1.1 DESIGN AND CONSTRUCTION MANAGEMENT DEPARTMENT HEAD Role

The DCM Department Head manages all activities of the Design and Construction Management department.

Responsibilities

The Design and Construction Management (DCM) Department Head is responsible for maintaining the DCM Procedures Manual and issuing DCM Policy Directives. This includes reviewing proposed directives and procedure revisions, obtaining staff concurrence, and issuing final approved policies and procedures.
After approval, new and revised policies and procedures will be distributed to all DCM personnel.
Each DCM policy or procedure will be reviewed periodically. If necessary, action will be taken to retire policies or procedures, or issue revisions to them.

The DCM Department Head is responsible for the mission and scope of DCM projects.
The DCM Department Head will ensure that project management training is made available to Project Managers and other personnel in the department who are involved in the project management process.

1.2 PROJECT DIRECTORS Role

Project Directors oversee and support the activities performed by the Project Managers and Field Project Managers assigned to their section, with a focus on the value stream of those projects.

Responsibilities

Coordinate project activity with customer divisions and represent the Laboratory on project matters with DOE/BSO, UC and other external organizations to achieve customer needs. Coordinate client contacts, including regular correspondence with the clients and maintain working relationships at all levels throughout the project.
Direct the planning and development of the project scope, procedure, budget and overall project schedule.
Manage and control contractual commitments to assure that all work is being performed in accordance with the specifications, drawings and terms of the subcontract.

Review and approve project forecasts, schedules, cost estimates, financial reports.
Ensure prompt close-out of projects.
Proactively seek out customer needs as they pertain to project management services. Develop a full understanding and accept ownership of those needs, seek relevant solutions which meet all requirements and follow up to ensure that the customer is satisfied.

1.3 PROJECT MANAGERS Role

Project Managers coordinate, manage, and administer multiple, complex and competing projects from the conceptual phase through planning, engineering, procurement, construction, start-up, and closeout.

Responsibilities

Perform all project management activities in accordance with the DCM Procedures Manual in current revised form.
Inquire with direct supervisor/manager when the need arises for clarification and/or interpretation of the DCM Procedures Manual policies and procedures.
Initiate and direct the planning and development of the project scope, budget, and overall schedule.
- Furnish project cost estimates to the client.
- Lead project teams consisting of Construction Managers, Project Coordinators, other Facilities staff and subcontractors.

Using Construction Managers and other Facilities staff, manage activities of subcontractors, LBNL in-house Construction Services staff, and vendors performing work, providing services, and supplying materials or equipment for the project.
Meet all requirements and perform duties of an Authorizing Individual as define in the Facilities Division ISM Plan.
In the absence of an assigned Construction Manager, assume the Construction Manager’s responsibilities and duties (see below). Initiate design reviews, review plans and specifications for completeness. Take responsibility for coordinating design input from all the team members and incorporating the information into the design.
Monitor and update project costs plans and schedules. Prepare project forecasts and review and approve project financial reports.
Manage procurements on projects through the LBNL Procurement Division, including: review and approve purchase orders, change orders, and subcontracts.
- Approve progress payment requests and subcontractor schedules.
- Present project status to the client and DCM Department Head verbally and/or in writing, as appropriate. Developments affecting scope, schedule, and/or budget should be communicated promptly.

Ensure that work is performed in accordance with contractual requirements and authorized scope.
- Manage project risks and resolve technical issues raised by contractors.
- Control the cost, schedule, and scope of the design and construction-related activities.
- Identify and ensure timely resolution of critical issues within LBNL’s control that impact project performance.
- Ensure that all Environment/Health/Safety requirements are adhered to on assigned projects. Responsible for design and execution of a project in a manner that will not compromise the safety and health of workers, the public, or the environment.

Responsible for the safe and successful execution of the project scope of work.

Manages and supports commissioning activities (refer to the Commissioning Process: Standard Operating Procedure for details).
Provide the number of complete sets of design and construction documents requested by the EHS Team Leader at each review stage.
Responsible for the distribution of the design documentation (drawings, specifications, calculations, etc.) at the completion of each design phase to the EHS Team Leader for review and sign-off. An adequate period must be allocated for review of design documentation.
- In conjunction with the subcontractor and RI, develops an equipment energization elan that reflects the requirements in the Facilities Safe Electrical Installations Policy and Procedure when applicable work is performed by subcontracted QEWs.
- Refers subcontractor submission of any QEW acceptance and supporting documents to appropriate individuals for approval.

Approve the subcontractor’s safety plan.
Ensure that a project specific Soil Management Plan is approved by the EHS team for all projects that disturb LBNL soil, and that all work performed follows that plan.
- Obtain as-built drawings for projects, as applicable.
- Ensure prompt closeout of the project, including client and DOE approval and sign-off of completed projects, as applicable.

1.4 CONSTRUCTION MANAGERS

The following describes the construction management roles and responsibilities of the Project Manager or Construction Manager, if assigned.

Role

Construction Managers manage field implementation of construction related modifications of the LBNL physical plant. Responsibilities include obtaining, overseeing, and coordinating construction/fabrication services and acquiring personnel needed for projects. Construction Managers are assigned by the DCM Department Head; otherwise, the Project Manager performs the role of Construction Manager.

Responsibilities

Perform all project management activities in accordance with the DCM Procedures Manual in current revised form.

Inquire with direct supervisor/manager when the need arises for clarification and/or interpretation of the DCM Procedures Manual policies and procedures.
Coordinate and supervise construction activities and teams, including sub-contractors and in-house Construction Services staff.
Manage sub-contracted construction work as determined by Project Managers, including preparation for contract modifications.
Coordinate construction with site safety inspectors, building managers, Site Construction Coordinator, and the Facilities inspection group, keeping all concerned apprised of schedules and status.
Meet all requirements and perform duties of a Responsible Individual as define in the Facilities Division ISM Plan and LBNL Health and Safety Manual, PUB-3000, Chapter 18.

Ensure that all workers have the required LBNL safety training and are following all EHS requirements.

Participate in design reviews, review plans and specifications for constructability.
Develop construction methods, construction schedules, and material delivery requirements.
- Submit progress reports that include schedule and cost updates to Project Managers.
- Verify work performed and analyze and recommend progress payments.
- Develop and evaluate project construction estimates; review plans and specifications for constructability, operability, maintainability, and cost effectiveness.
- Maintain accurate and comprehensive documentation of projects including plans, specifications, schedules, approvals, effort levels, costs, etc.
- Prepare a daily log of all contractor activity and provide the Project Manager with a copy at day’s end.
- Serve as liaison with LBNL’s customers on construction activities when requested to do so by the Project Manager.
- Notification of Construction Work: Prior to performing work in any building, the Project Manager or Construction Manager shall notify the appropriate building manager or facility manager so that any specific hazards or precautions relevant to the work and location can be identified.
- Prepare a daily construction progress report for each day s/he is on the job, noting all construction activity, field conditions, and number of subcontractor personnel by trade. Progress photos should be included as needed.
  - Environment/Health/Safety responsibilities include:
  - Monitor overall worksite status, ensure safe performance of work by subcontractors, in- house crafts, vendors and other LBNL personnel.

Ensure that physical controls are in place (including security fences and hazardous materials storage areas)
Support contractors when they need information and resolve issues that threaten work progress.
- Manage traffic and logistics on site and in adjacent areas.
- Manage the soil handling process in accordance with an approved Soil Management Plan, if applicable.
- Serve as the primary interface with all LBNL craft and EHS personnel, coordinating utility shutdowns, dig permits, burn permits, Job Hazards Analysis process, etc.
- In conjunction with the Construction Safety Engineer, perform worksite safety inspections, including an interview of subcontractor workers. Refer to Appendix H, Environment/Health/Safety.
  - Manages and oversees the Energization Validation & Authorization Package (EVAP) process and other requirements according to the Facilities Safe Electrical Installations Policy and Procedure.
  - Responsible Individuals (typically the Construction Manager) and other interested parties (EHS, Procurement, Facilities Safety) will meet monthly in a RI Roundtable to provide a forum to discuss lessons learned, best practices, incidents, and subcontractor performance.

1.5 PROJECT COORDINATORS Role

Project Coordinators provide project management support, assistance with schedule and cost plan development, financial reporting and schedule tracking, contract administration, and document control for assigned projects.

Responsibilities

The support services provided by Project Coordinators include, but are not limited to, the following:

Plan and manage administrative support of assigned projects.
Set up and maintain up-to-date project files, including hard copy, electronic, and web data.

Coordinate project reviews and approvals, project meetings, and site visits.
Prepare purchase requisitions for acquisitions of design and construction subcontracts, consultant agreements, miscellaneous services, and equipment.
Prepare and track subcontract change orders, Change Authorizations, and subcontract modifications.
Coordinate and track project communications, including meeting minutes, Requests for Information (RFIs), submittals, and safety documents.
Update cost plans and project schedules monthly, or as requested by the Project Manager.
- Maintain current Construction Projects Production Log information for assigned projects.
- Coordinate the closure of projects by tracking invoices, removing liens, and assuring timely closure of accounts and work orders by using Maximo, IRIS, and Financial Management System (FMS).
  - Archive project files following project closeout.

1.6 PROJECT CONTROLS Role

Project Controls staff develop and maintain schedule and budget tracking tools applicable to all projects

Responsibilities

Project Controls staff will have functional responsibilities only. They do not have project responsibilities for achieving project objectives. They do not have staff responsibilities for reporting project status or problems directly to sponsors, project initiators, or other senior executives. Such reporting is the responsibility of Project Managers.

Produce project reports, charts, and other information.
Print and distribute original and revised project schedules and cost reports to appropriate personnel.
- Assist Project Managers in preparing project status reports and briefing documents.

1.7 PROJECT PLANNER / SCHEDULER Role

Project Scheduler/planners assist with schedule development and serve as liaison for the scheduling of in-house crafts.

Responsibilities

Assist Project Managers and Project Coordinators with schedule development and maintenance.
- Liaison with Facilities Operations for the scheduling of in-house crafts.
- Assist Project Managers and Project Coordinators with schedule.
- Collaborate with Project Controls to develop and maintain project scheduling tools and processes.

1.8 EHS CONSTRUCTION SAFETY DESIGN REVIEW TEAM LEAD Role

In accordance with the Interface Policy Between EHS and Facilities: Project Support (refer to Appendix I), the EHS Construction Safety Design Review Team Lead assures that appropriate EHS support is provided for each project that Facilities identifies and for which support is requested.

Responsibilities

Identify the EHS Team Leader.
- Assign technical professionals to specific projects and tracks their participation.
- Assist the EHS Team Leader in resolving conflicting EHS issues when requested by the Team Leader.
- Distribute EHS/Facilities Guidelines for Renovation and Construction Projects, outlining safety procedures and responsibilities for the project team.

1.9 EHS TEAM LEADER

Role

The EHS Lead oversees and supervises the EHS team (including subcontractors) Responsibilities

Coordinate and supervise the activities of all the EHS team members.
Advise team members of project activities (meetings, reviews, events, etc.).
Distribute design and construction documents for review to the EHS team members.
Coordinate EHS review comments, resolve conflicts, and return a consolidated set of comments at each review milestone to the Project Manager.
Coordinate the sign-offs for the EHS team members at project review milestones, ensuring that EHS issues have been resolved.
Provide support and advice to the Project Manager to ensure EHS integration into all project activities at an appropriate level.
- Provide advice and support to the Project Manager and Construction Manager on the continuous improvement of safety throughout the project.
- Provide an interface with the subcontractor safety manager and staff to ensure that safety requirements are understood and that LBNL and the subcontractor perform as an effective team to support the safe conduct of work.
- Inspect the worksite as needed and gather and integrate data from other EHS staff to provide the Construction Manager with prompt and effective information and status on safety compliance on the project.
- Review and ensure that the Construction Safety Engineer approves the subcontractor hazard assessments and safety plans.

