"Planning Procedures"

This section outlines the procedural requirements which are unique to capital projects at Appalachian State University. These requirements supplement the planning procedures required by the Division of State Construction's North Carolina Construction Manual, and it is assumed that the Designer is familiar with that manual.

1.0 GENERAL
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1.1.0 DESIGNER'S RELATIONSHIP TO THE UNIVERSITY

The Designer should understand that the University is the owner and client for the project, even though project planning and design for the University is a cooperative procedure involving many persons within the University, the Office of State Construction, and other reviewing agencies.

At any point in time there is a single University representative assigned to each project. This is the person through whom the Designer will be required to work and to whom the Designer should turn for authoritative information on all matters and questions involving the University. Many other individuals and groups within the University will participate in the capital improvement planning process, but the Designer should not act on any information other than that received from, or coordinated through, the designated project representative.

1.1.1 The Director of Design & Construction is the contact for all information transfer during the initial phases of a project, the programming phase, the designer selection, the design, and the bidding phases.

1.1.2 After the award of the construction contract, the point of University contact is transferred to the University's Construction Manager in the offices of the Director of Design & Construction for the duration of the construction process.

The Designer shall designate an individual within his or her firm who will be directly responsible for the project, and who can be contacted on any matter pertaining to the project.

1.2.0 INITIAL PLANNING CONFERENCE

An initial planning conference will be scheduled by the Department of Business Affairs to include representatives of the using office or agency and other appropriate participants on the Architectural Program Development Committee to discuss general requirements of the program and procedures for facilitating the Designer's work. This conference will be held as soon as possible after selection of a Designer for the project. The Designer's professional consultants for plumbing, HVAC, electrical and telecommunications design may attend this conference.

1.3.0 SITE & EXISTING CONDITIONS INFORMATION

The University will, upon request, furnish available topographic surveys and other existing information for new construction or renovations, as well as, furnishing available record drawings for remodeling projects. The University does not in any way warrant that this information is accurate or correct. Verification shall be the responsibility of the Designer. The Designer shall supplement this information with his or her own observed field surveys and measurements. The Designer is responsible for the accuracy of all information shown on the construction contract drawings.

1.3.1 Boundary and Topographical Survey

Both a boundary and topographical survey will be performed for each building site by a land surveyor who is duly licensed in the State of North Carolina. Both surveys should be performed simultaneously by the same individual.

A. General:

1. All topographical and boundary surveys should show the following:

a. North arrow - North shall be toward the top of the sheet.

b. Scale - numeric and graphic

c. Title block

(1) The name of the project

(2) The name and address of the surveyor

(3) The date

(4) The address of the property

2. One property corner on each site shall be referenced survey to North American Datum, latest edition. Provide a combined scale factor for the drawing.

3. Supply survey on CAD system, DXF format on 3 ½" disk. All symbols, styles, and icons shall be provided to Appalachian State University. All drawings shall be reproducible at A.S.U. on Auto-CAD Release 11 or higher.

4. Submit five (5) copies of the survey plat to the Owner and one to the CAD Department. Maximum sheet size - 36" x 48". Draw survey data in ink on double matte Mylar.

5. CAD file scale shall be drawn in real scale, one foot in the CAD file shall equal one foot of property.

B. Boundary Survey:

The surveyor will be required to:

1. Locate all property corners and set permanent markers thereon.

2. Provide a survey plat drawn to a scale (preferably 1" = 20') or as otherwise requested by Appalachian State University which illustrates:

a. Bearing, distance, and appropriate curve data for all property lines.

b. Type and size of all markers set.

c. Improvements within 25' of property lines.

d. All possible encroachments, overlaps or gaps between adjoining properties.

e. The registered owners of all contiguous property.

f. The limits of any designated flood plain or floodway (FEMA).

3. Certify the legal description of the property surveyed.

4. Locate alleys, rights of way, streets, easements, and other items of similar nature on or adjoining the property with proper identification of each. (In the case of an easement, indicate underground, surface, or overhead improvements for which the easement was established.) (Surveyor shall not be required to run title searches.)

C. Topographical Survey:

The surveyor should plot the following as indicated:

1. Contours:

a. Establish permanent base reference elevation point from which contours are established and elevation of building floors can be determined (Bench-mark should be mean sea level reference where possible).

b. Include entire site, extending contours 25' beyond property lines and to the far side of adjacent streets.

c. 1' intervals for sites with majority of slopes under 10%.

d. 5' intervals for sites with majority of slopes between 10 and 30%.

e. 10' intervals for sites with a majority of slopes over 30%.

f. Provide spot elevations of existing structure, curbs, crown of road(s), drainage rims/covers, etc.

g. Show any rapid change in grade on adjacent property.

