Briefing-A Practical Guide to RIBA Plan of Work 2013 Stages 7, 0 and 1 (RIBA Stage Guide) [1 ed.] 9781859465707, 9780429347047, 9781000701708, 9781000701098, 9781000700480

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Briefing A Practical Guide to the RIBA Plan of Work 2013 Stages 7, 0 and 1 Paul Fletcher and Hilary Satchwell

Contents

Foreword v

The scenarios x

Series editor’s foreword vi–vii

The in-text boxed features xi

The authors viii

The RIBA Plan of Work 2013 xii–xiii

The series editor ix

Introduction xiv–xviii

Acknowledgements ix

01 STARTING STAGES 7, 0 AND 1   1–19

02 STAGE 7 IN USE   21–63

03 STAGE 0 STRATEGIC DEFINITION   65–111

04 STAGE 1 PREPARATION AND BRIEF   113–173

05 CONCLUSION   175–179

Plan of Work glossary 180–183

Index 184–188

© RIBA Enterprises, 2015 Published by RIBA Publishing, 66 Portland Place, London, W1B 1AD ISBN 978 1 85946 570 7 Stock code 83008 The right of Paul Fletcher and Hilary Satchwell to be identified as the Authors of this Work has been asserted in accordance with the Copyright, Design and Patents Act 1988, sections 77 and 88. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without prior permission of the copyright owner. British Library Cataloguing in Publications Data A catalogue record for this book is available from the British Library. Commissioning editor: Sarah Busby Production: Michèle Woodger Designed and typeset by: Alex Lazarou Printed and bound by: CPI Cover image: © stock.xchng While every effort has been made to check the accuracy and quality of the information given in this publication, neither the Author nor the Publisher accept any responsibility for the subsequent use of this information, for any errors or omissions that it may contain, or for any misunderstandings arising from it. RIBA Publishing is part of RIBA Enterprises Ltd. www.ribaenterprises.com

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Foreword

Historically members of the project team tended to treat every project as a bespoke experience for themselves, their clients and the end users of their buildings. Information and evidence gathering from the project was pushed aside at the joy of building handover. We rarely learned, with any structured information gathering strategy, the lessons on offer in order to improve the outcome for the next projects. A building which appears not to function as expected is submerged as something for the design or construction team to be ashamed of. Underperforming building elements or difficulties in use are seen as mistakes, rather than as constructive experiences or opportunities to improve the building for its future users, or to inform new projects. The 2013 Plan of Work was structured to change this, and the industry should welcome this step change in the way we work. We need to grasp this nettle firmly, and work with our teams, clients and users to create more resilient buildings, to view the construction process running through whole life in use, and to create continuously improving outcomes. This book, the first in a series of three guides to using the RIBA Plan of Work 2013, explains the means by which, using stages 7, 0 and 1, the process of learning and continuous improvement can develop using analytical tools and collection of data to provide for shared knowledge. No client could fail to be seduced by a system which manages the process so well, commences with a structured review of their needs and objectives, assesses their business case, reduces their costs, and demonstrates how to improve their buildings in use. This helpful publication provides clarification for the team to ensure that the client’s vision and objectives are met. This is a working guide, informing the reader throughout the process of data gathering, setting and agreeing the brief, in preparation for the design stages of a project. This is the essential guide to changing our industry for the better. I urge you to read and digest its unassailable logic. Jane Duncan RIBA President Elect

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Series editor’s foreword

The RIBA Plan of Work Stage Guides are a crucial accompaniment to the RIBA Plan of Work 2013. The plan’s format cannot communicate or convey the detail behind every term in the plan and this series provides essential guidance by considering, in depth, the reasoning and detail behind many new and reinvigorated subjects linking these to practical examples. The series is comprised of three titles which each concentrate on distinct stages in the Plan of Work. The first is Briefing by Paul Fletcher and Hilary Satchwell which covers Stages 7, 0 and 1. The second is Design by Tim Bailey and this covers Stages 2 and 3. The third is Construction by Phil Holden and covers Stages 4, 5 and 6. Subjects explored include how to assemble the most appropriate and effective project team and how to develop the best possible brief. The series also considers how to deal with the cultural shifts arising from a shift from “analogue” to transformational “digital” design processes as our industry begins to absorb the disruptive technologies that are changing many different and diverse sectors beyond recognition. The RIBA Plan of Work 2013 drives a shift towards richer and bigger data which can be harnessed to create better whole life outcomes and thus significant additional benefits to clients and users. The first book in the series, Briefing, considers how the new project stages (0 and 7) will add value over the lifetime of a project as greater emphasis is placed on more resilient designs where whole life considerations are embedded into the early design stages. With this in mind the series emphatically starts with Stage 7 placing emphasis on the importance of learning from previous projects via feedback and in the future via data analytics. This initial chapter also sets out how post occupancy and building performance evaluations can be harnessed to inform the Business Case during Stage 0 underlining that big data will provide paradigm shifts in how to extract feedback from newly completed or existing projects, including historic buildings, to help better decision making in the early project stages. More specifically, Paul and Hilary’s book considers new Stage 7 to 0 activities that will result in exciting new services in the future. These will ensure that the client’s brief is robust and properly considered providing the best possible platform for the design stages. This publication also considers the importance of site appraisals at Stage 0 and how Feasibility Studies can

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assist and add value at Stage 1 to the briefing process before the design process commences in earnest at Stage 2. In every stage there is added emphasis around Information Exchanges and the importance of considering who does what when at the outset of a project. Although the core design stages (2 and 3) have not significantly changed, Tim Bailey’s book, Design, looks at how they might be adjusted and better focused to provide greater client emphasis at Stage 2 allowing the lead designer to take centre stage at Stage 3. During this stage greater emphasis is placed on the production of a co-ordinated design: the design team should be focused on the work required to verify that the Concept Design is robust and suitable for making a Planning application. In both stages new methods of communicating the progressing design create exciting new opportunities but at the same time require an examination of how to effectively manage the design process using tools such as the Design Programme to manage what is an iterative process. Finally, Phil Holden’s book, Construction, considers the complexities of Stage 4 which is “sliced and diced” in different ways depending on the procurement route and the extent of design work undertaken by the specialist subcontractors employed by the contractor. He considers how the Design Programme for this change might alter to reflect different procurement routes and how this stage typically overlaps with construction (Stage 5). Handing over projects is becoming increasing complex and users now realise that the handover process can impact on successful operation and use of their buildings. Phil considers how the handover process is changing, placing greater emphasis on the user’s needs. His Stage 6 narrative considers how building contracts might adapt to this new environment placing greater emphasis on whole life matters including achieving better project outcomes rather than focusing on the closure solely of contractual matters and construction defects. Five project scenarios weave through the series providing some practical examples of how the different stages of the plan of work might be interpreted on projects of differing scales, sectors, complexity using different procurement routes, providing a consistent thread through all of the books. In summary, the series provides excellent additional guidance on how to use the RIBA Plan of Work 2013 allowing anyone involved in the built environment to understand and use the plan more effectively with the goal of achieving better whole life outcomes.

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The authors

Paul Fletcher is a thought leader, architect and director of ‘through...’, a built-environment consultancy that combines behavioural economics with building physics and architecture. Whilst studying at Sheffield University he co-developed new collaborative studio-teaching methods empowered by 3D CAD. In 2000 he founded ‘Teamwork’, a pan-industry ‘learning by doing organisation’ that explored innovation in multidisciplinary working for a better built environment, as fuelled by Building Information Modelling (BIM). More recently he established the industry think tank ‘Whetstone’ with the intent of sharpening the cutting edge of a 21st-century industry through cooperative processes, big data, social media and ‘everyware’ technologies. It focuses on enabling built-environment outcomes that serve and empower a diverse and thriving society. Paul has been an RIBA national councillor and is an acknowledged expert on briefing, concept and feasibility studies as well as integrated working and client-focused design solutions. Hilary Satchwell is Director of Tibbalds Planning and Urban Design, a well-established multidisciplinary practice of highly experienced planners, urban designers and architects. She is an architect and urban designer with nearly 20 years experience of strategically defining projects, leading large scale master-planning, and coordinating multisciplinary teams to deliver high-quality mixed use schemes. Much of her work focuses on ensuring that projects are set up well, concentrating on strategic definition, briefing, and positive engagement with the planning system to ensure good design and good place-making are delivered. Hilary’s master-planning and lead consultant work has demonstrated her creative leadership and her ability to draw together the often conflicting objectives of a multi-architect and multidisciplinary team to create a clear, strategic vision. She currently sits on the RIBA’s Construction Leadership Group, has advisory roles on a number of Design Review Panels, and has undertaken research for the Commission for Architecture and the Built Environment (CABE) on the role of design infrastructure in the delivery of housing growth.

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The series editor

Dale Sinclair is Director of Technical Practice for AECOM’s architecture team in EMEA. He is an architect and was previously a Director of Dyer and an Associate Director at BDP. He has taught at Aberdeen University and the Mackintosh School of Architecture and regularly lectures on BIM, design management and the RIBA Plan of Work 2013. He is passionate about developing new design processes that can harness digital technologies, manage the iterative design process and improve design outcomes. He is currently the RIBA Vice President, Practice and Profession, a trustee of the RIBA Board, a UK board member of BuildingSMART and a member of various Construction Industry Council working groups. He was the editor of the BIM Overlay to the Outline Plan of Work 2007, edited the RIBA Plan of Work 2013 and was author of its supporting tools and guidance publications: Guide to Using the RIBA Plan of Work 2013 and Assembling a Collaborative Project Team.

Acknowledgements

I am very grateful to all the clients and colleagues, especially those within ‘Whetstone’ who have helped me hone and understand the key distinction between Outputs and Outcomes in the context of the Built Environment. There are too many to list! However a specific thank you is owed to Tom Kordel for his contribution to chapter 02. Paul Fletcher I would like to thank the Plan of Work 2013 development team for bringing clarity to the early stages of building projects. Also, particular credit is due to the clients and project teams that I have been able to work over many years on projects at these early stages for allowing the knowledge contained here to develop. Lastly I would like to thank those involved in the procurement reform group discussions during 2013 for refocusing my thoughts on project briefing and its link with client decision making and project outcomes. Hilary Satchwell

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The scenarios

Throughout the series five projects of different scale, sector and complexity have been used to illustrate the practical impact of the RIBA Plan of Work 2013. These look at how different projects may need to deal differently with a range of issues that could arise. These are not intended to be definitive examples of what to do, or what not to do, but to aid understanding of the plan of work and how different approaches may be adopted at each stage to support better project outcomes. They are:

•

Scenario A: An extension to a four-bedroom house in a rural location. This project is for a private client and has a budget of £250k. The design team have been selected by recommendation from friends and are appointed to help the client develop the brief. The chosen procurement route is the traditional procurement of a contractor by the client.

•

Scenario B: A small scale housing development for a local developer on the outskirts of a large city. The value of the project is £1.5million and the client is a small but well established family business. Both the design team and the contractor are to be selected by informal tender with previous experience and pricing core evaluation factors. The procurement route is also traditional.

•

Scenario C: The refurbishment of a teaching building for a University which has a large portfolio of buildings. The value of the project is between £5million – £6million. The design team are selected following a mini competition. The procurement route is single stage design and build with the design team being novated to the contractor.

•

Scenario D: A new central library for a medium sized Local Authority. Following the development of the brief including Feasibility Studies produced by a directly appointed team on the Council’s Consultant Framework the project is tendered to select the design team for the next stages. The contractor is to be selected following a two stage design and build process and will appoint their own design team. The original design team is to be retained by the council as advisors.

•

Scenario E: A large office scheme for a high tech internet based company wanting to establish themselves as major players in the industry with a high profile new base. Valued at £18 million - £20 million this project is procured using a management form of contract due to the urgent need to occupy the building.

At the end of each Stage in the book there is a status check on the five projects where the impact of the work and decisions made during that stage are illustrated. Within each chapter these scenarios are used to identify key points and examples.

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The in-text boxed features

We have also included several in-text boxed features to enhance your understanding of the Plan of Work stages and their practical application. The following key will explain what each icon means and why each feature is useful to you: The ‘Example’ feature explores an example from practice, either real or theoretical, and often utilizing the project scenarios.

The ‘Hints and Tips’ feature dispenses pragmatic advice and highlights common problems and solutions.

The ‘Definition’ feature explains key terms in more detail.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Stages

The RIBA Plan of Work 2013 organises the process of briefing, designing, constructing, maintaining, buildingthe projects a The operating RIBA Plan ofand Workusing 2013 organises process into of briefing, des into acontent number of stages.may The content stages may vary or ove number of key stages. The ofkey stages vary orofoverlap to suit should be used solely as guidance for the preparation of detailed p specific project requirements.

0

1

2

3

Strategic Definition

Preparation and Brief

Concept Design

Developed Design

Core Objectives

Identify client’s Business Case and Strategic Brief and other core project requirements.

Develop Project Objectives, including Quality Objectives and Project Outcomes, Sustainability Aspirations, Project Budget, other parameters or constraints and develop Initial Project Brief. Undertake Feasibility Studies and review of Site Information.

Prepare Concept Design, including outline proposals for structural design, building services systems, outline specifications and preliminary Cost Information along with relevant Project Strategies in accordance with Design Programme. Agree alterations to brief and issue Final Project Brief.

Prepare Developed Design, including coordinated and updated proposals for structural design, building services systems, outline specifications, Cost Information and Project Strategies in accordance with Design Programme.

Procurement

Initial considerations for assembling the project team.

Prepare Project Roles Table and Contractual Tree and continue assembling the project team.

Tasks

*Variable task bar

Programme

Establish Project Programme. Review Project Programme.

The procurement a givendoes stage. The procurement strategy notHowever, fundamentally al strategy does not of the design or theInformation level of detailExchanges prepared at a give fundamentally alter Exchanges will vary depending on on thethe s Information will vary depending the progression the selectedAprocurement route route andofBuilding Contract. bespoke RIBA Plan o design out or the level and Building Contract. A the specific tendering and procurement activities t of detail prepared atstage in relation bespoke RIBA Plan procureme of Work to the chosen Review Project Programme.

*Variable task bar

(Town) Planning

Pre-application discussions.

Pre-application discussions.

Review Feedback from previous projects.

Prepare Handover Strategy and Risk Assessments.

*Variable task bar

Suggested Key Support Tasks

Agree Schedule of Services, Design Responsibility Matrix and Information Exchanges and prepare Project Execution Plan including Technology and Communication Strategies and consideration of Common Standards to be used.

The procurement The procurementroute route m may dictate the Project stages overlapping or be Programme result in 2013and will clarify the s certain stages the overlapping specificgs

Planning applications are typically made using the A bespoke Planning applications bespoke RIBA Plan Work identify RIBAofPlan of2013 Workwill 2013 will w are typicallyAmade using identify when is the the Stage 3 output. application to be made. Prepare Sustainability Strategy, Maintenance and Operational Strategy and review Handover Strategy and Risk Assessments.

