7.5 Preparing the Pre-Design Report

PURPOSE

Upon completing the analysis of, the recommended alternative should be developed and described in a pre-design report. With few exceptions, it is the Bureau’s policy that a pre-design report be developed for each project, no matter its size or complexity. The required pre-design report can range from a technical memo (Attachment 7.1-1) for simple projects to a multi-chapter report for complex projects. The purpose of this procedure is to provide a guideline for preparing the pre-design report for the project.    

In addition, A Pre-Design Report is a planning document required by the state and federal funding agencies as part of the process of obtaining financial assistance for development of drinking water, wastewater, solid waste, and stormwater facilities.  

REFERENCES

• Standard Specifications for Public Works Construction (“Greenbook”) – Latest Edition

• American Public Works Association – Standard Plans for Public Works Construction

• Highway Master Plan – Street Classifications

RESPONSIBILITIES

• Program Manager: The Program Manager is responsible for the quality of pre-design reports produced for his/her program. Pre-Design Reports are normally distributed under signature of the Program Manager. 

• Project Manager (PM): The PM is responsible for preparing the Pre-Design Report. This includes monitoring overall progress and use of resources, initiating corrective action where necessary and adopting and applying appropriate technical and quality strategies and standards and tailor expert knowledge to meet specific circumstances as applicable to complete the pre-design report. The pre-design report should be reviewed and approved by members of the project team, the Client or facility Owner, project stakeholders, and the respective Division Management prior to distribution of the final report. 

• Project Engineer (PE): On all projects, the PM may delegate and share authority with the PE. 

• Project Team: The project team, which may include the Architectural/Engineering (A/E) Consulting Services Groups, prospective or assigned members of the design team, or other discipline managers including experts in the field, is responsible for helping the PM in developing an agreed project plan and detailed predesign plans and scope in the preparation of the Pre-Design Report. Team members should prepare and maintain project plans, estimates, risk analyses, design criteria, environmental impacts, sustainability considerations, potential construction problems, schedule and etc. as required for the development of the Pre-Design Report. 

PROCEDURE

The Pre-Design Report is an extremely important document. Its content and the logical presentation of its information are critical to the success of the project. It is the basis for the detailed design and, ultimately, for the construction, startup and operation of the project. It may also be a prerequisite to securing funding for the project. The pre-design report must present the proposed project in a manner that allows both the client and management to gain a thorough understanding of the necessity, scope, and anticipated budget and schedule requirements of the project. Without their approval of the concept, there is no project. 

A Pre-Design Report should be prepared for every project. The Pre-Design Report could be a single page for a simple project, or it might contain several chapters for a large, complex project. In any case, team members should be assigned to provide specific scope such as site analysis, programming (define specific needs of the user), review of existing structures, environmental review, environmental survey, geotechnical reports, construction cost analysis, value engineering and other tasks for which expert knowledge is required. The Pre-Design Report should always be reviewed by the Program Manager prior to its release and should be transmitted under the signature of the Program Manager. The Pre-Design Report should always be complete in its content and written so as to stand on its own. Although other documents may satisfy much or portions of the intent and content of the Pre-Design Report, they cannot separately take the place of it or portions of it. However, these documents can be incorporated into the report as attachments or incorporated by reference in the report. 

Report Format

Every pre-design report should generally follow the guidelines format outlined in Attachment 7.5-1 and described below. This discussion is intended to provide a guideline for report organization.  The format can be modified as necessary to fit the needs of the project. However, each element should be addressed to an appropriate level of detail.

For development of drinking water, wastewater, stormwater, and solid waste systems projects applying for funding, a Pre-Design Report shall follow recommended best practice for the development of Preliminary Engineering Reports in support of funding applications for development of drinking water, wastewater, stormwater, and solid waste systems, EPA, HUD, USDA, 2013.

