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6.12.1      Work Process Changes

All work process changes, new or modified, shall be reflected in the appropriate document (DCM PM, subcontracts, policies, procedures, or specifications) and shall follow the requirements contained in Facilities Standard Operating Procedure QMS0001: Document Management. The most recent version of QMS0001 shall be used.  All appropriate changes will include an estimate of the costs to implement the changes as part of the impact analysis or implementation plan.

The effective code date for new and remodeled LBNL building projects is the edition of the CCR Title 24 that is adopted by LBNL at the time of the final submittal of Preliminary Drawings (Design Development Drawings and Specifications). The date of receipt of this submittal is the official “date of record” for the project. The edition of the CCR Title 24 in effect on that date as adopted by LBNL will be applied for the duration of the project. In the event Preliminary Drawings are not submitted to the LBNL Fire Marshal prior to submission of Construction Documents (defined as Working Drawings and Specifications), the edition of the CCR Title 24 in effect on the date of receipt of the Construction Documents by the LBNL Fire Marshal will apply.

Generally, consensus codes and standards do not obligate an owner to retrofit existing installations to more current editions of the document. However, modifications to existing facilities or infrastructure equipment, assemblies, and wiring are subject to inspection to verify compliance with the codes and standards as of the date of record for the installation. If the modification presents a hazard to life, equipment, or property, current codes and standards shall be used to define requirements for mitigating the hazard. Any Nationally Recognized Testing Laboratory (NRTL) listing invalidated by a modification will require a NRTL field examination by the LBNL Electrical AHJ for Safe Equipment and re-listing prior to acceptance by the IAHJ. 

6.12.2      Code of Record

The appropriate version of a Code of Record, as defined in LBNL PUB-3000, Chapter 8, is the version that was in effect when approvals were obtained for the phase of the project for which the code applied, regardless of the duration of the project. Revised codes do not supersede previous codes for phases of the project that already have been approved. The Code of Record provision applies to electrical equipment and installations. However, it does not apply to electrical safe work practices and workplace conditions. Changes will follow the requirements of Section 6.12 and other applicable sections of this document and LBNL PUB-3000. 

6.12.3      Key Project Member Change Turnover Process

A change in the Project Manager or Construction Manager may be made at any time during the execution of the project. This change places a new person, with or without prior knowledge of the project, into the position of Project Manager or Construction Manager.

Prior to the new person taking full responsibility, a turnover process shall occur. The extent of the turnover process will depend upon the size and complexity of the project, but shall at a minimum include the following:

  • Hand off of all project documents including a discussion of both electronic and hard copy files
  • Current assessment of project risks
  • Summary of outstanding issues and priorities

A meeting shall be conducted with key project team members to review these documents as they are turned over to the new team member.

6.12.4      Scope Changes

In some cases, the scope of work will require revision. Changes to the scope of work may originate from one or more of the following sources:

  • Client request
  • Fire Marshal and/or other EHS request
  • Field condition
  • Error or omission 

All requested/required scope changes and subcontract change orders are recorded by the Project Manager on the Project Change Log. The Project Change Log includes:

  • Project Change Order Number
  • Date
  • Description
  • Source of Change
  • Rough Order of Magnitude (ROM) for potential changes
  • Subcontractor
  • Notice to Proceed
  • Actual Amount
  • Subcontractor Change Order number
  • Original ROM variance
    • Design impacts – Revisions to the SOW may require additional design and engineering or at least a validation that the revised scope is within the parameters of the original design and engineering review. The Project Manager, in consultation with the Project Director, makes this determination and notifies members of the design review team, as necessary.
  • JHA impacts - Revisions to the SOW may impact the Construction Safety Checklist and associated JHA for the project. The Project Manager compares the revised scope to these documents and consults with the EHS Team Lead, as necessary.
  • Project Director review - The Project Director reviews the Project Change Log and verifies processing of a Scope / Budget Change form, as appropriate.

Project changes in the following categories require processing of a Scope / Budget Change form.

  • All client-requested changes to project scope
  • All Fire Marshal and EHS-directed changes to project scope
  • Field discoverable and error or omission changes in scope
  • Changes to the approved project budget.

Depending on the complexity of the project, there may be a project sponsor, users, and other interests. If those entities cannot agree on a revised scope document, it will be the responsibility of the project sponsor to resolve the differences with the assistance of the Project Manager; however, it is not the responsibility of the Project Manager. The cost of refining the scope of work document will be included in the project budget and paid for with project funds.