Review and update Sustainability, Maintenance and Operational and Handover Strategies and Risk Assessments.

Undertake third party consultations as required and any Research and Development aspects.

Undertake third party consultations as required and conclude Research and Development aspects.

Review and update Project Execution Plan.

Review and update Project Execution Plan, including Change Control Procedures.

Consider Construction Strategy, including offsite Review and update fabrication, and develop Health Construction and Health and and Safety Strategy. Safety Strategies.

Sustainability Checkpoints

Sustainability Checkpoint — 0

Sustainability Checkpoint — 1

Sustainability Checkpoint — 2

Sustainability Checkpoint — 3

Information Exchanges

Strategic Brief.

Initial Project Brief.

Concept Design including outline structural and building services design, associated Project Strategies, preliminary Cost Information and Final Project Brief.

Developed Design, including the coordinated architectural, structural and building services design and updated Cost Information.

Not required.

Required.

Required.

Required.

(at stage completion)

UK Government Information Exchanges

*Variable task bar – in creating a bespoke project or practice specific RIBA Plan of Work 2013 via www.ribaplanofwork.com a specific bar is selected from a number of options.

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THE RIBA PLAN OF WORK 2013

The RIBA Plan of Work 2013 should be used solely as guidance for the preparation of detailed professional services contracts and gning, constructing, maintaining, operating and using building projects lap to suit specific project requirements. The RIBA Plan of Work 2013 building contracts. ofessional services contracts and building contracts.

www.ribaplanofwork.com www.ribaplanofwork.com

4

5

6

7

Technical Design

Construction

Handover and Close Out

In Use

Prepare Technical Design in accordance with Design Responsibility Matrix and Project Strategies to include all architectural, structural and building services information, specialist subcontractor design and specifications, in accordance with Design Programme.

2013 will set out the er the progression tendering and nspecific stage. However, procurement activities that lected procurement occur at will each fwill Work 2013 setstage in relation to the chosen at will occur at each route. ntprocurement route.

Offsite manufacturing and Handover of building and onsite Construction in conclusion of Building accordance with Construction Contract. Programme and resolution of Design Queries from site as they arise.

Administration of Building Contract, including regular site inspections and review of progress.

Undertake In Use services in accordance with Schedule of Services.

Conclude administration of Building Contract.

beingthe undertaken Programme Project ProgrammeThe and Project may result in certain yordictate A bespoke A bespoke will set outPlan the specific gconcurrently. undertaken concurrently. RIBA of Work RIBAoverlaps. Plan of Work 2013 will stage dates and e stage The Project Programme will set outdetailed clarify theand stage overlaps. programme age dates detailed programme durations. durations. Stage 3 output. planning application hen is tothe beplanning made. Review and update Sustainability, Maintenance and Operational and Handover Strategies and Risk Assessments. Prepare and submit Building Regulations submission and any other third party submissions requiring consent. Review and update Project Execution Plan. Review Construction Strategy, including sequencing, and update Health and Safety Strategy.

Review and update Sustainability Strategy and implement Handover Strategy, including agreement of information required for commissioning, training, handover, asset management, future monitoring and maintenance and ongoing compilation of ‘Asconstructed’ Information.

Carry out activities listed in Handover Strategy including Feedback for use during the future life of the building or on future projects. Updating of Project Information as required.

Conclude activities listed in Handover Strategy including Post-occupancy Evaluation, review of Project Performance, Project Outcomes and Research and Development aspects. Updating of Project Information, as required, in response to ongoing client Feedback until the end of the building’s life.

Update Construction and Health and Safety Strategies.

Sustainability Checkpoint — 4

Sustainability Checkpoint — 5

Sustainability Checkpoint — 6

Sustainability Checkpoint — 7

Completed Technical Design of the project.

‘As-constructed’ Information.

Updated ‘As-constructed’ Information.

‘As-constructed’ Information updated in response to ongoing client Feedback and maintenance or operational developments.

Not required.

Not required.

Required.

As required.

© RIBA

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Introduction

The RIBA Plan of Work 2013 The RIBA Plan of Work 2013 organises the process of briefing, designing, constructing, maintaining, operating and using building projects into a number of key stages. It details the general tasks and outputs required at each stage and as they may overlap or vary to suit specific project requirements. The definition of each stage is pivotal, because the stages act as milestones for agreeing and signing off deliverables, establishing professional services appointments and determining the activities of the many parties involved.

Introducing the Stage Guides series This book is the first in a series of three stage guides to the RIBA Plan of Work 2013. It is a guide to Stages 7, 0 and 1 and deals with briefing as one of the key elements of the continuous cycle of briefing, designing, constructing that characterise good building projects. It is specifically about those stages that relate to the collection, review and analysis of information to inform a potential building project and ensure that the right decisions are made. This book covers three stages of the Plan of Work 2014, each concerned with a different aspect of the briefing process:

•

Stage 7: the period when buildings are in use, as information is gathered, disseminated, analysed, assessed and reviewed in order to inform how a building is performing, to assess its continued viability or to inform an entirely new project.

•

Stage 0: when a potential need for a building or project is being considered and defined by a client in terms of their strategic needs and business case.

•

Stage 1: as the Initial Project Brief is put together for the project; its feasibility is tested; and the requirements of the project, in terms of the team needed to deliver it and the activities they will undertake to complete, it are being defined.

The second book in the series – A Guide to Stages 2 and 3 – describes what happens next, the development of a project from an Initial Project Brief into Concept Design and through Developed Design. It establishes the content of many of the project strategies and tools that are required to be used and agreed in order to develop an effective building design.

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INTRODUCTION

Stage Review/ analysis

7

0

In Use

Strategic Definition

1 Preparation and Brief

2

3

4

Concept Design

Developed Design

Technical Design

5

6

Construction Handover & Close Out

7 In Use

Book 1: Briefing In Use Data

Strategic Brief

Design/ synthesis

Concept Design

Book 2: Design Final Project Brief

Delivery/ process

Developed Design

Book 3: Construction Technical Design

Construction Handover

0.1 The stages of the Plan of Work 2013 and their role as review, design or delivery.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

The third book in the series starts at the end of Stage 3, once the design has been coordinated. It describes how to turn the Developed Design into a Technical Design that will enable the project to be constructed, handed over and then to become part of ongoing assessment during Stage 7. It deals with the role of the project team during construction and what happens at Stage 6 when the building is handed over to the client. This process completes the circle with the start or continuation of Stage 7.

What is this book about? This book is about ensuring that a project is set up well, so that future design and construction stages deliver what is needed by the client and what will work for those who will use the building. It is about ensuring that the information used to set up a project is based on evidence, is well documented and is discussed and agreed with the relevant parties. It is about the processes that are set out in the Plan of Work 2013 to help ensure that things go smoothly and that money, time and effort are not wasted. The book is about asking questions, defining aspirations and outcomes, testing what works now and what is needed in the future, and examining what is deliverable. It is about making sure that once a project team are appointed to progress the design and construction of a project, what they do can be completed successfully.

Stages 7, 0 and 1 under the microscope All built projects are a response to a question, problem or need that relates to a client or user group. To achieve a successful start to a new project it is important to first understand how similar ‘questions’ have been answered by others in terms of design, construction and in-use performance. The gathering of information on how a completed building project performs in use is the purpose of Stage 7 of the Plan of Work, and is covered in Chapter 2 of this book. This chapter sets out what information should be gathered when and by whom, and how it might be used and shared to support the building owner or user, various user groups and a project team who are starting out on a new project. It is also about how information is shared with others interested in similar building types, organisational structures or technical or environmental strategies, and how these impact on those who will use and run the finished project. Stage 7 In Use is located at the very beginning of the series because all building projects need to learn from the experience of others. We need to

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INTRODUCTION

gather and share this information so that we can avoid repeating mistakes and can learn from evidence of what works: for people, in cost terms and for performance in use. Currently, much of the evidence used in creating new buildings is empirical, and this book makes a strong case for more rigorous data collection and analysis on a range of diverse issues – including how buildings make people feel and respond to their environments, and technical performance. This knowledge and information is the feedback/feedforward loop at the heart of achieving good outcomes at the end of the briefing, design and construction process. Prior to the Plan of Work 2013, there was no formal process for any linkage between the end of one project and the start of another. The circle of stages established in the Plan of Work 2013 proposes this link at Stage 7 into Stage 0 as an important part of the process of creating an effective building or proiect. This guide explains how this linkage between the construction stages of one project and the definition and briefing of another project – via robustly collected and effective analysis, and in-use data – is intended to work. Chapter 3 is about Stage 0 Strategic Definition, that time – before a project is a fully formed or defined idea – when a client and supporting team are working out the right approach for a particular set of circumstances and whether it has a sound business case. This chapter covers who is likely to be needed at this stage to assist and support the client, the methods that they might use to define and test a project, and the requirements for a good strategic brief that will form the basis of future work. One of the key milestones in any building project is to do with being clear when that project has been successfully defined and is ready to set off on its progress through to briefing in Stage 1 and through the rest of the Plan of Work. The tests for knowing if you have reached the end of Stage 0 are covered in this chapter, as well ensuring that client objectives and vision are articulated, funding streams are identified and key information about the site is in place. The final chapter in this book, Chapter 4, is about Stage 1 Preparation and Brief. It is concerned with the formulation and content of the Initial Project Brief, which will be the starting point for design work in Stage 2. It is also about the project team that will do the work to produce the Initial Project Brief in Stage 1 and additionally about the process for identifying and scoping the broader project team needed from Stage 2 onwards, some of

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whom may be the same people that have already been involved during Stages 7, 0 and 1. The roles of different team members and the skills that are required at this stage are also highlighted. As the basis for future design work, getting the brief right is the key consideration. In order to achieve this, technical and baseline information needs to be in place, the client aims and objectives need to be fully understood and the capacity and feasibility of the site needs to be tested, building on the Strategic Brief and Business Case completed during Stage 0. Projects that proceed without having successfully completed Stage 1 – and that do not have a decent, tested brief in place – invariably involve abortive work and delay for the project team, as these things are worked out, and added costs for the client. The purpose of defining this stage clearly is to minimise the risk of later delay, additional cost and abortive work, and to make sure that the team can concentrate fully on the task in hand.

How to use this book This book starts at stage 7 to illustrate the circular nature of the plan of work and to make the point that all projects must learn from those that have gone before. However, whilst starting at 7 is obviously the best way to get the full detail of each stage and its transition to the next, it is also fine to start with the other chapters that may relate more specifically to issues you may be dealing with.

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INTRODUCTION

xix

CHAPTER 01

STARTING STAGES 7, 0 AND 1

STARTING STAGES 7, 0 AND 1

CHAPTER 01

OVERVIEW This chapter provides an overview of the core objectives at Stages 7, 0 and 1 and how they impact on the project team. It will describe the range of starting points that may be relevant for projects starting Stage 7 and those starting Stage 0, and the information that may be expected to be in place for each. The core part of this chapter summarises the scope and content of each of the eight task bars in the Plan of Work, and how each of these impact on the stages covered in this book. Finally, it will provide a summary of where our sample projects should be before the start of Stage 7.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

WHAT IS IN THE EIGHT TASK BARS at Stages 7, 0 and 1?

Within each stage of the plan of work there are eight task bars describing the key activities that need to be completed in order for the project to progress through the stages. The main tasks are always the core objectives, supported by a range of activities in the other task bars. It is important to understand that the Plan of Work is not intended to deal with all of the subtle and varied activities of every project – rather, that it is a guide to inform the development of focused and specific project information, and a framework for making structured progress. A key strength of the Plan of Work is that, in one form or another, all of the core objectives and the task bars will apply to all types of project.

Task Bar 1: Core Objectives This task bar sets out the principal activities for each stage. These will be the principal focus of each stage, and are those to start with in all cases. At Stage 7, the task bar refers to undertaking the in-use services that are the core of this stage, in accordance with the Schedule of Services. For justcompleted buildings or projects, these will be the agreed post-handover services. The focus at this stage will be on the gathering of data and evidence about how the building works in use, on both a short-term and an ongoing basis. The core objectives of Stage 0 are to work out the core requirements of a potential new project and to identify the client’s Business Case, in order to be clear that the project has a financial basis on which to proceed. The Strategic Brief will define what the project is intended to deliver, and demonstrate how it has been informed by strategic options appraisal and site identification. At Stage 1, the objectives become more specific and focus on defining the project needs and client aspirations. These tasks include developing Project Objectives (including Quality Objectives), Project Outcomes, Sustainability Aspirations and a Project Budget. A key task at this stage is to produce the Initial Project Brief, which will summarise all of this

4

STARTING STAGES 7, 0 AND 1

information and will provide detailed requirements and parameters. This work will be informed by Feasibility Studies and an increasingly detailed review of site information.

STRATEGIC OPTIONS APPRAISAL At a stage in a project when many things are not yet clear, strategic options appraisal is a useful way of moving things forward and helping to define what may be possible. Strategic options appraisal may consider different sites, different amounts of accommodation or very different ways of supporting the same core client question. This is not a design exercise in the way in which a specific design is considered from Stage 2 onwards; it is about exploring strategic options, site capacity and ideas, and then setting them out clearly and assessing them against a broad list of strategic client objectives.

Task Bar 2: Procurement Procurement relates to both the project team and the contractor, and it is an area where there are a great range of alternative approaches – often related to the client and any organisational restrictions or preferences. Although there are no specific procurement-related tasks in Stage 7, it may still be relevant. The form of contractor procurement selected during Stages 2 to 4 will influence the need for any new procurement to cover in-use activities, whether these are part of an existing appointment or whether relevant members of the project team now need to be put in place. At Stage 0, initial members of the project team start to be needed and initial considerations of future procurement are undertaken. Initial considerations of the contractor procurement options should be included in the Initial Project Brief during Stage 1, when procurement tasks include preparing the Project Roles Table and Contractual Tree that will identify the team and their relationship to the client, both for this stage and subsequent stages. The team needed to take the project forward from Stage 1 will start to be assembled now.

5

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Task Bar 3: Programme Programme is an important consideration in the Plan of Work, and necessary for all projects. At Stage 7 there are no specific programme-related tasks; however, the gathering and analysis of in-use information will still need to be programmed out, and may need to meet specific timeframes if it is to provide relevant information to inform Stage 0 and Stage 1 of future projects, or to demonstrate that the delivered project meets relevant regulatory requirements. At Stage 0 the Project Programme is established in order to inform the client’s project considerations and aspirations and as part of the Strategic Brief. During Stage 1 the programme is reviewed, and may become more developed as the Initial Project Brief takes shape. The importance of the programme during these stages will depend on its importance within the project. It is always the case that Stage 0 and the Strategic Brief are completed before work commences on Stage 1. The need for a Design Programme or Construction Programme should be anticipated at this time.