2. Frontage improvements:

a. Walks

b. Curb and gutter

c. Culverts

d. Other (identify)

3. Existing buildings

4. All flowering trees, and shade trees 6" caliper and larger. Show genus, species and caliper.

5. Utility services: (including but not limited to):

a. Water: size

b. Gas: size

c. Sewer: size, invert elevation

d. Storm sewer: Size, invert elevation

e. Electric lines

f. Telephone lines

g. Communication lines

h. Fire hydrants

I. Steam lines-size, Manholes

6. Unusual site characteristics:

a. Wells

b. Ditches and canals

c. Springs, seeps, etc.

d. Bodies of water (lakes, ponds, wet-lands, floodplain, streams, etc. ) Stream data to include spot elevation in channel & top banks

e. Other (identify)

1.4.0 PROJECT DEVELOPMENT SCHEDULE

The Designer shall prepare and submit a proposed Project Design Development Schedule to the University's Office of the Director of Design & Construction for approval. This schedule shall be submitted within twenty-one (21) calendar days of the date of the Design Contract, and it shall incorporate the end-of-phase milestone dates stipulated in the Design Contract. In addition, this schedule shall show:

1. The start dates and durations of each major phase of design: Program development, schematics, design development, construction documents and bidding.

2. The durations and completion dates of each design review period, which are required to maintain the project schedule. For most projects the normal design review periods are: Schematic Design Review (ten calendar days), Design Development Review (two weeks), Construction Documents Review (thirty calendar days), and Final Review and Approval (two weeks).

3. The projected durations and completions dates of other project-related activities, such as funding decisions, surveys, sub-surface investigations, and all regulatory including zoning approvals.

4. The estimated durations of the construction contract award process and the construction period.

The Project Development Schedule shall be up-dated and re-submitted with each end-of-phase submittal described below.

1.4.1 National Weather Bureau Information

Southeast Regional Climate Center averages for Boone, NC from 1961 - 1990.

Month * Avg Precip mm(in)/ Mean Temp C(F)/ Nor Min Temp C(F)/ Nor Max Temp C(F)

January * 73.41(2.89) / -1.11 (30) / -6.11 (21) / 3.89 (39)

February * 19.13(4.69) / 1.67 (35) / -3.33 (26) / 6.67 (44)

March * * 96.52(3.8) / 5.56 (42) / 0.00 (32) / 11.11 (52)

April * * 108.20(4.26) / 9.44 (49) / 4.44 (40) / 15.00 (59)

May * * 128.02(5.04) / 13.89 (57) / 8.89 (48) / 19.44 (67)

June * * 92.46(3.64) / 18.33 (65) / 12.78 (55) / 23.33 (74)

July * * 127.51(5.02) / 20.00 (68) / 15.00 (59) / 24.44 (76)

August * 94.49(3.72) / 19.44 (67) / 14.44 (58) / 23.89 (75)

September * 84.33(3.32) / 16.11 (61) / 11.11 (52) / 21.11 (70)

October * 93.73(3.69) / 11.11 (52) / 5.56 (42) / 16.11 (61)

November * 105.92(4.17) / 6.67 (44) / 1.67 (35) / 11.67 (53)

December * 80.01(3.15) / 1.67 (35) / -3.33 (26) / 6.11 (43)

2.0 DESIGN REVIEW - Projects costing more than $500,000.

2.1.0 The Designer is required to make submittal and presentations, and to participate in review conferences at various stages of the project planning process.

2.1.1 Presentations and Review Conferences

During the design process, the Designer will be expected to make presentations to various groups who must review and approve the proposed project designs. These groups include the using department, various members of the Department of Business Affairs, the Board of Trustees of the University, General Administration, Offices of State Insurance, Telecommunications and Construction. All conferences and presentations will be scheduled by or with the approval of the Design and Construction Office.

Schematic Design Conferences

Normally several conferences precede the approval of the architectural program and subsequentially the Schematic Design documents. Conferences may be required to clarify the program of requirements, to review and discuss the Designer's design proposals, to discuss the Designer's evaluation of the achieve-ability of the program requirements within budget constraints, and to assist in the definition of alternates which will become an important component of the Construction Documents.

Presentation to the University Administration and the Board of Trustees

The Designer will be expected to make presentations of the project design to appropirate A.S.U. Departments and to the Board of Trustees as necessary. The following exhibits are typically required for these presentations: A simple scale model showing the siting and vicinity of the project (except for renovation projects), the building floor plans, the exterior elevations, and possibly a sketch or rendering. If required these presentations may be scheduled to occur as early as possible in the Design Development Phase of the project.

