Project design is accomplished in phases: Conceptual Design, Preliminary Design, Final Design, Construction Support, and Project Closeout. The conceptual design phase, and how it meshes with the other project phases and the budget process, is shown in Department of Energy (DOE) Order 413.3B.
Larger, more complex projects may require design progress submittals at 50% and 100% complete stages. Design submittals shall be distributed by the Project Coordinator to the project team. The Project Manager shall establish a due date for comments to be submitted. Comments are compiled by the Project Coordinator and transmitted to the A/E firm by the Project Manager. Refer to general guidelines below.
4.5.1 Conceptual Design
The Conceptual Design phase is the formative stage in the design of a facility, and is prepared for developing and quantifying: the physical construction requirements of the project, the budget cost estimate, and the schedule of key design and construction activities. The conceptual design is based upon user requirements accepted by management, and establishes the allocation, size, capacity, and functional needs of the project.
The purpose of the conceptual design is to describe the project, to justify its need, to establish schedule and budget, and to obtain project funding. This section sets forth the actions required by the Project Manager and the tasks performed by the design team in developing the conceptual design.
4.5.1.1 Initiation
The conceptual design is initiated by the Project Manager, using the Project Initiation Form (refer to Section 2, Project Initiation) to request funding. The Resource Analyst will assign Project IDs. The Project Coordinator will circulate an Orange Folder for team assignments.
4.5.1.2 Project Plan
The Project Manager shall prepare a schedule and budget for the conceptual design phase. Key milestone dates, such as submittal of Construction Project Data Sheets, submittal of the Conceptual Design Report, and submittal of Critical Decision-1 (CD-1) documents, should be discussed with the DOE Berkeley Site Office (BSO) and then incorporated into the project schedule. Task plans are created and agreed to for LBNL design team support.
4.5.1.3 Initiation Meeting
The Project Manager shall schedule a project initiation meeting with the Project Director to review the proposed scope, schedule, and budget.
4.5.1.4 A/E Design Firm Selection
An Architecture/Engineering (A/E) selection committee shall be formed to select an A/E firm for conceptual design. The committee shall consist of the Project Manager, Procurement representative, client representative, and one or more project team staff members. A memo is sent from the selection committee chair (always the Procurement representative) to the Design & Construction Management Department Head to approve the selection committee members.
Selection committee members review and score proposals submitted by candidate firms. The members’ scoring of the firms is reviewed in a committee meeting, and a shortlist is developed of firms suitable for interview. Interviews are held, short-listed firms are rescored by the committee members, and a selection is made. The selection committee chair sends a memo to the Design & Construction Management Department Head for approval of the selected firm.
4.5.1.5 Review Lessons Learned from Similar Projects
The Project Manager may schedule a Lessons Learned Session on similar projects to be used in establishing the Project Design Requirements and to ensure efficiencies over time and development of best practices.
4.5.1.6 Project Design Requirements (PDR)
The Project Design Requirements (PDR) document establishes the scope of work for an outside A/E firm. A standard Project Design Requirements document format is available and should be used. The Project Manager, with the assistance of the Project Coordinator, will draft a PDR for the project. Information on the project objectives, budget, and project schedule will be included in the draft. The Project Manager will distribute the draft document to the project team for additional input on A/E tasks, project scope summary, and deliverables. The document will reference the LBNL Construction Details and Design Guidelines for detailed design information. Relevant in-house documentation such as programming or prior studies may be attached to the PDR. The PDR is attached to the Task Request for A/E Services and sent to Procurement for incorporation into the contract documents.
4.5.1.7 A/E Subcontract
The Project Manager will prepare a Task Request for A/E Services, to be approved by the appropriate Project Director and the Design & Construction Management Department Head. The Project Coordinator will initiate a purchase requisition and send the Task Request and PDR to Procurement. Procurement will send a request for proposal to the A/E firm. The Project Manager will review the fee proposal, negotiate or clarify if needed, then send an email to Procurement indicating that the proposed fee is acceptable. Procurement will issue a Purchase Order Subcontract. Contract documents consist of three parts: Purchase Order Subcontract, General Provisions, and Project Design Requirements.