1.10 CONSTRUCTION SAFETY ENGINEER

Role

The Construction Safety Engineer is a key project team member. S/he provides oversight and support for safety at the jobsite and interacts with the Construction Manager and subcontractor.

Responsibilities

Review subcontractor safety plans and Job Hazards Analyses.
Review subcontractor safety implementation documents: permits, such as those for excavation, Lock out/Tag out (LOTO), air quality, asbestos, National Emissions Standards for Hazardous Air Pollutants, (NESHAPS), etc.; and sampling results.
Perform worksite safety inspections in conjunction with the Construction Manager, including an interview of subcontractor workers. Refer to Appendix H, Environment/Health/Safety. Report positive and negative findings/issues to the Project Manager.
Document positive and negative inspection findings and provide trending reports to the project and Construction Managers each week. Provide recommendations as appropriate. Summarize trending reports monthly, or as needed.
Track open safety issues and verify resolution. Perform effectiveness reviews of serious noncompliances to ensure that corrective actions have addressed the root cause of the noncompliance.

Periodically observe subcontractor tailgate and other safety meetings. Provides input on topics of interest.
Participate in all project review meetings and provide timely and constructive input on the safety performance of the subcontractor.
Develop and deliver any project-specific safety training to LBNL project personnel. This will include Lessons Learned from project errors and incidents and corrective training when project staff demonstrate a lack of effective knowledge on specific areas of safety compliance.
Develop any project-specific safety procedures as directed by the project or Construction Manager.

1.11 EHS TEAM MEMBERS/SUBJECT MATTER EXPERTS

Role

EHS team members participate in the same manner as all design team members, to review information, identify EHS issues, sign off at formal review periods, and assist with issue resolution.

Responsibilities

Review subcontractor safety plans and Job Hazards Analyses.
Review subcontractor safety implementation documents: permits, such as those for excavation, Lock out/Tag out (LOTO), air quality, asbestos, National Emissions Standards for Hazardous Air Pollutants, (NESHAPS), etc.; and sampling results.
Completes project deliverables in accordance with the budget and schedule determined by the project manager.

At any point in the process, if any team member identifies any EHS issues that need to be reviewed by additional technical staff, s/he shall make recommendations to the EHS Team Leader.

1.12 CONSTRUCTION INSPECTOR(S)

Role

Construction inspectors examine projects to ensure that their construction, alteration, or repair complies with applicable codes, regulations, and contract specifications.

Responsibilities

Accept responsibility from his/her functional supervisor to achieve the goals and objectives of a specific project.
Observe in detail all construction activities and site work operations, reporting these observations to the Project Manager daily.
Ensure the interpretation of plans and specifications are made by the Architect/Engineer of record.
- Continuously study design plans and specifications prior to and during construction.
- Attend pre-bid site meetings and pre-start orientation meetings with subcontractors.
- Maintain up-to-date files on all contractual data, including Change Orders, field memos, shop drawings, correspondence, etc.
- Provide daily inspection of construction activities to ensure conformance with plans, specifications, and code disciplines, including safety procedures.
  - Review and recommend to the Project Manager approval of progress payments.
  - Anticipate, observe, and report to the Project Manager conflicts affecting progress schedules.

Inspect construction procedures and materials for compliance with approved submittals.
Prepare a daily log of all contractor activity and provide the Project Manager with a copy at day’s end.
Observe tests required by the contract documents, obtain specimens, and forward to labs. Report test procedures and results to the Project Manager.
Verify testing invoices and pass them on for payment. Complete DOE “Monthly Contractor Count” reports and forward them to the appropriate departments.

1.13 COMMISSIONING ROLES AND RESPONSIBILITIES

Please refer to the Commissioning Process: Standard Operating Procedure for further details.

COMMISSIONING DIRECTOR
INTERNAL COMMISSIONING AUTHORITY
EXTERNAL COMMISSIONING AUTHORTY
COMMISSIONING TEAM

1. PROJECT INITIATORS

DEFINITION

A project initiator is a person who has the authority, or who has been given special authority, to start action on a project. For example, if LBNL Management assigns responsibility for a project to the Facilities Division, and the division accepts the project, then LBNL Management is the project initiator.

AUTHORITY

To enable them to fulfill their responsibilities, project initiators are normally delegated authority to:

Authorize use of project funds. Set and change project objectives.

Assign and reassign project responsibilities to other persons, and require the prompt reporting of major project problems.

Cancel projects.

Accept or reject the results of a project, close projects, and remove projects from the official list of approved projects.

2. PROJECT SPONSORS

DEFINITION

A project sponsor is a person who has accepted responsibility for a project, and who has then assigned the project to another person who has accepted responsibility for achieving the objectives of that project.

A line of project responsibility starts with a project initiator, and the responsibility is normally reassigned from person to person until it reaches a Project Manager. If a person accepts responsibility for accomplishing a project, the person from whom s/he accepted the project is his/her project sponsor.

If a project initiator assigns a project directly to a designated Project Manager, the project initiator is also the project sponsor.

RESPONSIBILITY

All persons in a line of project responsibility, including the initiator and all sponsors as defined above, will be fully responsible for achieving the objectives of the assigned project. When a person assigns a project to another person, that action does not relieve the first person of full responsibility for achieving the project objectives.

SCOPE DOCUMENT

When a project sponsor accepts a project and then assigns the project to another person, it may be appropriate for the sponsor to augment the project scope document and provide the other person a more definitive project scope than s/he received from his/her sponsor.

REPORTING PROJECT PROBLEMS

Reports of significant project problems and action recommendations, both written and verbal, will be forwarded by Project Managers and project sponsors through the line of project responsibility to the project initiator (refer to Project Problem Reporting, below).

3. PROJECT MANAGERS

RESPONSIBILITY

A Project Manager is a person who has accepted responsibility from a sponsor to achieve the objectives of a specific project and provides professional services consistent with the project management process.

DUTIES

Project Managers will fulfill their project responsibilities and accomplish their duties, such as:

Negotiate project objectives (scope, completion date, and budget) with the project sponsor, and accept responsibility for achieving those objectives if appropriate.

Contact appropriate functional organizations and obtain the names of the Task Managers to serve on the project team.

Organize and brief the project team, serving as the team leader, and working with the project Task Managers to produce task scope documents, task schedules, and task cost plans.

Develop a project plan.

Obtain task commitments from Task Managers.

Request that the project sponsor and the project user periodically review the project scope document, and see the work in progress, to ensure that the sponsor and user are in full agreement with the product being produced.

Ensure that the sponsor and user review and agree on changes in the project scope.

Take the lead role in resolving interface issues between two or more Task Managers. Ensure that no overlaps or gaps occur in task responsibilities. Direct unresolved interface/overlap issues to functional groups for resolution.

Ensure that tasks are accomplished so that the products (i.e., deliverables) of these tasks will properly integrate with each other, and will produce a final project product that meets the scope requirements and fully satisfies the users and other designated interests.

Work with Task Managers so as to promptly identify all significant task variances, determine the impact of these variances on the project objectives, and decide if a project problem exists.

Report promptly significant problems to the project sponsor (and others, if appropriate). A project problem is defined as a situation wherein it appears that a project objective cannot be achieved as agreed upon with the sponsor, or that the probability of achieving the objective has significantly decreased. Review project feasibility in the light of such problems.

Accomplish creative recovery planning to resolve project problems.

Revise the project plan when appropriate, to keep it current and valid, and provide copies to interested persons.

Present project status to the project sponsor and Project Director verbally or in writing, as appropriate.

Initiate design reviews, review plans and specifications for completeness.

Approve progress payment requests and subcontractor schedules, participate with Procurement in the negotiation of Change Orders with subcontractors, issue Change Orders, and approve subcontract modifications issued by Procurement.

Maintain the project files.

In the absence of an assigned Construction Manager, assume the Construction Manager’s responsibilities and duties.

Participate in other assignments as required by the Project Director.

ACCOUNTABILITY

Project Managers will be held accountable by their functional supervisor for performing their Project Manager duties in support of their assigned functional responsibilities.

Project Managers will be held accountable by their project sponsors for achieving the project objectives for which they have accepted responsibility.

AUTHORITY

Project Managers’ functional and project authorities are delegated to them by their functional supervisor and project sponsor, respectively.

Listed below are issues relating to project management over which Project Managers normally have authority. These are only examples, not a complete list. Project Managers should:

Accept project responsibility from sponsors and make commitments to meet project objectives.

Require that appropriate organizations designate qualified Task Managers, serve on the project team, accomplish assigned project tasks, and attend project team meetings.

Require that appropriate organizations help in the development and refinement of project scope documents and task scope documents.

Require that Task Managers provide scope of work, estimated costs, and schedules for assigned project tasks, both in-house and contractor. Manage the preparation of the project plan and determine when tasks need to be completed.

Negotiate task resource requirements, budgets, completion dates, and task scopes with Task Managers. Require that Task Managers either (a) reach agreement and commit to a task plan, or

(b) tell the Project Manager what they feel is the best they can do given the availability of resources and their understanding of project priorities.

Require that Task Managers promptly report all significant task variances to the Project Manager, both in-house and contractor tasks, and assist in solving project problems.

Approve changes in task scopes, completion dates, and budget.

Require that Task Managers provide reconfirmation at any time regarding the status of task objectives.

PERSUASION

To achieve their objectives, Project Managers will be expected to use an appropriate combination of delegated authority and persuasion skills.

4. 5. CONSTRUCTION MANAGER(S)

RESPONSIBILITY

The Construction Manager accepts responsibility from a Project Manager to achieve the goals and objectives of a specific project.

The Construction Manager has the responsibility to review construction subcontracts for constructability, completeness, operability and clarity; establish the standards of acceptability for subcontractors who are performing the work; interact with Procurement and others in providing services to the construction effort; and manage light construction labor-only subcontracts.

DUTIES

The Construction Manager shall administer construction subcontracts and:

Participate in design reviews, review plans and specifications for constructability, and develop construction methods and construction schedules.

Prepare field requests for clarification during bidding and prepare technical input to addenda, participate in field visits, conduct preconstruction meetings, process subcontractor submittals, maintain complete and accurate contractor records and files, including as-built drawings.

Review progress payment requests, schedule of values, and subcontractor schedules.

Report on and advise the Project Manager regarding the status, progress, and problems of subcontract activities, review problem solutions, schedule slippage, and recovery plans.

Prepare a daily log of all contractor activity, and provide the Project Manager with a copy at day’s end.

Cooperate with LBNL assigned construction and site safety inspectors in the review of subcontractors’ work.

Participate in other assignments as required by the Project Director.

ACCOUNTABILITY

Construction Managers will be held accountable by their functional manager for performing their construction management duties in support of their assigned functional responsibilities.

Construction Managers will be held accountable by their Project Manager for achieving the project objectives for which they have accepted responsibility.

AUTHORITY

The Construction Managers’ functional and project authorities are delegated by their functional supervisor and the Project Manager, respectively.

PERSUASION

To achieve their objectives, Construction Managers will be expected to use an appropriate combination of delegated authority and persuasion skills.

6. 7. CONSTRUCTION INSPECTOR(S)

RESPONSIBILITY

The Construction Inspector accepts responsibility from his/her functional supervisor to achieve the goals and objectives of a specific project.

The Construction Inspector has the responsibility for observing in detail all construction activities and site work operations. The inspector reports his/her observations to the Project Manager daily.

The Construction Inspector ensures the interpretation of plans and specifications are made by the Architect/Engineer of record.

DUTIES

The continuous study of design plans and specifications prior to and during construction. Attends pre-bid site meetings and pre-start orientation meetings with subcontractors.

Maintains up-to-date files on all contractual data, including Change Orders, field memos, shop drawings, correspondence, etc.