Executive Summary: The first part of the Pre-Design Report is the executive summary. The executive summary should be limited to one to two pages and up to ten for major capital improvement projects and should concisely present the major points and conclusions developed in the report. It should include the project background, existing conditions, alternative evaluation summary, recommended alternative, project cost estimate and design, and construction schedules, permit requirements and sustainability consideration (LEED or ENVISION).

Body of Report: Following the executive summary is the body of the report. The body contains a more detailed discussion of the project including the scope, potential alternatives, estimated cost and schedule. 

Scope of Work: The Scope section should include a description of the background of the project, including existing conditions. This will establish the problem or need for the project, which should be discussed in detail. It is very important to clearly define the project’s scope. The PM/PE will coordinate with prospective design team members and the Client to develop the detailed scope. This section should describe as many details as necessary to show that the needs of the Client are met by the scope of the project.

Alternative Analysis:; Once the scope has been properly defined, the potential means of meeting the scope’s objectives should be identified, described in detail, and analyzed by way of conducting an alternative analysis. The pros, cons and merits of each of the potential alternatives identified should be thoroughly discussed. The alternative analysis should always include the “no-project” alternative. A complete and thorough alternative analysis will result in a recommended alternative that will best meet the objectives of the project scope within the schedule, budgetary, operational, and other constraints identified and described in the pre-design report.

Recommended Project: The recommended project should be described in detail. Justification supporting the selection of this alternative should be included in the recommendation. Include:  

• Life Cycle Cost Analysis, and

• Non-Monetary Factors, as applicable. 

Fatal Flaw Analysis: In some cases, it may be appropriate to conduct a fatal flaw analysis on the recommended alternative and perhaps other identified project alternatives. There are many examples of projects that have completed the design phase only to find major conflicts that preclude the project from proceeding to construction without major modifications. To avoid this, the recommended project should be evaluated for obstacles based on the following considerations: 

1. Construction Budget Compliance Evaluation

2. Geotechnical Evaluation

3. Environmental Evaluation

4. Limitations Based on Type of Funds

5. Right-of-Way Evaluation

6. Required Permit Evaluation

7. Utility Interference Evaluation

8. Community/City Council Opposition

9. Active or Anticipated Construction Moratoriums

10. Long-term weather forecasts

11. Potential scope overlaps with other projects in the program’s master plan

It is the PM’s responsibility to ensure that the project is clear of these types of obstacles. 

Envision Certification: The Bureau is committed to delivering sustainable infrastructure projects for the city. As such, some divisions within the Bureau require that all projects be evaluated for Envision Certification during the project design phase. The Envision Pre-Assessment checklist should be utilized by the project team to evaluate the potential for the pre-design report’s recommended alternative to score a favorable certification rating (relative to the project’s degree of sustainability) by the Institute for Sustainable Infrastructure (ISI). This section of the pre-design report should summarize the results of the Pre-Assessment checklist and resulting recommendation to pursue / not pursue Envision certification. A copy of the Pre-Assessment Checklist should be attached as an appendix to the pre-design report. Envision certification applies to infrastructure projects only. For projects related to buildings and municipal facilities, the PM/PE should instead pursue Leadership in Energy and Environmental Design (LEED) certification as described below. 

Project Schedule: The pre-design report should contain a project schedule. The schedule should show the five phases of a project: pre-design, design, bid & award, construction and post construction. The level of detail should be similar to what is shown in a Uniform Project Reporting System (UPRS) report. The design phase should include sufficient time for right-of-way acquisition where necessary. The PM can consult the Real Estate Division (RED) to understand the right-of-way acquisition efforts to meet the specific needs of a project and ultimately reflect this effort with appropriate time in the design schedule. Schedules must be realistic and achievable. Depending on the size and complexity of the project, or if a project has a clearly defined and critical deadline for completion, it may be appropriate to prepare a more detailed schedule for the design phase that shows the work breakdown structure, identifies the critical path of design activities necessary to deliver the project on-time, and the major elements of the Quality Assurance/Quality Control (QA/QC) program adopted for the project. It may also be appropriate to include a narrative and/or detail in the project’s construction schedule to describe any anticipated coordination efforts with other nearby projects in construction, and/or with nearby major facility Owner operations. 