End of Phase Reviews

At least one conference each will be devoted to the end-of-phase review of the Design Development and Construction Documents, and will be for the purpose of discussing any areas of concern that arise during the review process. The Designer and the Designer's primary consultants will be expected to attend these review conferences.

It should be noted that the University reviews projects to insure that they are developed in conformance with its criteria and that they will be suitable for University purposes, but does not provide a checking or quality control service for the Designer. In some instances, a comment may be made on a technical aspect of the Designer's work; however, the complete responsibility for the technical appropriateness and adequacy of the plans and specifications prepared by the Designer shall remain with the Designer.

2.1.2 Conference Memoranda

The Designer will be expected to record the content of all conferences and, within seven days, to provide a memorandum containing a complete summary of the decisions and actions which affect the project. This memorandum will be submitted to the Director of Design & Construction who will distribute copies to all conferees.

2.1.3 Submittal for Outside Review

The responsibilities for preparing the various permit applications and other submittal required by the local, State or federal agencies having jurisdiction over aspects of the project shall be as follows.

The Designer or the Office of the Director of Design & Construction will coordinate, prepare, and file on behalf of the University the submittal required by:

1. The town of Boone (on all matters).

2. The NC Department of Administration (to demonstrate compliance with the Environmental Policy Act).

3. The North Carolina Department of Transportation (for encroachment agreements only).

4. Southern Bell BICS Engineer, Phone 704-754-1730 (for impact on telephone line usage and planning).

The Designer will be required to provide the background and technical materials necessary to support these submittals; including, when necessary, a storm water management plan, erosion control plan, and/or a traffic control plan. The Designer may also be required to attend public hearing(s) related to these submittals.

The Designer will be expected to file all other applicable permit applications, plans, specifications, and other documents required by any local, State, or federal agencies having jurisdiction over any part of the project. (See Section 203 of the North Carolina Construction Manual.)

2.1.4 Submittal for University Review

In addition to the various State and local agencies which may exercise plan review authority over the project, designs are also reviewed by various departments within the University. The University's Office of Director of Design & Construction will coordinate these end-of Phase reviews.

The Designer shall not proceed to the next phase before receiving written approval of the previous phase from the Director of Design and Construction.

2.2.0 SCHEMATIC DESIGN PHASE

2.2.1 Responsibilities of the Designer

At the beginning of the Schematic Design Phase, the Designer shall confer with the designated representatives of the Owner and the users to review the program and establish the project requirements. The Designer shall summarize these requirements in writing, and this summary shall be provided to the Owner, with a copy to the State Construction Office.

Based on an approved summary of the project requirements, the Designer shall prepare a Schematic Design illustrating the recommended implementation of the program and project requirements.

The Designer is expected to involve the Director of Design & Construction, and through his representative, the using department and appropriate members of the University's Facilities Management Group, during the development of the schematic design. A number of studies may be required to satisfactorily explore the range of alternatives possible.

2.2.2 Schematic Design Phase Submittal

In addition to those copies required by the various state agencies, the Schematic Design Phase Submittal to the University shall consist of three (3) complete sets of the following documents (one set to the CAD Department):

1. A site plan showing the size of the facility, adjacent buildings, generalized topography, roads, walks, and utility service.

2. Schematic plans of all floor levels, including mechanical, electrical, and telephone rooms, service areas, etc. Identify each room or space by functional name.

3. A general description of the project indicating the construction materials, framing systems, and mechanical, electrical, and plumbing systems.

4. A tabulation of floor areas, cubic contents, and a statement of probable construction cost. (Estimates shall include separate items for site work, utility extensions, and other items outside the structure.) Show estimated cost per square foot and per cubic foot. Indicate new construction costs, remodeling costs, including major and minor areas of remodeling, with approximate areas.

5. An up-dated Project Development Schedule.

2.3.0 DESIGN DEVELOPMENT PHASE

2.3.1 Responsibilities of the Designer

Based upon the approved schematic submittal from the University and the Office of State Construction and Insurance the Designer shall prepare the Design Development documents which set forth in detail all of the basic elements, systems, and materials to be used in the project.

During the Design Development process, the Designer is expected to involve the Director of Design & Construction, and through his representative, the using department and appropriate members of the University's Facilities Management Group. A number of studies may be required to satisfactorily explore the range of alternatives possible; for example, two or more structural, electrical and mechanical systems that are feasible for the project shall be evaluated, and the Designer shall select the systems that are best suited to the project.

2.3.2 Design Development Submittal

In addition to the copies required by the various state agencies, the Design Development Phase Submittal to the University shall consist of three (3) complete sets of the following documents (One set to the CAD Department). Additional sets shall be submitted to the Office of State Construction and to the regulatory agencies having appropriate jurisdiction.