Provides daily inspection of construction activities to ensure conformance with plans, specifications and code disciplines, including safety procedures.

Reviews and recommends approval of progress payments to the Project Manager.

Anticipates, observes, and reports conflicts affecting progress schedules to the Project Manager. Inspects construction procedures and materials for compliance with approved submittals.

Prepares a daily log of all contractor activity, and provides the Project Manager with a copy at day’s end.

Observes tests required by the contract documents, obtains specimens, and forwards to labs. Reports test procedures and results to Project Manager.

Verifies testing invoices and passes on for payment. Completes DOE “Monthly Contractor Count” reports and forwards to appropriate departments.

ACCOUNTABILITY

Construction Inspectors will be held accountable by their functional supervisor for performing their construction inspection duties in support of their assigned functional responsibilities.

Construction Inspectors will be held accountable by their Project Manager for achieving the project objectives for which they have accepted responsibility.

AUTHORITY

The Construction Inspectors’ functional and project authorities are delegated by their functional supervisor and the Project Manager, respectively.

PERSUASION

To achieve their objectives, Construction Inspectors will be expected to use an appropriate combination of delegated authority and persuasion skills.

8. 9. PROJECT TEAM

THE PROJECT TEAM

The project team will consist of (1) the Project Manager, (2) the Task Manager(s), (3) functional supervisors and workers who are directly responsible for accomplishing task work, (4) subcontractors’ Project Managers, (5) the Project User, and (6) all other personnel working on the project.

PROJECT MANAGER

The Project Manager will do everything feasible to help his/her Task Managers accomplish their tasks as planned. The Project Manager is the team leader and must support his/her Task Managers in much the same way that a functional manager supports his/her immediate subordinates.

TASK MANAGERS

As soon as it appears that a functional department may be required to accomplish tasks in support of a project, the Project Manager will ask the manager of that organization to designate a Task Manager to serve on the project team.

Managers who provide Task Managers to work on projects will ensure that the persons designated are experienced personnel who (a) are qualified to perform the important duties of a Task Manager, and (b) have been delegated the authority necessary to speak for their organization on matters pertaining to the task to be accomplished.

10. PROJECT CONTROLS

DEFINITION

Project Controls staff are assigned to projects requiring EVMS tracking and reporting, and as resources are available. Otherwise, Project Managers fulfill some of these duties.

DUTIES

The support services to be provided include, but are not limited to, the following:

Produce project schedules and, where appropriate, make critical path and other project plan calculations based on information provided by Project Managers and Task Managers.

Maintain information defining project baseline and baseline change documents. Produce project reports, charts, and other information.

Print and distribute original and revised project schedules and cost reports to appropriate personnel.

Prepare and print Responsibility Assignment Matrix (RAM) based on information provided by Project Managers.

Receive and display task plan variances (i.e., enter transactions). Contact Task Managers to reconfirm the status of task plans.

Prepare project impact charts that display cost and schedule problems, for use by Project Managers.

Assist Project Managers to prepare project status reports and briefing documents.

If assigned, maintain the monthly Facilities Projects List and Master Schedule, add and delete projects as directed, and distribute copies of the list.

RESPONSIBILITY

Project Controls staff will have functional responsibilities only. They will not have project responsibilities for achieving project objectives. They will not have staff responsibilities for reporting project status or problems directly to sponsors, project initiators, or other senior executives. Such reporting is the responsibility of Project Managers.

11. 12. PROJECT COORDINATORS DEFINITION

Project Coordinators provide project management support, financial analysis and tracking, and document control.

DUTIES

The support services provided include, but are not limited to, the following: Plans and manages administrative support of assigned projects.

Sets up and maintains project files, including hard copy, electronic, and web data. Coordinates project reviews and approvals, project meetings, and site visits.

Prepares purchase requisitions for acquisitions of design and construction subcontracts, consultant agreements, miscellaneous services, and equipment using LBNL’s electronic procurement system.

Prepares and tracks subcontract change orders, Change Authorizations, and subcontract modifications.

Coordinates and tracks project communications, including meeting minutes, Requests for Information (RFIs), submittals, and safety documents.

Manages project closeout process, including archiving of project files. 13.

14. FUNCTIONAL MANAGERS

RESPONSIBILITY

A functional manager is a person who has been assigned resources and who has accepted functional responsibility for achieving desired results or objectives in a specified functional area or discipline. Functional managers are responsible for (1) increasing the competency of the personnel and other resources assigned to their organizations, (2) using these personnel and other resources so as to provide maximum benefit to the Lawrence Berkeley National Laboratory, and (3) ensuring that adequate resources are maintained and available to support the present and near-term workload.

ACCOUNTABILITY

Functional managers will be held accountable by their supervisors for achieving the functional objectives for which they have accepted responsibility.

AUTHORITY

Listed below are issues relating to project management over which functional managers will normally have authority. These are examples only, not a complete list.

Selects the techniques and methods of “how” work will be done, as long as assigned task objectives are met (scope, schedule, and budget).

Provides training for assigned personnel to meet competency standards. Assigns responsibilities to the personnel assigned to their organization. Selects and assigns Task Managers.

Makes changes in task plans, as long as assigned task objectives are met (scope, schedule, and budget).

Proposes changes in assigned task objectives.

With concurrence of the Project Manager, makes decisions as to whether to use in-house resources or contractors to accomplish work on project tasks. The functional manager who decides to use a subcontractor or consultant will be responsible for their performance.

Requires Project Managers to work through Task Managers or other designated persons when making suggestions or assigning responsibilities to the functional manager’s organization.

Maintains design standards documents. Performs plan review and sign-off.

May participate in design reviews. PERSUASION

To achieve their objectives, functional managers will be expected to use an appropriate combination of delegated authority and persuasion skills.

15. 16. TASK MANAGERS

DEFINITION

Task Managers are members of functional organizations who have accepted responsibility for accomplishing project tasks for a Project Manager.

These persons continue to work for their regular functional supervisors while working on project tasks.

When a member of a functional organization is assigned the additional duty of serving as a project Task Manager, it is usually a temporary assignment that lasts until the project task is completed. This work is normally assigned as an additional duty to the person’s more permanent assignments.

During these temporary assignments, Task Managers work on behalf of the Project Manager to accomplish tasks in a highly competent, timely, and cost-conscious manner, in the best interests of the project and Lawrence Berkeley National Laboratory.

RESPONSIBILITY

Task responsibility is almost identical to project responsibility.

Task responsibility is an obligation that a person has accepted to manage an assigned project task to achieve the following objectives:

Scope: Produce a task deliverable that fully satisfies the user and other designated interests. Schedule: Complete the task within the agreed-upon schedule milestones.

Cost: Complete the task within the agreed-upon task budget.

Functional managers will make every effort to respond fully to requests from a Project Manager to accomplish tasks on behalf of an approved project.

When a Task Manager and a Project Manager reach agreement on the plan for a project task (scope, schedule, and budget), the Task Manager will give the Project Manager a firm commitment to accomplish the task as agreed upon. A commitment means:

That the Task Manager will make every reasonable effort to provide the resources required to accomplish the task.

That the Task Manager will make every reasonable effort to have the task accomplished as planned and agreed upon (scope, completion date, and budget).

That if it ever appears that the Task Manager may not be able to meet the commitments to the Project Manager to accomplish the task as agreed upon, the Task Manager will promptly notify the Project Manager. This is a very important duty for all Task Managers. Failure to report a variance promptly to the Project Manager could have serious consequences for the project and the Lawrence Berkeley National Laboratory.

It must be understood by all personnel that a commitment is not a guarantee or an iron-clad promise.

All team members are expected to make a reasonable effort to provide a successful project.

DUTIES

Task Managers serve as the interface between the Project Manager and the various functional groups who will actually accomplish the task work. Project Managers will accomplish projects through the Task Managers assigned to their project team.

Task Managers will fulfill their task responsibilities and accomplish duties such as:

Negotiate realistic task scope objectives with Project Managers and accept responsibility for achieving those objectives. Ensure that the results to be produced are specified in the task scope document and that the users of the task results are clearly identified.

Obtain cost and schedule estimates for the task from appropriate sources and provide same to the Project Manager.

Negotiate a task plan with the Project Manager for achieving the task objectives. Ensure that the Project Manager includes in the project plan all inputs the Task Manager needs to accomplish his/her task.

Obtain commitments from functional supervisors to accomplish work so as to complete tasks as agreed upon with the Project Manager. Review the task worksheet when appropriate.

Discuss the task from time to time with (a) the persons who will be providing the task inputs, and

(b) the users of the task outputs (task deliverables) so as to coordinate the effort and identify and resolve task problems.

Promptly report task variances to the Project Manager and others as may be appropriate. A task variance is defined as a situation in which it appears that a task objective cannot be achieved as agreed upon with the Project Manager.

Attend project team meetings. If a Task Manager is unable to attend a project team meeting, the Task Manager will inform the Project Manager and ensure that the alternate person is fully qualified to serve as a Task Manager. In addition, the alternate person should be delegated the authority necessary to accept task responsibilities and to speak for the organization on matters pertaining to the task.

Work with the Project Manager to resolve task variances.

ACCOUNTABILITY

Task Managers will be held accountable by their functional supervisor for achieving their task management duties in support of their assigned functional objectives.

Task Managers will be held accountable by their Project Manager for achieving the project objectives for which they have received responsibility.

AUTHORITY

The Task Manager’s functional and project authorities are delegated by their functional supervisor and Project Manager, respectively.

PERSUASION

To achieve their objectives, Task Managers will be expected to use an appropriate combination of delegated authority and persuasion skills.

17. 18. PROJECT USERS AND OTHER DESIGNATED INTERESTS

DEFINITION

When a Project Manager accepts responsibility for a project, it means that the Project Manager has agreed to produce a product or result that will fully satisfy the user and other designated interests. When work is finished on a project, the product of that project must be accepted by the users and the other designated interests before the initiator will consider the project to be complete and close out the project.

A project user represents the persons who will actually use the product of a project in their operations.

The other designated interests represent persons who have missions that interact with the product of a project. This includes missions involving safety, security, environmental, legal, maintainability of facilities and equipment, government regulations, licensing, laboratory policy, and other infrastructure requirements. Project products must be acceptable to persons having these missions.

ACCEPTING PROJECT RESULTS OR PRODUCTS

In order to fulfill their responsibilities, project users and other designated interests will have the authority to accept or reject the results of projects that interact with their missions. It is therefore essential that Project Managers remain in communication with these individuals so that any disagreements may be uncovered as early as possible and so that action can be taken to resolve them.

CONFLICTS

The Project Manager is responsible for resolving major scope conflicts between the users, the other designated interests, and the sponsor.

RESPONSIBILITIES

It will be the responsibility of the project initiator and the project sponsor to identify the users whom the Project Manager must satisfy in order to achieve the scope objective of a project.

It will be the responsibility of the Project Manager to ensure that all the other designated interests are identified and requested to participate in the project.

It will be the responsibility of the project sponsor to ensure that a project scope document is developed that properly defines the product or results that will satisfy the users and other designated interests.

If there are several users of the project product, the users will meet and select one person who will deal with the Project Manager and represent the needs of all the users for the life of the project. This users’ representative will then be the “user” whom the Project Manager must satisfy.

AUTHORITY

Listed below are several issues over which the project users and other designated interests will normally have authority. These are examples only, not a complete list.

Participate in the scope definition of the desired project result or product.

Require that the Project Manager notify the user of all proposed scope changes. Require that the Project Manager notify the other designated interests of all proposed scope changes that might effect their mission requirements.

Recommend scope changes to the Project Manager and receive a timely response to the recommendation.

Inspect, review, and evaluate project products while work is in progress and when it is completed.

Notify the Project Manager if the user or other designated interest feels that the final product will not be acceptable to the user. In such cases, the user must support his/her position and suggest what action s/he feels should be taken by the Project Manager.

