Project Managment Manual

Brock University
Capital Planning & Project Management
Project
Management
Manual
Version 2.1 – March 2020

Project Management Manual
Table of Contents
Table of Contents
1. Introduction ............................................................................................................ 1
1.1 Overview .......................................................................................................... 1
1.2 Objectives......................................................................................................... 1
1.3 Organization ..................................................................................................... 1
1.4 Supporting Documents ..................................................................................... 2
1.5 Version Control ................................................................................................. 9
1.6 Deviation Form ............................................................................................... 10
1.7 Glossary of Acronyms .................................................................................... 10
2. Organizational Design ......................................................................................... 14
2.1 Governance .................................................................................................... 14
2.1.1 Bicameral Governance of Brock University ............................................... 14
2.1.2 The Brock University Act ........................................................................... 14
2.1.3 Board of Trustees ...................................................................................... 14
2.1.4 Senate ....................................................................................................... 15
2.2 Organizational Structure ................................................................................. 16
2.2.1 Facilities Management ............................................................................... 16
2.2.2 Capital Planning & Project Management ................................................... 17
2.3 Budget Process .............................................................................................. 17
2.3.1 Review Fiscal Framework.......................................................................... 18
2.3.2 Issue Call for Projects ................................................................................ 20
2.3.3 Receive Project Initiation Forms ................................................................ 20
2.3.4 Review Project Initiation Forms and Assess Needs .................................. 20
2.3.5 Space Request Procedure......................................................................... 21
2.3.6 Evaluate and Prioritize Projects ................................................................. 22
2.3.7 Develop Five-Year LTCP ........................................................................... 22
2.3.8 Approve Five-Year LTCP........................................................................... 22
2.4 Funding Sources ............................................................................................ 23
2.5 Types of Projects ............................................................................................ 23
2.6 Project Charter ............................................................................................... 24
Version 2.1, March 2020 Page i

Table of Contents
2.7 Project Structure ............................................................................................. 25

2.8 Roles and Responsibilities ............................................................................. 25
2.9 Document Management ................................................................................. 27
2.10 Scope-Cost-Time............................................................................................ 29
2.10.1 Work Breakdown Structure .................................................................... 30
2.10.2 Monitoring .............................................................................................. 30
2.11 Project Management ...................................................................................... 31
2.12 Delegation of Authority Policy ......................................................................... 32
2.13 Purchasing Policy ........................................................................................... 32
3. Project Planning and Initiation............................................................................ 33
3.1 Project Scoping .............................................................................................. 33
3.2 Feasibility Study ............................................................................................. 34
3.3 Project Budget ................................................................................................ 34
3.3.1 Project Budget Sheet ................................................................................. 34
3.3.2 Contingencies ............................................................................................ 35
3.3.3 Moving Costs ............................................................................................. 36
3.4 Cost Estimating .............................................................................................. 36
3.5 Project Schedule ............................................................................................ 36
3.6 Cash Flow Projection...................................................................................... 37
3.7 Stakeholder Identification ............................................................................... 37
3.8 Approvals and Permits ................................................................................... 38
3.9 Risk Management........................................................................................... 40
3.9.1 Risk Management Plan.............................................................................. 40
3.9.2 Risk Management Procedure .................................................................... 40
3.9.3 Insurance and Bonding .............................................................................. 44
4. Execution .............................................................................................................. 45
4.1 Retention of Professional Services ................................................................. 45
4.1.1 Exception Certification ............................................................................... 45
4.1.2 ID Cards for Professional Service Providers.............................................. 45
4.2 Standard Bid Documents ................................................................................ 47
4.3 Standing Offer Agreements ............................................................................ 48
Version 2.1, March 2020 Page ii

Table of Contents
4.3.1 Establishment of New Standing Offer Agreements .................................... 48

4.3.2 Initiating Consultant Work Under SOA ...................................................... 49
4.4 Purchase Requisition...................................................................................... 50
4.5 Professional Services Agreement................................................................... 51
4.5.1 Projects with Professional Fees Greater Than $100,000 .......................... 51
4.5.2 Projects With Professional Fees Less Than $100,000 .............................. 51
4.6 Consultant Invoicing ....................................................................................... 52
4.6.1 Monthly Invoice.......................................................................................... 52
4.6.2 Invoiced Amount Approvals ....................................................................... 52
4.6.3 Payment and Cost Tracking ...................................................................... 52
4.7 Interruption of Professional Services .............................................................. 53
5. Design ................................................................................................................... 54
5.1 Design Process .............................................................................................. 54
5.2 Design Considerations ................................................................................... 54
5.3 Design Team .................................................................................................. 55
5.4 Design Team Meetings................................................................................... 57
5.4.1 Scheduling ................................................................................................. 57
5.4.2 Meeting Agenda and Review Documents .................................................. 57
5.4.3 Meeting Minutes ........................................................................................ 58
5.5 Support Studies and Expert Consultants ........................................................ 58
5.6 Stakeholder Input ........................................................................................... 59
5.7 Design Review ............................................................................................... 61
5.8 Cost Estimating .............................................................................................. 62
5.8.1 Operating and Maintenance Costs ............................................................ 64
5.9 Value Engineering .......................................................................................... 65
6. Pre-Construction .................................................................................................. 66
6.1 Project Contracting Strategy ........................................................................... 66
6.2 Contractor Pre-Qualification ........................................................................... 67
6.3 Approvals and Permits ................................................................................... 68
6.4 Tender Package ............................................................................................. 68
6.5 Addenda ......................................................................................................... 68
Version 2.1, March 2020 Page iii

Table of Contents
6.6 Tender Evaluation and Award ........................................................................ 69

6.6.1 Bid Analysis ............................................................................................... 69
6.7 Insurance and Bonding................................................................................... 69
6.8 Contractor Purchase Requisition .................................................................... 70
6.9 Agreement / Contract ..................................................................................... 70
6.9.1 Projects With Construction Costs Greater Than $100,000 ........................ 70
6.9.2 Projects With Construction Costs Less Than $100,000 ............................. 71
6.9.3 Supplier Purchasing Contract .................................................................... 71
6.10 Communication Plan ...................................................................................... 72
6.10.1 Audience ................................................................................................ 73
6.10.2 Content ................................................................................................... 74
6.10.3 Methods of Communication .................................................................... 76
6.10.4 Project Status Reports ........................................................................... 78
6.10.5 Requests and Follow-Up ........................................................................ 79
6.10.6 Communication Reminders .................................................................... 79
7. Construction ......................................................................................................... 80
7.1 Pre-Construction Meeting ............................................................................... 80
7.1.1 Scheduling ................................................................................................. 80
7.1.2 Meeting Agenda ........................................................................................ 81
7.2 Site Meetings .................................................................................................. 85
7.3 Contractor Health and Safety ......................................................................... 85
7.4 Procedure for Hot Work Permit ...................................................................... 86
7.5 Procedure for Scheduling Work on Fire Protection Equipment ...................... 88
7.6 Securing and Housekeeping of the Site ......................................................... 90
7.7 Quality Control ................................................................................................ 91
7.7.1 Quality Program Overview ......................................................................... 91
7.7.2 Quality Control ........................................................................................... 92
7.7.3 Quality Control Plan Phasing ..................................................................... 92
7.8 Schedule Management................................................................................... 93
7.9 Requests for Information ................................................................................ 93
7.10 Change Management ..................................................................................... 94
Version 2.1, March 2020 Page iv

Table of Contents
7.10.1 Supplemental Instruction ........................................................................ 94

7.10.2 Contemplated Change Notice (CCN) and Change Order (CO) .............. 94
7.10.3 Change Directive .................................................................................... 95
7.10.4 Tracking of Changes .............................................................................. 97
7.11 Shop Drawings / Submittals ........................................................................... 97
7.12 Factory and Site Acceptance Testing ............................................................. 97
7.13 Project Budget Management .......................................................................... 98
7.14 Monthly Progress Payments ........................................................................... 98
7.15 Inspectors Log / Field Reviews ..................................................................... 101
7.15.1 Photographs ......................................................................................... 101
7.16 Deficiencies .................................................................................................. 101
8. Commissioning .................................................................................................. 102
8.1 Work Included .............................................................................................. 102
8.2 Abbreviations ................................................................................................ 102
8.3 Commissioning Authority .............................................................................. 103
8.4 Coordination ................................................................................................. 103
8.4.1 Commissioning Team .............................................................................. 103
8.4.2 Management............................................................................................ 103
8.4.3 Scheduling ............................................................................................... 103
8.5 Commissioning Process ............................................................................... 104
8.5.1 Commissioning Plan ................................................................................ 104
8.5.2 Commissioning Process .......................................................................... 104
8.6 Commissioning Responsibilities ................................................................... 106
8.7 Systems to be Commissioned ...................................................................... 107
8.8 Commissioning Meetings ............................................................................. 108
8.9 Startup, Commissioning Datasheet, and Initial Checkout ............................. 108
8.9.1 General .................................................................................................... 108
8.9.2 Startup and Initial Checkout Plan ............................................................ 109
8.9.3 Execution of Commissioning Datasheets and Startup ............................. 109
8.9.4 Deficiencies, Non-Conformance and Approval in Checklists and Startup 110
8.10 Functional Performance Testing ................................................................... 110
Version 2.1, March 2020 Page v

Table of Contents
8.10.1 Objectives and Scope .......................................................................... 110

8.10.2 Test Methods........................................................................................ 111
8.10.3 Development of Test Procedures ......................................................... 111
8.10.4 Setup .................................................................................................... 111
8.10.5 Sampling .............................................................................................. 111
8.10.6 Coordination and Scheduling ............................................................... 112
8.10.7 Problem Solving ................................................................................... 112
8.11 Documentation, Non-Conformance and Approval of Tests .......................... 112
8.11.1 Documentation ..................................................................................... 112
8.11.2 Non-Conformance ................................................................................ 112
8.11.3 Approval ............................................................................................... 113
8.12 Operation and Maintenance Manuals ........................................................... 113
8.13 Training of Owner O&M Staff ....................................................................... 113
8.14 Seasonal Testing .......................................................................................... 115
8.15 System Operation Manual ............................................................................ 115
8.16 Quality Assurance Development .................................................................. 115
9. Post Construction and Project Closeout ......................................................... 116
9.1 Post Construction and Project Closeout Procedures .................................... 116
9.2 Internal Closeout Procedures ....................................................................... 117
9.3 Lessons Learned Procedures ....................................................................... 119
9.3.1 Post Occupancy Evaluation Survey ......................................................... 119
9.3.2 Lessons Learned Workshop .................................................................... 120
List of Tables
Table 1. Supporting Documents and Templates ............................................................. 2
Table 2. Project Management Manual Version Control ................................................... 9
Table 3. Glossary of Acronyms ..................................................................................... 10
Table 4. Funding Sources ............................................................................................. 23
Table 5. Roles and Responsibilities .............................................................................. 26
Table 6. Project Filing System ....................................................................................... 28
Version 2.1, March 2020 Page vi

Table of Contents
Table 7. Typical Types of Approvals and Permits ......................................................... 38

Table 8. Methods of Managing Risk .............................................................................. 42
Table 9. Standard Bid Documents ................................................................................ 47
Table 10. Design Considerations .................................................................................. 54
Table 11. Stakeholder Consultation Details and Timeline ............................................. 59
Table 12. Summary of Design Review Milestones ........................................................ 61
Table 13. CCA Classes of Cost Estimates .................................................................... 63
Table 14. CCDC Contracts ............................................................................................ 71
Table 15. Types of Project Information to Communicate............................................... 75
Table 16. Methods of Communication ........................................................................... 77
Table 17. Pre-Construction Meeting Invitees ................................................................ 80
Table 18. Pre-Construction Meeting Agenda Topics ..................................................... 81
Table 19. Change Order Process .................................................................................. 95
Table 20. Change Directive Process ............................................................................. 96
Table 21. Payment Certificate Process ......................................................................... 98
Table 22. Commissioning Acronyms ........................................................................... 102
Table 23. Matrix of Commissioning Responsibilities ................................................... 106
Table 24. Summary of Internal Project Closeout Procedures...................................... 117
List of Figures
Figure 1. PMI’s Project Life Cycle and PMM Organization .............................................. 2
Figure 2. FM Organizational Structure .......................................................................... 16
Figure 3. CPPM Organizational Structure ..................................................................... 17
Figure 4. LTCP Development Process .......................................................................... 19
Figure 5. Project Structure ............................................................................................ 25
Figure 6. Project Management Triangle ........................................................................ 30
Figure 7. Retention of Professional Services ................................................................ 46
Figure 8. Phases of the Design Process (Based on OAA 600-2013) ............................ 56
Figure 9. Prompt Payment Concepts .......................................................................... 100
Figure 10. Post Construction and Project Closeout Milestones................................... 116
Version 2.1, March 2020 Page vii

Table of Contents
List of Appendices
Appendix A. Project Management Manual Deviation Form ......................................... 122
This Project Management Manual has been created as an internal resource for Brock
University’s Capital Planning and Project Management staff. Brock University makes no
representations, warranties or guarantees as to the accuracy or sufficiency of the
information contained in this Project Management Manual.
Professional service providers engaged by Brock University shall provide advice and
services in accordance with their contracts, agreements, legislation and professional and
industry standards. Where there are any discrepancies, contracts, agreements,
legislation and professional and industry standards shall take precedence over this
Project Management Manual.
Version 2.1, March 2020 Page viii

1. Introduction
1. INTRODUCTION
1.1 Overview
This Project Management Manual (PMM) has been created as an internal resource for
Brock University Facilities Management (FM), Capital Planning and Project Management
(CPPM) staff. It outlines a framework for managing projects from initiation through to
project closeout and can be adapted to all types and scale of projects.
This manual has been developed based upon the Brock context, incorporating and/or
referencing existing Brock University policies, procedures and guidelines, where
applicable. Principles of the Project Management Institute’s (PMI) Project Management
Body of Knowledge (PMBOK) Guide, a best practice in the industry, have also been
incorporated.
1.2 Objectives
The objectives of this manual are:

• To establish a consistent project management framework for the Brock context
based upon best practices and PMI project management principles;
• To document key roles and responsibilities from project initiation through to
closeout;
• To ensure appropriate reviews and approvals are obtained from all stakeholders;
• To ensure projects are managed to allow for a goal of successful completion; and
• To serve as a training and orientation tool for CPPM staff.
1.3 Organization
The PMBOK defines the project life cycle in terms of starting the project, organizing and
preparing, carrying out the work, and ending the project. Figure 1 illustrates how the
organization of this PMM relate to PMI’s project life cycle. The numbers listed in Figure
1 correspond to the section numbers of this manual.
Version 2.1, March 2020 Page 1

1. Introduction
Project Life Cycle
Starting the Organizing Carrying Out Ending the

Project and Preparing Work Project
Corresponding Project Management Manual Sections
2. Organizational 3. Project Planning 4. Execution 9. Post Construction

Design and Initiation 5. Design and Project
6. Pre-Construction Closeout
7. Construction
8. Commissioning
Figure 1. PMI’s Project Life Cycle and PMM Organization
1.4 Supporting Documents
Several supporting documents and templates are referenced throughout this PMM. In
each case, the document title is in red, bolded font. A listing of all supporting documents
as well as information about their retrieval is included in Table 1.
Table 1. Supporting Documents and Templates
Section Document Name Document Owner Year Retrieval

Project
PMBOK Guide, 6th PMBOK Guide and
Various Management 2017
Edition Standards
Institute
Project
Management
1.6 Brock University FM 2019 Appendix A
Manual Deviation
Form
1.7 Building Codes Brock University FM 2018 Building Codes
2.1 Brock University Act Brock University 1971 Brock University Act
Brock University Brock University
2.1 Brock University 2017
Bylaw #1 Bylaw #1

1. Introduction

Brock University Brock University
2.1 Strategic Mandate Brock University 2017 Strategic Mandate
Agreement Agreement
Project Initiation
2.3 Brock University FM Virtual Library
Form
2.3.5, Space Management
Brock University FM Virtual Library
5.2 Policy
2.3.5, Space Management
5.2 Framework
2.3.5, Space Request
5.2 Procedures
Project Prioritization
Matrix
Update
Long Term Capital d Financial Services
2.3 Brock University
Plan Annual site, Annual Report
ly
Project Charter
Form
Project Filing
System
2.10, Project Budget
3.3, 4.6 Tracking Sheet
Delegation of Delegation of
Authority Policy Authority Policy
2.12, Request for
Brock University FM 2019 Virtual Library
4.5, 6.9 Signature Form
2.13,
Purchasing Policy Brock University 2016 Purchasing Policy
4.1, 4.2
Broader Public Broader Public
Government of
2.13 Sector Procurement 2011 Sector Procurement
Ontario
Directive Directive
New Project
3.1 Brock University FM 2018 Virtual Library
Request Form
Consultant Services
3.1, 4.3 Brock University FM 2017 Virtual Library
Request Form

1. Introduction

Guide to Cost Canadian Guide to Cost
3.4, 5.8 Predictability in Construction 2012 Predictability in
Construction Association Construction
Cash Flow
3.6 Projection Brock University FM Virtual Library
Spreadsheet
3.9 Risk Checklist Brock University FM 2019 Virtual Library
3.9 Risk Register Brock University FM 2019 Virtual Library
Brock University
Exception
4.1 Procurement Virtual Library
Certification
Services
FMOP 5-7: FMOP 5-7:
Contractor/ Contractor/
4.1, 7.1 Brock University FM 2010
Consultant Consultant
Identification Cards Identification Cards
FMOP 5-7: FMOP 5-7:
4.1, 7.1 Consultant Brock University FM 2010 Consultant
Identification Cards, Identification Cards,
Annex A Annex A
FMOP 5-7: FMOP 5-7:
4.1, 7.1 Consultant Brock University FM 2010 Consultant
Identification Cards, Identification Cards,
Annex B Annex B
Confidentiality and Brock University
4.2 Conflict of Interest Procurement Virtual Library
Waiver Services
Brock University
Request for
Proposals
Services
Brock University
Request for
Quotations
Services
Brock University
Request for Supplier
Qualifications
Services

1. Introduction

Workday (Financial
4.4, 6.8 Brock University My Brock
& HR Software)
Workday Help
4.4, 6.8 Brock University My Brock
Function
Purchase Order Brock University Purchase Order
4.4, 4.5,
Terms and Procurement Terms and
6.8
Conditions Services Conditions
Standard Form of
Contract for Ontario Association
4.5, 5.1 2013 OAA 600-2013
Architect’s Services, of Architects
Document 600-2013
Instructions for
Completing Ontario Instructions for
Ontario Association
4.5 Association of 2013 Completing OAA
of Architects
Architects 600-2013
Document 600-2013
Supplementary
4.5 Conditions to OAA Brock University FM 2019 Virtual Library
600–2013
Consulting
MEA/CEO Standard MEA/CEO Standard
4.5 Engineers of 2018
Agreement Agreement
Ontario
5.2 Campus Plan Brock University 2016 Campus Plan
Facility Accessibility Facility Accessibility
Design Standards Design Standards
5.2 Accessibility Audit Brock University 2012 Accessibility Audit
5.2, 6.4, Brock University
Brock University FM 2019 Virtual Library
7.12 Design Standards
FMOP 5-2: FMOP 5-2:
Construction Construction
Document Set-Up Document Set-Up
5.2, 9.1 Brock University FM 2018
and Project and Project
Submission Submission
Requirements Requirements

1. Introduction

FMOP 5-2: FMOP 5-2:
5.2, 9.1 and Project Brock University FM 2018 and Project
Requirements, Requirements,
Annex A Annex A
FMOP 5-2: FMOP 5-2:
5.2, 9.1 and Project Brock University FM 2018 and Project
Requirements, Requirements,
Annex B Annex B
Building Condition
By request to
5.2 and Deferred Brock University FM
Director, CPPM
Maintenance Audits
Facility Needs and Facility Needs and
5.2 Brock University FM 2017
Priorities Study Priorities Study
Environmental Environmental
Sustainability Plan Sustainability Plan
Capital Project
Review Form
Guide to Pre- Ontario General Guide to Pre-
6.2 Qualification of Contractors 2006 Qualification of
Contractors Association Contractors
6.4 Invitation to Tender Brock University Virtual Library
Ontario Provincial Ontario Provincial
Standards for Government of Standards for
6.4
Roads and Public Ontario Roads and Public
Works Works
Niagara Peninsula Niagara Peninsula
6.4 Standard Contract Niagara Region Standard Contract
Document Document
Guidelines –
Guidelines - Niagara
Niagara Peninsula
6.4 Peninsula Standard Niagara Region
Standard Contract
Contract Document
Document

1. Introduction

Tender Opening
Record
Canadian
CCDC 2 –
Construction
6.9 Stipulated Price 2008 CCDC 2 – 2008
Documents
Contract (2008)
Committee
CCDC 5B –
Construction Canadian
Management Construction
6.9 2010 CCDC 5B – 2010
Contract – for Documents
Services and Committee
Construction
Canadian
CCDC 14 – Design-
Construction
6.9 Build Stipulated 2013 CCDC 14 – 2013
Documents
Price Contract
Committee
Supplementary
6.9 Conditions to CCDC Brock University FM 2019 Virtual Library
2
Supplementary
6.9 Conditions to CCDC Brock University FM 2019 Virtual Library
5B
Communication
Plan Template
Pre-Construction
7.1 Meeting Agenda Brock University FM 2019 Virtual Library
Template
Occupational Health Annual Occupational Health
7.1 Brock University
and Safety Policy Review and Safety Policy
Project Contact List
Template
Respectful Work Respectful Work and
7.1, 7.3 and Learning Brock University 2018 Learning Environment
Environment Policy Policy
FMOP 2-9: FMOP 2-9:
7.1 Operation of Brock University FM 2012 Operation of
Elevators Elevators

1. Introduction

FMOP 2-9: FMOP 2-9:
Elevators, Annex A Elevators, Annex A
FMOP 2-9: FMOP 2-9:
Elevators, Annex B Elevators, Annex B
FMOP 2-9: FMOP 2-9:
Elevators, Annex C Elevators, Annex C
Application for Hot
7.1, 7.4 Brock University Virtual Library
Work Permit
Application for
Scheduled Work on
7.1, 7.5 Brock University 2006 Virtual Library
Fire Protection
Equipment
FMOP 3-2: Utility FMOP 3-2: Utility
Locates Locates
FMOP 3-2: Utility FMOP 3-2: Utility
Locates, Annex A Locates, Annex A
Asbestos
7.3 Brock University 2019 Virtual Library
Management Plan
Hazardous
7.3 Materials Brock University SharePoint site
Information System
Ontario Association Getting the Upper-
7.9 Article About RFI’s
of Architects Hand on RFI’s
7.9 RFI Form Brock University FM 2019 Virtual Library
7.9 RFI Log Brock University FM 2019 Virtual Library
7.10 SI Form Brock University FM 2019 Virtual Library
Contemplated
7.10 Change Notice Brock University FM 2019 Virtual Library
Form
7.10 Change Order Form Brock University FM 2019 Virtual Library
Change Directive
Form
7.10 Change Register Brock University FM 2019 Virtual Library

1. Introduction

Guide to Project Guide to Project
9.1 Closeout OAA/OGCA 2010 Closeout
Procedures Procedures
Document 100 Document 100
9.1 (Take-Over OAA/OGCA 2008 (Take-Over
Procedures) Procedures)
Government of
9.1 Construction Act 1990 Construction Act
Ontario
Asset Surplus
9.2 Brock University Virtual Library
Redeployment Form
9.2 Retention Policy Brock University TBD Under development
Warranty Check
9.2 Brock University Virtual Library
Expiry Spreadsheet
Post Occupancy
9.3 Brock University 2019 Virtual Library
Evaluation Template
Lessons Learned
9.3 Discussion Brock University 2019 Virtual Library
Questions
1.5 Version Control
This PMM is intended to be a living document that will be updated and improved as
required. It will be reviewed periodically by Brock University’s CPPM team and each
revision will be approved by the Director. Table 2 documents the version history.
Table 2. Project Management Manual Version Control
Version Date
Section(s) Description Approved By
Number mm/dd/yy
1.0 05/21/19 All Initial issue of manual Director, CPPM
Minor updates related to
insurance and bonding,
6.7, 6.9,
2.0 11/12/19 construction documents, pre- Director, CPPM
7.1, 9.2
construction meeting, and
post-construction tasks.