1. Site drawing(s) showing adjacent buildings, significant existing features, proposed limits of construction, proposed site improvements, existing and proposed contours, horizontal and vertical control points, general elements of drainage and sedimentation control, utility requirements, and other site data furnished on the previous submittal.

2. Scaled architectural plans of all floor levels. Identify each room or space by name and number.

3. Elevation drawings of every exterior side of each structure showing materials, features, openings, floor and roof lines, grade lines, footings, and everything exposed to view above eaves or parapets.

4. Section(s) through the entire building, selected to best show the relationships of architectural and engineering features.

5. A room finish schedule showing the type of material to be used for floors, walls and ceilings.

6. Equipment and furniture layouts for all rooms, when crucial in indicating the adequacy of the arrangement and configuration of such rooms.

7. The structural system design , including boring logs from the subsurface investigation report; the allowable soil bearing pressure; a foundation plan showing the basic elements of the foundation system; typical floor framing plan showing size, spacing, and type of principal members; a roof framing plan; and the locations of shear walls and/or bracing with such additional information as may be necessary to describe the method of lateral load resistance. Structural drawings shall show the design floor loadings of all areas.

8. The plumbing design, showing the general development of the plumbing system, including source of supply and disposal of waste.

9. The mechanical design, showing the basic layout and location of HVAC equipment, piping, and duct-work; a schematic of the temperature control systems; diagrams of air, hot water, and/or steam systems, chilled water and condenser water systems; and major design calculations.

10. The electrical system design, showing an analysis of loads and the major design calculations; the basic fixtures and equipment; and location of the electrical power distribution components including primary service circuits, transformers, main switch-gear, motor control centers, power and branch circuits panels, lighting , and switching patterns.

11. Single line drawings showing the basic elements of the fire alarm, smoke/heat detection, Telecommunications (telephone and data), Campus closed circuit TV, emergency lighting, paging, or other systems in the project.

12. An outline specification, indicating materials, types of construction, and equipment to be used. Include a description of each plumbing, HVAC, fire protection, telecommunications, and electrical system design concept. Include elevator characteristics, and include the names of proposed manufacturers of HVAC, plumbing, fire protection, special systems, data, electrical equipment, and fixed equipment.

13. The reports of the required Life Cycle Cost & Energy Consumption analysis.

14. The maximum steam and hot water demand, for the purpose of determining whether the existing steam systems will be adequate to meet anticipated demand or whether modifications to these systems will be required.

15. A tabulation of building data, including square feet of floor area, cubic content, roof deck "U" factor, heating load in BTUH, air conditioning in tons, plumbing load in drainage fixture units, water demand in peak GPM, electrical loads in KVA, the design live loads, and number of occupants.

16. A statement of probable construction cost using, as a minimum, the requirements expressed in appropriate units such as area, volume, linear feet, tons, BTUH, KW requirements, etc., taking into consideration the actual systems and materials proposed in the submittal. Site work, utility services, and other items outside of the structure shall be shown as separate items. A complete tabulation showing the breakdown of appropriated and/or authorized funds shall be included.

17. An up-dated Project Development Schedule.

2.4.0 CONSTRUCTION DOCUMENTS PHASE

2.4.1 Responsibilities of the Designer

Based upon the approved Design Development phase submittal from the University and the Office of State Construction and Insurance the Designer shall prepare the Construction Documents and other materials required for the receipt of bids on the project. These shall be prepared as described in the North Carolina Construction Manual.

The University fully supports and encourages minority business participation in projects on the campus, and the Designer should make sure that the latest guidelines from the State Construction Office are followed during the preparation of the documents for bidding.

2.4.2 Construction Documents Phase Submittal

The University requires the submittal of four (4) complete sets of the following documents (one set to the CAD Department & one set to the Physical Plant). Additional sets shall be submitted to the Office of State Construction and to the regulatory agencies having appropriate jurisdiction.

Drawings, Specifications, other components of the Project Manual, and construction cost estimate, all as described in the North Carolina Construction Manual, with date/year stamp . (It is extremely important that there shall be on the first sheet of drawings a tabulation of building data, including square feet of floor area, cubic content, roof deck "U" factor, maximum steam demand, heating load in BTUH, air conditioning in tons, plumbing load in drainage fixture units, water demand in peak GPM, electrical loads in KVA, the design live loads, and number of occupants.)

Where interior or exterior colors, materials, or finishes are specified, a "color board" (one copy only) accurately depicting the materials, colors, and finishes to be used on the project, and indicating their location within the project.

An up-dated Project Development Schedule.