19. ELECTRICAL AHJ FOR SAFE WORK PRACTICES.

DEFINITION

The Electrical AHJ is delegated the electrical AHJ authority over electrical safe work practices and workplace conditions. The Electrical Safety AHJ ensures compliance with all electrical safety requirements that pertain to maintaining safe electrical work practices, contractors, and subcontract personnel from injury or death as a result of electrical hazards. The Electrical Installations AHJ ensures compliance to installation codes, standards and specifications for the infrastructure power distribution and premises wiring of the Laboratory.

DUTIES

The AHJ shall be required to identify violations of code, standard or specification and shall not be required to develop solutions that meet project constraints. While the AHJ can participate in discussions related to solution development, this participation shall be purposefully limited to prevent compromising the independence between design and approval.

ACCOUNTABILITY

Electrical and Installation AHJs are held accountable by the appropriate managers in EH&S and Facilities. The DOE Berkeley Site Office (BSO) has delegated the authority to the Chief Operating Officer (COO) who has passed on this delegation down to these Divisions.

AUTHORITY

The AHJ shall enforce the LBNL specifications for electrical safe work practices, electrical installations and equipment design. The AHJ shall be permitted to select and apply the appropriate codes and standards to new facilities, or modifications to facilities and/or processes, and make day-to-day interpretations on how best to satisfy the codes and standards identified in 10 CFR 851. The AHJ may permit alternate methods according to the requirements outlined in LBNL PUB-3000, Chapter 8. Additional requirements and R2A2s are also found in LBNL PUB- 3000, Chapter 8. These requirements flow down to subcontractors.

20. Division Electrical Safety Officer (ESO)

DEFINITION

The Division ESO is the division-level representative of the Electrical AHJ for Safe Work Practices. DUTIES

The Division ESO shall be responsible for all electrical work activities or safety procedures related to custom or special electrical equipment, and shall have detailed knowledge regarding the electrical hazard exposure, the appropriate controls for mitigating those hazards, and the implementation of those controls. The Division ESO shall be a QEW Supervisor.

ACCOUNTABILITY

The ESO works with the Electrical AHJs and is under the direction of the Facilities MRO function. The ESO will consult with the AHJs for interpretation requirements as necessary.

AUTHORITY

The ESO shall enforce the LBNL requirements for electrical safe work practices and workplace conditions, review and approve Electrical Safe Work Procedures for the Division as described in LBNL PUB-3000 and act as a resource for electrical safety-related concerns.

21. Qualified Electrical Worker (QEW).

DEFINITION

One who has demonstrated skills and knowledge related to the construction and operation of electrical equipment and installations, has received safety training to identify and avoid the hazards involved, and who has been approved or accepted by the Electrical AHJ for Safe Work Practices.

DUTIES

Electrical work and installations both live and deenergized work, for build, service, maintenance and repair of equipment defined in LBNL PUB-3000, Chapter 8. This includes all connected work, even if under LOTO. Electrical work shall only be performed de-energized and in an electrically safe work condition, unless approved by an Energized Electrical Work Permit, by Qualified Electrical Workers (QEW), with approved equipment and PPE, using the Electrical Safe Work Practices outlined in the LBNL Electrical Safety Program requirements, including the contents of:

the LBNL Electrical Safety Manual (ESM)
LBNL PUB-3000, Chapter 8 and Chapter 18
NFPA 70E:2012

LBNL Electrical Authority Having Jurisdiction: Standard Procedure for Safe Electrical Installations.

ACCOUNTABILITY

QEWs are classified as “supervised” or “unsupervised”, depending on whether they receive daily supervision from a supervisor or work lead who is a “QEW Supervisor” as defined in LBNL PUB- 3000, Chapter 8.

AUTHORITY

All construction subcontractors who perform electrical work as defined in LBNLPUB-3000, Chapter 8, Work Process F, AHJ Acceptance of Construction Subcontractor QEWs, and Work Process H, Performance of Electrical Work by Subcontractor QEWs, shall first be required to be accepted by the Electrical AHJ for Safe work practices as Subcontractor QEWs.

22. PROJECT MANAGEMENT POLICIES

Project Management policies will be implemented in the Facilities Division Design and Construction Management (DCM) department through the publication of DCM Policy Directives or revisions to the DCM Procedures Manual, approved by the DCM Department Head, or his/her designee.

The policies laid out in these directives will be adhered to by all personnel in Facilities DCM.

The DCM Department Head is responsible for maintaining the DCM Procedures Manual and issuing DCM Policy Directives. This includes reviewing proposed directives and procedure revisions, obtaining staff concurrence, and issuing final approved policies and procedures.

After approval, new and revised policies and procedures will be distributed to all DCM personnel.

Each DCM policy or procedure will be reviewed periodically. If necessary, action will be taken to retire policies or procedures, or issue revisions to them.

Design and Construction Management Policy Directives

These policies are not intended to supersede Lawrence Berkeley National Laboratory (LBNL), University of California (UC), or Department of Energy (DOE) standing policies. If an apparent disagreement is identified, the DCM Department Head should be advised, so that clarification can be made.

Notification of Construction Work: Prior to performing work in any building, the Project Manager or Construction Manager shall notify the appropriate building manager or facility manager so that any specific hazards or precautions relevant to the work and location can be identified.

Management Expectations: Work under DCM supervision is expected to be performed safely, on schedule, on budget, and within the approved scope. Safety is the paramount consideration, and senior managers should use their professional judgment as they prioritize the balance of expectations. It is also expected that they model good teamwork and client service as an example to other staff members.

Cost Estimates and Fees for Service: (a) all cost estimates for projects or efforts over $10,000;

(b) all fees for services over $10,000; and (c) all funding requests over $10,000 must be reviewed and approved by the DCM Department Head before being released to clients outside the department.

Document Control Reprographics: All printing or photocopying, for large- and small-format jobs, should be routed through LBNL’s Government Printing Office liaison (refer to LBNL’s RPM, Printing and Duplicating Restrictions).

23. PROJECT MANAGEMENT PROCESS

Projects will be managed systematically within the DCM department. RESPONSIBILITY

The DCM Department Head is responsible for the mission and scope of Facilities DCM.

The DCM Department Head will ensure that project management training is made available to Project Managers, Task Managers, and other personnel in the department who are involved in the project management process.

MISSION

The primary mission of the DCM department is to accomplish projects in support of Lawrence Berkeley National Laboratory’s national and programmatic research and development plans in the Energy, General, and Life Sciences. This group focuses on project management; the control of cost, scope, and schedule; client communications; and safety.

IMPLEMENTATION

Systematic project management will be implemented in Facilities DCM by the publication of policy memoranda and by the publication of appropriate procedures manuals and other instructions.

GOALS

To accomplish projects in a well-planned, cost-effective, responsive, safe, and timely manner. To maintain client communications and relationships.

To keep LBNL senior management, scientific, and support leadership informed of project activities in their areas of interest.

24. PROJECT DEFINITION

DEFINITION OF PROJECT

A project is a set of activities with a specific scope, schedule, and budget. These activities have been defined as a project by the project initiator and approved by the Facilities Division.

DEFINITION OF PROPOSED PROJECT

A proposed project is a work effort that has been approved by a manager who has the authority to commit funds for the review and evaluation of a project idea, prior to making a decision to proceed with the effort as an approved project. Proposed projects include those in the planning stage.

For large projects, a feasibility study, Conceptual Design Report, etc., may be necessary to evaluate the alternatives and recommend approval, disapproval, or deferral. If large enough, the

feasibility study itself may be set up as an approved project, and the feasibility study manager designated as the Project Manager for the study. The final product of a feasibility study will be a recommendation to the appropriate approval authority to approve, disapprove, or defer the proposed project.

DEFINITION OF APPROVED PROJECT

An approved project is a work effort that has been approved by a manager with the authority to do so and that has been entered on the official list of approved projects.

A work effort is not considered an approved project until it appears on the official list of approved projects.

25. ASSIGNMENT OF RESPONSIBILITY

DEFINITION

Assignment of responsibility is a specific agreement between two persons for the purpose of achieving a desired result or objective.

Assignment of responsibility includes both (1) the person who assigns the responsibility, and (2) the person who agrees to accept the responsibility and produce the desired result. These can be any two people. The first person need not necessarily be the supervisor of the second person.

There are two legitimate ways of assigning responsibility:

Authority: The first person must have the authority to direct the second person to accept the responsibility and produce the desired result or product.

Note: If the second person is aware of any reason why s/he should not accept the responsibility as directed, the second person has a duty to so advise the first person, and the first person has a duty to listen. In other words, if an adverse impact is likely to result from the order, the second person should so notify the first person.

Persuasion: The first person has the right to persuade the second person to accept the responsibility and produce the desired result or product.

When a responsibility carries over from person to person to person, it is defined as a line of responsibility. Each person in a line of responsibility will be held fully accountable for producing the desired result.

If a person concludes that s/he will not be able to fulfill a responsibility that s/he has accepted, s/he will promptly report this fact to the person who assigned him/her the responsibility.

26. PROJECT RESPONSIBILITY

DEFINITION

Project responsibility is an obligation that a manager has accepted to manage an assigned project to achieve the following objectives:

Scope:

Produce a product or result that fully satisfies the user and other designated interests. Obtain project acceptance and accomplish project closeout.

Schedule:

Complete the project by the agreed-upon completion date. Cost:

Complete the project within the agreed-upon approved budget.

If a person with project responsibility concludes that s/he may not be able to achieve one of the above objectives, s/he will promptly report this fact in writing to the person who assigned him/her the responsibility for that objective. In this event, both individuals will work together to develop a course of action to solve the problem.

When project responsibility is assigned from person to person to person, it is defined as a line of project responsibility.

A line of project responsibility always starts with the project initiator, then carries through to the Project Manager, and finally to the Task Managers.

Individuals in the line of project responsibility between the project initiator and the Project Manager are defined as project sponsors.

All individuals in a line of project responsibility are fully responsible for achieving the objectives of the project.

27. FUNCTIONAL RESPONSIBILITY

DEFINITION

Functional responsibility is an obligation that a manager has accepted to manage assigned resources in a designated area for the purpose of achieving the following objectives:

Resource Competency

Ensure that assigned personnel and other resources produce results in a highly competent, timely, and cost-conscious manner.

Develop assigned resources to their highest possible level of competency. Develop standards that define desired levels of competency.

Resource Utilization

Determine and recommend the optimum amount and mix of resources needed to produce the desired results.

Assign tasks and duties to personnel and other resources so as to achieve maximum benefits for the Lawrence Berkeley National Laboratory.

Institutional Policies/Procedures

Ensure that institutional policies and procedures are satisfied (e.g., security requirements; maintainability standards; legal considerations; safety standards; environmental constraints; life cycle and value engineering criteria; and policies, codes, and standards of the University of California, Department of Energy, and the State of California, etc.).

If a person with functional responsibility concludes that s/he is at risk of being unable to achieve any of the above objectives, s/he will promptly report this fact to the person who assigned him/her the responsibility for that objective. In this event, both individuals will work together to formulate a course of action to solve the problem.

When functional responsibility is assigned from person to person to person, it is called a line of functional responsibility.

28. DUAL RESPONSIBILITY

PROJECT SPONSORS AND FUNCTIONAL SUPERVISORS

Whenever someone assigns project responsibility to a second person, that person is defined as the project sponsor of the second person.

Whenever someone assigns functional responsibility to a second person, that person is defined as the functional supervisor of the second person.

DUAL RESPONSIBILITY

There will be cases when it will be appropriate for a person to accept functional responsibility from one person, and project responsibility from a different person. In such cases, it is considered that the person has been assigned dual responsibilities.

This occurs, for example, when a Project Manager accepts responsibility for a project from a project sponsor who is not his functional supervisor.

This also occurs when a Task Manager accepts responsibility for a task from a Project Manager who is not his/her functional supervisor.