1. Introduction
Version Date
Section(s) Description Approved By
Number mm/dd/yy
Addition of procedure for hot
work permits (new Section
7.4), procedure for fire
7.2, 7.4,
2.1 03/04/20 protection equipment (new Director, CPPM
7.5, 7.14
Section 7.5) and figure related
to prompt payment concepts
(Figure 9).
1.6 Deviation Form
The framework presented in this PMM is to be used for all projects administered by
Facilities Management, although smaller projects may not require all of the processes
identified within the manual. If deviations from the manual occur, the Project Manager
shall document a description of the deviation, rationale for the deviation, and any impact
it is expected to have (i.e. on project scope, schedule, budget or other) using the Project
Management Manual Deviation Form. Supporting documentation will be attached as
necessary.
The Project Management Manual Deviation Form is included in Appendix A.
1.7 Glossary of Acronyms
Table 3 contains a summary of the acronyms used throughout this manual. Building
codes are listed separately on the Brock website.
Table 3. Glossary of Acronyms
Acronym Meaning
ACM Asbestos-Containing Material(s)
AODA Accessibility for Ontarians with Disabilities Act
BAFO Best and Final Offer
BAS Building Automation System
BUSU Brock University Students’ Union
CA Commissioning Authority

1. Introduction
Acronym Meaning
CBO Chief Building Official
CC Controls Contractor
CCA Canadian Construction Association
CCDC Canadian Construction Documents Committee
CCN Contemplated Change Notice
CD Change Directive
CDS Commissioning Datasheets
CEO Consulting Engineers of Ontario
CETA Comprehensive Economic and Trade Agreement
CFTA Canadian Free Trade Agreement
CO Change Order
CORD Coordination
COU Council of Ontario Universities
CPPM Capital Planning and Project Management
CRS Change Request Summary
CT Commissioning Team
DC Design Consultant
DUC Differing and Unforeseen Conditions
EC Electrical Contractor
FM Facilities Management
EASR Environmental Activity and Sector Registry
EO Errors and Omissions
FADS Facility Accessibility Design Standards
FMOP Facilities Management Operational Procedure
FRP Facilities Renewal Program
GC General Contractor or Contractor
GSA Graduate Students’ Association
HLSY Health and Safety
HSW Health, Safety and Wellness
ITS Information Technology Services

1. Introduction
Acronym Meaning
ITT Invitation to Tender
LEED Leadership in Energy and Environmental Design
LTCP Long Term Capital Plan
MC Mechanical Contractor
MEA Municipal Engineers Association
MECP Ministry of the Environment, Conservation and Parks
MOL Ministry of Labour
MTO Ministry of Transportation
NEC Niagara Escarpment Commission
NPCA Niagara Peninsula Conservation Authority
O&M Operations and Maintenance
OAA Ontario Association of Architects
OECM Ontario Education Collaborative Marketplace
OGCA Ontario General Contractors Association
PIF Project Initiation Form
PM Project Manager
PMBOK Project Management Body of Knowledge
PMI Project Management Institute
PMM Project Management Manual
PVP President/Vice-Presidents
QBS Qualifications Based Selection
QC Quality Control
RFI Request for Information
RFP Request for Proposals
RFPQ Request for Pre-Qualification
RFQ Request for Quotations
RFSQ Request for Supplier Qualifications
SI Supplemental Instruction
SOA Standing Offer Agreement
SOM System Operation Manual

1. Introduction
Acronym Meaning
SOR Statement of Requirements
SPC Supplier Purchasing Contract
SREC Space Request Evaluation Committee
TAB Test and Balance Contractor
URQ Users Request
VAV Variable Air Volume
VE Value Engineering

2. Organizational Design
2. ORGANIZATIONAL DESIGN
2.1 Governance
2.1.1 Bicameral Governance of Brock University
The bicameral system of governance of Brock University consists of two governing bodies
– the Board of Trustees and the Senate. Generally, the Senate is responsible for the
educational policy of the University, and the Board of Trustees is responsible for the
administrative management of the institution. The Office of the University Secretariat
provides administrative services and overall support for both governing bodies.
2.1.2 The Brock University Act
Brock University was incorporated in 1964 through the Brock University Act, a statute
of the province of Ontario. The Act gives the University its power and authority to establish
and maintain faculties, schools, institutes, departments, chairs and courses and to grant
any and all university degrees and honorary degrees and diplomas in all branches of
learning.
The Act also established the Board of Trustees and the University Senate with their
respective powers and authority. The Board of Trustees and the University Senate
function as the two governing bodies of the institution. The Brock University Act outlines
a more detailed description of the role and powers of each governing body.
2.1.3 Board of Trustees
The Board of Trustees is governed by the Brock University Act noted above, its General
Bylaws and the Faculty Handbook. The General Bylaws (Bylaw #1) of the Board of
Trustees prescribe the procedures, policies and operation of the Board, for example,
powers of the Board, election of trustees, committee structure and requirements, and the
execution of documents.
The Brock University Board of Trustees is responsible for the government, conduct,
management and control of the University and of its property, revenues, expenditures,
business and affairs.
The Board of Trustees consists of 27 trustees including 18 community trustees elected

by the Board, as well as two Brock student trustees (the President of the Brock University

Students’ Union (“BUSU”), ex officio; and the President of the Brock University Graduate
Students’ Association (“GSA”), ex officio), three faculty trustees and two staff trustees
selected by their respective constituencies. The Chancellor, and the President and Vice-
Chancellor, are ex officio trustees of the Board. The Chair of Senate, as one of the three
faculty trustees, is also an ex officio trustee of the Board.
The full Board generally meets five times per year to conduct business and also meets
for an annual orientation and a strategic issues session.
2.1.4 Senate
The Senate is governed by The Brock University Act noted above and by the Faculty
Handbook. The Faculty Handbook acts as a procedural, operational and policy manual
for the Senate and is divided into in four main sections including University Government,
Senate Bylaws, Regulations and Appointment/Reappointment Procedures under the
purview of the President and at the pleasure of the Board.
The Senate is responsible for the educational policy of the University, and, with the
approval of the Board in so far as expenditure of funds is concerned, may enact by-laws
and regulations for the conduct of its affairs.
The University has the power to establish and maintain such faculties, schools, institutes,
departments, chairs, and courses as the Senate deems necessary and as approved with
respect to finances and facilities by the Board.
The Senate currently consists of 70 members. This includes 38 elected full-time teaching
staff and professional librarians, two members of the Board Trustees, and six
undergraduate and two graduate students, and one Alumni Association representative
elected by their respective constituencies. There are also 22 ex officio members of the
Senate including the Chair of the Board.
The Senate meets monthly from September to June to conduct its business. Its eight
standing committees, one special committee and one board meet to conduct business
that is brought forward to Senate as recommendations or for information.

2.2 Organizational Structure
2.2.1 Facilities Management
Facilities Management (FM) is responsible for all activities related to the maintenance,
operations and development of Brock University’s facilities and grounds. FM is organized
into three business units which are each led by a Director. The three business units
include:
• Facilities and Services

• Asset Management and Utilities
• Capital Planning and Project Management
The core responsibilities of each business unit are summarized in Figure 2.
Facilities Management May 2019
Capital Planning &

Facilities & Services Asset Management & Utilities
Project Management
• Customer Services • Satellite Site Management • Space Management &

• Custodial Services • Research Facilities Planning
• Grounds Maintenance Management • Facilities Document

• Asset Management & Management & Plans
• Structural Services
Maintenance Coordination • Capital Planning & Project
• Electrical Services Management
• District Energy & Utilities
• Mechanical Services
Figure 2. FM Organizational Structure

2.2.2 Capital Planning & Project Management
Capital Planning and Project Management (CPPM) is a business unit within FM. Core
responsibilities of this group include the oversight of campus space management, the
management of facility documents and plans and the management of design and
construction projects in accordance with Brock University policies and procedures. Core
responsibilities of the CPPM team are summarized in Figure 3.
Capital Planning & Project Management May 2019
Space Management & Facilities Document Project Management

Planning Management & Plans Services
• Space Planning • Technical Plans & Document • Project Planning & Design
• Space Utilization Management Oversight Services
Tracking/Reporting • Records Management • Contractor Management
Services • Project Management &
Reporting Services
Figure 3. CPPM Organizational Structure
2.3 Budget Process
The CPPM group develops, updates and manages Brock’s Long Term Capital Plan
(LTCP). The LTCP is a five-year rolling plan of all projects valued at $10,000 or more. It
is utilized by the university to address construction requirements in accordance with the
approved Fiscal Framework and the fiscal year budget guidance. All minor ($10,000 to
$1,000,000) and major (>$1,000,000) projects being planned by any administrative or
academic unit of the University are included in the LTCP. The goal of the LTCP is to
identify anticipated needs and provide a road map for long term capital spending.
Projects identified in the LTCP address:

• Deferred maintenance (i.e. asset renewal), which currently accounts for
approximately 70% of the total budget;
• New asset work including major capital projects identified through consultation with
the Brock community;
• Facility renewal, modernization and enhancement;

• Projects evaluated by the Space Request Evaluation Committee (SREC) and

approved by the President / Vice-Presidents (PVP); and
• Legislated projects related to the Accessibility for Ontarians with Disabilities Act
(AODA) and any other project arising from Provincial or Federal legislation.
FM recently re-designed the LTCP development process. The new process seeks to gain
greater input from Faculties and Departments and establishes a clear and transparent
methodology for capital project prioritization. The updated LTCP development process
is described in the following sections and illustrated in Figure 4.
2.3.1 Review Fiscal Framework
The Fiscal Framework, updated annually by the Finance Department, is designed to

support budgetary planning by seeking the most efficient investment of limited funding
sources in a transparent manner. The goal of the Fiscal Framework is “to recognize our
history and budget environment and using key metrics help us address the looking
forward observations and resource allocation questions to ensure a fiscally sustainable
Brock University.” Although the framework may evolve over time, it is anticipated that the
core targets established will continue to serve as a guide.
FM staff annually review the approved Fiscal Framework and current year budget
guidance documents to determine the parameters within which to update the LTCP. This
ensures that CPPM projects are in alignment with a fiscally sustainable Brock University.

Commence
Review Fiscal Framework
development of
five-year LTCP
Issue Call for Projects
Receive Project Initiation

Forms
Review, evaluate
and prioritize each NO Review and Assess
requested project Advise Initiator
Project Need
YES
NOTE: If project involves
a space request, adhere
to Space Request NO Evaluate and
Advise Initiator Prioritize Project
Procedures
YES
Review with Senior

YES
Administration
Include in Five-Year
LTCP
Develop five-year
LTCP to include top Develop Five-Year LTCP
priority projects
Submit LTCP to Board for
Approval
Figure 4. LTCP Development Process

2.3.2 Issue Call for Projects
Each year, prior to the preparation of the LTCP, FM issues a Call for Projects to the Brock
community. All Faculties and Departments are invited to submit Project Initiation Forms
documenting any identified project needs.
The information requested on the Project Initiation Form includes:

• Description of project work;
• Statement of project need;
• Description of the project alignment with the Brock University Strategic Plan;
• Budget estimate;
• Potential external funding sources; and
• Impact on operating budget.
FM is available to assist Faculty and Department staff in the completion of the Project
Initiation Forms, as required, to ensure all relevant items are captured.
2.3.3 Receive Project Initiation Forms
Faculty and Department representatives prepare Project Initiation Forms and review them
with their Department Head and Dean. The Project Initiation Form shall identify project
scope, budget and funding source and the schedule. FM can provide support to the
Faculties and Departments to address these elements. Project Initiation Forms are
prioritized and screened by the Dean of the Faculty prior to submission to FM for
consideration.
2.3.4 Review Project Initiation Forms and Assess Needs
FM reviews the submitted Project Initiation Forms to ensure sufficient information is

available to evaluate and further prioritize submitted projects based to the Evaluation
Criteria included within the form and other projects currently under consideration. If
needed, FM contacts the Faculty or Department to request more information for
clarification.
In some cases, Project Initiation Forms do not proceed through the rest of the process if
a sufficient need is not established. In these cases, FM communicates the reasoning
back to the Faculty or Department project initiator.

2.3.5 Space Request Procedure
The management of space on university campus is extremely important as space is a

finite and valuable resource that must be managed to the greatest extent possible.
Brock University has adopted a Space Management Policy which enables the University
to plan, allocate, use and manage its building space consistently, and in support of the
Policy, have adopted a Space Management Framework document to guide decisions
related to space. The Framework sets out the process to request space using templates.
Space requests are initiated using a Minor Space Request Short Form document, which
requires the user to provide the following information on the request. The Short Form is
reviewed by Facilities Management and should any of the following criteria be met, a
Major Space Request Long Form is to be completed. The criteria include:
• The change in the amount of space to allocated or renovated exceeds 1,000
square feet.
• The functional classification of the space changes, as defined by the Council of
Ontario Universities (COU) space categorization system.
• The funding of the project is sourced externally to Brock University.
• The estimated project cost exceeds $100,000.
• Any capacity change of an instructional space.
• Significant (+50%) capacity change of non-instructional spaces.
Minor space requests are reviewed by the Director, CPPM, and a follow-up meeting held
with the proponent. The meeting outcomes include a confirmation of the scope,
identification of construction and procurement requirements and a timeline for
implementation. Projects which arise from Short Form requests are generally funded by
the Faculty or Department. If funding is available, a Project Manager is assigned, and the
project initiated.
The Major Project Long Form is submitted to Facilities Management and reviewed for
completeness. All Major Space Requests are reviewed by the Space Request Evaluation
Committee (SREC) and scored based on the Criteria for Space Requests. subsequent to
the scoring, the Project is forwarded to the President, Vice-President Committee for
consideration. A Major Space Request will generally require implementation through the
Long-Term Capital Plan budget and will be considered annually during the budget review
process.

A flowchart of the process is provided in the Space Request Procedures. All space
management documents and procedures are available in the Virtual Library.
2.3.6 Evaluate and Prioritize Projects
A Review Committee is formed each year, with representation from across the Brock
community, to evaluate and prioritize the submitted projects. The Review Committee uses
the Project Prioritization Matrix to assess the value of each project to the University,
Faculty and/or Department. The goal is to ensure the most impactful projects are
approved and funded.
The project evaluation criteria used in the matrix include:

• Alignment with the Brock University Strategic Plan;
• Project need based on legislative, regulatory, audit, or security compliance;
• Improvement in service delivery to end users;
• Improvement in productivity, effectiveness or efficiency;
• Positive impact on the Brock community;
• Positive impact or enablement of other projects; and
• Financial impact on operating costs and/or deferral of future costs.
Where projects are identified not to move forward, FM contacts the Faculty or Department
for a debrief.
2.3.7 Develop Five-Year LTCP
Once the annual project prioritization is complete, it is reviewed with Senior

Administration. FM then develops the five-year LTCP to include the highest priority
projects. Where possible, projects are scheduled to balance annual expenditures,
number of projects per year and phasing.
2.3.8 Approve Five-Year LTCP
Once completed, the LTCP draft is submitted to the Board of Trustees as information.
Formal Capital Budget approval is for one (1) year only. The most recent approved LTCP
is available through Brock University’s Financial Services website.

2.4 Funding Sources
Table 4 summarizes typical project funding sources.
Table 4. Funding Sources
Source Description
Through the Brock Fiscal Framework, monies are allocated as
“New or Flexible” or “Deferred Maintenance”. “New or Flexible”
projects are funded through the Provincial Facilities Renewal
Annual
Program (FRP), which provides grants to assist postsecondary
Revenues
institutions address ongoing maintenance, repair and renovations.
“Deferred Maintenance” projects are funded through Brock funds
for infrastructure renewal.
External grants typically provide one-time, project specific funding
from either the Provincial or Federal government. Brock
Government and Community Relations staff lead the application
process for these grants and submissions are evaluated based on
a set of evaluation criteria. External grants typically require
additional reporting as a condition of the award, such as the
preparation of a Cash Flow Projection spreadsheet (which is
External Grants further outlined in Section 3.6).
Research grant applications that will require changes to existing

space and/or the construction of new buildings or additions should
align with the University’s strategic objectives, conform to the
Campus Plan and any other relevant physical planning documents,
and be supported by cost estimates developed under the
supervision of a Facilities Management Project Manager.
Most major projects at Brock include a fundraising component. The
Sponsorship
Alumni and Donor Relations Department expends a significant
and Donations
amount of time pursuing sponsorships for major capital projects.
2.5 Types of Projects
Project management staff within the CPPM group administer both minor and major capital
project programs for the university.
• Minor projects have a value of less than $1,000,000 and typically relate to
departmental requests for changes to buildings, space or the campus grounds.
Examples include adding or modifying electrical outlets, plumbing, built-in
cabinetry, lighting changes, remodelling classrooms, offices or labs, removing or

adding walls, installing specialized equipment, or landscaping improvements such

as benches/gardens. Minor projects may be centrally funded by the University
administration or may be funded by the requesting department.
• Major projects have a value of $1,000,000 or more and include the construction
of new buildings, significant renovations to existing buildings, and exterior changes
such as new roads, parking lots and landscaped areas. Major projects are funded
centrally by the University administration and approved by the Board of Trustees
prior to implementation.
2.6 Project Charter
A project charter is a document issued by the Project Sponsor that authorizes the project
and provides the Project Manager with the authority to apply organizational resources to
project activities (PMBOK, 2017).
For all major FM projects, the Consultant, in consultation with the Project Manager shall
prepare a project charter using the Project Charter Form. The completed project charter
shall be approved by the Project Sponsor, Project Manager and entire project team. The
Project Sponsor’s authorization of the project charter confirms their expectations of the
project and authorizes it to proceed. The Project Manager and team’s signatures
represent their acknowledgement of the project expectations.
The Project Charter Form documents the following project information:

• Project Team Details
• Project Background
• Objective Statement
• Project Vision
• Project Goals
• Successful Completion Criteria
• Schedule
• Budget
• Contingencies
• Project Trade-Off Matrix
• In Project Scope
• Out of Scope
• Stakeholder Identification

• Risk Identification
• Approval Signatures
2.7 Project Structure
Figure 5 illustrates the typical structure of an FM project. Roles and responsibilities of the
project team members and key stakeholders are summarized in Section 2.8.
Brock Occupant Brock Operations

Stakeholders Stakeholders
Project Design
Team Team
Project Manager
Project Technical
Sponsor Experts
Director, CPPM
Contractor(s) Vendor(s)
Consultant(s)
Senior Occupant and Major

Administration Operations Users
Rep. Reps.
Other
Approval
Stakeholder
Agencies
Groups
Project Stakeholders
Figure 5. Project Structure
2.8 Roles and Responsibilities
Roles and responsibilities of key project stakeholders are outlined in Table 5. This list
provides a high-level summary only; specific responsibilities that relate to each phase of
a project are identified throughout this PMM.

Table 5. Roles and Responsibilities
Role Responsibility Authority

The Project Sponsor is the champion for
Authorize the project,
the project and will generally be the Dean,
Project approve major
Department Head or Senior Official that is
Sponsor deliverables and sign off
responsible for the approval and on-going
on each project phase.
reporting to the Board of Trustees.
The Director, CPPM prepares the Long
Term Capital Plan (LTCP), assigns Project Provide general
Director,
Managers and provides general oversight oversight of all projects.
CPPM
of all projects. The Director, CPPM is also Prepare LTCP.
the owner of this PMM.
The Project Manager is a representative
authorized by Brock University to lead a
team that is responsible for achieving the
project objectives. The Project Manager is
responsible for overseeing the project,
Project Responsible for overall
taking corrective actions when necessary,
Manager project delivery
and approving scope change, change
orders and payment authorizations in
accordance with the Contract Documents,
Purchasing Policy and Delegation of
Authority Policy.
The project team executes the project
under the direction of the Project Manager. Provide input related to
The project team typically includes the scope, cost, schedule,
Project Sponsor, Project Manager, Director managing risks and
Project
CPPM, occupant and operations decision making and
Team
stakeholders and the Consultant. A complete project tasks
representative from Brock’s senior under the direction of the
administration is also included in the Project Manager.
project team for all major projects.
Representatives on the design team attend
project meetings, participate in design
reviews, and provide written approval
Provide written approval
Design (sign-off) of the design at the end of each
(sign-off) of the design at
Team phase. The design team typically includes
the end of each phase.
the Project Manager, Director CPPM,
major users, technical experts, operations
stakeholders and the Consultant.

Role Responsibility Authority

The Consultant is as an individual or firm
that is retained by Brock University to
design the project, provide contract
administration services and, as required,
Provide design services
provide inspection services during
Consultant in accordance with
construction and assist in commissioning
contract or agreement.
process. The Consultant acts as a liaison
between the Contractor and Brock
University’s Project Manager for the
duration for the project.
The Contractor enters into an agreement Provide construction
with Brock University to complete the services in accordance
Contractors
construction works, as per the contract with contract
specifications. specifications.
Vendors are companies retained by Brock Provide goods or
Vendors University to supply goods and services services in accordance
required for the project. with contract.
Occupant stakeholders are representatives
Brock from the various groups planned to occupy Provide input throughout
Occupant the new facility. An Occupant project planning and
Stakeholders Stakeholder Representative may be design.
designated as part of the project team.
Operations stakeholders are
Brock representatives from administrative units Provide input throughout
Operations with operational responsibilities such as project planning and
Stakeholders FM, ITS, Campus Security, Health, Safety design.
and Wellness, etc.
Other stakeholders may be included in
Provide input throughout
Other each project. For a listing of typical project
project planning and
Stakeholders stakeholders, refer to Table 11 in Section
design.
5.6.
Various approvals may be required for Provide approvals as
Approval each project depending on its required in accordance
Agencies specifications. Typical approvals that may with relevant rules and
be required are summarized in Section 3.8. regulations.
2.9 Document Management
Managing project documents is an important part of all projects. Documents substantiate

work that has been done and serve as records for future reference and auditability. For

these reasons, an organized document management framework is essential to ensure

efficient document retrieval.
Upon initiation of each project, the CPPM Administrative Assistant shall create a project
folder named as “Project Number – Year – Name” on the OneDrive. Within each project
folder, the CPPM Administrative Assistant shall create the folders and sub-folders listed
in Table 6 that mirror the organization of this PMM.
Table 6. Project Filing System
Folder Sub-Folders
Capital Project Budget Sheet
Project Schedule
Planning and Initiation
Project Scope Document
Risk Register
Risk Checklist
RFP RFQ Consultant Addenda
RFP RFQ Evaluation Consultant Addenda
Execution Consultant Notice to Proceed
Unsuccessful Vendor Letter
Consultant Purchase Requisition
Consultant Contract
Design Team Contact List
Design Meeting Minutes
Project Schedule
Design Documents
Cost Estimate
Design and Pre- Authorities Having Jurisdiction
Construction Contract Documents Addenda
Site Tour Sign In Sheet
Tender Evaluation
Construction Standards
Notice to Proceed Contract
Contractor Purchase Requisition
Communication Plan

Folder Sub-Folders
Contract
Contractor Contact Sheet
Construction Schedule
Contractor Insurance, Bonds and NOP
Construction Site Meeting Minutes
Construction Requests for Information
Site Instructions
Change Notices
Change Orders
Certificate of Payment
Submittals
Consultants Inspection Reports
Architects Engineers Letter(s) of Occupancy
Operations and Maintenance Manuals
Project Closeout Architect's Substantial Performance Letter
Certificate of Substantial Performance
Release of Holdback Payment
Lessons Learned (Major Projects)
Photos Photos
The Project Filing System spreadsheet lists the appropriate filing location for all
common types of project documents. Project Managers shall file all project documentation
according to this structure to ensure consistency and retrievability of all project records.
2.10 Scope-Cost-Time
Scope, cost and time are the three most significant factors impacting project quality and
delivery. These interrelated factors can be represented as a triangle; if any side of the
triangle should increase, at least one of the other sides must also increase.