Task Bar 4: Town Planning The town planning process is a key topic within the Plan of Work, largely because of its influence on project risk and delivery and the relatively late point in a project (generally end of Stage 2 or into Stage 3) when this can be fixed. At Stage 7 there are no specific town planning tasks as these are mostly completed, and the need to consider any planning issues will relate very much to the specific needs of each project and any planning obligations that may have been placed on it. During both Stage 0 and Stage 1, planning considerations should form part of the background work to the Strategic Brief and the Initial Project Brief. This will include a review of relevant planning policy, and may also involve pre-application discussions with the local authority. Specifically during Stage 1 town planning should inform any Feasibility Studies that are carried out and the form and type of future applications that will be needed should be considered. Some projects may also necessitate anticipation of future changes to planning policy and encompass the need for making representations to the plan-making authorities.

Task Bar 5: Suggested Key Support Tasks This task bar describes the support tasks that are required at each stage. Support tasks are those elements of the Project Information that help map out who is required to do what, and where responsibilities and other

6

STARTING STAGES 7, 0 AND 1

obligations are expected to lie. During Stage 7 this is about considering the activities listed in the Handover Strategy, including Post-Occupancy Evaluation, and other methods for reviewing Project Performance and Project Outcomes. This stage may also include elements of Research and Development, and methods agreed with the client to ensure that the building works as well for them as it can do. This stage, when the project is in use, is likely to last many years, and during this time Project Information needs to be kept updated so that it can be used to inform client or user decisions about its use and operation. During Stage 0 the key support task is to review Feedback from previous projects that provide useful background on its use or function, and which will assist as part of the strategic decision-making process. At Stage 1 a project switches from ‘what can we do?’ to ‘how should we do it?’, and this means a clear focus on anticipating project and team requirements in some detail for the first time. In some cases this information may be preliminary, but the process of setting it out is an important step in ensuring that things proceed on an informed basis. The tasks comprising Stage 1 include the preparation of Risk Assessments and the Handover Strategy, so that these inform decisions around the brief at the right time. Setting out the Schedule of Services, Design Responsibility Matrix and the proposals for Information Exchanges will help to ensure that the right services are put in place for the right members of the team. Other support tasks during this stage include putting in place the Project Execution Plan, so that the team knows who will do what, and how. The Technology and Communication Strategies will inform how team members will communicate with each other and how they will share information, including which Common Standards will be used.

Task Bar 6: Sustainability Checkpoints The sustainability checkpoints ensure that projects are developed in a sustainable way. During Stage 7 this is about ensuring that the effectiveness of the building in operation is tested and fine-tuned, and that clients and occupants are kept up to date about how to get the best from the building. This will include monitoring energy/carbon performance in accordance with agreed assessment criteria. At Stage 0 a strategic review of client needs is carried out, and it is important that all strategic options are considered – including, with scarcity of resources in mind, not constructing a new building at all. Initial ideas for sustainability targets will be part of the Strategic Brief. At Stage 1 the sustainability targets will be confirmed and detailed in terms of environmental requirements, building lifespan and climate parameters in the Initial Project Brief.

7

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Task Bar 7: Information Exchanges Although each project may have different requirements with respect to the type of information to be included in the Information Exchanges, knowing what the expected deliverable is will ensure a successful outcome to the stage. This task bar provides guidance on the type of information to be included. During Stage 7 this relates to ‘As-constructed’ Information and Feedback on building performance. During Stage 0 this will focus on sharing and confirming the Strategic Brief; and during Stage 1, the Initial Project Brief.

Task Bar 8: UK Government Information Exchanges This is a specific task bar for government projects, which covers Stages 0 to 6. It relates to the government’s own views on how information should be exchanged as set out in its 2011 Construction Strategy. The most notable of these for the stages under consideration relates to Stage 1 and the Employer’s Information Requirements (EIRs).

PROJECT PERFORMANCE Project Performance is in essence a measure and assessment of both how well the building is working in use and how effective the processes of developing that building through Stages 0 to 6 were in achieving that Project Outcome. How Project Performance is shaped and presented will depend on who is using it and at what stage, from a project team reviewing their performance, to a client assessing the viability of a building – to a client and project team jointly gathering evidence to inform Stage 0 for a new project.

8

STARTING STAGES 7, 0 AND 1

WHAT ARE THE CORE OBJECTIVES of Stages 7, 0 and 1?

The core objectives of these stages are all about ensuring that a project performs and delivers what is wanted and what is needed. To achieve this it is critical to understand what is possible, what is achievable and what can be learnt from other, similar projects elsewhere. The structured briefing and information-gathering exercises in Stages 0 and 1 are about increasing the likelihood that what is delivered meets client and user needs and expectations, by properly understanding what those requirements are in detail and by reducing the risk that, in the end, this turns out to be a building or project that is not effective, attractive or useful. The reason these stages are so important is that the cost of a new building or project is exclusively focused on how much it costs to run and operate and how well it supports and facilitates its core purpose and end users. The substantial cost of a building project lies not in paying a consultant to write a good brief, or in appointing a good design team or a good contractor to build it. The cost is in what happens after it is handed over and during its useful life. This means that getting this wrong, and having a building that does not perform well in any area, is an expensive mistake and one that most clients should be very keen to avoid. Figure 1.1 (overleaf) illustrates the broad proportions of cost related to different stages of a project. These stages are different from some of the others in the Plan of Work in that they are necessarily sequential – ie, the information from one stage needs to be gathered, assessed and signed off before proceeding to the next one. This is to ensure that information is shared (or ‘exchanged’, to use Plan of Work terminology) and that this is agreed (or ‘signed off’) before things can proceed to the next stage (see Figure 1.2 (overleaf)). The importance of this is covered in both Chapters 3 and 4. This sequencing is a critical difference between the 2013 Plan of Work stages and former Stages A and B, which were essentially overlapping stages at the start of a project and which are now mostly contained within Stage 1. In this regard, Stages 7 and 0 are really pre-start stages in what has traditionally been thought of as

9

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

COST OF BRIEFING: 0.02 COST OF DESIGN: 0.1 COST OF CONSTRUCTION: 1

COST OF MAINTENANCE: 5

The cost of briefing and design in relation to construction and whole-life costs – how much money can effective briefing save?

COST IN USE TO CLIENT: 50–200

Based on diagram presented by John Cole with the addition of the cost of briefing by the authors

1.1 The ratio of client related costs at different stages of a project, showing that money spent early on is very modest compared to the costs during construction phases and in particular when the building is in use. Money spent well early on can result in real savings later on in a project and most importantly through having an effective building In-Use.

the defined extent of a building project. Their inclusion in the Plan of Work 2013 reflects their importance in ensuring that what is delivered, and how it performs, maps well against what is needed and anticipates future client requirements. At the heart of each of these three stages is the need to understand the function and purpose of the intended building or project, and how the client or other end users need to use it. This happens in Stage 7 through the collection of in-use information, in Stage 0 by understanding the client’s

10

STARTING STAGES 7, 0 AND 1

REVIEW

BRIEFING

REVIEW

BRIEFING

REVIEW

BRIEFING

STAGE 7

STAGE 0

STAGE 1

STAGE 2

IN-USE REVIEW

CLIENT OBJECTIVES

DEFINED PROJECT OUTCOMES

CONCEPT DESIGN

STAGE 6

STAGE 7

HANDOVER

IN-USE REVIEW Information from ‘own’ comparable projects

Options Appraisal

STRATEGIC BRIEF

SP AD E C IA V I S LI S OR T S

GATHER INFORMATION

DEFINED START ‘IS THIS A PROJECT?’

Basis of project confirmed: business case

Feasability Study

MILESTONE SIGN-OFF

INITIAL PROJECT BRIEF

Brief and team confirmed

FINAL PROJECT BRIEF

NE M E W TE ‘D E M B E AM S IG R S N’ TE AM

Information from ‘other’ comparable projects

MILESTONE SIGN-OFF

1.2 7, 0 and 1 – the three stages of review and briefing, each with a distinct core purpose and a need to complete key milestones before moving forward.

strategic needs, and then in Stage 1 by understanding their detailed needs and considerations. These stages all include analysis of this information, and Stages 0 and 1 include testing of further project or site information as required. ‘Need’ when related to building projects encompasses a very broad set of considerations, and therein lies a substantial amount of the complexity and skill involved in setting up a project properly. In each of these stages, these considerations must be about more than just the obviously quantifiable requirements and measurable criteria, such as space standards and cost targets, that often feature in simple project briefs and in use data. Rather, these stages are also about qualitative, behavioural and performance criteria that affect, for example, how a building will influence its end users, how much it will cost in use, its actual (rather than predicted) impact on the environment, its ‘esteem’ value for the client and its ability to be flexible over time and as needs change. Skill and experience in understanding, testing and anticipating the broadest considerations of need will be required. Most clients will need specialist support and advice to help them through these stages.

11

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Although none of these stages are about actually designing a building project, they are about setting up the conditions to support good design. The value of design in delivering a good response to a brief, in exceeding client expectations in terms of how a building makes the users feel and in using the evidence delivered in Stage 7 to shape how a new proposal functions are all supported by the processes set out in the Plan of Work. Stages 7, 0 and 1 are about setting up the right conditions for good design, good delivery and good long-term stewardship.

WHY STAGES 7, 0 AND 1 SUPPORT HIGHQUALITY OUTCOMES The Plan of Work is a highly flexible tool supporting all building types, budgets and project structures. The specific processes in the Plan of Work support the delivery of projects that meet client and user objectives well, and this will result in better buildings than if such things are left to chance. Stage 1 specifically identifies the need for Quality Objectives that encourage a focus on achieving high-quality design, and which ensure that these objectives are discussed early on in the briefing process.

12

STARTING STAGES 7, 0 AND 1

WHAT COMES BEFORE, WHAT COMES AFTER and why it’s important

The context for projects varies based on a range of factors, for example some projects are part of a continuous cycle of building review, replacement, renewal and growth ‘starting’ at Stage 7, whilst others may be entirely new projects for first-time clients that can only realistically commence at Stage 0. This context affects the purpose and role of Stage 7. A key element of any of the stages of the Plan of Work is considering the work that was undertaken in the previous stages and ensuring that relevant information about the site, the project team (including the client) or any completed studies or reports is properly handed over, recorded, shared and validated prior to the commencement of the next stage. Just as important is what happens at the end of each stage, and making sure that any outputs or Information Exhanges are understandable, clear and comprehensive in order to support the successful transition forward, and are signed off by the client and other relevant stakeholders. The interaction between Stages 6 and 7 and between Stages 1 and 2 needs careful consideration, as they are key transition points (see Figure 1.2). In particular, these are points at which a project team may change or expand, and the task of managing this change needs to be well handled. At this stage too the high-pressure demands of a project can mean that a client’s focus on getting things started, or the excitement of handing a building over to its end users can make some of the Stage 7, 0 and 1 tasks seem unimportant and easily left out. As is set out in this guide, Stages 7, 0 and 1 are critical in ensuring fully resolved, efficient buildings that meet the needs and objectives of the client, and that work well for their end users.

13

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Following on from Stage 6 Handover and Close Out At some point in the transition between Stage 5 Construction to Stage 7 In Use, the contractor’s role and the roles of the majority of the project team working with them is completed. In order for a client and end user to get the best outcome value from the project, a regime of facilities management and continuous review should be implemented to ensure that the building remains effective, optimal, retains its value and best serves the needs and requirements of its occupants. The scale and rigour of this stage and the transition between Stage 6 and Stage 7 will need to be suited to each particular client, building and its end users. Sometimes this is a smooth transition that was envisaged and planned early on in a project; at other times it may only be properly picked up later on, once the client realises that a rounded and evidenced understanding of their asset in use is of value to them. Sometimes this realisation comes as part of a broader performance review of a portfolio of properties.

OUTCOME VALUE The outcome value of a project is how well the delivered project (the outcome) meets the needs and aspirations of the client and end users. This relates to how well it fulfils the brief, and how accurately and effectively the brief has defined the client and user needs.

Looking forward to Stage 2 Concept Design The transition from Stage 1 Preparation and Brief to Stage 2 Concept Design is also important, because it is about moving from analysis to design. It can seem like it won’t do much harm to move forward to the design stage before Stage 1 is complete, and it may seem like a good idea to start anyway and to catch up with the briefing information once the design work is under way. However, this is not a good idea and will often lead to abortive work and delay. The critical things to consider are the amount of information that can be decided and agreed at briefing stage, and ensuring that, as far as

14

STARTING STAGES 7, 0 AND 1

possible, the information that the Stage 2 project team will need to proceed is all in place. Change happens on all projects, but securing good, timely outcomes needs to be a managed process and not one left to chance.

Managing stage transitions The main chapters of this guide cover the key milestone issues related to the successful start and completion of each of the work stages. At each stage there are common questions that it can be helpful to consider:

•

Do I have all of the information I was expecting from the previous stages?

• •

Have I identified what is missing, and whether it may be available? Is it clear how client decision-making has been supported by this process, and which information the client has relied on?

• •

Is the client clear about what has been done, and what to expect next? If there are gaps, how can these be covered and is it clear whether the previous stage was fully completed?

•

Is the information I am providing at the end of this stage sufficient to allow the appropriate members of the project team to move forward? Are any gaps, and the reasons for them, clearly identified? Should they be defined before moving on to the next stage?

15

STARTING STAGES 7, 0 AND 1

CHAPTER 01

SUMMARY This chapter sets out the content of the task bars for Stages 7, 0 and 1. It explains the core objectives of each stage; how these relate to the other task bars that support them; and the importance of ensuring that they are sequential, agreed and fully complete before the design work itself begins in Stage 2. It explains the importance of, and difference between, the roles of the Strategic Brief at Stage 0 and the Initial Project Brief at Stage 1. The chapter sets out what to consider at the end of Stage 6 that will influence what happens next, and the importance for clients that they know what is happening when a building is finally fulfilling its intended purpose. It sets out what needs to be considered before the handover to Stage 2 and the importance of a really clear well-considered brief and robust project information before design work commences. In the following chapters, we will learn more about each of the stages, starting with Stage 7.

17

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

A

SCENARIO SUMMARIES

WHAT HAS HAPPENED TO OUR PROJECTS BEFORE THE START OF STAGE 7?

Small residential extension for a growing family

B

Development of five new homes for a small residential developer

Prior to the handover meeting

The houses are handed over

a final inspection of the works

to the developer, together with

is undertaken by the architect.

the keys and the final meter

The works are complete and

readings for all the utilities. The

to a satisfactory standard. The

developer insures the buildings

handover meeting takes place,

until they have completed the

and the client is guided through

sale of them all and passed

the operation of the equipment

them on to the new owners.

installed in the extension. The

The contractor remains on site

Practical Completion Certificate

to work systematically through

is issued, along with half of the

the rectification list, with a view

retention monies.

to completing the items in five weeks. The design team return

The architect makes a

to site for an additional final

photographic survey of the

inspection once the works are

completed building for their

complete.

records. The contractor hands over the keys and agrees their final account with the architect, in the latter’s role as contract administrator. The client moves in and starts to use the building. After four weeks, the architect visits the client to check that everything is working as expected and to get some initial feedback from them on the performance of the building. It is working better than everyone expected.