Generally, it is not advisable to assign functional work to a Project Manager who is also performing numerous project management duties on several projects.

29. PROJECT COST RESPONSIBILITY

APPROVED PROJECT BUDGET

Approval for a project shall include the approval of a project budget.

For approved projects of uncertain or incomplete scope, a cost range rather than an absolute number may be designated. As the project proceeds and its scope becomes more clearly defined, the Project Manager and the sponsor should refine the accuracy of the cost estimate.

RESPONSIBILITY FOR PROJECT COST BUDGET

Project Managers will be responsible for accomplishing their projects without exceeding the approved budget they have accepted.

When a project has been organized into its major tasks, the Project Manager will negotiate a task budget with each Task Manager.

Task Managers will be responsible for accomplishing their tasks without exceeding the task budget to which they are committed.

Project plans will show the budget for each task. The sum of these task budgets, plus any non- task costs, will be the project cost estimate.

The project cost estimate plus the project cost contingency (for definition, refer to Project Cost Plan, this section) will equal the project’s Total Estimated Cost (TEC).

AUTHORITY TO CONTROL COSTS

Once a task cost target has been accepted by a Task Manager, the functional organizations involved will charge all costs incurred in accomplishing that task to the correct Project ID or Work Order established for that task.

If a Task Manager concludes that a task budget should be increased, the Task Manager will promptly notify the Project Manager and request the additional funding before proceeding. The Project Manager will review and evaluate the request and make the appropriate decision.

The Project Manager is the only person authorized to increase a task budget. Task Managers and functional managers do not have this authority.

30. ACCOUNTABILITY

Accountability is a direct consequence of assigning responsibility with the appropriate level of authority.

When responsibility to achieve a desired result has been assigned to an individual and accepted, the person assigning the responsibility will follow up from time to time to determine how well the other person is progressing toward achieving the desired result or objective.

The accountability process includes following up from time to time as appropriate, and responding as necessary to the information obtained.

As personnel become more experienced and competent and are delegated increased authority, they should generally require less follow-up.

31. DELEGATION OF AUTHORITY

DEFINITION OF AUTHORITY

Authority is defined as the right – pertaining to a specific issue – to give an order and to have it obeyed, or to make a decision and have it accepted.

Authority is delegated on an issue-by-issue basis. Therefore, a person will be authorized to give orders and make decisions on a number of specific issues; on other issues, the person will not be authorized to give orders or make decisions.

Increasing a person’s authority means delegating authority to that person over a larger number of issues.

DELEGATION OF AUTHORITY

Personnel will be delegated authority commensurate with their knowledge, skills, abilities, assigned responsibilities, and experience, as well as task relevance. Authority to give orders and make decisions depends on issues pertinent to these responsibilities.

As individuals gain experience and ability, they are generally expected to assume more authority.

When managers delegate part of their authority to another person, they have relinquished that authority to the other person. The manager can always reassert that authority, but in the meantime, the authority is vested in the other person – and only that person should exercise it. It is normally undesirable for both a manager and his subordinate to exercise authority over the same issue at the same time.

32. CLIENT COMMUNICATIONS

DEFINITION

Client communications refers to the written or verbal exchange of information about the project and its progress between the Project Manager and the client (or project sponsor(s), if applicable). Communications start at project assignment and end after commissioning and normal operation (refer to Appendix K, Project Communications Plan – Sample).

Project progress should be reported on a regular basis. Unless requested otherwise by the client, the Project Manager should review the project’s status with the client on a monthly basis.

Developments affecting scope, schedule and/or budget (i.e., baseline changes) should be communicated promptly (refer to Project Status and Problem Identification, this section).

Project cost estimates shall be furnished to the client by the Project Manager (refer to Cost Estimates, this section).

Project information should be accurate, timely, and succinct. Status reports should be communicated with factual statements; potential problems should be explained including a summary of the Project Manager’s recovery plan where appropriate.

33. CONFLICT RESOLUTION

When conflicts arise, every effort should be made by the parties involved to resolve the conflict between themselves and reach agreement through good-faith negotiations. The agreements reached must be within the context of all responsibilities within the DCM department.

If agreement cannot be reached, and if authority on the issue has been delegated to one of the persons involved, the disagreement or conflict will be readily resolved when the person who has the authority makes a decision that terminates the discussion. This decision-making shall be made at the lowest appropriate level.

In cases where neither party to a conflict has the authority to make a decision and thus terminate the discussion, or where resolution cannot be reached between the two parties, both persons will agree to refer the conflict to their respective supervisors for resolution. These supervisors will take prompt action to resolve the disagreement or refer the conflict to their respective supervisors for resolution.

If an outside Design Professional and an LBNL Electrical Engineer SME have a difference of interpretation regarding the National Electric Code (NEC) or LBNL Master Specifications, which cannot be resolved during design, then a binding interpretation will be provided by the IAHJ according to the Design Review Resolution section of the LBNL Electrical Authority Having Jurisdiction: Standard Procedure for Safe Electrical Installations.

The AHJ may permit alternate methods when it is assured that equivalent objectives can be achieved by establishing and maintaining effective safety equal to, or exceeding, established codes, regulations, and standards. Refer to LBNL PUB-3000, Chapter 8.

34. PROJECT PRIORITIES

RESPONSIBILITIES

The DCM Department Head is responsible for advising Project Managers and functional managers on the relative priorities of approved projects and other work endeavors.

RESOURCE ALLOCATION

Functional managers will allocate their resources to projects and other endeavors competing for the same resource by using the same priority guidance provided in Paragraph A, above.

DIVERSION OF RESOURCES

When a Task Manager, functional manager, or project support services are asked to support a new, high-priority project, and they cannot support the new project without diverting resources from existing projects to which they are committed, these functional managers may request that their respective group leader decide from which project(s) or other endeavors they should divert resources so as to support the new project. The group leader making the decision to divert committed resources will carefully review and evaluate any adverse long- or short-term impact of the decision.

PRIORITY OF WORK-IN-PROGRESS TASKS

When a definitive work effort (task or sub-task) has been started, and personnel are fully engaged in the work, the task will acquire increased priority by virtue of being in progress. A new task must have a very high priority to justify altering an ongoing task that is in progress and diverting the resources to the new task.

NOTIFICATION OF ADVERSE ACTION

Whenever resources are about to be diverted from one project to support a project of higher priority, the Task Manager will immediately confer with the other Project Manager(s) whose schedules may be adversely affected by this decision.

35. THE PROJECT PLAN

RESPONSIBILITY

Project Managers will develop and maintain a current project plan for each of their projects. A typical project plan may consist of:

The current project scope document approved by the project sponsor. This document will clearly identify the project users and other designated interests (refer to Project Scope Document, this section).

The current project schedule and project cost plans for the project (refer to Project Schedule and Project Cost Plan, this section).

A list of the project team and assignments, or, for larger projects, a Responsibility Assignment Matrix (RAM).

The current Project Variance Report, for EVMS projects (refer to Section 6.13, Reporting Requirements).

Project information, including: Project ID.

The building number and name of the project.

The name of the project sponsor, the name of the project user(s), the name of the Project Manager, the revision number and date of the plan, and the signature of the sponsor indicating approval of the plan.

The project task list.

The names and departments of the Task Managers.

Pertinent memoranda of understanding and key correspondence.

An operating version of the Project Variance Report should be prepared and maintained for use by the Project Manager, and for the guidance of Task Managers. If appropriate, a summary version of the plan may be developed for reporting status to the sponsor and initiator.

Task Managers will participate in the preparation of project plans.

Project plan documents should not be developed in any more detail than is necessary to permit cost-effective management of the project, or any regulatory requirements.

REVISIONS

An approved project plan may be revised at any time, but such revisions may be made only by persons with the authority to do so.

Task Objectives

Changes in task scopes, task schedule, and task budgets will be approved only by the responsible Project Manager.

A baseline change log will be maintained by the Project Manager to record all significant changes in task objectives.

Project Objectives

Changes in the project scope, project schedule, and project budgets will be approved only by the project sponsor.

When needed, a project change log will be maintained by the Project Manager to record all significant changes in the project objectives. For Line Item Projects, this is known as a Baseline Change Proposal log.

When a recovery plan is approved, the project plan changes resulting from the recovery plan, if any, will be promptly incorporated into the project plan. The modified plan will be assigned a new revision number, and copies will be distributed to all interested persons. If the revised project plan includes changes in the project objectives, the Project Manager will ask the sponsor to sign the revised version of the plan before it is distributed.

Change Logs

Project Managers will ensure that all significant changes in task objectives and project objectives are promptly recorded in the appropriate change log.

At the conclusion of a project, the change logs will provide complete traceability as to how the project evolved from its original project objectives and task objectives to the objectives finally achieved.

Variance Reports

Project Managers will notify the project sponsor and Project Director in writing of significant changes in scope, schedule, or project cost plan.

36. PROJECT SCOPE DOCUMENT

RESPONSIBILITY

When a project sponsor requests a Project Manager to evaluate or accomplish a proposed project, it is the responsibility of the project sponsor to provide the Project Manager with an initial scope document that (1) reasonably defines the product the Project Manager is to produce, and (2) clearly identifies the users or user representative who must be satisfied with the project product.

In cases where the project sponsor cannot provide a reasonable scope document, the sponsor may ask the Project Manager to develop a scope document for him/her. In these cases, the Project Manager is authorized to obtain a scope document as follows:

The Project Manager will determine which organization, or group of organizations, should write the scope document on behalf of the project sponsor. The Project Manager will then assign the scope writing responsibilities to that organization or group of organizations. Preventing scope errors and omissions is the responsibility of the scope writers.

If appropriate, the Project Manager will request the project sponsor to provide personnel to participate with the other contributing groups in writing the project scope document.

The Project Manager will submit the initial scope document to the project sponsor, the users, and other designated interests. The Project Manager must ensure that all designated interests have been identified. If the project sponsor, the users, and other interests cannot reach agreement on the project scope document, it is the responsibility of the project sponsor to resolve the differences; it is not the responsibility of the Project Manager.

Preparing a project scope document is an important responsibility that often requires significant expenditure of work-hours by qualified persons. In such cases, the Project Manager will include the writing of the initial scope document as a key task in the project plan with a schedule, a task cost plan, and a responsible Task Manager. The cost of writing the scope document will be included in the project budget and paid for with project funds. In cases of high uncertainty, tasks involving the later refinement of the scope document may be included in the project plan (OPR).

REFINEMENTS

In almost all cases, the initial project scope document will become a final scope document termed as the Owner’s Project Requirements (OPR). During the project phases, the OPR will be reviewed and may have to be expanded and made more specific at various times during the life of a project.

Responsibility

Refining a project scope document is a functional responsibility that often requires significant expenditure of work-hours by qualified persons.

In such cases, expanding and refining the scope document should be included as a key task in the project plan, with a schedule, a task cost plan, and a responsible Task Manager.

The cost of refining the scope document will be included in the project budget and paid for with project funds.

Preventing scope errors and omissions is the responsibility of the individuals refining the scope documents and their supervisors.

Revised scope documents will be reviewed by the Project Manager. If the revised scope document is acceptable to the Project Manager, he will submit the document to the project sponsor, the users, and other designated interests, and request their acceptance.

If the project sponsor, users, and other interests 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.

Basis for Task Scope Documents

The Project Manager will use the evolving project scope document as the basis for the task scope documents that s/he is responsible for providing to his/her Task Managers (refer to Task Scope Document, this section). A change in a project scope document may require revising some or all of the task scope documents.

37. PROJECT WORK BREAKDOWN STRUCTURE (WBS)

A project Work Breakdown Structure (WBS) is a grouping of project work elements that organizes and defines the total scope of the project. The WBS is a multi-level framework that organizes and graphically displays elements representing work to be accomplished in logical relationships. Each descending level represents an increasingly detailed definition of a project component. It is the structure and code that integrates and relates all project work (technical, schedule, and cost) and is used throughout the life cycle of a project to identify and track specific work scopes.

