MAINTENANCE, MODIFICATIONS, IMPROVEMENTS, AND REPLACEMENT

7.02.03
REFERENCES
Administrative Manual Subchapter 7.03, Leasing Real Property
Administrative Manual Subchapter 7.08, Space Management
DAO 216-6, Implementing the National Environmental Policy Act
DAO 217-1, Real Property Management Manual, Introduction
DAO 217-16, Energy Conservation
OMB Circular A-104, Evaluating leases of capital assets (tangible property: of $1 million +, including durable goods, equipment, buildings, facilities, installations or land).
15 U.S.C. 278
    c. Acquisition of land for field sites
    d. Construction and improvement of buildings and facilities (NIST)
    e. Functions and activities (NIST)
40 U.S.C. 14a Construction, alterations, improvements ... buildings, grounds, facilities
40 U.S.C. 490(d)(5) Operation of bldgs ... transfer of functions

7.02.04
POLICY
a. NIST is authorized under specific conditions (40 U.S.C. 14a) to undertake the construction of buildings and other facilities, to make alterations and improvements to existing buildings, grounds, and other facilities it occupies or uses, to care for, maintain, and protect the buildings occupied, and to replace aging and deteriorating facilities to promote the proper and efficient conduct of its activities.

b. Acquisition of real property and replacement of facilities are made only when such actions can be adequately justified to the Director for Administration and Chief Financial Officer (DA/CFO) as being essential for the conduct of new or expanded programs or for increased efficiency or economy of operations and funds are approved by the Budget Division.

c. Construction projects which could significantly affect the quality of the human environment may require an environmental impact statement. Prior clearance and approval of the National Capital Planning Commission is required for proposed projects at Gaithersburg which would change materially the outward appearance of buildings, roads, or landscape.

d. The building of temporary structures and antennas on NIST grounds (Gaithersburg) also requires approval by the National Capital Planning Commission. The DA/CFO considers requests for the approval of temporary structures after evaluation by the Plant Division in accordance with the following criteria:

(1) A thorough examination of all alternatives reveals that no other alternatives are available;

(2) The proposed structure will not have a negative effect on the local surroundings either aesthetically or environmentally;

(3) The facility will be required for a specified period of time after which it will be dismantled and the area restored to its original state; and

(4) All work such as construction, maintenance, dismantling, and restoration of the area will be funded by the sponsoring division.

e. Facilities improvements, modifications, and replacement of aging facilities must be approved by the Plant Division/Engineering, Maintenance, Safety, and Support Division regardless of the source of funds. Appeals may be made to the Deputy Director for Safety and Facilities, Gaithersburg or the Director, NIST/Boulder Laboratories.

f. Equipment needed for the operation of a new facility to be financed under the Scientific and Technical Research and Services (STRS)/Construction Research Facilities (CRF) Programs may be requested along with the facility construction or acquisition funds in connection with the annual budget requests. Individual items of equipment costing over $350,000 may also be requested under the STRS/CRF Programs. Requests for permanently installed equipment items costing under $350,000 each may be considered in special cases involving several like items required for a single program.

g. Increases in staff or operating costs resulting from approved improvement and modification projects are the responsibility of the requesting organizational unit. These increases must be absorbed even though the requesting memorandum outlines the need for additional staff or operating funds.

h. Replacement of aging plant and facility equipment is initiated by the Plant Division/Engineering, Maintenance, Safety, and Support Division and approved by the Deputy Director for Safety and Facilities. Planned systematic replacement of aging plant and facility equipment is based on engineering, economic, and operations research data. The data is derived from:

(1) Interviews with engineering and operating employees of the Plant Division/Engineering, Maintenance, Safety, and Support Division;

(2) Previous NIST budgets for facility maintenance, modifications, and improvements;

(3) On-site inspections of both physical plants;

(4) Equipment service life data from the American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE); and

(5) Cost data from local area governments, manufacturers, contractors, and the most recent edition of the R.S. Means Mechanical and Electrical Cost Data Guide.