QUALITY
Scope
Figure 6. Project Management Triangle
In the context of project management, it is essential to manage all three of these factors
to prevent negative outcomes including scope creep, cost overruns and project delays.
To ensure effective project delivery on budget and on time, these three factors shall be
carefully monitored by the Project Manager from project initiation through to closeout.
Some of the tools utilized to manage scope, cost and time are outlined in the following
two sections.
2.10.1 Work Breakdown Structure
For major projects, the Project Manager shall require all Consultants and Contractors to
submit a detailed work breakdown structure of their proposed work. The work breakdown
structure must divide the total project scope into smaller components and document the
resources required (budget) and time required (schedule) for each component (PMBOK,
2017). Deliverables and key milestones must also be included in the work breakdown
structure. The work breakdown structure provides a greater level of detail about the
project that will assist the Project Manager with monitoring the project scope, budget and
schedule.
For minor projects, the Project Manager shall prepare a high-level scope of work, cost
and schedule. This will be undertaken in consultation with the Project Sponsor. This
information will be subject to change as the project proceeds.
2.10.2 Monitoring
Once a project is executed, the Project Manager shall closely track project process using
the internal Project Budget Tracking Sheet that is set up in each project folder on the

OneDrive (see Section 3.3.1). The Project Manager shall monitor the Consultant or
Contractor’s progress against their work breakdown structure and ensure progress is in
alignment with the budget and schedule.
The Project Manager shall also monitor project financial data at least monthly, ensuring
the following sources reconcile with each other:
• Consultant/Contractor invoices to-date;
• Workday Financial Management System; and
• Internal Project Budget Tracking Sheet.
2.11 Project Management
Project Management at Brock University is administered according to the following:
• Project Management services and project oversight for all construction projects
shall be provided by FM unless delegated in advance to a department or unit
stakeholder in writing by the Associate Vice-President, FM.
• All projects will be managed by either: an in-house FM Project Manager/employee,
a contract employee, or an external project management company. In-house staff
resources may be supplemented by contract employees if warranted for the
duration of the project.
• The Project Manager acts in the best interest of the University to provide project
leadership and is responsible for the delivery of projects including construction,
renovation, renewal and other development projects from inception through to
completion of construction/occupancy and project close-out.
• Utilizing in-house project management resources is preferred due to their
experience and familiarity with University culture, procedures and expectations.
• External project managers require oversight which will be provided by a designated
individual(s) from FM.
• An oversight committee may be established for large major capital projects. This
will be determined in the early stages of project planning in consultation with
project stakeholders and senior administration. If required, the oversight
committee will be comprised of project stakeholders including representation from
senior administration, Financial Services and FM. The Project Manager shall
provide administrative support to the committee.

2.12 Delegation of Authority Policy
The Project Manager shall adhere to Brock University’s Delegation of Authority Policy
for the authorization and execution of all project transactions. The policy establishes the
authority of officers and employees to authorize and execute transactions and otherwise
bind the University. It is designed to ensure an appropriate level of control and
accountability. When a signature is required from the President or Vice-President the
Request for Signature Form must accompany the documents to be executed.
2.13 Purchasing Policy
Brock University is committed to obtaining the best value for the total acquisition cost of
all goods and services purchased. To facilitate and encourage the timely purchase of
goods and services, and to ensure its commitment to accountability, transparency,
efficiency and equity, the University has adopted the Purchasing Policy. This policy also
ensures that Brock University is compliant with the Ontario Broader Public Sector
Procurement Directive and meets the requirements of the Canadian Free Trade
Agreement (CFTA) and the Comprehensive Economic and Trade Agreement (CETA).
The Project Manager shall procure all Consultants, Contractors, vendors and goods in
accordance with Brock University’s Purchasing Policy and the Province of Ontario’s
Broader Public Sector Procurement Directive.
While it is not mandatory to obtain multiple quotes for goods and services less than
$15,000 (excluding pure consulting services), it is recommended to get multiple quotes
where feasible in order to obtain maximum value for Brock University. It is particularly
important where the value of the goods or service plus the value of any potential change
order(s) may push the cost over the $15,000 threshold and will need an exception
certificate to process the change order(s).
Before issuance, all Bid Solicitations with a value equal to or greater than $50,000 shall
be reviewed and approved by Procurement Services.
Costs for goods and/or services that require Purchase Orders (>$15,000) may not be
artificially partitioned into components costing less than $15,000 to circumvent the
competitive bidding requirement. Requisitions for the same goods/services from the same
unit and/or same supplier within a short time period may be considered an artificial
division of the purchase (as mentioned in the Procurement Policy).
Competitive bid requirements for goods, non-consulting or services greater than 200,000
SDR (Special Drawing Rights) or construction greater than 5,000,000 SDR must be in
accordance with CETA bid solicitation publication method and extended posting time-
periods.

3. Project Planning and Initiation
3. PROJECT PLANNING AND INITIATION
3.1 Project Scoping
The project scope is the work that must be performed to deliver a product, service or
result with specified features and functions (PMBOK, 2017). At the inception of project
planning activities, the scope of work needs to be clearly defined. In the case of building
projects, scope typically addresses the following questions:
• What type and quantity of space is required?

• Is space available within the faculty or overall?
• Who are the expected users and occupants?
• When is the space is required?
For minor projects Consultants on the Standing Offer Agreement list are typically
contacted for provision of professional services. The project scope is typically defined
through discussion between the Project Manager and Consultant based upon the Project
Initiation Form and identified stakeholder needs. The Project Manager shall request a
proposal from the Consultant based upon the understood scope for approval by the
project team.
If the Consultant’s scope of work and proposal is acceptable to the team, the Project
Manager shall prepare the Consultant Services Request Form. The intent of the form
is to describe the scope of work to the service provider, establish a schedule for their work
and a basis for determining the fee. The form requires information on the following items:
• Project Information: The project number, account number and work request
number must be indicated. To obtain a project and account number, the Project
Manager shall first complete the New Project Request Form.
• Type of Project: Indicate the project type.
• Location of Project: Indicate the project location.
• Professional Services Required: Indicate the specific services required, whether
a cost estimate is required at the end of the phase, and the required completion
dates for the relevant phases (if known). If an investigative study or consultative
services are required, indicate that and provide a brief description.
• Professional Services Fee Basis: Indicate whether the fee is to be a fixed fee, a
percentage fee, a per diem fee with upset limit, or describe another method for

determining the fee. The Project Manager and the service provider must agree
how the fee is to be determined prior to beginning work on the project.
• Additional Information: This area is to be used for providing additional project
information to the service provider so that they understand the scope of work and
any special issues or requirements.
• Professional Services Agreement: The Brock University Project Manager and
the service provider are to agree to the schedule of the Professional Services
required and the fee (or fee basis) prior to commencing work on the project. The
form is to be signed and dated by the Project Manager and the service provider.
As much as possible, project scoping and budgeting activities should be undertaken

concurrently. Further information about project scoping and Consultant retention for
major projects is outlined in Section 4.1.
3.2 Feasibility Study
Where new buildings or significant changes to existing facilities are proposed, a

Feasibility Study should be prepared. The intent of the Feasibility Study is to develop an
accurate indication of the project scope, cost and time requirements. The Feasibility Study
will be prepared by appropriate architectural/engineering Consultants under the direction
of the Project Manager with input from project stakeholders. As a minimum the Feasibility
Study will typically include the development of an outline Statement of Requirements
(SOR) including rooms and space requirements; siting opportunities, analysis and
recommendation; utility servicing strategies and options; schematic floor plans and site
plan; estimated construction cost (with escalation); estimated annual operating costs; and
other analysis and recommendations as may be required. Depending on the scale and
scope of the project the Feasibility Study may require other specialist investigations such
as a land survey, a geotechnical/geological report, traffic study, etc.
3.3 Project Budget
3.3.1 Project Budget Sheet
Upon initiation of a project, the CPPM Administrative Assistant sets up project folders on
the OneDrive, including the creation of a Project Budget Tracking Sheet. The Project
Budget Tracking Sheet describes the financial resources required to undertake all stages
of the project.

The Project Manager shall develop and maintain the Project Budget Tracking Sheet
including the budget amount, contract amount, and spending to date for each of the
following categories:
1. Professional Services
2. Construction
3. Equipment
4. Furniture
5. Miscellaneous Charges (including permits, internal charges, legal fees, etc.)
6. IT Equipment
7. Linear Assets
8. Project Contingency
3.3.2 Contingencies
The total project budget should include a construction contingency and a project
contingency.
The construction contingency is to be used for unforeseen items or conditions that arise
during construction and require a change to the base construction contract value. Use of
this contingency for owner-initiated changes is to be minimized and avoided where
possible. Expenditures against this contingency allowance are authorized through the
construction contract change order process. For budgeting purposes, the construction
contingency should be based on a percentage of the base construction budget. Each
project should be assessed individually, and an appropriate contingency amount
determined based on the project specifics. Recommended amounts are:
• Design-Bid-Build, new construction – 8%

• Construction Management, new construction - 10%
• Construction Management, fast-tracked with high degree of cost risk – 12%
• Design-Bid-Build or Construction Management, renovation - 12%
• Design-Build, contingency for owner-initiated changes – 3%
• Smaller projects or projects where there is a high degree of probability that
unknown conditions will be encountered require a higher contingency allowance
which should be determined based on the project conditions and previous similar
experience.

The project contingency is to be used only when the remainder of the project budget is
not sufficient to properly complete the project. Expenditures against this contingency
allowance are authorized by senior administration. For budget purposes, the project
contingency should be based on a percentage of the total project budget:
• Low risk project – 2%

• Medium risk project – 3%
• High risk project – over 3%
3.3.3 Moving Costs
If a project will result in reallocation and renovation of existing space due to occupants
moving into a new facility than an estimate of the cost of the post-project
moves/renovations shall be developed early in the process and a determination on
whether the move is to be included in the current project or separately as a new project.
This decision will be by the Director, CPPM. If the move is included within the current
project, the costs shall be included on the Project Budget Tracking Sheet.
3.4 Cost Estimating
Cost estimating is the process of developing the cost of resources needed to construct
the project. A preliminary “order of magnitude” total project budget should be developed
as early as possible to assist in determining if a project is financially feasible. The
preliminary budget will include all anticipated hard and soft costs, with costs escalated to
the estimated construction date. A professional Cost Estimator can be consulted on
probable construction costs.
Cost estimates shall be based upon the Canadian Construction Association’s (CCA)
Guide to Cost Predictability in Construction (2012). The CCA Guide defines four
classes of cost estimates – A, B, C and D. Section 5.8 of this PMM describes each class
and outlines the class of estimate required at key project milestones.
3.5 Project Schedule
Upon project initiation, the Project Manager shall work with the Consultant to prepare a
master project schedule. The schedule should begin on the date the project charter is
approved and continue to the end of the project close-out phase. It must be accepted
and approved by the project team. The Project Manager will use the master schedule to

monitor the critical path of the project and highlight any issues or delays. Schedule
changes must be authorized through the Project Manager and/or project team. Any
changes to the project schedule should be reflected in the Project Charter or
acknowledged through project minutes or by email.
Brock University’s preferred schedule format is the use of a Microsoft Project Gantt chart.
The schedule must include all project phases, and highlight deliverables, milestones and
the critical path.
3.6 Cash Flow Projection
A project cash flow projection summarizes cash inflows and outflows required throughout
the duration of the project. Major projects that have external funding sources require the
preparation of a cash flow projection. The Project Manager shall establish and maintain
a cash flow projection for all major projects using the Cash Flow Projection
Spreadsheet. The template includes the following cash flow categories:
• Consultant Fees,
• Construction and Permits,
• Furniture,
• Miscellaneous,
• ITS,
• Net HST, and
• Project Contingency.
The Project Manager shall update the cash flow projection regularly throughout all phases
of the project and submit it for reporting purposes as required.
3.7 Stakeholder Identification
Stakeholders are people, groups, or organizations that could impact or be impacted by a

project (PMBOK, 2017). Stakeholders can be internal or external to Brock University and
include the Project Manager and project team. The PMBOK (2017) outlines the
importance of stakeholder identification and engagement from early stages of projects;
stakeholder identification should begin as soon as the project charter has been approved
and the Project Manager assigned. Effective stakeholder identification and engagement
can contribute significantly to project success.

For minor projects, the key stakeholders will typically be the Project Sponsor and their
colleagues with very few others involved. This will be clarified at the initiation of the
project.
For major projects, the Project Manager shall work with the Consultant to establish a list
of stakeholders. The effort related to stakeholder identification will be very important for
major projects. Typical stakeholders who can impact or be impacted by FM projects are
listed in Table 11 in Section 5.6. The list is provided as starting point and is not
exhaustive; the Project Manager must work with the Consultant and team to establish a
comprehensive list as part of each new major project.
3.8 Approvals and Permits
At the outset of each project, the Project Manager shall work with the Consultant to
identify all applicable approvals that may be required as part of the project. Table 7 lists
typical approvals and permits that may be required as part of Brock FM projects. This list
is provided as starting point; the Consultant must work with the Project Manager and team
to establish a complete list of approvals and permits required as part of each new project.
Table 7. Typical Types of Approvals and Permits
Type of
Approval or Agency Details
Permit
City of St. Apply for building permits through City of St.
Building
Catharines or Catharines or City of Thorold, depending on
Permit
City of Thorold location.
Waterworks approvals are required from Niagara
Waterworks Niagara Region Region if the Brock system needs to connect to a
Regional Watermain.
Enbridge is Brock’s supplier and they own the plant
Gas Enbridge
on campus within the Village Residences area.
Bell Canada provides telephone services on
Telephone Bell Canada
campus.
Brock owns a cogeneration plant in addition to
Alectra and
Electrical Alectra servicing east campus, and Hydro One
Hydro One
servicing the Thorold area.
Ontario One Campus locates to be initiated through Ontario
Site Locates
Call One Call request.

Type of
Permit
Environmental legislation may be reviewed at the
outset of the project to determine Brock’s
environmental responsibilities related to the
planned project. This is particularly important for
Ministry of any proposed developments off the main campus
Environment, or on sites with previous uses where an
Environmental Conservation Environmental Risk Assessment may be required.
and Parks
(MECP) Prior to occupancy, MECP approvals may be
required for the operational activities of the facility,
including for the release contaminants into the air,
onto land, or into water, or for the storage,
transportation, or disposal of waste.
In some cases, Brock may have an ECA, CofA or
an EASR for the equipment under review and
compliance with the document is required. In
Air, Noise and addition, any work must comply with MECP
MECP requirements.
Odour
Health, Safety and Wellness (HSW) staff manage
the EASR process and should be included in all
discussions.
The Brock campus has both NEC regulated and
Niagara non-regulated spaces. An interactive map is
Escarpment available on the website which enables the
NEC
Commission determination of the area under control NEC
(NEC) approvals typically require completed schematic
drawings.
Stormwater reviews were previously done by the
Stormwater Niagara Region Niagara Peninsula Conservation Authority (NPCA),
but Niagara Region is doing this now.
Niagara
Region, City of Niagara Region and City of St. Catharines or City
Wastewater St. Catharines of Thorold, handle wastewater approvals,
or City of depending on location.
Thorold
City of St. Consult with City of St. Catharines or City of
Site Plan Catharines or Thorold, depending on location. Approvals are not
City of Thorold required.

Type of
Permit
Fire Systems Chubb Edwards Chubb Edwards services non-residence buildings
Inspections or Tyco and Tyco services residences.
Comply with the guidelines developed by Niagara
Brock District Niagara Region
Region.
3.9 Risk Management
3.9.1 Risk Management Plan
A risk is an event or condition that, if it occurs, could have a positive or negative effect on
a project’s objectives. Risk management is the process of identifying, assessing,
responding to, monitoring, and reporting risks. A Risk Management Plan defines how
risks associated with a project will be identified, analyzed, and managed. It outlines how
risk management activities will be performed, recorded, and monitored throughout the
lifecycle of the project and provides templates and practices for recording and prioritizing
risks.
A Risk Management Plan shall be created by the project team in the planning phase of
all major projects or projects where significant risk is anticipated and shall be monitored
and updated throughout the duration of the project.
The intended audience of the Risk Management Plan is the project team, Project Sponsor
and management stakeholders.
3.9.2 Risk Management Procedure
Risks shall be identified as early as possible in the project to minimize their impact.
Initially, risks shall be identified as part of a risk management meeting facilitated by the
Project Manager. The following stakeholders should participate in the risk management
meeting:
• Project Manager: Act as the chairperson and chair the meeting.

• Project Team: Participate in the meeting, act in the role of recorder or timekeeper
if requested.

• Key Stakeholders: Those identified that could bring value within the identification
of project risks and/or mitigation and avoidance methods.
• Subject Matter Experts: Those identified that could specialize in a particular project
activity and add value but are not formally assigned to the project.
• Project Sponsor: May participate depending on the size and scope of the project.
Risk Identification
Risk identification will occur at the risk management meeting and will involve an
evaluation of environmental factors, organizational culture and the project charter
including the project scope. Careful attention will be given to the project deliverables,
assumptions, constraints, cost/effort estimates, resource plan, and other key project
documents.
A Risk Checklist has been developed to assist in the identification of potential risks. The
checklist shall be used to help the team identify risks during the risk management
meeting. The checklist is not exhaustive and shall be used as a starting point only; the
project team shall ensure all risks are identified.
Identified risks shall be documented on the Risk Register. The Project Manager shall
maintain the Risk Register throughout the project and store it electronically in the project
file. It shall be reviewed as a standing agenda item at project team meetings.
Risk Assessment
The probability and impact of occurrence for each identified risk shall be assessed by the
participants at the risk management meeting:
• Probability scores range from 1 to 5 and represent the likelihood of occurrence
of the identified risk based upon the collective knowledge and experience of the
risk management participants. A score of 1 represents a very unlikely event and
a score of 5 represents a very likely event.
• Impact scores range from 1 to 5 and represent the severity of the impact if a given
risk were to occur based upon the collective knowledge and experience of the risk
management participants. An impact score of 1 represents a low-impact event
and a score of 5 represents a significant impact.
The total risk score is assigned by summing the probability and impact scores together.
Total risk scores will range from 2 through 10. Probability and impact scores as well as
the total risk score for each risk shall be documented on the Risk Register.

Risk Response Planning

There are four typical methods to manage risk; an explanation of each is provided in Table
8.
Table 8. Methods of Managing Risk
Method Objective Features

• May change the project plan to eliminate
conditions creating the risk (risky requirement,
Risk is eliminated work scope, technology, or Contractor) or
or avoided by eliminate the risk entirely.
Avoidance changing the • May trade one risk for another lesser risk.
parameters of the • If a lower risk option is available, revise baseline
project to favor it.
• Check that the lower risk is the better choice
considering the project as a whole.
• If full transfer is not possible, consider a partial
shift e.g., insurances, performance bond, PI,
warranty, or contract guarantee.
Risk remains
• Often, results in risk being shared between
viable but is
project and others. This is often best with
shifted to another
funding risks.
Transfer project or
organization. • Must consider costs and benefits of
transfer. Must ensure recipient is best equipped
Often called risk
and prepared to assume the risk in whole or in
allocation.
part.
• Risk is not avoided. Recipient must be willing to
assume the risk, in whole or in part.

Method Objective Features

• Most common form of risk management.
• Must systematically and carefully identify and
attack root causes of the risk.
Reduced • Control actions are comprehensive and
likelihood and/or feasible.
consequences of • Early actions often required for success.
Mitigation
a risk (preferably • Actions can affect cost, scope, and schedule.
both) by series of
control actions. • Cost/benefit analysis can be useful in selecting
best control action from a list of alternatives.
• Confidence levels for control actions derived
from structured analytical methods can be
useful but are not mandatory.
• Last option for controlling a risk. No feasible
means to mitigate or otherwise control the risk
is available.
• Benefit is that no changes in project plans are
required to address the risk.
• Sometimes used when a compellingly large
Risk is reward could be gained by taking the risk.
Acceptance/ recognized and • Typically used for obdurate, distant, or least‐
Assumption taken on by the predictable risk e.g. funding levels.
project. • Residual (remaining) risk is always accepted.
• Requires special diligence in monitoring,
because nothing was done to reduce the risk.
• Alternative or acceptable ʺfall‐backʺ positions
are especially crucial if the risk is critical to
project success.
• Worst case is ʺpassiveʺ.
The Project Manager and team will identify the most appropriate response method for
each identified risk on the Risk Register and develop mitigation strategies for the major
risks.
• For each risk that will be avoided, the Project Manager shall make changes to the
project plan after consulting with the Project Sponsor and other relevant
stakeholders about these changes.

• For each risk that will be transferred, the Project Manager shall consult with the
Project Sponsor and the organization to which the risk will be transferred.
• For each risk that will be mitigated, the project team will identify ways to prevent
the risk from occurring or reduce its impact or probability of occurring. This may
include prototyping, adding tasks to the project schedule, adding resources, etc.
• For each major risk, a contingency plan shall be outlined for the event that the risk
does materialize in order to minimize its impact.
Risk Monitoring, Controlling, And Reporting

The level of risk on a project will be tracked, monitored and reported throughout the
project lifecycle. Each major risk shall be assigned to a project team member for
monitoring purposes to ensure that the risk will not “fall through the cracks”.
All project change requests shall be analyzed for their possible impact to the project risks.
The Project Manager shall notify the Director, CPPM of important changes to risk status
and include updates as part of the Project Status Report (see Section 6.10.4).
3.9.3 Insurance and Bonding
Upon completion of the risk management meeting, the insurance and bonding needs will
be assessed. The goal is identifying the appropriate level of Insurance and Bonding for
each project. In general terms, the decision will be made based on the risks identified that
are transferable, the value of the project, and the potential disruption of the project. The
Project Manager and Director, CPPM shall seek input from the Insurance Coordinator
and Purchasing at this point.
Details about typical insurance and bonding requirements are included in Section 6.7.