All Facilities DCM projects of more than $100K shall have a Work Breakdown Structure. The DCM WBS Standard Format (this section) will be used as a basis for the project WBS. The standard format WBS will allow cross-project reporting to management, and tracking of program budgets. Higher-level elements (Level 1 and Level 2) of the standard format WBS will be maintained; lower-level elements may be added, modified or removed at the Project Manager’s discretion as needed to manage the project. The WBS will be established in sufficient detail so that each Control Account has a unique WBS element.

The WBS will be defined in the Project Execution Plan. An understanding of the planned project scope, schedule, and cost and the planned methods of project execution are required before preparation of the WBS.

Project Managers are responsible for the establishment of a WBS for their assigned projects, with input from the Control Account Managers (CAM) and other members of the project team.

Where the title of a WBS element does not provide an adequate description of the work involved, the project shall develop a WBS dictionary. The WBS dictionary is a set of specific definitions that describe the scope of each work element identified in the WBS. It defines each element to at least the Control Account level in terms of the content of the work to be performed. If a WBS dictionary is not used on a project where Earned Value Management (EVMS) reporting is required, the project must demonstrate to the satisfaction of the LBNL Project Management Office that the Scope of Work (SOW) and the WBS are fully reconciled.

38. WBS STANDARD FORMAT

39. PROJECT ORGANIZATIONAL BREAKDOWN STRUCTURE (OBS)

A project Organizational Breakdown Structure (OBS) is a depiction of the project organization arranged to indicate the line-reporting relationships within the project context.

The OBS is a project organization framework for identification of accountability, responsibility, management, and approvals of all authorized work scope. It is a direct representation and description of the hierarchy and organizations that will provide resources to plan and perform work identified in the Work Breakdown Structure (WBS). The OBS helps management focus on establishing the most efficient organization, by taking into consideration availability and capability of management and technical staff including subcontractors, to achieve project objectives.

LBNL will prepare an OBS for all projects requiring Earned Value Management System (EVMS) reporting. The OBS for each project will be defined in the Project Execution Plan.

The Project Manager has responsibility for preparing the OBS.

40. CONTROL ACCOUNTS, WORK PACKAGES AND PLANNING PACKAGES

This procedure applies to all LBNL projects requiring Earned Value Management System (EVMS) reporting.

A Control Account is a management control point at which budgets (resource plans) and actual costs are accumulated and compared to earned value for management control purposes. A Control Account is a natural management point for planning and control, since it represents the work assigned to one responsible organizational element on one project Work Breakdown Structure (WBS) element.

Project IDs are established within LBNL’s Financial Management System such that cost collection is performed at the Control Account level, with Control Accounts rolling up into Summary Level Accounts, which in turn roll up to an overall Project Summary account. No charges are directly charged or recorded at any Summary Level Account. At LBNL all accounts are commonly referred to as Project IDs, and individual chargeable accounts are often referred to as descendents or children of the summary Project IDs. There is not necessarily a one-to-one correspondence between Project IDs and Control Accounts. Multiple Project IDs, representing individual Work Packages, may feed into the summary Project ID, which is the Control Account. While multiple Project IDs may roll up into a summary Control Account Project ID, a Project ID is never divided among multiple Control Accounts. In all cases, the Control Account has a unique Project ID number that matches its WBS activity identifier.

Work packages are a subdivision of a Control Account and consist of discrete, apportioned, or level-of-effort tasks that have been planned and budgeted in detail. The budget for each is segregated into elements of cost. Work packages constitute the basic building blocks used in planning, measuring accomplishment, and controlling project work. A work package has the following characteristics:

Represents units of work at levels where work is performed.

Is clearly distinguishable from all other work packages by a descriptive title.

Is assignable to a single organizational element responsible for performing the work.

Has scheduled start and completion dates and, as applicable, interim milestones – all of which represent physical accomplishment.

Has a budget or an assigned value expressed in terms of dollars. Indirect costs are allocated based on the applicable base per the LBNL financial practices disclosure.

Uses a single earned value (EV) method.

Has a limited duration within a reasonably short time span. Can be integrated with project schedules.

Reflects the way in which work is planned and has meaningful products or, is a management- oriented subdivision of a higher-level element of work.

Uses objective indicators/milestones as much as possible to minimize in-process work evaluation and provides accurate assessment of progress.

Contains time-phased budgets that are used for planning, reporting, and control. When learning curves are used, time-phased budgets and schedules reflect this learning.

Level of Effort should only be used on a work package where no definable deliverable or work products exist as a consequence of the work package.

Planning packages are created to describe work within a Control Account that will occur in the future. Planning packages must have a work scope, schedule, and time-phased budget.

Planning packages are normally larger (in scope, schedule, and budget) than individual detailed work packages, but planning packages must still relate to a specific work scope. Individual planning packages do not require the detail found in work packages. When planning packages are converted into work packages, they are defined in greater detail and a Control Account Plan/Work Authorization (CAP/WA) is issued.

Control Account planning consists of those efforts needed to establish time-phased budgets for each Control Account identified for project execution. The Control Account Managers have the primary responsibility for developing and managing the Control Account budgets. The project provides Control Account Managers with budget guidance and a common planning capability to perform resource costing, indirect rate applications, and other calculations.

Control Accounts are generally budgeted in dollars. The Project Manager and the Control Account Manager come to agree on the work scope to be accomplished, and the accompanying budget and schedule necessary to support the required effort. Once these budgets have been developed, the work is authorized through a CAP/WA. The total budget with respect to any given grouping of work is called Budget at Completion (BAC).

Each project is responsible for defining the specific software applications and planning procedures that will apply. However, the LBNL Project Management Office may recommend specific packages or configurations for uniformity and ease of integration across LBNL. Although records can be kept at lower levels of detail, the lowest required level of detail for maintaining the PV and the BAC is by resource within the planning package or work package subsets of the Control Account.

Control Account budgets may be further subdivided into one or more work packages and planning packages in the project schedule. The Control Account Manager selects the EV measurement technique, the method for measuring the work performed. Only a single technique may be used on an individual work package. Planning packages have no associated earned value technique, as they always represent future work for which detailed planning and estimation has not been completed. Control Account budgets in the EVMS are governed by the following guidelines:

The sum of budgets for work packages and planning packages equals the Control Account BAC value.

The Control Account Manager must be able to provide the basis for the budgets of all detail- planned work packages and planning packages.

The start and completion dates for all tasks, including planning packages, are to fall within the scheduled start and completion dates of the Control Account.

Retroactive changes to budgets for completed efforts are prohibited except for the explicit correction of errors.

Re-planning future portions of open and unopened work packages and planning packages requires formal change approval, consistent with the Project Execution Plan change management requirements.

Assigned Control Account Managers (who may also be the Project Manager), supported by the Project Manager and other members of the project team, have responsibility for developing and managing work packages and planning packages within their assigned Control Account.

41. PROJECT SCHEDULE

Project Managers will prepare and maintain a project schedule for their assigned projects. The project schedule will be displayed on the project plan and will consist of:

The project task list.

The scheduled start date and completion date for each task. The project completion date (completion date milestone).

The name and department of each Task Manager responsible for accomplishing tasks. When appropriate, the project schedule, or sub-schedules, may also show:

Important deliverables (task products). Key events and major decision points. Interfaces, links, critical path, and float.

Project schedules should not be developed in any more detail than is necessary for cost-effective planning and management of the project.

For all capital projects requiring EVMS reporting, LBNL will develop, utilize, and keep current three categories of schedules. The schedules will be used as tools to facilitate and achieve project goals and schedule commitments and will generally reflect the following:

Baseline Schedule

The Baseline Schedule is the key control and contractual schedule for the entire project, start to finish, that includes all major control milestones, and major activities included in conceptual design, detailed design, procurement, subcontracting, construction, start-up, and commissioning.

The Baseline Schedule is the basis for project schedule performance. The Project Manager, supported by the Integrated Project Team (IPT) and others, is responsible for developing the Baseline Schedule and subsequently executing the project in accordance with the agreed-to milestones reflected in the Baseline Schedule.

The Baseline Schedule is maintained under configuration management and may not be revised without proper authorization. Any milestone changes will be made in conformance with the baseline change process described in the Project Execution Plan. The Baseline Schedule will be updated as necessary.

Current Schedule

The Current Schedule is used to manage all project activities and is developed by logically networking the project activities. It reflects the logical, optimal sequence of project execution and allows for the determination of different critical paths and what-if scenarios. The network approach provides the ability to relate the project time-phased activities in their logical sequence using predecessor-successor relationships and timing.

The Current Schedule also enables the determination of critical paths and an evaluation of the effects of the current schedule performance status on activities and milestones scheduled to be accomplished in the future. The Current Schedule includes detailed input from all Control Account Managers providing the ability to relate activities and milestones between different levels of schedules. The Current Schedule must be consistent with key deliverables, control and contractual milestones as reflected in the Baseline Schedule and the Project Execution Plan.

The Current Schedule employs the approved Baseline Schedule to relate progress. The Current Schedule reflects the actual status of the project at a current point in time and shows the work performed and the milestone accomplishments. The Current Schedule is updated monthly, or as determined by the Project Manager, and is used by the Project Team as a key control and analysis tool to manage the work and identify areas needing corrective action.

Supplemental Schedules

Supplemental schedules are prepared at the discretion of the Project Manager or other key team member to facilitate and control a certain aspect or time frame of the project. These can be computerized or manually generated documents. Examples can include: weekly or monthly rolling or look-ahead schedules, conceptual study schedules, drawing production schedules, concrete pour schedules, various subcontractor schedules, craft schedules, cable installation schedules, critical piping installation schedules, start-up schedules, and Beneficial Occupancy schedules.

42. PROJECT COST PLAN

Project Managers will prepare and maintain a Project Cost Plan for their assigned projects. The Project Cost Plan will be displayed on the project plan and consist of:

The project task list. This list will be consistent with the Project Schedule task list as defined in Project Schedule, this section.

The budget for each task or appropriate groups of tasks.

The project Total Estimated Cost (TEC). This will be the sum of the project cost estimate plus any costs not attributable to tasks, and project contingency.

The name and department of each Task Manager responsible for accomplishing tasks. When appropriate, the Project Cost Plan, or subplans, may also show:

The cost of large material purchases.

The cost of large equipment and facility rents or purchases.

Project cost plans should not be developed in any more detail than is necessary for cost-effective planning and management of the project.

Project Cost Contingency Definition

Project cost contingencies are made available to Project Managers to cover unforeseen, unexpected, or unusual costs that are difficult or impossible to define or plan. Since the Project Manager is authorized to use the cost contingency as s/he sees fit, s/he can use the funds to resolve project problems quickly with negligible administrative delay. For Line Item Projects, the use of contingency is governed by the Baseline Change Control Threshold table in the Project Execution Plan.

Authority to Use the Cost Contingency

Project Managers are authorized to transfer funds from the project cost contingency to a project task. Task Managers do not have this authority.

If a Task Manager has a need for additional funding that s/he feels should come from the project cost contingency, the Task Manager will recommend this action to the Project Manager. The Project Manager will review the situation and make the decision.

The cost contingency should not be used to finance scope changes desired by the sponsor. Scope changes will be approved at the appropriate level, and a decision will be made after a review of the project finances to determine how much the project budget needs to be increased to cover the cost of the sponsor’s scope change.

Any cost revisions that exceed thresholds established in the Project Execution Plan shall be approved through the Baseline Change Control (BCP) process.

43. TASKS

LIST OF PROJECT TASKS

A project tasks list will be developed for each approved project by the Project Manager and the project team. The list of tasks should be selected that will provide an optimum structure for planning and managing the project and for reporting status to the sponsor and other managers.