7.02.05
DEFINITIONS
a. Maintenance is the upkeep of plant facilities to ensure a condition of efficiency and utility, including predictive maintenance, scheduled periodic preventive maintenance, routine maintenance and repair (usually unscheduled and of a minor nature reflecting fair-wear-and tear), and major repair and replacement caused by failure or predicted failure of major facilities systems or components. Preventive maintenance and routine maintenance and repair are funded by Institute overhead. Major repair and replacement may be funded by Institute overhead or by the annual STRS/CRF appropriations to the extent that such appropriations are available.

b. Modification is the rearrangement or preparation of existing space or facilities to make them more useful for conducting NIST work. This includes modifications which enhance the working conditions and effective use of existing NIST space and facilities without adding thereto. Modification costs are not capitalized. Extensive modifications may require specific written explanation to the sponsoring OU Director as to why the work should not be considered an improvement.

c. Improvement is a valuable and useful permanent addition to building space or facilities such as permanent air-conditioning systems, sidewalks, roads, fences, etc. Separate cost centers are established in each case to accumulate costs for capitalization purposes. Improvements do not include temporary special purpose structures which are shelters for or part of equipment for experiments; repairs to roofs and roadways; or repairs and replacement of utilities.

d. Systematic replacement is the replacement of obsolete or aging equipment that is predicted to fail and becomes unserviceable or uneconomical to repair. Replacement avoids emergency repair work and costly downtime while major repairs are made. Predictions are based on the equipment service life and other factors mentioned in Section 7.02.04. The decision to replace aging and deteriorating equipment is influenced by the following factors:

(1) Replacement with an identical item becomes less costly than continued maintenance and repair;

(2) Replacement with an identical item becomes necessary to ensure reliability or safety;

(3) Advanced technology suggests replacement due to lower operating costs for new equipment;

(4) Changing requirements necessitate replacement to meet new needs not within the capabilities of existing equipment; and

(5) Energy conservation measures dictate replacement to reduce energy consumption.

e. Facilities include buildings, roads, grounds, sidewalks, fences, equipment, and underground utility distribution systems.

f. Project-related (or task-related) refers to maintenance, modifications, or improvements which are essential to the performance of a particular project (task) within a division. In the case of maintenance, project-related maintenance is that which is required beyond the general level scheduled for NIST. An example of such maintenance would be the replacement of resins in a water purification system associated with a technical project. Improvements or modifications in this category are changes or additions required solely for the particular activity involved and would be unnecessary for other building occupants. The fact that space is assigned to a project (or task) is considered evidence that the proposed modification or improvement is project-related.

7.02.06
AUTHORITY AND LIMITATIONS
a. Funds appropriated to NIST are available for:

(1) The construction of buildings and other facilities, maintenance, modification, and improvements to existing buildings, grounds, and other facilities occupied or used by NIST in Gaithersburg and Boulder, and the replacement of facilities at the NIST-Gaithersburg and NIST-Boulder sites, as are necessary for the proper and efficient conduct of its activities.

(2) The maintenance and modification of buildings and other plant facilities at rented field sites, laboratory, office, and warehouse space outside the Washington Metropolitan Area (15 U.S.C. 278e).

(3) The building of specialized facilities and working and living quarters on leased property when serving the interests of the government (15 U.S.C. 278e). General, large-scale improvements on leased property are not contemplated under this authority. This authority is used only if supported by the expected length of occupancy of the site and the nature of the facilities to be constructed. Ordinarily, the facilities are of a special nature and do not enhance the value of the property to the owner.

b. Funds received from other federal agencies are available for improvements only when either expressed or implied authority is found in the act appropriating the funds. NIST is subject to the same Congressional limitations as are imposed on the transferring agency. The Budget Division must verify fund availability for improvements. Other-agency funds are available for project-related maintenance and modifications unless specifically prohibited by the terms of the order.

c. Alterations and improvements to leased property are subject to the following restrictions and conditions:

(1) Expenditures for alteration, improvements, and repairs to rented premises may not exceed 25 percent of the annual rent for the first year of the term or 25 percent of the rental if the rental term is less than one year. However, the installation of special facilities which are essential to carry out the program assigned to leased premises are not considered to be subject to the limitation if the facilities do not contribute to the general use and purpose of the building, and title, and right to remove them is reserved to the government.