4. Execution
4. EXECUTION
4.1 Retention of Professional Services
Professional services can be retained in several different ways depending on the nature
of the project, the value of the project, and the existence of a current Standing Offer
Agreement (SOA). Brock also has the option of using vendors registered with the Ontario
Education Collaborative Marketplace. Brock uses these vendors as a supplement to the
SOA. All purchases, including the retention of professional services, must be in
accordance with Brock University’s Purchasing Policy.
Figure 7 illustrates the execution process from the retention of professional services using
standard bid documents (Section 4.2) or a Standing Offer Agreement (Section 4.3)
through to the completion of a purchase requisition (Section 4.4) and execution of a
professional services agreement (Section 4.5).
4.1.1 Exception Certification
Brock University’s Purchasing Policy is structured to meet all Federal and Provincial laws
and the Broader Public Sector Procurement Directive that govern competitive bidding
practices in Canada and to protect both the University and the individual purchaser from
liability that could result from a challenge to a contract award. Purchases over $15,000
require a minimum of three written quotes unless one of the listed criteria applies.
Therefore, if competitive quotes are not solicited, a signed Exception Certification must
accompany the requisition forwarded to Procurement Services. An Exception Certificate
shall be used only under extraordinary circumstances and must be reviewed with the
Director prior to proceeding.
4.1.2 ID Cards for Professional Service Providers
Many of the professional service providers who will interact with Brock University staff,
such as Campus Security and Facilities Management, or will be working in the public
areas of the University will require Brock University ID Cards. The Project Manager shall
obtain ID cards for professional service providers in accordance with FMOP 5-7:
Contractor/Consultant Identification Cards.

4. Execution
Step 1: Professional Services Retention

PMM Sections 4.2 - 4.3
Does an
N active SOA Y
exist for
type of work
required?
Retaining Professional Services Retaining Professional Services
Using Standard Bid Documents * Using Standing Offer Agreements
PMM Section 4.2 PMM Section 4.3
Are Are
N professional Y N professional Y
fees > fees >
$100,000? $100,000?
For Non-SOA Projects For Non-SOA Projects SOA Project SOA Project
$15,000 - $100,000**: $100,000 - $250,000***: $15,000 - $100,000**: $100,000 - $250,000***:
At least three service RFQ/RFP/Tender is posted At least three service A Project Specific RFP may
providers are invited to on electronic tendering providers (SOA or other be issued to the service
submit written quotations. system (MERX). firms) are invited to submit providers on the SOA.
May also be advertised on written quotations.
electronic tendering system PM to complete Consultant
or by direct contact. PM to complete Consultant Services Request Form.
Services Request Form.
* Refer to Purchasing Policy for complete details.

** Projects with professional fees < $15,000 may be single sourced. Where feasible multiple quotes may be obtained.
*** Projects with professional fees > $250,000 shall be posted in accordance with CETA.
Step 2: Prepare Purchase Requisition

PMM Section 4.4
Regardless of the method of procurement, a purchase requisition must be created for all
professional services assignments using Workday.
Once approved, a purchase order will be issued with standard terms and conditions.
Step 3: Execute Professional Services Agreement

PMM Section 4.5
Use Ontario Association of

Use Brock’s Purchase Are
N Y Architects Document 600
Order Standard Terms and professional
(2013) or MEA/CEO
Conditions for projects fees >
Client/Engineer Agreement
< $100,000. $100,000?
for projects > $100,000
Figure 7. Retention of Professional Services

4. Execution
4.2 Standard Bid Documents
Table 9 summarizes the standard bid documents commonly used by FM staff as well as
the purpose of each document. Further details regarding the use of these documents are
available in the Purchasing Policy. The templates are maintained by Brock University’s
Procurement Services.
Prior to reviewing and evaluating any standard bid documents, all participating staff shall
sign the Confidentiality and Conflict of Interest Waiver. Completed waivers must be
returned to Procurement Services and will form part of the official project file.
Table 9. Standard Bid Documents
Standard Bid
Acronym Purpose
Document
A Request for Proposals (RFP) is an invitation by Brock
Request for University to prospective proponents to submit
RFP
Proposals proposals for a given project and is a competitive
process.
A Request for Quotations (RFQ) is an invitation by Brock
to prospective respondents to submit non-binding
quotations for a given project.
For high score evaluations, the technical review and
pricing scores are added together, and respondents are
ranked based on their total scores. The top-ranked
Request for
RFQ respondent will be invited to enter into an Agreement
Quotations
with Brock University.
For low bid evaluations, respondents that are compliant
with submission requirements and technical
requirements are ranked based on their pricing score.
The top-ranked respondent will be invited to enter into
an Agreement with Brock University.
A Request for Supplier Qualifications (RFSQ) is an
Request for
invitation by Brock University to prospective respondents
Supplier RFSQ
to provide information about their qualifications as they
Qualifications
relate to the provision of a specified good or service.
For many FM projects, the retention of professional services is streamlined by using a

Standing Offer Agreement (SOA). The SOA process is outlined further in Section 4.3.

4. Execution
4.3 Standing Offer Agreements
Standing Offer Agreements (SOA) are used to prequalify professional services and
Contractors. SOAs are advantageous in that they streamline the procurement of goods
and services that are repetitively required, establish affiliations and understanding of
needs over time, and allow for either party to the SOA to continue or exit the agreement
or to renew or not renew the SOA. SOAs are typically entered for a period of three years
with an option for extension.
Brock University FM has active SOAs for the following types of service providers:
• Project Design Teams (Architect and Engineer) – June 2020 +
• Project Management Services – October 2019 +
• Real Estate Services – March 2021 +
• Additional Services through Ontario Education Collaborative Marketplace (OECM)
4.3.1 Establishment of New Standing Offer Agreements
To establish a new SOA, the RFP process (see Section 4.2) shall be followed to source
and receive proposals from interested Consultants. The RFP document should include
information on the following items:
• Professional services required
• Qualifications/experience required
• Term of services
• Projected volume of work
• Administrative and general conditions
• Evaluation method and selection procedure
• Proposal submission requirements
• Terms and Conditions under which the Professional Services will be delivered
A selection committee comprised of relevant stakeholders shall review, score and rank
the proposals. If necessary, interviews with the short-listed proponents may be
undertaken prior to selection.
Prior to engaging for Professional Services, the SOA shall be approved in accordance
with:

4. Execution
• Delegation of Authority Policy

• Purchasing Policy
The SOA is formalized through a letter from Brock to the successful professional service
providers.
4.3.2 Initiating Consultant Work Under SOA
Where multiple service providers are engaged under a single SOA, it is intended, as much
as practically possible, to divide the work evenly amongst the service providers over the
term of the SOA. The Director, with assistance from the Project Planning Assistant will
maintain a list of projects being undertaken under the framework of the SOA, including a
running total of service provider fees incurred/estimated for each Consultant.
Projects With Professional Fees Less Than $15,000

In accordance with the Purchasing Policy, services with a value of less than $15,000 may
be single sourced, however, where feasible multiple quotes may be obtained to maximize
the value to the University.
Projects With Professional Fees Between $15,000 and $100,000

For these projects, the SOA can be used to provide opportunity to the prequalified
professional service providers. A minimum of three firms need to be solicited. The
Purchasing Policy does not reference the SOA therefore other firms may be approached
to provide a quote.
Projects With Professional Fees Over $100,000

For projects with professional fees over $100,000 a Project Specific RFP may be issued
to the service providers on the SOA. The weighting assigned to each of the evaluation
criteria shall be reviewed for each RFP based on the services required for the project.
Weightings shall be selected and adjusted, as required, to sum to 100%. Suggested
evaluation criteria and weighting values are listed below:
• Project Understanding and Methodology – 25 to 35%

• Fee and Overall Proposal – 25 to 35%
• Project Manager and Discipline Leads – 15 to 30%
• Organization and Experience – 10 to 25%
• Relevant Project Experience – 10 to 25%
• Owner Involvement – 10 to 15%
• Innovation – 5 to 10%

4. Execution
The Broader Public Sector Procurement Directive suggests that price should be the
highest weighed evaluation criteria. This is in contrast with the concept of Qualifications
Based Selection (QBS) where the technical content is weighted highest. For Professional
Services, QBS concepts should govern.
Consultant Services Request Form

Prior to engaging a service provider for the provision of services for an individual project,
the Brock University Project Manager is to consult the Director to determine which service
provider to contact.
The Brock University Project Manager is to complete a Consultant Services Request

Form. The intent of the form is to describe the scope of work to the service provider,
establish a schedule for their work and a basis for determining the fee. For projects which
extend beyond one year or have a project value greater than $100,000, a Microsoft
Project Gantt chart will be required. More information about the Consultant Services
Request Form is outlined in Section 3.1.
The Project Manager shall facilitate the distribution of the Consultant Services Request
Form as follows:
• The form shall be sent directly to the Professional Services provider by the Project
Manager.
• The service provider is to return an executed copy to the Project Manager as well
as a Scope/Time/Cost breakdown of fees (see Section 2.10.1).
• The Project Manager shall file the document in the project file.
4.4 Purchase Requisition
Upon selection of a professional services provider for an FM project, the Project Manager
shall complete a purchase requisition. Purchase requisitions are created and processed
using Workday, the finance and HR software solution utilized by Brock University. For
further instructions regarding creating, finding and managing purchase requisitions,
please refer to the Workday help function.
Upon approval of a purchase requisition, a Purchase Order will be issued to the

professional services provider with Brock’s Purchase Order Terms and Conditions.

4. Execution
4.5 Professional Services Agreement
Upon confirming a professional services provider and initiating a purchase requisition, the
Project Manager shall facilitate the execution of a professional services agreement. The
Project Manager shall ensure that all documents are executed in accordance with the
authorities outlined in the Purchasing Policy.
4.5.1 Projects with Professional Fees Greater Than $100,000
The Ontario Association of Architects (OAA) explains that:
The services of an Architect are rendered most effectively when a clear

understanding exists between the Client and the Architect and is incorporated into
a written contractual agreement. This understanding is most effectively
accomplished by a thorough clear discussion and conclusion as to the goals and
objectives of the project.
For projects valued over $100,000, Brock University has adopted the use of OAA’s
Standard Form of Contract for Architect’s Services, Document 600-2013. Document 600
as well as Instructions for Completing Document 600-2013 are available online.
Brock has developed a listing of standard Supplementary Conditions to OAA 600-2013

which shall be included with as part of all OAA 600 – 2013 Agreements. If additional
Supplementary Conditions are required, the Project Manager shall consult with the
Director, CPPM.
Where the Project is lead by an Engineer, the MEA/CEO Standard Agreement may be
used.
Once the terms, conditions and schedules are mutually agreed upon and understood by
Brock University and the professional services provider, the contract shall be finalized for
signature. Document execution shall occur in accordance with Brock’s Purchasing Policy
and the Delegation of Authority Policy. Any documents submitted to the President or
Vice-President for signature shall have the Request for Signature Form attached.
4.5.2 Projects With Professional Fees Less Than $100,000
For projects with professional fees valued at less than $100,000, Brock’s Purchase
Order Terms and Conditions are used in lieu of a formal agreement. The Terms and
Conditions may need editing to ensure only the clauses specific to the services provided
are in effect.

4. Execution
NOTE:
In light of recent changes made to the Construction Lien Act, now named the Construction
Act, Brock is reviewing the agreement process.
Brock is also considering updating the warranty and insurance requirements in the
Purchase Order Terms and Conditions.
4.6 Consultant Invoicing
4.6.1 Monthly Invoice
The service provider is to issue a separate monthly invoice for each project. Invoices are
to be addressed to the Project Manager (or Workday Delegate) and include the project
name and purchase order number, the fee basis (fixed, percentage or per diem), the base
fee, the invoiced fee amount, expenses, and the amount due. The back-up shall be
sufficiently detailed to enable the Project Manager to evaluate the progress. Using the
scope-time-cost spreadsheet (Section 2.10.1) as a basis for the invoice back-up is
encouraged.
Service providers may send invoices directly to Finance for processing

(brockap@brocku.ca), in which case a Workday Supplier Invoice will be created, entered
into Workday and forwarded to the initiator of the Purchase Order for approval.
4.6.2 Invoiced Amount Approvals
The Project Manager (or Workday Delegate) will create a receipt in Workday to process
the invoice for payment. The Project Manager (or Workday Delegate) will then forward
the invoice to Accounts Payable if no Supplier Invoice has been created. Creation of the
receipt is the approval.
4.6.3 Payment and Cost Tracking
Professional service provider payments will be applied to the appropriate project work
request and account number so that the costs are included on the Project Budget
Tracking Spreadsheet.

4. Execution
4.7 Interruption of Professional Services
From time to time, professional services may need to be interrupted for reasons such as
delays, suspension, termination and force majeure.
OAA Document 600-2013 includes terms and conditions related to delays and
suspensions. The MEA/CEO Standard Agreement includes terms and conditions
related to delays, suspension, termination and force majeure.
The Project Manager shall review the agreement’s Terms and Conditions and ensure
they are appropriate for the project. If additional Terms and Conditions are required for
a given project, the Project Manager shall discuss with the Director, CPPM to determine
if there is a need for Supplemental Conditions or if advice is required from Brock’s legal
counsel and/or insurer.

5. Design
5. DESIGN
5.1 Design Process
The design process typically includes the following stages: pre-design, schematic design,
design development, and construction document preparation. An outline of the tasks
typically involved with each design phase as well as information about key deliverables,
design review meetings, and cost estimate classes is illustrated in Figure 8. This figure
is based on OAA Document 600-2013 which should be referenced for complete details.
5.2 Design Considerations
The design of all new facilities and renovations should take into consideration the items
listed in Table 10.
Table 10. Design Considerations
Consideration Details
The Design Team shall consider requirements
Furniture, fittings, AV
related to furniture, fittings, AV equipment, other
equipment, other equipment
equipment and signage as early as possible
and signage
during the schematic design process.
Adhere to the Campus Plan and other planning
Campus Plan (2016)
documents as well as any specific planning
studies done for the particular project.
Facility Accessibility Design Design to Brock University’s Facility Accessibility
Standards (2014) Design Standards (FADS).
Eliminate any existing barriers to accessibility
Accessibility Audit (2012)
identified in the audit.
Brock University Design Adhere to all relevant Brock University Design
Standards (2019) Standards.
FMOP 5-2: Construction Adhere to procedure for setting up design and
Document Set-Up and Project construction documents and submission
Submission Requirements requirements.
In renovation work incorporate the renewal of any
Building Condition and
items identified in building condition or deferred
Deferred Maintenance Audits
maintenance audits.

5. Design
Consideration Details
Leadership in Energy and
Design to a minimum of LEED Silver.
Environmental Design (LEED)
Design efficient buildings that conserve energy by
incorporating advanced and proven building
systems and equipment. Investigate opportunities
Energy Efficiency for incorporating alternative energy sources. The
use of Life Cycle Costing can aid in the up-front
decision-making process from a financial and
operational perspective.
Facility Needs and Priorities
Consider identified needs and priorities.
Study (2017)
Space Management Policy Design of new or renovated spaces shall adhere
Space Management Framework to Brock’s space management policy, framework
Space Request Procedures and procedures.
Adhere to Environmental Sustainability Plan to
Environmental Sustainability ensure development “meets the needs of the
Plan (2018) present without compromising the ability of future
generations to meet their own needs.”
5.3 Design Team
A design team shall be formed for all major projects. The composition of the design team
is illustrated in Figure 5 (Section 2.7). At a minimum, the design team shall include the
following representatives:
• Project Manager
• Director, CPPM
• Consultant
• Technical Experts
• Direct Project Stakeholders, i.e. occupant and operations stakeholder
representatives
Representatives on the design team shall attend project meetings, participate in design
reviews, and provide written approval (sign-off) of the design at the end of each phase.

5. Design
Pre-Design Phase
Design Review 2 Cost Estimate
Architect Scope 1 Deliverables
(OAA 600-2013) PMM 5.8 PMM 5.9
• Pre-design study Pre-Design report including an analysis of the Pre-Design Report
• Prepare program of reasonable probability of Brock’s objectives for Review Meeting
requirements the project being reached within budget and
• Review and verify drawings advising on measures to align them; an
• Prepare measured drawings assessment of the suitability of Brock’s site to D
• Assist with engagement of a accommodate the project taking into account
Consultant to obtain survey, known site constraints, ability to support future
geotechnical or hazardous additions, and potential impact of known
materials reports proposed developments in the vicinity.
• Review program Preliminary concept design documents Preliminary Concept
• Review applicable codes illustrating relationship of the project components. Design Review
• Prepare initial evaluation Meeting
• Review initial evaluation D
• Preliminary concept design
• Functional plan
Schematic Design Phase

Design Review 2 Cost Estimate
Architect Scope 1 Deliverables
(OAA 600-2013) PMM 5.8 PMM 5.9
• Schematic design documents Schematic design documents illustrating the 100% Schematic
• Estimate of construction cost scale and character of the project and how the Design Review
• Submit schematic design parts of the project functionally relate to each Meeting
documents to Brock other including as appropriate:
• Site Plan
C
• Spatial Relationship Diagrams
• Floor Plans
• Elevations
• Building Sections
• Outline Specifications
• Public Agency Consultation Consultation memo summarizing consultation
Design Development Phase

1 Design Review 2 Cost Estimate
Architect Scope Deliverables
(OAA 600-2013) PMM 5.8 PMM 5.9
• Design development Design development drawings and documents 40% Design Review
documents to describe the site and character of the project C
• Continue review of applicable including as appropriate the architectural,
codes structural, mechanical, and electrical systems, 60% Design Review C (updated if
• Update estimate of materials and other such elements: necessary)
construction cost • Site Plans 90% Design Review C (updated if
• Submit design development • Floor Plans necessary)
documents to Brock • Elevations
• Building Sections 100% Design
Review B
• Project Brief
Construction Documents Phase

1 Design Review 2 Cost Estimate
Architect Scope Deliverables
(OAA 600-2013) PMM 5.8 PMM 5.9
• Drawings and specifications Construction documents consisting of drawings 50% Contract
• Review applicable codes and specifications setting forth in detail the Documents Review B
• Bidding information requirements for the construction of the project.
• Update estimate of
construction cost 100% Contract
• Submit construction Documents Review A
documents to Brock
Notes:
1. Suggested scope and deliverables based on OAA 600-2013. Refer to OAA 600-2013 document for complete details.
2. Design reviews may be part of regular monthly design team meetings.
Figure 8. Phases of the Design Process (Based on OAA 600-2013)

5. Design
5.4 Design Team Meetings
5.4.1 Scheduling
The design team shall participate in regular meetings during the pre-design, schematic
design and design development stages. For major projects, these meetings shall be held
at least once per month. Less frequent meetings will be held during the construction
document preparation stage. For minor projects, design team meetings shall be held as
required.
The Project Manager shall work with the Consultant to schedule all design team meetings
at least two weeks in advance.
In addition to regular design team meetings, design review meetings are also required at
key milestones. Further information about design review meetings is outlined in Section
5.7.
5.4.2 Meeting Agenda and Review Documents
The Project Manager shall ensure that the meeting agenda along with all documents,
drawings and reports that are to be reviewed are sent to meeting invitees at least one
week in advance of the meeting date. For meetings at which design documents are
scheduled for review, the documents will be distributed two weeks in advance to the
Design Team enabling sufficient time for review. This ensures participants have adequate
review time and time to review the documents with other staff, as required.
Comments received during the consultation process shall be tracked using the Capital
Project Review Form. Comments and questions provided shall be address by the
Consultant with the responses entered into the document, and subsequently provided to
the Design Team. The Consultant shall be responsible for maintaining this document
throughout the design process.
Standing agenda items for each design team meeting shall include the review of:
• Previous Minutes
• Project Status Reports
• Project Schedule
• Project Budget
• Change Orders

5. Design
• Risk Register
• Health and Safety
• Project Specific Items
5.4.3 Meeting Minutes
The Project Manager shall ensure the Consultant or a designate prepares minutes and
circulates them to the design team for review no more than one week following the
meeting.
5.5 Support Studies and Expert Consultants
Following the execution of a new project, the Project Manager shall meet with the Director,
CPPM to discuss the unique needs of the project and any support studies or expert
Consultants that may be required, such as:
• Geotechnical
• Environmental (i.e. emission summary and dispersion modelling, acoustic
assessment)
• Tree Preservation including Arborist Report
• Archeological
• Hydrogeological
• Site Survey
• Hazardous Material Investigation
The Project Manager shall instruct the Consultant to prepare a Terms of Reference (if
applicable) for the required special stud(ies). The estimated cost to complete the work
will generally determine the method of retaining the expert Consultant. If the cost is
estimated to be less than $15,000 then the Project Manager may sole source the
assignment. If the cost is estimated to be greater than $15,000 then at least three written
quotations shall be solicited from potential expert Consultants (if possible) in accordance
with Brock University’s Purchasing Policy. Section 4.1 of this PMM outlines further details
about the retention of professional services.

5. Design
5.6 Stakeholder Input
Stakeholder groups will provide written approval (sign-off) of the design at the end of each
stage. Typical stakeholders, as well as information about when they should be consulted,
are listed in Table 11.
Table 11. Stakeholder Consultation Details and Timeline
Potential
Consultation Details and Timeline
Stakeholder
Consult Faculties for projects that impact their spaces, either
teaching or administration. Contact with the Brock community
Brock University
client should be done at the initiation of the project. Touch points
Faculties
should occur at key milestones and written sign off shall be
obtained at the end of each phase of the project.
Consult Administrative Departments for projects that impact their
Brock University spaces. Contact with the Brock community client should be
Administrative done at the initiation of the project. Touch points should occur at
Departments key milestones and written sign off shall be obtained at the end
of each phase of the project.
Consult FM staff for all projects because they will be required to
operate, maintain, and manage the completed asset.
Appropriate representatives, i.e. the trades managers, custodial,
Brock University grounds, etc. should be part of the project team and participate
FM throughout the project.
Consult with the Energy Manager, Maintenance and Utilities to
review all final designs to determine if energy rebates or
incentives can be applied.
Consult HSW staff for projects that have a health and safety or
environmental component, such as asbestos abatement or
Brock University EASR implications. This should be determined during the
Health, Safety and project scoping.
Wellness (HSW) Projects with hazardous material abatement shall be reviewed
with HSW to determine the communications protocol required
relative to the materials to be encountered.
Brock University
Consult Human Rights & Equity staff for human rights and
Human Rights &
AODA issues.
Equity

5. Design
Potential
Stakeholder
Brock University
Students’ Union Consult BUSU and/or GSA for any projects which are funded or
(BUSU) and supported by them. Contacts with BUSU and GSA should be
Graduate used to determine the actual stakeholder. Contact should be
Students’ maintained throughout the project.
Association (GSA)
Brock University
Information Consult ITS for projects that involve AV, access control, Building
Technology Automation Systems (BAS), and/or computerization.
Services (ITS)
Brock University Consult Brock Security for projects that impact life safety
Security systems or have an element of security.
In addition to occupant stakeholders, operations stakeholders,
and those listed above, some projects may impact additional
Other Brock groups on campus. The project team shall consider all groups
University that may be directly or indirectly impacted by project and
Stakeholders construction activities (for example, occupants in nearby
buildings who may be impacted by noise and vibrations during
construction).
Although Brock is not subject to site plan control, projects
impacting Glenridge Avenue should be reviewed with the City.
City of St. Contact should be made once a conceptual design has been
Catharines developed.
Consult with the City Building Department to determine need for
a Building Permit.
Although Brock is not subject to site plan control, projects
impacting Merrittville Highway should be reviewed with the City.
Contact should be made once a conceptual design has been
City of Thorold developed.
Consult with the City Building Department to determine need for
a Building Permit.

