Facilites Project Managers Guide

Facilities Project Managers
Guide
May 2008
TA B L E O F C O N T E N T S
Introduction to the Facilities Project Managers Guide ........................................................ 8
Part I: Stakeholders and Roles ............................................................................................ 11
Part II: Project Requests and Approval Process ................................................................. 27
Part III: Project Controls ........................................................................................................ 34
Part IV: Project Process Phases ........................................................................................... 56
Part V: Appendix ................................................................................................................... 75
FOR ASSISTANCE IN USING THIS GUIDE OR TO PROVIDE COMMENTS AND EDITS,

PLEASE CONTACT DONNA GOSS
Facilites Project Managers Guide
Page 1
D E TA I L E D T A B L E O F C O N T E N T S
Introduction to the Facilities Project Managers Guide ........................................................ 8
Executive Summary ............................................................................................................................................... 8
How to Locate the Guide ....................................................................................................................................... 8
Summary Overview of this Guide .......................................................................................................................... 9
This Guide and Other Documents ......................................................................................................................... 9
The Cornell Project Management Methodology (CPMM) Guide ....................................................................... 9
The Project Managers Toolbox......................................................................................................................... 9
Facilities Services Website and Other Websites ............................................................................................. 10
Part I: Stakeholders and Roles ............................................................................................ 11

Facilities Services: Key Departments ................................................................................................................. 13
Project Team ....................................................................................................................................................... 15
Core Team ....................................................................................................................................................... 15
Executive Group .............................................................................................................................................. 15
Primary Customer ............................................................................................................................................ 15
Project Executive / Director ............................................................................................................................. 16
Project Manager .............................................................................................................................................. 16
Construction Manager ..................................................................................................................................... 16
Project Coordinator .......................................................................................................................................... 16
Project Coordinator Responsibilities ........................................................................................................... 16
Role Agreement .......................................................................................................................................... 17
Cornell Approval Groups ..................................................................................................................................... 18
Consultants and Contractors ............................................................................................................................... 19
Cornell Stakeholders ........................................................................................................................................... 20
Alumni Affairs and Development ..................................................................................................................... 20
Construction Management Office .................................................................................................................... 20
Contracts & Capital Projects Office ................................................................................................................. 21
Cornell Information Technologies .................................................................................................................... 21
Cornell Police................................................................................................................................................... 21
Alumni Affairs and Development ..................................................................................................................... 21
Environmental Compliance and Sustainability Office ...................................................................................... 21
ECOS Checklist .......................................................................................................................................... 22
Environmental Health and Safety .................................................................................................................... 22
Facilities Management ..................................................................................................................................... 22
Maintenance Management .............................................................................................................................. 22
Office of Government and Community Relations Office.................................................................................. 22
Office of the University Counsel ...................................................................................................................... 23
Project Planning and Estimating ..................................................................................................................... 23
Risk Management and Insurance .................................................................................................................... 23
Transportation and Mail Services .................................................................................................................... 23
Treasurers Office ............................................................................................................................................ 23
Facilities Project Managers Guide
Page 2
University Architect .......................................................................................................................................... 23

University Budget Office .................................................................................................................................. 23
University Engineer ......................................................................................................................................... 24
University Planner ........................................................................................................................................... 24
The Roles of the University Planner and University Architect .................................................................... 24
Utilities and Energy Management ................................................................................................................... 24
External Stakeholder Groups............................................................................................................................... 25
Building Inspector and Fire Marshall ............................................................................................................... 25
Community/Neighborhood Associations ......................................................................................................... 25
Planning and Development Boards ................................................................................................................. 25
Other Boards ................................................................................................................................................... 26
Part II: Project Requests and Approval Process ................................................................. 27

Cornell University Approval Process ................................................................................................................... 27
Transaction Authority Policy ................................................................................................................................ 28
The Project Approval Request (PAR) .................................................................................................................. 29
Project Plans.................................................................................................................................................... 29
How to Write a PAR ............................................................................................................................................. 30
Types of PARS ................................................................................................................................................ 30
Concept PAR .............................................................................................................................................. 30
Design PAR ................................................................................................................................................. 30
Construction PAR ........................................................................................................................................ 31
Revised PARS ............................................................................................................................................ 31
Municipal Approval Process ................................................................................................................................ 31
Project Authorization Letter ................................................................................................................................. 33
Letter of Authorization ..................................................................................................................................... 33
Part III: Project Controls ........................................................................................................ 34

Introduction .......................................................................................................................................................... 34
Budget Development ........................................................................................................................................... 34
Budget Planning Phases: Overview ................................................................................................................ 34
Planning Phase ........................................................................................................................................... 34
Design Phase .............................................................................................................................................. 34
Bid Phase .................................................................................................................................................... 34
Construction Phase Cost Tracking ............................................................................................................. 34
Budget Template ............................................................................................................................................. 35
Planning Phase Budget Development ............................................................................................................. 35
Design Phase Budget Development ............................................................................................................... 37
Feasibility Study Phase Budget Development ............................................................................................ 37
Schematic Design (SD) Phase Budget Development ................................................................................. 37
Step 1: Parallel estimate ......................................................................................................................... 37
Step 2: Reconciliation of estimates ........................................................................................................ 37
Page 3
Step 3: Allowance Items ......................................................................................................................... 37

Step 4: Value Analysis /Value Engineering (VA/VE) .............................................................................. 37
Design Development (DD) Phase Budget Development ............................................................................ 39
Step 1: Perform a cost/value analysis .................................................................................................... 39
Step 2: VA/VE Items ............................................................................................................................... 39
Step 3: Life Cycle Costs ......................................................................................................................... 39
Step 4: DD Estimate ............................................................................................................................... 39
Step 5: Project Budget Validation ........................................................................................................... 39
Construction Documents Phase Budget Development ............................................................................... 39
Bid Project Phase Budget Development ......................................................................................................... 40
Lump Sum Projects ..................................................................................................................................... 40
Public or Private Bid Openings ................................................................................................................... 40
GMC Projects Negotiations ......................................................................................................................... 40
Bids Exceed Construction Budget .............................................................................................................. 41
Awarding the Project to a Bidder ................................................................................................................ 41
Construction Phase PAR ............................................................................................................................ 41
Construction Phase Cost Tracking .................................................................................................................. 42
Pre-construction .......................................................................................................................................... 42
Construction ................................................................................................................................................ 43
Keep Schedule ....................................................................................................................................... 43
Validate, Track and Monitor Change Orders .......................................................................................... 43
Review for ADA Access Compliance ...................................................................................................... 43
Timely Responses to Contractor ............................................................................................................ 43
Timely Payments .................................................................................................................................... 43
Quality Assurance/Quality Control .......................................................................................................... 43
Monitor Contractors Compliance ........................................................................................................... 43
Close-out/Move-in ....................................................................................................................................... 44
Resolve any claims ..................................................................................................................................... 44
Project Contingencies ...................................................................................................................................... 44
Escalation Contingency............................................................................................................................... 44
Projects with fixed, non-escalating budgets ........................................................................................... 45
Projects with budgets that are allowed to increase with escalation ....................................................... 45
Design Contingency .................................................................................................................................... 46
Design Contingency for Design Phase of Budget .................................................................................. 46
Construction Contingency ........................................................................................................................... 46
Errors and Omissions ............................................................................................................................. 47
Unforeseen Conditions ........................................................................................................................... 47
Scope/Program Change ......................................................................................................................... 47
Capital Project Funding Plan ............................................................................................................................... 50
Schedule Development ........................................................................................................................................ 50
Contractual Agreements ...................................................................................................................................... 50
Page 4
Design Agreements ......................................................................................................................................... 51

Project Manager Issues Request for Proposal (RFP) ................................................................................. 51
Project Manager Presents Proposals to C&CP .......................................................................................... 51
C&CP Reviews Proposal ............................................................................................................................ 51
Types of Design Agreements ...................................................................................................................... 52
Construction Agreements ................................................................................................................................ 53
Types of Construction Contracts ............................................................................................................ 53
Invoices and Payment Applications ..................................................................................................................... 54
Setting up an Account ..................................................................................................................................... 54
Receipt of Invoice in C&CP ............................................................................................................................. 54
C&CP Review of Invoice ................................................................................................................................. 54
Construction Manager Reviews....................................................................................................................... 54
Project Coordinator Review ............................................................................................................................. 54
Approval by PM and Return to C&CP ............................................................................................................. 54
CC&P Requests Payment by DFA .................................................................................................................. 55
Project Over Budget ........................................................................................................................................ 55
Project Managers Report ................................................................................................................................ 55
Financial Reviews and Reporting ........................................................................................................................ 55
Projects over $5 Million ................................................................................................................................... 55
Projects under $5 Million ................................................................................................................................. 55
Part IV: Project Process Phases ........................................................................................... 56

Project Delivery Flow Chart ................................................................................................................................. 56
Planning Phase .................................................................................................................................................... 57
Goal ................................................................................................................................................................. 57
Deliverables ..................................................................................................................................................... 57
Client Responsibilities ..................................................................................................................................... 57
PM Responsibilities ......................................................................................................................................... 57
Steps ................................................................................................................................................................ 58
Initiate Project ............................................................................................................................................. 58
Review Project Plan .................................................................................................................................... 58
Create Project Team ................................................................................................................................... 58
Create Project Space Program ................................................................................................................... 58
Site Selection (new construction only) ........................................................................................................ 59
Consultant Selection ................................................................................................................................... 59
Decide need for either Concept Study and/or Feasibility Study ................................................................. 59
Project Formulation ..................................................................................................................................... 60
Primary Customer Approval ........................................................................................................................ 60
Planning Phase Approval ................................................................................................................................ 61
Page 5
Design Phases ..................................................................................................................................................... 62

Schematic Design (SD) ................................................................................................................................... 62
Deliverables ................................................................................................................................................ 62
Process ....................................................................................................................................................... 63
Schematic Design Approvals ...................................................................................................................... 64
Design Development (DD) ............................................................................................................................... 64
Deliverables ................................................................................................................................................ 64
Process ....................................................................................................................................................... 64
Design Development Approvals .................................................................................................................. 65
Construction Contract Documents (CD) .......................................................................................................... 65
Deliverables: ............................................................................................................................................... 65
Process ....................................................................................................................................................... 65
Construction Documents Approvals ............................................................................................................ 66
Bid Phase............................................................................................................................................................. 66
Deliverables ..................................................................................................................................................... 66
Process ............................................................................................................................................................ 66
Bid Phase Approvals ....................................................................................................................................... 67
Construction Phase ............................................................................................................................................. 67
Site Preparation / Mobilization ......................................................................................................................... 67
Construction..................................................................................................................................................... 67
Deliverables ................................................................................................................................................ 67
Close-out/Move-in ........................................................................................................................................... 68
Deliverables ................................................................................................................................................ 68
Process ....................................................................................................................................................... 68
Obstacles to Closing a Project Account .......................................................................................................... 69
Resources........................................................................................................................................................ 69
Risk Management in Project Management .......................................................................................................... 71
Assess Financial Risk ...................................................................................................................................... 71
Outline Legal Relationships: Design Phase/Have Clear Contracts ............................................................... 71
Oversee Aspects of the Claims Process ......................................................................................................... 72
Three Types of Claims ................................................................................................................................ 73
Workers Compensation .......................................................................................................................... 73
Liability .................................................................................................................................................... 73
Property Damage Liability Claims .......................................................................................................... 74
Property .................................................................................................................................................. 74
Page 6
Part V: Appendix ................................................................................................................... 75

Sample Matrix for Project Coordinator (PC) Responsibilities .............................................................................. 76
Sample Project Manager and Construction Manager and Project Coordinator Duties and Responsibilities ..... 79
Sample Role Agreement...................................................................................................................................... 82
Sample Revised Par ............................................................................................................................................ 84
Construction Contingencies Exposures ............................................................................................................... 89
GMC Systems ...................................................................................................................................................... 90
GMC Cost of Work (Current Bidding Climate) ..................................................................................................... 91
GMC GCs............................................................................................................................................................ 93
Sample Budget Sheet .......................................................................................................................................... 96
Sample Budget: Building Cost ............................................................................................................................. 98
Sample Budget : $110 Million .............................................................................................................................. 99
Sample Budget: $154 vs. $140 Million .............................................................................................................. 104
Sample Project Plan .......................................................................................................................................... 109
Sample Feasibility Study ................................................................................................................................... 114
Sample SD VE ................................................................................................................................................... 127
Sample SD Cost Strategy .................................................................................................................................. 133
Sample Design Development Value Engineering ............................................................................................ 135
Sample Construction Development 50 Value Engineering ............................................................................... 150
Sample Change Order Letter............................................................................................................................. 162
Page 7
Introduction to the Facilities Project Managers Guide

Executive Summary
The Facilities Project Managers Guide is designed to support the Capital Project Delivery Process
Guide by providing the how to of Project Management for capital projects at Cornell
University. It is written for Project Managers.
The Capital Project Delivery Process Guide describes the what of Project Management, and was
written to provide better clarity of the process for project development for clients and users
outside Facilities Services.
The Facilities Project Managers Guide describes the process for managing large capital
projects overseen by Facilities Services; it also provides guidelines common to all capital
projects. Small projects may have a very different structure than large projects. Project size and
difficulty depend on the desired program, scope of work, and the complexity of the space in
which it is to be constructed. Renovation projects are also addressed, to some degree, in this
guide.
How to Locate the Guide

Go to www.fs.cornell.edu
From the drop down box under Policies and Procedures, select Facilities Manager Project
Managers Guide.
Page 8
Summary Overview of this Guide

The Facilities Project Managers Guide is organized into four parts.
Part I describes the role of Facilities Services in capital project execution and the list of
stakeholders that participate in the process along with their principle roles.
Part II describes the project requests and approval process at Cornell.
Part III describes project controls. Presented separately to emphasize its importance, the
controls section describes the systems the University has designed to control the project
budget and schedule, and presents an overview of the contract tools used to define the
relationship between Cornell and the consultants and contractors that work for us.
Part IV outlines how projects are managed and presents the phases of a typical project and
describes what happens in each phase.
This Guide and Other Documents

In addition to this document and the Cornell Project Delivery Guide mentioned above, there
are two additional reference tools available to assist project managers when leading projects:
The Cornell Project Management Methodology Guide (CPMM)
The Project Managers Toolbox.
The Cornell Project Management Methodology (CPMM) Guide

The CPMM website is located at http://projectmanagement.cornell.edu/
The guide can be found at this web address:
http://www.cit.cornell.edu/computer/robohelp/cpmm/cpmm_guidebook.htm
The website contains useful tools such as templates, training announcements, and document
examples. Although Facilities Project Managers typically have the training and knowledge
covered in this guide, these resources are still valuable for Project Managers who want to
refresh and refine their knowledge.
The Project Managers Toolbox
The Project Managers Toolbox is the archive for past PM trainings delivered by Facilities
Services PM Toolbox team. These materials can be found at
Page 9
http://www.fs.cornell.edu/fs/PMT/default.cfm
Throughout this guide we
will reference the various
trainings that have been
offered and archived as they
relate to a particular topic.
Facilities Services Website
and Other Websites
Throughout this guide, there
will be references to the
Facilities Services web site
http://www.fs.cornell.edu.
Many topics are explained in
detail under the Resources
and the Procedures dropdown boxes. For instance, the
Project Managers Toolbox
page found in the Resources
list provides a library of
resources for capital project
planning and processes that
was created specifically for
project managers across the
University.
This guide will point the
reader to other various web
sites, such as Environmental
Health and Safety, or the City
of Ithaca, that have relevant
information on how to
perform the tasks outlined in
this guide.
Page 10
Part I: Stakeholders and Roles

One of the most important responsibilities of the Project Manager is to identify the key
stakeholders for a capital project. The stakeholders listed in this guide include
Facilities Services
Project Team
Cornell Approval Groups
Consultants and Contractors
Cornell Stakeholders
External Stakeholders
The organizational diagram below shows most of the participants in the execution of Cornells
capital projects. The Core Project Team carries the project from its inception through
completion and works with internal and external stakeholders to ensure that their needs are
met across the University and in the community.
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Core Team
Executive Group
Primary Customer
Project Executive/Director
Project Manager
Construction Manager
Project Coordinator
Consultants and
Contractors
PDCs Construction Management Contracts & Capital Projects
Cornell Information Technology Cornell Police
Environmental Compliance Office
Facilities Management
Government and Community Affairs Office of the University Counsel
PDCs Project Planning and Estimating
Risk Management
Transportation and Mail Services
Treasurers Office
University Architect
University Engineer
University Planner
Utilities & Energy Management
External Stakeholder Groups

City, State and Federal Agencies
Building Inspector
Planning and Development Boards
Other Boards
Page 12
Facilities Services: Key Departments

Facilities Services is an administrative support division that includes many of the departments
typically involved in capital projects. In this section, we will briefly outline some of these key
departments and their roles in capital projects:
Contracts & Capital Projects
Contract Colleges Facilities
Planning, Design and Construction
Office of the University Architect
Utilities and Energy Management
The Office of the Vice President, Facilities Services serves Cornell through the planning,
design, construction, operation and ongoing maintenance of University facilities. All of the
departments in Facilities Services may participate as stakeholders in the Project Delivery
Process. Two of the departments, Contract Colleges Facilities and Planning, Design and
Construction, play a central role in the management of projects for customers outside the
Facilities Services Division. Contracts & Capital Projects also plays a central role in executing
the contracts and administering the payments associated with the contracts. The role of these
three departments, along with others, in the execution of Cornells capital projects is
summarized below.
The Contracts & Capital Projects Office (C&CP) has two primary functions:
The formation and management of facilities-related contracts;
The financial tracking support for Project Managers who manage capital projects.
Contract formation and management services typically include contracts for
architectural/engineering design, consulting services, testing services, renovations and
construction services for both capital and non-capital projects.
Financial support includes invoice processing and project tracking to monitor the financial
status of projects in support of Project Managers who are responsible for capital projects.
Further, this office provides regular project status report summaries to the Buildings &
Properties Committee of the Board of Trustees.
The Contracts & Capital Projects Office is funded as an enterprise and charges both on an
hourly rate and on a lump sum basis for its services.
The Contract Colleges Facilities Office (CCF) manages the Contract Colleges Capital Plan
including project development, initiation, and execution. They facilitate the management of
State University Construction Fund (SUCF) projects and provide project management for
College and University funded capital projects for the Contract Colleges (State campus). The
Contract Colleges Facilities Office is funded by an appropriation.
Page 13
Project Design and Construction (PDC) provides project management services for general
building and renovation projects in its Science and Technology and Architectural sections.
Projects that are somewhat trade specific, such as a mechanical upgrade or structural repair,
are generally managed in one of the PDC Engineering sections. PDC is funded as an enterprise
and bills on an hourly rate for project management services.
Project Planning and Estimating (PP&E) is often the first point of contact when considering a
renovation or small project. This group provides estimates for work and architectural design
services that in most cases are constructed by the PDC Shops. Projects that are constructed by
the PDC Shops may be managed within one of the Shops or by one of the aforementioned
sections.
PDC also includes a Construction Management section that specializes in the management of
the construction phase of our medium and large building projects.
The Campus Planning Office and the University Architect become involved in any new
building project and any other project that impact the physical campus of the University. See
the PM Toolbox training: The Campus Planning office in Capital Projects.
Maintenance Management provides an ADA Coordination function that serves to assist
Project Managers in the ADA accessibility implications of their projects. For every project,
Project Managers should conduct a preliminary review to determine what, if any, elements
will impact accessibility in the interim (construction) or long term for their project. If their
projects have implications for accessibility in either the short or long terms, the ADA
Coordinator should be involved. If it is unclear if there are any elements for accessibility,
consultation with the ADA Coordinator for determination is recommended.
Page 14
Project Team
Core Team
Executive Group
Primary Customer
Project Executive / Director
Project Manager
Project Coordinator
The Core Team for a project includes, at a minimum, the Primary Customer and the Project
Manager. The Core Team may also include a Construction Manager, a Project Coordinator, a
Project Director and others who are directly involved with the project. The Core Team may
report to an Executive Group.
Executive Group
Larger, more complex projects (e.g., new buildings, laboratory renovations) often have an
Executive Group. The Executive Group makes strategic project decisions that dont require
approval by the senior University administrators who represent the Capital Funding and
Priorities Committee (CF&PC) or the Buildings and Properties Committee (B&P) of the Board
of Trustees, and makes recommendations for decisions that do require such approvals. The
group stays informed of project progress and challenges, and provide guidance to the Core
Team. The Executive Group is selected by and may be chaired by the Executive Vice President
for Finance and Administration. Alternatively the Group may be chaired by the Dean or Vice
President of the College or Division sponsoring the project.
Other members typically include the following:
The Department Directors who will use or administer the new space;
Someone from the Office of Planning and Budget , if central University funds are
involved;
The Vice President for Facilities Services or the Director of Project Design and
Construction;
Others associated with the project.
The Core Project Team acts as staff to support the Executive Group, and may provide the
agenda for the meetings. When properly configured and chaired, the Executive Group
provides a valuable forum for debating and resolving project issues and establishing strategic
project goals and direction.
Primary Customer
The Primary Customer establishes the desired program (scope) and works with the Project
Manager to define schedule and budget for the project. The Primary Customer may be the
Page 15
eventual user of the finished project, or may be acting on behalf of the user. The Primary
Customer may be an individual or a group of people. If the latter, the Primary Customer
group is encouraged to identify a single individual to work with the Project Manager and
serve as program manager.
Project Executive / Director
Construction programs consisting of a series of capital projects or a very complex single
project (e.g. residential initiatives, new science buildings), may have a Project
Executive/Director (PE/PD). The purpose of this position is to ensure that the sequence of
capital projects are coordinated and meet the overall scope, schedule and budget goals of the
University. The PE/PD is generally a senior staff member in the Facilities Services Division
and serves to guide the project team.
Project Manager
The principle responsibility of the Project Manager is to deliver the project within the scope,
schedule, and budget agreed to by all of the stakeholders of the project. The Project Manager
may delegate tasks to other project team members, but still retains the responsibility for project
success. One of the key responsibilities of the Project Manager is to communicate and consult
with all of the various stakeholders. In one of the sections below in this guide, you will find the
numerous project stakeholders who may have a stake in capital projects. The Project Manager
is responsible for including those stakeholders relevant to the project, and establishing a
balance between the sometimes conflicting goals of project stakeholders and between the
various elements of the project (scope, schedule, budget, etc.).
Larger projects (>$2M) typically use the services of a Construction Manager (CM) who
manages the construction phase of the project and who is the single point of contact for the
Contractor. The split of project tasks between the Project Manager and Construction Manager
is not fixed; however, the Project Manager retains responsibility for the overall success of the
project, budget and design.
Project Coordinator
Larger projects typically have a Project Coordinator (PC) who assists the Project Manager.
PCs also manage projects that range in value from $50,000 to $500,000 having the same
responsibilities as a Project Manager. The PC provides both administrative support to the
project team, and technical support to the project. PCs play a major role in large and small
projects, from inception of the project through to close-out.
Project Coordinator Responsibilities
The PC Matrix is a sample guide for the roles and responsibilities of each of the three
levels of Project Coordinator (PC1, PC2, and PC 3). The roles may be assigned
differently for each project and depending on the expereineces of thos involved. They
may also change as the project progresses.
See: Sample Matrix for Project Coordinator (PC) Responsibilities
Page 16
Role Agreement
The Project Manager, Construction Manager and Project Coordinator project team
should start with "PM-CM-PC Responsibility agreement in which they agree on roles.
Below are samples of how the Project Manager (PM) , Project Coordinator (PC), and in
the first sample, the Construction Manager (CM) can create a clear understanding of
what role each plays in a project. Each project will be unique, so please use this as a
guide.
See Sample Role Agreement
See Sample Project Manager and Construction Manager and Project Coordinator Duties
and Responsibilities
Page 17

The PM is responsible for coordinating timely authorizations and approvals of the various
phases of the project with the following Approval Groups:
Executive Vice President for Finance and Administration (EVP) or Provost ;
Capital Funding and Priorities Committee (CF&PC - members include Senior

Administration of the University);
Buildings and Properties Committee (B&P - a committee of the Board of Trustees).
The Project Approval Request (PAR) is the principle document for seeking authorizations and
approvals. (See Part II of this guide.) A PAR is required for any capital project with a total
project budget greater than $50,000. The approvals required for a project are dependent on the
total budget.
PROJECT IS AUTHORIZED/APPROVED WHEN.