4.5.1.8 Design Kick-Off Meeting
The Project Manager will schedule a design kick-off meeting with the A/E firm, client, and LBNL project team. The project scope, A/E firm tasks, and conceptual design schedule should be reviewed.
4.5.1.9 Design Progress Meetings
Design progress meetings should be scheduled periodically, as determined by the Project Manager. Scope issues, design direction, preliminary cost estimates, etc., should be discussed as necessary.
4.5.1.10 Initiate Environmental Review
The Project Manager will request the Facilities Environmental Planner to initiate a National Environmental Policy Act/California Environmental Quality Act (NEPA/CEQA) environmental review of the project. This request should be made at a point early in conceptual design, after a site has been identified and the basic scope parameters have been established. The project team provides information as needed to the Environmental Planner. A copy of the approved NEPA/CEQA documentation is kept in the project file; acknowledgment of NEPA/CEQA completion is made by the Environmental Planner in the project Orange Folder.
4.5.1.11 Architectural Design Review
When the proposed design direction for the project has been established, the Project Manager shall schedule an architectural design review meeting to review the design. Typical conceptualdesign progress submittals would be at the 50% and 100% complete stages. Submittals will be distributed by the Project Coordinator to the project team. The Project Manager will establish a due date for comments to be submitted. Comments will be collected by the Project Coordinator and transmitted to the A/E firm.
4.5.1.12 Confirm BIM Requirements
The Project Manager shall work with the Design Team and Operations to define the extent that Building Information Modeling Systems will be used on the project. Those requirements will be appropriately documented in the Project Specifications.
4.5.1.13 Final Submittal
The final submittal from the A/E firm should be a completed Conceptual Design Report (CDR). A detailed cost estimate should be included as part of the report.
4.5.1.14 Project Total Estimated Cost (TEC)/Total Project Cost (TPC)
The Project Manager will prepare a Total Estimated Cost (TEC) and Total Project Cost (TPC) for the project, based on the detailed estimate prepared by the A/E firm. These budgets are documented as cost supplements to the CDR, using standard formats. Budget information is displayed on the following forms:
- Construction Cost Estimate Summary
- Escalation Analysis
- Major Components of Cost Estimate
- Budget Authority/Budget Obligation (BA/BO) Chart
- Contingency Analysis
- Engineering, Design, and Inspection (ED&I) Analysis
4.5.1.15 Construction Project Data Sheets
Construction Project Data Sheets are prepared for all Line Item Projects. The data sheet is submitted in advance of the other CD-1 documentation, and the submittal date must appear as a milestone on the conceptual design schedule. The Total Estimated Cost, Total Project Cost, major schedule dates, project justification summary, and project description all become fixed with the submittal of the data sheet.
4.5.1.16 Critical Decision-1 (CD-1): Approve Alternative Selection and Cost Range
Critical Decision-1 approval marks the completion of the project Definition Phase, when the conceptual design is developed. Approval of CD-1 provides the authorization to begin the project Execution Phase.
The Project Manager, with assistance from the Integrated Project Team (IPT), which includes the Federal Project Director, other assigned team members from the DOE Berkeley Site Office (BSO), and members of the Facilities project team, prepares the required documents (refer to DOE Order 413.3B). The CD-1 documents will be reviewed by the project team, client, and Facilities Division management prior to transmittal from the Facilities Division Director to the BSO.
4.5.2 Preliminary Design
The Preliminary Design phase begins after conceptual design is completed, or a project study has established the project scope, cost range, and schedule. Preliminary design continues the design effort, utilizing the Conceptual Design Report (CDR) and the project design program as a basis for project development.