5. Design
Potential
Stakeholder
Consult when any Regional services may be impacted, including
the site development adjacent to Merrittville Highway, Glenridge
Avenue and Sir Isaac Brock Way. Contact should be made
once a conceptual design has been developed. Follow-up will be
Niagara Region required as the design proceeds.
In addition, given the creation of the Brock District, design
features adjacent to the regional roads should be discussed with
the Region to ensure consistency with the Brock District design
standards.
Ministry of
Consult when noise, air or water may be impacted. Consultation
Environment,
is typically done by the Consultant following the completion of
Conservation and
the preliminary report.
Parks (MECP)
Consult NEC for campus development projects when a NEC
Niagara
regulatory area may be impacted. Consultation with the NEC
Escarpment
shall be initiated shortly after retaining the Consultant. NEC’s
Commission
development control area can be determined by using the
(NEC)
interactive map on the NEC website.
Niagara Peninsula
Conservation Consult NPCA for water issues.
Authority (NPCA)
Utilities Consult utilities as required during design development.
5.7 Design Review
Table 12 lists the required design review milestones for all projects and is based on OAA
600-2013; further details about each milestone are described in OAA 600-2013.
Design review meetings may coincide with monthly design team meetings or may be
scheduled separately.
Table 12. Summary of Design Review Milestones
Milestone Documents/Drawings to Review (OAA 600-2013)

Project Kick-Off N/A

5. Design
Milestone Documents/Drawings to Review (OAA 600-2013)

Pre-design study report (if applicable) including an analysis
of the reasonable probability of Brock’s objectives for the
project being reached within budget and advising on
measures to align them; an assessment of the suitability of
Pre-Design
Brock’s site to accommodate the project taking into account
known site constraints, ability to support future additions, and
potential impact of known proposed developments in the
vicinity.
Preliminary concept design documents illustrating
Preliminary Design
relationship of the project components.
Schematic design documents illustrating the scale and
character of the project and how the parts of the project
functionally relate to each other including as appropriate:
• Site Plan
Schematic Design • Spatial Relationship Diagrams
• Floor Plans
• Elevations
• Outline Specifications
Design development drawings and documents to describe
40% Design the site and character of the project including as appropriate
the architectural, structural, mechanical, and electrical
60% Design systems, materials and other such elements:
• Site Plans
90% Design • Floor Plans
• Elevations
100% Design
• Project brief
Construction documents consisting of drawings and

100% Construction
specifications setting forth in detail the requirements for the
Documents
construction of the project.
5.8 Cost Estimating
Cost estimates shall be based upon the Canadian Construction Association’s (CCA)
Guide to Cost Predictability in Construction (2012). The CCA Guide defines four

5. Design
classes of cost estimates – A, B, C and D. A brief description of each is included in Table

13.
Table 13. CCA Classes of Cost Estimates
Description Cost Estimate

Class
(Guide to Cost Predictability in Construction, 2012) Variability
This estimate is generally “based on the initial functional
D program and broad concept approach. Usually by this time, ±20-30%
the site and program have been approved.”
“This is a schematic design (construction documents)
development estimate, where the program is set; the
Consultants have provided plans, elevations, sections, and
C ±15-20%
an approximate palette of materials, as well as a concept
design to allow form and spaces, and the design is generally
completed up to 33%.”
“This is a construction document estimate based on working
drawings and more detailed dimensioning from computer
generated drawings and systems with preliminary plans for
mechanical and electrical. Generally, such items as
B structural grid, element sizes, and weight are all determined. ±10-15%
The outline specifications of all systems and materials are
available. The initial Class B estimate is upgraded from
33% during design development, which depending on the
project can be at 50%, 66% or 95%.”
“This estimate can only be produced after the construction
documents are 100% complete and a minimum of two
weeks following the completion of drawings is required to
prepare the estimate. This estimate is of sufficient quality
and reliability as to warrant approval from the owner to
A proceed with tender, as it is based on detailed systems and ±5-10%
component design and accounts for all project objectives
and deliverables. It requires that project systems be
designed and specified to completion based on a realistic
construction schedule and accurate material and labour
costs.”
For major capital projects, estimates of construction cost prepared by a professional Cost
Consultant shall be completed at the end of the following stages:
• 100% Schematic Design – Class “C” estimate

5. Design
• 100% Design Development – Class “B” estimate

• 50% Contract Documents – Class “B” estimate
• 100% Contract Documents – Class “A” estimate
For major capital projects, as a risk management measure, a second independent cost
estimate should be prepared by a Cost Consultant contracted directly to the University at
each of the above-noted stages, or for less complex major capital projects at the following
stages as a minimum:
• 100% Design Development – Class “B” estimate

• 100% Contract Documents – Class” A” estimate
Sufficient time shall be allowed in the project schedule to prepare and review the
estimates. Should the estimate be higher than the approved funding, the design shall be
modified to conform to the budget in consultation with the project stakeholders.
Consideration shall be given to increasing the project budget only after other cost savings
options have been exhausted and only as directed by senior administration.
5.8.1 Operating and Maintenance Costs
Annual operating costs shall be included with all Class B and A estimates. An estimate
of the annual operating cost of the building shall be developed to include:
• Utilities
• Maintenance and operations
• Custodial services
• Campus Security
• ITS
• Insurance
• An allocation for deferred maintenance based on a cost/square foot
• Any other relevant costs
Recommended amounts for deferred maintenance are:

• Low – under $1 / square foot
• Medium – $1 to $4 / square foot

5. Design
• High – $4 or higher / square foot
5.9 Value Engineering
For some major projects a Value Engineering (VE) and Quality Assurance Consultant
may be retained. The objective of the VE assignment is to maximize the return of the
capital expenditure that will be invested in major works. At the outset of each major
project the Project Manager and Director, CPPM shall discuss if a VE Consultant would
be beneficial for the project.
VE is an exercise involving one consolidated team comprised of Brock University, the

design Consultant team, and the VE Consultant team. The VE team provides a list of
recommendations and/or alternatives considered and ranks them to determine which
merit further development. The VE team prepares preliminary design of
recommendations with life cycle costing comparisons to the design Consultant’s original
baseline project, and a descriptive evaluation of the advantages and disadvantages of
the proposed recommendations. Various VE team members present the alternative they
have developed to the rest of the group. The VE Consultant presents a summary of the
results of each workshop. The VE Consultant prepares a final report at the end of each
workshop for submission to the owner.
There are typically three (3) VE workshops lead by a Certified Value Specialist as follows:
• at schematic design phase to provide direction for detailed design,
• at 50% design development phase to verify detailed design approach and adjust if
needed, and
• at 100% detailed design for dealing with constructability issues.
The VE process or number of workshops can be modified or tailored as required to best

suit the interests of any particular project.

6. Pre-Construction
6. PRE-CONSTRUCTION
6.1 Project Contracting Strategy
At the outset of each project, the Project Manager and Director, CPPM shall discuss the
contracting strategy most appropriate for the project. Brock University has been
successful utilizing the traditional “Design-Bid-Build” method of construction procurement
in the past. While this method is preferred, other methods may be used if warranted or
required in the specific project circumstances. Contracting methods that may be
considered include:
• “Design-Bid-Build” (DBB) using CCDC-2, as amended by Brock University

through Supplemental Conditions, requires a fully completed design, and a
completed set of construction documents and specifications which are tendered to
general Contractors. The construction documents shall be developed using the
Brock University Design Standards. A stipulated sum contract is entered into with
the lowest compliant bidder. The advantage of design-bid-build is that the base bid
is known prior to commencing construction. The total price at completion has the
potential to exceed the budget due to unknown conditions encountered or changes
required due to document coordination if these costs are greater than the
Construction Contingency allowance.
• “Construction Management” (CM) using CCDC-5B, as amended by Brock
University through Supplemental Conditions, is generally employed when the
project has a very tight deadline or other complexities. The construction documents
shall be developed using the Brock University Design Standards. Typically,
construction management also includes fast-tracking of the construction which
includes sequential tendering of the individual trade contracts’ and starting
construction prior to completion of the Consultant’s design. Advantages of
construction management include the ability to start construction quickly and
flexibility in making changes during construction. As construction is usually started
prior to completion of the construction documents, there is a higher degree of cost
risk and the total cost at completion is less certain than in a Design-Bid-Build
approach. To avoid being deemed the Constructor under Ontario’s Occupational
Health and Safety Act, all sub-contracts must be held by the Construction Manager
directly.
• “Design-Build” (DB) using CCDC-14, as amended by Brock University through
Supplemental Conditions, requires the University to prepare a comprehensive
design brief describing all the project requirements including space requirements,
general design parameters, required materials and methods, operating

6. Pre-Construction
requirements, warranties and contracted maintenance required, schedule, site and

utility information, etc. The construction documents shall be developed using the
Brock University Design Standards. The design brief is appended to a Request for
Proposal issued to pre-qualified design-Build teams who submit proposals to
design and build the project on behalf of the University for a stipulated sum. Any
University initiated changes prior to or during construction will increase the cost of
the project.
• In the “Design-Build-Finance-Maintain” (DBFM) approach, a contract is entered
into with a consortium usually consisting of a Contractor, design Consultants, a
lending authority and a facility maintenance company for the design, construction,
financing and maintenance of a facility for long term period. This method has not
been used by Brock University and given our ability to obtain financing at preferred
rates, it is unlikely to be used for the foreseeable future.
6.2 Contractor Pre-Qualification
Contractors shall be prequalified wherever possible by conducting the Request for Pre-
Qualification (RFPQ) process. Pre-qualification submissions are requested from
Contractors which are then reviewed and scored by a stakeholder committee prior to the
tender. A short list of typically six to eight prequalified Contractors with proven experience
and expertise suitable for the project is then developed. It is good practice to prequalify
general Contractors, construction managers, mechanical and electrical sub-Contractors
and well as any other sub-Contractors that would have a high degree of impact on project
success.
As part of the pre-qualification process, the Project Manager shall ensure that Contractors
for major capital projects employ at least one site superintendent with an accreditation,
such as the Gold Seal Certification from the Construction Institute of Canada.
The RFPQ template is maintained by Brock University’s Procurement Services.
Periodically, Brock University undertakes a pre-qualification process to create a roster for

Contractors. This enables Brock to move quickly on minor projects as the formal tendering
is completed in advance. Currently, Brock University FM has active SOAs for the
following:
• General Contractors
• Flooring, Drywall & Painting Minor Maintenance and Repair
Additional information about Contractor Pre-Qualification can be found in the OGCA’s

Guide to Pre-Qualification of Contractors.

6. Pre-Construction
6.3 Approvals and Permits
Section 3.8 of this PMM lists common approvals and permits that may be required. The
list may not be exhaustive, and the Project Manager shall work closely with the Consultant
and Project Team to ensure all required approvals and permits are identified as well as
the documentation and drawing requirements of each.
The Project Manager and/or Consultant shall submit applications for approvals and
permits as soon as the necessary documentation and drawings are available. For
example, the NEC typically requires schematic drawings, but other agencies may require
detailed design drawings.
6.4 Tender Package
Tender documents will vary based on the type of Project. For minor projects, the Brock
University Invitation to Tender (ITT) form shall be used. For major projects, CCDC
documents will be prepared by the Consultant for use, including the standard Brock
Terms and Conditions. For site work projects, Brock University uses the Ontario
Provincial Standards (OPS) and the Niagara Peninsula Standard Contract
Document. Guidelines related to the Niagara Peninsula Standard Contract Document
are also available from the Niagara Region website.
Tender documents shall follow the National Material Specification and the Brock
University Design Standard numbering format.
6.5 Addenda
An addendum may be required to change or clarify information in the tender package.

Addenda are typically a result of design changes or questions from bidders. It is
important to ensure that all Contractors are provided with the same information and all
are bidding on the same tenders.
If an addendum is required, the Project Manager shall work with Procurement Services
staff to issue the addendum.
The addendum supplements and/or supersedes the RFP. It forms part of the RFP and
is to be read, interpreted, and coordinated with all other parts. The addendum must be
acknowledged by all bidders and it becomes part of the contract documents.

6. Pre-Construction
6.6 Tender Evaluation and Award
The tender and award process shall be undertaken in accordance with Brock University’s
Purchasing Policy.
6.6.1 Bid Analysis
Bids or quotations are to be reviewed by the Project Manager except in the case where
there has been a Consultant retained and the Consultant’s scope of work includes tender
and award services in which case both the Project Manager and the Consultant shall
review the bids or quotations. Bid information and results shall be documented on the
Tender Opening Record.
Bids not in compliance with the contract documents including the Instructions to Bidders
and the Form of Tender, or the Request for Quotation may be declared non-compliant
and therefore ineligible for consideration.
Provided the low bid is within the budget established for the work, the Project Manager is
to recommend the award of the contract to the lowest compliant bidder. In exceptional
circumstances, the Project Manager may have reason to not recommend award to the
lowest compliant bidder. In this event, the Project Manager is to inform the Director,
CPPM who will review the issue a recommend a course of action to the AVP, Facilities
Management for consideration.
Potential reasons for not awarding the contract to the lowest compliant bidder may
include:
• Contractor’s legal action (or pending legal action) against the University.
• Documented evidence supporting the conclusion that the Contractor will not be
able to complete the work to the satisfaction of the University.
6.7 Insurance and Bonding
The following bonding is required for FM projects:

• Bid bonds should be required of bidders for all tendered contracts with an
estimated value in excess of $100,000. Other acceptable security, such as a
certified cheque or letter of credit, may be permitted for contracts with a pre-tender
estimate of less than $1,000,000.
• Labour and Material bonds and Performance bonds shall comply with the
requirements of the Construction Act.

6. Pre-Construction
• A Consent of Surety (letter from the Surety Company) indicating that the
Contractor will obtain the required final bonding will be required to be submitted by
all bidders.
Information regarding insurance requirements is included in the Brock University

Design Standards and RF documents. Contractor and Consultant insurance
requirements and monetary limits are determined in consultation with Brock’s Risk
Management staff.
If a Certificate of Insurance is required, the Project Manager shall contact Brock’s Risk
Management staff for assistance.
6.8 Contractor Purchase Requisition
Upon selection of a Contractor for an FM construction project, the Project Manager shall
complete a purchase requisition. Purchase requisitions are created and processed using
Workday, the finance and HR software solution utilized by Brock University.
For further instructions regarding creating, finding and managing purchase requisitions,
please refer to the Workday help function.
Upon approval of the purchase requisition, a Purchase Order will be issued to the
Contractor with Brock’s standard Purchase Order Terms and Conditions.
6.9 Agreement / Contract
Upon confirming a Contractor and initiating a purchase requisition, the Project Manager
shall facilitate the expeditious execution of a contract. The Project Manager shall ensure
that all documents are executed in accordance with the authorities outlined in Appendix
B of the Purchasing Policy and the Delegation of Authority Policy. Any documents
submitted to the President or Vice-President for signature shall have the Request for
Signature Form attached.
All contract documents shall be in one bond set with no ribboning.
6.9.1 Projects With Construction Costs Greater Than $100,000
For construction contracts valued over $100,000, Brock University uses industry standard
construction contracts produced by the Canadian Construction Documents Committee
(CCDC). Common CCDC contracts used for Brock FM projects are listed in Table 14.

6. Pre-Construction
Table 14. CCDC Contracts
Contract
Description Use
Form
CCDC 2 – 2008 Stipulated Price Contract is a This contract is used
standard prime contract between Owner and for the majority of FM
CCDC 2
prime Contractor that establishes a single, pre- projects that follow the
(2008)
determined fixed price, or lump sum, traditional “Design-Bid-
regardless of the Contractor’s actual costs. Build” model.
CCDC 5B – 2010 Construction Management
This contract is used
Contract for Services and Construction is a
for FM projects that
standard contract between Owner and
CCDC 5B follow the
Construction Manager to provide advisory
(2010) “Construction
services during the pre-construction phase and
Management”
perform the required work during the
contracting strategy.
construction phase.
CCDC 14 – 2013 Design-Build Stipulated Price
Contract is a standard prime contract between This contract is used
the Owner and the Design-Builder where the for FM projects that
CCDC 14
Design-Builder provides the design services follow the “Design-
(2013)
and performs the work under one agreement, Build” contracting
for a single, pre-determined stipulated or fixed strategy.
price.
Brock has developed a listing of standard Supplementary Conditions to CCDC 2 and

Supplementary Conditions to 5B. These Supplementary Conditions shall be included
as part of all construction contracts. If additional Supplementary Conditions are required,
the Project Manager shall consult with the Director, CPPM.
6.9.2 Projects With Construction Costs Less Than $100,000
For construction contracts valued at less than $100,000, Brock’s Purchase Order Terms
and Conditions are used in lieu of a formal agreement.
6.9.3 Supplier Purchasing Contract
In an effort to streamline the approval process for additional works and/or change order
invoices on specific projects, a Supplier Purchasing Contract (SPC) for the Contractor
can be utilized. Workday enables this through a dual approval process at the outset of
the project, and it remains in effect for the duration of the contract.
The decision to set up an SPC will be based on the following:

6. Pre-Construction
• Due to project complexity, i.e. scope, scale and unknowns, multiple change orders
are expected, project extending for several months
• Major project, i.e. greater than $5.M with significant contingency
The following procedure shall be used by the Project Manager to establish an SPC:
• The SPC is set up for total amount of budget for the construction plus the
contingency amount (before HST). The purchase order is set up for the base
contract and linked to the SPC. An additional purchase order (also linked to the
SPC) may be set up for the change orders. This additional purchase order is all or
part of the construction contingency.
• The SPC goes through the appropriate approvals in accordance with the
Purchasing Policy based on its dollar amount.
• The SPC is not shared externally and therefore the Contractor does not know the
value of the SPC or the contingency. The SPC is an internal Brock document.
• The SPC tracks the dollar amount that is committed (purchase orders, PO) and
actuals (invoices) against the total SPC amount.
• The SPC will put a hard stop to additional requisitions or invoices when the SPC
and PO approved amount is reached.
• Purchase orders, invoices and project value must be linked in Workday to the SPC
as they are processed.
• Once the change order total reaches a substantial amount, an additional purchase
order (linked to the SPC) can be generated for the next group of change orders.
The total value of the additional purchase orders (over and above the base
contract) shall not exceed the total construction contingency.
6.10 Communication Plan
Stakeholder buy-in is essential for project success. An effective Communication Plan is

central to achieving this buy-in.
A Communication Plan is required for all major projects and recommended for all minor
projects. The Project Manager shall work with the project team to prepare a
Communication Plan that documents:
• Project Stakeholders
• Project Goals and Objectives
• Key Messages

6. Pre-Construction
• An Action Plan that identifies the following for each piece of communication:
o Audience (Refer to Section 6.10.1)
o Content (Refer to Section 6.10.2)
o Method of communication (Refer to Section 6.10.3)
o Timing
o Person responsible
A Communication Plan Template is available in the Virtual Library.
In addition to following the Communication Plan, the Project Manager and project team
shall ensure they provide effective two-way communication with stakeholders throughout
all project phases. Requests shall be responded to in a timely manner and feedback
provided as appropriate.
6.10.1 Audience
The first step to creating a Communication Plan is identifying who needs to know
something about the project. The audience typically includes the following:
• Project Team: The project team is the core of communication. Team members
work on the project virtually every day. They need to know what’s going on with
the project and they also contribute much of the information that is communicated
to others. As illustrated in Figure 5, team members include:
o Project Sponsor
o Project Manager
o Senior Administration Representative
o Occupant and Operations Representatives
o Director, CPPM
o Consultant
• Project Stakeholders: Project stakeholders are people, groups, or organizations
that could impact or be impacted by a project. Project stakeholders can be internal
(members of the Brock community) or external. Potential project stakeholders are
listed in Section 5.6.
• Other Audiences: Other groups often need or want project information. As the
communication plan is being developed, ask stakeholders if there is anyone else

6. Pre-Construction
who needs to know something about the project. The team shall ensure that all
groups that are directly or indirectly impacted by project activities are identified and
provided appropriate communications. Examples may include:
o Management Stakeholders: Management stakeholders who aren’t
dedicated to the project, but make key decisions about it share similar
needs for project communication and can include clients, the Project
Sponsor, a steering committee or leadership team, functional managers,
etc.
o Neighboring Building Occupants: Nearby faculty, staff and students may
be impacted by project activities such as noise or vibrations. Appropriate
notice shall be provided to them regarding construction activities.
o Custodial Services Staff: Custodial Services staff need to know when
they are to begin servicing all or portions of new and renovated buildings.
o Brock Community: For major projects, communications should be
provided to the wider-Brock community to celebrate significant milestones.
The Communication Plan Template includes a listing of potential stakeholders that can
be used to assist with audience identification.
6.10.2 Content
For all audiences that have been identified, the next step is to determine what they need
to know, what they want to know, and what information the project team wants to tell
them. When identifying information to be communicated, remember that relevance is key.
Not everyone needs or wants the same amount of information delivered in the same way,
but most everyone wants their information delivered consistently and on time.
Table 15 lists common types of project information that should be communicated during
the different phases of a project. This list shall be reviewed by the Project Manager to
help develop the Communication Plan. This list is provided as a starting point only;
additional communications may be required depending on the needs of the project.

6. Pre-Construction
Table 15. Types of Project Information to Communicate
Information
Timing /
to Audience Rationale
Phase
Communicate
The components of the project charter help
people involved with the project understand
the purpose of the project and their roles in
Project completing it.
Project
Team
Charter Planning Management stakeholders, including the
All client, Project Sponsor, and other high-level
Stakeholders stakeholders, typically care about the overall
business goals of a project. Early on, they
evaluate the project charter to ensure that it
meets their needs.
Team members must understand the work
they are supposed to perform as well as how
that work fits into the big picture of the
project. Team members need to know what
Project
Project work they are supposed to do and when.
Team
Assignments / Planning Functional managers usually provide the
Work Plans Functional
staff who perform the project work, so they
Managers
need to understand the skills required, to
know when their people are needed, and to
be aware of any constraints, such as cost or
availability.
Team members should be provided with
Project Rules
Project relevant procedures such as reporting time
and Planning
Team and expenses, requesting time off,
Procedures
escalating issues, etc.
Project
Sending status reports to stakeholders
Team
makes it easy for them to read the
Throughout
Project Status All information and scan the reports for pertinent
duration of
Reports Stakeholders topics. Section 6.10.4 includes more
project
information about creating status reports and
Functional
their recommended content.
Managers

6. Pre-Construction
Information
Timing /
to Audience Rationale
Phase
Communicate
Updates shall be provided to appropriate
stakeholders to communicate construction
activities and potential impacts, as required.
Project This is of particular importance when
Construction Team occupants remain in a building or near the
Construction work site during construction.
Updates Appropriate
Stakeholders Stakeholders should be informed of
appropriate communication channels if they
wish to ask a question or report an issue
during construction.
Team members need to know about issues
Project
that might affect them, proposed solutions,
Team
Issues Ongoing and how closed issues were resolved.
Appropriate
Other stakeholders should also be informed
Stakeholders
of issues, as appropriate.
Team members must know about any
Project decisions that affect the direction or
Decisions Ongoing
Team objectives of the project, so they can
conform to the new guidelines.
Team members can work more effectively if
Lessons Project
Ongoing they can take advantage of tips, shortcuts, or
Learned Team
practices to avoid.
Project All projects should be wrapped up with a

Summary Team Project report that summarizes the performance of
Report Closure the project and key outcomes that is
Stakeholders distributed to all stakeholders.
6.10.3 Methods of Communication
As part of the Communication Plan development, the Project Manager shall determine
the best method for delivering various types of information. Typical communication
methods and a description of each are listed in Table 16.