Provide one set of AutoCAD disks showing the site location and exterior elevations with roof plan. This is to be used to update the Campus Map and for planning purposes.

Provide one set of AutoCAD disks and 11" x 17" drawings to the Physical Plant Director showing the architectural floor plan with final approved room numbers as they will be on the room entrance at comption.

After the initial submission of the completed Construction Document, and upon receipt of the review comments, the Designer shall revise the Construction Documents in accordance with the review comments. The Designer shall prepare a written summary of his or her response to the University's comments for review, and the Designer shall provide a copy of this to the Director of Design & Construction within three weeks of the Designer's receipt of the review comments.

2.4.3 Prerequisites to Advertisement for Bids

The Designer may be required to furnish revised copies of the construction documents to the Owner, one copy to the CAD Department, and shall provide additional sets, as required by the North Carolina Construction Manual, to the State Construction Office and other regulatory agencies having jurisdiction

Pre-bid conference if deemed necessary.

Upon final approval of the Construction Documents, the Designer shall provide the University with a total of three (3) copies of the "As-Bid" construction document. These sets must be in the possession of the Director of Design & Construction during bidding.

The date for receipt of bids shall be established by the Designer in consultation with the Owner and the State Construction Office. A period of four weeks is normally required between the publication of the advertisement for bids and the receipt of bids.

2.5.0 BIDDING PHASE

The Designer's Bidding Phase responsibilities, related to advertising for bids, opening of bids, disposition of bids, and award of the construction contract(s), shall be undertaken as outlined by the North Carolina Construction Manual and shall conform with requirements of the applicable NC General Statutes.

2.6.0 CONSTRUCTION PHASE

The Construction Phase will begin with the Designer's receipt of the fully executed copy of the construction contract(s).

2.6.1 Pre-Construction Conference

The Designer, in consultation with the University's Construction Manager, and the Office of State Construction shall arrange for a pre-construction conference. The purpose of this meeting is to review the requirements of the project and to provide a framework for the coordination of all construction activities. The Designer shall send copies of the minutes of this conference to all contractors, the University's Construction Manager, the Director of Design & Construction, the State Construction Office, and to other interested parties.

2.6.2 Notice to Proceed

After coordination with the Office of State Construction and the University's Construction Manger, the Designer shall issue separate "Notice to Proceed" letters to each prime contractor. These letters shall establish the beginning date for each prime contract, and the required completion date. Copies of each letter issued by the Designer shall be furnished to the Owner and to the State Construction Office.

2.6.3 Periodic Observations

The Designer, where required by the design contract, shall provide liaison and necessary observation of the project to ensured compliance with plans and specifications. The University's Physical Plant personnel will also observe work progress periodically and will provide comments to the Designer through the University's Construction Manager. Included among these observations by the Physical Plant will be an above-the-ceiling inspection of all areas before suspended ceilings are installed.

2.6.4 Other Designer Responsibilities

The Designer, where required by the design contract, shall provide other construction contract administration services for the project, including the following:

1. Establish and conduct regularly scheduled monthly progress meetings.

2. Prepare written copies of monthly construction progress reports, with copies of the weekly inspection reports attached.

3. Review submittal. The Designer shall provide the University Construction Manager with one copy of each approved submittal.

4. Provide general administration of the construction contract and processing applications and certificates for payment.

5. Approve results of all field testing on the project.

6. Issue change orders when required.

7. Conduct final inspections.

2.6.5 Project Close-out Responsibilities

The Designer shall provide the following project close-out services upon completion of the project. These shall be as described by the North Carolina Construction Manual, except as modified below.

1. Assemble and forward closing papers.

2. Prepare HVAC system description. The Designer shall prepare a written description of how the entire HVAC system is designed to operate, and shall schedule and conduct a review of the HVAC plans and specifications with Physical Plant personnel prior to the instruction period described in STANDARD SPECIFICATIONS Section 15650.

3. Provide copies of all operations and maintenance manuals. List equipment to be added to the preventive maintenance program. The Designer, at the time of substantial completion of construction, shall provide a list of the mechanical and electrical equipment to be added to the University's preventive maintenance program.

4. Provide the Construction Manager with pre-test results of the fire alarm tests and invite him/her to the final inspection with the Department of Insurance. AS-BUILT drawings of the fire system and spare parts, to include 6% of installed stand alone smoke/heat detectors, shall be handed over the the University within 30 days of the final inspection.