Preliminary design usually represents about 25% to 35% of the total design effort. For Line Item Projects, the preliminary design stage is complete when there is sufficient project information to support development of the Performance Baseline. The Performance Baseline is set with Department of Energy (DOE) approval of Critical Decision-2 (CD-2)
4.5.2.1 Initiation
Since the Preliminary Design phase is often initiated after the receipt of Project Engineering and Design (PED) funding for Line Item Projects or approval of the Planning List for General Plant Project/Institutional General Plant Project (GPP/IGPP) projects, it is usually necessary to initiate the preliminary design as a new project. This includes setting up new Project IDs, updating the Work Breakdown Structure, requesting new team assignments, and creating new project files. The Project Manager will contact the client to inform him/her of the project team assigned to the project and to confirm the scope of work.
4.5.2.2 Project Plan
The Project Manager prepares a schedule and budget for the project. The Project Manager also prepares a project scope statement and obtains client concurrence. Task plans are created and agreed to for LBNL design team support. Task plans are distributed to the Task Managers (including the project plan, scoping document, schedule, cost plan, and responsibility grid) and copied to the project file.
4.5.2.3 Design Method of Performance
Establish the method of performance for the design phase of the job. Determine whether traditional design, bid, build is appropriate or whether another method of procurement is needed, such as design-build, or CM/GC. Design of GPP/IGPP and Line Item Project work should generally be done by outside stable or executive Architecture/Engineering (A/E) firms, who are selected using selection criteria based upon qualifications and experience.
4.5.2.4 Construction Method of Performance
Establish the method of performance of construction on the job. Construction of GPP/IGPP and Line Item Project work should generally be done by outside construction subcontractors, using pre-qualification and competitive bidding procedures.
4.5.2.5 Environmental and Safety Review
- Obtain NEPA/CEQA review/approval through the LBNL Environmental Planner.
- Obtain safety review/approval through the EHS Construction Safety Design Review Team Lead.
4.5.2.6 A/E Design Firm Selection
When an outside A/E firm is to be used for preliminary design, an A/E selection committee shall be formed. The committee shall consist of the Project Manager, Procurement representative, client representative, and one or more project team staff members. A memo is sent from the selection committee chair (always the Procurement Subcontract Administrator) to the Design &
Construction Management Department Head to approve the selection committee members. Selection committee members review and score proposals submitted by candidate firms. The members’ scoring of the firms is reviewed in a committee meeting, and a shortlist is developed of firms suitable for interview. Interviews are held, short-listed firms are rescored by the committee members, and a selection is made. The selection committee chair sends a memo to the Design & Construction Management Department Head for approval of the selected firm.
4.5.2.7 Review Lessons Learned from Similar Projects
The Project Manager will schedule a Lessons Learned Session on similar projects to be used in establishing the Project Design Requirements and to ensure efficiencies over time and development of best practices.
4.5.2.8 Project Design Requirements (PDR)
The Project Design Requirements (PDR) document establishes the scope of work for an outside A/E firm. A standard PDR document format is available and should be used. The Project Manager, with the assistance of the Project Coordinator, shall draft a PDR for the project.
Information on the project objectives, budget, and project schedule will be included in the draft. The Project Manager will distribute the draft document to the project team for additional input on Architect/Engineer tasks, project scope summary, and deliverables. The document will reference the LBNL Construction Details and Design Guidelines for detailed design information. Relevant
in-house documentation such as programming (OPR) or prior studies may be attached to the PDR. The PDR is attached to the Task Request for A/E Services and sent to Procurement for incorporation into the contract documents. Revisions to the A/E firm’s scope of work will be documented by modifying the PDR to incorporate the changes.
4.5.2.9 A/E Subcontract
The Project Manager shall prepare a Task Request for A/E Services, to be approved by the appropriate Project Director and the Design & Construction Management Department Head. The Project Coordinator will initiate a purchase requisition and send the Task Request and PDR to Procurement. Procurement will send a request for proposal to the A/E firm. The Project Manager will review the fee proposal, negotiate or clarify if needed, then send an email to Procurement indicating that the proposed fee is acceptable. Procurement will issue a Purchase Order Subcontract. Contract documents consist of three parts: Purchase Order Subcontract, General Provisions, and Project Design Requirements.
