Capital Projects Handbook

Capital Projects Handbook
Yale Facilities Construction & Renovation
2005
A MESSAGE FROM THE ASSOCIATE VICE PRESIDENT
FOR CONSTRUCTION & RENOVATION
January 2005
Dear Colleagues,
The purpose of the Capital Projects Handbook is to document and communicate

the work processes and other important information needed to effectively
complete capital projects at Yale University. Our goal is that this handbook will
be an important source of information and data for our colleagues needing
capital projects as well as the key tool used by Facilities Construction &
Renovation staff to guide the delivery of projects.
The first five pages of this handbook summarize the work process, tasks, and the
deliverables and approvals required to complete each project phase. The
remainder of the handbook provides further detail about completion of projects
including project team organization structure, consultant selection, and cost
estimating.
We expect to update this handbook with internal project experiences and

external benchmarking every three to five years. So, please give us your
feedback as projects are completed in your area so that we can improve the
handbook over time.
Regards,
Jerry A. Warren, P.E.

Associate Vice President
Yale Facilities Construction & Renovation
Front cover: Sterling Memorial Library (original design by James Gamble Rogers;
1998 renovation by Shepley Bulfinch Richardson & Abbott), Rose Walk (Edward
Larrabee Barnes/John M.Y. Lee & Partners), and the Women’s Table (Maya Lin).
(Photo by Michael Marsland)
TABLE OF CONTENTS
Executive Summary ..................................................................................... 3
Facilities Organizations ................................................................................ 6
Project Organizations .................................................................................. 8
Authorization Processes ............................................................................... 10
Project Phases
All Projects: Identification Phase ................................................... 12
Major Projects
Planning .......................................................................... 14
Design ............................................................................. 16
Mid-Size Projects
Planning .......................................................................... 18
Design ............................................................................. 19
Small Projects
Planning .......................................................................... 20
Design ............................................................................. 21
All Projects: Construction Phase .................................................... 22
All Projects: Closeout Phase .......................................................... 23
Consultant Selection .................................................................................... 25
Construction Contracting ............................................................................ 26
Estimates and Budgets ................................................................................. 28
Factors Influencing Projects ......................................................................... 30
Appendices .................................................................................................. 33
Branford College dining hall after its 1999–2000 renovation
(original design by James Gamble Rogers; renovation by Perry Dean Rogers & Partners;
photo by Richard Mandelkorn)
EXECUTIVE SUMMARY
THE CAPITAL PROJECTS HANDBOOK and specifications. In Construction a team of

contractors works from the instructions contained in
Yale University engages in capital projects to achieve
these documents to physically assemble the specified
its strategic goals and to improve the quality of its
materials and equipment into a complete facility.
physical facilities. Considerable resources are
During the final phase, Closeout, the occupants
committed to capital projects each year, and effective
move in, minor unfinished items (the “punch list”)
stewardship demands rigorous processes with
are completed, and the project records are reconciled
appropriate controls to ensure the most effective use
and archived.
of these resources. The process used at Yale is similar
to those used at peer institutions and other
THE TRIPTYK
comparable organizations, and due to the size and
complexity of the projects it can be rather intricate. The Triptyk (shown on the next page) illustrates the
process. Once a project emerges from the
A well-constructed building can endure for many
Identification phase with a go-ahead, it will follow
years without significant renovation, so most of the
one of three paths, depending on its size and
University community has infrequent contact with
complexity.
capital projects. This handbook is intended to
provide a brief explanation of Yale’s process for Major projects are those that consume the most
delivery of capital projects. It was written to University resources and consequently require the
communicate the nuances of the process and to greatest oversight. Because these projects require the
ensure a uniformly high level of performance by the most intensive planning and design, they must go
Facilities organizations and their consultants. through every step of each phase and therefore take
longest to complete. Projects with budgets over $4
FROM IDEA TO COMPLETED PROJECT million are considered to be major projects.
The life of a capital project includes five distinct Mid-size projects are less complex and can bypass
phases. Each phase is made up of a variety of related some steps, which will vary from project to project.
sub-phases and tasks that must be completed, Mid-size projects typically have budgets above
resulting in a set of deliverables that defines the work $200,000 up to $4 million.
to be done in the next phase and serves as the basis
Small projects can move fastest through the process,
for approval to proceed to that phase.
bypassing some steps and tasks within each phase.
During the first phase, Identification, project goals The Planning phase can often be significantly
are identified and support for the proposed project is condensed without sacrificing quality. Small projects
sought from the administration. In Planning, the have budgets of $200,000 or less.
planners work from the defined goals; develop the
An abbreviated list of steps and significant tasks in
program; and balance the competing objectives of
each phase of a major project is presented beside the
scope, budget, and schedule. The project then
Triptyk. This table also shows the action required to
proceeds to Design, during which architects and
initiate each phase, the primary deliverable produced
engineers work from the defined scope and budget to
during the phase, and the primary stakeholders who
develop the design in stages, verifying the budget at
have the greatest involvement in the phase.
each stage and then producing construction drawings
Capital Projects Handbook 2005 3

THE TRIPTYK: THREE PATHS FOR DELIVERING A CAPITAL PROJECT
4 Capital Projects Handbook 2005

THE TASK LIST: PHASES AND TYPICAL TASKS NEEDED TO COMPLETE A MAJOR PROJECT
(some steps may not be required in mid-size and small projects)
Phase Sub-Phase Tasks Deliverables Stakeholders

Requesting department articulates a need for capital improvements and
identifies a potential funding source
Requesting
Requesting department works with funding authority and cognizant Officer to
Memorandum of department,
assess needs
IDENTIFICATION Understanding YFC&R,
Determine project goals
PHASE with placeholder Funding authority,
Define general scope and options, including enabling projects
estimate and
Develop placeholder estimates based on comparable project costs
Cognizant Officer
Confirm funding sources and include in capital budget
Select consultants
Obtain approval from Corporation Buildings and Grounds Committee
Conduct project orientation meeting
Begin documenting compliance with OMB Circular A-21 (only projects over
$10 million for programs receiving federal funding) Feasibility Study
Define project objectives: accessibility, building codes, community issues, with
environmental issues, historic preservation, security, sustainability, etc. recommended
Feasibility
Identify key site, utility, and building relationships option and
Requesting
Perform zoning review feasibility
department,
Develop options with feasibility estimates estimate
YFC&R,
PLANNING Conduct conceptual or component programming
Funding authority,
PHASE Evaluate options and identify preferred option
Cognizant Officer,
Confirm acceptability of preferred option with all stakeholders
and
Conduct detailed space programming
B&G Committee
Develop conceptual design, with siting and massing
Programming
Develop design guidelines
Study with
Develop general building systems descriptions
Programming programming
Determine contracting approach and select CM
estimate;
Review conceptual design with Design Advisory Committee and B&G
project budget
Committee
Confirm scope, budget, and schedule with all stakeholders
Investigate existing conditions
Analyze code compliance
Reconciled
Preliminary Describe proposed building systems and utilities requirements
scope, estimate,
Design Present to Design Advisory Committee and B&G Committee
and schedule
Conduct progress meetings
Conduct stakeholder reviews
Cost estimate, risk analysis, and value management
Meet with code authorities for preliminary review
Analyze life-cycle costs Requesting
Perform engineering load calculations Reconciled department,
Design
Review with Design Advisory Committee and B&G Committee as needed scope, estimate, YFC&R,
Development
DESIGN Conduct progress meetings and schedule Facilities
PHASE Conduct stakeholder reviews Operations,
Cost estimate, risk analysis, and value management Cognizant Officer,
Site Plan Review; zoning approvals as necessary and
Coordinate all building elements B&G Committee
Conduct peer review
Conduct final review with code authorities
Develop submittal list Drawings
Construction
Identify bid alternates, allowances, unit prices & specs;
Documents
Conduct progress meetings contract price/bid
Conduct stakeholder reviews
Cost estimate, risk analysis, and value management
Establish bidding parameters
Bidding & scheduling
Conduct pre-construction conference
Obtain building permits
Review shop drawings and construction mockups
Certificate of YFC&R and
CONSTRUCTION Conduct progress meetings; distribute project updates to stakeholders
substantial Facilities
PHASE Conduct Owner's inspections and tests
completion Operations
Arrange for municipal inspections
Conduct commissioning & training for building systems
City issues Certificate of Occupancy
Architect issues Certificate of Substantial Completion
Install furniture
Occupants move in
Complete punch list items
CLOSEOUT Closeout
Receive warranties, O&M manuals, and spare parts YFC&R
PHASE Report
Close out contracts & purchase orders
Archive documents
Conduct post-occupancy evaluation (lessons learned, customer feedback)

FACILITIES ORGANIZATIONS
Facilities Organizational Units for the future of the University’s buildings and
grounds; to design capital projects that will satisfy
“Yale Facilities” is made up of two closely related
the needs of the University in a responsible, timely,
service organizations: Yale Facilities Construction &
and cost-effective manner; and to construct safe and
Renovation (YFC&R) and Facilities Operations.
suitable facilities that will empower our customers to
YFC&R is responsible for capital improvements to fulfill their academic, administrative, and service
facilities. The divisions of YFC&R that manage capital missions. Our duties are carried out with pride by all
projects on the central campus are University of our professionals, guided by the principles of
Planning, Project Management, Construction superior service and respect for our customers’
Management, and the Small Projects Group. The individual needs.
YFC&R division that manages projects at the Yale
School of Medicine is YSM Facilities Construction & University Planning
Renovation (YSM FC&R).
University Planning translates the strategic plans and
Facilities Operations is responsible for the day-to-day academic goals of the University into area plans,
operation of facilities, and includes functions such as which address groups of related buildings as well as
custodial services, building maintenance, fire safety, large buildings that require multiple renovation
grounds maintenance, and utilities. projects. Individual projects are generated by these
large-scale plans. University Planning tracks these
YFC&R Mission and other identified capital needs for the ten-year
capital plan, and manages the Identification and
The mission of Yale Facilities Construction &
Planning phases for all major non-medical projects.
Renovation is to plan comprehensively and effectively