6.12.5      Change Orders

  • The Project Coordinator shall create and maintain a Change Order Log using the standard format. If the Project Manager determines that there is a need for a change, a Change Order number will be assigned and added to the Change Order Log. All construction subcontractor requests for change will be entered and their status tracked in the Change Order Log.
  • The Project Manager shall coordinate development of the changed scope of work, which may include obtaining drawings and specifications from the A/E of record.
  • The Project Manager will determine the approximate value of the proposed change and assign budget for the change.
  • The Project Manager will prepare (or have prepared) a detailed cost estimate for the changed work when necessary.The Project Manager will discuss the proposed work with the Construction Manager to determine if circumstances warrant directing a change, and if so, will:
      • Determine whether to use time and materials or fixed pricing.
      • Confirm that the dollar amount of the change is within the amount permitted under his/her delegation of authority. If not, the Procurement Subcontract Administrator must approve the change before proceeding with the work.
      • Issue a Field Order using the standard form to the construction subcontractor. The Field Order is to specify the estimated dollar amount of the change and the estimated time adjustment (if any) to the subcontract completion date. The Field Order description should reference any design drawings or specifications.
  • The Procurement Subcontract Administrator shall request a quotation from the subcontractor.
    • The Project Manager and Construction Manager will reconcile the subcontractor’s quote with LBNL’s cost estimate and assist the Procurement Subcontract Administrator in negotiating final pricing with the subcontractor when necessary.
    • The Project Manager shall determine applicable time extensions, if any, and advise the Procurement Subcontract Administrator so that the subcontract can be modified to reflect a revised completion date.
    • The Project Manager shall send a Construction Subcontract Change Authorization form to Procurement, along with copies of the field order, quotation, LBNL estimate, and any related design documents. A purchase requisition shall be entered into eProcurement to initiate the change to the subcontract.
  • The Procurement Subcontract Administrator shall issue a subcontract modification to the construction subcontractor. Several subcontract changes may be combined into one subcontract modification. The Project Coordinator is to record the subcontract modification number by each Change Order listed in the Change Order Log.
  • The Project Coordinator shall record the approved subcontract modification on the Subcontract Accounting Log.

6.12.6      Use of Budget Contingency

Project budget contingencies are developed by the Project Managers to cover unforeseen field conditions and errors or omissions. The level of contingency depends upon the level of estimate prepared and consideration of identified risks for the project.

The Project Manager and/or Project Director are authorized to use the budget contingency for scope changes resulting from unforeseen conditions and errors or omissions with Project Director or DCM Department Head approval.

The budget contingency shall not be used to finance scope changes desired by the client unless discussed with and approved by Project Director.

6.12.7      Construction Contract Modifications

Refer to Appendix L, Financial Policies, for details on construction subcontract change control.

Timely handling of construction subcontract modifications (Change Orders) is a vitally important aspect of construction subcontract management. Therefore, during the performance of construction by subcontract, Project Managers shall ensure that the following actions are taken with regard to managing subcontract changes: 

  • Review pending subcontract change issues at least weekly. Maintain an up-to-date Change Order Log that contains, at a minimum, the information shown on the Subcontract Modifications Change Order Log. (Note that each Change Order should be classified as: (a) User Request, (b) Errors & Omissions, (c) Hidden Conditions.
  • Enter data in Cost Workbook/Cost Sheet in a timely fashion.
    • Subcontract modifications should be processed within 30 days of identification. Should a change issue remain unresolved for more than 30 days, management, Procurement, and legal advice should be consulted to develop a plan for resolution. No change issue should remain unresolved for more than 90 days.
    • Conditional agreements by the subcontractors are not acceptable. Should a subcontractor sign a contract modification conditionally, the Project Director should be notified promptly, and the Procurement Subcontract Administrator should be notified that conditional agreements on subcontract modifications are not acceptable.
    • Disputes should be brought to the attention of the Project Director as soon as they are identified by the Construction Manager. Written recommendations for resolution of the dispute should be prepared and provided to the Project Director within 15 days of receipt of a request for final LBNL decision by a subcontractor.
    • Require daily submittal of time and material work from subcontractor. Review and approve submittal.

6.12.8      Claims/Arbitration

After receipt of a claim from the construction subcontractor, the Project Manager shall:

  • Review potential claim letter(s).
  • Notify the Procurement Subcontract Administrator, Project Director, and legal counsel, when warranted.
  • Collaborate with Procurement in preparing response(s).
  • Keep the project initiator informed of the claim’s status.