Cost Estimate/Budget: The estimated construction cost for the project should be as defined as possible and at least at the level of a Class “C” estimate. These estimates should be consistent with the Capital Improvement Program (CIP) Master Schedule. UPRS template values may be used to estimate the preliminary budget for project delivery (Attachment 7.5-2). However, by the completion of the pre-design phase, improved more-detailed project delivery budget should be possible to produce. In this case, template values should be overridden on a case-by-case basis as warranted by the project. 

QA/QC Program: The pre-design report should provide a more detailed schedule of the design phase for the project. Elements selected for inclusion in the project’s QA/QC program should be shown in the pre-design report’s project schedule. For example, will design reviews be conducted at 50% and 90% design completion as deemed required by the Client/ the owner and complexity of the project? When will constructability review be conducted? Will value engineering be incorporated in the design? The size and complexity of the project, as well as the schedule, should be factored into the decision of whether or not to apply Value Engineering as well as the other QA/QC elements discussed in Chapter 9. It is important to document these decisions in the pre-design report because they affect both the cost and schedule of the pending design phase. 

Staffing Recommendation: The PM needs to determine which disciplines are necessary to design the project and when these disciplines will be needed. It is not necessary to consider specific individuals for the design team at this time. The project schedule and budget must be factored into the decision of staffing the project. Schedule may, and probably will, be a major factor in determining who will do the design. The PM should look at the various resources within the Bureau and determine if consultants should be used for the project. After considering all the factors, a recommendation of staffing needs is made and formalized in the pre-design report. 

Memorandum of Understanding (MOU) Considerations: Oftentimes a project will include the contributions of other organizations along with the efforts of the Bureau of Engineering. When this occurs, an MOU between the two parties may be appropriate. The PM should clearly delineate the responsibilities for the Bureau and the other parties, including the Client. 

Signature Block: At the beginning or end of the report is a signature block where, upon Client approval, the PM, Program Manager and Client representative will all sign and date the pre-design report to indicate their approval (see 7.6 Approval of the Pre-Design Report). This is to provide documentation of the scope of the project. During the design phase, the project should not deviate significantly from the pre-design report without an amendment to the report, or other form of documentation, signed by the Client or approved by the project’s applicable Oversight Committee and documented in their meeting minutes.  

Infrastructure Projects

For infrastructure projects, namely street, storm drain, and sewer projects, the pre-design phase should include formulating all preliminary surveys, plan record searches, underground utility research, design reports, studies and cost estimates. This information should be used to develop project requirements and the scope of the project. All applicable defining project scope information should be expressed, including, but not limited to terms of minimum design speed, sight distance requirements, street classification requirements, street structural section, structural and storm drain requirements, design flow rate “Q”, diameter and length of conduit, outlet location, utility involvement including street lighting and traffic signal requirements, soil and geotechnical considerations, as well as the materials to be used in the construction of the project. 

Typical Activities: During the Pre-Design Phase, the PE, in conjunction with the design team, completes the following typical activities, not necessarily in the below-listed sequence:

1. Complete document search for all related available information

2. Order the appropriate survey

3. Establish project design criteria consistent with project scope (e.g., perform a Flow Rate Analysis)

4. Determine location of all existing utilities (e.g., storm drain inlets)

5. Conduct site visit(s) as necessary to determine location of existing improvements and obstructions not found on existing records