18

STARTING STAGES 7, 0 AND 1

C

Refurbishment of a teaching and support building for a university

D

New central library for a small unitary authority

E

New headquarters office for high-tech internet-based company

The building reaches Practical

The client’s design team are

The client accepts the building

Completion, and the novated

retained for four weeks by the

from the management

design team issue a collateral

local authority to assist with

contractor, and commences

warranty in favour of the

ensuring that the building

the move from their old offices.

university. Because the design

is set up correctly for use.

The design team take a full

team only had a limited

In particular the mechanical

photographic record of the

involvement with the site

engineer is based on site

building at the point of Practical

works, their ‘As-constructed’

to balance the Building

Completion, and issue this

Information is issued as record

Management System (BMS)

along with their ‘As-constructed’

drawings of their tender

and ensure that the BIM model

drawings and models. These

information to the contractor,

is working in collaboration with

are subsequently used to settle

who updates them with

the BMS.

a dispute over damage created

information from their specialist

by the removal company

suppliers before issuing them

The client completes the book

installing the furniture in the

in their Health and Safety File.

stacking during the four-week

new offices.

operational readiness period, The design team agree with

and uses this time to learn how

The internet company’s

the client that they can return

the building is supposed to

maintenance team hold a

for feedback throughout the

work. The architect visits site

series of workshops with

rectification period, to obtain

regularly to brief the staff on

the design team in order to

useful information on the

the proposed operation of the

understand how the building

performance of their design.

building.

works. The targets for the

There is no direct commission

building’s performance in use

for this work, so the design

The contractor’s design team

are explained, and the architect

team must agree a retainer

issue collateral warranties to

and services engineer are

with the university.

the client for the work they

commissioned to undertake

have completed.

regular reviews of the building’s performance in use. The first report is due after three months’ operation, together with a rebalancing exercise on the BMS.

19

CHAPTER 02

STAGE 7 IN USE

Stage 7

In use Task Bar

Tasks

Core Objectives

Undertake In Use services in accordance with Schedule of Services.

Procurement

There฀are฀no฀specific฀activities฀in฀the฀RIBA฀Plan฀of฀Work฀2013.

Variable task bar

Programme

There฀are฀no฀specific฀activities฀in฀the฀RIBA฀Plan฀of฀Work฀2013.

Variable task bar

(Town) Planning

There฀are฀no฀specific฀activities฀in฀the฀RIBA฀Plan฀of฀Work฀2013.

Variable task bar

Suggested Key Support Tasks

Conclude activities listed in Handover Strategy including Post-occupancy Evaluation, review of Project Performance, Project Outcomes and Research and Development aspects. Updating of Project Information, as required, in response to ongoing client Feedback until the end of the building’s life.

Sustainability Checkpoints

•฀฀Has฀observation฀of฀the฀building฀operation฀in฀use฀and฀assistance฀with฀fine฀ tuning฀and฀guidance฀for฀occupants฀been฀undertaken? •฀Has฀the฀energy/carbon฀performance฀been฀declared?

Information Exchanges (at stage completion)

‘As-constructed’ Information updated in response to ongoing client Feedback and maintenance or operational developments.

UK Government Information Exchanges

As required.

CHAPTER 02

OVERVIEW This chapter is about Stage 7 In Use, which can be both the first stage in a potential project or the final stage in an existing project and is when:

•

An existing project is reviewed to improve use or review ongoing viability.

•

A building (or buildings) are reviewed to inform a subsequent Stage 0 for a potential new project.

The key purpose of this stage is to understand how well a building performs in use. It might also be to assess how well it met desired outcomes that established it as a project – and to learn and inform future projects of a similar, or related, nature. This chapter explains how Stage 7 links the circular process of the Plan of Work 2013, and is both the start and end of this circular process. The chapter sets out the different issues to consider in undertaking an In Use review of a project. Stage 7 is entirely about diagnosis and review; there are no design activities or tasks involved in it.

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

WHAT IS STAGE 7 IN USE? Stage 7 In Use is a renewed and substantially expanded stage in the Plan of Work 2013. It is unique in that it can be both the first and last stage of a project, depending on how it is used, completing the circular process of planning, designing, constructing and use over time. Stage 7 is the organised study and analysis of a building in use, and includes all aspects of that building and the uses taking place within it. At the end of Stage 5, the project moves toward independent life. At Stage 6, handover is completed and the client and users live and work with it. Stage 7 In Use is when clients and users, and project teams, discover:

•

How well the building supports the needs and desires of all its stakeholders.

• •

How easy and sustainable it is to operate, maintain and understand. Specifically, how well it accommodates the requirements of an organisation or, for example, the lifestyle of a family.

These are the true measure of the success of all the preceding stages, 0 to 6 inclusive – yet historically, and still all too commonly today, project teams are not engaged to return to projects post-Stage 6 unless there are specific claims or defects to resolve, or externally set performance targets. Indeed, it would seem that few clients ever assess or analyse how well their building performs for them or benchmark it against the objectives they had for it at the outset. Stage 7 addresses this disconnection. Stage 7 is also when the long-term cost and function of a building is assessed, which in turn affects its viability in terms of whether:

• • •

It is still suitable for the stakeholders. It is sustainable. It offers value in operation.

Such assessment critically informs work on Stage 0 Strategic Definition, whether used to inform a new project or to assess the ongoing viability and purpose of an existing building. It is when critical questions are asked, such as:

24

STAGE 7 IN USE

• • • •

Can or should the building be modified? Can or should it be refurbished? Can or should it be repurposed? Is it time to demolish?

The stage provides robust real-world evidence, allowing clients and project teams to make better-informed decisions. Because it is running during the entire life of a building, Stage 7 is the longest stage. Over such a period, much can be learned; this should be recorded as asset information and also used for Research and Development. It constitutes a review of the building in the form of building performance evaluation (BPE) correlated with an assessment of the impact on user wellbeing and use effectiveness. For example, it could reveal that a building is very energy efficient yet the users are frequently uncomfortable. It is important to understand both how the building is performing and how well it is supporting the needs and desires of its users and operators. BPE focusing on internal environmental quality and energy have been undertaken for a number of years. The Building Services Research and Information Association (BSRIA) runs the initiative supporting a specific process called Soft Landings for the design, construction and commissioning, and the initial period of operation, of building-services systems. Stage 7 provides the opportunity to integrate this proven effective process into the wider review, study and analysis of a building in use, which includes all aspects of the building and the uses occurring within it.

THE CIRCULAR PLAN OF WORK What is learned at Stage 7 is valuable, both to improve the operation and use of an existing building (feedback, following Stage 6) and to inform a new project (feedforward, informing Stage 0). This is how Stage 7 forms the link in the circular RIBA Plan of Work 2013; it deals both with going forward and reviewing what has gone before.

25

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

WHAT HAPPENS AT STAGE 7? Although Stage 7 applies to the entire useful life of a building this does not necessarily mean constant activity. Rather, it is likely to comprise targeted interventions at specific intervals, although data on aspects of building performance may well be collected constantly. When undertaking a Stage 7 process, one of the first activities is to develop and agree what such targeted interventions will review, at what frequency, and what data is or could be made available and for what purpose. For example, on a domestic property this might involve reviewing energy use and comfort levels over changing seasons, whilst in a large, complex building such as a hospital, it would involve assisting and informing the facilities-management team who operate the building for the benefit of medical users and patients alike.

F E E DFO RWAR D

FE ED CK BA

2.1 Feedback and feedforward are rooted in Stage 7 and converge in Stage 0.

26

STAGE 7 IN USE

The tasks and activities undertaken during Stage 7 are generally the same whether they are performed at the end of a project or to inform the start of a new project, however context for these changes dependent on whether they are performed after Stage 6 or before Stage 0.

Stage 6 into Stage 7 Stage 7 should not be confused with the commissioning and handover implemented in Stage 5 and completed in Stage 6. The Handover Strategy established and implemented in Stage 6 must be concluded and the Project Information completed such that the building can be optimally operated and used. This is the starting point for Stage 7. Used in this way, the primary purpose of activities in Stage 7 is to provide feedback.

FEEDBACK Feedback occurs when the outputs and outcome of a building project are ‘fed back’ as inputs of a review of cause and effect that forms a circular process. Refining and fine-tuning the operation of a building project can be seen as feedback into itself: examining why something happened, and what happened as a result.

BUILDING PERFORMANCE EVALUATION Building Performance Evaluation (BPE) is a form of PostOccupancy Evaluation (POE) which can be used at any point in a building’s life to assess energy performance, occupant comfort and make comparisons with design targets (source: BSRIA).

27

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Stage 7 into Stage 0 Stage 7 can also be used to provide information and evidence for Stage 0 Strategic Definition and Stage 1 Preparation and Brief. This may relate to a client’s own building or operations, or to those of others. In this use, the primary purpose is to feed forward into new projects. This is informed by the review and analysis of a similar operation, activity or building, and is likely to include a review of:

• • • •

• • •

The procurement strategy for the design team and the contractor. Construction methods. Capital costs versus operational cost. How it is performing, or has performed, in use:

~ ~ ~

Efficiency. Functionality. Environmental performance.

Levels of user satisfaction. Maintainability. Durability of materials and engineering systems.

In this context, Stage 7 data is collated and analysed for use in Stage 0.

FEEDFORWARD Feedforward is a method of briefing that illustrates or indicates a desired future outcome. Feedforward provides information and data about what a project could do correctly in the future, based on review of previous or immediate experience, either in contrast to what one has been done in the past or to repeat or improve upon. The feedforward method of briefing is informed by feedback, thereby understanding why something happened and what actually happened. It may be decided to plan for repeating that outcome, or to develop a plan for what needs to happen to provide a different outcome.

28

STAGE 7 IN USE

WHAT DO WE MEAN BY A ‘BUILDING IN USE’? Initiatives such as Soft Landings and CarbonBuzz (both explained later in this chapter) highlight issues of the performance gap between buildingsystems targets and the actual energy consumed. Stage 7 takes an even wider view of the issue, and looks at all aspects of a building’s performance and its users, taking a whole-system approach. A building in use can be understood and described as a ‘complex adaptive system’.

SOCIETY

MEANS

WHOLES HEALTH SYSTEM

HOSPITAL ARCHITECTURE & BUILDING PHYSICS

DEPARTMENT NURSE NEEDS

PARTS

2.2

INDIVIDUAL

A patient-centric hospital viewed as a complex adaptive system showing the factors influencing its performance.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

COMPLEX ADAPTIVE SYSTEMS Complex adaptive systems are defined as ‘complex macroscopic collections’ of relatively ‘similar and partially connected microstructures’, such as similar rooms or spaces in a building. In the case of a building in use at a macro scale, this comprises the architecture, the building services and the occupants who use and operate it. Such a system is complex because these combined elements form an ever-changing network of interactions; the relationships between each are not simple aggregations of the individual, static entities; rarely can one aspect of a building system be considered without appropriate consideration of all others. People in buildings are adaptive in the way that individual and collective behaviour changes and reorganises itself in relation to how the building influences what they do and how they interact with it.

For example, many domestic environments are controlled with simple thermostats and heating systems turned on and off by a timer clock. Such simple systems have no direct connection with external environmental conditions or variations in occupancy and user behaviours. A colder than expected morning could mean that occupants wake to a cold house, so they adjust the thermostat. During the day, temperatures return to seasonal norms but the thermostat is not adjusted back, and the following morning the home is too hot. Thermostats are not designed to be used as a switch, yet frequently they are used as such. Such reactive actions can all too easily trigger a chain of unintended consequences, impacting users’ comfort, wellbeing and the real and perceived effectiveness of a building. At the time of writing, we are entering the era of the Internet-of-Things, Sensors, Big Data and Machine Learning. The ways in which people interact with buildings is changing fast, both at the scale of ‘smart buildings’ and ‘smart cities’. These technologies enhance insight and understanding of how buildings work ‘in use’, making analysis and responsiveness easier, and improving insight into actual human behaviour through both quantitative and qualitative data. As these technologies become ever more pervasive, so will the insight available from data and the potential impact of Stage 7, from its application to a family home through to the most complex of buildings.

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DEFINITIONS Internet-of-Things (IoT) is the interconnection of digital devices within the existing internet infrastructure. Typically, IoT is expected to offer advanced connectivity of devices, systems and services that goes beyond machine-to-machine (M2M) communications. In a building, this would, for example, mean that every aspect of a Building Management System (BMS) would also be linked with the business systems used by the occupant company. In a domestic environment, it could mean ‘smart’ thermostats, which learn occupants’ behaviours and preferences, that are connected to weather forecasts and live, external environment conditions. Sensors will detect many factors of a building system in use, offering bi-directional information triggering automatic system adjustment and reaction in real-time or even proactively. Sensors in this context would be integral to an IoT environment. Big Data is an all-encompassing term for any collection of large data sets that were once difficult to process. Recent advances in computing power allow such data to be processed – and at super-efficient speeds. Such data is characterised by being:

• • •

Large to enormous in volume. Typically very varied in nature. Often available at a near real-time velocity.

Big Data is already being used to better understand and predict traffic and pedestrian flows, to inform retail, enhance web browsing, to better manage and predict emergency rescue situations and even to predict aspects of human behaviour. There is no reason that similar solutions should not soon emerge for the better management and operation of buildings. Machine Learning is a scientific discipline exploring the construction and study of algorithms that can ‘learn’ from data. Such algorithms operate by building a model based on inputs and using that to make predictions or decisions, rather than following only explicitly programmed instructions. In the example of the smart thermostat, this means that requesting a higher or lower temperature will not directly control a heating system. Rather, it will inform the home system of the occupants’ desire to be warmer and then make an intervention based on all available Big Data from Sensors connected in a system of IoT – in turn, learning the occupants’ preferences and providing more consistent and optimal levels of comfort.

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THE PERFORMANCE GAP: WHY DON’T BUILDINGS perform in use as indicated in the brief?

The performance gap is when a building’s performance is not that predicted during design. This can manifest itself in a variety of ways, but some of the most obvious include unexpectedly high utility costs and fluctuating, uncomfortable internal environments. Some matters will have become evident and been resolved during stage 6, but others may not show up until later and can persist for much of the life of a building. Performance gaps that relate to specific Project Outcomes not being optimally met may negatively impact on productivity in an office building, learning in a school or wellbeing in a home. Such gaps will almost always only become apparent over time, or indeed may not be apparent until specific studies or a review are undertaken. During Stages 0 and 1, a building users’ needs are established. During Stages 2 or 3, when the project team develop design solutions to meet these needs, a cause of subsequent performance gap can manifest itself from decisions made without reference in-use data. Problems may appear later, in Stages 4 and 5. Value engineering by contractors or subcontractors can have a major effect on system efficiency and ease of use. What appears to be a saving on capital expenditure can (and, all too often, does) result in a building that may have been cheaper to construct but is significantly more costly to run and/or negatively impacts on the users and erodes the value of the Project Outcome that caused it to be built in the first place. Stage 7 addresses this gap through feedback review that reveals the cause of performance gaps in buildings in use. It can address problems in an existing building – or, as feedforward, inform future projects. Therefore, to mitigate performance gaps Stage 0 and 1 should always be informed by Stage 7 evidence. Then all subsequent decisions during design and construction should be made with this knowledge and insight. Doing so will firstly avoid repeating known performance-gap-inducing decisions and, as the Stage 7 knowledge base grows, result in better-performing buildings that are Project Outcome focused.