The Gilder Boathouse on the Housatonic River in Derby, completed in 2000
(Turner Brooks Architects; photo by Bernstein Associates)
ProGRAM ManageRS documents for construction of all projects. This

group also supports the project manager by providing
Program managers are assigned to the most complex
a continuing presence at the site during critical
major projects; they serve as project executives
periods in the Construction phase.
throughout the life of the project and have ultimate
accountability for keeping the project on budget and
SMaLl Projects Group
on schedule. The program manager directs the
project manager and the project team. For some The Small Projects Group has responsibility for small
projects the program manager may also perform the projects and some mid-size projects (except those at
role of project manager. the School of Medicine). This group establishes the
scope, budget, and schedule for these projects
Project Management through an expedited process called formulation.
They then manage the project through design,
Project Management works from the defined scope,
construction, and closeout.
budget, and schedule and manages the Design phase
for all projects planned by University Planning. After
YSM Facilities CONSTRUCTION &
receiving bids from contractors, they oversee the
RENOVATION
Construction phase and then after the occupants
move in they manage the Closeout phase. Project YSM FC&R includes the YSM Planning Group and YSM
managers have the primary responsibility of ensuring Project Management & Construction. They oversee
that their projects are completed on budget and on identification, planning, design, construction, and
schedule. closeout of all projects at the School of Medicine.
YSM FC&R has dual reporting responsibilities to the
CONSTRUCTION MANAGEMENT Deputy Dean for Finance and Administration of the
School of Medicine in addition to the Associate Vice
The Construction Management group develops
President for Construction & Renovation.
construction execution strategies and contract

PROJECT ORGANIZATIONS
The Project Team on budget, and for maintaining the project schedule
throughout the Planning and Design phases so that
The project team is composed of representatives of all
construction starts on the required date. The project
organizations having an active role in the project.
team leader acts as the University’s representative to
This includes the requesting department, the
all outside firms, directing the services performed by
architect, and the contractor, and it also may include
architects and contractors. The project team leader
departments providing project support, such as ITS
also coordinates the requirements of the Yale design
or Facilities Operations, depending on the nature of
standards and the input of the various departments
the project.
providing project support, and resolves conflicts that
A project team leader is assigned by Yale Facilities sometimes arise among them or between them and
Construction & Renovation (YFC&R), and on large or the project objectives.
complex projects YFC&R may provide additional
It is the responsibility of the project team leader
personnel to assist. During the Identification and
throughout the project to ensure that all stakeholders
Planning phases, the project team leader is a planner
(cognizant Officer, funding authority, requesting
from University Planning or the YSM Planning
department, and YFC&R) are appropriately informed
Group; during Design, Construction, and Closeout, a
of issues that affect them. Because two-way
different skill set is required so a project manager
communication is essential for a successful project,
from the appropriate staff pool takes over the
the project team leader must be involved in every
leadership role. For the most complex major projects,
communication in order to properly coordinate all
the project team leader will be a program manager.
aspects of the project and to make the best use of the
These assignments are shown in Appendix 4.
University’s resources.
THE REQUESTING DEPARTMENT

The requesting department (or school) must also
form an organization to effectively represent its
interests in the project delivery process. During the
Identification phase it is usually the responsibility of
the department leader (e.g., a Dean, Chair, or
Director) to advocate for the project with the funding
authority or cognizant Officer, articulate the project
goals, and, for major projects, participate in the
preparation of the Memorandum of Understanding.
Once the project moves into the Planning phase, the

department usually appoints a building committee
from within its ranks (except for small projects) to
The Project Team determine the specific needs for which the planners
will propose solutions. One of the committee
The relationships of the various team members are members should be designated as the department’s
shown in the diagram above. The project team leader primary project contact, who will represent the
is responsible for coordinating the activities of all department on the project team. Ideally this person
members of the project team, for keeping the project will be able to serve as the requesting department’s

representative throughout the life of the project and THE STEERING TEAM
communicate between the project team and the
Steering teams are used only on the most complex
requesting department.
major projects. They are intended to expedite the
As the project proceeds into Design, the role of the project delivery process and reinforce the role of the
committee diminishes and the role of the project team leader in ensuring that the University’s
department’s representative increases, as the focus resources are used effectively; that the project meets
changes to executing the decisions of the committee. its program, cost, and schedule goals; and that
Usually the department’s representative attends conflicts between these goals are resolved
project meetings and coordinates the department’s expeditiously. The steering team is led by the AVP for
review of progress documents after each sub-phase of Construction & Renovation and also includes the
Design (Preliminary Design, Design Development, project team leader, the leader of the requesting
and Construction Documents). department, the chair of its building committee, a
representative of the funding authority, and
Once Construction begins, the role of the
representatives of other departments as appropriate.
representative diminishes, as it becomes the
responsibility of YFC&R to manage the contractor’s
DECISION-MAKING PROCESSES
activities and keep the department informed of the
progress. The department’s representative attends Each stakeholder represents a particular interest. The
project meetings as the need arises, but must still be requesting department has an interest in securing the
available to respond to unforeseen issues that often facilities it needs to accomplish its mission, while the
arise during construction. Toward the end of the funding authority is the steward of financial resources
Construction phase, the representative’s role that are subject to many competing demands. YFC&R
increases again as the move-in date approaches. must execute the project according to the established
parameters. However, Yale University is the owner
of all campus facilities, and the best interests of the
University are ultimately determined by the President
and the Corporation.
Most decisions made by the project team are the

result of consensus among the various parties.
However, when a consensus decision cannot be
made, the issue is referred to the next level of
authority above the representatives on the project
team. For the largest major projects the matter will
be referred to the Steering Team, while for other
major projects, the AVP for Construction &
Renovation will attempt to resolve the matter with
the funding authority and the leader of the requesting
department. For smaller projects the issue is usually
resolved at the Director level.
An issue should be referred to the sponsors only if the

process described above has failed to produce
resolution. If important enough it may be referred to
the President, who will balance goals, needs,
resources, and constraints to determine the overall
The Steering Team Model best course for the University.

AUTHORIZATION PROCESSES
Capital Budgeting Process The first approval step is the Project Review
Committee (PRC), which meets weekly and includes
The Corporation approves a capital budget prior to
representatives from Facilities Operations, YFC&R,
the beginning of each fiscal year (July 1 to June 30).
Finance, and ITS. PRC reviews the project request,
The process for the next year’s budget begins in the
coordinates the project with other related work, and
fall as new projects are listed with placeholder
offers suggestions for the next phase of the project.
estimates in a ten-year capital plan that is updated
PRC has approval authority for projects up to
throughout the year. This plan is a list of all capital
$200,000 but above that amount it must forward the
needs that are anticipated over the next decade.
project for approval at higher levels.
During the winter, estimates are revisited and
priorities are reassessed and realigned in keeping with Next is the Capital Program Management Group
the University’s strategic goals. Finally, the capital (CPMG), which meets bi-weekly and is chaired by the
plan is refined to efficiently utilize available funding. AVP for Construction & Renovation. It includes
The section that covers the upcoming fiscal year is representatives from Facilities Operations, YFC&R,
submitted as the proposed annual capital budget. the Finance office, the Provost’s office, ITS, and the
Development office. CPMG reviews the project
The capital budget lists major projects individually,
request, ensures that it complies with the University’s
and the funding authority for major projects is the
policies and strategic goals, and offers suggestions for
Provost. All other projects are included under one of
the next phase of the project. CPMG has approval
six categories, each of which has a separate budget
authority up to $2 million but above that amount it
allocation and funding authority as follows:
forwards the project for approval at higher levels.
Programmatic renovations: Provost
Capital maintenance: AVP for Facilities Operations Projects above $2 million up to $4 million are
Utilities: AVP for Facilities Operations approved by the Capital Budget Steering Committee,
Systems and equipment: Vice President for which meets monthly and is jointly chaired by the
Finance and Administration Provost and the Vice President for Finance and
Property acquisitions: Vice President for New Administration. It also includes the Vice President
Haven and State Affairs for Development, all Deputy Provosts, the Assistant
School of Medicine: Dean, School of Medicine Provost for Science and Technology, the AVP for
Finance, the Director of Budget and Planning, the
The capital budget is a one-year spending plan for the
Director of Capital Management, the AVP for
University, but it does not directly confer authority to
Facilities Operations, the AVP for Construction &
disburse funds for any project. Each project phase
Renovation, the University Planner, the Director of
must be individually approved through the project
Project Management, and the Director of YSM FC&R.
approval process described below before financial
commitments can be made or funds can be disbursed. Projects above $4 million must be approved by the
Buildings and Grounds Committee of the Yale
Project Approval Process Corporation, which typically meets four times per
year. In addition to reviewing and approving
The approval process for all projects begins with the
projects, the Committee provides guidance during
project request (see Appendix 3), which is a brief
the development of area planning studies and during
summary of the project prepared by Yale Facilities
the Planning and Design phases of many major
Construction & Renovation (YFC&R). All cost
projects. The current membership is listed at
guidelines described below refer to the anticipated
http://www.yale.edu/about/committees.html.
total cost of the project.

PROJECT APPROVAL PROCESS FLOW CHART

ALL PROJECTS: Identification Phase
Donor Opportunities
Academic Departments Schools
Officers Strategic Plans
Real Estate
Administrative Departments
Capital Maintenance
Screening & Definition

Utilities
Definition compliance issues, hazardous materials mitigation,
IDENTIFICATION Establish Placeholder Estimate
PHASE
related capital maintenance needs, and utility

Major Projects Mid-sized Projects Small Projects
(over $4 million) ($200,000 - $4 million) ($200,000 or less)
SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Planning Phase Approval (B&G)
Feasibility Identification is the

Exceeds
Placeholder
Estimate
Y IE LD
Feasibility Estimate
Formulation
Formulation
(as required)
systems capacities.
process during which the
PLANNING
Programming
PHASE
Exceeds YIE LD Y IE LD
Exceeds
Feasibility Placeholder
Identify options and define a general scope and

Estimate Estimate
Pr ogramming Estimate Formulation Estimate
PROJECT BUDGET PROJECT BUDGET
(Update Capital Budget) (Update Capital Budget Allocation)
Design Phase Approval (B&G)
Preliminary Design
Design Phase Approval
(CBS or CPMG)
(PRC)
University makes the
Exceeds
Budget
Y IE LD
PD Estimate
Design placeholder estimate for each option.
decision to initiate a
Design Development (sub-phases Design
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
Document the justification, goals, impact of

DD Estimate
Construction Documents
capital project.
Y IE LD Y IE LD Y IE LD
Exceeds Exceeds Exceeds