6. Pre-Construction
Table 16. Methods of Communication
Method Description
Meetings can vary from one-time kickoff meetings to daily meetings of small
groups of team members, weekly or monthly executive updates, or
occasional all-hands meetings. Getting stakeholders in the same room is
ideal for discussions, brainstorming, and decision making.
Meetings When hosting meetings, the Project Manager shall ensure:
• The right people are invited.
• An agenda is prepared to keep the meeting focussed.
• Meeting minutes with assigned action items are prepared and
distributed to all attendees.
Conference calls are a good option for meetings when people are distributed
geographically; however, they are not ideal if the team is working through
Conference issues.
Calls and A videoconference or Microsoft Office LiveMeeting provides more effective
Video- interaction than a traditional conference call and can be useful for important
Conferencing topics or high tensions. Brock has limited videoconferencing capability, so the
Project Manager shall book facilities early when this is the preferred
communication method.
Distributing documents is important if recipients are required to review
information and take action. Often, the best way to obtain approval and
signatures is to hold a meeting, but documents should always be distributed
Document for review in advance.
Distribution Electronic distribution of documents is typically most efficient. However,
some information, such as reports for government agencies, may be required
in different formats. The Project Manager shall adhere to required formatting
and transmission methods.
Document-based deliverables, such as the current project plan,
requirements, specifications, change requests, and other project information
Network
should be stored in the project file on the OneDrive where other Brock
Storage
stakeholders may access them. Refer to Section 2.9 for more information
about document management.
Newsletters and mass emails work well for announcements and other
information to be disseminated to broad audiences. Information can be
Newsletters distributed to many people efficiently.
and Email Mass email notification has been the traditional method of communicating
Distribution activities related to projects with the Brock community. This method should
Lists only be used when high level information is required as communicating
through mass email does not allow a lot of information to be transmitted and
key messages may be lost.

6. Pre-Construction
Method Description
Face-to-face communication is time consuming but highly effective for
Face-to-face
transmitting important information, brainstorming solutions, delivering delicate
Discussions
information, and achieving buy-in and commitment.
Publicity can help build enthusiasm and commitment for a project. At the
outset of a project, announcements in Brock News or road shows describing
Promotional
the purpose and benefits of project can help build enthusiasm and
Materials and
commitment. Other promotional materials, such as project newsletters and
Publicity
swag, can help publicize accomplishments and advertise the project.
Celebrations can be hosted upon completion of significant milestones.
6.10.4 Project Status Reports
Project status reports keep people informed about the progress that has been made on
a project and what’s happened in the recent past. For all major projects, the Project
Manager shall prepare monthly project status reports containing the following information:
• A summary of activities in progress and when they will be completed;
• A summary of recently completed activities;
• Status of schedule;
• Status of budget;
• Identification of issues and risks;
• Results of meetings, discussions, training sessions, etc.; and
• Other information as required.
Other suggestions for preparing a project status report include:

• Provide specific, quantitative results; use numbers rather than terms such as few
or numerous;
• Take the time to correct typographical errors and grammatical errors;
• Proofread the report;
• Be concise while delivering information that stakeholders need or want to hear;
and
• Provide links to a project repository so readers who want more information can
locate it.

6. Pre-Construction
Status reports may vary by the needs of the audience. For example, the Project Sponsor,
management stakeholders, team members and functional managers all require a project
status report, but they may be interested in different information:
• The Project Sponsor and management stakeholders frequently review
performance, such as how much progress has been made, how much money has
been spent, and the quality of the results that have been achieved. They may also
want information about the project strategy and issues and risks that might affect
the business objectives for the project.
• Team members need to know the status of their work and related tasks. As work
progresses on the project, they need to know detailed status about completed work
and the work that’s scheduled for them in the near future.
• Functional managers want to know how much longer their staff are needed so they
can plan work for their team.
6.10.5 Requests and Follow-Up
The most effective way to obtain a response to a request is to tell people up front what
they need to do and when. Requests should be included in the first paragraph of an email,
memo, or other written communication and stated in the first sentence of voice messages.
It is the Project Manager’s responsibility to follow-up on action items, requests, and issues
and keep the project moving forward.
6.10.6 Communication Reminders
The Project Manager shall ensure key project information is communicated in accordance
with the Communication Plan. It is recommended that the Project Manager create
reminders for key communication milestones using one of the following options:
• Set up communication tasks as milestones in the Microsoft Project schedule.
• Create one time or recurring tasks and reminders in Microsoft Outlook.
• Use an alternate preferred system for managing tasks.

7. Construction
7. CONSTRUCTION
7.1 Pre-Construction Meeting
A pre-construction meeting shall be held before the initiation of construction to acquaint

all involved parties. Issues affecting the initiation of the project are discussed at this
meeting. Section 7.1.2 identifies the items which should be considered when preparing
an agenda for the pre-construction meeting.
7.1.1 Scheduling
The Project Manager shall work with the Consultant to schedule the pre-construction
meeting at least two weeks in advance of construction commencement. Standard and
optional invitees are listed in Table 17.
Table 17. Pre-Construction Meeting Invitees
Title Affiliation
Standard Invitees
Project Manager Brock University
Director, CPPM Brock University
Project Sponsor Brock University
FM Divisions – Asset Management & Utilities and
Brock University
Facilities & Services
Other Brock Stakeholders Brock University
Consultant Project Manager Consultant
Consultant Site Inspector Consultant
Consultant Contract Administrator Consultant
Contractor Project Manager Contractor
Contractor Site Supervisor Contractor
Sub-Contractor(s) as needed Sub-Contractor(s)
Optional Invitees
Health, Safety and Wellness Coordinator Brock University
Geotechnical Consultant Project Manager Geotechnical Consultant
Affected Utility Representative(s) Utilities
Niagara Region or Area
Municipal Representative (project-dependent)
Municipality

7. Construction
Title Affiliation
Ministry of the Environment, Conservation and
MECP
Parks (MECP) Representative
Other Affected External Agency Representative(s) External Agency
7.1.2 Meeting Agenda
The Project Manager shall provide the Pre-Construction Meeting Agenda Template to
the Consultant to be completed with the project-specific information. Table 18 lists the
topics to be included on the agenda.
Table 18. Pre-Construction Meeting Agenda Topics
Agenda Topic Supporting Documents and Details

Requirements Prior to Commencing Work
• Contractor shall provide WSIB Certificate to Brock prior to
WSIB Certificate
commencement.
• Consultant and Contractor shall provide personnel list including
Project Contact emergency phone numbers and Health and Safety representative.
List
• Refer to Project Contact List Template.
• Contractor shall provide copy of Health and Safety Policy and name of
representative.
• Contractor shall observe all safety precautions including wearing of
Health & Safety safety helmet, boots, and eye protection as required by law and
activities of the site.
• Pre-start Health and Safety Review
• Refer to Section 7.3 for further information.
• Superintendent and Project Manager shall introduce themselves to
Introductions
Campus Security at ext. 4300 (8:30 – 4:30 Monday to Friday).
• Contractor shall file the Notice of Project with the Ministry of Labour
Notice of Project
(MOL) prior to commencement.
Certificate(s) of • Contractor shall provide Certificate(s) of Insurance to Brock prior to
Insurance commencement.
• Contractor, Consultant and Brock’s Project Manager shall conduct a
mutual understanding meeting to discuss and review the Contractor’s
Quality Control QC Plan prior to commencement of construction.
(QC) Plan

7. Construction

Campus Specific Requirements
Campus Plan • Brock Project Manager shall provide a copy of the Campus Plan to the
Contractor.
Smoking • Contractor shall adhere to no smoking and designated smoking areas.
• Contractor shall arrange for a representative to meet incoming
Deliveries deliveries. Do not direct personnel or deliveries to Brock Central
Receiving.
• Contractor shall advise Campus Security of emergencies at ext. 3200
(emergency extension). Campus Security must be informed in the
Emergencies
event of a 911 call in order to meet emergency vehicles at Glenridge
Avenue and assist/direct them on campus.
Respectful Work
• Refer to Brock’s Respectful Work and Learning Environment Policy.
Environment
• The Contractor will be restricted to an area for laydown of materials,
Material
equipment, etc. Brock will provide this information to the Contractor
Laydown Area
when requested.
• Contractor shall ensure work area remains as clean as possible, debris
is removed and disposed of in a timely fashion and tracking from
Site Cleanliness construction area through public areas is kept to a minimum. Use tack
mats wherever possible.
Contractor • Brock Project Manager shall confirm quantity of Contractor parking
Parking permits required and provide them to Contractor in advance of project
Requirements commencement.
• Contractor shall provide clear instructions to visitors to the site with
Directions
respect to safety and directions to avoid wandering.
• Keys shall be signed out from Space Management Coordinator at 573A
Glenridge, Room 111.
Keys and ID
• Refer to FMOP 5-7: Contractor/ Consultant Identification Cards
Cards
o 5-7: Annex A
o 5-7: Annex B
• Work to occur during normal business hours (7am to 5pm).
• For some projects, after-hours work may be required to minimize
Hours of Work disruptions (i.e. to limit occupant exposure to noise and other hazards).
Requirements for after-hours work shall be clearly discussed by the
Project Manager, Consultant and Contractor.
Washroom
• Use of university washroom facilities vs. portable toilets.
Facilities

7. Construction

• Refer to FMOP 2-9: Operation of Elevators
Use of Elevators o 2-9: Annex A
o 2-9: Annex B
o 2-9: Annex C
Permits and Procedures
• The Consultant shall apply for a Building Permit on behalf of Brock.
Building Permit
• Refer to Sections 3.8 and 5.6.
• Required for any temporary operation involving open flames or
producing heat and/or sparks, including brazing, cutting, soldering,
torch-applied roofing, welding and another other operation.
Hot Work Permit • Requires completion of the Hot Work Permit and application to
Facilities Management. Allow 48 hours for processing.
• Refer to Section 7.4 for further information and the Application for
Hot Work Permit.
• Work related to fire protection equipment requires 48 hours notice.
Fire Protection • Early consultation with the Manager, Electrical Services is encouraged.
Equipment • Refer to Section 7.5 for further information and the Application for
Scheduled Work on Fire Protection Equipment.
Award of Contract • Refer to Section 6.9 for further information.
• Contractor shall refer to Customer Service at Facilities Management for
Maintenance, inquiries related to maintenance, locates, etc.
Locates, etc.
• Refer to FMOP 3-2: Utility Locates and 3-2: Annex A
• Correspondence related to construction work shall be directed to the
Consultant and copied to Brock’s Project Manager.
• The Contractor shall not take any direction related to work involving
Lines of cost from personnel other than the Consultant or Project Manager.
Communication • When Contractor activities will have an impact on the operations of the
campus such as disruptions due to noise, dust, deliveries, etc., the
Project Manager will facilitate communications between the Contractor
and the relevant University departments and provide notification and
communication to the affected Brock community.
Full Time Site • The Contractor shall ensure the site is supervised at all times and
Supervision provide contact information for the person(s) fulfilling this role.
Demolition of
• Any demolition or disconnection work related to data outlets/Wi-
Data Outlets/
Fi/security camera devices must be performed by ITS personnel.
Wi-Fi/ Security
Cutting a data line can cause damage to a switch
Cameras
• The Contractor shall arrange a pre-installation meeting with the Door
Door Hardware
Hardware Consultant.

7. Construction

Site Administration
• Contractor shall provide typed, accurate minutes of site meetings.
Minutes
Paperwork • Contractor shall provide prompt paperwork.
• Contractor shall provide updated schedule including baseline schedule
Schedule with site meeting minutes.
• Consultant, Contractor and Brock shall discuss RFI process and forms.
Request for
• Contractor shall provide updated RFI log with site meeting minutes.
Information (RFI)
• Consultant, Contractor and Brock shall discuss change management
process including Contemplated Change Notices, Change Orders,
Change Change Directives and associated forms.
Management • Contractor shall provide updated Change Register with site meeting
minutes.
• Contractor shall provide updated Shop Drawing Log with site meeting
minutes.
Shop Drawings • Shop Drawings to be reviewed by Consultant, only if they are stamped
by Contractor and sub-Contractor first
• Brock University expects a “high level of contract administration”
ensuring good paper flow in pursuit of the best performance,
scheduling and communication in order to make payments without
Invoicing delay.
• Contractor shall send invoices first to Consultant for review.
• Refer to Section 7.14 for further information about progress payments.
• Contractor shall provide schedule of safety meetings to allow a Brock
Safety Meetings
University representative to attend.
Other Issues
The Project Manager and Consultant shall include other project specific
issues to be discussed at pre-construction meeting, such as:
• Scheduling details
Other Issues
• Coordination of activities with Brock
• Coordination with other service providers
• Dumpster requirements

7. Construction
7.2 Site Meetings
Regular bi-weekly or monthly meetings are held on-site to report on the status of
construction and to update project progress. Operations and construction related issues
affecting project cost and timeline are typically discussed during these meetings.
Site meetings shall be held at a bi-weekly frequency for all major projects and on an as
required basis for minor projects. Invitees shall include:
• Project Manager
• Director, CPPM
• Other Brock Stakeholders (as required)
• Consultant Project Manager
• Consultant Site Inspector
• Consultant Contract Administrator
• Contractor Project Manager
• Contractor Site Supervisor
• Sub-Contractors (as required)
The Project Manager shall ensure the Consultant or a designate prepares minutes and
circulates them to all invitees no more than one week following the meeting. The following
items shall be attached with each set of minutes:
• Updated Schedule (Section 7.8)

• Updated RFI Log (Section 7.9)
• Updated Change Register (Section 7.10)
• Updated Shop Drawing Log (Section 7.11)
7.3 Contractor Health and Safety
In accordance with the Ontario Occupational Health and Safety Act, the Contractor is
responsible for health and safety on the construction site.
Health and safety considerations for all projects include the following:

7. Construction
• The Contractor shall provide Brock with a copy of their Health and Safety Policy
and name of their representative.
• The Contractor shall observe all safety precautions including wearing of safety
helmet, boots, and eye protection as required by law and activities of the site.
• The Project Manager shall ensure that a pre-start health and safety review is
included as part of the pre-construction meeting (Section 7.1).
• The Project Manager may invite the Brock University Health, Safety and Wellness
(HSW) staff if Asbestos-Containing Material(s) (ACM) or hazardous materials are
present in the Project area. Consultation with users shall be required for Type 3
ACM abatement. The HSW staff will facilitate the consultation. Refer to Brock
University’s Asbestos Management Plan and Hazardous Materials Information
System.
• The Contractor shall inform Brock’s Project Manager of safety meeting dates to
allow a Brock representative to attend.
• To avoid being deemed the Constructor under Ontario’s Occupational Health and
Safety Act, any Contractors and suppliers/installers contracted directly by the
University are only to perform work on the construction site after certification of
Substantial Performance of the work and where their work does not overlap in time
and space with other Contractors. All construction sub-contracts shall be held by
a General Contractor or Construction Manager directly.
• Contractors are to be provided with a copy of the Brock University Respectful
Work and Learning Environment Policy.
• Contractors shall be encouraged to obtain a Certificate of Recognition (COR) from
the Infrastructure Health and Safety Association (IHSA). A COR is recommended
for all Contractors submitting bids for major capital projects with an estimated value
over $1,000,000.
• All applicable legislative and regulatory requirements.
7.4 Procedure for Hot Work Permit
The following procedure applies if the project requires temporary operation involving open
flames or producing heat and/or sparks, which may include brazing, cutting, grinding,
soldering, torch-applied roofing, welding, etc.
A new Hot Work permit is required for each shift/day when Hot Work is required (i.e. one
permit per day/shift).

7. Construction
1. An Application for Hot Work Permit shall be completed by the Contractor and
must be filed 48 hours in advance of commencement of work. The Project Manager
will assist in the preparation and processing of the Permit.
2. Typically to perform Hot Work, the Contractor will also require the Project Manager
to prepare an Application for Scheduled Work on Fire Protection Equipment.
Refer to Section 7.5 for further details on this application.
3. In preparation to perform Hot Work, the Contractor is required to complete the Hot
Work Checklist. The Contractor shall complete the following required tasks prior to
performing Hot Work:
o Ensure sprinklers, hose streams and fire extinguishers are in good working
condition
o Ensure all hot work equipment in good working condition
o Within 35’ (11m) of hot work, address the following:
▪ Any flammable liquid, dust, lint and oily deposits removed
▪ Explosive atmosphere is area eliminated
▪ Floors are sweep clean
▪ Combustible floors are wet down, covered with damp sand or fire-
resistant sheets
▪ Where possible, remove other combustible material. Otherwise,
protect with FM approved welding pads, blankets and curtains, fire-
resistant tarpaulins or meal shields
▪ All floor, wall and ceiling openings to be covered
▪ FM approved welding pads, blankets and curtains installed under
and around work
▪ Protect or shut-down ducts and conveyors that may carry sparks to
distant combustible materials
o If Hot Work proposed near combustible wall or ceiling materials, the
combustible material will need to be moved away or protected
o For Hot Work on equipment:
▪ Enclosed equipment will be cleaned of all combustible materials
▪ Containers to be purged of flammable liquid or vapour
▪ Pressurized vessels, piping and equipment shall be removed from
service, isolated and ventilated
o Fire Watch is required for all Hot Work and shall consist of the following:

7. Construction
▪ Fire watch shall be provided during Hot Work, including work break
period and continued until 60 minutes after work is complete
▪ Fire watch to be supplied with suitable fire extinguishers, and where
feasible, a charged small hose
▪ Fire watch is trained in the use of the equipment and in activating the
alarm
▪ Fire watch may be required in adjoining areas of the work
▪ Monitoring of Hot Work area is required for an additional three (3)
hours after 60-minute fire watch
o Other precautions may be required, and FM should be consulted if unusual
conditions exist.
4. The Contractor performing Hot Works must post the approved permit on the
entranceway to the Area.
5. The Contractor shall advise the Project Manager when work is complete. A new
Hot Work permit is required for each shift/day when Hot Work is required. (i.e. one
permit per day/shift). The permit will be forwarded to the Manager, Mechanical
Services for archiving.
7.5 Procedure for Scheduling Work on Fire Protection Equipment
The following procedure applies if the project is recognized to have an impact on the
Brock fire alarm system in a specific building. Potential scenarios include:
• Temporary shutdown and protection of existing detection devices for construction
to occur and to avoid false alarms. The Project Manager should err on the side of
caution as these devices are very sensitive to construction dust and hot work. For
hot work, please refer to the Hot Work Permit procedure.
• Modifying/relocating existing detection and notification devices by others.
• Adding new detection and notification devices by others.
• Adding/tying in or working near sprinkler heads (plumbers & fire-techs needed).
1. An Application for Scheduled Work on Fire Protection Equipment shall be

completed and reviewed with Manager, Electrical Services or designate for all
work. The Project Manager shall ensure that all relevant contact information is
included on the Application. For complex projects, consultation with the Manager,
Electrical Services may be required.

7. Construction
2. For complex projects, a consultation meeting with FM and Emergency

Management and Life Safety may be held to determine the impact. This shall
include the Architect, and/or Electrical Engineer. The Architect’s role is related to
interpretation of the OBC and the Electrical Engineer’s role is to undertake the
design. The Project Manager will assist in the determination of the need.
The Architect/Engineer shall determine the fire alarm design requirements based
on building information, fire alarm documentation, and building classification
(OBC) and prepare a Design Brief for review. Upon acceptance of the design,
tender documents shall be prepared
Note: Fire Alarm systems vary by building and a thorough review of the
documentation available should be undertaken prior to proceeding with the design
meeting by the Architect and Engineer. This information is available to the
designers on the Brock Virtual Library.
3. Once the Contractor is retained, the Contractor shall engage Chubb Edwards
(Academic Buildings) or Johnson Controls (Residence Buildings) for system
verification and programming. An alternate Fire Alarm company may be used for
verification portions only. The Project Manager shall consider the need for fire
watch and a Fire Technician as part of the shutdown. Consideration of the Fire
Works graphics upgrade also needs to be considered.
Notes:
o The Project Manager shall prepare the Application for Scheduled Work on
Fire Protection Equipment, and once approved, the form shall be placed on
the appropriate fire panel by a Brock Fire Technician.
o The Project Manager shall ensure as per The Ontario Fire Code Div. C
Section 1.2 that any repairs, replacements or alterations performed on
existing fire protection systems must be done by a certified fire technician.
The fire technician must be onsite can have two workers performing fire
alarm work under their supervision.
o Shutdown/disabling of Fire Alarm/devices to be by Brock Staff only.
4. Notification to Brock community of fire alarm equipment work shall be required. FM
Customer Service staff will distribute copies of the approved Application to the
Project Manager and Campus Security. The Brock community is only notified when
audible testing and 3rd party verification is required. The Project Manager is
responsible for circulating notice to Contractor and to building occupants when any
audible testing which is typically only allowed prior to 7 am (outside
business/academic hours) as follows:

7. Construction
o Notification is the last part of the process and shall be distributed to FM

Managers, Electrical and Mechanical Leadhands, Fire tech phone, and
Director, Facilities and Services. When the shutdown impacts Residence,
the Manager, Residence Facilities and Finance and the Residence Service
desks.
o Three (3) copies of the Application for Scheduled Shutdown are provided to
the trade responsible for the shutdown.
5. Initiate work including provision for fire watch, as required. When a fire watch is
required, the Contractor will be responsible for maintaining it for the duration for
the shut-down. Fire alarm systems SHALL be reinstated daily.
6. The PM shall ensure the Electrical contractor updates the fire alarm graphics on
Fire Works, when applicable. A review with the Manager, Electrical Services is
required to confirm scope of work.
7. Any fire alarm device that is relocated or replaced will require re-verification.
Note: The same process and Form is used when undertaking work on sprinkler
systems. In addition to the process, the Project Manager is required to prepare and
submit a Work Requisition to have a Plumber drain the sprinkler system.
7.6 Securing and Housekeeping of the Site
The following applies to all work carried out in the Brock physical plant facility proper, and
in the paved area surrounding the physical plant. These rules apply to new work, ongoing
work or remedial work.
• Brock University requires that all work areas be returned to a clean condition on
completion of any work. The Contractor will inspect the area before starting work
and if there is any doubt about the existing level of cleanliness, or the level of
cleanliness that will be required at the end of the project, will request a pre-project
inspection by the Consultant.
• Contractor’s materials will be stored in areas designated by the engineer until
used. Packaging and waste materials will be removed from the work area daily to
an area designated by the engineer, and from site weekly. The Contractor will be
responsible for the storage and removal of waste material from site. If the
Contractor is requested by Brock personnel to leave material on site, the engineer
will be informed of this request.
• Work areas shall be defined as the actual hoarded area, extending out to the routes
required to access the hoarded area and will be kept safe and secure at all times.
If the nature of the work creates hazards to the safe passage of Brock personnel,

7. Construction
the area will be roped off and closed to traffic. Closing of areas to traffic will be
coordinated through the engineer and will be for a period of time agreed with the
engineer. Hoarding and/or fencing shall be required to secure the area.
• Work areas will be swept clean daily before the Contractor leaves site. The
Contractor may be required to wash the area at the end of the contract to return
the area to its original condition. Walkways and stairwells to the work area will be
regarded as part of the Contractor’s work area and will be returned to their original
level of cleanliness at the end of the project.
• The Contractor will protect all existing plant, equipment and piping from damage
and debris from the Contractor’s operations. Dust from grinding, welding, cutting
and painting spatter will be contained, and any dirt, debris or paint that does fall on
existing plant will be removed. The Contractor will be responsible for ensuring that
any damage to existing plant caused by his work will be repaired at no additional
cost to the project.
• Extraneous material such as soil, sand or stone will be removed by the Contractor
on a timely basis with final removed prior to the end of the project.
• Existing materials removed by the Contractor as part of a demolition contract will
be removed from site by the Contractor unless otherwise designated by the
engineer. Any demolished material that is to stay on site will be moved by the
Contractor to an area designated by the engineer. Materials shall be disposed of
in a manner consistent with the type of material.
7.7 Quality Control
Quality Control (QC) is fundamental to the works and services undertaken by the
Contractor and shall be practiced by all on-site personnel in their daily activities.
It shall be the responsibility of the Contractor to ensure that quality control procedures
are implemented consistently and effectively and that they are reviewed regularly to
reflect the requirements of the contracts throughout the duration of the works. It is the
responsibility of the Contractor to implement a QC Plan, establish and put into practice
necessary systems and procedures, and ensure adherence to the QC Plan through
regular auditing.
7.7.1 Quality Program Overview
The Contractor will be responsible for the construction of work in accordance with the
plans and specifications. A program of inspections and production control to attain the

