Phases, Steps, and Activities in Capital Project Planning

In the previous posts I reviewed “Phases and Premises” employed in educational facility planning.  Now let's focus more closely on some essential “Steps” in capital project planning.  For the sake of this presentation, assume that phases are the more general descriptors, while the steps actually bring us closer to the reality of planning.  These items may be viewed as guidelines, since every project is different – Think in terms of phases, then steps, and finally well-defined planning activities.  Note: these items are general descriptors, and in no way do I intend to imply that this is an exhaustive set of educational facility planning steps and activities.

Capital Project Planning

Suggested basic phases, steps and activities or milestones (not necessarily listed chronologically) for launching a capital project in the United States are outlined below:

A- Begin the Planning Process.  This initial activity has been labeled "pre-design and planning."  Set aside at least 1% of the anticipated project costs.  Attaching money to the process, early on, will minimize the useless activity of "planning for the sake of planning."  The educational facility planner’s (an educator who is also a planner) job is to ensure that the educational institution  who is also a partner in planning, clearly defines the  functions to be performed in the facility through focused strategic planning activities.  The advantage of this step, completed in the absence of an architect, is to clearly define the functions the will go on in the spaces. Note, at this point the architect has not been employed.  (Obviously, the activities discussed here are more for small to medium sized school districts that do not have architects as full-time employees.)

 Example

Pre - design and planning activities:  

          * An interactive discussion on sound planning premises.

          * Importance of environmentally friendly facilities (Green - LEED).

          * How a philosophy of work, teaching, or learning suggests certain goals for facility design.

          * A comprehensive review of research-based examples of design patterns that influence   Behavior, Attitude, and Learning.

          * A qualified educator who is also a planner guides the educational organization through  activities leading to a specific concept design based on organizational goals.

          * The outcome is a detailed, research-based, illustration of what the clients want the facility to be.

B- Forecast Client Population.  Review records of past practices and adjust the forecast to match the new goals and objectives of the organization established in Step A.  When working for public schools, forecast the school district's student population for at least 10 years – 20 is better.

C- Determine Feasibility by conducting an area analysis and program and organizational analysis.

*D- Establish Space Needs and Sustainability Goals.

E- Prioritize Needs.

F- Formally Adopt Findings of the Needs Assessment and above activities (A, B, C, D, E).

G- Given the Results of the Analysis, Decide to Build a New Facility or Renovate Existing Structures.

H- Complete the Concept Design Process with Owners and Stakeholders.


*I- Hire an Architect and Convert the Concept Design into Working Schematic Drawings (Translate Functions into Forms).  You may include organic (GREEN – LEED specifications) concept design in steps A - H above.

J- Develop Capital Budget Estimates with the Assistance of a Professional Estimating Service.

K- Acquire Financing for the Project (this is a  parallel activity)

L- Engage in the Construction Process

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*      (Optional) Architect may be engaged as early as Step D.

CODA

     In the process outlined above, I attempt to bring a modern version of an old idea to educational facility planning that emphasizes "true" stakeholder engagement.  I am attempting to take you back in time to the 1940s through the 1970s, while employing modern and relevant technology in planning today, including the LEED concepts. 

     If you wish to get a feel for where my foundation and research interests originate, then think in terms of the survey movement of the 1940s and 1950s, systems analysis of the 1960s, the EFL of the 1970s, and the crisis movement of the 1980s and 1990s (the dark ages of educational facility planning, ... the day the "music died" - the time when many school facilities in the United States were planned with a "drive-through window" mentality allowing little input from the clients). [Think windowless classrooms, for example - think exclusion of the people that pay the taxes for school construction from the process - think elimination or minimization of educational facilities planning as part of the graduate curriculum for educational leaders].

     For  graduate students wishing to find a dissertation topic, I strongly recommend a comprehensive historical analysis of the school facility planning process in the United States, perhaps from the era of Henry Barnard to the present.  A team approach (3 or 4 dissertations) might yield a better product.  This activity is, in my opinion, a bright spot for educational facilities planning and its future.  “The future ain't what it used to be.” From Yogi Berra quotes!

Major Phases in Planning Capital Projects

How to get started in Planning for a capital project:

Phase I - Hold a Pre-Design and Pre-Planning Forum. - Orientation.

Phase II - Complete a Demand Study, Survey, and Client Population Forecast. Assuming a thorough study of the organization's functions, facilities needs, and client population forecast, we then launch the Focused Strategic Planning Process based on sound research and design principles!

Phase III - Participate in Planning Activities and Complete Concept Design for the Development of Facilities.

Phase IV – Engage an Architect to Translate the Concept design Into a Set of Schematics and Construction Documents That Match the Sustainable Design Stakeholders Want.

Phase V - Acquire Project Cost Estimates.

- Example of a Work Breakdown Schedule For Planning School Facilities 

-You add the time estimates in the CPM!  Allow at least 12 months for Phases I to V.

	Responsibility Chart
WBS Phase	School	Planner	Architect
I	x	x
II	x
III	x	x
IV	x	x	x
V		x

		Exercise for discussion:  Fit this set of phases into the general planning model presented earlier in this blog.

Tornado and Hurricane Shelter Designs

From time to time I will have a guest blogger from our staff contribute an article. This week our guest blogger is Mr. Ben Harris, a structural engineer on our team. Thanks Ben for contributing some very timely advice.
Mike King


Tornado and Hurricane Shelter Designs
In recent months, we’ve seen tornadoes tear through our country in unprecedented numbers with unprecedented damage, and hurricanes have done unprecedented damage in recent years. We often ask ourselves two questions after such extreme events:

1. Do we have the best plan in place for protecting our students when such events occur?

Typically hurricanes occur over a much longer period with much greater warning than tornadoes. Therefore, this concern is more often raised in areas where tornadoes are common. People often only realize a tornado is approaching within a few minutes of its arrival. Therefore, advance warning systems such as sirens are a critical part of any emergency plan with tornadoes.

Existing structures are often falsely assumed to be reliable because of their age. However, older structures are often sheltered by adjacent structures from straight-line winds that do not behave like tornadoes, which are much more erratic. FEMA 361 “Design and Construction Guidance for Community Safe Rooms” has an Appendix which can be used to evaluate existing structures and help determine the relative safety of different areas of existing buildings so that children can be placed in the safest areas of buildings.

2. Are we appropriately designing and constructing our new buildings to protect our students from such events?

One of the greatest challenges for Owners and Designers during the design process is to establish the level of safety desired for extreme events, and this is often overlooked. Designing for a very unlikely, very extreme event (above and beyond minimum building code requirements) often becomes a very expensive option which people often eliminate because of the high cost. However, there are numerous options which are cost-effective ways to provide a higher level of protection, or “harden” an area of schools without designating them as official Community Shelters. FEMA 361 “Design and Construction Guidance for Community Safe Rooms” can be used to better understand Community Shelter Design. However, the actual design event can be lowered to a more likely event if the budget will not allow design for the events recommended in FEMA 361. Furthermore, because school communities often have standard operating procedures and Staff that know each other, organizing a school-only emergency plan is often much simpler than trying to provide proper signage and access and protocols for an official Community Shelter. In addition, FEMA 361 guidance on debris resistant systems (such as heavy gage roof deck with closely spaced roof joists) and baffling of ductwork and personnel access (as is typical for Airport Restrooms) should be followed because these items are often keys to successful shelter designs even though they are not the primary cost items.

Benchmark H. Harris, P.E., S.E.