Budget Budget Budget
CD Estimate Cost Estimate Cost Estimate
BIDS BIDS BIDS
CONSTRUCTION
PHASE
Construction Phase Approval
(B&G)
(CBS or CPMG)
(PRC)
deferral, and options (each with appropriate
CLOSEOUT
EXIT
Substantial Completion
exclusions, constraints, scope, budget, and
PHASE
Closeout Report
Inception
schedule).
Triptyk—See page 4 Identification begins when Determine which track the project should take
the requesting department when it proceeds into the Planning phase.
articulates a need for new, renovated, or reconfigured Confirm alignment with the ten-year capital plan
facilities and identifies a potential funding source. and secure the approval of the funding authority.
Any department in the University can generate
requests. Scope Controls
Once the project goals have been defined and possible
Approval
approaches have been identified, specific options and
Before proceeding, an Officer or funding authority scopes of work are developed for satisfying the
must make a general assessment of priorities, defined goals. It is possible that further investigation
benefits, and costs to determine whether the need during the Planning phase may determine that some
and timing of the project align with the strategic of the options developed during Identification are not
goals of the University. feasible for financial or other reasons.
If applicable, enabling projects should also be

Objectives
identified at this time and options for the enabling
The most important objectives of the Identification projects should be developed (including scopes,
phase are: budgets, and schedules). Examples of enabling
Identify and define options for meeting the projects include relocation of groups currently
articulated need. occupying the affected space or increasing the
Align the expectations of all stakeholders capacity of utility lines serving the affected location.
(cognizant Officer, funding authority, requesting
department, and YFC&R) by documenting the Budget Controls
project parameters and goals.
A range of placeholder estimates and tentative
Identify funding to begin Planning.
schedules is developed for all of the options.
For major projects only, include the project in the
Placeholders are developed before any planning or
capital budget with a risk-adjusted placeholder
design has begun and are based on historical unit
estimate.
costs of comparable projects at Yale and at peer
institutions, with a variety of adjustments applied.
Tasks
By themselves placeholders contain high levels of
Determine project goals. uncertainty, so Yale Facilities Construction &
Identify complicating factors such as enabling Renovation performs project cost risk analyses to
projects, swing space requirements, code address uncertainties.

When enabling projects will be required, funding University Planning or YSM FC&R (the MOU format is
sources must also be identified for the enabling included in Appendix 2). The MOU is developed
projects in addition to the desired project. The same jointly by the two organizations and is then
funding source is usually expected to support the submitted to the funding authority for review. If the
enabling projects (except for utilities projects). funding authority agrees to sponsor the project, it
proceeds to the Planning phase.
Schedule Controls
MID-SIZE AND SMALL PROJECT DELIVERABLES: A
The Identification phase has the most uncertainty Memorandum of Understanding may be prepared for
and therefore the amount of time required to complex mid-size projects, but typically the
complete the phase can vary greatly. justification and description elements are discussed in
meetings between the funding authority, requesting
Resources department, and YFC&R. The results of this
discussion are summarized by the project planner in a
A Framework for Campus Planning
Project Overview, which contains all of the elements
Ten-year capital plan maintained by YFC&R
of an MOU in an abbreviated format. The Project
Historical unit cost information maintained by
Overview is circulated for review and is then
YFC&R
submitted to the funding authority.
Comparable project cost information shared among
peer institutions REVIEW: Once the funding authority has reviewed
Facility condition information, maintenance the MOU or Project Overview and agreed to sponsor
histories, and systems master plans maintained by the project, YFC&R determines which of the three
Facilities Operations routes on the Triptyk the project will take. Usually
the project budget is the determining factor, with
Deliverables and Review budgets of $200,000 or less considered small
projects, budgets above $200,000 up to $4 million
MAJOR PROJECT DELIVERABLES: If the identified
considered mid-size projects, and budgets above $4
scope options indicate that the project will require a
million considered major projects. However,
budget greater than $4 million, or will entail
differing levels of complexity or uncertainty may
significant complexity, the Identification phase will
sometimes require a project to take a route other than
conclude with a Memorandum of Understanding
the one indicated by the size of the budget.
(MOU). The MOU consists of a Statement of Need
prepared by the requesting department
and a Project Description prepared by
Installation of Gothic-themed steel trusses in

1997 to support the roof of the Gilmore
Music Library in a courtyard of Sterling
Memorial Library (original design of
Sterling Memorial Library by James Gamble
Rogers, Gilmore Music Library design by
Shepley Bulfinch Richardson & Abbott;
photo by Woody Ford)

MAJOR PROJECTS: PLANNING PHASE
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL Feasibility the planning consultant works with YFC&R
PHASE Major Projects Mid-sized Projects Small Projects
(over $4 million)
SPEED
LIMIT
30
($200,000 - $4 million)
SPEED
LIMIT
50
($200,000 or less)
SPEED
LIMIT
65
and the requesting department to develop the options
Feasibility The goal of the Planning

Exceeds
Placeholder
Estimate
Y IE LD
Formulation
Formulation
(as required)
outlined in the MOU to the extent necessary to
phase is to determine in
PLANNING Programming
PHASE
Exceeds
Estimate Estimate
identify key site, utility, and building relationships;

Programming Estimate Formulation Estimate
Preliminary Design
(CBS or CPMG)
(PRC)
detail the nature of the
Exceeds
Budget
Y IE LD
PD Estimate
Design preliminary space requirements; and building
project and provide the
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
systems. Feasibility estimates and project schedules

DD Estimate
design team with a clear


BIDS BIDS BIDS

(B&G)
(CBS or CPMG)
(PRC)
are prepared for each option. All viable options
CONSTRUCTION
PHASE
definition of the scope that

CLOSEOUT
EXIT
become part of the Feasibility Study, which is then
PHASE
Closeout Report
is to be designed within
presented to the requesting department and funding
Triptyk—See page 4 defined limits of money
authority for selection of a preferred option to be
and time.
developed during the Programming phase.
INITIATION PROGRAMMING: During the Programming sub-

phase, the preferred option identified during
An approval by the Corporation Buildings and
Feasibility is further developed. This sub-phase
Grounds Committee is necessary to begin Planning
confirms that the project meets the user’s needs as
for a major project.
well as the University’s budgetary parameters. The
project team reconfirms the planning and design
APPROVAL
goals identified in the earlier sub-phase and develops
University Planning or YSM FC&R prepares a project a detailed space program, conceptual design and
request that is based on the Memorandum of massing, a programming estimate, and a proposed
Understanding developed in the Identification phase. schedule. Upon approval the programming estimate
The Project Review Committee and Capital Program becomes the project budget.
Management Group review the project request before
it is submitted to the Corporation. SCOPE CONTROLS
The Planning phase is the time during which the
OBJECTIVES
project scope is being defined. The primary controls
The primary objective of Planning is to define the on scope are the project goals and placeholder
specific scope of the project while balancing the estimates defined during Identification, which
competing objectives of quality, cost, and schedule. establish expectations for the Planning phase. Scope
With the appropriate scope defined, the project increases beyond these expectations require
budget and schedule can be determined. Before justification to and approval of the Officers and/or
Design begins, all stakeholders (cognizant Officer, funding authority.
funding authority, requesting department, and
YFC&R) must agree to the definitions of scope, BUDGET CONTROLS
budget, and schedule.
At the end of the Feasibility sub-phase, the risk-
adjusted feasibility estimate is compared with the
SUB-PHASES
placeholder estimate. If the feasibility estimate
FEASIBILITY: The Feasibility sub-phase begins with exceeds the placeholder, either the scope must be
a project orientation that includes the planning revised to reduce the estimate, or a request must be
consultant, the Design Advisory Committee, the made to proceed using a higher budget, or some
requesting department, and YFC&R. During combination thereof. Increases must be justified.

A similar choice must be made at the end of but every study should begin with an executive
Programming if the risk-adjusted programming summary and then systematically define the problem,
estimate exceeds the feasibility estimate, and, again, identify alternatives, evaluate the identified
increases in cost must be justified. However, once alternatives, and recommend one for implementation.
the final project budget is established at the end of Assumptions should be clearly identified and input
the Planning phase, further increases in scope and data should be included for independent evaluation.
budget are typically not permitted.
PROGRAMMING STUDY: The Programming Study
builds upon the selected option from the Feasibility
SCHEDULE CONTROLS
Study. It defines the project in enough detail that the
One of the purposes of the Planning phase is to design team is given a clear understanding of the
eliminate major uncertainties, which sometimes project scope, with its accompanying budget and
result in the discovery of complicating factors not schedule. Once the Programming Study is complete,
detected during the Identification phase. In such no major uncertainties should remain. Once again,
cases additional iterations may be required before there is no standard format for a programming study,
acceptable solutions are developed. However, the but every study should begin with an executive
project planner is responsible for maintaining summary and then restate the project’s goals and
schedules developed at the beginning of the Planning objectives, identify exclusions and constraints on the
phase to the greatest extent possible. Schedule project, and describe the scope, budget, and schedule.
reviews should be a part of every project meeting to The estimate developed at the end of this phase
ensure that unnecessary delays are avoided. becomes a fixed project budget that is expected to
remain constant throughout design and construction.
RESOURCES
REVIEW: The Feasibility Study and Programming
A Framework for Campus Planning Study are each reviewed by the requesting
Program Manual for Capital Projects department and the funding authority. Also, when a
Historical cost information maintained by YFC&R project will have an impact on the architectural
Comparable project cost information shared among character of the campus, the conceptual design is
peer institutions reviewed by the Design Advisory Committee and the
Facility condition information, maintenance Corporation Buildings and Grounds Committee so
histories, and systems master plans maintained by that opportunities to comment are provided before
Facilities Operations the Planning phase is completed.
DELIVERABLES AND REVIEW

FEASIBILITY STUDY: This study
identifies options for achieving the
project goals and lists advantages and
disadvantages of each option, including
feasibility estimates. There is no
standard format for feasibility studies,
Construction of the new addition to Pierson

College during its 2003–04 renovation
(original design by James Gamble Rogers,
renovation by Kieran Timberlake Associates;
photo by Philip Handler)

MAJOR PROJECTS: Design Phase
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL Design a facility that conserves energy and
(over $4 million)
SPEED
LIMIT
30
($200,000 - $4 million)
SPEED
LIMIT
50
($200,000 or less)
SPEED
LIMIT
65
improves Yale’s environmental sustainability.
The goal of the Design
Feasibility
Exceeds
Placeholder
Estimate
Y IE LD
Formulation
Formulation
(as required)
Address systems and maintenance needs.
phase is to produce
PHASE
Exceeds
Estimate Estimate
Develop details that are constructable and effective.

drawings and
Preliminary Design
(CBS or CPMG)
(PRC)
Exceeds
Budget
Y IE LD
PD Estimate
Design Specify materials, finishes, products, furnishings,
specifications to
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
and equipment that are of appropriate quality and

DD Estimate
communicate to the

BIDS BIDS BIDS

(B&G)
(CBS or CPMG)
(PRC)
durability for the intended use.
CONSTRUCTION
PHASE
construction team the

CLOSEOUT
EXIT
Coordinate the physical elements of the project.
PHASE
specific nature of the Closeout Report
Determine phasing and sequencing requirements.