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STAGE 7: THE VALUE FOR CLIENTS Stage 7 provides value for clients because it helps them understand how their asset is working for its intended purpose, through insight and knowledge of how well their building works and how best to operate and use it. A continual, regular review process can greatly assist a client in understanding the effectiveness and appropriateness of a building to support their and the building users’ needs and wants. It assists betterinformed decisions, whether a client is considering a new project or looking to ensure optimal Project Outcomes from an existing building.

VALUE LOST

2.3 If Stages 0 and 1 are done poorly or inadequately, resultant costs are likely to rise and be unpredictable – with a resultant loss in value.

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Deciding to start a new project and to progress beyond Stage 0 is a big step that involves considerable financial commitment, and the expenditure of time and resources. Good Stage 7 information provides the evidence to support sound decisions and helps ensure the decision is made and the information informing those decisions is comprehensive and robust. The best decisions are made with the best information.

VALUE GAINED

2.4 If Stages 0 and 1 are done robustly, resultant costs are appropriate and as planned – with a resultant net gain in value.

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SYSTEM CONTROL INTERFACES Regardless of the scale or complexity of a building and the associated building-services systems, it need not be complicated to operate. A frequent problem, especially in buildings with complex environmental requirements, is that systems-control interfaces are too complex for the operatives involved, and as a result do not get used to full efficiency. Stage 7 can be instrumental in identifying this, developing retrospective interventions as appropriate and, most significantly, avoiding the issue arising again in subsequent projects.

During a building’s lifetime, the Stage 7 value lies in optimising and refining its operation to best suit the client’s Project Outcomes and their ongoing and potentially evolving requirements. Such knowledge should be captured in the evolving asset information (based on the previous Project Information), which over time will become ever more valuable to building owners, operators and users alike. Asset information can greatly assist with ongoing maintenance, repairs or substantiating warranty issues in addition to scheduled routine cleaning, maintenance and replacement regimes. It is conceivable that, just like a second-hand car that has been maintained and serviced regularly retains more value than one that has not, the same will be the case for a building. Hence, Stage 7 also is the correct and logical point of reference for financial decisions about the relationship between capital and operational expenditure, and for assessing the true value of a building.

THE VALUE OF STAGE 7 TO ONE-OFF CLIENTS Many building projects are the first (and often only) project a client will undertake. In such cases, the value of Stage 7 lies in bringing knowledge and information from related projects, either through specific study, from the designers’ own database or from the ever-growing sources of data available both in written form and online, such as CarbonBuzz.

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STAGE 7 IS NOT AN ENTIRELY NEW STAGE Prior to the Plan of Work 2013 this post-project work stage existed as Stage L ‘Post Practical Completion’. This consisted of:

•

L1 - Administration of the building contract after Practical Completion and the carrying out of final inspections.

• •

L2 - Assisting the building user during the initial occupation period. L3 - Review of project performance in use.

However, in practice the main focus of this stage was contractual, and was undertaken by a contract administrator without the input of designers or other members of the project team who had been involved in the briefing or design stages of a project. Stages L2 and L3 were, all too often, token gestures – if done at all. Certainly, it was uncommon for output from these stages to inform subsequent projects. Much of the former stage L1 is now within Stage 6. L2 is effectively the transition from Stage 6 into Stage 7, which builds upon and expands the former Stage L3.

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WHO IS BEST PLACED TO UNDERTAKE STAGE 7? Stage 7 is client- and end-user-focused, comprising the study, analysis and diagnosis of a building in use. As the awareness and benefit of the value of Stage 7 grows, the diversity of experts involved is likely to expand – along with a growing interest and willingness of Stage 2–6 project teams to proactively engage in Stage 7 activity. Expertise in architecture and building physics is necessary, but those professions with understanding of human behaviour, both physiologically and psychologically, are becoming increasingly relevant. As Big Data becomes more prevalent in buildings, experts in data collection and processing will also be likely members of the project team for Stage 7.

ENGAGING IN STAGE 7 ACTIVITY Anyone involved in the design and construction of buildings should, and can, meaningfully engage in Stage 7 activity. What is required is a shift in emphasis from ‘problem solving’ through design and construction to one of the ‘diagnosis’ of cause and effect. The willingness and participation of the building users is critical, but equally important is the necessary shift in industry attitudes to properly learn from previous projects and to embed that learning in subsequent projects.

Although it is typically a client who will instigate and support Stage 7 activities, there is huge opportunity for project teams to offer periodic review of a building that they designed and constructed. Such reviews provide valuable material for Research and Development, promote ongoing client relationships and may well lead to future project opportunities.

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The client and users are therefore at the heart of this stage, and it cannot be undertaken without them. Clients may set the agenda for Stage 7, but in many cases they will need support and advice to get the best from this stage and to understand the tools and methods most appropriate to their circumstances and needs. Services provided by a project team or specific advisors should be provided in accordance with the Schedule of Services, agreed as early as possible in the project. There are many different types of client, and an even greater diversity of building types and users. Who or what a client is – an individual or an organisation – and the end users that their building accommodates will determine the services appropriate at Stage 7. Sometimes this work is carried out in-house within the client organisation, at other times it will need other project team members. It is vital to have a clear understanding of some of the challenges and activities that building owners and operators face. For instance, the client at Stage 7 might be:

•

The end user of the building or project (eg a householder or a business).

•

An individual or an organisation wishing to develop a building for the use of others (a developer).

•

The owner of a site wanting to find a viable and deliverable use for it (a landowner).

On a domestic project, the owner-occupier will undertake the vast majority of Stage 7 tasks personally – but may require, and will certainly value, support and advice from their project team. There is an ever-growing availability of IoT devices, such as smart thermostats, that allow households to better operate and control their environments to suit their needs. Energy suppliers are also providing such technologies as an incentive to existing and new clients.

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SMART IoT DEVICES Smart IoT devices were a nascent market only a few years ago, but today are experiencing exponential growth. Such devices are very likely to have a huge long-term impact on building users’ understanding and expectations of the environments they live and work in. Design Team Members would be well advised to familiarise themselves with these devices and technologies; advising on and understanding ‘smart buildings’, and especially ‘smart homes’, is both a real opportunity and likely near-future everyday expectation.

As the task of operating and maintaining a larger building has become more complex and time consuming the discipline known as facilities management (FM) has evolved. By definition, FM is the practice of coordinating a physical workplace with the people and work of an organisation. It integrates the principles of business administration, architecture and the behavioural and engineering sciences. The opportunity offered by Stage 7 here lies in linking the skill and knowledge of those who operate and manage a building with those who design and construct it.

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WHAT ARE THE CORE OBJECTIVES OF STAGE 7? The core objectives of this stage are to undertake comprehensive building-performance evaluation (BPE) combined with Post-Occupancy Evaluation (POE). Both are tried and tested process methodologies that are instrumental in undertaking Stage 7. BPE typically focuses on the performance of the whole building understood through a study and review of its constituent systems, with an emphasis on building physics. Conversely, POE focuses more on building operators and users and their perception of building operation, and how well it supports their needs and aspirations. Both of these methodologies have individual merit run separately; however, the greatest possible value from Stage 7 is achieved through their combined use. For instance, a BPE might be commenced during Stage 6, with the findings then used to inform a POE run later in Stage 7. Equally, in feedforward scenarios both are valid methodologies for collecting and analysing information to use at Stage 0 Strategic Definition and Stage 1 Preparation and Brief. The specific in-use services that will be defined in the Schedule of Services will depend on the scale of project and building, and also on whether the form of procurement or contract includes for in-use status. Such services will also be aligned with operator and user experience, ranging from simple homeowner to FM team in the case of a complex building with many diverse users, such as a large office, university or hospital.

POST OCCUPANCY EVALUATION Post Occupancy Evaluation (POE) is the process of obtaining feedback on a building’s performance in use. POE is valuable in all construction sectors, especially where poor building performance will impact on running costs, occupant well-being and business efficiency. (source: BRE)

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PROCUREMENT ISSUES, THE PROJECT TEAM, CONTRACTS Rather than (merely) commission the design and construction of a building or simply renting a building based on floor-area rate or location, certain clients and end users are seeking procurement of assured Project Outcomes. Although still a nascent market, procurement is changing to support this process, leading to more performance-related clauses in building contracts, a preference for payment structures based on demonstrable performance, and a greater emphasis on ongoing FM contracts. This could lead to the emergence of more forms of design-build-finance operate (DBFO) contracts. It is also possible that, in the near future, the built-environment ‘market’ will shift towards procurement of service or Project Outcome in preference to commissioning the design and construction of a building – or that, when procuring a building, the emphasis will be on the value derived during Stage 7 In Use.

SERVICE-BASED PROCUREMENT Is where a client is buying specified outcomes rather than specified products. For example future healthcare could see a shift toward procurement of assured healthcare outcomes rather than a specific building typology. An example of a new market where this is evident is Google being the third largest manufacturer of servers, yet they sell none. An example of an evolved market being Rolls Royce who continue to manufacture jet engines but sell ‘thrust’ rather than the engines themselves.

In Design and Build Financial Operative (DBFO) projects and similar schemes, much of the building management and operation is not the direct responsibility of the user. A main contractor, as part of a special purpose

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vehicle (SPV), takes on the management for many years after completing the design and construction. This means that all the decisions about what the client expects and needs from a well-managed building will have to have been set down and planned in Stages 0 and 1. Doing so should enable clients to make an informed choice of SPV to carry out all aspects of the project, and if done robustly and comprehensively for an SPV to clearly understand the client’s expectations during resultant Stage 7. Therefore for this form of procurement, the circular relationship of Stage 7 into Stage 0 and 1 is particularly valuable. Indeed, in such procurement methods Stage 7 becomes a contractual obligation. The operation of all but the smallest buildings and individual domestic properties will require some degree of facilities management for day-today operation, and ongoing repair and maintenance. It is not the purpose of this book to provide guidance on building operation or FM. However, an awareness of the nature and diversity of tasks and activities that comprise typical FM processes can be useful in understanding the Stage 7 In Use context.

RESPONSIBILITIES FOR BUILDING OPERATION AND FACILITIES MANAGEMENT Space management This is a comprehensive system for centralising and storing realtime information about the building(s) and space to be managed, along with the groups and people that will occupy them. Strategic (organisational) planning Strategic planning within an organisation aims to anticipate and accommodate changes in the market, such as global expansions, workforce reductions and/or use of contract workers. Asset management This enables the ability to track multiple classes of assets – office equipment, furniture, laboratory apparatus, or corporate artwork. Assets can be linked to BIM databases, with location, ownership and access to product information. The system can be integrated with other systems, barcodes or enterprise resource planning (ERP) systems. example box continues opposite ↗

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RESPONSIBILITIES FOR BUILDING OPERATION AND FACILITIES MANAGEMENT continued Real-estate portfolio management Relevant to portfolio-holding clients, this is a way to view properties, floor areas and other building information within an organisation, giving management the tools and resources to make decisions and reduce costs. Lease administration This centralises all lease information for both owned and leased properties, enabling lease data to be shared within an organisation. Move management This process can manage the move of one or more employees within an organisation as well as co-locating a cross-functional group or reorganising an entire location, while delivering better customer benefits through a reduction of move costs and improved service. Project management FM or other building maintenance teams use project management methodologies in order to operate on time and budget with facilities projects. Key concepts and deliverables within this form of project management (as distinct from, but with clear similarities with the project management required in Stages 2–6). Preventive maintenance Preventive maintenance, scheduling and work orders enable staff and organisations to extend the life of equipment by keeping an inventory and detailed history of the building equipment – both HVAC (heating, ventilation and air conditioning) and MEP (mechanical, electrical and plumbing) – and the associated maintenance requirements. Project and Asset Information forms the basis for maintaining an inventory of building equipment with maintenance and cost history.

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THE PROGRAMME DRIVERS FOR STAGE 7

2.5 A truer representation of the stages’ correlation to actual time.

It is unrealistic to consider that a Project Programme would span the entire useful life of a building, as typically this will be decades in duration. However, it is entirely appropriate that the transition from Stage 6 into 7 establishes the basis for a Stage 7 regime of review and Feedback at planned key intervals – for example, one year into stage 7 and again five years later. Equally, a Stage 7 review could be instigated because of a desired change of use or change in a user’s requirements. Therefore, a Stage 7 programme will often evolve and develop during the life of a building in response to the needs of the owners, operators or users. The exceptions are PFI and DBFO contracts, which will necessarily have specified contractual Project Outcomes for Stage 7 over defined timescales as discussed earlier in the context of the DBFO.

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FEEDBACK SESSIONS Feedback sessions involving the project team are becoming more established, and are proving very valuable to many organisations – client, design and construction alike. They may take the form of regular or one-off workshops. These seek to identify the best aspects of the Project Outcome, in both process and product, and to identify things that did not work well – not in order to apportion blame, but to correct mistakes where possible and to avoid repeating them in future projects

When Stage 7 is being used to inform Stage 0 for a new project, information might be obtained from a building with a review and Feedback regime in place or a regime might be implemented in a building to assess its viability or performance. Such a study could be done over as little as a period of weeks, but could easily be over months or even years. Stage 7 data can also be sourced from online resources such as CarbonBuzz.

CARBONBUZZ A free, online platform for comparing the design and operational energy performance of a variety of building types, jointly developed by RIBA and CIBSE (the Chartered Institution of Building Services Engineers).

As Stage 7 links the circular process of the Plan of Work, it can be either the start of a Project Programme or the conclusion of one – or, indeed, both.

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ARE PLANNING ISSUES RELEVANT AT STAGE 7? Most planning issues will be resolved long before a building is in use, but, increasingly, projects are required to demonstrate that they have achieved the performance standards that were required by the planning approval process. These requirements will often be set out in planning conditions or in Section 106 legal agreements related to planning approval. In order to fulfil these requirements, data and performance information will need to be collected and presented in an appropriate form. Common areas in which performance may need to be monitored for planning purposes include:

•

Energy performance – demonstrating in use that the building is achieving the standards that it set out to, and that were agreed.

•

Travel plans – checking that agreements that encourage sustainable modes of transport are in place.

•

Phased projects – where the outcomes of one phase affect what needs to be delivered in subsequent phases, or where standards or planning policy may have changed; for example, on housing projects this may include unit numbers, mix or tenure.

It also worth ensuring that all planning conditions have been discharged and that legal obligations are, and continue to be, complied with. Some of these will require action well after the building or project has been handed over and is in use.