DEFINITIONS

Task

A task is a subset of a project. It is a functional work effort that produces a specific product or result. A task is defined by its scope, schedule, budget, responsible Task Manager, task products (deliverables), and the user of the task products. A task can be likened to a mini-project.

Major Task (Level I Task)

A major task is one of the primary structural elements of a project. A project is therefore a set of major tasks. Major tasks may also be defined as Level I tasks.

Subtasks (Level II Tasks)

When a major task (Level I task) is broken down into smaller subtasks, these tasks may be described as Level II tasks. When a Level II task is broken down into smaller tasks, these tasks may be described as Level III tasks, and so on.

Project Task List

A project task list is the set of major tasks and appropriate subtasks displayed on the project cost and task plan documents.

44. TASK SCOPE DOCUMENT

RESPONSIBILITY

When a Project Manager requests a Task Manager to accomplish a task on behalf of his project, it is the responsibility of the Project Manager to ensure that a scope document is prepared that reasonably defines the task product or result to be produced.

In most cases, responsibility for writing a task scope document will be assigned to the Task Manager for that task.

Task Managers are authorized to request appropriate functional organizations to assist in preparing the necessary task scope documents. This can include the sponsor’s organization, the users’ organizations, the Task Manager’s own organization, corporate staff, and outside contractors. Requests for assistance should be coordinated with the Project Manager.

Project Managers should not write task scope documents, unless the Project Manager is the only person technically qualified to write the document, and this work will not adversely affect the management of the project.

If a Project Manager encounters difficulties in obtaining the support necessary to produce a required task scope document, s/he will promptly notify the project sponsor, who will then assist him/her with the problem.

45. TASK PLAN

RESPONSIBILITY

Task Managers will prepare and maintain a task plan for each project task for which they are responsible.

A task plan will consist of the following:

The current task scope document (refer to Task Scope Document, this section). The task cost worksheet (refer to Task Cost Worksheet, this section).

The task schedule, including milestone dates. In cases of high uncertainty, the completion date will be shown as bracketed.

The current budget for the task. In cases of high uncertainty, the budget will be shown as bracketed.

46. TASK COST WORKSHEET

RESPONSIBILITY

Task Managers will be responsible for maintaining a task scope document and a task worksheet for each of their tasks. A task worksheet will normally include:

Information on how the task schedule (duration) was derived. Information on how the task budget was derived. For example:

Category	Units	Number	x Rate ($/unit)	= Cost ($)
Sr Engineer	Mhrs	100	40.00/mhr	4,000.00
Technologist	Mhrs	60	30.00/mhr	1,800.00
Field Expenses	Trips	5	600.00/trip	3,000.00
Task Budget				8,800.00

If someone other than a Task Manager prepares a task worksheet, the Task Manager will obtain a copy of the worksheet and will study how the task schedule and budget were derived.

If a Task Manager disagrees with a task worksheet, the Task Manager will challenge the data and will negotiate a revised worksheet if appropriate.

If a Task Manager agrees with a task worksheet, s/he will prepare a summary task plan for the task (start date, completion date, and cost target) and submit it to the Project Manager.

In cases where there is great uncertainty regarding the scope of a task, the Task Manager may not be able to prepare a worksheet. In this case, the Task Manager is authorized to provide a stochastic determination of the cost in lieu of a worksheet as the source of the task span time and cost budget.

If the Project Manager selects a specific duration and budget for the task for use on the project cost and task schedule plan, the bracketed information provided by the Task Manager should be clearly shown on the plan. In these cases, the probability (risk analysis) of meeting the specific task duration and budget should be recorded in the project history file.

47. COST ESTIMATES

COMMON PROBLEMS

Cost problems are generally the result of one or more of the following conditions: Unrealistic or low baseline budgets, cost estimates, and construction bids.

Uncontrolled and/or unnoticed increases in scope of work. Unforeseen technical difficulties.

Schedule delays that require overtime or other added cost for recovery. Inadequate cost budgeting, reporting, control practices, and procedures. RESPONSIBILITIES

Project Manager: Identifies and manages project objectives (i.e., scope, completion date, and budget); develops and maintains cost and schedule estimates for the project.

Task Manager: Identifies and manages an assigned project task to achieve task objectives; develops and maintains cost and schedule estimates for the task.

Project Director: Ensures that Project Managers develop and maintain project plans, cost and schedule estimates, and follows baseline change control process.

Project initiator (or project sponsors, when applicable): Requests that Facilities DCM provides cost and schedule estimates for LBNL projects.

COMPLETED ESTIMATES

When a cost estimate has been completed, it will be provided to the project initiator/sponsor in writing and signed by the Project Manager of Facilities DCM (refer also to Paragraph D, Reviews, below).

Cost estimates will clearly indicate the degree of uncertainty in the estimate (e.g., Class A, B, C, or D – refer to Paragraph F, below) and list the important assumptions. In cases where the project initiator/sponsor is unable to provide a well-defined project scope document, it may be appropriate to provide the project initiator/sponsor with cost and schedule duration ranges.

When the project initiator/sponsor requires a cost estimate and project schedule immediately (within a day or so), and there is insufficient time to evaluate the task and prepare a proper response, a letter will be provided to the project initiator/sponsor by the date requested, and clearly state (in addition to Paragraph C1, above) that the cost estimate was prepared quickly, indicating the amount of effort expended (number of work-hours).

REVIEWS

Cost estimates must be reviewed by the Project Director before the information is shared with the project initiator/sponsor.

REFINING ESTIMATES

If a project initiator/sponsor requests a higher-quality cost estimate, the project initiator/sponsor may be asked to:

Furnish more details and description of the project;

Provide additional funding to support estimating and study work; and/or Agree to a reasonable due date for completing the estimate.

LEVELS OF ACCURACY

Class A – Final Construction Estimate. Accuracy (%) = 10(±5). Construction estimates from subcontractor

Class B – Final Design Estimate. Accuracy (%) = 15(±5). Final engineering complete

Drawings complete Specifications complete

Material and labor from final drawing take-offs

Class C – Conceptual Design Estimate. Accuracy (%) = 20(±10). Detailed scope definition by client

Client approval of scope

Site investigation (determine tie-in requirements for major equipment) Preliminary engineering drawings

Material and labor from preliminary drawing take-offs

Class D – Scoping and Planning Estimate. Accuracy (%) = 30(±10). Project definition by client

Site visit and on-site scope review with client Major equipment identified and reviewed Experience and historical cost data for similar work No design documents

48. PROJECT STATUS AND PROBLEM IDENTIFICATION

RESPONSIBILITY

Project Managers must ensure that they are continuously aware of the status of their projects, in order to identify task variances, evaluate the impact of these variances on future elements of the project, and determine if the impact represents a significant problem for the project. Possible issues include scope, schedule, and cost problems.

STATUS OF PROJECTS

The status of project scope completion will be reviewed frequently, at weekly meetings with engineering and/or construction subcontractors as appropriate. At a minimum, project schedules and cost reports will be generated monthly, as required by the overall DCM reporting process for the Monthly Facilities Projects List and Master Schedule.

IDENTIFYING AND DISPLAYING TASK VARIANCES (SCOPE, SCHEDULE, COST)

Task variances will be identified primarily by the responsible Task Managers, who will promptly report these variances to the Project Manager and, if appropriate, to their functional supervisors.

Task variances may also be identified by Project Managers visiting work sites, reviewing documents, talking to Task Managers and other project team members, discussing the project with interested functional managers and staff personnel, and talking with functional workers, contractors, and vendors.

Project Managers will maintain a log that accurately shows for all tasks, at all times, unresolved task scope variances.

Project Managers will maintain a current copy of the Project Variance Report that accurately describes the issue(s):

Unresolved cost target variances. Unresolved task schedule variances. Design deviations.

Refer to Section 6.13, Reporting Requirements.

PROJECT SCOPE PROBLEMS

A project scope problem is defined as a situation in which the collective impact of unresolved task scope variances and other difficulties appear likely to fall short of the project requirements of the project users and other designated interests.

PROJECT SCHEDULE PROBLEMS

A project schedule problem is defined as a situation in which the collective impact of the unresolved task schedule variances is likely to delay the project completion date, postpone a major project milestone, or compromise delivery of a critical element in the project to a user.

When appropriate, Project Managers will prepare more detailed information for projects that have several significant task schedule variances.

PROJECT COST PROBLEMS

A project cost problem is defined as the sum of the current unresolved cost variances.

The forecast cost of a project is the sum of (a) the project budget, and (b) the sum of the current unresolved cost variances.

PROJECT STATUS AWARENESS

Project Managers must ensure that they are aware at all times of all significant scope, schedule, and cost problems confronting their projects.

49. VARIANCE REPORTING

TASK MANAGERS

Task Managers who have made a commitment to a Project Manager to accomplish a project task will continuously review the task plan, both before, during, and after work starts, to ensure:

That the task objectives are still valid, realistic, and can be met.

That the task scope adequately defines the task deliverables and that these will satisfy the task users.

That the resources required to meet the task objectives are forecast to be available on the dates required.

If a Task Manager concludes that a current or future task cannot be accomplished as agreed upon in his/her commitment to the Project Manager, the Task Manager will promptly notify the Project Manager of this fact, and will work with the Project Manager to develop a good recovery plan.

No one in the Facilities Division will knowingly withhold information from Project Managers on significant task variances. Such withholding of information on task variances compromises the best interests both of the project and of Lawrence Berkeley National Laboratory, and will be considered a violation of division policy.

PROJECT MANAGERS

A Project Manager who has made a commitment to provide a Task Manager with a deliverable needed for a task will monitor at a minimum monthly the status of the activity.

If the Project Manager concludes that he cannot provide the deliverable as planned, the Project Manager will promptly notify the Task Manager and will work with him/her to develop a suitable course of action. This early notification will give the Task Manager sufficient time to reschedule tasks and reallocate resources from the delayed task to other tasks.

50. COMPLETED TASK ANALYSIS

RESPONSIBILITIES

Functional managers are responsible for the performance of Task Managers in their organizations.

The supervisors of Task Managers are responsible for ensuring that their Task Managers complete assigned project tasks in a competent, timely, and cost-conscious manner. This includes making sure that the Task Managers in their divisions promptly notify Project Managers of significant scope, schedule, and cost variances.

TASK CRITIQUE

At the completion of each major task, the Project Manager and the Task Manager will look at the results (the actual completion date of the task, the final actual cost of the task, and the extent of the users’ satisfaction with the Task Product), and will compare these results with the last approved plan for that task.

The variances, if any, between the actual results and the latest approved task plan will be noted and discussed by the Project Manager and the Task Manager.

If there is a large variance, the Task Manager will notify his/her functional supervisor.

If an actual Task Variance is likely to have a major adverse impact on a project objective, this will be promptly reported to the sponsor and other managers as appropriate. As appropriate, the Project Manager will submit recommendations to the sponsor to prevent any recurrence of the problem that caused the variance.

51. ACTUAL PROJECT COSTS

PROJECT CODE OF ACCOUNTS

When a Project Plan has been approved, and the cost and task plan documents have been approved and signed, the Project Manager will request the project support services organization to arrange to have the actual costs of tasks collected in accordance with an agreed-upon code of accounts.

FINAL TASK COSTS

Costs incurred by Facilities DCM organizations on behalf of a project will be charged against the project task on which the money was spent. When a project task has been completed and the task deliverables accepted, the Project Manager will notify the project support services organization. This organization will arrange to have the final actual cost of that task calculated and provided to the Project Manager and the Task Manager.

ATTRIBUTION OF COSTS

All personnel responsible for charging costs to tasks will do so as accurately as possible. The misattribution of costs is unethical and is a serious violation of LBNL policy.