Triptyk—See page 4 project to be built. These
Maximize the value and minimize the cost of the
design documents will
project.
form the basis of a legal agreement by the
Maintain the project schedule throughout the
construction manager to build the project described
Design phase so that the Construction phase begins
in the documents for a definite price and within a
on time.
definite time.
SUB-PHASEs
Initiation
Each of the design sub-phases listed below (PD, DD,
An approval by the Corporation Buildings and
and CD) concludes with document reviews by YFC&R,
Grounds Committee is necessary to begin Design for
the requesting department, and appropriate support
a major project.
departments. The design consultant and the
construction manager collaborate to prepare a risk-
Approval
adjusted cost estimate, and a value management
University Planning or YSM FC&R prepares a project exercise is conducted to control the life-cycle costs of
request based on the programming study developed the project. Finally, stakeholder approval is sought
in Planning. The Project Review Committee and before proceeding further.
Capital Program Management Group review the
PRELIMINARY DESIGN (PD): During this sub-phase
project request before it is submitted to the
the designer reviews the programming study and
Corporation.
develops proposed solutions to the design problems.
A construction manager (CM) is usually engaged
Objectives
during PD to provide advice on constructability, cost,
The primary objective of the Design phase is to and scheduling. Existing conditions are investigated
translate the project definition from the and code requirements are analyzed, while systems
programming study into detailed construction descriptions and design criteria are developed for the
documents that can be used by a contractor to mechanical systems. Working from the conceptual
construct the project. Design includes the following design and massing developed during Programming,
major objectives: the architect prepares preliminary plans and models
Design an aesthetically pleasing facility that also with proposals for exterior materials. A presentation
efficiently meets programmatic requirements. is made to the Design Advisory Committee, which
Design flexibility into the project to accommodate comments on the proposed design and offers advice
future needs. to the AVP and project team leader. Some also refer
Comply with zoning, building, and fire codes. to this sub-phase as Schematic Design.

DESIGN DEVELOPMENT (DD): In this sub-phase the than the project budget, then the project may need to
architect develops the design decisions made during be redesigned. Bids are solicited from contractors at
the PD sub-phase and refines all aspects of the design. the end of the Design phase, and, again, redesign
One of the objectives of DD is to discover and address may be required if the bids result in a project cost that
any problems resulting from those design decisions. exceeds the budget.
By completion of this sub-phase, the design should
be developed to the point that no questions remain Schedule Controls
regarding scope, program, relationships, form, size,
Controlling the schedule during Design is critical to
and appearance, and preliminary detailing and
delivering the project as promised. It is very difficult
coordination are demonstrating the feasibility of the
to make up for lost time during the construction
design solutions. The DD sub-phase is the last
phase, and construction activities are often weather-
opportunity for input regarding design issues.
sensitive or constrained by the academic calendar.
CONSTRUCTION DOCUMENTS (CD): In this sub- Furthermore, costs escalate as time passes. Design
phase the design team finalizes details to produce a schedules must be established at the beginning of the
comprehensive, fully coordinated set of drawings and Design phase, taking into account the time needed for
specifications. Design changes at this point usually end-of-phase reviews, cost estimate reconciliations,
cause cost increases and schedule delays. At the end value engineering, and redesign if necessary.
of CD the architect produces a final, complete set of Comparing progress against the design schedule
documents and the project is released for competitive must always be discussed in every regular progress
bids. meeting.
BIDDING AND NEGOTIATION: The construction

Resources
manager receives the bids and provides the
University with a contract price based on the bids. Program Manual for Capital Projects
The Design phase ends when the University has Connecticut Building Code
received a contract price within budget. Connecticut Fire Safety Code
ADA Accessibility Guidelines
Scope Controls Yale Design Standards Manual
YSM Project Manager’s Guide
Changes from the scope defined in the Planning
YSM Design Standards
phase are not permitted without agreement by all
YSM Designer’s Guide
stakeholders. The scope change must be defined in
YSM Constructor’s Guide
writing with its effect on budget and schedule
included, and must be approved by all stakeholders.
Deliverables and Review
BUDGET CONTROLS The primary deliverables of the Design phase are the
drawings and specifications that form the basis of the
Before being engaged for the Design phase, the
construction contract, which could be in the form of a
architect reviews the programming study and must
fixed price bid, a guaranteed maximum price, or cost-
agree to design the defined scope within the specified
plus-fee (refer to the section on Construction
budget and schedule limits. At the conclusion of each
Contracting). In addition, many major projects are
sub-phase of design (PD, DD, and CD), risk-adjusted
reviewed during the Design phase by the Corporation
construction cost estimates are prepared by the CM in
Buildings and Grounds Committee so that the
consultation with the design professional and YFC&R.
Committee has an opportunity to comment on the
If the cost estimates result in a project cost greater
project before the phase is completed.

MID-SIZE PROJECTS: Planning Phase
IDENTIFICATION
Donor Opportunities
Real Estate
Capital Maintenance

Establish Placeholder Estimate
Utilities
GOAL Budget Controls
SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Exceeds
Placeholder
Feasibility
Y IE LD
Formulation
Formulation
The goal of Planning is to At the end of Formulation, the risk-adjusted
Estimate (as required)
determine in detail the formulation estimate is compared to the placeholder.

PHASE
Exceeds
Estimate Estimate
Exceeds
Budget
Preliminary Design
Y IE LD
(CBS or CPMG)
(PRC)
nature of the project and If the estimate exceeds the placeholder, either the
PD Estimate
Design
provide the design team scope must be revised to lower the budget, or a
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
DD Estimate
with a clear definition of request must be made to proceed using the higher

BIDS BIDS BIDS
Construction Phase Approval Construction Phase Approval Construction Phase Approval

(B&G) (CBS or CPMG) (PRC)
CONSTRUCTION
PHASE
EXIT
the scope that is to be budget, or some combination thereof. Increases must
CLOSEOUT
PHASE
Closeout Report
designed within defined be justified. Once the project budget is established,
Triptyk—See page 4 limits of money and time. further increases are typically not permitted.
InitiatioN Schedule Controls

Approval of the MOU or Project Overview by the The iterative nature of developing an acceptable
funding authority is required to begin the Planning project budget sometimes requires schedule
phase for mid-sized projects. adjustments. However, the project planner is
responsible for maintaining schedules developed at
Objective the beginning of the Planning phase to the greatest
extent possible. Schedule reviews should always be a
The primary objective of Planning is to define the
part of every project meeting during the Planning
project scope, budget, and schedule. Before Design
phase to ensure that unnecessary delays are avoided.
begins, all stakeholders (cognizant Officer, funding
authority, requesting department, and YFC&R) must
Resources
agree to the defined scope, budget, and schedule.
A Framework for Campus Planning
SUB-PHASE Program Manual for Capital Projects
Historical unit cost data maintained by YFC&R
FORMULATION: A project planner works with the
Comparable project cost information shared among
requesting department and the funding authority to
peer institutions
develop the options outlined during Identification
Facility maintenance histories and systems master
and identify all major scope elements. Feasibility
plans maintained by Facilities Operations
estimates and schedules are prepared for each option
and a preferred option is selected. The project goals
are reconfirmed and a detailed space program and
conceptual design are developed, with a formulation The Formulation Report begins with an executive
estimate that becomes the project budget. summary in which the project’s goals and objectives
are restated. It evaluates the options listed during
Scope Controls Identification and recommends one option, with all
assumptions clearly stated. The report then defines
During Formulation the primary controls on scope
the selected option in sufficient detail that the design
are the project goals and placeholder estimates
team is given direction regarding the exclusions,
defined during Identification, which establish
constraints, scope, budget, and schedule of the
expectations for the Planning phase. Increases
project. The Formulation Report is reviewed by the
beyond these expectations require justification to and
requesting department and the funding authority.
approval of the funding authority.

MID-SIZE PROJECTS: Design Phase
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL CONSTRUCTION DOCUMENTS (CD): The design
PHASE
team finalizes details. At the end of CD the drawings

SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Feasibility The goal of Design is to

Exceeds
Placeholder
Estimate
Y IE LD
Formulation
Formulation
(as required)
and specifications are released for bids.
produce drawings and
PHASE
Exceeds
Estimate Estimate
Exceeds
Budget
Preliminary Design
Y IE LD
(CBS or CPMG)
(PRC)
specifications to describe BIDDING: Design ends when a contract price within
PD Estimate
Design
the specific scope of the budget is received.

as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
DD Estimate
project. These documents


BIDS BIDS BIDS

CONSTRUCTION
PHASE
EXIT
become a legal agreement Scope Controls
CLOSEOUT
PHASE
Closeout Report
by the contractor to build
Changes from the scope defined in the Planning
Triptyk—See page 4 the project according to a
phase are not permitted without agreement by all
defined cost and schedule.
stakeholders. The scope change must be defined in
writing with its effect on budget and schedule
InitiatioN AND APPROVAL
included.
For projects up to $2 million, an approval by the
Capital Program Management Group is necessary to Budget Controls
begin Design. Projects above $2 million up to $4
Risk-adjusted cost estimates are prepared at the end
million also require approval by the Capital Budget
of each sub-phase. If the cost estimates or bids result
Steering Committee.
in a project cost greater than the project budget, the
project may need to be redesigned.
Objectives
The primary objective of the Design phase is to Schedule Controls
translate the goals defined during the Planning phase
Controlling the schedule during design is critical to
into well-coordinated construction documents, in
delivering the project as promised. Comparing
compliance with building codes, that maximize the
progress against the design schedule must always be
value and minimize the cost of the project.
discussed in every regular progress meeting.
SUB-PHASEs
Resources
For mid-size projects the number of design sub-
Program Manual for Capital Projects
phases is governed by the complexity of the project.
Connecticut Building Code
Each sub-phase used concludes with a cycle of
Connecticut Fire Safety Code
reviews, cost estimates, and value management.
ADA Accessibility Guidelines
PRELIMINARY DESIGN (PD): The architect develops Yale Design Standards Manual
design solutions that meet programmatic YSM Project Manager’s Guide
requirements. Existing conditions are explored and YSM Design Standards
code issues are analyzed. YSM Designer’s Guide
DESIGN DEVELOPMENT (DD): The architect refines
the solutions developed during PD, addressing any
problems resulting from those decisions, and
advances all aspects of the design. DD is the last The primary deliverables of the design phase are the
opportunity for input on design issues. drawings, specifications, and bids. The contract
method is usually a fixed price bid.