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THE KEY SUPPORT TASKS AT STAGE 7 Post-Occupancy Evaluation Following user occupation, it is important to check whether the Project Outcomes, as established in Stages 0 and 1, have actually been met. Measuring and evaluating against the Strategic, Initial Project and Final Project Briefs is an important part of checking that the Business Case has been met, and it may well be a condition of funding or planning. Such measurements should not be restricted to purely building-specific systems such as meter readings but, critically, should also include the activities of the building users and their wellbeing. Examples of POE questions for different building types include:

•

Is the school achieving the intended educational and behavioural outcomes?

•

Is the new sports facility helping to meet sport-development goals as planned?

•

Is the new headquarters office allowing the company to expand and develop as necessary?

•

Have the low-energy-use targets been attained in operation, so that the display energy certificate (DEC) information can be verified?

These questions cannot be fully answered in the first few weeks of a project, or by looking at operations on a superficial level. They can only be addressed by implementing an effective Stage 7 process that is related to the specific Project Outcomes and Project Performance. Studies could require a building to go through a full year of seasons or to have completed specific series of activities, such as a school term or academic year or production or processing of the product of an organisation. A house designed to accommodate the needs of a growing household will potentially take years to demonstrate and realise its full potential.

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On simpler projects, such as a single family home, POE can be carried out using basic, informal questionnaires. On larger and more complex schemes, a range of specific, focused and structured tools such as Building Use Studies (BUS) methodology or the Construction Industry Council’s (CIC’s) Design Quality Indicators (DQI) are best deployed. Questions about user satisfaction, energy efficiency, space efficiency and whether the procurement process gave value for money all need to be measured differently, with specific tools and techniques. Knowing which to use and how is becoming a specialist area of expertise, with a growing number of consultants developing and offering specific BPE and POE services.

DEFINITION Building Use Studies Methodology (BUS) A standardised approach to BUS aims to provide feedback on how well a building and its systems are performing from the users’ perspective. The analysis of surveyed information is benchmarked against other buildings that have also carried out BUS, therefore allowing for useful comparisons of different performance metrics. The BUS methodology can be a valuable tool for discovering and understanding comfort problems within buildings. Design Quality Indicators (DQI) These can be applied to any project, and are very useful at Stage 7. Whether or not it was used earlier in the project to define design objectives, it can be used now to assess how well the building is performing under each of the categories.

Project Performance Project Performance is, in essence, a measure and assessment of both how well the building is working in use and how effective the processes of developing that building through Stages 0 to 6 were in achieving that outcome. How this Project Performance is shaped and presented will depend on who is using it and at what stage – from a project team

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reviewing their performance to a client assessing the viability of a building, to a client and project team jointly gathering evidence to inform Stage 0 for a new project.

Project Outcomes Project Outcomes are, in essence, what you get once the building is complete and in use. At Stage 0, the desired Project Outcomes are established; at Stage 1, this is translated into a brief that drives and informs Stages 2 through to 6. It is at Stage 7 that you learn how well this was done, and what could be learned to ensure that subsequent projects are as good or better.

Research and Development Stage 7 provides a rich source of information, data and insight for the Research and Development of better building systems, designs and technologies. Through accessing existing Stage 7 information or specifically seeking new Stage 7 information, much can be learned about how buildings actually operate in use, allowing Research and Development of new and improved methods of procurement, design, construction and operation. In both healthcare, education and the workplace, studies have been carried out exploring the impact and effectiveness of these environments in-use. Where this becomes most valuable is when it is applied to subsequent project in Stage 0, 1 and onwards.

Asset information At Stage 7, Project Information becomes asset information, and should be continually updated throughout a building’s life. This will inform future changes and interventions, and allow for refinement and fine-tuning of operation. Updating the information can be an ad hoc or structured process, to suit the needs and requirements of the client or users. As Sensors and Big Data become ever more pervasive, information (data) will be collected constantly, with algorithm-driven machine learning updating asset information dynamically. Clients will benefit from maintaining and regularly updating asset information in order to better understand their buildings and to inform future building projects; project teams will benefit from enhanced design and construction knowledge; and building operators from better insight into repair, maintenance and operation strategies that are evidence based.

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TOOLS AND TASKS THAT SUPPORT BPE AND POE For BPE and POE activities, there is an ever-growing number of methodologies, processes and tools. Some of the more established and common include:

•

Focus groups, exploring the specific experience of user groups or activities.

•

Monitoring of organisational activities (how well is the organisation able to perform its business in the building?).

•

Observation of use patterns, including use of sensors for detecting patterns of use.

•

Tracking the project’s successes and failures, using methods including social media.

•

Matching areas used for different activities to those planned at Stage 1.

There are several established tools and methodologies, including;

• • •

• • • •

BSRIA Soft Landings. BUS (Building Use Studies) Methodology (ARUP). Specific BPE energy tools;

~ ~ ~ ~

TM22 Energy Assessment and Reporting Methodology (CIBSE). TM31 Building Log Book Toolkit (CIBSE). TM39 Building Energy Metering (CIBSE). Model Commissioning Plan (BSRIA).

Design Quality Indicators (CIC). Key performance indicators – KPIs. CarbonBuzz (RIBA and CIBSE). BRE Environmental Assessment Method – BREEAM (Building Research Establishment).

•

Leadership in Energy and Environmental Design – LEED (US Green Building Council).

As with Stage 7 itself, BPE and POE constitute an evolving and growing area of interest and specialism; they will continue to improve, and new tools and approaches will emerge.

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DEFINITIONS Model commissioning plan A guide to developing a comprehensive commissioning plan that aims to ensure that relevant commissioning takes place and is recorded correctly. Key performance indicators (KPIs) KPIs are simple numeric metrics of energy usage or observed building characteristics that can be associated with better or worse performance. Much like KPIs in other business organisations, these are intended to yield the best information for the least cost and analysis time. This process helps to keep energy usage as low as possible by providing specific KPI feedback to those who influence energy usage. Ideally, KPIs allow:

•

Designers to better understand the impact of their design choices as distinct from operator or occupant choices.

•

Designers and owners to have a simple framework to reference when defining requirements for energy-monitoring equipment and analysis for their new or existing building project.

•

Building operators or building auditors to have standard KPIs to assist.

•

Tenants or owner-occupants to compare their energy use against other, similar spaces in order to determine their impact on the overall building energy use.

LEED LEED is a set of rating systems for the design, construction, operation and maintenance of ‘green’ buildings, homes and neighbourhoods.

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BSRIA Soft Landings Soft landings merits specific reference; it was developed, by BSRIA, primarily for the design, specification, commissioning and operation of building-engineering systems, such as heating, cooling and lighting. BSRIA runs the Soft Landings initiative, developing and publishing the official guidance and arranging training. The Soft Landings process mapped to the Plan of Work starts in Stage 1 and continues into Stage 7 but is commonly known in Plan of Work terminology as the Handover Strategy. The process enables design engineers and constructors to improve the operational performance of buildings and provide valuable feedback to project teams. Soft Landings also requires designers and constructors to remain involved with buildings beyond Stage 6, to assist the client during the first months of operation and beyond, to help fine-tune and debug the systems, and to ensure that the occupiers understand how to control and best use their buildings. In essence, Soft Landings involves:

• • • •

Achieving greater clarity at the inception and briefing stages about client needs and required outcomes. Placing greater emphasis on building readiness, by designer and constructor having greater involvement during the pre-handover and commissioning stages. A resident Soft Landings team located on site during the users’ initial settling-in period. Remaining involved after occupation, during and beyond the defects liability period to resolve outstanding issues.

Soft Landings requires designers and constructors to spend more time on constructive dialogue with the client, and in setting expectations and performance targets on energy and end-user satisfaction. During Stage 7, Soft Landings typically envisages continued involvement by the client, design and building team over a three-year aftercare period. This can greatly assist the operators to get the best out of a building; it also is an ideal framework from which to establish a whole-building-life regime of review and Feedback from users and operators alike. The Soft Landings process allows everybody involved to benefit from the lessons learned from occupant-satisfaction surveys and energy monitoring. The worksteps in Soft Landings enable operators and users to spend more time on understanding interfaces and systems before they occupy the building. The designers and key contractors are tuned to understand and support the end users in the critical, early period of occupation. Adopting the Soft Landings approach is an excellent basis for longer-term Stage 7 activities.

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THE BENEFITS OF RESEARCH AND DEVELOPMENT Stage 7 is the ideal time for project teams to learn how well their projects have worked. Through research on a building in use and analysis of Project Performance, very valuable Feedback can be acquired. Such activities are not only hugely valuable in understanding what worked well and what could be improved on a subsequent project, but also present one of the best ways for more junior and less experienced members of any project team to understand the impact and effect of their actions during Stages 2 to 6. The process can also have a very real and positive benefit in fostering ongoing client relationships. Any client who sees that their project team has a continuing interest and commitment to the building that they designed and constructed is very likely to consider that team favourably for any subsequent projects. Project teams can also learn much about their own performance, how well they communicated and responded to the needs of each member of the team and, most especially, to the client. Such research could lead to the development of new and preferred working methods that the team and clients can benefit from on subsequent projects. Equally, by providing information to internet portal sites such as CarbonBuzz, the whole industry has an opportunity to research and develop better methods and solutions through the study and analysis of buildings in use.

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SUSTAINABILITY CHECKPOINTS at Stage 7 Stage 7 is when you find out and understand just how sustainable a project actually is. At this time the impact of holistic sustainability – which includes social, economic and environmental factors – can be fully assessed. When setting the sustainability aspirations of a building during Stage 1, much can be learned from Stage 7 information from previous projects.

SOCIAL

BEARABLE

EQUITABLE HOLISTIC SUSTAINABILITY

ENVIRONMENT

ECONOMIC VIABLE

2.6 Holistic sustainability unifies factors of society, economics and environment.

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STAGE 7 IN USE

Stage 7 is where the effectiveness of all the previous stages is fully understood. The building is in use, and its performance, effectiveness, value and overall ability to support the project outcomes defined at Stages 0, 1 and 2 can be confirmed, measured and assessed, providing the fullest indicator of whether or not it is sustainable. This Stage 7 information is also a vital source of data for subsequent Stage 0 activities on new projects or opportunities. This could be through specific study of existing buildings, from a client’s property database, from a project team’s individual or collective knowledge base, from professional-institute databases or from open public sources such as CarbonBuzz and BREEAM. Sustainability measurement during Stage 7 assists clients in bringing environmental performance and financial impact into balance – on, for example, managing critical information; energy performance; water usage; or energy-specific retrofits. Sustainability measurements could include:

•

Analysis of building environmental impacts (energy, water, greenhousegas emissions, recycling, waste and others).

•

Integration with the display energy certificate (DEC), to calculate carbon footprint and energy-use costs.

•

Forecasting the project’s financial impacts (net present value, internal rate of return, return on investment, payback period) and environmental impacts.

•

Structured building assessments and certifications using rating systems like those offered by LEED or BREEAM.

•

The participation of both occupants and management in the understanding of and access to sustainability information.

55

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

INFORMATION EXCHANGES Who needs to know about the outcome of Stage 7? Information Exchange at Stage 7 for a specific building will occur between client, operator and end users, the project team responsible for both the design and construction and any ongoing Stage 7 services. Through portals such as CarbonBuzz, exchanges are occurring within the construction industry at large, and ultimately with the whole of society. It is not overstating the case to say that Stage 7 is the most important stage in the Plan of Work 2013 because of its ability to influence and shape the evidence used to operate existing buildings, and also to shape the briefing of new ones. It is both the start and end of the process of delivering the most holistically effective built environment possible. During Stage 7, the ‘As-constructed’ Information will, in all likelihood, be updated and refined to suit the needs of in-use building operation, becoming, in the process, asset information. This is the case whether we are talking about 2D CAD drawings or a more comprehensive Building Information Modelling (BIM) database. In the same way that BIM is impacting on Stages 2 through 5, information technologies systems are relevant to Stage 7 in the form of computeraided facilities management (CAFM). CAFM systems can provide much information and data for Stage 7.

56

STAGE 7 IN USE

COMPUTER-AIDED FACILITIES MANAGEMENT (CAFM) CAFM systems assist organisations with meeting their compliance obligations through ensuring that assets are inspected, tested and certified in accordance with statutory and corporate regulations, rules and best practice, and that corrective actions are taken to correct any faults. Records are maintained, and can be readily located and made available for inspection. Typically, they track and maintain the following core facilities items:

•

Strategic organisational planning – real estate, business operations, headcount requirements and forecasting future space.

•

Space planning and management – allocations, inventory and classifications.

• •

People management – occupants, vendors and staff. Maintenance management – demand and scheduled (preventive maintenance).

•

Emergency management – disaster planning and recovery, safety information.

•

Capital project management – construction/renovation and move management.

• •

Lease management – property financial data. Asset management – depreciation, equipment, furniture, telecommunications and cabling.

•

Building Information Modelling integration – interaction with other programs.

•

Sustainability – energy performance, building certifications and sustainable projects.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

UK Government Information Exchanges The UK Government (UKG) has a strategic objective to achieve Level 2 Building Information Modelling (BIM) on all public-sector asset procurement, with equal applicability to private-sector building, infrastructure, refurbishment and new-build projects. Publicly Available Specification (PAS) 1192:2 specifies an information-management process to support BIM Level 2 in the capital/delivery phase of projects, setting out a framework for collaborative working on BIM-enabled projects that relates to Plan of Work Stages 2–5. Particularly relevant to Stage 7 is PAS 1192:3 – Specification for information management for the operational phase of assets using building information modelling.

PAS 1192:3 PAS (Publicly Available Specification) 1192:3 is a partner to PAS 1192:2 Level 2 BIM that sets out a framework for Project Information management for the whole life cycle of asset management. PAS 1192:3 addresses the operational phase of assets irrespective of whether these were commissioned through major works, acquired through transfer of ownership or already existed in an asset portfolio. The framework includes the creation of an asset information model in order to manage Information Exchanges to and from a Project Information model created in accordance with PAS 1192:2; external asset information models, such as CAFM systems; direct supplier inputs, such as digital surveys; or other enterprise information systems, such as financial and portfolio reporting. PAS 1192:3 applies to all UKG-constructed assets, and is therefore key to Stage 7 on such projects. PAS 1192:3 provides an approach to support the objectives of asset management through the use of asset information. The requirements within PAS 1192:3 build upon the existing code of practice for governance defined within BS1192:2007 and the content of BS ISO 55000 series and PAS 55.

58

STAGE 7 IN USE

ORGANISATIONAL INFORMATION REQUIREMENTS

FEEDBACK

ASSET INFORMATION MODEL

ASSET INFORMATION REQUIREMENTS

PROJECT INFORMATION MODEL

EMPLOYER’S INFORMATION REQUIREMENTS

Stage 6 Output informs PAS 1192:3

FEEDFORWARD

PLAIN LANGUAGE QUESTIONS (PLQ)

PAS 1192:3 informs Stage 0

2.7 Stages 6, 7 and 0 in relation to PAS 1192:3.

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STAGE 7 IN USE

CHAPTER 02

SUMMARY Stage 7 In Use is about developing a clear and evidenced understanding of how a building works in use, for the purposes of:

• •

Refining and improving the building’s effectiveness and performance. Establishing how well the outcomes established in Stage 0 were met as assessed through in-use study and analysis.