(2) The 25 percent limitation does not apply to unimproved land leased as such.

d. Congressional approval must be obtained prior to the purchase of land.

7.02.07
RESPONSIBILITIES FOR FACILITIES MANAGEMENT
a. The Deputy Director for Safety and Facilities initiates and reviews requests for major modifications, improvements, and replacements of facilities to assure the most effective use of present and new facilities, to coordinate current and long range planning for new facilities with NIST technical program objectives and to ensure compliance with congressional statutory limits. The DA/CFO gives final approval of requests and forwards a list of planned projects to the Budget Division for approval.

b. The Budget Division reviews requests for modifications, improvements, and replacements, works with the DA/CFO and the Chiefs of the Plant Division and Engineering, Maintenance, Safety, and Support Division to further develop the plan for spending the CRF allocation, and makes recommendations to the DA/CFO on the availability of funds. Approval of the plan must be given by the Budget Division before any funds are released.

c. The Plant Division/Engineering, Maintenance, Safety, and Support Division are responsible for the design, construction, and maintenance of -the Physical Plant- all buildings, building equipment, structures, roads, grounds, and utility systems for NIST-Gaithersburg, NIST-Boulder, and Fort Collins, Hawaii Field Sites, respectively. They are the only divisions authorized to modify the NIST Physical Plant. They are also responsible for the following functions relating to the operation, maintenance, modification, improvement, and replacement of NIST facilities:

(1) Review plans for proposed improvement, modification, or replacement of buildings, grounds, and facilities to be done either by NIST employees or by contract to determine propriety and compliance with site development plans. Prepare or have prepared an environmental impact statement if required.

(2) Supervise or perform all maintenance, modifications, improvements, and replacements within authorized funds.

(3) Coordinate negotiations on behalf of NIST staff with architects, construction contractors, and other agencies.

(4) Approve requests for the installation of environmental air-conditioning and refrigeration equipment and their maintenance.

(5) Notify the Office of the Deputy Director for Financial Services and Deputy CFO of the completion of improvements so they may be capitalized.

(6) Request clearance and approval of projects with the National Capital Planning Commission (Gaithersburg). See Section 7.02.04.

7.02.08
FINANCING
a. The appropriate source of financing for maintenance, modifications, improvements, and replacements depends upon the nature of the work. Improvements may not be charged to Institute or OU overhead without prior approval from the Budget Division. (See Section 7.02.05 for definitions of terms.)

b. Costs are charged to the following sources of financing:

(1) Routine maintenance and repairs: Institute overhead.

(2) Other maintenance and modification: Benefiting cost center, Institute overhead, or CRF, as appropriate.

(3) Improvements, major repairs, replacements, and permanently installed major equipment over $350,000: STRS and CRF appropriations. A separate cost center shall be established for each improvement to accumulate costs for capitalization. Financing is assigned from the benefiting cost center.

Note: Unobligated balances of STRS and CRF allocations for line items and miscellaneous projects are withdrawn on completion of the project. See Subchapter 8.04.

7.02.09
CHARGES FOR PLANT SERVICES
a. Estimates for Plant services requested on Form NIST-461, Interdivision Work Order, are provided by a Plant Division/Engineering, Maintenance, Safety, and Support Division engineer or technician based on the work described and in consultation with the originator.

b. Engineering design and estimating time are included in the cost of the work, except on those requests in which the total cost of construction is less than $2,000. However, if the scope of work is increased beyond $2,000 after the initial estimate, all design/estimating charges are charged to the requesting cost center. On projects with an estimated cost of $2,000 or more, the design/estimating costs are charged to the requesting cost center, even though the order may be canceled upon receipt of the estimate from the Plant Division/Engineering, Maintenance, Safety, and Support Division.