SMALL PROJECTS: Planning Phase
IDENTIFICATION
Donor Opportunities
Real Estate
Capital Maintenance

Establish Placeholder Estimate
Utilities
GOAL Scope Controls
SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Exceeds
Placeholder
Feasibility
Y IE LD
Formulation
Formulation
The goal of Planning is to The primary controls on scope are the project goals
determine in detail the and placeholder estimates defined during

PHASE
Exceeds
Estimate Estimate
Exceeds
Budget
Preliminary Design
Y IE LD
(CBS or CPMG)
(PRC)
nature of the project and Identification, which establish expectations for the
PD Estimate
Design
provide the design team Planning phase. Scope increases beyond these
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
DD Estimate
with a clear definition of expectations require justification to and approval of


BIDS BIDS BIDS

CONSTRUCTION
PHASE
EXIT
the scope that is to be the funding authority.
CLOSEOUT
PHASE
Closeout Report
designed within defined
Triptyk—See page 4 limits of money and time. Budget Controls
At the end of Formulation, the risk-adjusted
formulation estimate is compared to the placeholder.
Approval of the Project Overview by the funding If the estimate exceeds the placeholder, either the
authority is required to begin the Planning phase for scope must be revised to lower the budget, or a
small projects. request must be made to proceed using the higher
budget, or some combination thereof. Increases must
Objective be justified. Once the project budget is established,
further increases are typically not permitted.
The primary objective of Planning is to define the
specific scope of the project. With the scope defined,
Schedule Controls
the project budget and schedule can be determined.
Before Design begins, all stakeholders (cognizant The iterative nature of developing an acceptable
Officer, funding authority, requesting department, project budget sometimes requires schedule
and YFC&R) must agree to the defined scope, budget, adjustments. However, the project planner is
and schedule. responsible for maintaining the schedule to the
greatest extent possible.
TASKS
Resources
FORMULATION: During Formulation a planner or
project manager from YFC&R or YSM FC&R works A Framework for Campus Planning
with the requesting department and the funding Program Manual for Capital Projects
authority to develop the options outlined during
Identification and identify all major scope elements. Deliverables and Review
Feasibility estimates and schedules are prepared for
The Formulation Report begins with an executive
each option and a preferred option is selected. The
summary in which the project’s goals are restated. It
project goals are reconfirmed and a detailed space
evaluates the options listed during Identification and
program and conceptual design are developed, with a
recommends one option, with all assumptions clearly
formulation estimate that becomes the project
stated. The report then defines the selected option in
budget.
sufficient detail that the design team is given
The Formulation process can sometimes be direction regarding the exclusions, constraints, scope,
significantly condensed when the project is simple budget, and schedule of the project. The
and straightforward. Formulation Report is reviewed by the requesting
department and the funding authority.

SMALL PROJECTS: Design Phase
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL BIDDING: Design ends when the University receives
PHASE
a bid within the budget.

SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Exceeds
Placeholder
Feasibility
Y IE LD
Formulation
Formulation
The goal of Design is to
produce drawings and

PHASE
Exceeds
Estimate Estimate
PROJECT BUDGET
(Update Capital Budget)
PROJECT BUDGET
(Update Capital Budget Allocation)
Scope Controls
Exceeds
Budget
Preliminary Design
Y IE LD
(CBS or CPMG)
(PRC)
specifications to describe
PD Estimate
Design
the specific scope of the Changes from the scope defined in the Planning
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
DD Estimate
project. These documents phase are not permitted without agreement by all

BIDS BIDS BIDS

CONSTRUCTION
PHASE
EXIT
become a legal agreement stakeholders. The scope change must be defined in
CLOSEOUT
PHASE
Closeout Report
by the contractor to build writing with its effect on budget and schedule
Triptyk—See page 4 the project according to a included, and must be approved by all stakeholders.
defined cost and schedule.
Budget Controls
If risk-adjusted cost estimates or bids result in a
Projects up to $200,000 require approval of a project project cost greater than the project budget, the
request by the Project Review Committee before the project may need to be redesigned.
Design phase can begin.
Schedule Controls
Objectives
Controlling the schedule during Design is critical to
The primary objective of the Design phase is to delivering the project as promised. Comparing
translate the goals defined during the Planning phase progress against the design schedule must always be
into well-coordinated construction documents, in discussed in every regular progress meeting.
compliance with building codes, that maximize the
value and minimize the cost of the project. Resources
TASKS
Connecticut Building Code
DESIGN: For small projects the design process does Connecticut Fire Safety Code
not always need to be subdivided. The primary tasks ADA Accessibility Guidelines
involved in designing a small project are as follows: Yale Design Standards Manual
Develop design solutions that meet the YSM Project Manager’s Guide
programmatic requirements and select one YSM Design Standards
solution. YSM Designer’s Guide
Investigate existing conditions. YSM Constructor’s Guide
Analyze code requirements.
Draw plans, sections, and elevations. Deliverables and Review
Design required modifications to building systems.
The primary deliverables of the Design phase are the
Coordinate all elements of the design.
bids and the drawings and specifications upon which
Finalize all required construction details.
they are based. The contract method is usually a
Review the design with the requesting department.
fixed price bid or a not-to-exceed price bid.
Release the project for bidding.

ALL PROJECTS: Construction Phase
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL Building inspections are conducted by the City.
PHASE
The architect certifies progress payments, which

SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Feasibility The goal of the

Exceeds
Placeholder
Estimate
Y IE LD
Formulation
Formulation
(as required)
are then processed by the project manager.
Construction phase is to
PLANNING
Programming
PHASE
Exceeds
Change orders, when required, are prepared by the

Estimate Estimate
Preliminary Design
(CBS or CPMG)
(PRC)
build the project as
Exceeds
Budget
Y IE LD
PD Estimate
Design architect and priced by the contractor before
designed, on time and on
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
acceptance by the University.

DD Estimate
budget, and deliver the


BIDS BIDS BIDS

(B&G)
(CBS or CPMG)
(PRC)
As completion nears, major building systems are
CONSTRUCTION
PHASE
facility ready for

CLOSEOUT
EXIT
commissioned and maintenance personnel are
PHASE
Closeout Report
occupancy by the
trained in their operation.
Triptyk—See page 4 requesting department.
The City issues the Certificate of Occupancy.
Furniture is installed.
Initiation
Approval by the appropriate committee is required Scope Controls
before Construction can begin.
The drawings and specifications become part of a
legal contract that is binding on both the contractor
Approval
and the University, and deviations require written
YFC&R prepares a project request based on the change orders. Programmatic scope changes also
contract price. Depending on size and complexity, require the approval of the funding authority.
the project request is approved by PRC, CPMG, the
Capital Budget Steering Committee, or the Budget Controls
Corporation Buildings and Grounds Committee.
Once in Construction the cost is fixed by contract and
can only be adjusted by the change order process.
Objective
Changes require review at Director level or higher.
The primary objective of Construction is to build the
project while controlling change orders, use of Schedule Controls
contingency funds, and schedule.
Adherence to the schedule is addressed at each
regular job meeting. The contractor and architect
Tasks
submit written certifications of progress with every
Construction is a very task-oriented process. The application for payment. Schedule changes require
following is a summary of the major tasks that are review at Director level or higher.
required for successful completion of the project.
Conduct a pre-construction conference to Resources
coordinate processes and review the schedule.
Obtain building permits.
The design team reviews shop drawings.
The owner, architect, and contractor conduct
regular meetings to review progress and schedule.
The project manager provides regular updates to
Deliverables
the requesting department and other stakeholders.
Material tests and special inspections are conducted Certificate of substantial completion, with a list of
on behalf of the owner. outstanding deficiencies (called a “punch list”)

ALL PROJECTS: Closeout Phase
Donor Opportunities
Real Estate
Capital Maintenance

Utilities
GOAL Conduct post-occupancy (“lessons learned”)
PHASE
evaluation of the project with all stakeholders.

SPEED SPEED SPEED
LIMIT LIMIT LIMIT
30 50 65
Feasibility The goal of the Closeout

Exceeds
Placeholder
Estimate
Y IE LD
Formulation
Formulation
(as required)
Close out all open contracts and purchase orders
phase is to occupy the
PLANNING
Programming
PHASE
Exceeds
and close the project account.

Estimate Estimate
Preliminary Design
(CBS or CPMG)
(PRC)
facility, complete any
Exceeds
Budget
Y IE LD
PD Estimate
Design Complete the Project Closeout Report.
remaining work not
as required)
DESIGN Exceeds
Y IE LD
PHASE Budget
DD Estimate
finished during the


BIDS BIDS BIDS

(B&G)
(CBS or CPMG)
(PRC)
Scope Controls
CONSTRUCTION
PHASE
EXIT
Construction phase, and
CLOSEOUT
PHASE
Closeout Report
to finish all required Once the contractor has complied with all of the
Triptyk—See page 4 documentation. contract requirements, the architect conducts an
inspection and certifies that all required work has
Initiation been satisfactorily completed; the final payment is
then released. Also, for major projects and some
The Closeout phase begins when the architect issues
mid-size projects, an audit is conducted of adherence
the Certificate of Substantial Completion, indicating
to the terms of the construction contract.
that no significant construction work remains to be
done, and the premises are transferred back to the
Budget Controls
control of the University.
If the construction manager held a contingency, the
Approval unspent construction contingency is returned to the
University’s project account. All unspent project
Additional funding should not be required during the
funds are returned to the funding source when
Closeout phase, so formal approval to begin the
Closeout is complete.
phase is not necessary. However, when project
closeout is complete, CPMG approves the return of all
Schedule Controls
unspent funds to the funding source.
For major projects the Closeout phase usually does
Objectives not end until the contractor’s warranty period expires
(typically one year from the date of substantial
Occupy the facility.
completion). Mid-size projects often close out in four
Complete all outstanding deficiencies.
to six months, depending on complexity, and small
Document the work done in YFC&R records.
projects can close out within one or two months.
Reconcile all project accounting.
Resources
Tasks
Occupants move in.
Punch list items are completed.
If a Temporary Certificate of Occupancy was
issued, obtain the final Certificate of Occupancy.
Obtain record documents from the architect and
Deliverables
deliver them to the Plan Room.
Conduct warranty reviews; problems reported to Record documents
Physical Plant during the warranty period are Post-occupancy evaluation
serviced by the contractor. Project Closeout Report

Sprague Memorial Hall renovation, completed in 2003
(original design by Coolidge & Shattuck, renovation by Kuwabara Payne McKenna Blumberg; photo by Jeff Goldberg)