5. Computation and disposition of liquidated damages (if required).

6. Issue Certificate of Final Completion & Compliance.

7. Provide record drawings and specifications within 30 days of substantial completion. In addition to the "reproducibles" required by the North Carolina Construction Manual, the University requires two sets of as-built prints. The project should be drawn using CAD techniques. The University requires that the Designer furnish diskette versions of each CAD-drawn sheet in addition to a hard copy of that sheet, and that the diskette must be of a format which is compatible with Appalachian State University's AutoCAD computing environment. [100% complete as-built floor plans are required on diskette. The University recognizes that some amount of effort to prepare these may be an "additional service" on the part of the Designer.]

8. Provide final report.

3.0 DESIGN REVIEW - Projects costing less than $500,000.

3.1.0 General

A. Relationship with State Reviewing Agencies: The planning procedures related to design an construction of capital improvement projects are outlined in Chapter 2 of the North Carolina Construction Manual, except that for projects under $500,000, the controlling agency is the Board of Governors of The University of North Carolina or its designees.

B. Technical Review by Designer: Each architect or engineer performing work for a university will be advised that the university will not perform an in-depth review of plans and specifications as has been done in the past, by the university and the State Construction Office. The designer will be expected to produce a technically accurate set of plans and specifications that cen be bid without alteration by the owner. A review by the owner will be performed to assure that the owner's needs are met by the project.

The designer is responsible for obtaining review comments in accordance with Section 203 of North Carolina Construction Manual. Approval from all agencies exercising control over any part of the construction planning process must be delivered to the designer and verified by owner prior to setting a bid date.

C. User Review by University: Universities will review plans and specifications for usability, maintenance, and compatibility with existing conditions. The universities are not expected to perform a complete technical review, although under supervision of an architect or engineer, a review may be performed to assure that the technical aspects of the project are consistent with existing conditions and good engineering practice.

D. Design Criteria: The design criteria and policies outlined in Section 112 of the North Carolina Construction Manual are applicable.

E. Review Procedures: The University will consistently seek ways in which to improve the design/review process on projects of $500,000 and less:

5. These may include an early determination (no later than the time of design contract negotiations) as to the number of review submittals. Suggested possibilities:

a. Combine schematic and design development submittal; or

b. Eliminate all but construction document review with sit-down review at 50% completion; or

c. Some projects may only require a construction document review.

6. Establish aggressive schedules for the completion of each phase of project development and establish appropriate communications link with designer to insure schedules are met. (This does require that timely information be provided by user groups.)

7. Establish an effective working relationship with appropriate state reviewing agencies (Department of Insurance, Department of Labor, Department of Health and Human Services, etc.). Coordinate review schedules with these agencies.

8. Determine which offices at the university must review each project and establish aggressive schedules for review response. Suggestions:

a. Schematic and/or design development - 1 week

b. Construction documents - 2 to 3 weeks, depending upon project complexity

9. Emphasize designer responsibility for the projection of technically adequate code compliant plans and specifications. (The universities are not required to perform detailed technical reviews that have become the norm at State Construction, but rather are tasked with ensuring that good engineering practice is being followed and the designer is fulfilling his contractual obligation as enumerated in the design agreement.)

10. Expedite the final review process with early establishment of a bid date.

F. Minority Business Enterprise: G.S. 143-128 requires (in part) that the State have verifiable ten percent (10%) goal for participation of minority businesses in the total value of work for each building project over $100,000. The Office of State Construction, as the awarding authority for all state projects (except highways and bridges), established a program to meet this goal.

General Administration, as the awarding authority for all university projects at or below $500,000, has adopted a program similar to the State Construction program. All documentation previously provided to the Office of State Construction during the award process will be provided to General Administration. This documentation will include:

1. A certificate indicating that either all work is self-performed or the percentage of minority participation if all work is not self-performed.

2. Evidence of the good faith effort made to recruit minority participation if the level of participation proposed is less than 10 percent.

Guidelines for recruitment and selection of minority business for participation in State Construction contracts will be distributed upon request. Please note the responsibilities of the owner and the contractor. The owner is responsible to insure that all tasks assigned to the owner and the contract bidders are fulfilled. Individual campuses in recommending contracts award(s) are by such recommendation certifying that the procedural provisions of the MBE program have ben followed and that good faith efforts to contract and recruit minority business firms have been exercised.

Section 2, paragraphs 8a and 8b of the Guidelines require that the awarding authority specify in writing that actions be taken to ensure good faith efforts in the selection of minority business for participation in contracts awarded. These guides are specified in "MBE Contract Provisions".

G. Bid Guidance: An explanation of single prime and multiple prime contracting is included in the attached guidelines for opening of public construction bids issued by the State Building Commission. The guidelines should be available at all bid openings and referred to in the event that a question arises concerning the need to hold all bids as unread and re-advertise.