The Plant Division/Engineering, Maintenance, Safety, and Support Division provides minor consulting services and prepares project estimates for projects under budget proposal for the STRS and CRF Programs at no cost to the requesting division. However, if the request requires extensive work and the workload becomes excessive, the Chief of the Plant Division contacts the Director for Administration and Chief Financial Officerto determine the source of payment.

c. Funds available in one year cannot be legally obligated for Plant Division/Engineering, Maintenance, Safety, and Support Division services to be performed in the following year except for STRS and CRF funds. Prices for jobs not completed during the fiscal year are adjusted at the end of the fiscal year to reflect the estimated cost of that portion of the work which is completed. The balance of the work to be completed is reobligated in October against funds available in the new fiscal year. This should be kept in mind when planning jobs to be charged to projects financed from one-year funds to ensure that sufficient funds are available in the subsequent year(s) to cover the job until completed.

d. The estimated cost for each Form NIST-461, Interdivision Work Order, as determined by the Plant Division/Engineering, Maintenance, Safety, and Support Division, is the fixed price for the work. This amount is charged to the benefiting cost center prior to initiation of the job. The fixed price is revised when changes are requested by the originating division. The Plant Division/Engineering, Maintenance, Safety, and Support Division may charge actual costs for jobs of extended duration, "short-form" jobs (time and materials), or for jobs that do not lend themselves to a fixed-price estimate. The requester is informed in advance in such cases. "Fast-Track" jobs are done on a design-as-you-go basis with charges not to exceed 25 percent of the authorized rough estimate.

7.02.10
RADIO TRANSMITTER INSTALLATION
a. Gaithersburg - Approval of the Director for Administration and Chief Financial Officer must be obtained before any radio transmitting equipment is installed in or on any building at NIST-Gaithersburg. Requests should clearly describe the type of transmitter to be installed, including the voltage, wattage output, frequency, and antenna required.

b. Boulder - A memorandum must be submitted to the Interference Committee through the Engineering, Maintenance, Safety, and Support Division, NIST/Boulder Laboratories by anyone planning to install a transmitter or other equipment or to perform tests likely to emit electromagnetic waves that might cause interference. The memorandum should describe the equipment or tests in sufficient detail for the Committee to determine the probable interference with other work.

7.02.11
ANTENNAS AND SIMILAR EQUIPMENT
a. The roofs of the Gaithersburg buildings are not designed or constructed to accommodate equipment or recurring personnel traffic. Therefore, no experiments can be conducted or equipment mounted on the roofs. Antennas for radio, television, and/or other sensing devices (wind, temperature, barometer, etc.), are approved only if they are an integral part of a NIST program and vital to the NIST mission, as determined by the Director for Administration and Chief Financial Officer.

b. Requests for exceptions to and/or approval of the above should be submitted by memorandum through the respective OU office to the Director for Administration and Chief Financial Officer. Requests should include the anticipated duration of the requirement, the proposed location, and a statement of need. Preliminary consultation with Plant Division is encouraged. If the duration of the requirement exceeds the duration of a previously approved request, a rejustification and submission by the project sponsor with specific concurrence of the OU Director is required.

c. If it is determined that an antenna or an equipment installation is vital and is approved, the Plant Division works with the sponsoring division to determine the best possible means of installation at the least objectionable location.

d. The Plant Division, at the direction of the Director for Administration and Chief Financial Officer, requests clearance and approval of projects with the National Capital Planning Commission (Gaithersburg).

e. Boulder - Requests for roof-placed equipment requires location approval by the Chief, Engineering, Maintenance, Safety, and Support Division.

7.02.12
BUILDING EXTERIORS, PAVED AREAS, AND LAWNS
a. For ease of maintenance and aesthetics, the following restrictions apply: (1) no attachments to building exteriors are permitted; (2) equipment installations and testing on lawn areas are prohibited except for periods of specified and short duration; and (3) mobile homes, storage trailers or containers, or similar mobile equipment or transportable apparatus must not be sited on lawn or paved areas without prior approval of the Director for Administration and Chief Financial Officer.

b. Requests for exceptions to and/or approval of the above must be submitted through the respective OU office to the Director for Administration and Chief Financial Officer, as described in Section 7.02.11.

c. An area on the south end of the Gaithersburg site has been designed for long-term outdoor exposure testing. Requests for using this site must be submitted to the Director for Administration.

7.02.13
PUBLIC AREAS, CORRIDORS, AND LOBBIES
Public areas are the responsibility of the Director for Administration and Chief Financial Officer and are not to be used for experimental purposes due to potential safety hazards. Similarly, corridors are to be kept clear of bulky equipment, furniture, files, etc., and are not to be used to meet storage, laboratory, or office space requirements. Temporary exceptions may be granted during space modifications.