CONSULTANT SELECTION
The University uses a selection process based on background information, building program, design
qualifications and commercial terms to identify the goals and objectives, construction budget, and project
most appropriate consultant for each project. The schedule. The firms are asked to submit proposals
prime consultant must be an experienced architecture describing how they communicate, analyze programs,
or engineering firm licensed to practice in the State of and design solutions, and also to submit their fee
Connecticut; for most projects the consultant will be proposal. Their approach to the project is of greatest
an architect. The type of services provided and the interest, including their management plan, task
phase during which the firm’s services are retained schedule, and ability to deliver the project scope
depend upon the size and complexity of the project. within the described budget and schedule.
Observations about the project are appropriate, but
Major Projects proposed design solutions are not.
For major projects the architect provides INTERVIEW: Based on a review of the proposals, the
comprehensive services, including structural, finalists are invited to an interview with the selection
mechanical, and electrical engineering, and is retained committee. The focus is on the firm’s approach,
during the Planning phase. The services of the same process, and design solutions to other similar
architect may be retained for the Design phase, or it projects. Schematic designs and models for the
may be deemed in the project’s best interest to retain particular project are inappropriate.
the services of a different architect. The process
RECOMMENDATION: After interviews are completed
includes the following steps:
the firms are ranked according to specific criteria.
IDENTIFICATION OF CANDIDATE FIRMS: The The goal is to reach consensus and to recommend a
University Planner or YSM FC&R prepares a list of consultant firm to the AVP for Construction &
consultant firms in consultation with a selection Renovation and the President.
committee that includes representatives of the
Officers, the Design Advisory Committee, the Mid-sized Projects
requesting department, and YFC&R. Criteria for
For mid-sized projects the process is streamlined to
placing a firm on the initial list of candidates include:
reflect reduced size and complexity. The candidate
Professional reputation
firms generally have a history at the University and
Experience with comparable projects
the process begins with the RFP. In some cases the
Demonstrated success in working with institutions
interview is not required and the recommendation is
comparable to the University
based upon their track record, approach to the
Quality of previous work on campus
project, and ability to provide services within the
Size of the firm relative to the scope of the project
required budget and schedule. The AVP for
REQUEST FOR QUALIFICATIONS (RFQ): The Construction & Renovation makes the selection.
candidate firms are asked to submit their
qualifications for the project, focusing on the criteria Small Projects
listed above. The selection committee reviews the
The process is simplified for small projects. A firm
qualifications and creates a refined list of firms from
with a good track record and project-appropriate
whom proposals will be solicited.
experience, able to provide services within the
REQUEST FOR PROPOSAL (RFP): The RFP contains a required schedule and budget, is selected by the
project description (project brief) including Director, Small Projects, or YSM FC&R.

CONSTRUCTION CONTRACTING
Before selecting a construction contractor, the project CONSTRUCTION MANAGEMENT

team leader must decide which type of construction
In this delivery method a Construction Manager
delivery method is best suited for the project. The
(CM) is selected to construct the project based on
methods generally used at Yale are described below
fully completed drawings and specifications prepared
(not listed in any order of preference).
by an architect hired by Yale, but the CM provides
advice during design. The CM is selected based on
DESIGN-BUILD
competitive proposals from three to five firms.
In the design-build (D-B) method, a construction
The CM approach differs from the other methods in
contractor partners with design professionals to
the following ways:
complete both the design and construction for a fixed
The project manager approves the CM’s
price. The fixed price is typically based on program
construction management staff and their required
requirements and performance specifications. The
time on the project.
D-B contractor is selected by the project team based
The CM provides pre-construction services,
on proposals, including design concepts, from three
including construction cost estimating and
to five D-B contractors.
constructability review, throughout programming
The D-B approach best suits a project where schedule and design.
and cost are the key objectives and the program The project manager approves the subcontractor
requirements are not complex. Changes to the bidders list and the selected subcontractors.
program or architectural design after the Planning All of the costs of the CM and subcontractors are
phase are usually very costly. Design-build proposals “open book” to the project manager and subject to
will be based on different architectural designs, the project manager’s approval. There is no profit
because no architect is hired in advance by Yale to mark-up by the CM on the subcontracts.
prepare design documents.
The CM approach best fits a project where design
requirements are complex, the owner wants to
GENERAL CONTRACTOR
supplement the expertise of its project management
In this delivery method a General Contractor (GC) is staff, and the owner wants full control of the design
hired to construct the project for a fixed price based and construction process. This approach is
on complete drawings and specifications prepared by considered the most cost effective since the CM is
an architect hired by Yale. The GC is selected based involved early to help assure the design is
on competitive bids from three to five firms. constructable and affordable, and the owner can
control the level of services that are purchased.
The GC approach best suits a project where the
primary objective is to get the lowest market price. The CM method is significantly faster than the GC
GC firm price projects take several months longer method when a “fast-track” approach is used. In this
than the other two contract types because the design approach the CM starts construction on each of the
documents must be 100 percent complete before the project components as soon as that particular portion
bidding process begins. Changes during construction of the design is completed and bids are received for
are usually very costly. Since the GC only becomes that work. In new construction the earthwork and
involved in the Construction phase, the project team foundations can begin months before the rest of the
leader must hire other construction consultants building design is fully completed.
during the Planning and Design phases to provide
constructability advice and cost estimating services.

Two types of CM contracts are commonly used at Depth of related experience for the type of project
Yale: Strength of the team organization proposed for the
COST-PLUS-FEE: In a cost-plus-fee contract the project
owner pays the CM the actual cost of the Project execution plan and proposed schedule
construction (based on competitive bids for each Cost of the proposed fees and reimbursable
trade subcontract) plus certain reimbursable expenses for services
expenses without any profit mark-up, and is Financial viability of the firm
charged a fixed fee by the CM for the services
Typically the CM that performs the pre-construction
provided.
services will later be selected to build the project
GUARANTEED MAXIMUM PRICE (GMP): In this
during the Construction phase. The contract is based
contract the CM agrees beforehand that the cost of
on a fee for construction services and reimbursable
the work will not exceed a specified figure, known
expenses that is negotiated before construction
as the GMP. The GMP is based on competitive bids
begins.
for each trade subcontract, but the CM charges an
additional fee for taking on the risk of the
CONTRACTS
guarantee. The CM is also allocated some
contingency to pay for construction changes that Yale has developed a variety of standard contracts and
are within the design intent of the project. forms for the design and construction process. Major
Changes beyond the design intent require approval and mid-size projects use written contracts tailored to
by all stakeholders. the project requirements while the smallest projects
typically use standard purchase orders.
SELECTION PROCESS
Because each major project is unique, many contract
The CM selection process for major projects is terms require negotiation with the other party. In
described here, as it is the most common of the some cases this negotiation process can delay
contract types used for major projects at Yale. execution of the contract.
YFC&R develops an initial list of CM firms that are Design contracts are typically set up on a fixed fee
thought to be capable of successfully constructing the basis (plus reimbursable expenses), but not-to-exceed
project. The project manager then sends a Request contracts based on hourly rates are sometimes used
for Qualifications (RFQ) to the CM candidates at the for smaller projects when scopes are not fully defined.
beginning of the Programming sub-phase. Once the
Construction contracts can have many forms, as
qualifications are received, the project manager and
described in the sections above. In addition, not-to-
YFC&R colleagues pick three to five finalists from
exceed contracts based on time and materials used are
which the CM selection will be made.
occasionally executed for the smallest projects when
The project manager then develops a Request for scopes are not fully defined.
Proposal (RFP) that is sent to the finalists asking for
Changes to contracts must be carefully defined with
their specific proposal to provide pre-construction
regard to the scope of the change and the resulting
and construction services for the project. The
changes to the contract cost and schedule. Contract
candidate firms complete their proposals and are
changes must be signed by all parties before the
interviewed individually on campus by YFC&R. The
change takes effect.
selection is made using the following criteria:

ESTIMATES AND BUDGETS
Project budgets are typically derived from one of two Use of data from comparable projects requires
sources: estimates and bids. Estimates are prepared adjustments to the unit costs to account for
during the Identification, Planning, and Design differences in scope, scale, location, and time. As a
phases; bids are solicited at the end of Design to form result, budgets derived in such a fashion are
the basis for the project budget during Construction. imprecise and require additional analysis to identify
This section describes the various types of estimates and quantify risk factors (see the section on Risk
and budgets, and also addresses the risk analysis and Analysis below).
value management processes used to control the
estimates and budgets. PLANNING PHASE ESTIMATEs
Construction estimates are not guarantees. Actually Estimates produced during the Planning phase
all estimates are predictions of bids that will be include the feasibility estimate, the programming
solicited in the future, after the design has been estimate, and the formulation estimate. Like
completed, and are most appropriately expressed as placeholders, planning estimates are derived from
falling within a range of values. Many factors are comparable project unit cost data, and therefore the
subject to change: material prices can be volatile, the procedure for developing a planning estimate is
labor required to complete a given task may vary similar to that used to produce a placeholder.
based on conditions at the project, and bids can vary However, since some project planning has been
depending on supply and demand in the construction completed and some uncertainties have been
market, to name a few of the most critical factors. addressed, the adjustment and risk analysis
procedures are beginning to improve in accuracy and
Estimates are developed in two basic formats:
precision.
Uniformat and CSI. Uniformat arranges elements of
the cost estimate by building function and is most
DESIGN PHASE EstimatES
useful during Planning, whereas CSI arranges them
by type of product and is most useful during Design phase estimates (as opposed to placeholder
Construction. Conversion from one format to the estimates and planning estimates) are itemized cost
other is usually accomplished by sorting the estimate estimates produced during the sub-phases of Design
according to codes associated with each line item. as the project design takes shape. The design process
resolves uncertainties as it progresses.
PLACEHOLDER ESTIMATES
Because these cost estimates are based on some stage
Placeholder estimates are produced during the of an actual design, they are typically developed by
Identification phase before any planning or design itemizing and quantifying all materials and labor that
has begun and before a preferred option is selected. will be required to complete the project as defined in
In the early stages of a project, before designs are the current design, based on historical databases and
specific enough for itemized cost estimating, project current market costs of similar work.
budgets are established using data from comparable
As with placeholders and planning estimates, design
projects. Comparables are usually in the form of unit
estimates also require adjustments to account for
costs such as dollars per gross square foot of building
differences in scope, scale, location, and time.
area. They are derived from databases of prior
Undefined costs must be quantified using the project
projects completed at the University or undertaken at
cost risk analysis procedure, although as design
peer institutions over the past ten years.
progresses the magnitude of the undefined costs
decreases.