6. Prepare a Class “C” Estimate

7. Order a Geotechnical report or study

8. Determine right-of-way requirements, when necessary

9. Determine utility company involvement including, projected impact on the project design and construction schedule

10. Order any necessary traffic data from the Department of Transportation

11. Determine permits required by other agencies

12. Determine the method of repair or replacement for a storm drain or sewer

13. Determine construction methodology (e.g., for conduit installation, excavation vs. tunneling)

14. Refine storm drain mainline and catch basin hydrology. Complete catch basin design and hydraulic calculation

15. Create a project budget and schedule to be used by the PM

16. Evaluate any design alternatives that satisfy the project requirements

17. Analyze and understand the budgetary implications of the alternative engineering solutions

18. Schedule a Pre-Design Conference to discuss the project alternatives and involvement by other design or support offices

19. Order the Environmental Study and Survey as applicable

20. Evaluate project’s potential for Envision or LEED certification

21. Update the construction cost estimate at completion of 20% design and compare it to the project budget

22. Open a Work Order 

Project Constraints: Some project constraints that should be anticipated during the Pre-Design Stage are:

1. Project Scope including preliminary cost estimate and schedule

2. Standards or Specifications restrictions (e.g., ADA requirements, special construction materials, storm drain or sewer design standards or right-of-way requirements)

3. Natural design controls (e.g., adjoining property line controls, on-site drainage considerations, adjacent construction joins or the need to acquire right-of-way)

4. Construction conditions (e.g., traffic conditions, the need for night or weekend work, and the need for pedestrian and business access)

5. Input from other BOE offices (e.g., landscape architect, geotechnical engineer, structural engineer)

6. Input from, and coordination with utility company representatives

7. Input from groups with jurisdictional interest (e.g., environmental impact statements and Council Office input)

8. Input from other public agencies (e.g., State, County, other Cities, fire department, etc.)

9. Environmental hazards or impacts

10. Input from groups with community interest (e.g., community organizations, historic preservation organizations, neighborhood councils, the coastal commission, etc.)

11. Utility impacts 

Typical Deliverables: The following deliverables should be considered for inclusion in a summary report at the completion of the Pre-Design Stage: 

1. An accurate survey, accurate utility information, and a recent firsthand site analysis

2. A Geotechnical report

3. Environmental Survey

4. Environmental Report

5. A preliminary report on any permits that may be required

6. Preliminary cost analysis

7. Preliminary Project Schedule

8. The identification of any consulting expertise that may be required

9. The PM should document all comments received and all approved revisions. 

Summary of Tasks, Deliverables and Reviews: The following list summarizes the typical tasks, together with the corresponding deliverables, reviews and approvals required during the Pre-Design Stage. 

Building Projects

The pre-design phase of public buildings includes formulating all preliminary reports, studies and sketches, determining all Highway Dedication and street widening requirements from the Bureau of Engineering District Office and the additional setback requirements from the Department of City Planning. During the pre-design stage, the PM and Design Team will accomplish the following:

1. Use the information gathered and data collected to develop program requirements (to be expressed in required square footage), special equipment requirements, adjacency diagrams, and preliminary building material choices.

2. Include research and information from completed post-occupancy evaluations of similar projects.

3. Express all defining performance requirements, such as air temperature variations, lighting, ventilation, material / equipment lifespan, etc.

4. Organize data into conceptual plans, spreadsheets, diagrams and brief narrative descriptions of the programmed spaces and include this into the pre-design report.

Typical Activities: During the Pre-Design Phase, the PM, in conjunction with the design team, completes the following typical activities:

1. Investigate and document the work process of a particular user to begin to understand adjacency and spatial requirements

2. Prepare a questionnaire or user interview to gather qualitative and quantitative requirements for a project

3. Analyze client/user-supplied data and document programmatic implications

4. Prepare functional relationship/adjacency diagrams

5. Use efficiency factors to set gross area requirements

6. Determine future areas for phasing, growth, and development

7. Graphically analyze a site for environmental and perceptual opportunities and limitations, including aesthetic and urban design issues including Highway Dedication and street widening requirements from the District Office and setback requirements from the Department of City Planning

8. Develop an initial approach to meeting the Board of Public Works requirement for a Leadership in Energy and Environmental Design (LEED) Certified rating

