State Buildings Programs and Project Management

Transcription

1 OFFICE OF THE STATE ARCHITECT STATE BUILDINGS PROGRAMS POLICIES AND PROCEDURES PROJECT MONITORING AND COST MANAGEMENT GUIDELINES These guidelines are intended to assist all state agency personnel responsible for establishing construction project budgets, monitoring status, managing costs and project reporting for state funded capital construction and controlled maintenance projects. Applies to projects funded in FY 13/14 unless indicated otherwise. For guidelines pertaining to revising contract documents through amendments, change orders and supplements; please refer to the current version of State Buildings Programs policy Contract Modification Documents SBP/CONT/MOD online. Cash funded capital construction projects over two million dollars ($2,000,000) are required to comply with these guidelines. I. Responsible Party: a) Each capital construction and controlled maintenance project should have assigned a Project Manager responsible for: Establishing project budgets Reviewing, approving and tracking change orders/ amendments/supplements. Compiling and reporting monthly project status reports and final closeout reports Compiling and reporting the annual SBP construction project status reports Checking line item budgets with actual costs Monitoring contingency funds Reverting unencumbered funds to the capital construction fund at project close out. (This activity should be conducted in close coordination with the State Controller s Office (as applicable), which issues an open projects list, CCCAS Form, which indicates the expiration of third year closing deadlines for appropriations.) (Note: An internal process needs to be setup to review and approve the initial contract scope of work and associated costs, such as contract sums/fees, and reason for changes through change orders/amendments/supplements and pay applications, and one which incorporates the signature of the principal representative to commit the agency to expend the funds and State Buildings Programs/Delegate for technical approval.) b) Typically, the responsible party to manage the project, the Project Manager is the State Buildings Delegate or other technical staff working closely with State Buildings Programs directly involved in day-to-day project management. These individuals would be the most familiar with the project scope, the progress, and any associated changes during the design and construction phases. II. Project Monitoring and Cost Control documentation: a) Construction project application (SBP Form SC-4.1, and OSPB CC-1 online) On general funded construction projects, this form is required to initiate each construction project. (Refer to online form with instructions) 1 of 8

2 On cash funded construction projects, the project budget is established through the approved CC-C form as applicable. b) Construction Project Status Reports (SBP Form CM-4 and CC-1 online) At a minimum, it is suggested that each agency responsible for capital construction and controlled maintenance appropriations maintain a monthly status report similar to the one submitted annually to State Buildings Programs. It is, however, required by State Buildings Programs that each agency submit on an annual basis the CM-4 and CC-1 Construction Project Status Reports. The reports are due at State Buildings Programs with the annual Controlled Maintenance submittal in September of each year. This report tracks all Long Bill authorized construction projects and all cash funded construction projects over $2 million dollars, as listed below (refer to Controlled Maintenance instructions, CM/CC status report section 2.6): Assigned project number (P for capital construction, M for controlled maintenance, and for Agency Cash Funded Project an agency assigned number, if applicable) Project Title/Phase CCFE appropriation ($) (by phase) Other funding ($) funds available Dollars Committed ($) (by phase) Percent of Dollars Committed (%) (by phase) Dollars Expended ($) (by phase) Percent of Dollars Expended (%) (by phase) of Notice of Substantial Completion Project Closeout Exhibit L-1 Code Compliance Transmittal Project Closeout Exhibit L-2 Budget Reconciliation/Project Evaluations Transmittal Comments c) Project Specific Status Report (SBP Form SC-10.1 attached) This summary report should be compiled for each construction project and the data should roll up to the construction project status report (SBP Form CM-4/CC-1) at a minimum, the following budget and cost data should be tracked and compared to monitor and determine the financial soundness of the project: Construction project application (SC-4.1) for each budgeted line item or in the case of cash funded project, the original project budget as established per the CC-C form. Architect/Engineer s/contractor s estimate of probable construction cost. (at schematic design, design development and construction documents phases as applicable). Contractor s actual bid (or guaranteed maximum price, as applicable). Committed to date (fully executed contract amounts, including purchase orders, commitment vouchers, etc.). Expended to date with percentage (change orders, pay applications, warrants, etc.). Pending commitments (negotiation phase, contract approval routing, etc.). Projected commitments (anticipated work, scope changes, etc.). Project balances with percentage. Budget to actual final costs. d) Contract Status Report (SBP Form SC-10.2 attached) 2 of 8