• • •

Post-Occupancy Evaluation and building performance evaluation. Assessing, through Project Performance, how effective Stages 1–6 were. Capturing that learning to apply, for positive benefit, to subsequent projects through Research and Development.

Stage 7 is not a design stage – it is about information, analysis and learning, in order to enable understanding of the impact of design decisions made earlier in the project. It is often a client-led process and may include specialist advisors or key members of a project team, and be undertaken in accordance with a Schedule of Services. Specific tasks and activities of Stage 7 are often relatively short processes conducted over a day or week, but ideally these are revisited and redone in a Stage 7 which runs through a building’s entire useful life. It is the correct mechanism by which decisions to refurbish, renovate, repurpose or decommission and demolish a building should be made. Stage 7 is about being clear what the client has achieved and how well the building in use provides an environment that supports their reason for needing the project in the first place. Stage 7 logically follows Stage 6. Activities commenced and first done during Stage 6 are likely to be revisited at regular planned intervals during a whole Stage 7 period, which is very likely to last many years. This, in turn, informs subsequent Stage 0 activity on new projects, completing the circular nature of the Plan of Work 2013.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

A

SCENARIO SUMMARIES

WHAT HAS HAPPENED TO OUR PROJECTS BY THE END OF THIS STAGE?

Small residential extension for a growing family

B

Development of five new homes for a small residential developer

A year after the family took

Two years after the handover

full occupation, their energy

of keys from the developer,

supplier offered them

three owners remain and two

a complimentary smart

new ones have arrived. The

thermostat in return for

buildings are starting to show

changing their tariff. Interested

some signs of wear and tear,

in the smart thermostat but

especially in the two in new

not wanting the energy firm’s

ownership as maintenance

input, they contacted their

was not done by the original

architect to discuss what

owners (they were bought as

was available on the market.

buy-to-let properties). One of

Although aware of the growing

the new owners is particularly

availability of various smart

keen on reducing energy

home devices, it was not an

use in their property. Eager

area of particular expertise

to learn how other owners

for the architect; however,

were using their homes, this

they had worked previously

owner encouraged the other

with an engineer who had

homeowners to participate in a

specialised in such things. The

collective BPE study. Wanting

engineer was introduced to

to learn more about how their

the family, and what started

homes were constructed,

as an initial interest grew into

the owners discover that the

a full domestic BPE and the

construction firm no longer

implementation of an array of

exists but they do locate

sensors and control devices

the architect. They are now

that allowed the family to

working, with the advice of the

take charge of the control of

architect, to improve heating

their environment and use

and control systems and are

of energy. The project was

using their collective buying

so successful that the family

power to full effect. Involved in

have recommended both

the project some years after

the engineer and architect to

their commission had ended,

friends of theirs. Both are now

the architect realises the value

engaged on Stage 0 activity for

of working with buildings in

a purpose-built smart home,

use, and, as a result, develops

using the knowledge from

a new business model of

this project and others gained

revisiting all previous projects

through research.

at two-, five- and ten-yearly intervals.

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STAGE 7 IN USE

C

Refurbishment of a teaching and support building for a university

D

New central library for a small unitary authority

E

New headquarters office for high-tech internet-based company

Whilst negotiating the retainer,

The new library is working well,

Rebalancing of the BMS

the practice took on a Part

and the community are making

occurred after the required

III (professional qualification)

great use of the space and

three-month period stipulated at

student with specific

availability to access books

the end of Stage 6. Since then,

experience in BPE and POE.

and other resources. The

the company has developed

The design team develop a

links between BMS and BIM

online tools linking the building’s

proposal, incorporating this new

are proving both clumsy and

BMS to an outsourced CAFM

knowledge and skill into the

overly complex for the authority

facility, which, in turn, they have

Feedback methods that they

librarians. Funding cuts mean

linked to their own enterprise

are familiar with. The university

that a dedicated BMS operator

workflow systems. This has

are particularly interested in this

is unaffordable. However,

facilitated a building environment

more comprehensive offering,

a local firm specialising in

that is aware of the activities

have now retained the design

Internet-of-Things solutions

and location of every single

team for ongoing BPE studies

offers to roll out a low-cost

person working for the firm. This

across all the buildings on

CAFM system. Integrating

has brought massive benefits

the campus and are currently

the BIM data, connecting to

in terms of whole-life holistic

using this information for Stage

the sensors and controls of

sustainability, as energy used

0 work on a new centralised,

the BMS in combination with

(environmental), overhead cost

sustainable energy system for

the book-lending (barcoded)

per employee (economic) and

the campus. The POE team are

system now means that the

quality of the workplace flexibility

working with academics and

building BMS is ‘learning’ about

and effectiveness (social) all

students to assist in aligning

the patterns of occupation,

have added value benefit. The

research aspirations with best

self-adjusting and modifying to

building is now adjusted to

use of the available spaces.

provide optimal comfort. The

suit and accommodate the

library staff are able to focus

dynamic working practices of

on the task of supporting the

the company. Interested in a

community and managing the

Research and Development

library assets as an integral part

project to explore just how

of the whole building system.

far this could be taken, the

The library soon becomes

company have re-engaged the

one of the most effective and

original project team and brought

efficient assets that the unitary

in Internet-of-Things expertise

authority own.

combined with hydrogen energy experts. They are currently exploring how surplus heat can be harvested as hydrogen, and be provided to employees to power hydrogen vehicles and to heat schools in their immediate neighbourhood.

63

CHAPTER 03

STAGE 0 STRATEGIC DEFINITION

65

Stage 0

Strategic Definition Task Bar

Tasks

Core Objectives

Identify client’s Business Case and Strategic Brief and other core project requirements.

Procurement

Initial considerations for assembling the project team.

Variable task bar

Programme

Establish Project Programme.

Variable task bar

(Town) Planning Variable task bar

Pre-application discussions may฀be฀required฀to฀test฀the฀robustness฀of฀the Strategic Brief.

Suggested Key Support Tasks

Review Feedback from previous projects.

Sustainability Checkpoints

•฀฀Ensure฀that฀a฀strategic฀sustainability฀review฀of฀client฀needs฀and฀potential฀ sites฀has฀been฀carried฀out,฀including฀reuse฀of฀existing฀facilities,฀building฀ components฀or฀materials.

Information Exchanges (at stage completion)

Strategic Brief.

UK Government Information Exchanges

Not required.

CHAPTER 03

OVERVIEW This chapter is about Stage 0 Strategic Definition, which is a new stage in the 2013 Plan of Work. It is always the first stage in a potential project, and is when:

• •

An idea or problem is formed and begins to take shape as a vision. Strategic options for addressing the identified idea or problem are considered.

• •

The Business Case is developed and tested. If appropriate, various possible sites or locations are identified.

The key purpose of this stage is to develop a Strategic Brief, which considers how the desired outcomes would be best met within a project. Work at this stage considers what needs to happen to turn the idea into a reality, or how to solve a problem through a definable building project with clear Project Outcomes moving forward to Stage 1. Stage 0 is necessarily client-led: the majority of the considerations are about shaping an idea and/ or defining a problem to be solved. It involves diagnosis and initial analysis, not solving or remedy – establishing the desired Project Outcomes sought, but not defining how they will be delivered through design and construction. Facilitating and supporting a client to understand and robustly define these Project Outcomes is a key aspect of Stage 0. This chapter sets out the different issues to consider in strategically defining the basis for a project – and, in doing so, setting out a vision for what is to be achieved. It lays out ideas for the scope of the work that is needed to support the Strategic Brief. This includes addressing financial, logistic and risk considerations in the Business Case and referencing Feedback from the Stage 7 analysis, the Project Programme, and planning and sustainability issues. It also sets out what information needs to shared, with whom and when. Stage 0 is much more about adopting an attitude of analysis and restraint, from problem-solving through design, than about following prescribed schedules of tasks or activities. As such, both metaphor and analogy will be used in this chapter in order to assist the reader in understanding this distinction.

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

WHAT IS STAGE 0 STRATEGIC DEFINITION? All building projects need to start somewhere, and do not very often arrive fully formed with ‘oven-ready’ briefs and funding in place. Stage 0 of the RIBA Plan of Work 2013 is about the period in which a project goes from being an initial idea or a problem to a defined idea with a strategic brief and business case. This could be, for example, a client wanting to commission a building or a company knowing it needs to expand, or a local authority that needs a new school. It is about diagnosis and the subsequent shaping of questions that design and construction could solve. Stage 0 is when strategic questions are defined; at Stage 1, these become project-specific questions and requirements, and form the basis of the Initial Project Brief. Stage 0 is called Strategic Definition very simply because it is about strategically (focusing on outcome, not output) defining (by structured diagnosis) the problem or vision that a project is going to solve or respond to – and the financial, and other, considerations that will influence what is achievable. At this point, there may not be a definite site or location, and this is one of the things that Stage 0 is intended to resolve. It is equally possible, and valid, that Stage 0 diagnosis may conclude that no building project is necessary.

WHY WAS STAGE 0 ADDED TO THE PLAN OF WORK 2013? Prior to the 2013 Plan of Work this pre-project work stage has always existed, but it has rarely been defined and even more rarely included the input of an architect or design team. However, its inclusion now acknowledges the importance of this stage as a separate process in getting projects set up successfully, and its role in achieving high-quality high-value Project Outcomes. The intention of including this stage in the Plan of Work is to help give a structure to some of the processes that need to be carried out to ensure that an initial idea or problem can become a vision, that all key strategic questions are identified and defined so as to best ensure that any subsequent project is appropriate, understood by the client and of greatest value.

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STAGE 0 STRATEGIC DEFINITION

Why isn’t Stage 0 the same as a Feasibility Study? This is most easily understood by thinking about the different information that is known at the start of each of these stages (see table 3.1).

STAGE 0 STRATEGIC DEFINITION AT THE START OF THIS STAGE:

STAGE 1 PREPARATION AND BRIEF AT THE START OF THIS STAGE:

•

• •

There is an idea or problem that a client needs to resolve.

• •

The strategic scope and nature of the project

It is not yet known if a design or construction

– and, critically, its purpose – are clearly

project is the optimal route to take.

defined.

Funding for, or the financial viability of, a project has not been determined.

•

The project is defined and the site is known.

• •

The project has an identified Business Case. The client has considered their Strategic Brief,

There is no site or specific procurement route

and wants to move forward with a design and

established.

a construction project.

Table 3.1 A comparison between what is known at Stage 0 and Stage 1.

By its very nature, Stage 0 has less of a formal structure than the other stages of the Plan of Work. This means that it may:

•

Vary in length very considerably, from a few days to a number of years, depending on the complexity of the issues and the need for external input.

•

Be undertaken by a team comprising anything from one person to a large team with specialist advisors, who are involved for part or all of the process.

•

Be broken down into a number of separate elements of work that are undertaken by different people.

•

Follow a more-or-less formal process with reporting mechanisms/ approval processes, or proceed via informal discussions – or, as frequently transpires, be a combination of both.

To get the best out of Stage 0 at the outset of a project, it should be ensured that the appropriate strategic issues are considered and agreed. This process sets out in detail the importance of the Strategic Brief as the principal output of this stage and, in particular, how critical this is in evidencing the decisions that have been made to define a project. This ensures that the move into Stage 1 is robust, and establishes the benchmark for ongoing project-review processes.

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The client’s role at Stage 0 is to make sure that they put the right people in place to help develop and understand their idea or problem as a vision, supported by the necessary and appropriate financial, legal, technical and design-related advice. The client also has a role in terms of leadership – in ensuring that the work is moving in the right direction, and that they are clear in terms of their evolving vision. There is also a need for restraint: jumping into problem-solving (design) too early is an ever-present risk. Stage 0 must always focus on defining the criteria for subsequent design, never solving. However tempting it is to begin to sketch, to begin to imagine a building, this confuses and compromises the robust or rational analysis of an idea or problem. One of the greatest skills of an architect is that of an advocate for a design solution; however, at Stage 0 this must be kept in check, and skills and energies deployed in understanding through analysis. Clients often will have clear ideas or problems to solve; however, they will not necessarily know or understand how that translates into a project. This is the necessary skill and expertise that they require and commission at Stage 0. The greatest value of this stage lies in not rushing into a design solution – or, worse still, the construction of a building that does not best suit their needs or requirements. Stage 0 will always result in the best possible Project Outcomes. Not undertaking Stage 0 will always result in abortive work and lower-value Project Outcomes.

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STAGE 0 STRATEGIC DEFINITION

PREPARING FOR STAGE 0 Preparation for Stage 0 is intrinsically linked to Stage 7. As explained in the previous chapter, Stage 7 is both the conclusion and start of the whole circular Plan of Work process. As such Stage 7 activity will either follow into a new Stage 0, or the initial seed of a potential project that triggers Stage 0 will almost always need some degree of Stage 7 information to allow it to proceed meaningfully. It will not be uncommon to become involved in a project that has not undergone a robust and rigorous Stage 0. If so, the following issues must be considered:

•

When first becoming involved in a project, is it apparent that it is at Stage 0?

•

If it is at a later stage, can evidence of a robust Stage 0 be identified in the form of a Strategic Brief?

•

Is there easily identifiable Stage 7 evidence – for example, has the client built before? Is there an existing building, site or building typology relevant to the client’s vision that can be analysed and studied?

If Stage 0 has not been started or completed, inform the client of this and advise that the project be ceased until Stage 0 is fully undertaken, advocating the value and benefit of doing so. Implementing Stage 0 after a project has already started is unlikely to be easy. The client will be keen to press on, will have already spent money and have committed to spending more. The design team will have already begun design. However, the true skill of any advisor serving the client’s best interests will be to strongly advise and articulate the value and benefit of a robust Stage 0. It could help to think of a medical analogy: if you went to a doctor with a pain in your arm, you expect the doctor to work with you to diagnose the underlying problem – not to rush into surgery or some other intervention. So why are clients encouraged to rush into design before the problem to be addressed is fully diagnosed?

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Key risks and mitigation: what happens if a project isn’t strategically defined before later stages commence, and how can Stage 0 empower and enable client value? What is most important at the end of Stage 0 is that the needs of a client have been clearly identified, and the subsequent resolution of them explored and potential options defined. This is the most effective way to determine if there should be a project, and to make progress into Stage 1 – and, if such is the case, that this is done with the lowest possibility of abortive work, delays to the target Project Programme, avoidable unnecessary additional costs and erosion of value. The risks that any client and their team potentially face as a result of poor-quality Stage 0 work could include, but certainly are not limited to, the following:

•

Overreliance on gut feeling or incomplete or ‘siloed’ information (siloed meaning that information is not correlated or cross-referenced, such as capital cost not being considered alongside and in relation to operational costs), with the inevitable unforeseen consequences that will be abortive and costly in both time and money.

