed and Selected by CommitteeNo dollar limit on servicesDesign Build (State/Non-State Funds) (CM @ Risk) Design/Construction Management Firms Submit Qualifications Statement to Applicable Procurement Committee (committee dependent upon state or non-state funds)Short Listed - Submit Proposal - Interviewed and Selected by Applicable Negotiating Committee (committee dependent upon state or non-state funds)No dollar limit on servicesNon-State Funds (includes funds other than taxpayer generated funding)Process.

9 The State Educational Institution Project Delivery Construction Procurement Act process (KSA 76-7,125 et seq.) through the Office of DCM and KU FundsProcess: State mandated process through the Office of Facilities and Property Management (OFPM) in the Kansas Dept. of Administration. *Note: if any state funds are involved within the Project , the OFPM process applies. Non-State (Affiliated Corporation Funds - ACF)Grant/Bond KU Center for Research (KUCR)Operating Kansas Memorial UnionsOperating Kansas Athletics (and Bonds)Non-State (University Accounts)Funds 87-796 (Approx. 130 Comptroller s Non-State funds)Fund 99 Tuition Enhancement Funds (TE) for Improvements to ClassroomsFund 180 University Interest Funds (UI) for Deferred MaintenanceFund 700 Restricted Fee Income (RF)Non-State (Federal Accounts)Fund 711 Federal Family Education Funds (SGF)Fund 712 Federal - Other AgenciesFund 715 Federal ARRA ProjectsFund 716 Federal Fiscal Stabilization - ARRAFund 717 Federal Restricted FEES ProjectsGrant/Bond KU Center for Research (KUCR)Fund 003 Operating State General Funds (SGF)Fund 30-37 Various State Fund AccountsFund 185 State Tax Funds - Infrastructure Maint.

10 (IMP)Fund 190 Renovation and Repair Projects, etc. (EBF)On-Call ConsultantsDCM selects state approved firms - 3 yr contracts for programming, cost estimating, scheduling and design ProcurementFund type dictates method to acquire servicesMax $5,000 if contracted directly with university fundsNo limit if advertised with private fundsOFPMK ansas Division of Facilities Management in Topeka, KS (Typically not used)Approvals Required Prior to Feasibility study KU DCM Director KU RequestorApprovals Required Prior to Program study KU Requestor CPSM CPC Funding Authority KU DCM Direcor Chief Business/Financial Planning Officer (for selected projects)Approvals Required Prior to Start of Design services < $500,000 Projects (State and Non-State) KU Requestor Funding Source Identified KU Capitol Planning Advisory Committee KU Chief Business/Financial Planning Officer Kansas Board of Regents staff approval (under $500k for RR)