9. Relate the budget and schedule to the Client/User’s program

10. Graphically evaluate design alternatives that satisfy the program requirements

11. Analyze and understand the legal and budgetary implications of basic alternative architectural/engineering solutions

12. Develop the project’s program into two or three conceptual design proposals via rough graphic site diagrams for client review and approval

13. Assess permitting requirements, initiate CUP if required

Typical Constraints to be Considered: Some of the project constraints to be considered during the pre-design phase are:

1. Feasibility of utilizing alternative sites for developing the project

2. Location options of the built form on a given site

3. Regulatory restrictions (e.g., parking, zoning, building codes, or disabled access)

4. Natural conditions (e.g., soils, topography, vegetation, climate, considerations, and orientation)

5. Constructed conditions (e.g., infrastructure, building foundations)

6. Input from Consultants (e.g., landscape architect, geotechnical engineer, civil engineer, etc.)

7. Input from groups with jurisdictional interest (e.g., environmental impact statements)

8. Input from public agencies (e.g., zoning, planning, building department, fire department, Bureau of Engineering District Office)

9. Environmental hazards

10. Sustainable design opportunities

11. Input from groups with community interest (e.g., community organizations, historic preservation organizations)

12. Utilities coordination – evaluation of existing capacity, potential conflicts with proposed improvements during construction, etc.

Typical Deliverables:

The following deliverables are to be included in a summary report at the completion of the Pre-Design Stage:

1. Site Survey and Utility Information

2. Graphic Zoning Analysis and Site Analysis

3. Geotechnical Report

4. Preliminary Environmental Report

5. Narrative, Numerical and Diagrammatic Project Program

6. Preliminary Report (a review of applicable codes, ordinances, Highway Dedication, street improvement requirements and setback requirements, including a preliminary list of all final approvals that will be required)

7. Preliminary Analysis of the Leadership in Energy and Environmental Design (LEED) Target Points for a Certified Rating (for new buildings over 7,500 square feet)

8. Conceptual Floor Plans and Site Plans (two or three alternatives)

9. Any other Baseline Documentation Applicable to the Project (such as unusual equipment or special user requirements already identified by the Client)

10. Order of Magnitude Project Cost Analysis

11. Preliminary Project Schedule

12. Identification of all Consulting Expertise Required

Summary of Tasks, Deliverables and Reviews: The following list summarizes the typical tasks, together with the corresponding deliverables, reviews and approvals, required during the Pre-Design Stage:

Related Procedures 

• Procedure 3.4 - Defining Scope

• Procedure 3.5 - Selecting the Project Team

• Procedure 5.1 - Uniform Project Reporting System

• Procedure 7.1 - Analysis of Alternatives

• Procedure 7.2 - Identifying Property Needs

• Procedure 7.3 - Identifying Geotechnical Restraints

• Procedure 7.4 - Preliminary Environmental Review

• Procedure 7.6 - Approval of the Pre-Design Report

• Procedure 8.1 - Plan Development Process

• Chapter 9 - QA/QC During Design 

Links / ATTACHMENTS

Links 

• City of Los Angeles Street Design Manual 

• City of Los Angeles Storm Drain Design Manual 

• City of Los Angeles Sewer Design Manual 

• City of Los Angeles – Bureau of Engineering Standard Plans 

• City of Los Angeles – Bureau of Engineering Master Specifications 

• Los Angeles County Department of Public Works – Hydrology and Sedimentation Manuals 

• City of Los Angeles Building Code 

• City of Los Angeles Fire Code 

• City of Los Angeles Zoning Code 

• City of Los Angeles Mechanical Code 

• City of Los Angeles Plumbing Code 

• City of Los Angeles Electrical Code 

• Americans with Disabilities Act – ADA requirements 

• Energy Efficiency Standards covered in Title 24 

• California State Historical Building Code 

• Council File No. 07-0100 – Leed Silver Standard / Newly Built City Facilities

Attachments