TOTAL COST PAR signature list
complete
OF PROJECT
$50K- $500K
Capital Funding and

Priorities Committee
approves (CF&PC)
Buildings and
Properties Committee
(B&P) and Executive
Committee
(funding/financing)
approves
(Referred to as a Signature
PAR.)
$500K - $5M
> $5M
See Part II: Project Requests and Approval Process to learn more about the different types of
PARS and how to fill them out.
See Part II: Project Requests and Approval Process for more on the approval process.
Page 18
Consultants and Contractors

Cornells facility capital projects are
generally designed by architectural and engineering consultants (A/E);
built by contractors, with the construction managed by construction managers.
The Project Manager is responsible for insuring that
the A/E and contractors are selected using approved processes .
appropriate contract documents are executed
the work of the A/E and contractor is properly managed.
The Project Manager is generally the Universitys point person with the A/E.
As mentioned above, the CM serves as point person for the contractor.
Note:
PDC has an in-house design group that provides A/E services for renovation projects up to
about $1M.
The PDC Shops occasionally compete for construction of projects up to about $1M.
See the FS website for more on architect/engineer procurement process. Also see the PM
Toolbox training, Architect-Engineer Procurement.
See the Quality control section below for proper management of contractors. Also see the
Contractor Qualifications information.
Page 19
Cornell has numerous departments and individuals who play a role in our capital projects.
The PM is responsible for including them as appropriate to the project. Possible stakeholders
are:
Alumni Affairs
Construction Management Office
Contracts & Capital Projects Office
Cornell Information Technologies
Cornell Police
Environmental Compliance and Sustainability Office
Environmental Health and Safety
Government and Community Relations Office
Maintenance Management
Office of the University Counsel
Project Planning and Estimating
Risk Management
Treasurers Office
University Budget Office
University Engineer
University Planner
Alumni Affairs and Development

Construction Management Office
PDCs Construction Management Office includes construction managers and project
coordinators who manage contractors and construction phase activities. Individuals in the
Construction Management Office are frequently members of the project Core Team. The
Director of Construction Management is also responsible for leading the contractor selection
process for PDC-managed projects. Core Teams work with the Director to select preconstruction contractors, construction managers, general contractor bidders lists, and to
develop a construction delivery strategy.
Page 20
Contracts & Capital Projects Office

Most projects that involve hiring companies to provide labor for design, construction and
renovation work require execution of a contract, as opposed to a purchase order which is used
for procurement of supplies and/or materials. The C&CP Office writes the Universitys
contracts. The C&CP Office also administers the Capital Project System, an accounting system
that tracks PAR authorizations, budget allocations, and commitments/expenditures associated
with capital projects.
Cornell Information Technologies
Cornell Invormation Technologies (CIT) can play one of three roles in a facilities project:
Construction Standards: CIT authors construction standards and works with designers on
the design of IT systems, including telecommunication rooms and raceway systems.
Installation and Maintenance: CIT installs and maintains telecommunication equipment

and software across campus and/or manages installation of these systems by contractors.
AV Consulting: CIT provides an audio/visual consulting group that helps project teams
and consultants specify, install and commission high tech A/V systems.
See PMT Trainings Communications Wiring, Phone Services and Data Services and Total
Technology Integration.
Cornell Police
Cornell Police participate in projects when the following are being addressed:
building security system design
electronic access
video surveillance
intrusion alarm
locations for Blue Light telephones
movement of large construction-related vehicles across campus roadways.
Alumni Affairs and Development

Please see the Alumni Affairs and Development web site for information on this stakeholder.
Environmental Compliance and Sustainability Office
The Environmental Compliance and Sustainability Office
services to project teams:
(ECOS) provides three distinct
They are available to lead or support the Municipal Site Plan Approval process, including
preparation of environmental assessment forms and presentations to municipal approval
groups.
They assist in making sure completed projects comply with various State and Federal
regulations concerning the protection of air and water resources.
They oversee construction phase preparation and compliance with storm water pollution
protection regulations and assist with the LEED certification process.
Page 21
For information on the Green Buildings Oversight Committee, contact the Services Team at
ECOS.
See Cornells Environmental Compliance and Voluntary Environmental Initiatives
See Cornells Green Building Guidelines
ECOS Checklist
To better understand how ECOS interacts with capital projects, see the checklist on its
website.
PMs are encouraged to fill out this checklist to help them determine what needs to be
considered with respect to environmental compliance issues for their projects.
Environmental Health and Safety
Environmental Health and Safety (EH&S) provides four distinct services to project teams.
The Lab Safety group provides advice and review of construction documents for lab
projects.
The Fire Protection group provides advice for sprinkler and fire alarm systems.
Document Review for overall code compliance, and assistance with abatement of asbestos
and hazardous materials.
EH&S can help with the oversight of construction site safety and review contractor safety
plans.
See Your Project and EH&S and EH&S and Construction Services in the PMT Training.
Facilities Management (FM) provides maintenance and custodial care for academic buildings
and grounds care for the overall campus. They provide advice and review of construction
documents regarding maintainability of building and site elements of the project. They also
provide advice to project managers regarding the forecasted operating and maintenance costs
that must be identified and included in Section 8 of PARs.
Project managers are encouraged to take advantage of collaboration with the ADA
Coordinator within Maintenance Management for all projects planned. This is available to
Project Managers to ensure ADA compliance for every project on Campus.
Office of Government and Community Relations Office
The Office of Government and Community Relations must be involved in the project for all
municipal approvals or when the project is of interest to Cornells neighbors. Examples
include projects that involve construction on the perimeter of campus, that make a noticeable
change in vehicular traffic flow on surrounding streets, or that have other noticeable
environmental impact.
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Office of the University Counsel

Office of the University Counsel represents Cornells interests with regard to municipal law
and the impact on the community and the University. Projects requiring zoning variances or
having complex site plan approval processes should involve the University Counsel.
Project Planning and Estimating
PDCs PP&E Office provides project plans, cost estimates, design services and project
management for projects intended for execution by the PDC Shops. When not occupied in
design work intended for the Shops, PP&E is available to prepare architectural designs for bid.
The Manager of PP&E also chairs regular meetings with the City and Town Building
Departments.
Core Teams are encouraged to use the PP&E venue to initiate discussions with the City and
Town Building Departments.
See the PM Toolbox training on Permits.
Risk Management and Insurance
The Risk Management and Insurance Department makes decisions regarding required levels
and types of insurance for consultants and contractors, and also analyzes the fiscal health of
those companies. See more information on Risk Management in Project Management below.
Transportation and Mail Services works with project teams to identify parking resources both
for contractors and to support the finished project. See the Transportation Infrastructure
Charge Policy in the Cornell Project Delivery Process, Appendix M.
Treasurers Office
The University Treasurer (Treasury Management Services):
Arranges debt financing for projects as necessary.
Should be consulted on the source of funding for projects that may have an effect on
historic/cultural resources. Projects using State of New York funds or State-issued bonds
will trigger review by the NYS Historic Preservation Office.
The University Architecht (UA):
Leads the architect selection process. (See also PM Toolbox for more on architect selection.)
Serves as steward for all architectural matters, including working with the University
Planner in the site selection process.
Makes presentations at CF&PC and B&P for approval of project concept and design.
University Budget Office

Please see this University Budget Office web site for information about this stakeholder.
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University Engineer
The University Engineer ( UE ):
Works with designers to develop concepts for engineered systems.
Maintains the Cornell Design and Construction Standards
Ensures that construction documents comply with the Design and Construction Standards
and other standards of quality. In this role, the UE
o meets with the A/E early in the development of the design,
o reviews design documents.
University Planner
The University Planner ( UP):
Brings the campus-wide planning context to bear upon the individual project and plays a
major role in site selection.
Advises on the long-term planning impacts of siting decisions, both from the Universitys
perspective as well as from the communitys and ensures that decisions are consistent with
existing plans.
Writes the Site Development Guidelines (formely called Site Criteria) for new
construction projects. (See CPDP, Appendix C).
Presents selected sites for approval to the CF&PC .

The Roles of the University Planner and University Architect
Here is what the Project Manager needs to know regarding the responsibilities of the
University Architect and the University Planner
UNIVERSITY ARCHITECT
UNIVERSITY PLANNER
New buildings
Site selection for new building
Building expansions
Landscaping, mapping, signage
Exterior building changes
Other site design
Major interior building changes
Land use questions
Building aesthetics
Open space use questions
Exterior building finish or other changes
Site Development Guidelines
University Architect Selection leadership
Planning consultant selection leadership

Utilities and Energy Management has two principle functions:
They work with project teams to identify utility construction methods, including metering
systems and connections to the various campus distribution networks.
Page 24
They provide advice and review of construction documents for energy saving initiatives.
See Energy Management and Utilities Customer Relations - Construction Projects
External Stakeholder Groups

The project team is responsible for acquiring approvals of the following groups external to the
University.
Note that the Cornell central campus occupies one county and three municipalities.
Tompkins County
City of Ithaca
Town of Ithaca
Village of Cayuga Heights
In some instances the Village of Lansing and the Town of Dryden may be involved.
Each has unique procedures for permitting and site plan review. The following is intended to
be a very general overview of these processes.
Building Inspector and Fire Marshall
The Building Inspector generally works with the project team and the Architect/Engineer
during design of the project to prepare a strategy for code compliance. The Building Inspector
may include the Fire Marshall to gain consensus on things such issues as fire truck access to
the project site, design of fire protection systems, and proposals for handling flammable
materials.
Although Cornells contractors generally apply for building permits and arrange for
inspections themselves, most jobs require the Project Manager to facilitate discussions and
resolution of code issues during construction and project close-out phases.
Community/Neighborhood Associations
Cornells campus is surrounded by many neighborhoods, each of which has an association of
homeowners. Cornells Office of Government and Community Relations normally arranges for
meetings with these groups as appropriate to keep them informed of projects near their
neighborhoods.
Planning and Development Boards
As mentioned above, Cornells central campus in Ithaca occupies Tompkins County and three
municipalities (City and Town of Ithaca, Village of Cayuga Heights).
Each has a unique Environmental Quality Review and Site Plan Review and approval process,
and the PM is responsible for ensuring the timely engagement of the various staff and
planning board groups. See ECOSs Environmental and Local Approvals Resource (ELAR)
site for information. Also see the PM Toolbox training called ELAR Website Review.
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Other Boards
These include zoning boards for projects requiring some form of variance. The City of Ithaca
has an Ithaca Landmarks Preservation Commission that must approve projects in the City that
affect historic resources that are Designated Landmarks and Designated Historical Districts.
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Part II: Project Requests and Approval Process

Cornell University Approval Process
Building maintenance, renovation and new construction projects with total costs exceeding
$50K are designated as capital projects.
The Transaction Authority Policy - Procedure for Processing Facilities Projects establishes cost
thresholds and associated approvals.
Schedules for Capital Funding and Priorities Committee (CF&PC) and Building and Properties
Committee (B&P) meetings are published by the Vice President for Facilities Services office
each summer for the upcoming academic year, and include dates for submission of enabling
documents.
PMs should note that all requests and presentations to the Buildings and Properties
Committee (B&P) must first be authorized by the Capital Funding and Priorities Committee
(CF&PC)
Page 27
Transaction Authority Policy

Procedure for Processing Facilities Projects
As adopted by the Executive Committee of the Board of Trustees, March 2, 2005. This can also be
found at http://www.fs.cornell.edu/fs/IR/fs_ta_facility.cfm (Transaction Authority Policy & Procedure
For Processing Facilities Projects)
Project Approval
Transaction Authority
$50,000 to $500,000
Executive Vice President

Administration or Provost
$500,000 - $5,000,000
CF&PC
for
Finance
and
$5,000,000 and beyond: New Construction

Architect Selection
CF&PC
Project Concept *
Buildings and Properties Committee
Project Design **
Project Construction ^
Financing
Executive Committee
$5,000,000 and beyond: Major Renovation

Architect Selection
CF&PC
Budget
Financing
Executive
Committee
(Investment
Development Committees as appropriate)
and
Annual Campus Plan
Buildings and Properties Committee and Board
Annual Operating & Capital Plan
Board
The B&P Committee may also review any project that significantly changes the outward appearance of a building or
area within the core campus.
* Includes a description of the functional program to be satisfied, a general description of the scope of construction,
citation of the key project schedule milestones, and the major components of a preliminary budget. For new structures,
Project Concept approval may also include review of criteria for the placement of the structure upon a site.
** Design approval includes a review of the schematic or design development documents that illustrate the layout,
massing and exterior appearance of the facility within the context of its site. Also included is an updated planning
budget based upon a refined definition of the project scope and delivery schedule.
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^ Construction approval authorizes construction of the final project scope defined by the construction documents and
specifications. The final project budget is reviewed for the recommendation to the Executive Committee for approval.
The Project Approval Request (PAR)

The PAR is the principle enabling document for capital projects. The purpose of the PAR is to
provide information about the project to the project approvers, including the primary
customers, and to confirm their agreement with the information provided.
The electronic PAR Approval Process is available online.
In general, Project Managers prepare PARs. The Project Manager places his or her name on
the front page of the PAR, and is the person responsible for the overall execution of the project.
PARs are submitted through CCF, FM or PDC, or directly to the VP Facilities Services
office, to be entered into the ePAR system to circulate for signature. This also ensures the
project is included on the CF&PC/B&P agendas as appropriate.
The approval of a capital project is accomplished by getting full sign-off of the PAR
signature page, and approval by CF&PC and B&P, as applicable.
The PAR template lists specific directions for the creation of the PAR, as well as details on
who should be included in the signature page.
Project managers are encouraged to become familiar with the schedules for CF&PC and B&P.
(For the most recent project approval calendar and the schedules for CF&PC and B&P
approvals, see Project Approval Calendars in Information and Resources)
CF&PC meets monthly
B & P meets seven times a year, in September, October, December, January, March, May
and June.
See How to Write a PAR below, and the various types of PARs.
Project Managers for State-funded and Contract Colleges projects should consult with the CCF
office to obtain the slightly different PAR template and coordinate with their schedule due
dates for submittal. Its PAR template is located under Get Things Done on CCFs home page.
Please note the CCF approval calendar that this section provides.
Project Plans
Project Managers are encouraged to write a Project Plan for projects requiring approval by
CF&PC. The Project Plan uses the PAR template and describes the overall project purpose and
scope, and an estimated schedule, and budget. Project Plans may be combined with PARs
requesting approval to begin design work, or for large projects for approval to begin planning.
See a Sample Project Plan.
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How to Write a PAR

The PAR is the first approval needed in order for a project to take the next step in the planning
phase. See Initiate Project in Part IV.
In the Cornell Project Management Methodology Guide (CPMM), which is a general
introduction to project management, the PAR is referred to as a PIP. (Project Initiation Plan).
Types of PARS
In the Plan/Design/Bid/Construct Model used at Cornell, the PM might generate PARs
throughout the various phases of the project. There are three general phases of a project:
Planning, Design, and Construction. The most often used PARs for each phase include:
Concept PAR
A Concept PAR is used during the Planning Phase and may include the following:
Fleshing out alternatives
Outlining the major Alternatives Considered and Why Rejected
See below Part IV: for more on the Concept Study.
Design PAR
The description of the scope in a Design PAR may include this type of language:
Create design
Design layout
o See Section 3.3 of CPDP Guide, page 36ff.
When the PM outlines the scope of work during the Design Phase with the client,
she/he should refer to the Owner/Architect Agreement Schedule G.
This contract
includes what architects and engineers are required to provide during the design phase.
The PM may want to split the design phase into three PARs:
Schematic Design PAR
Design Development PAR
Construction Documents and Bid PAR
Each of these PARs is a milestone in the design process.
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Construction PAR
The scope of a Construction PAR may include these terms:
Demolish
Construct
Provide (furnish and install)
See Section 3.5 of CPDP Guide page 39ff.
Revised PARS
On an infrequent basis it is necessary to revise a PAR. This may be due to a change in
the project scope, schedule, or budget. Revised PARs follow the same procedures and
pathways as the original PAR. An effective way to write a revised PAR is to use the text
of the original and insert changes in bold type. This allows the reviewers to readily see
the changes from what they had originally approved. See Sample Revised PAR.
Revised PARs are submitted for the following cases:
1) To request an increase in the approved project budget;
2) For revisions to the projects scope of work;
3) For project schedule changes due to unforeseen issues/conditions that occurred
during the current phase (design or construction) of the project.
Municipal Approval Process

Local Municipalities
The requirements for municipal approval and permitting vary by municipality. Portions of
Cornells main campus fall into the jurisdiction of the:
o City of Ithaca
o Town of Ithaca
o Village of Cayuga Heights.
Projects off of the main campus may also be in the:
o Town of Dryden
o Town of Lansing
o other municipalities
Page 31
State-funded and/or State-owned Buildings

Projects funded by the State University Construction Fund (SUCF) or performed in a stateowned building are not subject to approval by the local municipality, but instead are reviewed
and approved by the Code Enforcement Officer in the Contract Colleges Facilities Office.
New York State Building Code and Local Code Ordinances
All but very small projects require a building permit issued by the municipality in which the
project is located. A prerequisite to obtaining a permit is the demonstration to the building
inspector that the project meets applicable requirements of the New York State Building Code
and local codes and ordinances.
Building Inspector / Fire Department
The Project Manager is responsible for arranging communication between the designers of the
project and the building inspector. These meetings may also include a representative from the
fire department and from Cornells Environmental Health and Safety group. PDCs Project
Planning and Estimating group meets regularly with both the City and Town of Ithaca
Building Departments. Project managers are encouraged to use these meetings to initiate
discussions on new projects.
Municipal Site Plan Approval
Projects that change the exterior appearance of the campus generally require site plan
approval from the municipality in which the project is located. Municipal Site Plan Approval
is a multi-step process that includes
an environmental quality review and
Preliminary and final site plan review and approval.
The project manager is responsible for moving the project through these processes and
including stakeholders as appropriate to the project.
Municipal Approvals
As with Cornells internal approvals, the Project Manager must include time for municipal
approvals in the overall project schedule. Projects under SUCF or CCF Code Authority are
exempt from Municipal site plan review, but courtesy presentations are sometimes given.
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Project Authorization Letter

Once a project has been authorized/approved by the appropriate group and all signatures are
complete in the ePAR system, the Office of the Vice President for Facilities Services issues a
Project Authorization Letter (See the sample in the CPDP, Appendix, Item O).
This letter serves as the vehicle for Contracts and Capital Projects to request an account from
the Division of Financial Affairs and proceed with the issuance of contracts for the project.
Without this documentation, the C&CP office does not have authorization to proceed or incur
expenses for the project. No project may start without a written contract.
Letter of Authorization
Under certain circumstances, a project contract may commence with a Letter of Authorization
(LOA) signed by the Vice President for Facilities Services or Executive Vice President for
Finance and Administration, depending on the dollar amount requested. A LOA is a
contractual document that authorizes a consultant or contractor to proceed with a fixed scope
of work and to expend a fixed dollar amount which sum shall then be included in their
contract.
Page 33
Part III: Project Controls

Introduction
This section describes Project Controls. Project Controls exist to help insure projects are
efficiently organized and executed in a manner consistent with sound business practices.
Controls exist for the following areas of project management:
Budget Development
Funding Plan
Schedule Development
Contracts
Invoices and Payment Applications
Financial Reviews and Reporting
Budget Development
Budget Planning Phases: Overview
Planning Phase
The Project Manager, working with the Core Team, develops an initial model for the
overall project budget during the Planning Phase, using benchmark data and the Project
Budget Template. See CPDP Guide Item L. (Disclaimer: Please note that at this time, the
budget model provided here does not match up with the Project Managers report
produced for the project.).
Design Phase
The Project Manager develops and refines the budget model as the project proceeds
through the Design Phase.
Bid Phase
Construction Phase Cost Tracking
During the Construction Phase, or project execution phase, the Project Manager updates
the budget model at least monthly, including approved amounts, paid amounts to date,
and forecast amounts, for each line of the budget model.
Page 34
Budget Template
Budget development, tracking and control are primary responsibilities of the Project Manager.
The main subcategories of project costs from the Project Budget Template are:
1.
2.
3.
4.
5.
6.
7.
Construction
Planning & Design
Furniture, Fixtures & Equipment (FFE)
Project Support
Transportation Assessment (if applicable. See Appendix, Item M, in CPDP Guide)
Project Management
Project Contingency
The definitions of the above budget lines are provided in the Appendix of the CPDP Guide,
Item L. (Disclaimer: Please note that at this time, the budget model provided here does not
match up with the Project Managers report produced for the project.)
Planning Phase Budget Development
The development of a Planning Budget can start with either:
the selection of a desired budget number, from which a corresponding range for
project/program scope can be derived, or
a program scope, from which a budget range can be derived.

In either case a key deliverable for the Project Team is to establish a range of typical unit
($/sf) construction costs and a ratio of construction costs to total project cost.
Estimations of unit construction cost are based on a preliminary understanding of the program
and site, and selection of appropriate benchmark projects for comparative purposes. The
Project Team will select representative projects at Cornell and, if possible, at other institutions,
to establish a range of unit $/SF construction costs.
The Project Manager will also work with the core team to identify any unusual project soft
costs. For purposes of the initial Planning Budget, the ratio of construction cost to total project
cost at the beginning of a project is generally in the range of 2/3 to 3/4, and depends on the
anticipated level of the soft costs.
Soft costs are all costs not incorporated in the finished building; they are the expenses other
than bricks and mortar incurred in developing a building project. Lines 2.0 (Planning and
Design), 4.0 (Project Support), 5.0 (Transportation Assessment) are budget line items for soft
costs. 1.0 (Construction) and 3.0 (FF&E) may also show soft costs for suchs things as quality
assurance services.
The following table lists the soft cost budget lines and a range of typical percentages of project
cost.
Page 35
LOW
HIGH
Planning and Design
10%
16%
Fixtures, Furnishing and Equipment
2%
6%
Project Support
2%
8%
Transportation Assessment
2%
2%
See CPDP
Guide Appendix, M
Project Management
2%
6%
Contingency
8%
10%
Building efficiency is another important factor in establishing the relationship between

program size and construction cost. The ratio of net program area to building gross area is
normally in the range of 55% to 65%.
Remember that the cost per square foot is proportional to efficiency; the higher the efficiency,
the greater the cost per gross square foot.
Relationship Between Area Efficiency (NASF/GSF) and Cost Per GSF
NASF
GSF
Efficiency
Cost/GSF
Total Cost
80,000
160,000
50%
200
$ 32,000,000
80,000
153,846
52%
205
$ 31,538,462
80,000
145,455
55%
211
$ 30,690,909
80,000
140,351
57%
218
$ 30,596,491
80,000
133,333
60%
225
$ 30,000,000
80,000
129,032
62%
230
$ 29,677,419
Note: It's not easy to increase efficiency. The program and mechanical space are the costlliest spaces.
As efficiency increases, it's the less costly space that's being reduced.
Please note that un-programmed space includes
entrance areas
attics
mechanical rooms
lavatories
corridors
stairways
space within walls
left-over spaces that occur in a building design.
To estimate archiving fees, see Worksheet for Computation of Capital Project Fees (projects $50K or
greater)
Page 36
Design Phase Budget Development

Feasibility Study Phase Budget Development
A feasibility study can be quickly done for some projects, but significant projects
usually require a feasibility / concept study. Using the preliminary program
requirements for the project, an order of magnitude planning budget will be
developed by the Core Team. See sample feasibility study.
During this phase of the project a range of project costs, e.g., design fees, management
fees, construction estimate, should be used. This range of costs will be further refined as
the design progresses.
Realistic contingencies to account for unforeseen circumstances during the development
of the project should be established. These tend to be substantial at this stage of project
development.
The product of a feasibility phase is the Schematic Design PAR and the budget for this
phase, discussed next.
Schematic Design (SD) Phase Budget Development
An important objective at the end of the feasibility study is to develop a Schematic
Design phase project budget for the project scope that fully meets the program
requirements. The project budget should only require slight adjustments after the end
of this phase if the scope of the project does not change.
The Core Team should follow these steps to develop the SD budget:
Step 1: Parallel estimate
In addition to the SD cost estimate provided by the design consultant as part of their
contract, an independent cost estimating professional should be used to furnish a
second, parallel cost estimate of the proposed work. The estimates should utilize similar
formats so that they can be easily compared.
Step 2: Reconciliation of estimates
To the extent possible, both estimators must reconcile the two cost estimates to ensure
that they both include the same scope of work. The result of this reconciliation is the
determination of a budget for the project.
Step 3: Allowance Items
Identify, and budget for, those items that will be carried in the budget as allowance
items. Such things as furniture, special user equipment, audio-video equipment, special
furnishings, etc., may fall into this category. This allowance will represent the not-toexceed amount for these items.
Step 4: Value Analysis /Value Engineering (VA/VE)
Earned Value Management (EVM) is a project management technique that measures
project progress objectively. EVM has the unique ability to combine measurements of
technical performance (i.e., accomplishment of planned work), schedule performance
Page 37
(i.e., behind/ahead of schedule), and cost performance (i.e., under/over budget) within
a single integrated methodology. EVM provides an early warning of performance
problems while there is time for corrective action. In addition, EVM improves the
definition of project scope, prevents scope creep, communicates objective progress to
stakeholders, and keeps the project team focused on achieving progress.
This process is a rigorous one, in which the project manager attempts to deliver project
scope at a lower cost. The Project Managers responsibility is to consider life cycle costs.
In this process, called value analysis / value engineering (VA/VE), the core team,
impacted stakeholders, and appropriate experts need be invited to review and accept
decisions.
VA/VE is one of the first steps in the Earned Value Management process, which is
designed to test and validate cost estimates. The team will identify a long list of items
to consider, if estimates exceed the target budget established during the Feasibility
Planning Phase. It is strongly recommended that the Project Manager manage the
project at or below the maximum range of costs for the design at this phase, before
moving on to Design Development. It will become increasingly more difficult (and
costly) to identify significant cost savings as the design moves toward completion.
See PM Toolbox training Life Cycle Costing in Value Engineering
See Sample SD VE
Sample SD Cost Strategy.
At the end of Schematic Design, the project budget and program should be aligned and
the final budget should be approved.
If the budget and the scope do not yet align, the team will return to the SD
process to make the adjustments necessary to get the project scope and
budget in alignment before proceeding to the Design Development phase of
work.
Page 38
Design Development (DD) Phase Budget Development

Step 1: Perform a cost/value analysis
The selected service provider of pre-construction services may perform this analysis
which allows the contractors to review the design and propose alternatives that could
result in additional cost savings. Design options must be decided on so that the design
may progress including the lowest cost systems/assemblies that meet the stated design
criteria. This step is a follow up to the cost/value analysis that was conducted at the
end of Schematic Design.
Step 2: VA/VE Items
Determine a comprehensive list of VA/VE items to be considered through the
subsequent design and bid phase. Even if the budget estimate shows the project aligns,
this will not be certain until after bids have been secured and analyzed. See sample DD
VE.
Step 3: Life Cycle Costs
Cornells project teams are required to design for minimum life cycle costs. Core Teams
will consult with Cornell stakeholders (for instance, Maintenance Management,
Utilities, and other Facilities Services groups) to solicit their participation in design
decisions regarding life-cycle costs, durability and maintainability.
See the PM Toolbox training Life Cycle Costing in Value Engineering.
Step 4: DD Estimate
Perform a DD estimate at the end of the Design Development Phase along with an
optional parallel estimate from an independent, professional cost-estimating firm as
deemed necessary by the Project Manager. This estimate should have a consistent
format with schedule of values in the budget template so that useful forecasting
statistics can be maintained.
Step 5: Project Budget Validation
Validate the Project Budget with the DD estimate. At this phase of design, the range of
costs must be narrowed to a fairly certain Project Budget target that will carry through
the Construction Document/Bid Phase.
Construction Documents Phase Budget Development
The design must not change during this phase.
Alternates to the base bid design must be finalized and agreed to by the Core Team.
Alternates are often developed during the Construction Documents (CD) phase to
estimate the costs of specific scope elements or to identify scope that can be deleted
from the project in the event that the bids exceed the budget.
Separating items provides a clear means for cost benefit analysis of options that would
enlarge or shrink the building program, according to the available project budget.
Page 39
A final CD cost estimate is prepared at the end of this design phase.