4.5.2.10 Consultants
Consultants for geotechnical studies, surveys, noise and vibration studies, or other specialties should be hired as needed. A competent consultant shall be engaged to perform a failure analysis on projects and control systems that have significant environmental, health, or safety consequences. The process for hiring these consultants is similar to the A/E hiring process, but varies depending on the dollar amount of the subcontract.
4.5.2.11 Design Kick-Off Meeting
The Project Manager will schedule a design kick-off meeting with the A/E firm, client, and LBNL project team. The project scope, A/E firm tasks, and design schedule should be reviewed. A Basis of Design (BOD) document will be prepared early in the design phase in response to the Owner’s Project Requirements (OPR).
4.5.2.12 Design Progress Meetings
Design progress meetings should be scheduled periodically, as determined by the Project Manager. Scope issues, design direction, preliminary cost estimates, etc., should be discussed as necessary.
4.5.2.13 Identify Critical Equipment and Systems
The Project Team shall meet with the End Users to determine the critical systems in the project scope. Identifying these systems early in the design is important to ensure appropriate attention is provided from “Concept to Launch”. The Facilities Operations Team Lead and Commissioning Team shall be part of this process to ensure appropriate reliability reviews are performed on these systems throughout the project.
4.5.2.14 Assign Equipment Numbers
The equipment numbering system at LBNL is unique and an important piece of future maintenance programs. The Project Manager shall request equipment numbers early in the Design Process. This numbering system will be incorporated on the Project Drawings by the A/E Firm.
4.5.2.15 Progress Submittals
Typical preliminary design progress submittals would be at the 50% and 100% complete stages. Requirements for the submittals are defined in the PDR document. Submittals will be distributed by the Project Coordinator to the project team. The Project Manager will establish a due date for comments to be submitted. Comments will be collected by the Project Coordinator and transmitted to the A/E firm.
4.5.2.16 Architectural Design Review
When the proposed design direction for the project has been established, the Project Manager shall schedule an architectural design review meeting. Obtain University of California Regents project design approval (if Total Estimated Cost (TEC) is more than $5 million) and/or approval of site selection if not in general conformance with the LBNL Long-Range Development Plan (LRDP).
4.5.2.17 Reliability and Maintainability Review
The Project Manager will coordinate with the Facilities Operations Team Lead and Commissioning Team to arrange for reliability and maintainability reviews throughout the design phase, as applicable to the project.
4.5.2.18 Confirm BIM Requirements
The Project Manager shall work with the Design Team and Operations to define the extent that Building Information Modeling Systems will be used on the project. Those requirements will be appropriately documented in the Project Specifications.
4.5.2.19 Reports
- Prepare monthly status and progress reports and submit to the Project Director for review (refer to Section 6.9.2).
- Present monthly progress at DOE meetings.
- Update cost plans and periodically reconcile budget as needed. Review scope, schedule, or budget variances with the Project Director and project sponsor for approval before proceeding with the next phase.
4.5.2.20 Critical Decision-2 (CD-2): Approve Performance Baseline
Critical Decision-2 marks the completion of preliminary design, the first major milestone in the project Execution Phase. Preliminary design is complete when it provides sufficient information for the development of the Performance Baseline.
The Project Manager, with assistance from the Integrated Project Team (IPT), assembles project documents for submittal to DOE for CD-2 approval.
The LBNL Project Management Office reviews the CD-2 documents prior to submittal to DOE. Detailed requirements for this submittal are found in DOE Order 413.3B.
Critical Decisions-2 and -3 may be combined for design build projects in accordance with DOE Order 413.3B.
4.5.3 Final Design
The Final Design phase utilizes work from the Preliminary Design phase to develop drawings and specifications for bidding and construction. Final design includes any revisions required from the preliminary design effort.