7. Construction
required standards of quality is implemented to preclude problems resulting from

noncompliance.
The Contractor will establish their own QC Plan that shall provide for testing and
inspections pursuant to various technical specifications. It will define procedures to
ensure that activities affecting quality are properly documented and accomplished in
accordance with contract documents, written instructions, and industry standards, codes
and procedures. The QC Plan shall also define methods for ensuring that activities
affecting quality will be accomplished under controlled conditions.
Independent of the Contractor’s QC plan, the Consultant will provide QC services through
periodic monitoring and scheduled inspections. The Consultant will ensure that the
Contractor’s QC program is working effectively, and that the resulting construction
complies with the quality requirements established by contract.
7.7.2 Quality Control
Before t h e start of construction, the Contractor, Consultant and Brock’s Project

Manager shall conduct a mutual understanding meeting to discuss and review the
Contractor’s QC Plan.
The Consultant and Brock shall ensure that the Contractor’s QC Plan is sufficient to
obtain quality of construction designed in the contract plans and specifications.
7.7.3 Quality Control Plan Phasing
This Quality Control Plan shall cover the following three phases:
• Preparatory phase meetings: A QC meeting will be held before each definable
feature of work to ensure that the documentation is complete, materials are on
hand, and the people who are to perform the work understand what they need to
know about the feature of work. Both the actual contract specifications and those
referenced in the contract specifications shall be in the Contractor’s library and
available during the QC inspections so they can be enforced.
• Initial Inspections: QC inspections shall be conducted in a timely manner at the
beginning of each phase of the work. A check of the preliminary work will determine
whether or not the Contractor thoroughly understands and is capable of
accomplishing the work as specified.
• Follow-up Inspections: Follow-up inspections are conducted by the Contractor’s
QC staff and occur regularly when work is in progress and are for the purpose of

7. Construction
assuring that the controls established in the earlier phases of inspection continue
to provide work which conforms to the contract requirements. Most of the
comments in both the Contractor’s QC and QC daily reports should result from
these inspections.
In all projects, there is work that is ‘cut and cover’ that is, work that cannot be inspected
after the fact. This includes concrete where the size, number and location of
reinforcing steel cannot be readily determined after the concrete is placed. Most of
the underground utilities cannot be inspected after covering. Work of this nature shall
be closely controlled and monitored.
7.8 Schedule Management
In accordance with the industry standard CCDC construction contracts, the Contractor
shall (CCDC 2, GC 3.5, 2008):
• Prepare and submit to Brock and the Consultant prior to mobilization of

construction forces, a construction schedule that includes the timing of all major
activities of the work and provides sufficient detail of the critical events and their
inter-relationship to demonstrate the work to be performed in conformity with the
contract time;
• Monitor the progress of the work relative to the construction schedule and update
the schedule prior to each site meeting or as stipulated in the contract documents;
and
• Advise the Consultant of any revisions required to the schedule as a result of the
extensions of the contract time as documented in a Change Order or Change
Directive (see Section 7.10 for more information about Change Orders and
Change Directives).
The Project Manager shall review the above information with the Contractor as part of the
schedule discussions at the pre-construction meeting (Section 7.1).
7.9 Requests for Information
A Request for Information (RFI) is a formal request from the Contractor to the Consultant
regarding specific equipment or installation details during the construction phase. RFI’s
may lead to a Supplemental Instruction or Contemplated Change Notice, which are
discussed further in Sections 7.10.1 and 7.10.2, respectively. The RFI process shall be
included as an agenda item at the pre-construction meeting (Section 7.1).

7. Construction
The definition of an RFI does not exist in the standard CCDC contract, but it may be
included through the use of Supplementary Definitions and Conditions. The OAA’s article
related to RFI’s provides further guidance.
RFI Form and RFI Log templates are available in the Virtual Library.
7.10 Change Management
The change management process, including responsibilities and timelines, shall be

documented and included in the tender documents. The change process is to be reviewed
with the Contractor and Consultants at the pre-construction meeting (Section 7.1).
The Project Manager is the lead individual responsible for management of the change
process and will monitor the Contractor’s, Consultant’s and the University’s change
resolution responsibilities to ensure that changes are being resolved in a timely manner
over the course of construction. Disputed items that cannot be resolved through
negotiation are to proceed to mediation promptly.
All required and proposed changes to the contract documents are issued by the
Consultant to the Contractor in the form of Supplemental Instructions (SI), Contemplated
Change Notice (CCN), and Change Directives (CD). These documents must include a
description of the scope change and the reason for the revision and each is further
outlined in Sections 7.10.1 to 7.10.3, respectively.
Contemplated Change Notice Form, Change Order Form, and Change Directive
Form templates are available in the Virtual Library.
7.10.1 Supplemental Instruction
A Supplemental Instruction (SI), also known as site instruction, is issued to provide

clarification and direction which is intended to result in no cost or schedule impact. An SI
is issued in the form of specifications, drawings, schedules, samples, models or written
instructions, consistent with the intent of the contract documents (CCDC 2, 2008).
If there is a price or time impact, the Contractor shall notify the Consultant and the item
will become a Contemplated Change Notice as described in Section 7.10.2.
7.10.2 Contemplated Change Notice (CCN) and Change Order (CO)

7. Construction
A Contemplated Change Notice (CCN) is used to track changes that will affect the
contract price and contract time. The work listed in the CCN shall not be performed until
Brock approves the price and time adjustments and a Change Order (CO) is issued.
The CCN / CO process is summarized in Table 19.
Table 19. Change Order Process
Step Activity Responsibility of

1 Identify and assess the need for a change notice. Consultant
Issue CCN electronically to Contractor and copy to
Brock’s Project Manager. The Consultant shall ensure
2 the CCN indicates all disciplines that are impacted by Consultant
the CCN and list all documents that should be
reviewed.
Receive and review CCN. Evaluate schedule and cost
3 impact. Notify Consultant if a Change Directive is Contractor
required (refer to process outlined in Table 20).
4 Issue CCN to Sub-Contractors for pricing. Contractor
Assemble and review Contractor and Sub-Contractor
5 Contractor
pricing and schedule impacts.
Prepare a Change Request Summary (CRS) which
includes a quotation for the adjustment in pricing and
6 time and issue to Consultant. All Contractor and Sub- Contractor
Contractor costs associated with the change including
material, labour and mark-up shall be included.
Review CRS and negotiate pricing and schedule
7 Consultant
implications.
8 Issue CO to Brock for approval. Consultant
9 Review and approve CO. Brock
10 Distribute approved CO to Contractor Consultant
11 Distribute approved CO to Sub-Contractors Contractor
7.10.3 Change Directive
A Change Directive (CD) is used to authorize a change in the work prior to Brock and the
Contractor agreeing upon the corresponding adjustment in contract price and contract
time. A CD is to be issued only when the revision to the scope of work will negatively

7. Construction
impact the critical path of the construction schedule and only after the issuance of the CD
is approved by Brock. A CD shall only be used when necessary.
The CD process is summarized in Table 20.
Table 20. Change Directive Process
Step Activity Responsibility of

Issue CCN electronically to Contractor and copy to
1 Consultant
Brock’s Project Manager.
Contractor recommends and justifies to Consultant that
due to negative schedule impacts a CD is required to
2 Contractor
replace the CCN in order to maintain the schedule and
control costs.
Review CD requirement with Brock’s Project Manager
3 Consultant
prior to issuance.
4 Issue CD to Brock for approval. Consultant
5 Review and approve CD. Brock
6 Issue CD to Contractor. Consultant
7 Issue CD to Sub-Contractors for pricing. Contractor
Assemble and review Contractor and Sub-Contractor
8 Contractor
pricing and schedule impacts.
Prepare a CRS which includes a quotation for the
adjustment in pricing and time and issue to Consultant.
9 All Contractor and Sub-Contractor costs associated Contractor
with the change including material, labour and mark-up
shall be included.
Review CRS and negotiate pricing and schedule
10 Consultant
implications.
11 Issue CO to Brock for approval. Consultant
12 Review and approve CO. Brock
13 Distribute approved CO to Contractor Consultant
14 Distribute approved CO to Sub-Contractors Contractor

7. Construction
7.10.4 Tracking of Changes
All SIs, CCNs, COs and CDs must be recorded and tracked in a “Change Register” or
other suitable format by the Consultant. A Change Register Template is available on
the Virtual Library. The Consultant shall include the reason for each change in the
Change Register as provided for in Workday including:
• Users Request (URQ)
• Differing and Unforeseen Conditions (DUC)
• Health and Safety (HLSY)
• Errors and Omissions (EO)
• Coordination (CORD)
The Contractor shall update and submit the Change Register to Brock with each set of
site meeting minutes.
7.11 Shop Drawings / Submittals
Shop drawings shall be discussed as part of the pre-construction meeting (Section 7.1).
Requirements related to shop drawings for all projects include:

• The Contractor shall provide shop drawings as outlined in the contract documents.
• Shop Drawings will be reviewed by the Consultant only if they are stamped by
Contractor and Sub-Contractor first.
• The Contractor shall update and submit the Shop Drawing Log to Brock with each
set of site meeting minutes.
7.12 Factory and Site Acceptance Testing
Testing shall occur in accordance with the following:

• Testing and inspections (T&I) of building materials and elements will be carried out
by a T&I Consultant directly engaged by Brock University.
• The Contractor’s testing of equipment shall occur in the presence of the Consultant
staff and other staff as deemed necessary prior to commissioning. The Contractor
shall arrange for relevant operations equipment manufacturers to attend the site
to conduct equipment-specific Site Acceptance Tests, which can be compared to

7. Construction
the Factory Acceptance Test results. The Consultant shall verify that results of the
testing are acceptable and report findings to Brock.
• The Contractor will arrange for pre-commissioning start-up with Project Team and
relevant Brock stakeholders.
• Brock stakeholders will be provided instructions and training on the operations of
new equipment and their associated processes.
• The Contractor will arrange for equipment manufacturers to conduct on-site
training of Brock stakeholders through the Consultant and/or Project Manager.
Training requirements are further outlined in Section 8.13.
• Contractor start-up with the project team must include the provision of training on
the maintenance, operation and function of key equipment for Brock’s relevant
stakeholders. Training requirements are further outlined in Section 8.13.
• For additional information, refer the Brock University Design Standards.
7.13 Project Budget Management
For major capital projects, a formal Project Team will be established, and the Project
Manager shall provide updates on the status of construction contingency expenditures,
including a forecast of expenditures at completion, to the Project Team on a regular basis.
Issues related to the project budget will be resolved at these meetings.
7.14 Monthly Progress Payments
The steps for processing monthly progress payments are summarized in Table 21. The
Project Manager shall ensure that progress payments are made in accordance with the
provisions included in the executed CCDC contract and in accordance with the
Construction Act.
Refer to Figure 9 for details about prompt payment concepts under the Construction Act.
Table 21. Payment Certificate Process
Step Activity Responsibility

At least 15 days prior to issuing the first application for
progress payment, the Contractor shall submit a schedule of
1 Contractor
values to the Consultant to facilitate the Consultant’s
evaluation of applications for payment.

7. Construction
Step Activity Responsibility

The Contractor shall submit a monthly application for
payment proportionate to the amount of work performed and
the products delivered as of the end of the payment period.
The Contractor shall include the following with the
2 application: Contractor
A statement based on the Schedule of Values.
Evidence of products delivered but not yet incorporated into
the work.
The Consultant shall promptly inform Brock of the date of
3 Consultant
receipt of the Contractor’s monthly application for payment.
The Consultant shall evaluate the application and determine
whether it is reflective of the work accomplished on site. If
4 Consultant
the Consultant amends the application, they shall advise the
Contractor in writing as to the reasons for the amendment.
No more than 10 days after receiving the application for
5 payment, the Consultant shall issue a Payment Certificate Consultant
to Brock and copy the Contractor.
6 Payment shall be processed promptly through Workday. Brock
Brock shall make payment to the Contractor in accordance
7 with timelines stipulated in the executed contract and the Brock
Construction Act. Refer to Figure 9 for details about prompt
payment concepts under the Construction Act.

7. Construction
Figure 9. Prompt Payment Concepts

7. Construction
7.15 Inspectors Log / Field Reviews
A Consultant construction supervisor retained by Brock will be assigned for the duration
of the project with the responsibility of keeping a weekly log, monitoring construction
activities, answering questions from the Contractor and verifying quantities for payment
for inclusion in the review of the payment certificates. Field inspection will be established
as either full time, part time, or irregular times (weekends, nights, etc.), as appropriate for
the project (usually specified in the RFP). Brock University reserves the right to provide
an inspector on the job.
7.15.1 Photographs
The Contractor maybe requested to develop and maintain a project file of photographs
which document the construction progression. If this is required, the clause shall be
included in the Tender documents so requesting. This is particularly important for
providing a visual record of buried services, and can be used to review quality concerns,
deficiencies, and in the event legal issues arise pertaining to schedule or scope of work.
Utilizing a commercial service to photographically document the construction process on

a regular schedule, including documenting the locations of services, pipes, etc. buried or
enclosed within walls, is recommended for major capital projects or where otherwise
warranted.
7.16 Deficiencies
The Contractor shall prepare a deficiency list for review by the Consultant and Brock. The
Project Manager shall holdback monies for the value of all incomplete work and/or
deficiencies.
The Contractor shall remedy all deficiencies within a reasonable time frame. Upon
satisfactory completion of all items on the deficiency list, the Project Manager shall
release the deficiency holdback.
Further information about deficiencies and non-conformances during commissioning are

included in Section 8.9.4.

8. Commissioning
8. COMMISSIONING
For major projects with a requirement for Third Party Commissioning, as specified in the
Tender Documents, Section 8 shall apply.
8.1 Work Included
Commissioning is a systematic quality assurance process of ensuring that all building

systems perform interactively according to the design and conforms to the project
requirements. This is achieved by the commissioning process commencing in the design
phase and continuing through construction, acceptance, and the warranty period with
actual verification of performance. The commissioning process shall encompass and
coordinate the system documentation, equipment start-up, control system verification,
testing and balancing, performance testing, integration performance verification,
seasonal testing and training.
The commissioning process shall comply with the requirements of CSA 320-11 (Building
Commissioning Standard & Check Sheets), ASHRAE Guideline 0-2005 (The
Commissioning Process) and meet the commissioning requirements of Canada Green
Building Council (CaGBC) EA 1: Fundamental Commissioning of Building Energy
Systems and EA3: Enhanced Commissioning.
8.2 Abbreviations
Table 22 lists common abbreviations used in this section of the PMM and in the
Commissioning Plan.
Table 22. Commissioning Acronyms
Acronym Meaning Acronym Meaning

CA Commissioning Authority EC Electrical Contractor
CC Controls Contractor GC General Contractor or
Contractor
CDS Commissioning Datasheets MC Mechanical Contractor
(pre-functional and
functional verification)
CT Commissioning Team PM Project Manager (Owner)
DC Design Consultants TAB Test and Balance
Contractor

8. Commissioning
8.3 Commissioning Authority
The General Contractor shall retain the services on an independent third-party

Commissioning Authority (CA) to perform the obligations of the CA as outlined in the
specifications.
The CA shall be a company having a minimum of five years’ experience in the

commissioning of mechanical and electrical systems in facilities of similar scope and
complexity, shall be licensed by Professional Engineers Ontario (PEO) and shall be
familiar with and knowledgeable about each of the standards set out in this specification.
All commissioning work shall be overseen by a licensed professional engineer (PEO)
The CA shall satisfy the requirements of Canada Green Building Council (CaGBC) with
respect to independence from the design team or construction.
8.4 Coordination
8.4.1 Commissioning Team
The members of the commissioning team consist of the CA, the PM, the Contractor, the
Design Consultants (particularly the Mechanical Engineer), the MC, the EC, the TAB
representative, the CC, and any other Contractors or suppliers of equipment and the
Owner’s facility operation and maintenance staff.
8.4.2 Management
The CA manages, directs and coordinates the commissioning activities and reports back
to the commissioning team. All members work together to fulfill their contracted
responsibilities and meet the objectives of the Contract Documents.
8.4.3 Scheduling
The CA will work with the Contractor according to established protocols to provide input
on the scheduling of the commissioning activities. The Contractor will integrate all
commissioning activities into the master schedule. All parties will address scheduling
problems and make necessary notifications in a timely manner in order to expedite the
commissioning process.

8. Commissioning
8.5 Commissioning Process
8.5.1 Commissioning Plan
The Commissioning Plan provides guidance in the execution of the commissioning

process. The commissioning plan shall be developed by the CA with input from the
commissioning team and approved by Brock’s Project Manager. The commissioning plan
describes the commissioning process, details the commissioning activities and identifies
the roles and responsibilities of the commissioning team. Scheduling of the
commissioning activities is identified in the commissioning plan. The commissioning plan
is updated by the CA during the construction.
8.5.2 Commissioning Process
The following narrative provides a brief overview of the typical commissioning tasks
during construction and the general order in which they occur.
1. Commissioning during construction begins with an initial Commissioning meeting

conducted by the CA where the commissioning process is reviewed with the
commissioning team members. Additional meetings will be required throughout
construction, scheduled by the CA with necessary parties attending, to plan,
coordinate, schedule future activities and resolve problems.
2. Design and submittal documentation are provided to the CA for review and
comments during the design and construction. These documents are utilized by
the CA to develop the pre-functional and functional performance datasheets.
3. The CA works with the Contractors in each discipline to review the start-up plans
and start-up documentation formats. The CA will provide the Contractors with the
pre-functional commissioning datasheets to be completed by the Contractors
during the installation and start-up process.
4. In general, the checkout and performance verification proceeds from simple to
complex; from component level to equipment to systems and integrated systems
with CDS being completed before functional testing occurs.
5. The Contractors, under their own direction, will execute and document the
completion of CDS and perform start-up and initial checkout. The CA documents
that the checklists and start-up were completed according to the approved plans.
This includes the CA witnessing start-up of major equipment.
6. The CA develops specific equipment and system functional performance
datasheets with test procedures. The functional test procedures are reviewed with
the DC, CA, and Contractors. The functional testing and procedures are executed

8. Commissioning
by the Contractors under the direction of and documented by the CA. Items of non-
compliance in material, installation, or setup are corrected by the Contractor’s and
the system is retested.
7. During initial functional tests and for critical equipment, the Engineer will witness
the testing, as required by the contract.
8. The CA reviews the O&M documentation for completeness. The CA shall develop
the system operation manuals and utilize the SOM for training.
9. The CA reviews and coordinates the training provided by the Contractors and
verifies that it was completed.
10. Deferred (seasonal) testing is conducted as specified or required. Refer to Section
8.14 for details about Seasonal Testing.
11. The CA and the commissioning team shall develop and implement a system test
matrix for the integrated testing of all building systems.
12. The CA and commissioning team shall develop and implement a commissioning
tracking log for all issues identified during the commission process.
13. The project will not be considered substantially complete until the conclusion of
commissioning functional testing procedures as defined in the commissioning plan.

8. Commissioning
8.6 Commissioning Responsibilities
The responsibilities of various parties in the commissioning process are provided in this
section. The responsibilities are as defined in the contract document and listed in the
Commissioning Plan. Table 23 summarizes the commissioning responsibilities of the
commissioning team.
Table 23. Matrix of Commissioning Responsibilities
GC
Commissioning Activities Owner DC CA CC
(MC/EC)
Owner’s Project Requirements
P R R R R
(OPR)
Basis of Design (BOD) R P R R R
Design document
CA review at schematic and R P R R R
construction stage, CA prepare
report
Develop commissioning
P R R R R
requirements
Develop commissioning plan and
R R P R R
update during construction
Commissioning meetings
CA to setup and chair, prepare P P P P P
minutes
Commissioning schedule R R R P R
Submittals
Shop drawings, start-up procedures, R R,A R,A P P
test reports
Installation R R R P P
Startup and testing of equipment and
R,W R,W R,W P P
systems
Develop Pre-functional and
Functional Performance Verification R R P R R
Datasheets
Pre-functional Datasheets
R R R,A P P
Completed by Contractor
Performance verification of
R,W R,W R,W,A P P
equipment and systems

8. Commissioning
GC
Commissioning Activities Owner DC CA CC
(MC/EC)
Development of commissioning log
Document commissioning issues R R P R R
and resolutions
Development of integration test
R R P R R
matrix
Operation and maintenance manuals R R,A R P P
Training of operation and
maintenance staff
P,R P,R,A P,R,A P P
Training agenda prepared by
Contractor
System operation manuals
Contractor to provide information to R R P R R
CA
Seasonal system performance
R R R P P
verification
Commissioning reports R R P R R
P – Prepare, Execute or Participate
R – Review (provide input, comments)
W – Witness
A – Approve
8.7 Systems to be Commissioned
The following equipment and systems are to be commissioned. This list is not exhaustive
and shall be edited to suit the specific project:
1. Air Handling Unit(s)

2. Building Automation System (BAS)
3. Exhaust Fan(s)
4. VAV Boxes
5. Reheat Coil(s)
6. Fan Power Boxes
7. Fan Coil Unit(s)

8. Commissioning
8. Pump(s)
9. Heat Exchanger(s)
10. Chemical Treatment System
11. Radiant Panel(s)
12. Convector(s)
13. Unit Heater(s)
14. Domestic Hot Water Heater(s)
15. Domestic Hot Water Storage System
16. Domestic Water Booster Pump(s)
17. Storm and/or Sanitary Pump(s)
18. Fuel Oil Pump(s) and System
19. Computer Room Unit(s)
20. Lighting and Day Lighting Control System
8.8 Commissioning Meetings
The CA will schedule, plan and conduct an initial commissioning meeting with the entire
commissioning team in attendance. Meeting minutes will be distributed to all parties by
the CA. Information gathered from this meeting will allow the CA to revise and update the
Commissioning Plan, which will be distributed to all parties.
Future commissioning meetings will be planned, scheduled and conducted by the CA as

required. These meetings will cover commissioning coordination issues, review the
commissioning schedule, commissioning deficiency resolution and planning issues.
8.9 Startup, Commissioning Datasheet, and Initial Checkout
The procedures outlined in Sections 8.9.1 to 8.9.4 apply to all equipment to be

commissioned.
8.9.1 General
Commissioning datasheets are important to ensure that the equipment and systems are
hooked up correctly and operational. Checklists also ensure that functional performance
testing (in-depth system checkout) may proceed without unnecessary delays. Each piece

8. Commissioning
of equipment receives full construction checkout. No sampling strategies are used. The
construction testing for a given system must be successfully completed prior to formal
functional performance testing of equipment or subsystems of the given system.
8.9.2 Startup and Initial Checkout Plan
The CA will assist the commissioning team members responsible for start-up of any
equipment in providing input on the development of detailed start-up plans for all
equipment. The primary role of the CA in this process is to ensure that there is written
documentation that each of the manufacturer-recommended procedures has been
completed. Contractor(s) responsible for construction checklists and start-up are
identified in the initial commissioning meeting and in the checklist forms.
1. The Contractor adapts the recommended manufacturer start-up procedures, if

necessary, the representative CDS and procedures from the related sections.
These checklists indicate required procedures to be executed as part of start-up
and initial checkout of the systems and the party responsible for their execution.
2. The CA provides the CDS (commissioning pre-functional datasheets). The
Contractor determines which trade is responsible for executing and documenting
each of the line item tasks and notes that trade on the form. Each form will have
more than one trade responsible for its execution.
3. The Contractor responsible for the purchase of the equipment develops the full
start-up plan by combining the manufacturer’s detailed start-up and checkout
procedures from the O&M manual and the normally used field checkout sheets.
The plan will include checklists and procedures with specific boxes or lines for
recording and documenting the checking and inspections of each procedure and
a summary statement with a signature block at the end of the plan.
4. The Contractor submits the full start-up plan to the CA for review and approval.
5. The CA reviews and approves the procedures and the format for documenting
them, noting any procedures that need to be added.
8.9.3 Execution of Commissioning Datasheets and Startup
1. Four weeks prior to start-up, the subcontractors and vendors schedule start-up and
checkout with the Contractor and CA. The performance of the CD, start-up and
checkout are directed and executed by the Contractor or vendor. When checking
off CD, signatures may be required of other Contractors for verification of
completion of their work.
2. The CA will observe the procedures for each piece of primary equipment.