A contractor selected to perform pre-construction services will review the construction
documents to validate the final cost estimate and to help avoid potential bid cost over
runs.
Perform final budget reconciliation just prior to bid. Ensure that the selected alternates
will allow a construction contract to be issued.
Bid Project Phase Budget Development
The Contracts & Capital Projects Office (C&CP) is responsible to uphold the integrity of the
bid process for all construction projects at the University.
For all projects, the Architect /Engineer provide the Technical Requirements
(specifications and drawings).
The Core Project Team edits Cornells General Requirements to represent the specific
circumstances of the project, and provides both the Technical and General Requirements to
the Contracts & Capital Projects Office.
C&CP prepares Instructions to Bidders, Bid Forms and Cornells General Conditions with
assistance from the PM as requested.
C&CP issues the resulting bid documents and administers all flow of paper and
information associated with the bid, including conducting the bid opening.
o See in the CPDP, Appendix G, Bid Document Package, and Appendix H, General
Conditions and General Requirements.
o See C&CP web page Pricing your Construction Project .
Lump Sum Projects
On lump sum projects, the bids from the invited general contractors are received by
C&CP and analyzed with the Core Team.
Public or Private Bid Openings
Bid openings are typically public. However, private openings may be held at the
discretion of the Contracts & Capital Projects Office. (State-funded Project must conduct
a public bid opening).
If a qualified bid is within the Project Budget, a contractor may be selected for the work.
GMC Projects Negotiations
When the form of contract is Guaranteed Maximum Cost (GMC) the Core Team and the
Contracts & Capital Projects Office will negotiate General Conditions, General
Requirements (which can be found in the CPDP, Appendix H), contractor fee, and other
contractual terms with the selected general contractor. See PM Toolbox Training
Negotiations for Project Managers and Fixed Price Audit Program.
All work will be competitively bid by the selected general contractor, and the result will
be a negotiated guaranteed maximum cost for the work, that is within the project
budget.
Page 40
GMC may be used when there is a challenging project schedule or a highly technical or
complex project.
The GMC delivery method allows the owner, contractor and design team to work
together to save time during construction.
o See the GMC Cost of Work spreadsheet for estimating.
o See Appendix for examples of GMC documents and spreadsheets:
GMC Systems
GMC Cost of Work (Current Bidding Climate)
GMC GCs
Bids Exceed Construction Budget
If all bids exceed the construction budget, conduct a scope review and/or value
engineering (cost saving) session to determine if the project can be completed within the
approved construction budget. This is sometimes referred to as de-scoping the
bidder.
De-scoping the bidder is the process the Project Manager uses to reassure herself that
the contractor has provided a responsible bid and has priced the project for the scope of
work the contractor was asked to bid on. The Project Manager might sit down with the
contractor and review the responsibilities of the contractor in order to confirm explicitly
what the contractor is responsible for in the bid scope.
Awarding the Project to a Bidder
On a Lump Sum project, award is made on the basis of low base bid or project specific
criteria. Once this selection has been made, alternate pricing is then taken into
consideration.
State-funded projects are awarded on the basis of base bid plus alternates in sequential
order.
A contract is then awarded by the Contracts & Capital Projects Office.
Prior to award, the Core Team considers and makes decisions as to incorporation of all
acceptable VA/VE suggestions made by the selected contractor.
See the PM Toolbox Training Bidding a Project.
See sample budgets.
Construction Phase PAR
The Construction Phase PAR is finalized with the construction budget fixed, including
contingency. Funds are authorized.
Page 41
Construction Phase Cost Tracking

Construction phase Project Contingency is generally set at 10% of the value of the
construction contract. During the Construction Phase, the Project Manager and Construction
Manager are responsible for
administering the intent of the construction agreement
monitoring progress
ensuring conformance to plans and specifications
quality control
payment application approvals
pending items
controlling the budget

Pre-construction
The Project Manager should implement effective processes of communication between
the Core Team, design consultant and contractor.
See PM Toolbox Training:
o Projects Communications Plan
o Managing Expectations
o Project Communications
o Project Communications Checklist (use this as a model)
o The Project Manager is responsible for conducting a pre-construction meeting per
the terms of the Agreement.
Prior to a contractor mobilizing on site, a contract must be fully executed and all
contractual requirements for insurance, bonding, etc., as specified in the Contract must
be in place. Project-specific methods for addressing such things as Change Orders,
answering questions related to the work and control of payments are discussed. See
Risk Management below.
Minimize or eliminate the occurrence of scope creep. Contingency funds are not to be
used for discretionary design changes or scope items not specifically defined in the
PAR.
The Project Manager and Construction Manager develop an expedited means to
review/approve submittals, and monitor it carefully. Coordination of trades and site
logistics must be expedited, as well, by the Construction Manager.
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Construction
Keep Schedule
The Construction Manager keeps to current published schedule.
The Project Manager and Construction Manager avoid discretionary changes to the
design at this phase. Changes made now carry a severe cost penalty.
Validate, Track and Monitor Change Orders
o The Project manager and Construction Manager validate all Change Orders in a
timely manner including the processing of contractual change orders. Document the
cause of all Change Orders ( e.g., field conditions, design errors and omissions,
owner initiated program change).
o Keep an accurate, current Change Order log and insure Change Order costs are
added to/deducted from the Master Project Budget Model.
o See C&CP website for information on change orders.
o See Sample Change Order letter.
Review for ADA Access Compliance
Project Managers should -keep an accurate review of partners consulted on access
review, as well as have conversations with architects and Cornell University staff on
access elements.
Timely Responses to Contractor
Make sure there is always a timely response to all requests by the Contractor.
Adopt an effective system to manage and document this flow of information.
Timely Payments
Make timely payments. See invoice payment.
Quality Assurance/Quality Control
Implement a Quality Assurance/Quality Control system during the Construction
Phase. See PM Toolbox training Quality Control, Inspections and Commissioning.
Also, see next section.
Monitor Contractors Compliance
Continue to monitor Contractors compliance with contractual submissions. Many
different Cornell stakeholders can play a role in monitoring compliance. The Cornell
shops, structural engineers, designers, project team, EH&S, clients, the commissioning
agent, Maintenance Management, are examples of groups who can provide input into
compliance of the contractor.
See PM Toolbox training for contractor compliance and quality assurance topics
Energy Management Tools
Page 43
LEED Rating System at Cornell

Quality Control, Inspections & Commissioning
Testing & Inspection Services
Your Project and Environment Health and Safety
Close-out/Move-in
During this phase of the project, the Project Manager should promptly initiate the
financial close-out of all Project commitments. This will avoid accumulation of
unnecessary administrative costs to the Project.
Resolve any claims
The Project Manager should resolve any claims. See Risk Management. Morever, this
is a good time to advise other Project Teams of any lessons learned and/or innovations
that could be used in the future.
Project Contingencies
Capital building project budgets carry three types of contingencies:
Escalation
Design
Construction
Escalation Contingency
Escalation Contingency adjusts the project budget model for changes in the cost of
construction, caused by increases in labor costs and volatility/increases in material
costs, and inflation of the other budget lines over time.
Escalation Contingency must be considered for projects lasting over a year.
The following guidelines apply to the use of cost escalation in project budgets.
o Project budget models should list a separate line for escalation for each of the six
major budget categories. Construction cost estimates from our pre-construction
estimators should break escalation out separately and the same factor used to
escalate the construction estimate to the bid date should be used in the Construction
section of the project budget.
o Escalation factors will probably be different for each of the project budget sections.
For example:
The Planning and Design section might not escalate once the A/E fee has
been negotiated.
Project Management costs will escalate with increases in the enterprise billing
rates.
Construction costs will escalate per the anticipated conditions in the local
construction market.
Page 44
Projects with fixed, non-escalating budgets

o Projects with fixed, non-escalating budgets are more sensitive to volatile
construction escalation than projects that are allowed to escalate.
o Fixed budget projects require the project team to estimate future escalation figures at
the start of the project, and then adjust the scope if the escalation estimates are
wrong.
o Scope adjustment can be very difficult, especially late in the design phase of the
project. Consequently fixed budget projects require a more conservative approach to
picking escalation figures, i.e., they have a larger escalation contingency.
o The intent of fixed project budgets is to emphasize preservation of project budget
over scope.
o The preferred method for building the project budget is to structure the budget
model at each project milestone cost estimate (i.e., Concept, SD, DD 50%DD),
assuming immediate construction start. Then an escalation contingency factor is
applied to each of the main budget subcategories to arrive at the total project cost.
Finally the scope is adjusted as required to match the estimated total project cost to
the budget. Escalation contingency applied to the construction line should come
from the construction cost estimators working on the project, in concert with the
Project Team.
o Finally the scope must be adjusted as required to match the estimated total project
cost to the budget. Escalation contingency applied to the construction line should
come from the construction cost estimators working on the project, in concert with
the Project Team.
o Projects with fixed, nonescalating bugets should include bid alternates that may be
taken in the event that escalation assumptions are inadequate. Development of a
strategy for use of alternates is particularly important if the project budget is nonescalating.
Projects with budgets that are allowed to increase with escalation
o Projects with budgets that are allowed to increase with escalation are easier to match
scope with cost than projects with fixed budgets, because there is less risk from
faulty escalation assumptions.
o The concept is that, if you can afford the project now, you will be able to afford it in
the future because you are protected from escalation, except in circumstances where
the escalation is so extreme, the project becomes unaffordable.
o For projects with budgets that are allowed to escalate, the starting budget is allowed
to escalate from the project approval date (the date the project base budget is set) to
the start of construction.
o The intent of escalating project budgets is to emphasize preservation of project scope
over budget.
Page 45
o Escalating project budget models can be structured in the same manner as nonescalating projects except the escalation contingencies are treated as additions to the
project budget.
o The purpose of the escalation contingency is to provide an estimate of the eventual
total project cost.
Design Contingency
Design Contingency is used in the design phase of a project in acknowledgement that,
until the design is completed, the construction cost estimate is based on incomplete
information.
The following guidelines apply to use of Design Contingency in project budgets.
Design Contingency for Design Phase of Budget
Design phase Project Contingency is used during the design phase of the project to pay
for things such as
o increases in A/E fees due to program changes,
o complications in the site plan review process, or
o delays in the project during which the project team continues to work and bill its
time.
The Design Contingency belongs in the construction section of the budget. Funds are
moved from the Design Contingency line into the construction line to pay for scope that
is identified as the design progresses.
There is no need for a Design Contingency when using unit square foot costs to
benchmark the cost of a proposed project during the Planning phase. The proposed
project is being compared to an existing facility that is complete.
The Design Contingency should be set at 10% to 15% of the construction cost-of-work
amount in cost estimates during the planning or feasibility stage of a project. Projects
typically carry
o 10% at the end of Schematic Design,
o 5% at the end of Design Development, and
o 2.5% at the 50% construction document estimate.
o Design Contingency is 0% when the design is complete and ready for bid.
Construction Contingency
Construction phase Project Contingency is generally set at 10% of the value of the
construction contract. Project contingency is used during the construction phase for
some of the above reasons, as well as for the following possibilities:
o unforeseen expenses in areas such as underperforming value engineering initiatives,
o quality assurance inspections
o
added commissioning costs. See sample budgets.
Page 46
o allowances or alternates to the construction contract

o Factory Mutual (insurance) or Building Inspector requirements identified during
construction.
Use of the contingency for these items is generally determined by the Project Manager
with input from the Construction Manager.
Project Contingency is also used during the construction phase to pay for three general
categories of cost increases related to the construction contract:
o Errors and Omissions
o Unforeseen Conditions
o Scope / Project Changed
Errors and Omissions
Errors and Omissions (E&O) in the design documents are defined this way:
o Errors occur when the designer makes mistakes in the contract documents; e.g.
specifying a 32 wide door when a 36 door is required.
o Omissions occur when the designer neglects to put something in the contract
documents that should have been there; e.g. forgetting to put a door where one is
needed.
Unforeseen Conditions
Unforeseen conditions occur when the architect or contractor had no way of
anticipating a job site condition that affects the project. For example, in a renovation
project the contractor may discover a structural problem in the building when a wall is
opened up. Another example is the contractor doing an excavation and encountering a
utility line that was not on the construction documents and not on the Owners utility
maps. In each case, no one is responsible for not having addressed the condition in the
construction documents and Cornell must pay to fix the problem.
Responsibility: E & O and Unforeseen Conditions
The Project Manager is responsible for determining use of contingency in the
E&O and Unforeseen Conditions categories.
Project teams frequently encounter circumstances at the conclusion of a
project, when the building is newly occupied and problems arise as a result of
the dissatisfaction of certain occupants or stakeholders. For example, the
occupant of an office might want an extra data outlet, or a piece of mechanical
equipment may prove to be unreliable, even though it was purchased and
installed according to the contract documents. The Project Manager is
responsible for post-construction contingency use when it falls into the E&O
and Unforeseen Conditions categories.
Scope/Program Change
Page 47
Scope or program changes occur when Cornell makes a change to the scope of the
project after the work has been bid and awarded. It is important to note that
discretionary changes to the project after construction has begun are strongly
discouraged.
Although Project Contingency is not intended for scope/program changes during the
construction phase, these changes are sometimes unavoidable.
Typically there is an executive committee comprised of the Project Manager and the
PDC Director; there may also be a a central admininistrative representative and the
program representatives. This group discusses options and makes a recommendation
on the use of contingency. At the next level--VP Facilities s/he will probably insist
on bringing forward a PAR to approve the use. For example, on the Life Sciences
Technology Building project, the PAR's have noted the use of contingency and asked
for backup in that amount if the project goes over budget.
Responsibility: Scope / Program Change
Requests to spend construction contingency on Scope/Program change
require the authorization of the
VP for Facilities Services,
the person representing the source of the funding, and, depending on
the size of the change,
CF&PC.
When large projects are involved, the Executive Committee should make
timely decisions on the use of contingency for scope changes.
A Construction Contingency Worksheet
managers.
for exposures is available for project
Page 48
BUDGET
TYPE OF
PLANNING
DESIGN
CONSTRUCTION
CONTINGENCY
ESCALATION
DESIGN
The Planning and Design section might not

escalate once the A/E fee has been negotiated.
Project Management costs will escalate with
increases in the enterprise billing rates.
Construction costs will

escalate per the
anticipated conditions in
the local construction
market.
10% to 15% of the

construction cost-ofwork amount in cost
estimates during the
planning or feasibility
stage of a project.
The Design Contingency

belongs in the
construction section
CONSTRUCTION
10% of the cost of the

design fee for each
phase
--10% at the end of
Schematic Design,
--5% at the end of
Design Development,
and
--2.5% at the 50%
construction
document estimate.
Design Contingency
is 0% when the
design is complete
and ready for bid.
10% of the value of the

construction contract.
Errors and
Omissions
Unforeseen
Conditions
Scope / Project
Changed
Page 49
Capital Project Funding Plan

Each capital project is required to have a funding plan, identifying
the source(s) of funding for project costs,
the need for debt financing and
the source of repayment of debt service (principal and interest).
This funding/financing plan is the responsibility of the business manager or similar position
within the unit that is providing the project funding.
Funding sources, including identification of account numbers, must have sufficient funds
available to cover the project cost or an explanation of where funding will ultimately come
from. If debt financing is needed to cover project cost, either on a short-term, bridge basis or
long-term, permanent basis, the unit business manager is to work with the Universitys
Director of Debt on the loan terms and loan application process.
Project funding to come from gifts must have backup listing the gifts raised for the project,
payments received, and a schedule of anticipated payments on outstanding gift pledges.
Schedule Development
Schedule development and update is another principal responsibility of the Project Manager.
The contractor provides the schedule to the Project Manager.
A properly designed schedule includes
each phase of design work with time for design review
cost estimating milestones
associated redesign periods if needed,
bid or buy-out period,
construction period, and
internal and municipal approvals.
The duration of a typical project that experiences no unusual delays, from start of initial
programming through move-in of users, ranges from 6-8 months for a smaller project
designed and built by PDC, to five or six years for a large laboratory building.
See PM Toolbox training Construction Scheduling
Contractual Agreements
After a consultant or contractor has been selected for a project, and prior to start of design or
construction work, the terms and conditions surrounding the execution of the work must be
documented in a Contractual Agreement.
Cornells Office of Contracts & Capital Projects (C&CP) maintains Cornells contractual
instruments and develops all Contractual Agreements between the University and its
consultants and contractors. The Project Manager is responsible for working with Contracts &
Page 50
Capital Projects on modification of the contract instrument to meet the specific requirements of
the project.
Design Agreements
Project Manager Issues Request for Proposal (RFP)
The Project Manger issues the RFP. In order for a contract to be executed with a
consultant, the consultant needs to have responded to a Request for Proposal which
includes
o a description of the services requested,
o the deliverables and schedule requirements, and
o a copy of Cornells A/E agreement (see page 8) which allows the consultant to
respond to the RFP with an understanding of the terms of the proposed contract.
o The University Architect is also involved in the selection of an architect for the
project.
Project Manager Presents Proposals to C&CP
The Project Manager should review thoroughly (but not sign) proposals from
consultants to ensure that all required work has been addressed and that no fees are
included for services that are not requested (alternate pricing options may be identified)
and present the resulting proposal to Contracts & Capital Projects for consideration in
the preparation of a contract.
C&CP Reviews Proposal
Contracts & Capital Projects will review the proposal to make sure that it is consistent
with the stipulations within the proposed contract.
Page 51
Types of Design Agreements

DOCUMENT
NAME
Owner/Architect
Agreement
(Short Form)
USE
BACK-
LIMIT
UP
Professional
Design Fees
and Services
None
Less than
$100,000 in
Professional
Fees
None
See Long form
Professional
Design Fees
and Services
Greater
than
$100,000 in
Professional
Fees
Preconstruction
Services
Agreement
Preconstruction
Fees and
Services
None
No Limit
Short Form
(limited)
Short form (full
service)
Owner/Architect
Agreement
See Design Agreements.

See Blanket A/E Agreements.
See relevant sections in PMToolbox Architectect Procurement
For Contract College Facilities, see
o Pofessional Service Selection Information Sheet
o Standard 254 Form
o Standard 254 Form Guidelines
Page 52
Construction Agreements
The Core Team, working with Contracts & Capital Projects, selects the bid and/or negotiates
the proposal that is most advantageous to the University.
Contracts & Capital Projects handles the development and execution of the construction
contract.
Types of Construction Contracts
DOCUMENT
NAME
USE
BACK-UP
LIMIT
Short form agreement
The procurement of
small renovation and/or
construction services
Written scope of
work, contract value
cost, schedule,
funding source, PAR
(over $50,000)
Typically
$100,000
Construction
Agreement
Construction costs and

services contracted
with a Lump Sum cost.
Bid Form Plans,

Specifications,
Addendums
incorporated by
reference.
Typically
greater than
$100,000
*Guaranteed Maximum
Cost (GMC) Agreement
Construction costs and

services contracted
with a Guaranteed
Maximum Cost
Contractor Proposal,
General Conditions
Costs, Assumptions
and Clarifications
Plans, Specifications,
Addendums
incorporated by
reference.
Typically
greater than
$1,000,000
*These are customized agreements in which the Project Team works closely with the
Office of Contracts and Capital Projects on the wording of the General Conditions (see
GMC GCs).
Key items for negotiation with the Construction Manager include fee, general
conditions costs (see GMC GCs), contractors contingency and sometimes
incentive/disincentive clauses.
Under this contracting method, assembly, distribution of the bid documents and receipt
of bids for subcontractor work is generally done by the Construction Manager.
See PM Toolbox Training Managing Contracts.
Page 53
Invoices and Payment Applications

The Project Manager is responsible for insuring the accuracy and appropriateness of payments
made by the University to consultants and contractors in payment for execution of the various
work tasks of the project. C&CP oversees the payment of invoices for projects.
Setting up an Account
Before invoices can be paid, the PM must generate a PAR and have an Approval Letter, which
C&CP uses to set up the project account with the Division of Financial Affairs (DFA).
Each month C&CP receives an accounting statement from DFA.
Receipt of Invoice in C&CP
Invoices are received by the Contracts & Capital Projects Office. Invoices received by the
Project Manager or Construction Manager should be routed to C&CP.
C&CP Review of Invoice
Upon receipt of an application for payment C&CP performs the following steps before
forwarding it to the Project Manager for approval:
Identify the payment source
Review the payment history
Check invoice against contract terms and conditions
Resolve any discrepancies with the applicants accountant
Construction Manager Reviews

The Construction Manager reviews the construction invoices. The Construction Manager
negotiates changes, and can determine if the contractor is offering a responsible proposal. The
Construction Manager also ensures that the services for which Cornell is being billed have
been delivered. If the project has a Project Coordinator, and if general conditions are included
in the contract, the Construction Manager may create a pencil copy.
Project Coordinator Review
Project Managers typically route payment applications to a Project Coordinator who reviews
them for completeness of supporting documentation and accuracy.
For contracts that allow billing of reimbursable expenses, the supporting documentation
must include receipts for all expenses.
For contracts that allow billing of actual general conditions costs (Cornells GMC
contract), the PM must check to be sure only allowable expenses are billed.
Approval by PM and Return to C&CP

The Construction Manager or Project Coordinator returns the invoice to the Project Manager,
who approves payment. The PM sends the invoice to others for approval, including the PMs
Page 54
supervisor and, in the case of PDC PMs, to the PDC Director, the appropriate finance person,
and the VP for Facilities Services.
The PM then sends the payment applications to the Contracts & Capital Projects Office where
all contractual payments are processed.
CC&P Requests Payment by DFA
Pay requests are sent to the DFA, where checks are issued.
Project Over Budget
CC&P will not sign off on a commitment if it causes the project to go over budget. The Project
Manager must submit a new PAR or re-allocate funds (for example, use contingency.)
Project Managers Report
The Project Managers Report contains
Approved Budget
Current Commitments in the contract
Amount of the budget expended to date.
See an example of a Project Managers Report in the CPDP Guide, Appendix , Item N.
CC&P sends this report to Project Managers monthly.
The Project Manager can access job cost invoices by going to the Facilities Services website,
and click on Facilities Information and then on FS Administrative Services /Job Cost.
See also Project Controls and Payments.
Financial Reviews and Reporting

Projects over $5 Million
For projects with a budget greater than $5 million, the Project Manager submits a Project
Status Report (PSR) to the VP Facilities Services and Primary Customer on a monthly basis.
The PSR includes:
a financial status report using the seven budget categories,
a brief summary of project activity, with focus on elements of the project that are significant
milestones or challenges.
Projects under $5 Million

For projects with a budget less than $5 million, the PM prepares a monthly PSR if requested by
the Primary Customer. See Appendix, Item P in the CPDP Guide for an example of a PSR.
Page 55
Part IV: Project Process Phases

Project Delivery Flow Chart
The Project Delivery Flowchart summarizes the approval process for endowed Cornell capital
construction projects on the Ithaca campus. This chart represents the most common method of
project delivery used by Cornell University Design/Bid/Build. Contract College Facilities
has a similar flow chart which can be obtained from their office.
The chart has two basic purposes. (1) to consolidate a very complex process into a simple, one
page format that can be easily understood by any Project Team member or other interested
person that may want to gain a basic understanding of the overall Project Delivery Process. (2)
to provide a concise visual tool for the Project Management Team to manage milestone
activities as well as to provide a list of common tasks that must be accomplished each step of
the way.
The chart shows the general phases of each project Planning, Design and Construction.
Individual steps within each general phase further define the order normally followed by
projects.
The Steps section of the chart indicates the various stages in the sequence of project delivery.
The section of the chart above the steps, describes the various approvals for either funding or
design required for the project by senior university administration, Board of Trustee
committees or the Board of Trustees. Level of approval required is based on the total project
budget.
The section of the charts below the steps describes project milestones for the Project Team,
including the client group.
See the Project Deliver Flow Chart in the CPDP, page 34.
Page 56
Planning Phase
Goal
The Project Managers goals during the planning phase are to initiate the project properly,
review and understand the clients needs, address options thoroughly, and select the option
that is most feasible.
Deliverables
Project Space Program
Site Selection (new construction only)
Consultant Selection
Project Formulation
Approvals
Client Responsibilities
Define need and project goals
Develop Project Plan (sometimes with the PM)
Identify funding sources
Initiate project
PM Responsibilities
Initiate Project with client
Review and/or help develop Project Plan.
Create project team.
Initiate Project Space Program.
Ensure Site Selection is completed(new construction only) or define existing boundaries
(renovation)
Select Consultant
Decide need for either Concept Study and/or Feasibility Study
Project Formulation
Ensure Primary Customer Approval
Develop Schematic Design PAR and/or Design Development PAR to begin next phase
of the Project Management Process
Page 57
Steps
Initiate Project
The client may initiate a project with either of the following:
o Ticket through Facilities Services Customer Services
o Request for Services
o Request for Capital Project
o Request for Renovation work
All of the above methods for entering into a project are a device to engage resources for
information and advice about infrastructure and existing space
Review Project Plan
Client and Project Manager review Project Plan. See a Sample Project Plan.
Create Project Team
o Identify all stakeholders that will contribute to program development.
o Identify the Project Team.
o Run team meetings. See PM Toolbox for tips on how to run effective meetings:
Job Meeting Problems
PM Meeting Techniques
Running Job Meetings
Create Project Space Program
o Define programming needs with the Core Team.
o Create Space Program. New building and building addition projects always start
with a Space Program. Initially, it begins as a simple list of space types (e.g. faculty
office, class room) and floor area. The Program is developed over time to include a
complete description of each space. The description includes area, finishes,
adjacencies to other spaces, environmental and infrastructure requirements, and
furnishings to be provided by the contractor.
o Resources for developing a space program may include:
Search Facilities Services Web Sites
Find Information About Your Facility
Document Archive
Project Managers Environmental Checklist
o For a restoration project, define the project boundaries.
Page 58
Site Selection (new construction only)

o The Project Manager should contact the University Planning Office and the
University Architect as soon as he or she is aware of a project of significant size.
o Project Team, University Planner and University Architect develop context study in
which the question how does this project fit with the rest of the neighborhood and
surrounding area? is addressed.
o Site selection options are explored and narrowed to the preferred site. Criteria for
selecting the site must be developed with the University Planning Office and
University Architect.
o It takes a few months to complete the Site Development Guidelines (formely called
Site Criteria). The University Planning Office will review the Site Development
Guidelines (formely called Site Criteria) with the project team, stakeholders, and
the Campus Planning Committee.
o Once a preferred site has been identified, the University Planning Office and the
Project Team will develop the Site Development Guidelines (formely called Site
Criteria). (See CPDP, Appendix C).
o For both site selection and criteria the UP presents to CF&PC and B&P for approval.
Consultant Selection
o The established University Consultant Selection process will be followed. This effort
is led by the chair of the selection team.
Decide need for either Concept Study and/or Feasibility Study
The Project Plan usually leads to a Feasibility Study (see sample Feasibility Study) or a
Concept Study.
o Both studies are conducted by a consultant to determine if the project is possible
within a pre-defined budget or other program expectation.
o A Concept Study looks in more detail at options for the deliverables listed below
and produces a plan that can be reviewed by the customer and University. A
Feasibility Study generates a possible solution to that space need with associated
dollar amount. It generally has a program study. The feasibility study asks: I
know I need the space, how do I get the space?
o Upon the completion of this phase and after the required approvals are obtained, the
preferred option will then proceed into design.
Page 59
Both the Concept Study and the Feasibility Study take into account the following:
PROGRAM
SCOPE
STAKEHOLDER
Codes and regulations
Federal, state,
municipal,
ECOS, EH&S,
Maintenance
Management (ADA
compliance) local code
officials
Site or location
Site Selection
University Planner
Building context and existing

campus fabric
Context Study
Building technology
Lab? Office?
CIT
Cost
See budget section
Utilities, O&M, Client
Project Formulation
o Develop conceptual budgets and timelines.
o Consider the various project delivery methods for design and construction.
o Funding sources should be identified by the primary customer.
o Known risks should be identified for budget and schedule impacts.
o Narrow possible options that meet stated program requirements.
o Project Manager prepares PAR for Schematic Design Phase which includes an
overall context, concept and scope of the project.
Primary Customer Approval
o Select one concept for development
o Approve and align program and conceptual budget
o Finalize site selection.
o Develop Site Development Guidelines (formely called Site Criteria).
o Agree on the project delivery method for design and construction.
o Identify known risks to primary customer.
Page 60
Planning Phase Approval

With these approvals, the schematic design phase can begin.
Approve site selection

Authorize funding if >$5M
EXECUTIVE
COMMITTEE OR
FULL BOARD
Review A/E Selection

Approve Project Plan
Approve site selection
Approve Site Development
Guidelines (formely called
Site Criteria)
B&P
CF&PC
Approve Concept Par