4.5.3.1 Initiation
For Non-Cap and General Plant Project/Institutional General Plant Project (GPP/IGPP) funded projects, final design begins with the return of comments on the preliminary design submittal to the Architect/Engineer (A/E). The Project Manager gives direction to the A/E to proceed with final design. For Line Item Projects, the Department of Energy’s Critical Decision-2 (Approve Performance Baseline) is required prior to beginning the final design phase. Final design cannot proceed unless the environmental reviews under the California Environmental Quality Act (CEQA) and National Environmental Policy Act (NEPA) are completed.
4.5.3.2 Work Authorization Level
The designation of Work Authorization Levels (WALs) is designed to ensure pre-task identification and understanding of an activity’s hazards and environmental effect and ensures a graded application of control. A clear definition of the scope of work at the task level is necessary in the planning process to allow designation of the appropriate Work Authorization Level. Refer to Section 5.2 for more information on Work Authorization Levels.
4.5.3.3 Administration of A/E Subcontract
The Project Manager, working with Procurement, is responsible for administering the A/E subcontract. The LBNL Procurement Standard Practices Manual provides additional information on administering subcontracts. The A/E subcontract documents consist of three parts: Purchase Order Subcontract, General Provisions, and Project Design Requirements.
Services to be supplied by the A/E are set forth in the PDR. Requests for additional services should be directed to the Procurement Subcontract Administrator, with a copy to the Project Manager. Invoices should be directed to Accounts Payable, with a copy to the Project Manager.
4.5.3.4 Design Progress Meetings
Design progress meetings should be scheduled periodically, as determined by the Project Manager. Scope issues, design direction, cost estimates, etc., should be discussed as necessary.
4.5.3.5 Progress Submittals
Typical final design progress submittals would be at the 50% and 100% complete stages. Requirements for the submittals are defined in the Project Design Requirements (PDR) document. Submittals shall be distributed by the Project Coordinator to the project team. The Project Manager shall establish a due date for comments to be submitted. Comments will be collected by the Project Coordinator and transmitted to the A/E firm.
4.5.3.6 Final Submittal
The final submittal would be at the 100% complete stage. The submittal should include complete drawings and specifications, ready for bid. Other submittal requirements will be defined in the Project Design Requirements document and typically include calculations, a detailed cost estimate, and if required, a revision to the Energy Conservation Report.
4.5.3.7 Third-Party Structural Review
The Project Manager shall arrange for a third-party structural review through Facilities Engineering Support Services.
4.5.3.8 Third-Party Cost Estimate
The Project Manager may arrange for a third-party cost estimate when a higher level of certainty is desired.
4.5.3.9 Reports
- Prepare monthly status and cost reports and submit to the Project Director for review (refer to Section 6.9.2).
- Present monthly progress at DOE meetings.
- Update cost plans and periodically reconcile budget as needed. Review scope, schedule, or budget variances with the Project Director and project sponsor for approval before proceeding with the next phase.
4.5.3.10 Reliability and Maintainability Review
A reliability and maintainability review should be performed prior to completion of final design. The Facilities Operations Team Lead shall recommend if any Predictive Technology requirements shall be added.
4.5.3.11 Plan Review
When the final design is complete, the Project Manager shall request the Project Coordinator to prepare a Project Plan Review (Line Item and GPP/IGPP Projects) form. The Project Coordinator shall circulate the Project Plan Review form for sign-off by the project team.
The Project Manager will contact Facilities Engineering Support Services two weeks before the Final Design submittal is due to allow scheduling of a third party plan check review firm. All Final Design drawings and specifications are to be sent to Facilities Engineering Support Services in pdf format. Facilities Engineering Support Services will obtain a proposal from the plan check firm fortheir services, the proposal will be reviewed and approved by the Project Manager. Allow two weeks for plan check review.
4.5.3.12 Critical Decision-3 (CD-3): Approve Start of Construction
For Line Item Projects, Critical Decision-3 provides authorization to complete all procurement and construction and/or implementation activities to execute the project. The Project Manager, with assistance from the project team, shall assemble project documents for submittal to DOE for
CD-3 approval. The LBNL Project Management Office reviews the CD-3 documents prior to submittal to DOE. Detailed requirements for this submittal are found in DOE Order 413.3B.