3 Each design and construction contract should be tracked individually and the data collected should roll up to the Project Specific Status Report (SBP Form SC-10.1). At a minimum, the following cost data should be monitored: Each design and construction contract. Each construction bid phase, if applicable. Funding availability/condition precedent clause, if applicable. All associated supplements, change orders and amendments. (Note: Tracking of projects with the use of these documents should be done in association with State Buildings Programs Change Order Management Guidelines SBP/CO/MGMT online) e) Project Close Out documentation (SBP forms Exhibit L-1 and L-2 attached)) In addition to the annual project status report submission to SBP, agencies/institutions are required to submit the following project close out documentation for each capital construction and controlled maintenance project: Exhibit L-1 Code Compliance Project Close Out Submittal: Code review agent s Letter of Code Compliance. Notice to Proceed. Building Inspection Record fully signed off and approved. Notice of Authorization to Use/Occupy. Exhibit L-2 Budget Reconciliation/Administration/Evaluations Transmittal: Final Project Application SC-4.1 or CC-C as applicable and all subsequent revised SC-4.1 s or CC-C s and a written explanation of utilization of contingency funds. Project Monitoring written explanation including how project was administered for cost and quality control, staff positions/ roles and responsibilities, organizational structure and the use of documentation tools and third party consultants. Lessons Learned/Evaluations including project delivery method selected, effectiveness of quality control measures, and accuracy of estimates to actual project costs, success of design intent to outcome and advantages/disadvantages of High Performance Certification Program. Use of Foreign-produced goods per CRS (Applies to new contracts for which the invitation for bids or the request for proposals was issued on or after January 1, 2014). At each project close out the state agency will submit to OSA the Five Most Costly Goods, total cost and country of origin of the goods and any applicable federal domestic content preferences incorporated into the project, including iron, steel, or related manufactured goods as provided by the contractor. The information submitted will be an attachment to Exhibit L-2, Budget Reconciliation/Project Evaluations Transmittal. III. Contingency Management Contingencies for new construction are recommended to be set at a maximum of 5% of the overall project budget. A maximum of 10% should be set for renovation. It has been recorded, however, that some renovation/controlled maintenance project contingencies have exceeded 10% due to unknown conditions. It is essential that the project contingency is based on the overall project budget including all associated costs and not solely on the construction cost. 3 of 8

4 a) It is recommended that project contingencies be subdivided into, but not limited to, the following categories for budgeting purposes: Professional services Construction/site Movable equipment/furniture Other b) Contingencies are established to compensate for unknowns. It is not expected, however, that the budgeted sub-category amounts are fixed and static. Contingency dollars can move from one category to another as required provided that they are not used to increase the scope of work outside the legislative intent of the appropriated funds. DIFFERING SITE CONDITIONS: either encountered on site or in the building structure due to existing conditions not identified or detected during initial investigations. BID ALTERNATES: Implementation of either additive or deductive bid alternates due to favorable/unfavorable base bid results, The functionality of the project is not compromised by implementation of deductive alternates. ADDED VALUE: Change work represents essential work necessary to achieve original scope of work but was not identified in the original bid documents due to omission. UPGRADES: Change work due to voluntary upgrading by agency/institution of materials and/or equipment/systems within original scope of work. Justification is to be based on durability, energy efficiency, aesthetics, etc, UNKNOWN ITEMS: Unforeseen costs associated with impact of project on existing functions of the agency/institution causing disruptions, shut downs, relocations, etc, c) TRANSFER: With approval from OSA, Controlled Maintenance (CM) project funds can be transferred to another CM project or an OSA declared emergency project. Capital construction projects can t transfer funds to other projects. d) REVERSION: Contingency dollars, as well as any other budgeted project dollar balances that remain after the project is completed, are to be reverted to the capital construction fund. End of Policy SBP/PROJ/MON/COST/MGMT Rev. 1/ of 8

5 OFFICE OF THE STATE ARCHITECT STATE BUILDING PROGRAMS PROJECT SPECIFIC STATUS REPORT SBP Form SC-10.1 Agency: Project Number: Project Name: Project Manager: Report : Start : Completion : Category Cost Item (as Applicable) Land Acquisition Land Purchase Cost. Professional Services Master Plan/PP Site Surveys, Investigations, Reports Architectural / Engineering/ Basic Services Code Review/Inspection Construction Management Advertisements Other (Specify) Total Professional Services Construction Infrastructure Service/Utilities Site Improvements Structure/Systems/Compo nents New (GSF): New $ /GSF Renovate GSF: Renovate $ /GSF Other (Specify) High Performance Certification Program Total Construction Costs Equip. and Furnishings Equipment Furnishings Communications Total Equip. and Furnishings Cost Miscellaneous Art in Public Places = 1% of Total Construction Costs Relocation Costs Other Costs Total Misc. Costs SC-4.1/CC- C Budget () SD Estimate () DD/CD Estimate s () Bid/GMP Bid per Bid Package Commit ted to Expend ed to Pending Commit. to Balance Budget to Actual Project Contingency 5% for New 10% for Renovation Total Contingency Project Totals)]

6 OFFICE OF THE STATE ARCHITECT STATE BUILDING PROGRAMS CONTRACT STATUS REPORT SBP form SC-10.2 Agency: Project Number: Project Name: Project Manager: Design Firm (Arch, Eng, IH, Land Arch, Survey) Base Contract Supplement # 1 Supplement # 2 Supplement # 3 Supplement # 4 Supplement # 5 Supplement # 6 Supplement # 7 Supplement # 8 Subtotal Design Firm Report : Start : Completion: Amount ($) Contractor Base Contract Change Order # 1 Change Order # 2 Change Order # 3 Change Order # 4 Change Order # 5 Change Order # 6 Change Order # 7 Change Order # 8 Subtotal Contractor Other Subtotal Other Total Authorized Rev 7/2013