Authorize PAR
Authorize site selection

Approve Site Development
Guidelines (formely called
Site Criteria)
Authorize SD
Authorize project plan:
budget, scope, schedule and
funding
Page 61
Design Phases
Schematic Design (SD)
The Schematic Design:
leads to clarification of the project program
explores of the most promising alternative design solutions
provides a reliable basis for analyzing the project cost.
The result of the Schematic Design is a clearly defined, feasible concept that can be presented
in a form that achieves the Primary Customers understanding and acceptance.
Deliverables
o 100% Schematic Design documents (See CPDP, Appendix, Item F, Schedule G,
Documents Submittal Requirements ) from the Design Consultant that include, but
are not limited to:
Site Plan , Including connection to central Utilities, if required.
Typical floor pllans for each level
All typical elevations
Two or more sections
An outline specification
Other characteristics in comparison to the program
A preliminary cost estimate (may require an independent additional
estimate)
Renderings, models or other drawings needed adequately present the
concept, including sustainable design charrette and narrative which is
required during this phase for all capital projects.
o Confirmed budget
o Confirmed schedule
o Commissioning Strategy (SeePM Toolbox training Quality Control, Inspections and
Commissioning.)
o Identification of local, state and federal approvals needed and strategies to obtain
them.
o Plan for occupant relocation, swing space, and move timing
o Schematic Design Package review and approval. Refer to Schedule G, Document
Submittal Requirements.
o Engagement of Facilities Inventory Group.
o PAR for Design Development Phase
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Process
o Develop schematic design budget and ensure project budget confirmation
(including adjustments to either the program or budget to achieve alignment).
o Project schedule confirmation.
o Project Team must coordinate with stakeholders (such as PDC Engineering, Utilities,
Contracts, Cornell Police, CIT, Maintenance Management, EH&S, ECOS, etc.)
o Review for ADA Access Compliance
o Keep an accurate review of partners consulted on access review.
o Conversations with architects and Cornell University staff on
access elements.
o Optional pre-construction services of a qualified contractor or construction manager.
o Commissioning strategy development, depending on project scope a 3rd party
commissioning agent should be brought in at this time if not sooner. SeePM Toolbox
training Quality Control, Inspections and Commissioning.
o Form Municipal Approvals Team which will identify local, state and federal
approvals needed and strategies to obtain them. Be aware of municipal calendar.
o Begin planning for occupant relocation, swing space and move timing.
o Review and approve the Schematic Design package. (See Schedule G.) Obtain
Primary Customer and Stakeholder approvals (including design review by PDC
Engineering or Facilities Management).
o Project team must engage Facilities Inventory Group for assignment of facility code
(new buildings) and for room numbering (all new buildings and renovations that
move partition walls). See For Project Managers: When does a new building or
renovation get added to the Facilities Inventory?
See PMT Training Project Archiving and Project Documentation.
For document archives, go to the FIG archiving page.
o Prepare PAR for Design Development Phase.
Page 63
Schematic Design Approvals

With these approvals, the project can move to the Design Development Phase.
EXECUTIVE
Authorize funding if > $5M
COMMITTEE OR
FULL BOARD
B&P
CF&PC
Approve Schematic Design

Authorize DD if >$5M
Validate budget, scope, schedule, funding
Approve SD
Authorize DD
Design Development (DD)

This phase develops the scope of work previously approved in the Schematic Design Phase.
The primary purpose is to define and describe all important aspects of the project so all that
remains after the completion of this phase is the creation of construction contract documents.
Deliverables
100% Design Development documents from the Design Consultant that include all
documents from SD, documentation defined in the contracts Schedule G (Appendix
Item F in CPDP) modified as required to meet the project requirements, as well as:
o Fully developed floor plans, interior and exterior elevations, reflected ceiling plans,
wall and building sections, and key details
o Basic mechanical, electrical, plumbing and fire protection systems are accurately
defined, if not fully drawn.
Process
o Project Team must continue to coordinate with stakeholders such as PDC
Engineering, Utilities, Contracts, Cornell Police, CIT, Maintenance Management,
EH&S, ECOS, etc.
o Validate project schedule, including definition of long-lead items.
o Validate and reconcile project budget with DD estimate. This may require an
additional independent estimate.
o Review and get approvals for DD package from Core Team and Stakeholders
(including design review by PDC Engineering or Facilities Management and
customer agent). Obtain sign-off on plans.
o Begin dialogue and agreements regarding front ends General Conditions and
General Requirements for the bid package by our contracts office and the consultant.
Page 64
o Prepare PAR for Construction Contract Document and Bid Phase. (See CPDP,
Appendix Item B)
Design Development Approvals

With these approvals, the project can move to the Construction Phase.
EXECUTIVE
COMMITTEE OR
FULL BOARD
CF&PC
Authorize funding if > $5M
Validate budget, scope, schedule, funding

Approve DD
Authorize CD
Construction Contract Documents (CD)

This is the final stage of the design process, which finalizes the drawings and specifications for
all components and systems of the project, resulting in construction contract documents used
to solicit bids for the work and construct the project.
Deliverables:
100% Construction Contract Documents. This set of documents fully describes the
project and will be the basis for soliciting bids from the selected contractors. This
documentation is defined in the contracts Schedule G (Appendix Item F in CPDP)
modified as required to meet the project requirements.
Internal review of the documents by University stakeholders is normally done at 50%
and 95% completion for content and final comments.
Process
o Construction Documents Estimate
A Construction Document Estimate that finalizes the project budget is required. All
final adjustments to the program and budget should be completed in anticipation of
bidding the project.
o Validate schedule and budget.
o Construction management plan finalized.
o Review and approve CD package.
o Prepare bid document package, noting any special project requirements such as
accelerated schedule or working on off shifts .
o Prepare DRAFT PAR for Construction Phase awaiting bids.
Page 65
Note that the PAR requires changes to Operating and Maintenance (O&M)
Costs; these costs should be researched and described within the document.
See PM Toolbox Maintenance Costs.
The key issue is to identify the range of the costs, and which department(s)
will be responsible for assuming them. The analysis should include a
discussion on energy use and life cycle costs.
For energy use range of costs, see PM Toolbox Utilities and Your Project.
Please contact Facilities Management for assistance.
Construction Documents Approvals
With these approvals, the project can move to the Bid Phase.
CF&PC
Authorize Bid Phase
Bid Phase
The bid phase tasks include working closely with the Contracts & Capital Projects Office as
well as Director of Construction Management in selecting preferred, qualified contractors, and
securing bids for the specified work. A construction contract will eventually be negotiated and
awarded to the selected bidder.
Deliverables
Select qualified contractors, including interviews, if deemed necessary.
Process
o Determine whether bid opening will be public or private. (Note: State-funded
projects require that certain procedures be followed regarding bidders, public bid
opening, payment of prevailing wages, etc.)
o Determine bidding period and schedule pre-bid meeting with all invited bidders to
answer any remaining questions about the work. Issue addendum to the bid
documents, if necessary. (See CPDP, Appendix, Item G)
o Select lowest responsive responsible bid, after consideration of all other factors.
o Finalize PAR for Construction Phase. Note the O&M section and expected utility
costs need to be complete at this stage.
o Contract preparation and execution.
o See PM Toolbox training
Bidding a Project.
Managing Contracts
General Conditions and Requirements
Negotiations for Project Managers
Page 66
Bid Phase Approvals

With these approvals, the project can move to the Construction Phase.
EXECUTIVE
Authorize construction if > $5M
COMMITTEE OR
FULL BOARD
B&P
CF&PC
Authorize construction if > $5M

Authorize construction if > $500K
Construction Phase
The primary objective is to build the specified project within the agreed-upon schedule and
budget and with a high level of quality.
Site Preparation / Mobilization
During the early phase of construction, a the Construction Manager will establish will
establish with the contractor:
o administrative procedures
o progress meeting schedules
o progress update requirements
o schedule controls
o methods to expedite the required approvals of certain documents provided by the
design consultants.
Permits must be obtained by the contractor, and coordination of building trades and site
logistics must be determined and agreed to by the Construction Manager.
Construction
Deliverables
Required submissions are listed in the General Conditions and General Requirements
sections of the contract which can be found in the CPDP, Appendix H.
o The Construction management point of contact information plan as described in the
General Requirements, includes a site-specific Safety Plan, Affirmative Action
requirements for the general contractor (GC), etc.
Cornell Construction Contract Environmental General Requirements
o Manage and limit scope creep.
Page 67
o Keep schedule and budget current and communicated to the Project Manager and
Construction Manager.
o Process any Change Orders in a timely manner.
Reminder: If there are changes in the design that impact the floor plan,
Facilities Inventory needs to be notified to re-assign official room
numbers. It could be costly to correct errors after design documents
have been published.
o Pay contractors promptly.
o Assure quality of work.
o Review for ADA Access Compliance
Keep an accurate review of partners consulted on access review.
Conversations with architects and Cornell University staff on access elements.
o Contractor must communicate clearly with the Construction Manager, especially on
items that pose a risk to either the budget or schedule.
o Core Team and contractor must finalize move-in plan, and date of occupancy.
o Punch list
Close-out/Move-in
This phase facilitates the occupancy and turnover of the completed and commissioned project
to the Primary Customer.
Deliverables
Delivery of the completed project to the occupants.
Process
o See CPDP Guide, Appendix, Item K for the suggested close-out procedures.
o Coordinate with Primary Customer on CIT, furnishings and move-in .
o Punch list items completed promptly.
o Before occupancy, initiate the process of obtaining measured drawings through
Facilities Inventory see When does a new bulding or renovation get added to the
Facilities Inventory? (budget line 02.06.03), and site conditions CAD mapping
through PDC Civil Section (budget line 02.06.01).
o Obtain Certificate of Occupancy.
o Archiving: Sort project materials for dispensation to one of these:
the University Archives (See FIG website)
Facilities Document Records Center
Primary Customer.
Page 68
o See CPDP, Appendix Item I. The master list defines those records needed for the
archives. All other records belong in the Records Center with copies sent to the
Primary Customer as needed.
o Meet with the PDC archivist to turn over project records to turn over project records,
including record drawings and develop a plan for any outstanding documents. See
Archiving Questionnaire for this meeting. Other useful links include filing
protocol worksheet and document archiving instructions.
o Complete commissioning activities, including generation of final building
commissioning report and owner training in building operations by the Design
consultant and Contractor.
o EH&S Hood / Safety Inspections
o Fire alarm testing - EH&S
o Post-occupancy survey/analysis if desired
o Resolution of any claims
o Obtain contractual close-out documentation and make final payment to the
Contractor.
o Financial close-out of project promptly after completion of all work and payment of
all project related expenses.
Obstacles to Closing a Project Account
1. Open RFS or Purchase Order against a project
2. Legal action or claim (see Risk Management)
3. Lack of final paperwork from the contractor. (for example, .e., record
drawings/asbuilts, required O&M manuals & warranties.)
4. Open contract or commitment.
Close-out phase lasts through the end of contract warranty periods.
Resources
PM Toolbox training Closing out a Project which provides checklists for close-out for
the following areas:
o Project Close- out: Construction Site
o Contract Close-out and Final Payment
o Capital Project Account Closure
o Archiving
Suggested Close-out Procedures in the CPDP Guide, Appendix, Item M.
Final Release in General Conditions Article 12.04, located in the PM Toolbox training
Closing out a Project and the CPDP, Appendix Item H.
Guarantee in General Conditions, Article 14
Page 69
Consent of Surety of Final Payment in General Conditions, Article 12.04

Record drawings as cited in Owner/Engineer Agreement, p. 13, section 9 and in
Retention of University Records Policy
Complete specifications as cited in Owner/Engineer Agreement, Schedule G,
Document submittal requirements, first item.
Master List of Records for archival storage from all PAR level facilities projects
Page 70
Risk Management in Project Management

There are three responsibilities the PM assumes in Risk Management of a project:
Assess Financial Risk
Outline Legal Relationships
Oversee Aspects of the Claim Process
Assess Financial Risk

During Design Phase/Bid Process/Bid Analysis: Risk Management and Insurance reviews
financial risk of contractors with a model developed to determine a contractors risk of
bankruptcy. The model is only one indicator among others that are used by Contracts
Management to evaluate risk of contractors.
If the risk is high, Cornell can require a bond from the contractor, which will add to the
cost of the project.
Outline Legal Relationships: Design Phase/Have Clear Contracts

The legal relationship concerning risk is defined in the answers to these two questions:
1) Who is responsible for insuring safety on the site?

2) How are safety roles and issues addressed? (see Claims below)
Risk Management defines these types of relationships with respect to who is responsible
for safety
TYPE OF
WHO HAS
RISK LEVEL
INSURANCE
RELATIONSHIP
RESPONSIBILITY
FOR
COVERAGE
FOR RISK
OPERATIONS-
RISK
SIR
EXPOSURE
Normal construction
process
Contractors
Low
High
Owner-Controlled
Insurance Program or
OCIP
Contractors but Cornell

has financial risk.
High
Low
Cornell as General
Contractor
Cornell
High
Low
State
The PM should understand these relationships. They are defined in the contracts. If the
PM knows the contracts and legal relationships which define the Universitys exposure to
risk, they can better manage the project by determining if the contractor is adhering to
responsibilities defined in the contract.
Page 71
See the PM Toolbox presentation Risk Management at Cornell University. Slides 15 18

define the insurance requirements relative to the contract, and how to make claims
1)
2)
3)
4)
Major Construction Project General Liability

Contractor Insurance Requirements
A/E Insurance Requirements
Builders Risk
What if contractor is not adhering to safety requirements as stated in the contract?

Set up meeting with contractor. If contractor still not meeting requirements:
o Set up meeting with contractor and Director of Risk Management and Insurance. If
contractor still not meeting requirements:
Set up meeting with contractor and Director of Risk Management and
Insurance where Risk Management will state consequences. If contractor still
not meeting requirements:
Cornell may create a work stoppage, dismiss contractor from site, or
terminate contract (depending on seriousness of noncompliance.) It
is important that the PM brings many people to the table before this
last point is reached, such as EH&S, Director of Construction, etc.
Oversee Aspects of the Claims Process
The claims process is determined by the relationships defined in the contracts. Claims
occur during the Construction Phase.
PM needs to know who to call to start the process.
PM may be asked to provide information about an incident. For this reason, it is important
that the PM keep good notes and meeting minutes. PM may also be called to testify in
court.
Caution: The PM must be concerned with the facts of the case and not
attempt to place blame. Responsibility can only be determined after a full
investigation and after all experts have weighed in regarding an incident.
Contact Legal Counsel and/or Risk Management before giving any
statements.
Page 72
Three Types of Claims

The PM should be aware of the following claims, and should be prepared to address
them should they arise:
o Workers Compensation
o Liability
o Property
Workers Compensation
PERSON
RELATIONSHIP
CLAIMS PROCESS
INJURED
Cornell Endowed
employee
All Contracts
Cornell Medical Leave

Administration-EH&S link
Cornell State
employee
All Contracts
Covered by state insurance fund
Contractors employee
Normal contract
Contractors insurance
OCIP
OCIP claims process-OCIP

Administrator
See http://prp.ehs.cornell.edu/Acc-Inj/ for endowed employee claims forms.

Liability
RELATIONSHIP
PERSON
RESPONSIBLE FOR
CLAIMS
PROCESS
INJURY
Normal contract
OCIP
Cornell Employee
Cornell Insurancereport
to Risk Management
Contractor
Contractor reports to his

carrier
Contractor employee is injured

and sues Cornell
May tender back to

ContractorOver-action
Claim
All
Report to OCIP
administrator
Page 73
Property Damage Liability Claims

PROPERTY
OWNER
PERSON
CLAIM PROCESS
RESPONSIBLE
Cornell
Contractor
Cornell files claim or sues

contractor
Contractor
Cornell
Contractor files claim or sues

Cornell
Property
PROPERTY OWNER
COVERAGE
CLAIMS
Cornell
Builders risk
Requires an
understanding of who is
carrying builders risk,
Cornell or contractor
Contract College
Builders risk
SUCF process
Contractor
Contractors property
insurance
Contractors claim
process
Page 74
Part V: Appendix
Page 75
Sample Matrix for Project Coordinator (PC) Responsibilities
PC1
PC2
PC3
COMMUNICATION
Work directly with User Groups on logistical issues such as moving,
signage and data jacks.
Communicates with and coordinates day-to-day issues with the

customer contact person, e.g. moves, information exchange, parking,
traffic, EHS, police, fire department/alarm testing, crane schedules,
inspections, COs and TCOs, etc.
Coordinate with Transportation on issues such as parking, coordinating

contractor permits, laydown areas, etc.
Answer public questions on the project with standard responses.

Provide site tours.
Manage non-capital projects and segments of projects with budgets of <

$50k.
PM for projects that are in the range of $50k-250k
PM for projects in the range of 50k-2M
FINANCIAL
Financial Management - Generate reports from database using BRIO,
monitor expenses against budget lines, and maintain spreadsheet of
project expenses. Supervise administrative activities related to the
project (i.e. accounts payable, job cost, status reports).
Issue tickets to the shops and monitor progress. Track ticket costs and
keep PM informed. Highlight deviations from budget estimates.
RESPONSIBILITIES
Coordinate job site safety efforts of EH&S including review of the Safety
Plan and scheduling mock OSHA inspections.
x
x
Manage and enforce site safety plan

Coordinates with CIT - schedule and coordinate activities
x
x
Coordinates with CIT - Secure estimates and manage installation

Coordinate field inspections by PDC Shops and other parties. Monitor
quality of workmanship and materials with the assistance and support of
the Design Consultant and associated PDC Shops to maintain high
standards
Conduct field inspects and punch list conformance inspections.
x
x
Page 76
PC1
PC2
Supervise and conduct field inspections to assure conformance with

plans and specifications.
Schedule and attend regular job meetings, prepare and distribute
minutes. Work with the PM to prepare meeting agenda.
PC3
x
x
x
Run regular job meetings in absence of PM.

Provide direction at regular job meetings, make immediate decisions
within the authority given by the project manager.
Manage submittal process including tracking submittals & RFI's on
projects
x
x
Manage change orders to agree upon the scope, cost, and schedule
impact of changed conditions. Prepares independent CU cost
estimates. Present rational/justification for approval to the PM.
Approve Change Orders presented by the CM
Coordinates and directs, as authorized by the contract, Contractors

during construction, acts as a single voice for CU to the contractor. PM
is the backup voice. Day-to-day communication is between contractor
and CM.
x
x
Prepare RFPs with direction from the PM.

Independently prepare RFPs within established procedures. Review
terms of contracts with respect to examples.
Manage consultant selection process, negotiate terms of contract.
Manage and direct the activities of A/E consultants. Review contract

compliance and authorize payments.
TECHNICAL SKILLS
Project Scheduling - Builds and maintains project schedule using MS
Project or Primavera from data given by others.
Project Scheduling - Monitors project schedule milestones against

progress.
Project Scheduling - Implements corrective action to keep project on

schedule
Lab furniture and equipment - coordinate purchase, arrange for storage
and transport as requested by the PM.
x
x
Lab furniture and equipment - manage purchasing process, responsible

for inspection prior to turnover to contractor, Responsible for installation
contract.
x
x
Lab furniture and equipment purchasing - review technical standards

Formal Training in construction and contracting practices (TC3 class or
CEE 595)
Build and maintain databases in Access
Independently prepare Power point presentations for project approval

from Sr Administration
Page 77
PC1
Develop and maintain comprehensive section schedule
Author PARS (Draft)
Maintain section web site and Project web site
Maintain List Serve
Maintain Standards on web
x
x
Manage commissioning process
PC3
Manage section work schedule by recommending adjustments to staffing

assignments
Perform Web Research for products and services
PC2
Page 78
Sample Project Manager and Construction Manager and Project

Coordinator Duties and Responsibilities
Action
PM
Manage change orders to agree upon the scope, cost, and

schedule impact of changed conditions. Prepares
independent CU cost estimates. Present
rational/justification for approval to the PM.
PC
Coordinates and directs, as authorized by the contract,

Contractors during construction, acts as a single voice for
CU to the contractor. PM is the backup voice. Day-to-day
communication is between contractor and CM.
Work directly with User Groups on scope items and project
development issues. CM and PM negotiate the magnitude
of scope items the CM can and can't commit to during
construction (scope creep). PM and CM to negotiate the
level of cost change issues, either additive or deductive, that
need PM approval before the fact.
CM
Communicates with and coordinates day-to-day issues with

the customer contact person, e.g. moves, information
exchange, parking, traffic, EHS, police, fire
department/alarm testing, crane schedules, inspections,
COs and TCOs, etc.
Reviews schedule for constructability. Monitors progress

against the schedule and keeps PM informed of deviations.
Recommends actions to get back on schedule if needed.
Maintains schedule.
Reviews schedule evaluation and recommendationss from

CM. Advises CM as to correctness of schedule and
evaluation and to jointly develop actions for schedule
compliance corrections.
Monitor output of Contractors; feedback, site productivity, etc
Coordinate efforts of EH&S (Job Site Safety). Work with

EHS to review the Safety Plan, enforces Safety Plan.
Schedules mock OSHA inspection with EHS.
Coordinates the construction efforts of CIT
Coordinates the construction efforts of Cornell Line Crew

(cableing and hookups)
Oversee purchasing (ex: buying furniture) for owner

supplied equipment identified in the PAR as an F&CS
responsibility.
Coordinate arrival of CU purchased equipment. Arrange for
storage and transport to the site as required and requested
by the PM. Responsible for inspection prior to turnover to
contractor. Responsible for installation contract if needed.
Assist
PM & CM
Page 79
Action
Responsible for installation contract if needed.
PM
PC
Tracking construction costs, telecommunications costs, site

work and other costs that need to be tracked on an as
needed basis against budget costs
Responsible for controlling the use of contingency funds
CM
Issue tickets to the shops and monitor progress. Track ticket

costs and keep PM informed. Highlight deviations from
budget estimates.
Supervise the coordination of administrative activities related

to the project (i.e. accounts payable, job cost, status
reports). CM to track reports as requested by PM.
Develop contracts and subcontracts as needed
Supervise payments for project services, ensure that

expenses are monitored against project budgets.
Supervise and inspect field conditions and progress of work

against project schedule; coordinate and/or act as liaison
among participants to resolve problems or conflicts. Work
with PDC Shops in providing quality inspections
Who can say "NO" from a contractual perspective to the

Contractors? The Contracting Officer
Run the "owners" weekly job meetings. Write the minutes.

PM and CM work together to develop the format of the
meetings.
Prepare space programs, building standards and other

project criteria to guide the work of outside A/E consultants.
Assist PM
Assist
PM
Interview and advise on the selection of A/E consultants for

major design projects.
Assist PM
Assist
PM
Negotiate service agreements with outside A/E consultants.

Prepare contracts.
Assist PM
Assist
PM
Manage and direct the activities of A/E consultants. Review

contract compliance and authorize payments.
Assist PM
Assist
PM
Monitor quality of workmanship and materials with the

assistance and support of the Design Consultant and
associated PDC Shops to maintain high standards.
Coordinate and schedule Shops inspections.
Assist
CM
Assist
CM
Create the CM and PC budget line dollar amount.
Responsible for the project construction documents

review/written response process.
Empowered to give field direction changes to the contractor
Assist
CM
Assist
CM
Page 80
Ensures frequent contact between the CM and the Contract

Officer. Computer status reports by CM and
Superintendent.
Establish criteria and measure Team performance
Responsible for the monthly/trustee report
Assist PM
Assist
PM
Review and approve progress payments
Approves
Approves
Assist
PM & CM
Authorized to release retainage
Approves
Approves
Provides feedback on contractors/AE performance
X (AE)
X
(Contractor)
Speaks to the news media
Assist
PM & CM
Coordinate parking issues, such as coordinating contractor

permits and how does PDC arrange for laydown areas, etc.
Assist
PM & CM
Recommend a scope or time increase during construction
Authority to make no cost/no time field related changes?

PM & CM to discuss & negotiate
At least once a month review of the project with the PM, CM,
University Architect, University Engineer, Director of
Construction Management, Director of Facilities and Director
for Contracts Administration
Bid Attendance. Who determines how money shortages will

be met, whether from contingency or elsewhere? Who
determines which alternates will be accepted? The PM has
authority up to 25%; The Director of PDC has authority
greater than 25%. If continugencybring to attention of
Director of PDC and VP for Facilities
Who settles insurance issues? Risk Management and

Contract Officer
Who is empowered to settle claims?
Administration
Director for Contracts
Authority to take risks with University resources? University

Architect, University Engineer, and Director of PDC
NOTE: The PM may delegrate authority for any of the above to the CM, and may ask that the CM
perform any of the above. In such cases, the PM remains responsible for those portions of the
project listed above.
Page 81
Sample Role Agreement

RESPONSIBILITY GUIDELINES FOR CONSTRUCTION
ACTION
PM
Manage change orders to agree upon the scope, cost, and

schedule impact of changed conditions. Prepares
independent CU cost estimates. Presents
rational/justification for approval to the PM
CM
Work directly with the User Groups on scope items and

project development issues. CM and PM negotiate the
magnitude of scope items the CM can and cannot commit
to during construction. PM and CM negotiate the level of
cost change issues, either additive or deductive that need
PM approval before the fact.
Reviews schedule for constructability. Monitors progress

against the schedule and keeps PM informed of deviations.
Recommends actions to get back on schedule and
maintains schedule
Coordinates efforts of EH&S for job site safety. Work with

EHS to review Safety Plan, enforces Safety Plan.
Schedules mock OSHA inspection with EHS.
Coordinates the construction effort of CIT
X
X
Coordinate arrival of CU purchased equipment. Arrange for

storage and transport to site as required and requested by
the PM. Responsible for inspection prior to turnover to
contractor. Responsible for installation contract if needed.
Tracking construction costs, telecommunication costs and

other costs that need to be tracked against budget costs
Responsible for controlling the use of contingency funds
Issue tickets to the shops and monitor progress. Track

ticket costs and keep PM informed. Highlight deviations
from budget estimates.
Supervise the coordination of administrative activities

related to the project (i.e. accounts payable, job cost, status
reports). CM to track reports as requested by PM.
Supervise and inspect field conditions and progress of work

against project schedule: coordinate and or act as liaison
among participants to resolve problems or conflicts
PC
Communicates with and coordinates day-to-day issues with

the customer contact person, e.g. moves, information
exchange, parking, traffic, EHS, police, fire department
alarm testing, crane schedules, inspections, COs and
TCOs
Run the owners weekly job meetings and write minutes.
CM
PC
X
Oversee purchasing for owner supplied equipment such as

Cage Wash and racks.
PM
X
Page 82
ACTION
Manage and direct the activities of the A/E consultants.