PROJECT BUDGETS This risk analysis process quantifies anticipated but
undefined costs. Project contingencies should also be
The construction cost provided by a construction
included to account for unknowns.
manager or contractor is only one part of the total
project cost. The line item costs that make up the
VALUE MANAGEMENT
project cost are the following:
Construction cost Traditional value management (VM, also known as
Consultant fees value engineering or VE) is a process in which the
Yale management fee project professionals and customer representatives
Operations critically analyze all aspects of the project; if a fresh
Equipment and furnishings outlook is desired, sometimes a few external
Testing professionals not previously involved with the project
Contingency will be included. This group performs a functional
analysis, questions the appropriateness of all major
Construction costs escalate over time. This is due in
design decisions, and investigates alternatives in an
part to ordinary inflation, but also to factors such as
effort to identify solutions with the lowest life-cycle
changes in technology, as more complex systems
cost that balance the competing needs of the project.
must be built into facilities, and changes to building
The intent of the exercise is to maximize the value of
codes, which usually become more restrictive with
the project to the University and to the occupants.
each new edition. All budget figures provided by
YFC&R are expressed in real dollars (i.e., today’s The approach described above is appropriate for the
dollars), but the costs will escalate until construction largest and most complex projects, but abbreviated
begins. It is the responsibility of the Finance Office versions of the process are often utilized, usually
to account for escalation in the ten-year capital plan. involving the construction manager. For smaller
projects the value management process can be as
Risk analysiS simple as a review by YFC&R personnel.
Estimates address defined portions of a project, but Reductions from the approved project program are
additional adjustments for undefined costs should be not appropriate recommendations of a value
made using a project cost risk analysis process. This management exercise unless agreed to by all
involves gathering data about risk factors that may stakeholders.
cause the project to exceed its defined cost, evaluating
these risks by assessing probability distributions and
correlations, and applying probabilities
and costs to each identified risk. This
process should be used on all estimates
produced during the Identification,
Planning, and Design phases.
Underground utilities were replaced

throughout the Old Campus in the summer
of 1998, which created an opportunity to
provide new landscaping for the entire space
(Kenneth Boroson Architects, with Olin
Partnership, landscape architects;
photo by Philip Handler)

Factors Influencing PROJECTS
Institutional projects are impacted by many factors Temperature/humidity requirements

that do not affect simpler projects. A brief discussion Utility systems capacity
of some of the more important factors follows, with Zoning and other governmental regulations
links to sources of more detailed information for
those who require it. The discussion also addresses Design Standards
some of the processes, standards, and guidelines that
In order to provide the desired level of quality in
the University has adopted to deal with these issues.
Yale’s facilities and to promote efficient maintenance,
the Facilities departments have developed design
PLANNING CONSIDERATIONS
standards for certain architectural, mechanical, and
The purpose of planning and formulation is to define electrical systems. Designers are required to
the scope of the project so that the architect knows incorporate the design standards into their projects,
what is to be designed. The two terms imply except where adherence to the standards is not
different levels of investigation: planning refers to an feasible or where a cost-benefit analysis indicates that
in-depth process for a major project and is conducted an alternative approach would be preferable. In such
by an outside consultant, while formulation is a less situations the project manager will provide direction
intensive in-house effort that is used for less complex to the designer.
projects.
Due to the specialized nature of medical facilities,
In both cases planners must consider a wide range of YSM FC&R has developed additional standards for use
factors that may affect the project to assure that the on YSM projects.
scope is properly defined from the outset. In addition
to defining the programmatic needs for the space and Accessibility Standards
its equipment and furnishings, the following is a
Most accessibility issues are governed by state
representative list of factors to be considered during
building code provisions based on the Americans
the planning/formulation process:
with Disabilities Act (ADA) Accessibility Guidelines.
Accessibility
In addition to these requirements, the University’s
Adjacency requirements
Advisory Committee on Resources for Students and
Capital maintenance needs
Employees with Disabilities has developed
Code compliance
supplementary standards to clarify certain
Community issues
ambiguities in the regulations and to alleviate specific
Construction sequencing and phasing
problems experienced at the University.
Design standards
Enabling projects
PROJECT Support
Environmental conditions
Framework plan guidelines Improvements to facilities can have an impact on
Historic preservation issues many departments throughout the University, and all
Media services affected departments are invited to provide input at
Moving and storage various review opportunities during Design. The
Operation and maintenance costs comments are compiled and edited by the project
Prior studies and reports manager to ensure coordination with each other and
Security with the project objectives before being forwarded to
Swing space the architect for inclusion in the design.
Tele/data systems

Typical projects require involvement by many of the classification of the property. Other restrictions, such
following Yale departments that may provide support as title or gift limitations, may also come into play.
during the life of the project or after occupancy: In addition the University and the City sometimes
Facilities Operations enter into voluntary agreements covering issues such
Physical Plant as fire safety compliance or the parking system.
Custodial Services
The Board of Aldermen approves proposals for new
Systems Engineering
or altered planned development districts as well as
Customer Service Group
zone changes. The Board also maintains jurisdiction
University Fire Marshal
over City property, such as streets, so its approval is
Grounds Maintenance
required for placement of Yale utilities within New
Utilities
Haven’s streets, for placement of signs beyond Yale’s
Information Technology Services
property lines, and similar activities.
Telecommunications
Data Network Operations Some projects may have aspects that require
Media Services regulatory approval from state or federal authorities.
Accessibility Committee Certain hazardous conditions, for example, are
University Security regulated by state and federal environmental
Environmental Health and Safety authorities. The State Traffic Commission may have
Dining Halls jurisdiction over the traffic impact of a large new
Parking and Transit building. Historic preservation issues are regulated at
Purchasing local, state, and federal levels. The Department of
General Counsel Public Health regulates medical facilities.
Development
While the Department of Public Safety adopts the
New Haven and State Affairs
State Building Code and the State Fire Safety Code,
the City has jurisdiction for enforcement of these
REGULATORY AUTHORITIEs
codes. The City must issue a building permit before
The City of New Haven regulates land use through construction can begin. Full adherence to all codes is
its zoning ordinance. University projects that involve required unless compliance is not feasible, in which
new buildings, additions to existing buildings, or case a request can be made for modification of a
changes in use require approval of the City Plan specific provision of the code.
Commission, the Board of Zoning
Appeals, or the Board of Aldermen,
depending on the nature and size of the
project and the wetland and zoning
This photo of exposed structure was taken

during the 2002 renovation of 149 Elm
Street, the oldest surviving residence in New
Haven. These wooden beams were hewn in
1767 (renovation design by Gregg, Wies &
Gardner, architects; photo by Philip
Handler)

The servery at Pierson College, following its 2003-04 renovation
(original design by James Gamble Rogers, renovation by Kieran Timberlake Associates; photo by Philip Handler)
A biosafety level 2 research laboratory within the Anlyan Center at the Yale School of Medicine, completed in 2003
(Venturi, Scott Brown & Associates/Payette Associates, architects; photo by Sean Dunn)

Appendices
1. Glossary ............................................................................................... 34
2. Memorandum of Understanding Format .............................................. 36
3. Project Request Format ........................................................................ 37
4. Project Team Leader Assignments ......................................................... 38
5. Project Scope Change Request .............................................................. 39
6. Generic Project Schedules ..................................................................... 40
Construction of the Class of 1954 Chemistry Research Building made it necessary in 2004 to move this
historic house from 285 Prospect Street to its new location at 380 Edwards Street
(renovation design by Christopher Williams Architects; photo by Philip Handler)

AppendiX 1
GLOSSARY
ADA: Americans with Disabilities Act, an act of CO: Certificate of Occupancy, issued by the City of
Congress confirming the civil rights of people with New Haven to permit occupancy of the facility
disabilities, including accessibility to buildings and when all construction work is complete.
programs open to the public. Constructability: The degree of ease or difficulty
AIA: American Institute of Architects, a professional with which a detail or design can be constructed
association that has, among other things, using standard materials and techniques.
developed the most widely used standards for CPC: City Plan Commission, City of New Haven.
construction contracts and associated documents.
CPMG: Capital Program Management Group, a
AVP: Associate Vice President. committee chaired by the AVP for Construction &
B&G: Buildings and Grounds Committee of the Yale Renovation; has project approval authority up to
Corporation, the approval authority for all major $2 million and reviews all larger requests.
projects. CSI: Construction Specifications Institute, a
Benchmarking: The process of comparing Design professional association that has developed the
phase cost estimates or contract prices with most widely used standards for specification
adjusted unit costs of comparable projects to serve formats; these formats are also widely used in
as a check of a project’s scope and budget. construction cost estimating.
BZA: Board of Zoning Appeals, City of New Haven. D-B: Design-Build, a delivery method in which a
CAD: Computer-Aided Drafting, software such as contractor partners with design professionals to
AutoCAD that is used to assist in the design of complete both design and construction for a fixed
buildings and facilities. price, based on a program description and
performance specification.
Capital Budget: The section of the ten-year capital
plan that covers the upcoming fiscal year, itemizing DD: Design Development, the second of three sub-
major projects and creating allocations for groups phases of the Design phase.
of mid-size and small projects, that is approved by Design Advisory Committee: A group appointed by
the Corporation. the President to assist the Corporation, the
Capital Plan, Ten-Year: A list of all capital needs that Officers, and YFC&R in their stewardship of the
are anticipated over the next decade. Yale campus and its architectural character by
offering advice on the design of major projects.
CBS: Capital Budget Steering Committee, a
committee jointly chaired by the Provost and the Formulation Report: The deliverable at the end of
Vice President for Finance & Administration; has formulation (the Planning phase for mid-size and
project approval authority up to $4 million and small projects), describing in detail the project
reviews all larger requests. parameters so that the design team is provided
with a clear definition of the project.
CD: Construction Documents, the third of three sub-
phases of the Design phase. Funding Authority: The individual responsible for
administering a funding source (see page 10).
CM: Construction Manager, a contracting firm
selected to provide advice during design and then GC: General Contractor, a contracting firm selected
construct the project based on fully completed to construct a project based on fully completed
drawings and specifications prepared by an drawings and specifications prepared by an
architect hired by Yale. architect hired by Yale.