3.2.0 ADVERTISING FOR CONSTRUCTION BIDS

State Construction: When a designer has obtained all necessary approvals, and prior to advertising, the designer will contract the State Construction Office for potential conflicts in dates (919-733-7962: David Bullock at extension 222 or Sandra Mangum at extension 226). When date is firm, the designer with concurrence of owners will advertise in accordance with Section 109 of the North Carolina Construction Manual.

3.3.0 BID OPENING, EVALUATIONS OF BIDS, AWARD RECOMMENDATION

A. Bid Opening: At the approved time and place, the designer will open bids in accordance with Section 110 of the North Carolina Construction Manual. An owner representative or supporting school representative as appropriate who is certified as a Capital Projects Coordinator will be present at bid openings and prepared to respond to any questions raised by bidders or potential bidders.

B. Evaluation of Bids:

1. Bids Within Funds Available - The bids may be within funds available. In this case, the owner will forward the bid tabulation certified by the designer to the General Administration certifying that all requirements of the guidelines (including the MBE program) and the North Carolina Construction Manual have been met, and recommending that the contract be awarded.

2. Bids Exceed Funds Available - The owner has several options in this event:

a. The owner may reject all bids and require the designer to redesign and rebid the project. This option will usually be elected when there are very close bids and negotiation appears impractical.

b. If the bed is within 10% of funds available for award, the owner may negotiate with the low responsible bidder in order to bring the contracted work within the funding available.

c. If the low bid is greater than 110% of funds available and the owner wishes to negotiate to bring the bid within funds available, the owner will forward recommendation and supporting data to General Administration prior to negotiation. Time is of the essence so that such recommendation must be forwarded in no more than seven working days following bid opening. The General Administration will respond within five working days of receipt of recommendation.

d. If the award recommendation involves negotiation with the low responsible bidder, the supporting data for award should include signed documentation by the contractor(s) agreeing to the modified price for the work in sufficient detail to permit evaluation to be made of the value to the State for reduction of the work. Only under rare compelling circumstances will such award recommendations included incorporation of additive bid alternates.

e. In all cases, the project must be functional for its purpose if an award recommendation is made.

C. Award Recommendation: If the bid of the lowest responsible bidder is deemed to be valid by the owner and deduction or a negotation has been completed to bring the project within funds available, the owner will recommend to General Administration the award of a construction contract to the successful bidder. Appropriate MBE documentation will accompany the award recommendation.

D. Award: The General Administration will evaluate the bids, obtain necessary approval from Office of State Budget and Management as to availability of funds, and render a decision concerning the award of the contract. Approval may be in writing or by telephone. In the event of telephone approval, the General Administration official will note on a copy of the award letter the following: Approved by (official) on (date) and signed by (General Administration official)

E. Preparation of Contract: After the award has been approved, the designer will prepare the documents as outlined by Section 110.5d of North Carolina Construction Manual and obtain signature of contractor. The designer will then forward the contracts to the owner, whose representative is authorized to commit the university. The owner, in turn will sign and forward the contracts to the Attorney General's representative (919-733-7408) of the Property Control Section, located in the Administration Building, for approval as to form. Inasmuch as the Office of State Budget has already approved the award, the Attorney General representative will return the contracts to the owner, with approval as to form. The owner will distribute copies to the appropriate parties. A construction contract document checklist may be obtained for use in assuring that documentation is complete.

F. Emergency Construction: Public Law paragraph 143-129 states that an exception to public bidding may be made in cases of special emergency involving the health and safety of the people or their property.

The meaning of the word "emergency" within this exception is not susceptible to precise definition and each case must stand upon its own merits as to the emergency nature of the work. The emergency definition and application of G.S. 143-129 should be rare and not used as a remedy for the lack of timely management attention to correction of a problem. In any event, the term "emergency" connotes an immediate and present condition, and not one which may or may not arise in the future, or one that is apt to arise or may be expected to arise.

In the event that such an emergency occurs, the university must do what is necessary to protect health and safety and advise General Administration as soon as possible for further guidance. The authority to exercise such judgment resides with the Chancellor of the institution. Declaration of an emergency and use of emergency contraction procedures while residing with the institutional Chancellor, does not absolve the Chancellor from fiscal responsibility for such action. In most cases, it would appear appropriate for consultation to take place between institutional management and UNC-General Administration to address the financial implications of decisions concerning emergency actions. Under any circumstance, a full report concerning the emergency action taken, long term implications of the action, preventive measures, and financial implications of the decision should be submitted by the institutional chancellor to the President of The University at the earliest practicable date.