Review contract compliance and authorize payment
PM
CM
Coordinate and schedule Shops inspections
X
X
X
Coordinate parking issues, site layout, staging areas

Recommend scope or time increases during construction
X
X
Authority to make no cost/no time field related changes
X
X
Coordinate for A/E meetings or attendance

Responsible for Budget and cost compliance
Responsible for the coordination and recommendations for
independent lab testing
Review progress payments for approval and payment

Approve progress payments
PC
Empowered to give field direction changes to contractor

Responsible for monthly trustee report
CM
PC
X
Monitor quality of workmanship and materials with the

assistance of the Design Consultant and associated PDC
Shops to maintain high standards
Responsible for project construction documents

review/written response process
PM
X
X
X
Page 83
Sample Revised Par

This example of a Revised PAR is a request for additional money to cover an increase in the project's
scope of work.
PROJECT APPROVAL
REQUEST (PAR)
#
BUILDING Q
ELECTRIC SERVICE
CONSTRUCTION
PAR ID #
Project Team
Project Manager: (name)
PDC Shops Representative: (name)
Engineer-in-Charge: (name)
Utilities Representative: (name)
Questions or comments should be directed to the

Facilities Services Project Manager:
(name)
Revised (date)
Page 84
PROJECT APPROVAL REQUEST

==================================================================
This PAR requests an increase in the original authorized amount of $68K (date) to $95k for the
connection of the Office Q electric service to the Utility Departments 13.2kV electric distribution
system. This revised PAR will allow for an increase in electric distribution capacity and reliability to
accommodate a planned facility to be located near the new office building.
==================================================================
1.
Sponsoring Department: Utilities Department
2.
Purpose and Need: The purpose of this project is to add distribution equipment to an existing medium
voltage circuit to allow for the connection of cables to feed the new office building. The need to provide
service to the office building comes from the customers desire for low electric rates and a high level of
reliability.
3.
Scope of Work: The scope of work for this PAR includes the following:
4.
Install a three-way separable tap in manhole 112.
Increase cable capacity from 200 amps to 400 amps.
Increase duct capacity from two-way to three-way. This will allow for a loop circuit plus one spare
duct.
The 13.2kV loop circuit will be completed only when plans for future construction are finalized.
Major Alternatives Considered and Why Rejected:
5.
Have NYSEG provide the electric service to the new office building. This was rejected due to the
customer desire for lower electric rates and higher reliability.
Proposed Schedule: The proposed schedule for this phase is as follows:
Construction
Approval
Jun (year)
Begin
Jul (year)
Complete
Jan (year)
Page 85
6.
Project Budget: This PAR requests an increase in the original authorized amount of $68K (date) to $95k
for the connection of the Office Q electric service to the Utility Departments 13.2kV electric distribution
system. This revised PAR will allow for an increase in electric distribution capacity and reliability to
accommodate a planned facility to be located near the new office building. The proposed budget for this
PAR is as indicated below:
1.
2.
3.
4.
5.
6.
7.
7.
Category
Construction
Planning & Design Fees
Long-Lead Equipment
Project Support (Shops)
Project Management
CP Admin Fee
Project Contingency
TOTAL
$
$
$
Previously
Authorized
This Request
52,000 $
25,000
- $
- $
- $
5,000 $
2,000
3,000
8,000
68,000 $
27,000
To Date Budget
$
77,000
$
$
$
$
7,000
$
3,000
$
8,000
$
95,000
The project will be funded as follows:

Amount
Primary Account
Number funds will be
provided by
Funds provided by Unit / College
$95,000
Total project expenses ***see below
$95,000
Name
Contact person in unit for funding

issues/questions
(name)
Contact person to authorize transfer of

funds.
(name)
(account #)
Phone
NetID
***Total project expenses must equal the total project budget amount to date as listed on
this PAR.
8.
Change in Maintenance and Operating Costs: Maintenance and Operating costs will slightly increase
when the projects electric distribution equipment is turned over to Utilities.
9.
Mode of Accomplishment: (name) will serve as Project Manager of this project. Construction will be
performed by the PDC Electric Shop on a Time & Material (T&M) basis.
Page 86
10.
Municipal, State and Federal Discretionary Approvals: This project falls within the municipal jurisdiction
of the Town of Ithaca. There are no related discretionary issues and it is not subject to the State
Environmental Quality Review (SEQR) process.
11.
Potential Issues:
An outage to the (building name) will be required. A generator can be provided during the outage
time frame, if needed, to alleviate disruption to building occupants.
Page 87
12.
Submitted by:
Project Manager
Date
Manager
Electric Purchasing & Energy Distribution
Date
University Engineer
Date
Director
Date
Director
Date
Endorsed by:
Vice President
Facilities Services
Date
Vice President
Planning and Budget
Date
Executive Vice President

Finance and Administration
Date
(date)
Date Prepared
dm
Page 88
Construction Contingencies Exposures

Budgeted
Amount or
Exposure Category
Low
High
Subcontract(s)
Estimate
Estimate
Value
Regulatory/Variance Code We have

negotiated mitigations to gain the City
Building/Fire department support for the use of
flammable gases, flammable liquids in the
basement and high toxics in BUILDING H
$
600,000
$
750,000
$
-
Contractor Parking We will probably lose

the Hoy South lot.
50,000
Building Skin We expect to encounter

additional costs for integration with building
systems and field implementation issues.
750,000
1,250,000
12,403,845
PDC Shops Q/A Inspections Missing or

incorrect items are typically found during
inspection, especially in the mechanical,
electrical, and plumbing systems.
500,000
600,000
MEP Coordination & Commissioning The

coordination and commissioning process
uncover issues that need to be addressed
similar to the inspection process.
750,000
1,250,000
32,706,609
Furniture Purchase The budget is very tight

for this item.
500,000
1,000,000
2,000,000
Utility Costs During Construction

Contingency may be required to cover rising
costs.
500,000
750,000
1,050,000
NYSERDA The project financial plan includes

$440K of rebates that may not be fully realized
or the program could be eliminated.
220,000
440,000
440,000
Plant Science Tunnel - Addl underpinning,

interior stair change, custom elevator.
300,000
500,000
2,245,866
Space Customization Construction inflation

is eroding our ability to accommodate specific
faculty.
250,000
750,000
Fit-out Construction inflation is eroding our

ability to accommodate a longer schedule
and/or customization of labs.
800,000
1,000,000
4,231,110
$5,170,000
$ 8,340,000
$ 55,077,430
Current GMC Value
$104,235,108
Value of Work in Place
(25,000,000)
Balance To Be Accomplished
$79,235,108
Contingency on balance
Notes
$7,923,511
Page 89
GMC Systems
Description
Source/Phase

Foundations
Structure
Exterior Enclosure
Roofing
Interior Architectural Development
Specialties & Millwork
Furnishings, Fixtures and Equipment
Vertical Circulation
Plumbing
Fire Protection
HVAC
Electrical
Controls
Sitework and Utilities
FitOut
SubTotal GMC Cost of Work
Design/Estimating Contingency to 100% CDs
Escalation to Bid Date
$
-
C=A*B
E=(A+C)*D
$
-
Total GMC Cost of Work
GMC General Conditions

-
G (from GC
detail)
J=F*I
GL Insurance
L=F*K
Performance Bond
N=F*M
General Conditions Worksheet
H=G/F
Builders Risk
Total GMC General Conditions
P=O/F
GMC Internal Contingency
GMC Fee
Total GMC
$
$
$
$
O
R=(F+O)*Q
T=(F+O+R)*S
U=F+O+R+T
Page 90

Section
Description
Division 1
General Requirements
Division 2
Existing Conditions
Division 3
Concrete
Division 4
Masonry
Division 5
Metals
Division 6
Wood & Plastics
Division 7
Thermal & Moisture
Division 8
Openings
Division 9
Finishes
Division 10
Specialties
Division 11
Equipment
Division 12
Furnishings
Division 13
Special Construction
Division 14
Conveying Equipment
Division 21
Fire Suppression
Division 22
Plumbing
Division 23
HVAC
Division 25
Integrated Automation
Division 26
Electrical
Division 27
Communications
Division 28
Electronic Safety and Security
Division 31
Earthwork
Division 32
Exterior Improvements
Division 33
Utilities
Division 34
Transportation
Division 35
Waterway and Marine Construction
Division 40
Process Integration
Division 41
Division 42
Material Processing and Handling Equip.

Process Heating, Cooling & Drying
Equip.
Division 43
Process gas and Liquid handling Equip.
Division 44
Pollution Control Equipment
Division 45
Industry-Specific Mfgr. Equipment
Division 48
Electrical Power Generation

SubTotal GMC Cost of Work
Source/Phase
$
-
$
-
A
Page 91
Design/Estimating Contingency to
100% CDs
Escalation to Bid Date
Total GMC Cost of Work
$
-
C=A*B
$
-
E=(A+C)*D
F
GMC General Conditions

General Conditions Worksheet
$
-
G (from GC
detail)
Builders Risk
J=F*I
GL Insurance
L=F*K
Performance Bond
N=F*M
Total GMC General Conditions
P
=
O
/
F
$
-
GMC Internal Contingency
$
-
R=(F+O)*Q
GMC Fee
$
-
T=(F+O+R)*S
$
-
U=F+O+R+T
Total GMC
Page 92
GMC GCs
Description
Quantity
Unit
Unit Price
Total
On Site Staff
Project Executive
$
-
weeks
Reimbursables
Senior Project Manager
weeks
weeks
Reimbursables
Project Manager
weeks
weeks
Reimbursables
Superintendent
weeks
weeks
Reimbursables
Project Engineer
weeks
weeks
Reimbursables
Accountant/Cost Eng
weeks
weeks
Reimbursables
Project Safety Manager
weeks
weeks
Reimbursables
Administrative Assistant
weeks
weeks
Reimbursables
weeks
On Site Staff
SubTotal
$
-
Off Site Staff

Project Executive
$
-
weeks
Reimbursables
Project Scheduler Mngr
weeks
weeks
Reimbursables
Project Accountant
weeks
weeks
Reimbursables
Computer Support
weeks
weeks
Reimbursables
weeks
Off Site Staff
SubTotal
$
-
Page 93
Field Office Expenses

Extra Plan Copies
sets
Office Supplies
lump sum
Telephone, Data
month
Office Trailers
month
Trailer Utilities
month
Trailer Furniture & Equipment
lump sum
$
-
Field Office
Expenses SubTotal
$
-
Professional Expenses
Stormwater Plan
lump sum
Licensed Surveyor
lump sum
$
-
Temporary Utilities
Temporary Electric
lump sum
Temporary Water and

Sewer
lump sum
Temporary Heating
Equipment
lump sum
Fuel for Temporary

Heating
lump sum
Professional
Expenses SubTotal
$
-
Construction Site
Fire / Safety
lump sum
Winter Protection
lump sum
General Hoisting
lump sum
Portable Restrooms
month
Trash Removal
lump sum
Protect Trees to
Remain
lump sum
Pump Water
lump sum
Snow Removal
lump sum
Storage Trailer
month
Temporary Fencing
linear foot
Wash Glass
square foot
$
-
Page 94
Protect Floors
square foot
Final Cleaning
lump sum
Maintain Traffic / Street

Clean
lump sum
Trucking
lump sum
Construction Site
SubTotal
$
-
Total GMC General

Conditions
$
-
NOTES: Reimbursable expenses include transportation, lodging, meals for the individual listed.
List all other general conditions expenses as applicable.
Page 95
Sample Budget Sheet

$90 Million Dollar Project
GSF:
193,400
NSF/GSF
NSF:
113,410
58.64%
DESCRIPTION
$
90,000,000
$
-
Project
Budget
CONSTRUCTI0N
Building Construction
62,000,000
Site Work (Utl, Parking, etc)
2,900,000
Furnishings, Tele/Data & Equipment
2,400,000
Munincipal Approvals (Bldg permit, Site Plan,

SEQR)
485,000
Construction Contingency
6,730,000
Total Construction Budget
$74,515,000
PROFESSIONAL FEES
Design Fees
Environmental & Safety Consultants (EIS)
8,300,000
0.133871
1,560,000
Pre-construction Services
750,000
Professional Fees Contingency
475,000
Total Professional Fees
530,500.00
$11,085,000
0.148762
OTHER COSTS
Design Review & Project Supervision
Project, Enviro, Contract & Construction Mgmt
500,000
2,500,000
Commissioning & Q/A
500,000
General Expenses
500,000
Other Costs Contingency
400,000
4,000,000
$ 4,400,000
Total Other Costs
0.059049
CONTINGENCY
Construction
6,730,000
Professional Fees
475,000
Other Costs
400,000
Total Contingency
$ 7,605,000
0.0845
Page 96
PROJECT BUDGET SUMMARY
CONSTRUCTION
PROFESSIONAL FEES
74,515,000
11,085,000
OTHER COSTS
4,400,000
PROJECT TOTAL
$90,000,000
$'s/GSF
Bldg Cost
290
$ 56,086,073
300
$ 58,020,075
310
$ 59,954,078
320
$ 61,888,080
330
$ 63,822,083
340
$ 65,756,085
350
$ 67,690,088
360
$ 69,624,090
370
$ 71,558,093
380
$ 73,492,095
390
$ 75,426,098
Page 97
Sample Budget: Building Cost

Bldg GSF:
230,000
Bldg/Proj=70.9%
$'s/GSF
Bldg Cost
Proj Cost
290
$ 66,700,000
300
70.91%
94,058,354
53000000
69,000,000
97,301,745
290000
310
71,300,000
100,545,137
320
73,600,000
103,788,528
330
75,900,000
107,031,920
340
78,200,000
110,275,311
350
80,500,000
113,518,703
360
82,800,000
116,762,094
370
85,100,000
120,005,486
380
87,400,000
123,248,877
390
$ 89,700,000
O&M Item
Cost/GSF
Annualized Cost
Bldg Care
182.7586
Realistic
Target
126,492,269
BUILDING H O&M Model
1.50
345,000
Routine & Preventive Maint
1.50
345,000
Planned Maint @1.5% of

construction
4.95
1,138,500
7.50
$
15.45
1,725,000
$
3,553,500
Utilities
Page 98
Sample Budget : $110 Million
ITEM
#REF!
#REF!
DESCRIPTION
01.
CONSTRUCTI0N
Area GSF:
Area NSF:
Current
Budget
250,037
131,767
REMARKS
GMP
$
74,816,000
BUILDING H,
tunnel to
PlantSci and
landscape
Cost of Work (Trades-All)
64,000,000
54,400,000.00
GMP-GCs
$6,400,000
GC/CoW =
10.00%, incl
Bldr's Risk Ins
Contractor Contingency
1,600,000
Cntgcy='s 2.5%
CoW
GMP-Fee
2,816,000
Fee ='s 4% of
CoW+GC
01.0102
Athletics Compensation
Projects
2,000,000
01.0103
Asbestos
Removal/Monitoring
250,000
Asbestos Removal
175,000
Asbestos Monitoring
75,000
Municipal Approvals/Fees
474,400
01.0101
01.0900
01.1000
Building Permit
360,000
Initial fee +10%

for extend
beyond 3yrs
Municipal Services-Site
Plan Review
54,400
$1/K of CoW
EIS Review Consultant to

City
60,000
CEQR approval
facilitation
PDC/CIT Construction
Support
590,000
PDC Shops Construction

Support
70,000
74,816,000
299.22
Page 99
CIT Construction Support
20,000
Q/A, Commissioning, T&B

(PDC Shops)
500,000
Uncommited
Total Construction
02.
78,130,400
115.20
SITE WORK
ID Utilities & other civil
support
02.0100
UFPO/PDC Engr - Site Support
02.0200
Utility Operations
500,000
Utility costs until

occupancy
02.0300
CU Utilities Reloc & Ext
1,725,000
Stm, ChW & PotW - by CU

Utilities Dept
02.0400
NYSE&G Relocation
5,000
NYSEG, Bell Atlantic &

Time Warner
02.0500
Tel/TV/Computer Conduits
02.0600
Project Control
30,000
Detailed site surveys
02.0700
Landscaping
50,000
Tree protection &

relocation of donor trees
02.0800
Parking Tax - 2%
2,200,000
2% of project budget
$110M
02.0801
Replacement Parking
345,000
69 spaces @$5Kea
02.0900
Construction Site Preparation
02.1100
Misc Site Unfpreseen
25,000
Uncommited
$
4,880,000
Total Site Work

03.
FURNISHINGS
03.0100
New Furniture Purchase
$
2,000,000
03.0600
Moving Costs
100,000
03.0700
Telephone & Data
350,000
03.0900
Janitorial Svcs & Supplies
50,000
03.1100
Plaques & Signs
75,000
03.1400
AV Equipment
300,000
Uncommited
04.
04.0100
04.0100
Total Furnishings
$
2,875,000
PROFESSIONAL FEES
A/E Fee (RMP)
#REF!
Feasibility Study
#REF!
Page 100
04.0200
Schematic Design
#REF!
04.0300
Design Development
#REF!
04.0400
Construction Documents
#REF!
04.0500
Add'l Due To EIS
100,000
04.0600
Construction Administration
#REF!
04.0700
A/E Reimbursables
#REF!
04.0800
Utility Design
195,000
04.0900
Geotechnical Engineer
100,000
05.1500
CM Pre-Construction Fee/Direct
Payment
600,000
05.1600
CM Pre-Construction
Reimbursables
200,000
04.0800
Special Consultants
150,000
04.0800
EIS Consultant
120,000
04.1000
Environmental Engineer
600,000
04.1100
Existing Conditions-Survey
20,000
04.1200
Asbestos Design Services
25,000
04.1300
As-Built Drawings
37,506
Gryphon
Space Inventory dwgs

@ $0.15/gsf
Uncommited
05.
#REF!
OTHER COSTS
05.0100
PDC - Design
$
150,000
UA, Dir PDC & design

reviews
05.0200
PDC - Engr
200,000
UE & PDC design

reviews
05.0300
Contract/Financial Mgmt
100,000
05.0400
Proj Mgmt
825,000
5 yrs full time @$110/hr
825000
05.0400
Asst Proj Mgmt
414,000
5 yrs full time @$60K/yr
414000
05.0401
Proj Coord
412,500
5 yrs full time @$50/hr
412500
05.0402
Constr Mgmt
427,500
3 yrs full time @ $90/hr
427500
05.0402
Environmental Proj Mgmt
150,000
05.0500
Travel & Subsistence
150,000
05.0600
Reproduction & Printing

Page 101
25,000
05.0700
Photography
10,000
05.0800
Communications
10,000
05.0900
Publicity
30,000
05.1000
Testing Services
150,000
05.2000
Job Office Site
20,000
Uncommited
$
3,074,000
Total Other Costs

06.
CONCEPTUAL COSTS
06.0100
A/E Fees
$
38,000
06.0200
Other Costs
6,000
Preplanning Phase
$
44,000
Total Conceptual Costs

99.
Actual costs - ASTI

Space Assessment &
CONTINGENCY
Target %
99.01
Construction
$
7,813,040
10%
99.02
Site Work
488,000
10%
99.03
Furnishings
287,500
10%
99.04
Professional Fees
#REF!
2.50%
99.05
Other Costs
184,440
6%
99.06
Conceptual Costs
Completed
Total Contingency
#REF!
PROJECT BUDGET
SUMMARY
01.
CONSTRUCTION
$
78,130,400
02.
SITE WORK
4,880,000
03.
FURNISHINGS
2,875,000
04.
PROFESSIONAL FEES
#REF!
05.
OTHER COSTS
3,074,000
Page 102
06.
CONCEPTUAL COSTS
44,000
99.
CONTINGENCY
#REF!
PROJECT TOTAL
#REF!
#REF!
Page 103
Sample Budget: $154 vs. $140 Million

Area GSF:
Area NSF:
ITEM
DESCRIPTION
01.
01.0101
Cost of Work (Trades-All)
78,834,992
Asbestos Removal/Monitoring
02.
96,345,309
92,000,000
GMC @ $382
vs $371/GSF
REMARKS
3,500,000
2,000,000
250,000
250,000
175,000
175,000
Asbestos Monitoring
75,000
75,000
Municipal Approvals/Fees
BUILDING H, tunnel
to Building I and
landscape
75,440,000
Asbestos Removal
562,575
540,930
Building Permit
402,060
384,744
$6/K of adjusted CoW
Municipal Services-Site Plan Review
100,515
96,186
$1.50/K of adjusted
CoW
EIS Review Consultant to City
60,000
60,000
CEQR approval
facilitation
PDC/CIT Construction Support
590,000
1,090,000
Construction Support
70,000
70,000
Construction Support
20,000
20,000
Q/A, Commissioning, T&B
500,000
1,000,000
200,000
Construction Testing Services

Total Construction
ITEM
$140M Budget
01.0103
01.1100
$154M Budget
GMC
Athletics Compensation Projects
01.1000
247,978
130,189
CONSTRUCTI0N
01.0102
01.0900
251,057
132,135
DESCRIPTION
200,000
$ 101,447,884
$154M Budget
$140M Budget
Independent Testing
Agency
96,080,930
REMARKS
SITE WORK
02.0100
Engr - Site Support
$
25,000
$
25,000
ID Utilities & other civil

support
02.0200
Utility Operations
500,000
500,000
Utility costs until

occupancy
Page 104
02030.0
CU Utilities Reloc & Ext
500,000
2,000,000
Stm, ChW & PotW by CU Utilities Dept
02.0400
Non-CU Utl Relocation
5,000
5,000
NYSEG, various
company names
02.0500
Connection to HiVolt
50,000
50,000
02.0600
Project Control
30,000
Detailed site surveys

Tree protection &
relocation of donor
trees
02.0700
Landscaping
50,000
02.0700
Job Office Site
20,000
02.0801
Replacement Parking
414,000
414,000
Total Site Work
ITEM
03.
20,000
DESCRIPTION
1,594,000
$154M Budget
69 spaces @$6Kea or
reduce and pave
something
3,014,000
$140M Budget
REMARKS
FURNISHINGS FF&E
New Furniture Purchase
$
2,000,000
$
2,000,000
~$4K/person, expl
recyclers
03.0300
Growth Chambers Equipment
$
6,000,000
$
3,210,000
Growth Chambers &

other unique unshared
equip.
03.0400
Vivarium Equipment
$
2,050,000
$
1,100,000
Mouse racks
03.0600
Moving Costs
100,000
100,000
03.0700
Telephone & Data
750,000
750,000
Based on discussions
w/ CIT Engr
03.0800
Security System Equipment
350,000
350,000
Allowance based on
previous
03.0900
Janitorial Svcs & Supplies
50,000
50,000
Allowance based on
previous
03.1100
Plaques & Signs
75,000
75,000
Allowance based on
previous
03.1400
AV Equipment
500,000
500,000
Allowance, need
program and design
03.0100
Uncommited
Total Furnishings
ITEM
04.
DESCRIPTION
11,875,000
$154M Budget
8,135,000
$140M Budget
REMARKS
PROFESSIONAL FEES
04.0100
A/E Fee
17,325,000
14,226,019
04.0100
Feasibility Study
$
750,000
$
750,000
04.0200
Schematic thru Construction Admin
15,675,000
11,960,000
16.5% vs 13% of
GMC
Page 105
04.0300
Record Drawings
50,000
04.0400
Pre-guarantee Expiration Inspection
20,000
04.0500
Add'l Due To EIS
100,000
Excess Liability Insurance
446,019
3.73%
04.0700
A/E Reimbursables
900,000
900,000
04.0800
Utility Design
50,000
100,000
04.0900
Geotechnical Engineer
100,000
05.1500
CM Pre-Construction Fee/Direct
Payment
550,000
550,000
05.1600
CM Pre-Construction Reimbursables
250,000
04.0800
Special Consultants
150,000
150,000
04.0800
EIS Consultant to Faciltate Municipal

Approvals
120,000
04.1000
Environmental Engineer
600,000
400,000
EIS, wind tunnel,

chemical analysis
04.1100
Existing Conditions-Survey
20,000
20,000
Interface with existing

buildings
04.1200
Asbestos Design Services
25,000
25,000
05.0700
Photographer
10,000
10,000
Fly Overs, Visual

Simulations, etc.
Space Inventory &
Archiving dwgs @
$0.35/gsf
04.1300
In A/E Fee
37,659
86,792
ITEM
DESCRIPTION
$154M Budget
Per Agreement
Safety, LEEDs, etc.

By Proj Team
Archiving and Inventory Services
19,237,659
Stm, ChW & PotW by CU Utilities Dept
15,567,811
$140M Budget
REMARKS
05.
OTHER COSTS
05.0100
Project Executives
$
150,000
$
150,000
Dir PDC, UA
05.0200
Engr
600,000
400,000
UE, Proj Dir & PDC

design reviews
05.0300
Contract/Financial Mgmt
100,000
100,000
05.0400
Proj Mgmt
825,000
670,000
$'s ToDate, 2 yrs full

time, 2 yrs half time
@$x/hr
05.0400
Prgm Mgmt
414,000
414,000
5 yrs full time @DPE
05.0400
Asst Proj Mgmt
594,000
475,200
4 yrs full time @$x/yr
05.0401
Construction Admin Asst
412,500
68,112
2.5 yrs full time

@$x/hr
05.0402
Constr Mgmt
2.5 yrs full time

Page 106
855,000
427,500
@$x/hr
Technical Review and
Site Inspections
05.0402
Environmental Proj Mgmt
150,000
50,000
05.0500
Travel & Subsistence
200,000
150,000
05.0600
Reproduction & Printing
25,000
25,000
05.0700
Photography
10,000
10,000
05.0800
Communications
10,000
10,000
05.0900
Publicity
30,000
30,000
Total Other Costs
ITEM
06.
DESCRIPTION
4,375,500
$154M Budget
2,979,812
$140M Budget
CONCEPTUAL COSTS
REMARKS
Report
06.0100
A/E Fees
$
34,584
$
34,584
Actual costs - Space

Assessment &
06.0200
Other Costs
12,047
12,047
(company name)
$
46,631
Total Conceptual Costs
ITEM
99.
DESCRIPTION
$
46,631
$154M Budget
$140M Budget
REMARKS
CONTINGENCY
Target %
99.01
Construction
$
10,144,788
99.02
Site Work
159,400
301,400
10%
99.03
Furnishings
1,187,500
813,500
10%
99.04
Professional Fees
961,883
778,391
5.00%
99.05
Other Costs
262,530
178,789
6%
99.06
Conceptual Costs
Completed
Total Contingency
ITEM
DESCRIPTION
12,716,101
$154M Budget
$
9,608,093
10%
11,680,172
$140M Budget
REMARKS
PROJECT BUDGET SUMMARY

01.
CONSTRUCTION
$
101,447,884
$
96,080,930
02.
SITE WORK
1,594,000
3,014,000
03.
FURNISHINGS
Page 107
11,875,000
8,135,000
04.
PROFESSIONAL FEES
19,237,659
15,567,811
05.
OTHER COSTS
4,375,500
2,979,812
06.
CONCEPTUAL COSTS
46,631
46,631
99.
CONTINGENCY
12,716,101
11,680,172
PROJECT SubTOTAL
$ 151,292,775
$ 137,504,357
2% Parking Tax
3,025,855
2,750,087
PROJECT TOTAL
154,318,630
140,254,444
9.19% vs 9.29%
Page 108
Sample Project Plan

PROJECT PLAN
ROUTINE MAINTENANCE
COST STUDY
Project Team
Project Manager:
PDC Shops Representative:
Customer Representative:
IT Representative:
Facilities Customer Service Representative:
Questions or comments should be directed to the

Facilities Services Project Manager:
(name and phone)
(date)
Page 109
PROJECT PLAN
==================================================================
This Project Plan requests authorization for $75K to fund a Routine Maintenance Cost Study. Associated
PARs may be forthcoming, as the study is expected to provide recommendations requiring additional actions.
==================================================================
1. Sponsoring Department: Facilities Management
2. Purpose and Need:
The purpose of this project is to analyze and investigate routine maintenance cost data. This is needed to
guide planning efforts and assure cost effective maintenance is provided consistent with the University
mission and maintenance goals.
The Cornell University core endowed campus consists of approximately five million square feet of
classrooms, laboratories, offices, athletic facilities, recreation, and other specialty areas. In its mission to lead
excellence in education and research, the University facilities continuously evolve and age, with associated
changes in maintenance requirements. As a result, it has become increasingly difficult to forecast costs for
the routine maintenance portion of the maintenance budget. The maintenance allocation is budgeted in three
major categories: planned, routine (unplanned /breakdown), and preventive maintenance. Gross analysis of
these major budgetary components indicates the requirements for routine maintenance are growing at a
greater rate than the others. Routine Maintenance Costs have more than doubled over the last ten years,
going from approximately $1.5M to $3.5M annually. While it could be predicted that routine maintenance
spending would be up as a result of the aging physical plant and the growth in the planned maintenance
inventory, the exact correlation among these factors is unclear. Analysis of the maintenance costs data is
expected to provide useful guidance to correct the trend or verify appropriateness of the current maintenance
spending.
3. Scope of Work:
The scope of work for this Project Plan includes the following:
o Preliminary investigation of routine maintenance cost information and
development of data plots to establish and verify routine maintenance cost trends in
terms of maintenance categories, and building usage types. Both macro level
(campus) and micro level (building) investigations will be completed.
o Secondary investigation and analysis to suggest correlations between maintenance

costs and applicable building maintenance cost factors: building infrastructure,
building use/function, building system technology, building code, legal factors, as
well as, University policies and business practices.
o Responsive managerial initiative(s) to guide routine maintenance activities for
continued improvement.
o Review the efficacy of the routine maintenance work management process,
including work identified, work planning, work scheduling, work accomplishment,
documentation, analysis and performance.
4. Major Alternatives Considered and Why Rejected:
Page 110
Do nothing. This was rejected because unscheduled maintenance costs have increased
significantly in recent years and the investigation will provide necessary facilities
managerial information for continuous improvement.
Maintenance Management has considered funding a term position to achieve the goals of
this project but rejected the alternative; because, developing the expertise requires
extended time and a change of career path is likely to occur before significant results are
gleaned.
5. Proposed Schedule: The proposed schedule for the study phase is as follows:
Investigation Phase I
Approval
Begin
Complete
Feb 04
Feb
04
Jun 04
6. Project Budget: This Project Plan requests authorization for $75K to fund a Routine Maintenance Cost
Study. Associated PARs may be forthcoming, as the study is expected to provide recommendations requiring
additional actions. The proposed budget for this Project Plan is as indicated below:
Study Phase
Consultant Fees
$
Project Management
Contract Admin
Miscellaneous
Contingency
Total
$
7. The project will be funded as follows:
Primary Account
Number funds
will be provided
by
Funds provided by
Unit / College
Contact person in
department to
authorize transfer of
funds
Amount
$
8. Change in Maintenance and Operating Costs:

The study is intended to provide insight into causes for trends in increased routine maintenance costs. The
results will be used to identify initiatives that assure effective use of maintenance resources.
9. Mode of Accomplishment:
Page 111
X Inc. will investigate trends of increasing routine maintenance costs to provide data plots and analytic tools
for the project team. The project team will assist X Inc with gaining access to necessary information,
interpret investigation results, and identify productive initiatives.
10. Potential Issues:
The investigation will rely on data available through the job cost system. Skanska will be given access to
the maintenance cost data.
Outreach to other university databases and facilities information may be required.
Page 112
12. Submitted by:
Project Manager
Planning, Design, and Construction
Date
, Director
Date
Director
Date
Director
Planning, Design, and Construction
Date
Associate Vice President

Division of Facilities Services
Date
Vice President
Planning and Budget
Date
Vice President
Administration and CFO
Date
Endorsed by:
Date Prepared
Page 113
Sample Feasibility Study

Executive Summary
The department of x intends to augment its research capabilities at (name of building) by installing two
growth chambers in Room B74. Two used XYZ Company growth chambers have been purchased and
reassembled in the East wing of (name of building). The chambers are approximately 15 years old and
when completed, they will be made operational as part of the departments purchase agreement. To
complete the growth chamber installation, they must be connected to an electric power source, a heat
rejection system, and additional requirements may become evident during design development.
To develop this report Persopn A met with Person B (name of company.), Person C (PDC HVAC/R
Shop), and Person D (PDC Mechanical Design) to review the conditions at the site. We reviewed the
building conditions to establish options for heat rejection Appling a diversity factor to full time
operations, we estimated life cycle energy costs for each of the heat rejection options. Identifying
categorical scope elements, we applied gross cost estimating methods and contacted XYZ Company for
budget cost information to develop a potential range of construction costs.
Infrastructure costs will be sensitive to the design details, selected scope of construction work, and the
existing conditions. In this case, electric power is readily available for connection to the growth
chambers; however, water based heat rejection sources are not readily available. A source for chilled
water requires approximately 500 ft of piping; there is no cooling tower based condenser water loop in
the building. A domestic water source is readily available; however, it is not a feasible long term means
for heat rejection. Based on these observations and associated economic analysis, air cooled condensing
is the most economically feasible means of rejecting heat from the growth chambers. (See Table 1)
Reviewing the decision to purchase new or used equipment, we note economic considerations. Two used
chambers cost $73K; two new units of equivalent capacity cost approximately $260K. Accommodative
infrastructure is necessary for both new and used equipment, as (name of building) is not fully equipped
to support growth chamber operations, the cost to provide the infrastructure is expected to be in a range
of $100K to $160K. Therefore, capital costs for the new vs. used option are in the ranges of $360K to
$420K and $170K to $230K, respectively. Energy requirements are not appreciably different for new
and used equipment. The manufacturer representative indicates the technological advances employed in
the new chambers primarily reduce manufacturing costs. Long term maintenance costs will also be
similar for the used and new equipment; driven by reliability requirements, a comprehensive
maintenance program is recommended for both new and used equipment. Nonetheless, there is a risk
that maintenance costs will be initially higher for the used equipment, but the decision to purchase new
or used equipment is not sensitive to this difference. Therefore, we conclude the used equipment will
have minimum life cycle costs.
In conclusion, modifying the existing equipment to achieve heat rejection via air cooled condensers
results in minimum life cycle costs. To implement this option, new air cooled condensers will be located
on the roof immediately above the growth chambers. XYZ Company will adapt new heat rejection
systems to the existing growth chambers, and install the new equipment in coordination with local
trades. A structural design will also be necessary to place the condensers on the roof, assure structural
integrity, and coordinate the required utility connections. Project cost to provide the necessary
modifications and infrastructure is estimated to be in the range of $100K to $160K.
Page 114
(NAME OF BUILDING)
B74 ENVIRONMENTAL GROWTH CHAMBER
FEASIBILITY STUDY
TABLE OF CONTENTS
Page
Executive Summary
Background
Condition Evaluation of the Growth Chambers
Heat Rejection Options
Economic Analysis
Alternatives for Condenser Heat Rejection
New vs. Used Growth Chamber Purchase
Schedule and Mode of Accomplishment
Conclusion
Appendix A Life Cycle Cost of Differential Options
Option 1-Air cooled Condenser
Option 2 Cooling Tower Water Cooled Condenser
Option 3 Chilled Water Condenser Cooling
Option 4 Domestic Water Cooling
Option 5 Chilled Water Direct Cooling
Page 115
Background
The Department of X intends to augment its research capabilities at (name of building) by installing two
growth chambers and has purchased two used XYZ Company growth chambers. The growth
chambers have been reassembled at (name of building), but they must be connected to electric power
and a means for heat rejection. Electric power is readily available for
connection to the growth chambers; however, there are several heat rejection options having
significantly different first cost and life cycle costs.
The growth chambers have been situated in their present location since 2002 and the department is
anxious to put them into operation. The equipment had been purchased through a used equipment
broker; disassembly, storage, reassembly, and start-up services had been purchased with costs to date of
$73K. If purchased new, a budget estimate of the cost is $130K per chamber. The service provider is
contracted to return to the site to complete the work after utility connections have been
completed. In an effort to expedite placing the chambers into operation, Person B (name of company.),
provided a proposal to design a temporary domestic water system anticipating availability of chilled
water in the near future. Person B provided valuable input to establish the alternative options for long
term operations.
The original water-cooled heat rejection systems on the growth chambers had been connected to a
cooling tower condenser water system. A cooling tower is not available at the (name of building)
facility, so an alternate means for heat rejection is required.
There are several options for providing the necessary heat rejection systems, which have varying levels
of cost. (See Heat Rejection Options for a comprehensive explanation of the different system
characteristics and cost factors.)
Economic analysis indicates that modifying the existing equipment to achieve heat rejection via air
cooled condensers results in minimum life cycle costs, and the used equipment will also result in
minimum life cycle costs as opposed to purchasing new equipment.
Analysis indicates that completing the installation is feasible, and that converting the condensing portion
of the refrigeration system water cooled to air cooled will have minimum life cycle costs. Total project
costs associated with completing the installation are estimated to be in a range between $100K and
$160K.
Condition Evaluation of the Growth Chambers
The growth chambers are approximately 15 years old and appear to be in good condition capable of
providing precision control of environmental conditions for growing plants. A combination of Metal
Halide and High Pressure Sodium Lights are used to illuminate the chambers to what the manufacturer
describes as an optimal spectral blend. The level of lighting can be automatically varied with several
levels of lighting. Control is provided electronically by a programmable panel
that maintains the lighting level, temperature, humidity, and auxiliary functions such as automatic
watering and can be ramped or stepped up to 192 times per day.
The design temperature range is 4?C to 40? C with the lights off and 10?C to 40? C with the lights on. The
humidity control system is design to maintain 85%RH at 30C, by adding water via spray nozzle
humidification, but is not capable of active dehumidification. Temperature is controlled to within 0.5?C
and humidity is controlled to within 3%. The design ranges are generally considered to be the industry
standard for growth chambers.
Page 116
The X Departmentwill be using the chambers for plant growth experiments. The temperature range will
be from 10 C to 38 C as a min and max, with most experiments probably in the 24 to 28 range. The
humidity control will be in the 45 to 85 %RH range, with most experiments around 50-60%RH. These
conditions are all within the capabilities of the growth chambers being considered.
Reviewing the condition of the used equipment, the cabinet shells are solid and square, appearing to
have good insulation and panel seals. The doors open and close freely. There is some disarray, as most
of the ceiling panels have not been installed, and the interior of the units have not been cleaned. The
control cabinets remain in a standard condition and control wiring has been terminated at the I/O
devices. We understand the assembly contractor will be responsible for final testing of the control
components upon connecting the systems to the required utilities. Prior to disassembly, the units where
reported to be operational. Nonetheless, the equipment is used and increasing levels of maintenance will
be required to keep them operational. Spare parts from a third chamber may reduce the material costs;
however, labor associated with storing, handling, cataloging the spare parts will increase the operating
expenses.
The refrigeration systems will be critical elements in terms of system reliability. The system components
have been completely reassembled and the refrigerant piping is brazed together. As such, the
refrigeration systems have not been left open to the damaging affects of humidity and airborne dirt.
Upon placing the equipment into operation, the lighting and cooling systems will impart significant
loads on the electrical system, with associated cost. To provide close tolerance temperature control, the
refrigeration compressors will run continuously when the chambers are in operation contributing electric
load. The associated energy costs are expected to be in the range of $10K to $20K per year In terms of
sustained operability, XYZ Company remains in business providing standard replacement parts for the
systems and supporting versatile and reliable growth chamber operation. Additionally, the
campus contains many other XYZ Company chambers and there is a significant resource base for
maintenance, trouble shooting, and repair. As previously mentioned the refrigeration compressor run
continuously and periodic compressor replacement may be necessary. To assure reliable operations, a
preventive maintenance program is also outlined in the manufacturers operating instructions. It includes
daily system checks and periodic cleaning. Depending upon the reliability requirements and mode of
accomplishment, the maintenance costs could vary over a large ranger, but through an effective
maintenance strategy, they may be kept between $5K and $10K per year.
Heat Rejection Options
As previously noted, the purchased growth chambers require a heat rejection system. The existing
chambers were previously connected to a cooling tower rejection system. Cooling towers normally
complete the heat rejection system and recirculate bulk system water while a portion evaporates to reject
waste heat to the atmosphere. The associated cooling towers require ongoing maintenance to prevent
fouling from dissolved build-up from the make-up water. However, when combined to serve
a large quantity of individual units, they provide the most efficient refrigeration effect with the best
economy. In this case, the scale is not sufficiently large to support cooling tower operations.
Dry coolers are more commonly used where individual water cooled condensers units must reject heat
remotely and at a distance. They recirculate water mixed with antifreeze within a closed circuit having a
water-to-air finned heat exchanger and operate at relatively high temperatures, relying on sensible
Page 117
cooling. Spray systems can be incorporated to improve heat transfer with increased maintenance
requirements. They provide the advantage of rejecting heat remotely, trading off
lowered efficiency caused by higher operating temperature. In this case, we will not consider a dry
cooler because, heat rejection can be accomplished within a relatively short distance from the growth
chamber.
Air cooled condensing provides the most direct means of rejecting system heat. Refrigerant is
circulated directly through a remote air cooled heat exchanger. Sensible cooling requires relatively high
condensing temperatures, with lower operating efficiency and higher electrical energy costs for the
refrigeration compressor energy. Spray water systems can be added to improve efficiency, additional
maintenance and first cost requirements must be compared with base characteristics to
establish benefit. Relative to the base cooling tower case, the heat rejection costs are minimal and
include condenser fan energy and increased refrigeration compressor energy from reduced efficiency of
higher condensing temperatures. This is the most economically attractive option.
Chilled water condenser cooling is a form of cascaded cooling; the cooling medium is pumped to the
site at significant expense to except the heat of rejection from the local refrigeration system. The local
system contains a refrigeration compressor which operates at significant expense to refrigerate the
system. The cumulative costs of the two refrigeration systems are prohibitively expensive. Therefore the
option is not recommended for this application.
Domestic water condensing is cost prohibitive and wasteful of potable water resources. Termed once
through cooling, this method of condenser cooling results in utility cost to cover the potable water
treatment and transportation, as well as, the sanitary waste treatment costs. This method typically
provides emergency backup of cooling tower operations or for interim operations while a normal source
is being planned and implemented.
Direct Chilled Water Cooling is a feasible option that replaces the local refrigeration circuit entirely.
Implementing this option requires replacement of the refrigerated cooling coil in the growth chamber
with a new chilled water coil. Control system retrofit for the chamber temperature is also necessary.
These changes have significant expense and also have a significant impact on operational performance.
The cooling coil dewpoint temperature is limited by the chilled water supply
temperature, which also limits the ability to operate at lower temperatures and limits the ability to
control humidity. Frequently, these limits do not impact usefulness for research involving plant growth.
Economic Analysis
Alternatives for Condenser Heat Rejection
To provide an economic analysis of the alternatives for heat rejection at the condenser, we assume each
of the options has a similar level of cost for compressor energy consumption, maintenance, and
operation of the refrigeration systems, and develop differential analysis of the available heat rejection
media. The analysis indicates that conversion to air cooled condensers will result in minimum life cycle
costs. Net present values of five options including first cost and annual differential cost over a 20 year
analysis period are presented in the following table.
Page 118
Local Refrigeration Compressor

Air cooled
Tower Water
Chilled
Domestic
Direct Chilled
condenser
Cooled
Water
Water Cooled
Water Growth
Condenser
Cooled
Condenser
Chamber
Condenser
Cooling
First Cost
90,000
$120,000
$90,000
$50,000
$93,500
Annual
Condenser
Heat Rejection
Cost
$657
$6,728
$35,040
$37,142
$28,032
NPV of Life
Cycle
Operating Cost
$ $64,000
$81,000
$290,000
$306,000
$216,000
NPV of Total
Life Cycle
Costs
154,000
$201,000
$380,000
$356,000
$310,000
Table 1
Please note the analysis does not include the energy costs associated with lighting, humidifying, and
heating the chamber. Those costs may be higher by a factor closely related to the Energy Efficiency
Ratio of the refrigeration system. This analysis is intended to inform a decision regarding the most
economical means of rejecting chamber heat associated with the application described in this report.
New vs. Used Growth Chamber Purchase
Comparing life cycle costs of purchasing new or used equipment, the energy requirements to operate
new or used chambers are similar. The manufacturer indicates that the technology advances employed in
the new chambers primarily reduce manufacturing costs and have little if any impact on energy
consumption. For example, new lighting ballasts tend to be lighter in terms of weight of the materials
used to make them, as higher starting voltage can be generated with electronic components, but the
energy required to operate the lights is lower.
Growth Chamber with Air cooled condenser
Used
New
First Cost
$148,000
$380,000
Annual Condenser Heat Rejection Cost
$657
$657
NPV of Life Cycle Heat Rejection Costs
$64,000
$64,000
Annual differential Maintenance Cost $
28,000
$0
NPV of Annual Differential

Maintenance Costs
$216,000
$0
Annual Differential Chamber Energy
$0
$0
Page 119
Costs
NPV of Annual Differential Chamber
Energy Costs
$0
$0
NPV of Total Life Cycle Costs
$428,000
$444,000
Table 2
The refrigeration system components have changed slightly, however, the main characteristic in term of
energy consumption has not changed; the refrigeration compressor runs continuously during operation.
As the system is used and the refrigeration system had been disassembled there is some risk of an early
failure which would cost approximately $10K to replace; failure usually results in acid byproducts in the
refrigeration circuit that must be removed. However, both the new and used systems require periodic
maintenance to assure early detection of refrigeration leaks, failed components, and clean heat transfer
surfaces. Here we would note that the used equipment first costs are significantly lower than new
equipment and a decision for used equipment purchase is not sensitive to maintenance costs. In this case
annual differential maintenance cost would have to be in excess of $28K to trigger a decision to buy new
equipment. See Table 2.
Schedule and Mode of Accomplishment
As the anticipated costs exceed $50K, the project will require authorization as a capital project through
the PAR system for design and construction. The feasibility study report will form the basis of a Design
and Construction PAR. Gaining authorization for design and construction will enable pre-purchase of
the condensing units which have a 60 to 90 day lead time.
Upon receiving PAR approval, design services will begin in order to occur in parallel with equipment
pre-purchase. The design documents will define the construction work for a fixed price estimate by PDC
shops.
After receiving a fixed price estimate within the construction budget, a 2 month construction period is
anticipated. Based on this approach, the project can be completed in approximately 6 months after
receiving departmental approval to proceed. This approach will also allow for an abbreviated design
effort with associate reduction in time requirements and costs. To validate the fixed price cost estimate,
we also recommend a parallel estimate; this will add approximately $2K to the project costs.
Alternatively, construction documents can be developed for a competitive bid. These documents would
have to be developed to a higher level of detail with specifications and general requirements for a
contract. The additional design and associated bid periods will add approximately 3 months to the
completion schedule.
Conclusion
In conclusion, providing a mean to reject the heat generated in the growth chambers presents the most
challenging obstacle to placing the growth chambers into operation. Several options were considered for
meeting the most challenging component of the project. On the basis of minimum life cycle costs, air
cooled condensing is a clear choice. Although this choice does not have the lowest first costs, the lowest
first cost alternative, domestic water cooling, has high water and sewerage utility costs and is not a
viable long term option. The other options have significantly higher costs than the air cooled option.
Page 120
To implement this option, new air cooled condensers will be located on the roof immediately above the
growth chambers. XYZ Company will provide proprietary engineered components for installation by
union tradesmen. A structural design will also be necessary to place the condensers on the roof, assure
structural integrity, and coordinate the required roof penetrations.
A new water supply and drainage system will also be provided for humidification and watering. The
refrigeration systems will contain sufficient refrigerant to require leak detection and alarm. At this early
stage, we also anticipate additional scope may be required to accommodate design details not considered
at this early stage, feasibility.
Total project costs associated with completing the installation, are estimated to be in a range between
$100K and $160K as indicated in the budget presented below. Additional breakdown of the anticipated
costs are presented in the appendices.
Budget
Construction
Planning and Design
FFE
Project Support
Transportation
Project Management
Contingency
Total
Range
$75,000
8,000
0
2,000
0
10,000
5,000
$100,000
$120,000
10,000
3,000
15,000
12,000
$160,000
Table 3
Page 121
APPENDIX A LIFE CYCLE COST OF DIFFERENTIAL OPTIONS

Option 1-Air cooled Condenser
Construction Costs
low
NPV
high
General Conditions
$5,000
$6,000
GC Roof penetrations and

stuctural dunnage
5,000
10,000
Mechanical
2,000
5,000
Electrical
20,000
25,000
Plumbing
10,000
20,000
Refrigerant
Monitoring
3,000
5,000
Refrigeration
8,000
12,000
Condensing unit
22,000
22,000
15,000
Refrigeration
Design Development
Allowance
$75,000
Used Equipment Purchase
$75,000
$120,000
73,000
Net Present Value of Life Cycle
Compressor Energy Costs(eer=5)
Annual Air cooled condenser hear rejection cost

Energy Consumption (electrical)
Cooling Capacity (tons)
Diversity
delta Temp (air)
condenser fan horse power
annual hours of operation
electric use rate (kw)
annual useage (kwh)
electric billing rate ($.10/kwh)
annual air cooled condenser heat rejection cost
Refrigeration Compressor (Air Cooled)
Rated Amps
Voltage
Phase factor
KVA
EER @ Tc=115
full load heat rejection(tons)
full load refrigeration capacity (tons)
diversity
Annual hours of operation
Annual compressor energy consumption (kwh)
Electric power billing rate ($/kwh)
Annual compressor energy cost ($)
discount rate
40
0.50
10
1
8,760
1
6,570
$0.10
$657.00
Net Present value
58,979
$5,073
$212,052
21
480
1.73
17
5
25
20
50%
8760
76,380
$0.10
7,638
0.05
Page 122
Net Present Value of Life Cycle Compressor Energy Costs(eer=5) 58,979
Option 2 Cooling Tower Water Cooled Condenser

NPV
General Conditions
Mechanical
Electrical
Plumbing
Domestic water & sanitary connection
Roof
Cooling Tower Package
Design Development Allowance
$5,000.00
16,000
23,000
26,000
15,000
20,000
15,000
$120,000.00
$120,000
$29,489
Net Present Value of Life Cycle Compressor Energy Costs(eer=10)

Energy Consumption (condenser water)
Diversity
delta Temp
average flow rate (gpm)
annual evaporation rate (gal)
blowdown
domestic water billing rate ($/gal)
sanitary waste billing rate
fan energy
water treatment
annual domestic water cost
annual sanitary waste cost
40
0.50
8
72
8,760
33,692
67,385
$0.0032
$0.0040
1,000
5,000
323
404
$6,727.75
Net Present Value
Refrigeration Compressor (Chilled Water Cooled Condenser)

Rated Amps
Voltage
Phase factor
KVA
EER @ Tc=115
EER @ Tc=85
diversity
discount rate
$51,950
$201,439
21
480
1.73
17
5
10
25
20
50%
8760
38,190
$0.10
3,819
0.05
29,489
Page 123
Option 3 Chilled Water Condenser Cooling

NPV
General Conditions
Mechanical
Electrical
Plumbing
Domestic water & sanitary connection
Isolation heat exchanger package
2" Chilled water line 500 ft.
$2,500
2,000
14,000
16,500
20,000
20,000
15,000
90,000

Energy Consumption (chilled water)
Diversity
delta Temp
annual flow rate 10,
annual useage (ton hours)
chilled water billing rate ($/ton hour)
annual chilled water heat rejection cost
40
50%
24
20
8,760
512,000
175200
$0.20
$35,040
Net Present Value
Refrigeration Compressor (Chilled Water Cooled Condenser)

Rated Amps
Voltage
Phase factor
KVA
EER @ Tc=115
EER @ Tc=70
diversity
discount rate
$90,000
19,660
270,570
$380,229
21
480
1.73
17
5
15
25
20
50%
8760
25,460
$0.10
2,546
0.05
19,660
Page 124
Option 4 Domestic Water Cooling

Option 4 - Domestic Water Cooling
General Conditions $
Mechanical
Electrical
Plumbing
NPV
2,500
2,000
14,000
16,500
15,000
50,000
Energy Consumption (domestic water)
Diversity
delta Temp
annual flow rate
domestic water billing rate ($/gal)
Sewer water billing rate ($/gal)
annual domestic water cost
annual sanitary waste cost
annual domestic water heat rejection cost
$50,000
19,660
40
0.50
48
10
8,760
5,256,000
$0.0031
0.004
$16,118
$21,024
$37,142.40
286,804
Net Present Value $356,463
Page 125
Option 5 Chilled Water Direct Cooling
Option 5 - Chilled Water Direct Cooling

General Conditions
Mechanical
Electrical
Plumbing
Control Modifications
Evap Coil
2" Chilled water line 500 ft.
Design Development Annalysis
NPV
$2,500
2,000
14,000
15,000
25,000
20,000
15,000
93,500
Net present value of compressor energy costs

Energy Consumption (chilled water)
40
Diversity
0.50
delta Temp
12
40
8,760
annual flow rate
21,024,000
annual useage (ton hours)
140160
chilled water billing rate ($/ton hour)
$0.20
annual chilled water heat rejection cost
$28,032
216,456
Net Present Value
$309,956
$93,500
0
Page 126
Sample SD VE
Value Engineering Ideas by
Discipline
Cost Impact
Comments
Yes
Maybe
No
Mechanical
1
Heat Recovery Options
Eliminate 2 speeds
from Recirc clean room
50% fixed sash @31

fume hoods
Eliminate 3rd floor

specialty labs Scrubber
4a
Downsize scrubber
View current AHU #4 Eliminate Fan Coil
Reduce Floor Ht at 16'

floors and raise
penthouse
Acid Nuetralization
systems -Eliminate
(30,000)
(30,000)
Eliminate all
humidifyers for clean
room
(20,000)
(20,000)
Eliminate lab
humidifyers in
penthouse
(50,000)
(50,000)
10
Unify humidification /
dehudificate to 42%
(65,000)
(65,000)
11
Central HVAC in
Penthouse
(20,000)
12
Delete 18 meg ohm

system
13
PVC Pipe for DI water
14
Galvanized steel
ductwork for solvent
exhaust
14a
Consolidate all solvent

exhaust
(20,000)
add CNF to lab
15
Revise non-potable
water system
(21,000)
at lab sinks
(21,000)
16
Delete natural gas to
(21,000)
Utility corridor
(21,000)
(60,000)
Analyze in DD
(60,000)
(150,000)
Analyze in DD
(150,000)
(31,000)
(31,000)
(245,000)
(245,000)
ENSR advise, $
TBD
(10,000)
(200,000)
(360,000)
(10,000)
Verify
archit/struct/ME
P impact
Reduce # of
AHU
Reduce
distribution, final
polish
(200,000)
(20,000)
(360,000)
(32,000)
(32,000)
(100,000)
(100,000)
(20,000)
Page 127

Discipline
Cost Impact
labs
17
Delete nitrogen to labs
18
Delete vacuum
sys/install exhaust
system
19
Reduce Utl
compressed air
20
Reuse Company E
AHU/Combine non lab
AHUs
SubTotal
Comments
Yes
Maybe
No
distribution only
(5,000)
Utility corridor
distribution only
(5,000)
(100,000)
explore
requirements
(100,000)
(20,000)
explore
requirements
(20,000)
$ (1,560,000)
SubTotal
SubTotal w/
20% Markup
(979,000)
$
(350,000)
$
(231,000)
(1,174,800)
(420,000)
(277,200)
$ (1,174,800)
$
(147,000)
20%
Markup
(1,872,000)
60%
Realized
$ (1,123,200)
VFD Change
Locate generator in
basement
Downsize generator look at optional

standby
Relax CU spare
capacity standard generator
(5,000)
Lighting package
reduction to $6/sqft
(131,000)
Review quantity of
power outlets
(12,500)
(12,500)
6a
Reduce raceway
standards
(13,000)
(13,000)
Rough in changes
(25,000)
(25,000)
delete Central Clock

sys
(31,000)
(31,000)
TeleData
10
Delete Video/Confr
(18,000)
Not construction
budget
(18,000)
11
Delete Paging Sys
(16,000)
Not construction
(16,000)
Realize 100%
Yes, 35% Maybe
Electrical
(24,000)
(40,000)
(24,000)
verify storage of
fuel
(140,000)
(40,000)
(140,000)
(5,000)
consider fewest
# of fixtures
Adjust to 500
drops
(131,000)
Page 128