8. Commissioning
3. For lower-level components of equipment, (e.g., VAV boxes, sensors, controllers),

the CA shall observe a sampling of the construction and start-up procedures.
4. The Contractors shall execute start-up and provide the CA with a signed and dated
copy of the completed start-up and construction tests and checklists.
5. Only installing individuals who have direct knowledge that a line item task on the
CD was actually performed shall initial or check off that item.
8.9.4 Deficiencies, Non-Conformance and Approval in Checklists and Startup
1. The Contractors shall clearly list any outstanding items of the initial start-up and
construction procedures that were not completed successfully, at the bottom of the
procedures form or on an attached sheet. The procedures form and any
outstanding deficiencies are provided to the CA within two days of test completion.
2. The CA reviews the report and submits either a non-compliance report or an
approval to the Contractors. The CA shall work with the Contractors to correct and
retest deficiencies or uncompleted items. The CA will involve the Contractors and
others as necessary. The Contractors shall correct all areas that are deficient or
incomplete in the checklists and tests in a timely manner and shall notify the CA
as soon as outstanding items have been corrected and resubmit an updated start-
up report and a Statement of Correction on the original non-compliance report.
When satisfactorily completed, the CA recommends approval of the execution of
the checklists and start-up of each system to the DC.
8.10 Functional Performance Testing
This subsection applies to all commissioning functional performance testing for all
divisions.
8.10.1 Objectives and Scope
1. The objective of functional performance testing is to demonstrate that each system

is operating according to the Contract Documents. Functional testing facilitates
bringing the systems from a state of substantial completion to full dynamic
operation. Additionally, during the testing process, areas of deficient performance
are identified and corrected, improving the operation and functioning of the
systems.
o In general, each system should be operated through all modes of operation
(seasonal, occupied, unoccupied, emergency, life safety, equipment failure,
warm-up, cool-down, part- and full-load) where there is a specified system

8. Commissioning
response. Verifying each sequence in the sequences of operation is

required. Proper responses to such modes and conditions as power failure,
freeze condition, low oil pressure, no flow, equipment failure, etc. shall also
be tested.
8.10.2 Test Methods
1. Functional performance testing and verification may be achieved by manual testing

or by using the control systems to manipulate the equipment and systems under
the various test parameters and conditions.
8.10.3 Development of Test Procedures
1. Before test procedures are written, the Contractor shall provide the CA with all
requested documentation and a current list of change orders affecting equipment
or systems, including an updated points list, program code, control sequences and
parameters. Using the testing parameters and the specifications the CA shall
develop specific test procedures and forms to verify and document proper
operation of each piece of equipment and system. Each Contractor or vendor
responsible to execute a test shall provide assistance to the CA in developing the
procedures (answering questions about equipment, operation, sequences, etc.).
Prior to execution, the CA shall review the test procedures to the Contractors, who
shall review and comment on the tests for feasibility, safety, equipment, and
warranty protection.
8.10.4 Setup
1. Each function and test shall be performed under conditions that simulate actual
conditions as close as is practically possible. The Contractor executing the test
shall provide all necessary materials, system modifications, etc. to produce the
necessary flows, pressures, temperatures, etc. necessary to execute the test
according to the specified conditions. At completion of the test, the Contractor shall
return all affected building equipment and systems, due to these temporary
modifications, to their pre-test condition.
8.10.5 Sampling
1. A sampling strategy of the commissioning multiple identical pieces of non-life-

safety or otherwise non-critical equipment shall not be used unless agreed with the
Owner. If a sampling strategy is utilized, then significant application differences

8. Commissioning
and significant sequence of operation differences in otherwise identical equipment

invalidates their common identity. A small size or capacity difference, alone, does
not constitute a difference.
8.10.6 Coordination and Scheduling
1. The Contractors shall provide sufficient notice to the CA regarding their completion
schedule for the construction checklists and start-up of all equipment and systems.
The CA will schedule functional tests through the Contractor. The CA shall direct,
witness and document the functional testing of all equipment and systems. The
Contractors shall execute the tests.
o In general, functional testing is conducted after construction testing and
start-up has been satisfactorily completed. The control system is sufficiently
tested and approved by the CA before it is used for TAB or to verify
performance of other components or systems. The air balancing and water
balancing is completed and debugged before functional testing of air-
related or water-related equipment or systems. Testing proceeds from
components to subsystems to systems. When the proper performance of
all interacting individual systems has been achieved, the interface or
coordinated responses between systems is checked.
8.10.7 Problem Solving
1. The CA will recommend solutions to problems found; however, the burden of

responsibility to solve, correct, and retest problems is with the Contractors and DC.
8.11 Documentation, Non-Conformance and Approval of Tests
8.11.1 Documentation
1. The CA shall witness and document the results of all functional performance tests
using the specific procedural forms developed for that purpose. Prior to testing,
these forms are provided to the Contractors for review. The CA will include the
filled-out forms in the Operations and Maintenance manuals.
8.11.2 Non-Conformance
1. The CA will record the results of the functional test on the procedure or test form.
All deficiencies or non-conformance issues shall be noted and reported to the DC.

8. Commissioning
2. Corrections of minor deficiencies identified may be made during the tests at the
discretion of the CA. In such cases the deficiency and resolution will be
documented on the procedure form.
3. Every effort will be made to expedite the testing process and minimize
unnecessary delays, while not compromising the integrity of the procedures.
4. As tests progress and a deficiency are identified, the CA discusses the issue with
the executing Contractor.
o The CA documents the deficiency in a deficiency log and the Contractor’s
response and intentions, and they go on to another test or sequence. The
CA submits the reports to the DC and the Contractor. The Contractor
corrects the deficiency, signs the statement of correction at the bottom of
the report certifying that the equipment is ready to be retested, and sends it
back to the CA.
o The Contractor reschedules the test and coordinates with CA to establish a
time and date that the test is to be repeated.
8.11.3 Approval
1. The CA notes each satisfactorily demonstrated function on the test form. Formal
approval of the functional test is made later after review by the CA. The CA
recommends acceptance of each test to the Owner and DC. The DC gives final
approval by signing off on each test.
8.12 Operation and Maintenance Manuals
1. The Contractor shall provide a complete copy of the Operation and Maintenance
(O&M) Manuals to the CA for review after the O&M manuals have been reviewed
and approved by the DC.
8.13 Training of Owner O&M Staff
The Contractor shall be responsible for training coordination and scheduling and
ultimately for ensuring that training is completed as per the contract document.
The CA shall be responsible for overseeing and approving the content of the training of
Owner O&M Staff for commissioned equipment.
1. The CA shall interview the facility manager and lead engineer to determine the
special needs and areas where training will be most valuable. The Owner and CA

8. Commissioning
shall decide how rigorous the training should be for each piece of commissioned
equipment. The CA shall communicate the results to the Contractor and vendors
who have training responsibilities.
2. Each Contractor and vendor responsible for training will submit a written training
plan to the CA for review and approval prior to training. The plan will cover the
following elements:
o Equipment (included in training)
o Intended audience
o Location of training
o Objectives
o Subjects covered (description, duration of discussion, special methods,
etc.)
o Duration of training on each subject
o Instructor for each subject
o Methods (classroom lecture, video, site walk-through, actual operational
demonstrations, written handouts, etc.)
o Instructor and qualifications
3. For the primary HVAC equipment, the controls Contractor shall provide a short
discussion of the control of the equipment during the mechanical or electrical
training conducted by others.
4. The CA develops a training plan and coordinates and schedules, with the Owner
and Contractor, the training for the commissioned systems. The CA develops
criteria for determining that the training was satisfactorily completed, including
attending of the training, etc. The CA recommends approval of the training to the
DC using a standard form. The DC also signs the approval form.
5. The CA shall provide video recording of the training sessions, with recordings
cataloged by the CA and added to the SOM manuals.
6. The mechanical and electrical design engineer shall at the first training session
present the overall system design concept and the design concept of each
equipment section. This presentation shall include a review of all systems using
the simplified system schematics (one-line drawings) including chilled water
systems, heat rejection systems, heating systems, fuel oil and gas supply systems,
supply air systems, exhaust system, and outside air strategies, electrical single
line diagram.

8. Commissioning
7. At first training session, the CA presents a presentation discussing the use of the
blank functional test forms for re-commissioning equipment.
8.14 Seasonal Testing
1. During the warranty period, seasonal testing (tests delayed until weather
conditions are closer to the system’s design) specified in the contract shall be
completed as part of this contract. The Contractor shall take part in the seasonal
testing coordinated by the CA. Tests will be executed, documented and any
deficiencies corrected by the appropriate Contractor, with facilities staff and the CA
witnessing. Any final adjustments to the O&M manuals and as-builts due to the
testing will be made.
8.15 System Operation Manual
1. The CA shall develop and provide a copy of the System Operation Manual (SOM)
to the Owner’s operation and maintenance staff for their use in the day to day
operation of the facility.
2. The SOM shall include all commission datasheets, test reports and shall describe
the operating sequences for the equipment and systems under all modes of
operation (occupied, unoccupied, fire alarm, life safety, emergency, etc.). All
training videos shall be included in the SOM.
3. The CA shall review the content of the SOM with the operation and maintenance
staff.
8.16 Quality Assurance Development
1. The CA and commissioning team shall develop and implement a commissioning

tracking log for all issues identified during the commission process. The log shall
identify the issue, resolution, responsibility and date issue was corrected. The CA
shall verify that the issue was resolved as part of the commissioning process. The
log shall be reviewed and updated by the CA at the regular commissioning
meeting.
2. The CA and the commissioning team shall develop and implement a system test
matrix for the integrated testing of all building systems. The matrix shall identify the
systems to be tested and commissioned under all modes of operation including
but not limited to the following modes; occupied, unoccupied, fire alarm and
emergency (power). A tracking log shall be utilized to identify any issue and
resolution of the issues during the commissioning process.

9. Post Construction and Project Closeout
9. POST CONSTRUCTION AND PROJECT CLOSEOUT
9.1 Post Construction and Project Closeout Procedures
All post construction and project closeout activities shall be conducted in accordance with:
• Contract and Contract Documents
• OAA/OGCA Guide to Project Closeout Procedures
• OAA/OGCA Document 100 (Take-Over Procedures)
• FMOP 5-2: Construction Document Set-Up and Project Submission Requirements
• Construction Act and all other applicable legislation and regulations
An illustration of key tasks and milestones related to post construction and project
closeout is provided in Figure 10. Refer to the above-listed documents for specific details
and timelines.
Commissioning Document and Drawing

Activities Submissions
POST Section 8
CONSTRUCTION
Contractor Consultant Substantial Substantial Performance Release of Statutory

Review Review Performance Publication Holdback
60 days
SUBSTANTIAL
PERFORMANCE
1-year (or as stipulated in Contract Documents)
Warranty Release of
WARRANTY Period Begins Maintenance
PERIOD Holdback
Project Final
Completion Payment
PROJECT COMPLETION
and CLOSEOUT
* This figure is a summary only. Refer to Contract Documents, OAA/OGCA Documents and applicable legislation for details and timelines.
Figure 10. Post Construction and Project Closeout Milestones

9.2 Internal Closeout Procedures
The Project Manager shall complete the closeout procedures as outlined in Table 24.
Table 24. Summary of Internal Project Closeout Procedures
Procedure Details
Occupant moves may be staged, may occur all at once, or may
occur multiple times during construction. To help ensure
successful moves, the Project Manager shall consider the
following:
• The Project Manager should work closely with occupant
stakeholders and the Consultant to organize and
communicate office assignments and moves. Effective
Occupant Moves planning and communication are essential.
• Tracking of personal belongings must be carefully
coordinated. All boxes shall be labelled with the
owner’s full name prior to being moved or placed in
storage.
• Consideration should be given to the types of items that
should be stored in different locations.
The Project Manager shall arrange a clinic for interested
Post-Occupancy
occupants to meet with the chair vendor regarding proper chair
Chair Clinic
settings.
The Project Manager shall be in regular communication with
occupant and Facilities Management stakeholders. For a
period of time following occupancy, there are likely to be
ongoing questions and concerns from the stakeholders. It is
Post-Occupancy important to address these questions and concerns in a timely
Communications manner.
with Stakeholders
Depending on the complexity of the Project, the continuation of
monthly team meetings for a period of time following
occupancy may be considered so the team can continue to
efficiently work together to address post-occupancy issues.
Communications
with the Brock For major projects, a Brock News article is typically published.
Community

Procedure Details
For assets surplus to the project, the PM shall complete the
Asset Surplus Redeployment Form. If the assets cannot be
Asset Surplus
redeployed, they shall be identified as surplus, and disposed of
Redeployment
through a donation to charity organizations. If the surplus is not
accepted, they shall be disposed of.
As Constructed Records shall be prepared and submitted in
As Constructed
accordance with FMOP 5-2. Documents shall be loaded into
Records
the Brock Virtual Library for future reference.
The table of contents shall be submitted two months prior to
substantial performance; draft documents to be provided for
Operations and
training of staff; final documents to be submitted one month
Maintenance
after substantial performance. Operations and Maintenance
Manuals
Manual to include listing of sub-contractors and suppliers for
each Division.
Warranty(s) shall be submitted with the Operations and
Warranty (s) Maintenance Manual, one month after substantial
performance.
The commissioning consultant shall submit a commissioning
Commissioning
report addressing all of the processes and results experienced
Report
during commissioning.
Chief Building
The CBO will be requested by the architect to issue a
Official (CBO)
completion certificate for the project.
Certificate
Insurance and Certificates for insurance and bonding shall be maintained by
Bonding the contractor for one year post substantial performance.
Physical assets shall be inventoried and loaded into the Brock
Asset Management Building Operations Module by Asset Management and Utilities
Staff.
The Contractor shall deliver the spare parts as prescribed in
Spare Parts
the contract documents and provide chain of custody for said
Inventory
spare parts.
Refer to OAA/OGCA Document No. 100. A search for liens
Substantial
shall be undertaken by Facilities Management prior to release
Performance
of Holdback.
Brock Accounting Once the final holdback has been released, the Project
Practices Manager shall advise Finance to close the project.
Post Occupancy
Refer to Section 9.3.1.
Evaluation Survey

Procedure Details
Lessons Learned Refer to Section 9.3.2.
For projects with Provincial and/or Federal funding, an audit
process is generally prescribed within the funding agreement
Externally Funded
documents. The PM should be aware of the this, and ensure
Projects
the documents identified for audit are maintained throughout
the project life.
The Brock University Retention Policy (under development)
Project Archiving stipulates archiving requirements. Refer to the Retention Policy
for details.
Project Closeout The Contractor, with assistance from the Architect, shall
Checklist develop and maintain the Project Closeout Control Form.
9.3 Lessons Learned Procedures
As part of continuous improvement, it is important to learn from the successes and

challenges of each project. To help achieve this learning, Brock’s Project Manager (PM)
shall arrange a Post Occupancy Evaluation (POE) survey and a Lessons Learned
Workshop following the completion of each major project. The POE survey can help to
identify lessons learned from the building occupants and the workshop can help to identify
lessons learned from the project team.
Sections 9.3.1 and 9.3.2 include procedures for facilitating a POE survey and Lessons
Learned Workshop, respectively.
9.3.1 Post Occupancy Evaluation Survey
For all major projects, a POE survey shall be prepared and distributed approximately
three months after occupancy. The purpose of the survey is to gather information from
building occupants regarding project delivery and building performance. A recommended
procedure for facilitating the POE survey is outlined below.
1. Brock’s PM shall determine if a third-party facilitator is required to oversee the POE

survey. A third-party Facilitator brings a sense of independence to the POE and
based on the type of project and the extent of success, should be considered. If
so, a Facilitator who was not involved with the project shall be retained. If not, the
PM or other Brock delegate shall be designated as the Facilitator.
2. The Facilitator shall prepare the POE survey questions. The survey should cover
a variety of topics such as building design and construction, teaching and study

spaces, common areas, personal workspaces, signage, security, building services,

accessibility, and overall satisfaction. A template Post Occupancy Evaluation
survey form is available on the Virtual Library. The questions included in the
template should be updated to address the unique aspects of each project.
3. The PM and Facilitator shall identify occupant stakeholders to be invited to
complete the survey. Occupant stakeholders may include faculty, staff,
undergraduate students and graduate students. It is recommended that the PM
consults with the Faculty Dean, Department Head, Department Representative, or
other occupant representative prior to distributing the survey.
4. The Facilitator shall distribute the POE survey to all identified occupant
stakeholders via email or using an approved online survey tool. Consultation with
Brock ITS is recommended if an online survey tool is to be used.
5. Survey respondents shall be given at least two weeks to complete the survey. A
reminder email may help increase participation rates.
6. After the survey closes, the Facilitator shall review and analyze the results and
prepare a summary memo/report. The memo/report shall include a summary of
survey results, key lessons learned and identify recommendations.
7. The PM or Facilitator shall send a summary email to the identified occupant
stakeholders to thank them for their time and provide a high-level summary of the
results and recommendations.
8. The PM shall save the summary memo/report in the electronic project file on the
R: drive so it can be accessed by all Brock PM’s for future reference.
9.3.2 Lessons Learned Workshop
For all major projects, a Lessons Learned Workshop should be held approximately three
months after completion. Members of the project team should be invited to participate,
including the Architect, Contractor and other key stakeholders. The purpose of the
workshop is to gather information from the team about what went well and what could be
improved. A recommended procedure for facilitating the Lessons Learned Workshop is
outlined below.
1. Brock’s PM shall determine if a third-party facilitator is required. If so, a Facilitator

who was not involved with the project shall be retained. A third-party Facilitator
brings a sense of independence to the workshop and based on the type of project
and the extent of success, should be considered. If not, the PM or other Brock
delegate shall be designated as the Facilitator.

2. The PM and Facilitator shall work together to establish the invitation list. It is
important to ensure that all team members and stakeholders who played a
significant role in the various stages of the project are represented.
3. The PM shall contact all required participants to confirm a mutually agreeable
workshop date.
4. The PM shall book a room on campus and send out a meeting request as soon as
a date is confirmed.
5. The Facilitator shall email an agenda and details about the workshop expectations
to all invitees at least two weeks in advance.
6. The Facilitator shall establish a plan for the workshop including required handouts,
slides and discussion questions. Example Lessons Learned Discussion
Questions that cover the Planning, Pre-Construction, Construction and Post-
Construction phases are available on the Virtual Library. These questions may be
updated and adapted depending on the unique aspects of the project and the
Facilitator’s preferences.
7. The PM shall arrange refreshments and/or lunch for the workshop, ensuring any
dietary restrictions are accommodated.
8. If the Facilitator will be having participants work in small groups, a seating plan is
recommended. The PM and Facilitator shall work together to establish a seating
plan that ensures each group includes individuals with different roles who
represent various stakeholders.
9. The PM or Facilitator shall send a reminder email to all participants with any final
details the week before the workshop.
10. The PM and Facilitator shall ensure all necessary supplies are brought to the
workshop including laptops, AV equipment, handouts, facilitation supplies, name
tags, seating plans, etc.
11. Following the workshop, the Facilitator shall deliver a summary memo or report to
the PM for approval. Upon approval, the Facilitator shall distribute the
memo/report to all workshop participants.
12. The PM shall save the memo/report summarizing all lessons learned in the
electronic project file on the R: drive so it can be accessed by all Brock PM’s for
future reference.

Appendix
Appendix A. Project Management Manual Deviation Form

Appendix
Document ID: Issue Date:

May 2019
Revision Number: Responsibility:
0 Director, CPPM
Review Period: Approval:
As Needed Director, CPPM
Project Management Manual Deviation Form

The management of all projects shall conform to Brock University’s Project Management Manual.
If deviations from the manual occur, the Project Manager will document a description of the
deviation, rationale for the deviation, and any impact it is expected to have (i.e. on project scope,
schedule, budget or other) using this form. Attach supporting documentation as necessary.
Project Information
Project Name:
Project Number
Deviation Information
Manual
Requirement of the Description of Rationale for Impact of
Section
Manual Deviation Deviation Deviation
Number
Supporting Documentation
•
Project Manager Sign-Off
Name Signature Date

Project Managment Manual

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Project Managment Manual

Uploaded by

Copyright:

Available Formats

Brock University

Capital Planning & Project Management

Version 2.1 – March 2020

Version 2.1, March 2020 Page i

2.7 Project Structure ............................................................................................. 25

Version 2.1, March 2020 Page ii

4.3.1 Establishment of New Standing Offer Agreements .................................... 48

Version 2.1, March 2020 Page iii

6.6 Tender Evaluation and Award ........................................................................ 69

Version 2.1, March 2020 Page iv

7.10.1 Supplemental Instruction ........................................................................ 94

Version 2.1, March 2020 Page v

8.10.1 Objectives and Scope .......................................................................... 110

Version 2.1, March 2020 Page vi

Table 7. Typical Types of Approvals and Permits ......................................................... 38

Version 2.1, March 2020 Page vii

Version 2.1, March 2020 Page viii

The objectives of this manual are:

Version 2.1, March 2020 Page 1

Project Life Cycle

Starting the Organizing Carrying Out Ending the

Corresponding Project Management Manual Sections

2. Organizational 3. Project Planning 4. Execution 9. Post Construction

Figure 1. PMI’s Project Life Cycle and PMM Organization

1.4 Supporting Documents

Table 1. Supporting Documents and Templates

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 2

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 3

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 4

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 5

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 6

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 7

Section Document Name Document Owner Year Retrieval

Version 2.1, March 2020 Page 8

Section Document Name Document Owner Year Retrieval

1.5 Version Control

Table 2. Project Management Manual Version Control

Version 2.1, March 2020 Page 9

1.6 Deviation Form

The Project Management Manual Deviation Form is included in Appendix A.

1.7 Glossary of Acronyms

Table 3. Glossary of Acronyms

Version 2.1, March 2020 Page 10

Version 2.1, March 2020 Page 11

Version 2.1, March 2020 Page 12

Version 2.1, March 2020 Page 13

2.1.1 Bicameral Governance of Brock University

2.1.2 The Brock University Act

2.1.3 Board of Trustees

The Board of Trustees consists of 27 trustees including 18 community trustees elected

Version 2.1, March 2020 Page 14

Version 2.1, March 2020 Page 15

2.2 Organizational Structure

2.2.1 Facilities Management

• Facilities and Services

The core responsibilities of each business unit are summarized in Figure 2.

Facilities Management May 2019