7.02.14
AIR-CONDITIONING EQUIPMENT
a. Portable air-conditioning is equipment that can be installed and removed without appreciably damaging or defacing the equipment or the premises. It may serve several rooms, may be moved from one location and satisfactorily installed in another, may require ducts for the distribution or return of air, or may require plumbing. These are to be considered as equipment and may be procured from equipment funds as outlined in Subchapter 8.11.

b. Permanent air-conditioning is equipment that is attached to the premises and is considered part of the realty. The following must be considered permanent air-conditioning equipment: (1) air-conditioning equipment involving ducts and/or plumbing which is built into the walls, partitions, or ceilings of a structure, and (2) air-conditioning equipment which is designed and built for a specific location and which would not be suitable in another location. Permanent air-conditioning equipment is classified as an improvement and may be procured only with funds appropriated to NIST with specific legal authorization to be used for this purpose. Approval procedures for improvements outlined in this subchapter are to be followed.

c. Requests for purchase and installation of air-conditioning equipment must be submitted on Form NIST-461, Interdivision Work Order, and forwarded to the Plant Division/Engineering, Maintenance, Safety, and Support Division for review and approval.

7.02.15
CONSERVATION OF RESOURCES
a. Fuel - The heating and cooling of the buildings is thermostatically controlled in accordance with established design criteria. The thermostats are set by authorized employees of the Plant Division to provide a balanced comfort condition. Room thermostats are not to be adjusted or tampered with by employees. Notify the Plant Division/Engineering, Maintenance, Safety, and Support Division when adjustments are necessary.

b. Water - To conserve water, the circulating chilled water system must be used for equipment cooling wherever possible. Approval is not given for installation of equipment which uses over two gallons per minute of uncirculated water. All equipment using uncirculated water must be turned off when not in actual use. Leaking pipes, faucets, or other fixtures should be reported promptly to the Plant Division. If reported leaks are not repaired within seven calendar days, the problem should be reported in writing to the Director for Administration and Chief Financial Officer.

c. Measures employees can take to conserve resources:

(1) Turn off all machinery, including office equipment, when not in use;

(2) Turn off lights when leaving a room for 15 minutes or more;

(3) Leave corridor lights at their reduced level;

(4) Use natural daylight in exterior rooms, including restrooms;

(5) Do not use unauthorized electric heating appliances;

(6) Do not cover the top or the front of window induction units; this restricts air flow and reduces heating or cooling capacity;

(7) Close blinds to screen the sun during hot weather. During cold weather, close blinds overnight but keep open during daylight hours to capture the sun's heat. Procedures should be opposite for heat-generating areas on year-round air-conditioning (example: computer facility); and

(8) Do not adjust heating/air-conditioning room thermostats.

7.02.16
PLANNED UTILITY SERVICE INTERRUPTIONS
(GAITHERSBURG)
a. The Plant Division may authorize interruptions of utility services to meet emergency conditions or where scheduled maintenance or construction can be accomplished by no other means. Every precaution is taken to ensure minimum interference with technical projects. Full use is made of each scheduled outage to permit coordinated simultaneous performance of associated maintenance work.

b. The Operations Engineering Group is responsible for scheduling and coordinating all planned interruptions of utility services and for liaison with groups affected by or requesting such outages. The Operations Engineering Group maintains a current list of key division personnel in various buildings to be notified whenever interruptions occur under emergency conditions, or when outages are planned for routine purposes. During extraordinary situations the Cascade system may be used; see Subchapters 6.02, 6.03, and 6.04 for details.

c. It is the responsibility of key division personnel to notify all employees designated by their supervisor that may be affected by an upcoming Utility Service Interruption. The Operations Engineering Group must be notified when key division personnel change.

d. When the Operations Engineering Group determines that a planned outage is sufficiently widespread, Form NIST-398, Notice of Outage Sitewide, is distributed by mail throughout NIST. This notice provides details of the outage, including date, period of time, and buildings or systems affected. The Notice of Outage Sitewide is distributed no less than a week in advance of the planned outage to permit technical divisions to schedule (reschedule) programs and request temporary service if necessary.

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5/2008