Discipline
Cost Impact
Comments
Yes
Maybe
No
budget
12
Lightning Protection
system
SubTotal
(65,000)
$
(65,000)
(520,500)
SubTotal
(624,600)
SubTotal w/
20% Markup
Realize 100%
Yes, 35% Maybe
20%
Markup
60%
Realized
(374,760)
Reduce vibration at 3rd

floor
(50,000)
Relocated tunnel, infill

basement, move
elevator
(386,500)
$
(129,000)
$
(5,000)
(463,800)
(154,800)
(6,000)
(463,800)
$
(54,180)
$
(100,000)
(120,000)
$
(42,000)
Structural
SubTotal
20%
Markup
50%
Realized
(50,000)
$
(50,000)
Verify sheilding
(100,000)
SubTotal
(120,000)
SubTotal w/
20% Markup
(60,000)
(120,000)
Realize 100%
Yes, 35% Maybe
(50,000)
$
Architectural
1
Adjust slate flooring

pricing to thin set
Reduce stone walls in

atrium
(200,000)
2a
Add 40 fire shutters @

Atrium
80,000
80,000
Reduce railings in
atrium
(30,000)
(30,000)
Reduce stone on
exterior
(50,000)
Another freight
elevator scheme
(50,000)
(50,000)
Review casework
allowance
(100,000)
(100,000)
Delete Natural gas
Barrell vault roof

(120,000)
Revise materials
(200,000)
(50,000)
in Mechanical
(50,000)
(50,000)
Page 129

Discipline
Cost Impact
Comments
Yes
Cleanroom Wall
system
(50,000)
9a
Revise perimeter walls

of cleanroom
(50,000)
(50,000)
9b
Reduce ClnRm ceiling

system
(70,000)
(70,000)
10
Reduce sound
treatment at atrium
(50,000)
(50,000)
11
Reduce carpet
allowance to $25/sqyd
(20,000)
(20,000)
12
Eliminate cleanroom
casework
13
Eliminate Elevator or
Stair
(45,000)
(45,000)
14
Reduce Curtainwall
(50,000)
(50,000)
15
Eliminate fritted glass
(20,000)
16
Terrace deck material

change 80/20
crete/stone
(150,000)
17
Delete Window
washing equipment
(25,000)
(25,000)
18
Cleanroom floor
system
(45,000)
(45,000)
19
Interior Signage
(40,000)
(40,000)
20
Gas cabinets to fit out
(220,000)
(220,000)
SubTotal
20%
Markup
50%
Realized
$ (1,355,000)
(1,626,000)
(813,000)
Verify rated
assembly needs
Maybe
No
(50,000)
TBD
Increases HVAC
(20,000)
(150,000)
SubTotal
(895,000)
$
(340,000)
$
(120,000)
(1,074,000)
(408,000)
(144,000)
$ (1,074,000)
$
(142,800)
SubTotal w/
20% Markup
Realize 100%
Yes, 35% Maybe
Contract/Purchasing Strategy
Adjust
Escalation/Acceleratio
n Assumptions
Early Procurement
Open Spec
SubTotal
(300,000)
(300,000)
TBD
Big $ items
(300,000)
TBD
SubTotal
Page 130

Discipline
Cost Impact
Comments
Yes
Maybe
No
(300,000)
(360,000)
SubTotal w/
20% Markup
(360,000)
Realize 100%
Yes, 35% Maybe
20%
Markup
100%
Realized
Total Projected value

of VE Ideas
$ (2,730,960)
$ (2,712,600)
(350,000)
(350,000)
(360,000)
$
(126,000)
$
(511,980)
$
-
Function/Program Options
1
Office Support
adjustment by Users
Adjust Program - swap

space types
Reduce Dry Lab

covertiblity
Reduce Cleanroom;
Accommodate all
characterization,
Teaching Lab & CNF
Admin
TBD
Reduce Cleanroom
Class to 10,000
TBD
No High Toxic Lab

capability
Change module size

from 11' to 10'-6"
Variable, but
insufficient
(250,000)
(250,000)
(665,100)
Shorten bldg by
8'
(665,100)
Trim 1 module slice
(1,490,320)
Shorten bldg by
10'6"'
(1,490,320
)
Trim 2 module slice
(2,981,200)
Shorten bldg by
21'
(2,981,200
)
10
Move Colloquium to
Bldg footprint
(250,000)
Reduces other
program
(250,000)
SubTotal
20%
SubTotal w/
20% Markup
Markup
Total Projected
value of
Function/Progra
Realize 100%
Yes & Maybe
(350,000)
$
(2,405,420
)
$
(3,231,200
)
(420,000)
(2,886,504
)
(3,877,440
)
(420,000)
$
(2,886,504
$
Page 131

Discipline
Cost Impact
Comments
Yes
m Ideas
Maybe
No
)
Building
Atrium
Name W
64
70
72
90
4608
6300
73.14%
12
30
22
30
264
900
5.73%
14.29%
4344
5400
80.44%
Building
Building Name
Name W
80
70
72
90
5760
6300
91.43%
Building
Building Y
Name W
30
70
194
90
5820
6300
92.38%
Building
Total Atrium
16188
Name W
6300
256.95%
Page 132
Sample SD Cost Strategy

Building
Company A
Company B
Project Elements
Estimate
Estimate
New Bldg.
31,390,718
32,623,000
Delta
$ (1,232,282)
Atrium Addition and

Modifications
5,995,745
6,530,000
(534,255)
B Hall
2,044,009
1,077,000
967,009
Sitework
2,639,180
2,607,000
32,180
Total
42,069,652
42,837,000
Buidling
Company A
Company C
Project Elements
Estimate
Estimate
Landscape (Carried
Above)
953,000
$
(767,348
)
Delta
$
(347,000
)
1,300,000
Gross Area
Type of Space
Budget
Estimate
Delta
Mechanical Rooms
22,500
46,934
24,434
Service, Misc.
13,120
12516
(604)
1st Floor Clean Room **
36,600
27301
(9,299)
2nd Floor Lab Space
30,000
26954
(3,046)
3rd Floor Lab Space
28,640
27589
(1,051)
Atrium
18,940
22142
3,202
Total Project GSF
149,800
163,436
Project Budget/SD Estimate
37,000,000
42,069,652
Cost/GSF
247.00
257.41
Cost/GSF x GSF Delta
(3,368,037)
13,636
$
5,069,652
(3,510,009)
Page 133
How to get to 37 million?
Goals
I.
Reconcile A/BDifferences
II.
Reconcile A/C Differences
III.
Value Engineering
Yes
Mechanical
Electrical
Architectural
Maybe
1,174,800
147,000
463,800
54,180
1,074,000
142,800
Structural
42,000
Contract/Purchasing
126,000
$
2,712,600
SubTotal VE
$
511,980
Continued
IV.
Yes
Functional/Program Changes
Reconfirm program
Maybe
420,000
Quantity/function of lab
300,000
SqFt reduction
2,586,504
Redesign
Reduce Quality
Not Explored Beyond VE

$
420,000
Yes
Net Total Cost Reductions
V.
3,132,600
2,886,504
Maybe
3,398,484
Risk Items
Rock
Vibration
Shoring/Underpinning
Code Issues
Company E In Operation
Off peak work
vibration, sound
Const. Freight
elevator, travel
Temp Eclosure on west
elevation
I.E.S. study
Wind Tunnel results
Environmental
Casework in cleanroom
Verify storage for

events
Study Redundancy
EIS Study
Gas Detection
Page 134
Sample Design Development Value Engineering
Compnay A
Building X
VALUE ENGINEERING/COST ADJUSTMENTS
Cornell University June 21, 2000
NO
DATE
DESCRIPTION
AMOUNT
ACTION
COMMENTS
Foundations
1.01
6/12/2000
Delete stainless steel

rebar at characterization.
(10,000)
Pending
1.02
6/12/2000
Revise rock unit pricing.
226,000
Approved
1.03
6/12/2000
Revise bank shoring unit

pricing/quantity, look at
alternate wall forming
methods (in at $36/sf).
(21,000)
Approved
1.04
6/12/2000
included with 1.06
1.05
6/12/2000
Raise basement floor

elevation 1' in mechanical
room and 2' in electrical
room
(72,000)
Approved
1.06
6/12/2000
Revise Caisson per new

sizing.
(25,000)
Approved
Need EMI
consultant
N/A
Floor and Roof Structures

3.01
6/12/2000
Change concrete frame

unit prices.
Pending
3.02
6/12/2000
Delete fireproofing at
penthouse roof framing.
3.03
6/12/2000
Change roof framing from

15# to 10# per sf.
(85,000)
Approved
3.04
6/12/2000
Reduce concrete frame

heating.
(33,000)
Approved
N/A
included in
revised design
and estimate
Per John H.
Enclosure
4.01
6/12/2000
Revise composite metal

panels from gasketed
system to wet seal.
(80,000)
Rejected
4.02
6/12/2000
Lower atrium curtain wall

elevation heights 5'-0" +/-.
Eliminate/minimize
clerestory windows at
Building Y terrace (reduce
by 5'-0" +/-)
(75,000)
Pending
ABC to review
design
implications
4.04
6/12/2000
Delete storefront on north

side of Building Y; existing
to remain
(18,000)
Rejected
Bob thinks we
are light in the
estimate
Page 135
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
ACTION
COMMENTS
Roofing and Waterproofing

5.01
6/12/2000
Eliminate rectangular
skylights at Atrium.
(16,000)
Rejected
5.02
6/12/2000
Eliminate skylight at
Atrium stair
(7,500)
Rejected
5.03
6/12/2000
Weathered Terne Coated

Steel to painted metal on
barrel vault roof.
(88,000)
Rejected
Cannot be
taken with
5.03a
5.03a
6/12/2000
Terne Coated Steel to

Sarnafil profile
(105,000)
Rejected
Cannot be
taken with 5.03
Cannot be
taken with
17.17
Interior Partitions
6.01
6/12/2000
Reduce cleanroom ceiling

height to 9'. (from 10')
(18,000)
Approved
6.02
6/12/2000
Use hollow metal frames

in lieu of aluminum.
(40,000)
Approved
6.03
6/12/2000
Change all interior doors

from 9'-0" to 8'-0".
(4,500)
Rejected
6.03a
6/12/2000
Change all interior doors

from 8' to 7'
(4,500)
Rejected
6.04
6/12/2000
Review extent of
sidelights/transoms at
interior doors.
6.05
6/12/2000
Change interior doors

from solid core maple
finish to more economical
species - based on 3x9'
doors
(10,000)
Rejected
Possible Bid
Alternate
6.05a
6/12/2000
Change interior woodwork

from maple to more
economical species
(20,000)
Rejected
Possible Bid
Alternate
N/A
Page 136
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
ACTION
6.06
6/12/2000
Eliminate roll down fire

shutters and glass
guardrails at all openings
(1st, 2nd, 3rd floors).
Replace with
tempered/laminated glass
windows in gasketed
frames with minimum two
deluge sprinklers per
opening (to maintain 2
hour separation required
by New York State
Building Code.) include
bridge connections in this
change
(6,000)
6.07
6/12/2000
Included in 6.06
6.08
6/12/2000
Reduce number of doors

in clean room or change
size or type.
(8,000)
Approved
6.09
6/12/2000
Replace automatic sliding

doors in clean room with
single swinging doors.
(19,000)
Approved
6.10
6/12/2000
Reduce size of doors

upstairs to serv. Corridorwidth double doors to
single doors.
(11,000)
Approved
6.11
6/12/2000
Replace ZB walls with Z
(39,000)
Approved
6.11a
6/13/2000
Replace some clean room

walls with standard stud
walls for "fixed" rooms
(11,000)
Rejected
6.12
6/12/2000
Revise F13 Partition @

clean room to Epoxy finish
(30,000)
Approved
Pending
COMMENTS
1450 sqft of
acoustical
treatment
needed.
N/A
research finish
hardware count
on these leaves
Floor, Wall and Ceiling Finishes

7.01
6/12/2000
Change slate paving to

slate tile, thin set
application. (Investigate
fixed tile sizes, pattern
options, and domestic
stone supplier.)
N/A
included in
revised design
& estimate
Page 137
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
ACTION
COMMENTS
7.02
6/12/2000
Change stone tile to

patterned stained
concrete for Atrium floor.
(75,000)
Rejected
7.03
6/12/2000
Change stone tile walls to

painted gyp. Board.
(29,000)
Rejected
7.04
6/12/2000
At Atrium ceiling, revise

ceiling design to utilize
suspended T-bar/perf.
Metal lay-in panel
construction with
acoustical material
behind.
(27,000)
Rejected
7.05
6/12/2000
Revise Atrium ceiling to

use Tectum type
acoustical panel instead
of perf. Metal.
(41,000)
Rejected
7.06
6/12/2000
Eliminate acoustical fabric

wrapped paneling
Compare
performance/cost to glue
down fabric installation
(37,000)
Rejected
7.07
6/12/2000
Revise carpet cost from

$35/yd to $28/yd. Verify
carpet as direct glue
installation, no pad.
(Cannot be taken with
7.08)
(13,000)
Approved
7.08
6/12/2000
Investigate using polyolefin type carpet and

reducing carpet cost to
$15-$20/yd.) (Cannot be
taken with 7.07)
N/A
see 7.07
7.09
6/12/2000
Revise cleanroom
materials
N/A
see 6.11 and

6.12
7.10
6/12/2000
Revise cleanroom layout
7.11
6/12/2000
Remove ceiling grid over

service area in clean room
N/A
included with
7.13
7.12
6/12/2000
Change floor in mos

service area (end of clean
room) to vct controls?
N/A
included with
7.13
7.13
6/12/2000
Reduce ceiling grid at

clean room - eliminate
furnace back area - use
(240,000)
(18,000)
Potential to reprice slate tile in

lieu of stamped
concrete
Rejected
Approved
Page 138
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
ACTION
COMMENTS
VCT in lieu of static

flooring
Function Equipment and Specialties

8.01
6/12/2000
Eliminate all racks, etc. in

chem storage area.
Owner will fit out as
needed.
(52,850)
Approved
8.02
6/12/2000
Replace walk-in hoods in

chem waste area with
snorkels.
(37,000)
Approved
8.03
6/12/2000
Reduce/eliminate
overhead service carriers.
N/A
with 8.05
8.04
6/12/2000
Reduce out fitting of toxic

gas labs until occupants
better known.
N/A
with 8.05
8.05
6/12/2000
Eliminate some lab

specialties items.
Approved
Target
$1,000,000 for
lab equipment Lynn to review
Kewaunee
estimate
8.06
6/12/2000
Reduce Lab Furniture
N/A
with 8.05
8.07
6/12/2000
Delete Clean Room

Equipment added at DD
N/A
with 8.05
8.08
6/12/2000
Reduce Signage
allowance to $30,000
(30,000)
Approved
(24,000)
Approved
go to the
standard
stainless cab
interior
N/A
estimate not
based on
custom design
Approved
Go to standard
riser
N/A
included with
9.11
(415,851)
Vertical Transportation and Stairs

9.01
6/12/2000
Provide standard cab

finishes in elevators.
9.02
6/12/2000
Stair railings to be
standard SS mesh
product in painted metal
frame with SS grab rails
9.03
6/12/2000
Delete translucent glass

risers
9.04
6/12/2000
Relocate elevator at
Building Y south.
(30,000)
-
Page 139
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
9.05
6/12/2000
Change Stair #1 and #2 to

rectangular switchback
stairs (not squares).
N/A
9.06
6/12/2000
Eliminate star #3 at South

Building Y. Retain
exterior fire escape for
egress from 2nd floor.
N/A
9.07
6/12/2000
Remove dumbwaiters
completely, transport
chemicals in service
elevators.
9.08
6/12/2000
Change guardrails from

stainless steel/mesh to all
painted metal.
N/A
included with
9.02
9.09
6/12/2000
Review changing
handrails from stainless
steel to wood.
N/A
included with
9.02
9.10
6/12/2000
Alternative to the
handicap elevator - wheel
chair lift
N/A
not allowed by
code
9.11
6/12/2000
Redesign HRM delivery

systems. Delete Stair 12,
delete elevator 1, Elevator
2 becomes (elev 1) freight
& passenger and adds
basement HRM corridor
stop. Elevator 3 becomes
hydraulic three stop (
basement MER, HRM and
cleanroom/service). Add
6x6 hatch in penthouse
deck with chain fall to 3rd
floor (service corridor @
south?). South Building Y
stair (#3) extended to
785'6". Move dumbwaiter
to that area, use
Company E basement for
HRM route & storage.
Ventilate storage w/HRM,
new lights in storage.
9.12
6/12/2000
Change Traction Freight

elevator to hydraulic
(430,000)
$
(1,225,701)
Subtotal Architectural
$
(24,000)
(91,000)
ACTION
COMMENTS
impacted by
9.11
Rejected
Approved
N/A
included with
9.11
Approved
Pending
Page 140
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
$
(837,500)
(2,154,201)
ACTION
COMMENTS
Rejected
Total
10.01
6/12/2000
Delete non-potable water

system.
(14,000)
Approved
Cannot be
taken with
10.05
10.02
6/12/2000
Delete laboratory suction

vacuum system.
(94,000)
Rejected
Reconsider
distribution to
2nd & 3rd floors
Watch
acceptance of
10.06
10.03
6/12/2000
Eliminate roof
drains/overflows. Provide
scuppers/gutters at
exterior.
10.04
6/12/2000
Add insulation for non

potable domestic water
39,000
Approved
10.05
6/12/2000
Delete non potable hot

water system and
associated 10.04
insulation
(114,000)
Rejected
Cannot be
taken with
10.01
10.06
6/13/2000
Delete gases distribution

in corridors, risers only
(55,000)
Rejected
Reduce credit
by 8,000 if
10.02 is
accepted
10.07
6/13/2000
Bring gases into building

only
10.08
6/13/2000
Use copper materials in

lieu of stainless for
nitrogen
Subtotal Plumbing
Rejected
Rejected
$
(5,000)
Rejected
25,000
Approved
Pending
(268,000)
Rejected
(243,000)
Total
HVAC
11.01
6/12/2000
Reduce HEPA's (increase

air flow from 62 fpm to 80
fpm), changes coverage
from 30% to 25%
(39,500)
Rejected
11.02
6/12/2000
Reduce process cooling

from 400 to 200 gpm.
(17,000)
Approved
Page 141
Compnay A
Building X
NO
DATE
DESCRIPTION
11.03
6/12/2000
Reduce chilled water

system gpm.
Rejected
11.04
6/12/2000
Reduce heating water

system gpm.
Rejected
11.05
6/12/2000
Delete temporary exhaust

system for canopies.
(121,000)
Rejected
11.06
6/12/2000
Fan filter units at clean

room.
(416,000)
Rejected
Mario would
prefer 11.26
11.06a
6/20/2000
Fan Filters at Corridors
Pending
Explore at CD's
11.06b
6/20/2000
In duct HEPAs at class

10,000 space
Pending
Explore at CD's
11.07
6/12/2000
Delete heat recovery unit

along with all heat
recovery piping, pumps,
controls, etc.
Approved
need this with

constant
volume
11.08
6/12/2000
Change all fume hoods to

constant volume half
sash. Use a non ddc
phoenix valve heresite
coated with sound
attenuator for each fume
hood or grouped snorkels.
The labs will remain vav
with ddc tracking supply
and exhaust terminal units
with Building Z Control
controllers mounted on
teh terminal units.
Therefore, you eliminate
the Anemostat lab control
system. To save further
energy consider using the
Air Sentry fume hood by
Flow Safe Inc which
requires 330 to 500 cfm
for a 18"-21" sash
opening at 40' per minute
velocity compared to 900
cfm at 100 fpm for the
standard hood.
Pending
11.08a
6/20/2000
Low Flow Fume Hood
Pending
Cornell To Give
Guidence
11.09
6/12/2000
Delete the return air

terminal units in the office
areas. Use flow
measuring station in the
Rejected
Already
included in
estimate
AMOUNT
(331,000)
ACTION
COMMENTS
Page 142
NO
Compnay A
Building X
DATE
DESCRIPTION
AMOUNT
ACTION
COMMENTS
main return duct to track

the supply fan.
11.10
6/12/2000
Verify that there are no

control valves at the
radiant panels.. The
radiant panel system is a
constant flow variable
temperature system. A
main control valve
controls the loop
temperature based on
outdoor air temperature.
11.11
6/12/2000
Delete scrubber. Leave

space.
11.12
6/12/2000
Delete clean steam

generator for clean room.
11.13
6/12/2000
Eliminate some back up

systems/pumps.
11.13a
6/19/2000
Eliminate Chilled Water

stand-by pump chp-2
(28,000)
Rejected
11.13b
6/19/2000
Eliminate process chilled

water stand-by pump
PCHP-2
(9,000)
Rejected
11.13c
6/19/2000
Eliminate glycol hot water

stand-by pump gwp-2
(10,000)
Rejected
11.13d
6/19/2000
Eliminate hot water stand

by pump HWP-2
(10,000)
Rejected
11.13e
6/19/2000
Eliminate perimeter heat

stand-by pump HWP-4
(6,000)
Rejected
11.14
6/12/2000
Fan filters instead of fans

and filters.
11.15
6/12/2000
Reduce di capacity.
N/A
11.16
6/12/2000
Reduce air changes in

upstairs labs.
N/A
11.17
6/12/2000
Reuse some Company E

lab Exh. Lam. Flow
benches.
Pending
11.18
6/12/2000
Eliminate natural gas on

3rd floor. (Still costing
Cornell at least $16,000.)
N/A
(36,000)
Rejected
Already
included in
estimate
Rejected
Rejected
(4,000)
N/A
Approved
void
(name) to reprice
Page 143
Compnay A
Building X
NO
DATE
DESCRIPTION
11.21
6/12/2000
Utilize steam preheat in

lieu of hot water with
glycol
(100,000)
Rejected
11.23
6/12/2000
Replace desiccant drier

with low temp chiller and
coil
100,000
Rejected
11.24
6/12/2000
Delete clean room

instrument air loop
(37,000)
Approved
11.25
6/13/2000
Delete stack sound

attenuators
(55,000)
Approved
11.26
6/13/2000
Adjustment of recirculating supply duct to

units
(391,500)
Approved
11.27
6/13/2000
Provide premanufactured
clean room system
(modular tunnel)
Pending
11.28
6/13/2000
Reduce recirculation air

by 10%
Rejected
Subtotal HVAC
AMOUNT
$
$
(835,500)
-
(675,500)
(1,511,000)
ACTION
COMMENTS
Approved
Pending
Rejected
Total
Electrical
12.01
6/12/2000
Remove cable
tray/isoduct language
from office spaces and
distribute majority of
voice/data at the
perimeter walls.
Distribute to centers of
rooms via fixed drop
(poles or fixed
architectural walls).
12.02
6/12/2000
Rotate lights parallel to

lab benches and maintain
75 fc at bench height.
(16,000)
Approved
12.03
6/12/2000
Select cheaper fixture for

Labs and provide
alternate
selections/manufacturers.stay with parallel scheme
(87,000)
Approved
N/A
refer to 12.07
Page 144
Compnay A
Building X
NO
DATE
DESCRIPTION
12.04
6/12/2000
Provide fixture alternates

for Offices at $6/sf.
(90,000)
Approved
12.05
6/12/2000
Reduce cost of Atrium

lighting by 10% without
affecting the design (does
not include light tube).
(30,000)
Approved
12.06
6/12/2000
Eliminate draw-out
construction for feeder
circuit breakers on the
main switchboard. Main
draw-outs for the main
and tie circuit breakers.
This will require that one
side of the main
switchboard be shut down
to pull periodic
maintenance of feeder
circuit breakers.
(36,000)
Approved
Bob review by
maintenance
12.07
6/12/2000
Provide a system of fixed

power poles in lieu of
linear flexibility Quantities
and layout to be
determined.
(55,000)
Pending
Pending
redesign
12.08
6/12/2000
Fully develop the design

of the cleanroom to
determine the actual
power requirements. At
this time the requirements
are for an allowance of 30
watts/sf. This needs to be
confirmed. Detailed
equipment lists will be
required.
N/A
Pending overall
design
12.09
6/12/2000
Delete door access and

card reader system $
remaining in construction
cost. Limit security and
CCTV work to power and
raceways only. System
equipment and wiring to
be provided by the Owner.
(30,000)
Rejected
12.10
6/12/2000
Relocate the generator to

the roof of Building X to
reduce the length of the
emergency feeder.
(37,000)
Rejected
AMOUNT
ACTION
COMMENTS
Page 145
Compnay A
Building X
NO
DATE
DESCRIPTION
12.11
6/12/2000
Reduce emergency
generator capacity - life
safety only- 1250 kw to
900 kw
(135,000)
Approved
12.12
6/12/2000
Reduce 110v outlets by

25%
(29,000)
Rejected
12.13
6/12/2000
Reduce isoduct by 25%shorter sections along

each wall.
(11,000)
Rejected
12.14
6/12/2000
Lighting in labs - drop in

fixtures vs alternate
pendant fixtures parallel to
benches
(58,000)
Pending
additive with
12.03
12.14a
6/12/2000
Lighting in offices - drop in

fixtures not pendant.
(187,000)
Pending
Additive with
12.04
12.15
6/12/2000
Wireless as a solution to
the open office tele/data
problem.
N/A
12.16
6/12/2000
Alternative wire
distribution in flex-office
space.
N/A
12.17
6/13/2000
Review & Adjust Clean

Room Fixture Counts &
Pricing
(30,000)
Approved
12.18
6/13/2000
Delete Lightning
Protection
(30,000)
Pending
Bob get
comments from
FMI
12.19
6/20/2000
Additional Smoke
Detectors at all rooms that
are enclosed
100,000
Approved
Mike to confirm
qtys and budget
(324,000)
Approved
(330,000)
Pending
(107,000)
Rejected
(761,000)
Total
(55,000)
Pending
Subtotal Electrical
AMOUNT
ACTION
COMMENTS
see 12.07
Sitework
15.01
6/12/2000
Direct burial of utilities in

lieu of cast in place
15.02
6/12/2000
Remove terrace walkway

(no wall, simple path.
Additional
saving to 16.01
- precast utility
tunnel.
Rejected
Page 146
Compnay A
Building X
NO
DATE
DESCRIPTION
15.03
6/12/2000
Make terrace walk

narrower (12 feet instead
of 16 feet).
(4,000)
Rejected
15.04
6/12/2000
Revise pricing cover at

Loading Dock area.
(35,000)
Approved
15.04a
6/12/2000
Remove cover on Loading

Dock area.
(60,000)
Rejected
15.05
6/12/2000
Remove enclosure walls

@ service area
(14,000)
Rejected
15.06
6/12/2000
Move X north entrance to

Quad budget
(66,000)
Pending
15.07
6/12/2000
Delete limestone and

llenroc handrail at west
side terrace from
mechanical shaft south to
ahndicap access (137 lf)
and associated concrete
footing/retaining wall
(45,000)
Rejected
16.01
6/12/2000
Precast south utility tunnel

in lieu of cast in place
(170,000)
Approved
Cannot accept
with 15.01
16.02
6/12/2000
Sleeves versus concrete

for utility tunnel.
N/A
see 15.01
Subtotal Site
AMOUNT
ACTION
COMMENTS
(205,000)
Approved
(121,000)
Pending
(123,000)
Rejected
(449,000)
Total
(60,000)
Approved
adjust duration
to 14 months
N/A
No value in
current market
General Conditions and Scope

17.01
6/12/2000
Refine tower crane

duration/size/cost, move
to GC's.
17.02
6/12/2000
Adjust escalation.
17.03
6/12/2000
Take 6'-0" off south end of