3.4.0 PRECONSTRUCTION MEETING

The designer will obtain concurrence of owner for time and place of the pre-construction conference and will advise all parties. A Capital Projects Coordinator will be present. A starting date will not be scheduled until all contracts have been approved and distributed. The designer may issue a Notice to Proceed when advised by the owner. A Notice to Proceed may not be issued under any circumstances, except emergency (see above) in the absence of an award authorization letter from General Administration.

3.5.0 CONSTRUCTION ADMINISTRATION

A. Progress Meeting: Designer shall establish a schedule of progress meetings at the job site in accordance with Section 111.3 of North Carolina Construction Manual. The frequency of meetings will have been set in special conditions of contract and may be revised by owner depending on progress and nature of the work. Minutes of the meeting will be kept by the designer and distributed to all parties.

B. Change Orders: Designer shall issue change orders in accordance with Section 205.3 Item 7 of the North Carolina Construction Manual, except that copies will be forwarded to the General Administration for information. Change order approval will rest with the owner. This communication will state that the work involved is technically sound, the estimate of cost is fair and reasonable, and that the change is within the scope of the contract. It is emphasized that a change order constitutes a formal revision to the scope of work and financial terms of the contract. As such, extreme care must be exercised to ensure that the revised terms of the agreement reflect appropriate value for funds authorized and are in keeping with the intent of the project. The cumulative value of change orders should represent only a small percentage of the value of the original contract award.

C. Legal Advice: In the event that legal advice is required in any phase of the work, the owner's attorney should be consulted. The attorney may contact the Office of the Attorney General, Property Control Section for further advice.

3.6.0 DISPUTES

A. Designer/Owner: When there is a dispute regarding interpretation of the contract document and the contractor claims that he is due additional compensation, the designer will attempt to resolve the issue. If the designer is unable to resolve the issue, the owner will conduct an informal hearing and render a decision.

B. Director of State Construction: In the event the owner/designer and contractor are unable to reach agreement, the contractor may appeal to the Director of State Construction in accordance with G.S. 143-135.3.

3.7.0 FINAL INSPECTION/ACCEPTANCE

A. Final Inspection: Upon notification by the contractor that a project is complete, the designer will conduct a preliminary final inspection of the project to verify completion. When the contractor has corrected all punch list items, the designer will arrange a final inspection with owner, and other listed in Section 111.8 of the North Carolina Construction Manual. Section 111.8 is applicable except that references to State Construction Office are deleted. See also G.S. 133-1(d) which requires involvement of the State Electrical Inspector. Certificate of Compliance and of Completion will be prepared by the designer in accordance with the North Carolina Construction Manual.

B. Acceptance: The Boards of Trustees of individual universities are charged with the responsibility of accepting projects performed by contract. Boards may approve acceptance by a report from the university chancellor, or may delegate acceptance to the chancellor.

C. Contractor Evaluations: Contractor evaluations will continue to be forwarded to State Construction Office with copy to General Administration. The evaluations will be prepared by the owner in accordance with ruled established by the State Building Commission.

3.8.0 DESIGN CRITERIA AND POLICIES

The design criteria and policies outlined Section 112 of North Carolina Construction Manual are applicable except when the State Construction Office is mentioned. In other instances where State Construction Office approval is required, the General Administration of The University of North Carolina will be the agency authorized.

3.9.0 USE OF FORMS, DESIGN AGREEMENTS, CONSTRUCTION CONTRACTS,

BID BONDS, PERFORMANCE BONDS, ETC.

The forms outlined in the North Carolina Construction Manual are generally applicable. Notice to Bidders and General Conditions of the contract forms have been modified to reflect the delegations outlined in these guidelines. A copy of this form is attached herewith as Attachment #1 and will be used for contracts administered by General Administration or delegated. A change order form is also included as Attachment #2. MBE forms are included in Attachment #3 and design agreement forms are Attachment #4. Other forms include bid bonds, performance bonds, and payment bonds as shown in the North Carolina Construction Manual.

3.10.0 ARTICLES for Projects $500,000 or less

See attached Articles.

1. Basic Services of the Designer

2. Additional Services of the Designer

3. Full-Time Construction Inspection

4. The Owner's Responsibility

5. Limitations of Project Cost and Project Scope

6. Reproduction Expenses

7. Payments to the Designer

8. Accounting Records of the Designer

9. Ownership of Plans and Specifications

10. Termination of Agreement

11. Successors and Assigns

12. Extent of Agreement

13. Professional Consultants

14. Designer Evaluation

15. Supplemental Agreement

3.11.0 Attachments

List of Attachments.

1. Instructions to Bidders

2. Forms of Change Order & Contract Change Order Summary

3. MBE Contract Provisions (Construction)

4. Standard Form of Agreement Between Owner and Designer

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