FINAL PROJECT COSTS

When a project is completed, the final actual cost of the total project will be reviewed and verified by the Project Manager. This total project cost is the sum of the final actual costs of the project tasks, plus any authorized project costs not attributable to project tasks. The Project Manager will report this final total cost of the project to the project sponsor, and to his/her line manager if this is a different person. The sponsor will notify the initiator of the final actual cost of the project.

52. KEY PROJECT MEMBER CHANGE: TURNOVER PROCESS

DEFINITION OF KEY PROJECT MEMBER CHANGE

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.

TURNOVER PROCESS

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.

53. PROJECT RESTART PLAN

OBJECTIVE

A restart plan shall be developed for all projects that are paused for longer than two months. The objective of this plan includes assuring that team members and stakeholders are updated on project status and are aware of their roles and responsibilities.

CONTENT

The content of the restart plan will depend upon the size and complexity of the project but shall at a minimum include a meeting with the Integrated Project Team. The written plan (or agenda of the IPT meeting) shall include:

General description of scope clarifying any scope changes that may have occurred during the hold period
- Summary of unresolved issues and project priorities

Acquisition Strategy
Identification of project team members

If a key project team member (Project Manager or Construction Manager) has changed during the hold period, refer to the Key Project Member Change: Turnover Process (this section).

54. PROJECT PROBLEM REPORTING

DEFINITION OF PROJECT PROBLEM

A project problem is defined as a situation in which it appears that (1) a project objective (scope, schedule, or budget) cannot be achieved, or (2) the probability of achieving a project objective has significantly decreased.

PROMPT REPORTING

If a Project Manager identifies a problem that is of sufficient gravity to bring to the attention of the sponsor, the problem shall be promptly brought to the attention of the project sponsor and Project Director, and not be withheld until a recommended solution can be developed. Problems shall be resolved in a timely manner.

If a Project Manager identifies a new problem but is convinced that the problem can be readily solved in a day or so, it is common sense to solve the problem quickly without involving the sponsor. However, if after a day or so, a solution has not been found, the Project Manager must notify the sponsor and Project Director that the problem exists.

If a Project Manager identifies a new problem, and it is likely that the sponsor or initiator will hear about the problem from other sources in the next day or so, it is acceptable for the Project Manager to immediately notify the sponsor and Project Director that the problem exists.

To enable Project Managers to report significant problems promptly, as outlined above, all personnel must be candid regarding problems and task variances, and must report these variances to Project Managers promptly, as specified in Variance Reporting, this section.

To fully support this policy, an attitude of “shoot the messenger” on the part of managers will be considered unacceptable.

In addition, reasonable mistakes will be accepted as the normal consequence of delegating authority and taking risks in support of the mission and objectives of Facilities DCM. Concealing mistakes, however, will be treated as a violation of DCM policy.

Project sponsors must ensure that project initiators are promptly informed of all significant project problems.

55. PROJECT RECOVERY PLANNING

PROJECT PROBLEM

A project problem is defined as a situation in which it appears that (1) a project objective (scope, schedule, or budget) cannot be achieved, or (2) the probability of achieving a project objective has significantly decreased.

RESPONSIBILITY FOR RESOLVING PROBLEMS

Task Managers

Task Managers are responsible for resolving task variances. If a task variance cannot be solved, the variance will be promptly reported to the Project Manager.

Project Managers

Project Managers will be responsible for resolving project problems. If a project problem cannot be solved, the problem will be promptly reported to the project sponsor and Project Director.

REVISING PROJECT OBJECTIVES

If it is determined that a project problem is threatening the viability of a project, the Project Manager will consider various changes in the project objectives (cost, schedule, scope) to develop a creative recovery plan that will reduce or eliminate the difficulty. For example, if a project is experiencing a significant cost increase, it may be possible to save money by reducing the project scope to bring the project within viable cost limits.

If a feasible recovery plan is not possible, and the problems being experienced are jeopardizing the entire project, the project initiator may consider terminating the project.

In summary, responsible managers will continuously take prompt action to develop and implement innovative and realistic recovery plans to eliminate or mitigate task variances and to resolve project problems.

56. PROJECT COMPLETION

A project is not complete until the project sponsors and initiator have officially accepted the project result or product (deliverables).

When a Project Manager finishes work on a project, and the users and other designated interests advise the Project Manager that the project products are acceptable, the Project Manager will so notify the sponsors.

The project sponsors are responsible for:

Personally reviewing and evaluating the results of the project, including the project history file.

Confirming the acceptance of the project products by the users and the other designated interests.

Ensuring that there are no outstanding issues, problems or incomplete tasks that would require keeping the project active. This particularly applies to (a) as-built drawings, (b) databases, (c) files, (d) revised drawings, and (e) other closeout items. If any of these closeout items are not complete, the sponsor is not authorized to close the project. The project will remain on the Facilities Projects List until all items are complete.

Advising the project initiator that the project is complete and that all closeout items have been accomplished in accordance with DCM standards and contract documents.

Obtaining the approval of the project initiator to close the project and remove the project from the List of Approved Projects.

Last-Minute Disagreements

Any last-minute disagreements between the project sponsor, the users, and the other designated interests as to the interpretation of the project scope document, or the configuration of the final product, will be resolved by the project sponsor – with the assistance of the Project Manager.

This is a responsibility of the project sponsor.

When the disagreements have been resolved, the project sponsor is responsible for advising the Project Manager of the results of the negotiations between the sponsor and the users, and for specifying any actions to be taken by the Project Manager to complete the project.

57. PROJECT SUCCESS

SUCCESSFUL PROJECT

A project is successful when (1) the objectives of the project have been achieved to the complete satisfaction of the users, all designated interests, the sponsor, and the initiator, and (2) all closeout activities, including as-built drawings, have been completed and the initiator officially accepts the project results or products and closes the project.

There will be cases, which should be rare, in which the initiator, the sponsor, a senior manager, or one or more of the users, are dissatisfied with the project results or product but the Project Manager’s functional supervisors have concluded that the Project Manager was successful in managing the project.

SUCCESSFUL PROJECT MANAGER

A successful Project Manager is a person who fulfills his/her assigned project responsibilities to the satisfaction of his/her line manager by competently performing the numerous duties outlined for Project Managers (refer to Project Managers, this section).

It is therefore possible for a Project Manager to encounter serious difficulties that are beyond his/her control or influence (e.g., acts of nature, significant price increases, incompetent vendors), and thus be unsuccessful in achieving a project objective for which s/he had accepted responsibility; yet still be considered a successful Project Manager, on the condition that s/he:

Competently performed the numerous duties necessary to achieve the objective as outlined for Project Managers (refer to Project Managers, this section).

Identified the project difficulties early.

Promptly reported these difficulties to the sponsor and other persons as appropriate.

Took prompt, creative actions to resolve the difficulties or minimize the adverse effect of the difficulties.

58.PROJECT HISTORY

Project Managers will ensure that an accurate history of their projects is maintained. Project history files will include, but not be limited to, the following:

The original project objectives specified by the project sponsor.

The project objectives accepted by the Project Manager and the original project plan. Copies of all numbered revisions of the project variance report.

Major revisions in the project plan. Project status reports and special reports. Change logs.

Subcontractor and vendor documentation, contract files, and correspondence.

A record of the actual completion dates and actual final costs of the major project tasks. A copy of the final project plan and other closeout items.

Project completion letter from the project sponsor. Project closeout documentation.

All documentation required for legal purposes and for responding to subcontractor and vendor claims.

All other documentation required by Lawrence Berkeley National Laboratory policies, procedures, and instructions.

59. REQUIRED DOCUMENTS

Listed below are the policies that require the preparation of documents. These documents will be produced in a competent, timely, and cost-conscious manner.

If anyone concludes that one of these documents is not cost-effective, or is not in the best interest of the project or Lawrence Berkeley National Laboratory, that person should promptly report his/her conclusions to his/her immediate supervisor.

Management will review all recommendations to change or delete required documents and will provide a response to each recommendation.

A major objective of the DCM department is to eliminate paperwork that is not truly cost-effective and essential to the mission of the Lawrence Berkeley National Laboratory.

Although preparation of the specified documents is mandatory, the level of detail is left to the discretion of the responsible managers. These documents should not be prepared in any more detail than is necessary to achieve their basic purpose. The following policies require the preparation of documents:

Required Documents Responsibility

Project Assignments or RAM PM

Project Plan (Cost Plan and Schedule) PM

Task Scope Document (OPR) TM

Task Cost Worksheet TM

Project Reports PM

As-Built Drawings PM

Project Completion (Maintenance/Operations Manuals) PM

PM = Project Manager

TM = Task Manager

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APPENDIX B, ROLES AND RESPONSIBILITIES

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1.1 DESIGN AND CONSTRUCTION MANAGEMENT DEPARTMENT HEAD Role

1.2 PROJECT DIRECTORS Role

1.3 PROJECT MANAGERS Role

1.4 CONSTRUCTION MANAGERS

1.5 PROJECT COORDINATORS Role

1.6 PROJECT CONTROLS Role

1.7 PROJECT PLANNER / SCHEDULER Role

1.8 EHS CONSTRUCTION SAFETY DESIGN REVIEW TEAM LEAD Role

1.9 EHS TEAM LEADER

1.10 CONSTRUCTION SAFETY ENGINEER

1.11 EHS TEAM MEMBERS/SUBJECT MATTER EXPERTS

1.12 CONSTRUCTION INSPECTOR(S)

1.13 COMMISSIONING ROLES AND RESPONSIBILITIES

1. PROJECT INITIATORS

2. PROJECT SPONSORS

3. PROJECT MANAGERS

4.

5. CONSTRUCTION MANAGER(S)

6.

7. CONSTRUCTION INSPECTOR(S)

8.

9. PROJECT TEAM

10. PROJECT CONTROLS

11.

12. PROJECT COORDINATORS DEFINITION

14. FUNCTIONAL MANAGERS

15.

16. TASK MANAGERS

17.

18. PROJECT USERS AND OTHER DESIGNATED INTERESTS

19. ELECTRICAL AHJ FOR SAFE WORK PRACTICES.

20. Division Electrical Safety Officer (ESO)

21. Qualified Electrical Worker (QEW).

22. PROJECT MANAGEMENT POLICIES

23. PROJECT MANAGEMENT PROCESS

24. PROJECT DEFINITION

25. ASSIGNMENT OF RESPONSIBILITY

26. PROJECT RESPONSIBILITY

27. FUNCTIONAL RESPONSIBILITY

28. DUAL RESPONSIBILITY

29. PROJECT COST RESPONSIBILITY

30. ACCOUNTABILITY

31. DELEGATION OF AUTHORITY

32. CLIENT COMMUNICATIONS

33. CONFLICT RESOLUTION

34. PROJECT PRIORITIES

35. THE PROJECT PLAN

36. PROJECT SCOPE DOCUMENT

37. PROJECT WORK BREAKDOWN STRUCTURE (WBS)

38. WBS STANDARD FORMAT

39. PROJECT ORGANIZATIONAL BREAKDOWN STRUCTURE (OBS)

40. CONTROL ACCOUNTS, WORK PACKAGES AND PLANNING PACKAGES

41. PROJECT SCHEDULE

42. PROJECT COST PLAN

43. TASKS

44. TASK SCOPE DOCUMENT

45. TASK PLAN

46. TASK COST WORKSHEET

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47. COST ESTIMATES

48. PROJECT STATUS AND PROBLEM IDENTIFICATION

49. VARIANCE REPORTING

50. COMPLETED TASK ANALYSIS

51. ACTUAL PROJECT COSTS

52. KEY PROJECT MEMBER CHANGE: TURNOVER PROCESS

53. PROJECT RESTART PLAN

54. PROJECT PROBLEM REPORTING

55. PROJECT RECOVERY PLANNING

56. PROJECT COMPLETION

57. PROJECT SUCCESS

58.PROJECT HISTORY

59. REQUIRED DOCUMENTS