Building X (approximately
1,000 gsf).
(30,000)
Rejected
17.04
6/12/2000
Eliminate
bridge/interaction space at
Building Y Atrium on 3rd
floor (+/- 500 sf).
(27,000)
Rejected
Page 147
Compnay A
Building X
NO
DATE
DESCRIPTION
17.05
6/12/2000
Eliminate bridge
connection between
Building Y and at the 3rd
floor level.
(35,000)
Rejected
17.06
6/12/2000
Eliminate bridge
connection between
Building Y and at 2nd
level
(35,000)
Rejected
17.07
6/12/2000
Build Chem. Tunnel in

Phase 2, use Stair #3 to
acccess/egress from
basement level. Use
Elevator #4 as temporary
service elevator and serve
Building X through west
entry until completion of
tunnel in Phase 2
(demolition of Company
E) is complete.
N/A
included with
9.11
17.08
6/12/2000
Move service elevator and

dumbwaiters outside of
Building Y footprint (into
Atrium).
N/A
included in 9.11
17.09
6/12/2000
Delay renovation to
Building Y 1st floor. Use
chemical storage trailers
at exterior. Perform
renovation as part of
donor or grant proposal
build out (by future
occupants, companies,
etc.)
N/A
Sacred Program
compromise
17.10
6/12/2000
Delete owner/architect
trailer rental/setup/utilities.
Approved
Target some
savings from
$26,500;
perhaps utilize
larger
contractor
trailer
17.11
6/12/2000
Reduce Kitchen/vending
N/A
17.12
6/12/2000
Abandon the flex office

concept.
N/A
AMOUNT
(13,000)
ACTION
COMMENTS
Page 148
Compnay A
Building X
NO
DATE
DESCRIPTION
17.13
6/12/2000
Reduce basement size by

using some of Company E
lab basement for
incidental mechanical
items.
N/A
included in
other items
17.14
6/12/2000
Basement smaller,
penthouse bigger to cut
down on rock excavation.
N/A
too late in
design
17.15
6/12/2000
Shorten time frame by

early occupation of clean
room.
General Conditions and Scope Summary
AMOUNT
ACTION
COMMENTS
Pending
(73,000)
Approved
Pending
(127,000)
Rejected
(200,000)
Total
W/ 15 %
markup
Total Summary
(2,638,201)
Approved
(3,033,931)
(542,000)
Pending
(623,300)
(2,138,000)
Rejected
(2,458,700)
(5,318,201)
Total
(6,115,931)
Summary
DD Estimate
$43,341,000
Budget
$39,000,000
Delta
$4,341,000
Approved VE W/ markup
($3,033,931)
Current Delta
$1,307,069
Page 149
Sample Construction Development 50 Value Engineering

Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
AMOUNT
Don't forget to hide these

columns
COMMENTS
1 - Foundations
Approved
Pending
Rejected
1.01
11/30/2000
Review Rock
Excavation
Quantity
$
20,000
Approved
Provide trench for

laterals/pit
20000
1.02
11/30/2000
Review MEP
Trench excavtion in
rock
$
(124,794)
Approved
Provide all MEP

rock excavation by
sitework
-124794
1.03
11/30/2000
Review bank
shoring - unrealized VE of
$235K
$
(200,000)
Approved
Company
C/company B qtys
- 9,900 sf
-200000
1.04
11/30/2000
Verify underdrain
quantity at
basement slab
$
(20,000)
Approved
ABC to validate
700 lf quantity with
geotech
-20000
1.04a
11/30/2000
Review
requirement for
underdrains at
basement slab
$
(24,000)
Pending
ABC to validate
requirement with
geotech
-24000
20000
3 - Floor and Roof Structures

3.01
11/30/2000
Add penthouse
structure to
Building Y for
HVAC equipment
$
20,000
Approved
3.02
11/30/2000
Revise atrium
structural steel
pricing to
$3200/ton
$
(46,000)
Approved
-46000
3.03
11/30/2000
Review concrete
pan slab pricing target savings
$
(50,000)
Approved
-50000
3.03 A
12/7/2000
Eliminate all 4"

distribution ribs at
pans slab
$
(5,000)
Approved
-5000
3.03 B
12/7/2000
Revise pan slab

layout to eliminate
20" wide pans
$
(15,000)
Rejected
-15000
3.04
11/30/2000
Delete fireproofing
at penthouse steel
$
(41,800)
Rejected
-41800
3.05
11/30/2000
Delete fireproofing
at upper atrium
steel and/or
bridges
$
(16,000)
Approved
-16000
4 - Enclosure
Page 150
Company A
Building X Hall
Cornell University
(date)
NO
DATE
DESCRIPTION
ACTION
COMMENTS
4.01
11/30/2000
Adjust unit pricing

for curtain
walls/support steel
at atruim
Pending
ABC to refine
design for future
cost review
AMOUNT
$
-

columns
ABC to refine
design for future
cost review
4.02
11/30/2000
Adjust unit price for

curtain
walls/support steel
at Dufflied
$
-
Pending
4.03
11/30/2000
Revise north entry

to existing Building
Y - existing to
remain
$
(32,000)
Pending
-32000
4.04
11/30/2000
Revise exterior
caulking scope
$
(15,000)
Approved
-15000
5 - Roofing and Waterproofing

5.01
11/30/2000
Provide
membrane
roofing as 0.060
EPDM unreinforced fully
adhered with
design average
R-value
$
(20,000)
Approved
-20000
5.02
11/30/2000
Revise smoke
vents at
stairwell roofs
$
7,000
Approved
7000
5.03
11/30/2000
Fluid applied vs.

membrane
foundation
waterproofing
$
(16,000)
Approved
-16000
6 - Interior Partitions
6.01
11/30/2000
Pending
$
-
Pending
7 - Floor, Wall and Ceiling Finishes

7.01
11/30/2000
Revise slate wall

material/thickness
from mechanically
fastened to
adhered
$
(42,000)
Approved
Confirm unit
pricing
-42000
7.02
11/30/2000
Revise source of
slate materials
$
(72,000)
Approved
Vermont Slate
D/A
-72000
7.03
11/30/2000
Review clean room

ceiling
quantites/details at
partitions
$
-
Pending
16192 sf per ABC
7.04
11/30/2000
Review clean room

ceiling support
system under
$
-
Pending
Company A to
verify estimate
Page 151
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
AMOUNT

columns
COMMENTS
recirc units and

ductwork
7.05
11/30/2000
Revise Mech room

B0070 floor to clear
sealer
$
(17,000)
Approved
-17000
7.06
11/30/2000
Delete ceiling grid

at clean room
furnace area
$
(14,117)
Approved
-14117
-102545
8 - Function Equipment and Specialties

8.01
11/30/2000
Reduce quantity
of lab casework
and equipment
to 85% DD VE
scope
$
(102,545)
Approved
8.01 A
12/8/2000
Delete coldroom
- move to fitout
costs
$
(45,000)
Approved
8.02
11/30/2000
Review lab
casework unit
pricing
$
-
Pending
8.03
11/30/2000
Add gas
cylinder
restraints at labs
$
-
Rejected
8.04
11/30/2000
Revise window
treatment unit
pricing
$
(40,000)
Approved
-40000
8.05
11/30/2000
Reivew
projection
screen vs.
marker board
quantities
$
(8,000)
Approved
-8000
-45000
Still have 6000 sf

at $5/sf
9 - Vertical Transportation and Stairs

9.01
11/30/2000
Reduce freight
elevator
capacity from
7000# to 5000#
for #1 and #4
$
(135,000)
Pending
Changes openings
and door heights
and arrangements
D/A
-135000
9.02
11/30/2000
Provide direct
purchase of
dumbwaiters
$
(20,000)
Approved
Need vendor
quotes
D/P
-20000
$
(826,456)
Approved
$
(191,000)
Pending
$
(56,800)
Rejected
$
(1,074,256)
Total
Subtotal Architectural
Page 152
Company A
Building X Hall
Cornell University
(date)
NO
DATE
DESCRIPTION
ACTION
10.01
11/30/2000
Reduce misc.
plumbing R/I's
quantity from 100
to 50
10.02
11/30/2000
Revise Laboratory
air compressor
10.03
11/30/2000
Provide
mechanical joint
pipe at under 3"
vents for acid
waste piping
10.04
11/30/2000
10.05
AMOUNT
$
(10,649)

columns
COMMENTS
Approved
-10649
Pending
$
(10,562)
Approved
-10562
Provide
mechanical joint
pipe at under 3"
drains for acid
waste piping
w/10.03
Approved
w/10.03
11/30/2000
Provide welded
stainless steel
nitrogen piping for
clean roon
$
30,000
Pending
Bob to pursue as
vendor provided
30000
10.06
11/30/2000
Delete fire wrap on

plastic pipe in
plenums ((DI, acid
waste)
$
(15,900)
Approved
Need sprinklers on
ceiling plenum at
cleanroom
-15900
10.07
11/30/2000
Revise cost per

Company Dl
pricing
all
10.08
11/30/2000
Provide kitchen
equipment roughins
$
20,000
Approved
D/P
20000
10.09
11/30/2000
Delete tool hook-up

piping - provide as
fit-out (DI, vacuum,
air, nitrogen)
$
(92,914)
Rejected
-92914
10.10
11/30/2000
Bore permanent
Building Y water
feed from Building
X thru to Building Y
basement
Pending
10.11
11/30/2000
Future drain
locations above
clean-rooms
Approved
10000
10.12
11/30/2000
Simplify cleanroom fit-out
10.13
11/30/2000
Delete automatic
flush valves
$
(14,076)
Approved
-14076
10.14
11/30/2000
Delete domestic
water booster
pump
$
(9,700)
Approved
-9700
10.15
11/30/2000
Delete vacuum to
2nd and 3rd floor
labs
$
(40,000)
Approved
-40000
10.16
11/30/2000
Pending
$
10,000
Pending
No exhaust
Cornell to confirm
scope
Page 153
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
Subtotal Plumbing
AMOUNT

columns
COMMENTS
0
-200000
Rejected
Approved
-54000
Pending
D/A
-27089
-10000
$
(60,238)
Approved
$
30,000
Pending
$
(92,914)
Rejected
$
(123,152)
Total
Approved
11- HVAC
11.01
11/30/2000
Revise cost per

Company D
pricing
11.02
11/30/2000
Change FRP
duct to alternate
material
$
(200,000)
11.03
11/30/2000
Revise
loacations for
FRP duct
w/11.02
11.04
11/30/2000
Delete FRP duct

connections to
hood - provide
with fit-out
11.05
11/30/2000
Utilize standard
valves in lieu of
process quality
valves and
controls at recirc air units at
clean room quantity of 24
(all but RAHU
2/3)
11.06
11/30/2000
Provide
competitve
controls bidding
11.07
11/30/2000
Revise smoke
exhaust duct in
atrium
$
(40,000)
Approved
11.08
11/30/2000
Eliminate
cooling at
bridges
$
(27,089)
Approved
11.09
11/30/2000
Review costs for

temporary air
intake relocation
(only needed 2
months per
Cornell)
$
(10,000)
Approved
$
(54,000)
(name) to confirm
pricing
(name) to review
BR+A drawings
Review schedule
Page 154
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
AMOUNT
11.10
11/30/2000
Spark resistant
vs. explosion
proof motors at
exhast fans
$
(2,000)
Approved
11.11
11/30/2000
Add flying fintube heating of

curtain walls no cover
$
18,000
Approved
11.12
11/30/2000
Bore permanent
Building Y
steam feed and
condensate
return from
Building X thru
to Building Y
basement
11.13
11/30/2000
Delete clean
room process
cooling fit-out
$
(65,286)
Rejected
11.14
11/30/2000
Delete lap-top
computer with
full graphical
software
package
$
(5,000)
Approved
11.15
11/30/2000
Delete training
instructions per
specifications
$
(10,000)
Pending
11.16
11/30/2000
Provide
laboratory
quality in lieu of
process quality
temperature
transmitters
(except for
RAHU 2/3)
$
(12,000)
Approved
11.17
11/30/2000
Change silane
duct from SS
304 welded to
galvanized
spiral
$
(42,824)
Approved
11.18
11/30/2000
Delete
recirculating
pumps at 24
RAHU's
$
(33,000)
Pending
COMMENTS
Need drawings
from A/E
Pending
11.19
11/30/2000
Change class of
instructional lab
from 1000 to
10,000
$
(27,000)
Approved
11.20
11/30/2000
Adjust chilled
water and
condensate
meters
$
8,000
Approved

columns
confirm pricing of
revised spec
review load calcs
-2000
18000
-65286
-5000
-10000
-12000
-42824
-33000
8000
Page 155
Company A
Building X Hall
Cornell University
(date)
NO
DATE
ACTION
COMMENTS
11.21
11/30/2000
Change vacuum
pump exhaust
duct riser from
20 to 12 inch
diameter
$
-
Pending
(name) to confirm
pricing
11.22
11/30/2000
Change outside
air plenumbs
from SS to
galvanized G90
except for the
bottom panel
$
(4,700)
Approved
11.23
11/30/2000
AHU-2, 3 & PH1 to be double

wall in lieu of
single wall
$
50,250
Approved
11.24
11/30/2000
$
-
Pending
$
(281,363)
Approved
$
(43,000)
Pending
$
(65,286)
Rejected
$
(389,649)
Total
DESCRIPTION
Subtotal HVAC
AMOUNT

columns
(name) to confirm
with Trane
-4700
50250
12 - Electrical
12.01
11/30/2000
Delete lab
equipment
connections
$
(75,583)
Approved
-75583
12.02
11/30/2000
Provide solid
bottom/covered
cable tray vs.
ladder type
$
(17,000)
Approved
-17000
12.03
11/30/2000
Revise pricing
of light pipe at
Atrium
$
-
Rejected
Cornell to
prepurchase
12.04
11/30/2000
Revise power
pole pricing at
offices
$
-
Approved
No data - (name)
to price
12.05
11/30/2000
Review
Company E
demolition costs
$
(20,000)
Approved
-20000
12.06
11/30/2000
Owner to
provide
tele/data wiring
$
(34,000)
Approved
all
-34000
12.07
11/30/2000
Provide kitchen
equipment
rough-ins
$
10,000
Approved
D/A
10000
12.08
11/30/2000
Increase power
and data outlets
at Atrium
$
9,450
Approved
9450
Page 156
Company A
Building X Hall
Cornell University
(date)
NO
DATE
ACTION
COMMENTS
12.09
11/30/2000
Approved
(name) to review
pricing
DESCRIPTION
Delete remote
ballasts at ebeam rooms
and utilize
incandescent
AMOUNT
$
-
12.10
11/30/2000
Class A wiring
for initiating
devices not
required - use
class B
$
(10,000)
Approved
12.11
11/30/2000
Change 600
kcmil to 500
kcmil up to
800A, eliminate
special devices
$
(20,000)
Approved
12.12
11/30/2000
Delete witness
testing on
transformer and
generator
$
(15,000)
Approved
12.13
11/30/2000
Delete impulse
testing on
transformers,
provide data for
similar
equipment
12.13
11/30/2000
Utilize aluminum
in lieu of copper
at switchgear,
panels, etc.
12.14
11/30/2000
COMPANY A delete limit 6

buckets per
vertical stack
Subtotal Electrical
$
(1,000)
Revises to
standard breakers
at 80%
Approved
Pending
$
(2,000)

columns
(name) to price
Approved
$
(175,133)
Approved
$
-
Pending
$
-
Rejected
$
(175,133)
Total
$
(31,306)
Approved
-10000
-20000
-15000
-1000
-2000
-31306
-6700
13 - Fire Protection
13.01
13.02
11/30/2000
11/30/2000
Eliminate flex
heads at clean
rooms
Provide Sch. 10
vs. Sch. 40
$
(6,700)
Approved
BR+A to review
details for ability to
change hepas
D/A
Page 157
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
AMOUNT

columns
COMMENTS
piping
13.03
13.04
13.05
11/30/2000
11/30/2000
11/30/2000
Verify no
sidewall heads
at skylights
Add pre-action
system to Ebeam rooms
Delete Preaction system to

Characterization
Subtotal Fire Protection
$
-
$
40,000
$
(41,000)
Pending
Rejected
BR+A to review
Estimate include
preaction at
Characterization
Pending
$
(38,006)
Approved
$
(41,000)
Pending
$
40,000
Rejected
$
(39,006)
Total
40000
-41000
15 - Sitework
15.01
11/30/2000
Revise routing
for emergency
generator thru
Building Y Hall
$
(85,000)
Approved
BR+A and
Lemessuir to
review routing,
Company A to
price
-85000
15.02
11/30/2000
Revise routing
for tele/data
ductbank thru
Building Y Hall
$
(50,000)
Approved
Need design
information from
BR+A
-50000
15.03
11/30/2000
Provide on-site
stockpiling of
excavated
materials to be
re-used/filled
$
(5,000)
Rejected
Discuss with
Company M,
potential location
at equestrian
building
-5000
15.04
11/30/2000
Revise natural
gas
piping/NYSEG
allowance $40,000
Pending
Costich to
evaluate
15.05
11/30/2000
Review
concrete vault
removal costs
$
-
Pending
Company A to
evaluate
15.06
11/30/2000
Review site
painting cost of
$25K
$
(10,000)
Approved
-10000
Page 158
Company A
Building X Hall
Cornell University
(date)
NO
DATE
ACTION
COMMENTS
15.07
11/30/2000
Review
dumping costs
for Company E
and Building Y
$
(20,000)
Pending
Company A to
evaluate
-20000
15.08
11/30/2000
Add SDR-21
liner to 16" DIP
sanitary sewer
under Atrium
$
-
Pending
(name) to review
with (name)
15.09
11/30/2000
Provide clean
corridor and
elevation
adjustment for
access between
clean rooms in
Company E and
Building X
$
-
Pending
Review at future
CNF move
strategy meeting
15.10
11/30/2000
Delete or
change Gothic
lights
$
(21,000)
Approved
-21000
15.11
11/30/2000
Revise pricing
for bulk Nitrogen
tank piping
$
(4,000)
Pending
-4000
15.12
11/30/2000
Add temporary
stairs for south
Building Y
during
construction
$
5,000
Approved
5000
15.13
11/30/2000
Add temporary
dock for CNF
move
$
5,000
Pending
Review at future
CNF move
strategy meeting
5000
15.14
11/30/2000
Revise pricing
for bulk Nitrogen
tank systems
$
(25,000)
Pending
(comments)
-25000
15.15
11/30/2000
Temporary
HRM storage
facility
$
-
Pending
(comments)
15.16
11/30/2000
Revmove cost
of stairs and
bollards at
loading dock
and site signage
$
(19,000)
Approved
-19000
15.17
11/30/2000
Eliminate
benches
$
(10,600)
Approved
-10600
15.18
11/30/2000
Delete special
shoring
$
(10,000)
Approved
-10000
15.19
11/30/2000
Delete
duplication on
Gothic lights on
wall
$
(56,250)
Approved
-56250
DESCRIPTION
AMOUNT
$
(256,850)
Approved
Pending
(comments)

columns
Page 159
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
DATE
DESCRIPTION
AMOUNT

columns
COMMENTS
(44,000)
$
(5,000)
Rejected
$
(305,850)
Total
17 - General Conditions and Scope

17.01
11/30/2000
Review moving
CNF to Building
X with 100%
shutdown of
Company E as
soon as Duffiled
cleanroom is on
line and
validated
$
-
Pending
17.02
11/30/2000
Provide unit
prices for lab fitout work a
reduce fit-out
work included in
construction
$
-
17.03
11/30/2000
Revise General
Conditions
estimate
17.04
11/30/2000
Reduce
contingency to
2.5%
General Conditions and Scope

Summary
Review at future
CNF move
strategy meeting
Pending
$
(50,000)
Approved
-50000
$
(358,149)
Pending
-358149
$
(50,000)
Approved
$
(358,149)
Pending
$
-
Rejected
$
(408,149)
Total
App/pend
(2,521,782)
Total Summary
$
(1,698,695)
Approved
$
(647,149)
Pending
$
(180,000)
Rejected
$
(2,525,844)
Total
(1,826,097)
(695,685)
(193,500)
50% CD Estimate
(2,715,282)
$42,017,447
Page 160
Company A
Building X Hall
Cornell University
(date)
NO
ACTION
Summary
DATE
DESCRIPTION
AMOUNT
COMMENTS
Budget
$39,100,000
Delta
$2,917,447
Approved VE W/ markup
($1,826,097)
Current Delta
$1,091,350

columns
Page 161
Sample Change Order Letter

DATE:
June 8, 1998
TO:
(name)
(name at C&CP)
FROM:
Project manager
SUBJECT:
X Project
Change Order #6, Contract # C
X Construction Company
Please process Change Order #6 to the Guaranteed Maximum Cost (GMC) agreement between Cornell
and the Company G contract #C, dated , to cover the following detailed in the attached
documentation:
The following Potential Change Orders (PCOs) were due to Design Changes:
PCO
General Description
COW
149
Added type FAG light fixtures not indicated on

drawings
167
Fee
Amount
$7,965
$159
$8,124
RFI#404 -- Foot grill size increase
$807
$16
$823
174
ASI#110a - Relocation of floor boxes in

classrooms
$20,743
$415
$21,158
216
Change to ACT-4, ceiling tile in classrooms
$3,444
$69
$3,513
218
Upgrade brackets & standards in 20 faculty

offices
$3,905
$78
$3,983
236
Add 8 ceiling cruciforms in classrooms at

projectors
$5,317
$106
$5,423
243
Upgrade concrete and asphalt walks to CU

standards
$13,718
$274
$13,992
248
RFI#423-Provide (12) 2" circuit setters
$2,526
$51
$2,577
253
RFI#618-Relocate classroom equipment
$2,550
$51
$2,601
254
Finials atop vaulted roof
$1,369
$27
$1,396
269
Gold Leaf on signature stones
$1,505
$30
$1,535
Total PCOs due to Design Changes:
$63,849
$1,276
$65,125
GC's
Page 162
The following PCO was due to a Scheduled Allowance Adjustment:

PCO
General Description
COW
GC's
Fee
114
Spire Allowance Adj.
$66,828
The following PCOs were Owner Directed:

PCO
General Description
COW
Amount
$8,483
$1,337
$76,648
GC's
Fee
Amount
217
Change shelving to bookcases in 40

faculty offices
$143,280
$2,866
$146,146
225
Wood ceiling in Exec Ed classroom

141
$8,435
$169
$8,604
244
ASI#123-Added concrete walks
$8,473
$169
$8,642
255
Delete mow strip
($4,500)
262
Added locks at storm windows per CU $2,065
$41
$2,106
266
Additional receptacles in telephone

closets per CU
$4,337
$87
$4,424
273
Telecom Tie-in to Dover Elevator
$1,413
$28
$1,441
Total PCOs due to Owner Directed:
$163,503
$3,360
$166,863
Fee
Amount
The following PCOs were due to Unforeseen Conditions:

PCO
General Description
COW
GC's
($4,500)
081
Existing Floor Joist Work per

RFI#316
$1,049
$21
$1,070
104
Remove existing plank at roof edge

for blocking
$693
$14
$707
116
Unforeseen at Projected Dormer
$2,073
$41
$2,114
185
Window jamb extensions
$28,456
$569
$29,025
222
Upgrade parking lot to CU standard
$34,402
$688
$35,090
$1,333
$68,006
PCOs due to Unforeseen Conditions: $66,673
Page 163
The following table summarizes Change Order #5 costs and the impact to the GMC line items:
Item
Current
Change
Unforeseen Conditions
$68,006.00
Scheduled Allowance Adj.
76,648.00
CU Directed Changes
166,863.00
Design Changes
65,125.00
Revised
Cost Of Work
$23,680,821.00
$360,853.00
$24,041,674.00
General Conditions
$2,216,869.00
8,483.00
$2,225,352.00
Fee
$902,851.00
7,306.00
$910,157.00
Total GMC
$26,800,541.00
$376,642.00
$27,177,183.00
Additionally, retainage reduction to zero is requested for various . subcontractors:

Original
Final
Retainage
Retainage
Contract
Contract
Reduction
Company
Trade
Held
Amount
Amount
Request
(name)
Spire Steel Fab
$19,900
$19,900
$1,990
$1,990
(name)
Spire Erection,
etc.
$43,954
$43,954
$4,779
$4,779
(name)
Fireproofing
$228,375
$280,914
$28,247
$28,247
(name)
Scaffolding
$288,680
$314,621
$31,462
$31,462
(name)
Auto Closing
Doors
$82,616
$86,386
$4,319
$4,319
(name)
Accordion Doors
$52,173
$52,173
$5,217
$5,217
(name)
Telephone Spec. $4,800
$4,800
$480
$480
(name)
Signage
$4,091
$4,091
$409
$409
(name)
Libr. Security
Sys.
$13,145
$13,145
$1,314
$1,314
(name)
Access Flooring
$4,500
$4,500
$225
$225
(name)
Microfiche
Cabinets
$14,928
$14,928
$1,492
$1,492
(name)
Historic Moldings $5,940
$5,940
$594
$594
(name)
Refrigerators
$1,088
$1,088
$108
$108
(name)
Louvers
$5,041
$5,041
$504
$504
(name)
Library Book
Drop
$2,133
$2,133
$213
$213
Page 164
Company
(name)
Trade
Foot Grilles
Original
Contract
Amount
$5,900
Final
Contract
Amount
$16,457
Retainage
Held
$1,645
Retainage
Reduction
Request
$1,645
If you have any questions or require additional documentation, please let me know.
Thank you.
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Facilites Project Managers Guide

Part I: Stakeholders and Roles ............................................................................................ 11

University Architect .......................................................................................................................................... 23

Part II: Project Requests and Approval Process ................................................................. 27

Part III: Project Controls ........................................................................................................ 34

Step 3: Allowance Items ......................................................................................................................... 37

Facilities Project Managers Guide

Design Agreements ......................................................................................................................................... 51

Part IV: Project Process Phases ........................................................................................... 56

Facilities Project Managers Guide

Design Phases ..................................................................................................................................................... 62

Facilities Project Managers Guide

Part V: Appendix ................................................................................................................... 75

Facilities Project Managers Guide

Introduction to the Facilities Project Managers Guide

How to Locate the Guide

Facilities Project Managers Guide

Summary Overview of this Guide

Part II describes the project requests and approval process at Cornell.

This Guide and Other Documents

The Cornell Project Management Methodology Guide (CPMM)

The Project Managers Toolbox.

The Cornell Project Management Methodology (CPMM) Guide

Facilities Project Managers Guide

Facilities Project Managers Guide

Part I: Stakeholders and Roles

Cornell Approval Groups

Consultants and Contractors

Facilities Project Managers Guide

Cornell Approval Groups

External Stakeholder Groups

Facilities Project Managers Guide

Facilities Services: Key Departments

Contracts & Capital Projects

Contract Colleges Facilities

Planning, Design and Construction

Office of the University Architect

Utilities and Energy Management

Facilities Project Managers Guide

Facilities Project Managers Guide

Project Executive / Director

Others associated with the project.

Facilities Project Managers Guide

Facilities Project Managers Guide

Cornell Approval Groups

Executive Vice President for Finance and Administration (EVP) or Provost ;

Capital Funding and Priorities Committee (CF&PC - members include Senior

Buildings and Properties Committee (B&P - a committee of the Board of Trustees).

PROJECT IS AUTHORIZED/APPROVED WHEN.

Capital Funding and

Facilities Project Managers Guide

Consultants and Contractors

generally designed by architectural and engineering consultants (A/E);

built by contractors, with the construction managed by construction managers.

The Project Manager is responsible for insuring that

the A/E and contractors are selected using approved processes .

appropriate contract documents are executed

the work of the A/E and contractor is properly managed.

Facilities Project Managers Guide

Construction Management Office

Contracts & Capital Projects Office

Cornell Information Technologies