GMP: Guaranteed Maximum Price, a figure, based on Project Overview: The deliverable at the end of the
competitive subcontract bids, that can be provided Identification phase for small projects and less-
by a CM in which the firm guarantees that the cost complex mid-size projects, including the
of the work will not exceed a specified amount. justification and description elements of an MOU
HVAC: Heating, ventilating, and air conditioning. but in an abbreviated format.
LCI: Livable City Initiative, City of New Haven Punch list: A list of minor deficiencies remaining
(enforces the State Building Code). when construction is determined to be
substantially complete and the site is returned back
Major Projects: The largest and most complex capital
to the control of the University.
projects, usually with budgets above $4 million.
RFP: Request for Proposal, a document requesting a
Massing: The spatial forms created by the major
proposal for services and associated fees from the
volumes that make up a building, and the
respondent that will assist in narrowing down a
relationship of those forms to the building’s
group of potential service providers to a short list
appearance, proportioning, internal organization,
of finalists who may then be invited to interviews.
and context.
RFQ: Request for Qualifications, a document
MEP: Mechanical, electrical, and plumbing.
requesting a description of the respondent’s
Mid-Size Projects: Capital projects of moderate size qualifications that will assist in narrowing down a
and complexity, usually having budgets above large group of potential service providers to a
$200,000 up to $4 million. smaller list from whom proposals will be solicited
MOU: Memorandum of Understanding, the via an RFP.
deliverable produced during the Identification Small Projects: The smallest and least complex
phase for major projects, consisting of a Statement capital projects, with budgets of $200,000 or less.
of Need written by the requesting department and
Stakeholders: All Yale entities having a significant
a Project Description written by YFC&R.
stake in the project, including the requesting
PD: Preliminary Design, the first of three sub-phases department, funding authority, and YFC&R, and
of the Design phase. sometimes including the cognizant Officer.
Placeholder: An estimate developed prior to any TCO: Temporary Certificate of Occupancy, issued by
study of the project, based on unit costs derived the City of New Haven to permit occupancy before
from databases of comparable projects completed full completion of the construction work if all
at Yale and at peer institutions. essential code requirements have been met.
PM: Project Manager, a professional assigned by Uniformat: A classification standard for building
YFC&R to coordinate the project, maintain the systems that arranges elements of cost estimates by
schedule and budget, direct the services performed building function.
by architects and contractors, resolve conflicts, and
VE: Value Engineering (see VM, Value Management).
maintain proper communication among all
stakeholders and team members. VM: Value Management, a process of reviewing all
aspects of a design to re-examine all assumptions
PRC: Project Review Committee; has approval
and minimize the life-cycle costs of the project
authority for projects up to $200,000 and reviews
(used interchangeably with Value Engineering).
all other project requests.
YFC&R: Yale Facilities Construction & Renovation,
Project Budget: Sum of money allocated for a
the unit responsible for delivering capital projects.
project, including the cost of the contractor plus
other costs such as design consultant fees, Yale YSM: Yale School of Medicine.
management fees, operations costs, furnishings YSM FC&R: Yale School of Medicine Facilities
and equipment, testing, and a project contingency. Construction & Renovation.

AppendiX 2
MEMORANDUM OF UNDERSTANDING FORMAT
The Memorandum of Understanding, prepared at the PROJECT DESCRIPTION

end of the Identification phase for all major projects
The Project Description addresses the aspects of the
and some mid-size projects, is a two-part document
project for which expertise is furnished by YFC&R,
that is addressed to the University administrators
and includes the following sections:
who are requested to sponsor the project.
SCOPE OPTIONS: Describe several feasible alternative
The first part, the Statement of Need, is written by
scopes of work that will accomplish all of the essential
the requesting department. The second part, the
program elements and varying numbers of optional
Project Description, is prepared by YFC&R. This
elements. Each alternative should also address the
information forms the basis for the project requests
following:
that initiate Planning, Design, and Construction.
CONSTRAINTS: List any factors that may preclude
full accomplishment of the project goals for the
STATEMENT OF NEED
option described, or will significantly increase the
The Statement of Need addresses the aspects of the cost of the option.
project that are within the purview of the requesting EXCLUSIONS: List scope elements that might be
department. Enough detail should be provided to expected to be included in the project but will not
justify a commitment of the University’s resources. It be addressed under that option.
should include the following sections: RELEASED SPACE: Identify space that will be
vacated after the project is complete.
INTENT: Summarize the desired goals and the
proposed improvement in one or two paragraphs. ENABLING PROJECTS: List all related projects that
What is to be accomplished with this project? will be necessary to fully accomplish the goals
described in the Statement of Need. Provide a brief
JUSTIFICATION: Describe the factors that justify the
description of scope options, placeholder estimates,
investment of University resources in this project.
and tentative schedules for each such project.
How does it align with the University’s mission,
strategic goals, or academic plans? PLACEHOLDER ESTIMATES: Provide a risk-adjusted
placeholder estimate for each option evaluated. All
IMPACT OF DEFERRAL: Describe the consequences if
placeholder estimates should be based on unit cost
the project does not proceed at this time.
data from comparable projects with appropriate
BACKGROUND: Describe the relevant history of the adjustments applied, and should also include
program. Include other pertinent factors, such as amounts for undefined costs as well as contingencies.
changes in the research or business environment Supporting data should be attached. All budget
outside of the University. figures should be expressed in real dollars.
PROGRAM ELEMENTS: Describe the program TENTATIVE SCHEDULES: Provide a schedule of time
elements that are desired and the characteristics of required to plan, design, and construct the proposed
each, and note whether each is essential or optional. improvements for each option evaluated, including
contingency time for undefined tasks.
ALTERNATIVES: Describe potentially feasible
alternatives that may fulfill the desired goals.

AppendiX 3
PROJECT REQUEST FORMAT
Project Name Project No: Number

Building Name For consideration by Approval Committee on Date
REQUEST
Increase the prior approval of Dollar Amount of Prior Approval by an amount of Dollar Amount of
Increase for a new total of Dollar Amount of Requested Total to complete Phase for Project Name,
funded by Funding Source.
PROJECT INTENT
State the intent and justification of the project in a sentence or short paragraph.
PROJECT SCOPE Project Size: Gross Area GSF Assignable Area ASF
Project Scope Change, Current Request:
· Provide a short bullet list of major scope items.
Previously Approved Project Scope:
· Provide a short bullet list of major scope items.
·
·
·
Options/Alternates: List the identified options (for Planning phase authorization) or anticipated major
bid alternates (for Design phase authorization).
Exclusions: List the major exclusions from the project scope.
FINANCIAL
Current Request Anticipated Total Cost (ATC)
Previous Approvals $ ATC on Previous Approval $
Requested Increase + $ Current ATC – $
Requested Total $ ATC Variance $
Cause of Change in ATC: State reason for variance.
Unit Costs (based on current ATC) Capital Budget
Construction Cost per GSF $ Current Year Amount $
Project Cost per GSF $ Budgeted Total Cost (BTC) $
Project Cost per ASF $ Capital Plan Variance (BTC - ATC) $
SCHEDULE
Planning: m/yy-m/yy Design & Bidding: m/yy-m/yy Construction: m/yy-m/yy
Schedule Issues: List pertinent schedule issues, if any, including impact of deferral.

AppendiX 4
PROJECT TEAM LEADER ASSIGNMENTS

AppendiX 5
PROJECT SCOPE CHANGE REQUEST
Project Name Project No: Number
SCOPE CHANGE
· Provide a bullet list of scope elements being added, deleted, or modified.
· Include changes in GSF or ASF if applicable.
·
JUSTIFICATION FOR CHANGE

· Describe the reasons for proposing the change.
·
BUDGET IMPACT
Budget Amounts Project Cost per GSF
Previous Project Budget $ $
Increase/Decrease Due to this Change $ $
New Project Budget $ $
Note: Budget increases will require submission of a new project request to the applicable authorizing body.
SCHEDULE IMPACT
Current Phase Occupancy Date
Previous End Date Date Date
Increase/Decrease Due to this Change (days) 0 0
New End Date Date Date
APPROVAL
REQUESTING DEPT: YFC&R: FUNDING AUTHORITY:
Name Name Name

Title Title Title
Date: Date: Date:
Approvers for Major Projects: AVP for Construction & Renovation Provost
Approvers for Mid-Size Projects: AVP for Construction & Renovation Budget Allocation Authority (see p 10)
Approvers for Small Projects: Director, Small Projects or Budget Allocation Authority (see p 10)
Director, YSM FC&R

AppendiX 6
GENERIC PROJECT SCHEDULES

The Anlyan Center at the Yale School of Medicine, completed in 2003
(Venturi, Scott Brown & Associates/Payette Associates, architects; photo by Matt Wargo)
Back cover: A living room within a student suite in Vanderbilt Hall, following
its 2002–03 renovation (original design by Charles C. Haight, renovation by
Herbert S. Newman & Partners; photo by Woodruff & Brown)

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Capital Projects Handbook

Yale Facilities Construction & Renovation

The purpose of the Capital Projects Handbook is to document and communicate

We expect to update this handbook with internal project experiences and

Jerry A. Warren, P.E.

Executive Summary ..................................................................................... 3

Facilities Organizations ................................................................................ 6

Project Organizations .................................................................................. 8

Authorization Processes ............................................................................... 10

All Projects: Identification Phase ................................................... 12

All Projects: Construction Phase .................................................... 22

All Projects: Closeout Phase .......................................................... 23

Consultant Selection .................................................................................... 25

Construction Contracting ............................................................................ 26

Estimates and Budgets ................................................................................. 28

Factors Influencing Projects ......................................................................... 30

THE CAPITAL PROJECTS HANDBOOK and specifications. In Construction a team of

Capital Projects Handbook 2005 3

4 Capital Projects Handbook 2005

Phase Sub-Phase Tasks Deliverables Stakeholders

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6 Capital Projects Handbook 2005

ProGRAM ManageRS documents for construction of all projects. This

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THE REQUESTING DEPARTMENT

Once the project moves into the Planning phase, the

8 Capital Projects Handbook 2005

Most decisions made by the project team are the

An issue should be referred to the sponsors only if the

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Screening & Definition

related capital maintenance needs, and utility

Planning Phase Approval (B&G)

Feasibility Identification is the

Identify options and define a general scope and

Design Phase Approval (B&G)

Document the justification, goals, impact of

Exceeds Exceeds Exceeds

If applicable, enabling projects should also be

12 Capital Projects Handbook 2005

Installation of Gothic-themed steel trusses in

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Screening & Definition

Feasibility The goal of the Planning

identify key site, utility, and building relationships;

Design Phase Approval (B&G)

systems. Feasibility estimates and project schedules

design team with a clear

Exceeds Exceeds Exceeds

Construction Phase Approval

definition of the scope that

INITIATION PROGRAMMING: During the Programming sub-

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DELIVERABLES AND REVIEW

Construction of the new addition to Pierson

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Screening & Definition

Develop details that are constructable and effective.