•

The vision and statement of need are not clear, so that the principal purpose of the project has not led the definition of the Strategic Brief, resulting in poor and inappropriate work in the later stages and negative-design irritation as a result of having to revisit Stage 0 tasks once some work has progressed on to later stages.

•

The Business Case is neither robust nor specific to the actual client needs, and, as such, cannot accurately consider what may happen if external economic factors, such as inflation or construction costs, should change significantly – or if this should be expected.

•

The future direction of the project will be unclear if the Strategic Brief and the principles of the Business Case are not shared with key project team members. Again, abortive work is the biggest risk.

•

The strategic options appraisal has not considered sustainability issues, so there is no clear direction on this issue.

•

The Strategic Brief has not been collated into a clear and concise document that sets out the recommendations for the way forward, and the assumptions that have informed these decisions are not presented in a manner that can best inform Stage 1 and be understood by all stakeholders.

72

STAGE 0 STRATEGIC DEFINITION

•

Critical high-risk site investigation or baseline assessments that affect the ability to deliver the work have not been undertaken. Whilst most baseline surveys can be concurrent with Stage 1, some strategic issues mean that, wherever possible, early investigations should be carried out. This may be needed in order to inform the site-selection process.

•

The client is not committed to a particular site and yet wants work to proceed to the next stages.

•

The assumptions made during Stage 0 are wrong or poorly considered. The right advisors or stakeholders were not consulted at the right time.

•

Key stakeholders object to the project because they were not consulted or given the opportunity to participate in the development of the Strategic Brief.

• •

The Project Programme is too unrealistic. There is no clear plan for how or, more significantly, why the next stages of the project will be delivered, or what should happen next.

Conversely, a robust and well-executed Stage 0 enhances client value and effectiveness by:

•

Identifying, organising and assembling a good stakeholder team with the necessary decision-support tools. A decisive client is a value optimiser.

•

Robustly defining the Business Case: what does the client do, and how do facilities support the creation of value? Who are the stakeholders? Is there really a need for building work? If so, is the site or existing building choice sensible? What will success ‘look like’?

•

Enabling clients to focus on what they know best – their business, their clients or how they live their life – freeing them from the burden of making potentially ill-informed decisions outside of their sphere of expertise.

•

Facilitating the definition of a Strategic Brief that the suppliers (project team) need to deliver; agreeing the elements with all stakeholders, including external ones such as planners and funders.

•

Supporting the decision on how the project is to be procured, ensuring that the choice fits the Strategic Brief and the client’s risk appetite. A sound risk-management approach will help to preserve value in all of its facets.

•

Considering methods such as the use of benchmarked or target costing, integrated teams, Building Information Modelling and Soft Landings in order to achieve high performance in the team.

•

Careful team selection, shaped to the Project Objectives.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

•

Maintaining the initial vision as others join the project team, and as challenges arise.

•

Supporting the client in their role by asking questions, and by challenging and understanding their requirements from the briefing process in order to support decision-making.

HOW CAN I ENSURE THAT VALUE IS RETAINED IN THE PROJECT? As an example the Office of Government Commerce (OGC, now part of the UK Cabinet Office) has adopted a Gateway Review process in order to ensure that public projects proceed sensibly and that value is retained at each stage. This is a good valuemanagement discipline. Gateway 1 sees that the need for the project is well founded; Gateway 2 approves the choice of procurement path; Gateway 3 has two stages: Stage A approves the brief (value proposition) and conceptual response to it, Stage B approves the detailed design as ready to build; Gateway 4 accepts the finished building; and Gateway 5 looks at the Feedback on the process and on the product. It is axiomatic that a project should not proceed past a gateway unless the review approves it. This process is in place because projects that ‘drift’ past gateways will generally take longer and include abortive work than those that don’t. In the RIBA Plan of Work 2013, each stage is commenced after clear gateway style completion of the previous stage.

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STAGE 0 STRATEGIC DEFINITION

Who is best placed to strategically define a project? Stage 0 is entirely client focused, and as such clients are at the heart of this stage and it cannot realistically be undertaken without them. Clients instigate Stage 0, but in many cases will not necessarily understand the need to – especially first-time or occasional clients. Speaking with clients about their needs, wants and desires without leaping to design solutions is a key skill to be learnt and developed. Almost all clients will need some degree of support and advice to set the agenda for, and complete, this stage. There are many different types of client; who they are has a strong impact on the type of work that is required at Stage 0. They might be:

•

The end user of the building or project (eg a householder or a business), who has specific needs, wants and desires that are to be met. If a building does not optimally support a household’s lifestyle, it could compromise their wellbeing. A business that does not have a work environment that optimally aligns with their commercial activities could suffer loss of productivity.

•

An individual or an organisation wishing to develop a building for the use of others (a developer). The needs and requirements of these end users must be understood so that the developer can optimally align their investment for best return.

•

The owner of a site wanting to find a viable and deliverable use for it (a landowner), and needing to know how best to utilise a land asset for sale, rent or other purposes.

The detail and scope of Stage 0, and the team that will be needed to support the client through it, will depend on the size and nature of the project and the range of issues that need to be considered. Sometimes this work is carried out in-house at the client organisation; at other times, it will need external consultants. Examples of the teams that might be appropriate to support Stage 0 are set out for the project scenarios at the end of each chapter.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

How do you select the level of detail to be included in the information to be exchanged at the end of Stage 0? At the end of Stage 0, the client should be in a position to make a decision about proceeding with the project or not. Therefore, the information to be exchanged will either comprise the reasons a project is not valid or the Strategic Brief establishing the basis for the project and subsequent stages. One of the most challenging aspects of Stage 0 is establishing exactly what needs to be tested or confirmed in order to enable this critical decision to be made. Sometimes having been through a number of strategic options further work is required, meaning that Stage 0 is not yet complete. It is vital to always remember that Stage 0 is about asking questions that explore the needs, wants and desires of the client; it is not about answering them, however tempting this may be. Deciding to commence with the next stages of a project – Stage 1 onwards – is a big step that involves the expenditure of considerable time and resources. The value of pursuing Stage 0 is that the evidence to support this decision will be in place. It is perfectly possible that a new building is not the right answer to a client’s problem, or that it is not appropriate at the current time. In order to support the sound use of scarce resources, should be taken care not to conclude that intent to build is necessarily the result of Stage 0.

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STAGE 0 STRATEGIC DEFINITION

WHAT TASKS ARE INCLUDED IN STAGE 0, and how do these lead to the Strategic Brief?

As Stage 0 is about analysis, exploration and asking questions, it is less specifically defined in the Plan of Work 2013 than any of the other work stages. Partly this is because there is usually a need for bespoke approaches for different clients and different projects. However, it is also because, as a new stage, the interrelationship with other, existing pre-project activities and the integration with the consultants who have been involved pre-Stage A (former Plan of Work appraisal) will develop and evolve over time. Feedback for future review of the Plan of Work is likely to extend the guidance for this stage. However, Stage 0 is much more about adopting an attitude of analysis and restraint from problem-solving through design than following prescribed schedules of tasks or activities. The Stage 0 process of analysis – although bespoke in scope, duration and detail for each client – will almost always include four main tasks or work streams, each with specific, interrelated outputs. These will vary in priority, length and importance depending on the project. They are, in order of development:

• • • •

Vision. Business Case. Option appraisal (value management). Strategic Brief.

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FEEDFORWARD

?!

VISION

BUSINESS CASE

OPTIONS APPRAISAL

STRATEGIC BRIEF



FEEDBACK

3.1 The delivery of each of these tasks is set out below. A key issue to consider is that these tasks are not necessarily linear, and may need to be carried out several times in order to identify the solution that works. The best solution for the client may not be a building project. While the vision is the seed from which any project will grow, the Business Case states the need for the ‘soil’ in which this seed is best sown and the need for ongoing care and nutrients for best return. Optional appraisals explore different soil mixes, methods of propagation and how to provide the strongest basis for growth. The Strategic Brief describes the project once fully grown and matured, and the fruit it will bear: the vision supported and evidenced by the option appraisal and Business Case. The final project output (the finished, fully commissioned building) is the mature plant; the Project Outcome (that same building in full operational use, day to day, year on year) is the fruit it will yield. The intention of including this stage in the Plan of Work 2013 is to help give a structure to some of the processes that need to be carried out in order to ensure that an initial ‘seed idea’ or problem can be understood as a vision that will ultimately result in a building in use that is valuable for client and users alike.

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How feedforward and Feedback into the development of a Strategic Brief bring definition to an outcome (problem or idea).

STAGE 0 STRATEGIC DEFINITION

The client vision: what it is and how it is defined? The client vision is a form of foresight. It defines a future plan. Buildings in use constitute complex, adaptive systems. Understanding all the interrelated factors that influence and determine the success, or otherwise, of any system is complicated. This is the value of Stage 7: understanding these complex interactions to inform a better subsequent version of the same, or a related, system – ie a building in use. Therefore, a vision for a new requirement, an idea or a problem to be solved must always describe the project outcome and not the output.

FORESIGHT AND VISION Foresight is the ability to predict what will happen or what is needed in the future. Much of everyday thought is directed towards potential future events, and as such foresight is the critical aspect of any future vision. There are many commonalities to our individual ability to recall past events, experiences and episodes in order to anticipate possible futures and how Stage 0 is informed by Stage 7. This is how Stage 7 feedforward activity informs foresight established in Stage 0.

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EXAMPLES OF VISION

•

Enhancing educational attainment, and student engagement with a school.

•

Optimally enhancing patient outcomes, post-treatment, at a hospital.

• • •

A family’s need for an extension to their home. A lifelong aspiration to build a new home. A business’s need for a new office – eg because of the expiry of a lease.

• •

The implementation of a business plan. A need to respond to a change in legislation or financial circumstances.

• •

A bidding process for a site or development opportunity. A housing association’s need to consider the redevelopment or upgrading of an existing housing estate.

•

A local authority’s need to make better use of their landholdings around key development sites.

It is important, when helping a client to define a vision, to not influence what they are seeking as an outcome or to predetermine an output that might provide it. During visioning, an advisor or advisors encourage a client to succinctly and concisely define their idea or problem as a vision statement. This initial task of the Stage 0 Strategic Brief process is about talking, listening, understanding and challenging the client, their team and key stakeholders – and then clearly recording this information in a way that others can understand, support and supplement. For an individual or family, this process might be complete in as little as a few hours or a day; for a large, multinational organisation, this might take weeks or months and will involve many stakeholders and input from other advisors. Whilst participating in a visioning process, you will get to know your client and what makes them ‘tick’; this is invaluable for the next stage, but, as always, be wary of the lure of leaping into ‘solving their problems’ before these are fully understood – possibly by them, and certainly by you.

STAKEHOLDERS Stakeholders are the individuals or groups that comprise the client, users and any other relevant party defining or influencing a project.

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STAGE 0 STRATEGIC DEFINITION

For some clients and their stakeholders, the concept of ‘vision’ can be too far removed from prosaic reality. In which case, the exercise becomes one of defining a statement of need. The principles are the same, but whilst a vision might comprise aspects of ‘must, should and could’, a statement of need is more likely to focus on ‘must’. Deciding which way to best work with a client, and whether the emphasis should be on vision or statement of need, is the product of experience and professional empathy. Nonetheless, whichever scenario is adopted, there should be a clear relationship between vision or statement of need and the eventual Project Outcomes. The statement of need is best set out as a concise, but carefully considered, document that is easily understood and has been shaped by the input of a range of key stakeholders. These statements are the link between Project Objectives and the client vision.

CLIENT VISION

STATEMENT OF NEED

PROJECT OBJECTIVES

New, larger office to

Open-plan office space to

To provide high-quality working

accommodate growing business

accommodate up to 75 staff, in no

environment for staff

less than 3 areas/buildings/floors

To be well located for public transport in order to minimise car use

Highly sustainable, modern

Meeting or exceeding a

A building that facilitates

building that demonstrates the

recognised sustainability and

sustainability socially, economically

values of the company

energy standard

and environmentally

To live a happy and healthy life

To accommodate changes in life

A family home that is adaptable,

and raise a family

without the need to move from a

and that can expand and contract

much-cherished location

as the number of household members grows

Table 3.2 An example of the relationship between vision, statement of need and Project Objectives.

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Option appraisal; how might a vision be realised? Development of a vision or statement of need will invariably begin to raise questions that require further detailed investigation in order to obtain valid answers. The best method by which to accomplish this is through strategic option appraisal. It is important to understand this activity as strategic, and, as such, they will probably include many options – and certainly not just those understood as a building design and construction project. The primary purpose of this exercise is to explore all possible routes, to eliminate the inappropriate and to identify the most viable.

EXAMPLES OF SCENARIOS THAT COULD TRIGGER STRATEGIC OPTION APPRAISAL

• • • • • • • •

Reorganising a company, adopting new working procedures. Outsourcing, negating the need for physical expansion. Revising an educational curriculum. Repurposing existing facilities. Going to marriage counselling, or getting a divorce! Remodelling an existing building. Purchasing a purpose-made facility. Undertaking the design and construction of a new building.

The variety and extent of options to be considered will obviously vary from client to client. The impact of such work on a client can be profound, and any advisor should always ensure that they have the requisite skill, knowledge and experience to be making a particular option suggestion. If in doubt, seek advice from the appropriate sources, but do not simply ignore something because you do not have the necessary knowledge or expertise.

WHAT IS STRATEGIC OPTION APPRAISAL? A strategic option appraisal considers a number of options, approaches or scenarios for delivering the requirements of a vision or statement of need. Strategic option appraisal is not a design exercise, but a detailed and focused analysis and diagnosis exercise.

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STAGE 0 STRATEGIC DEFINITION

Having undertaken an appropriately robust and wide exploration of all possible options, a manageable shortlist can be drawn up. It is appropriate that ‘do nothing’ be included in the shortlist, so that each level of intervention proposed can be interrogated robustly against a common baseline. This allows for effective evaluation of each against cost, benefit and risk, with resultant measures of value for each of the options. Costs and benefit assessment of as many matters as possible should be included, with consideration of those not readily financially quantifiable but having an impact on vision and outcome. This approach establishes an iterative relationship with the development of the Business Case. This process may include some capacity testing of what can be accommodated on a site, or it may be about the combination of uses to be delivered. It will not comprise looking in detail at a proposal, nor will it involve considering specific designs – although an understanding of design, and what can be delivered, is critical to ensuring that this task is completed successfully. The objectives and statement of need should be used to assess each of the strategic options, in order to see how they perform and which best meets the client’s vision. One of the most effective methods for undertaking option appraisal thoroughly is to interrogate the vision with the principle of ‘Five Ws and one H’. These are questions whose answers form the basis of informationgathering for any Strategic Brief. They constitute a formula for getting the complete picture underpinning any vision. These questions also form the interrelationship with Stage 7, and asking them may instigate further Stage 7 work or provide a reason for Stage 7 to inform Stage 0. With respect to the vision, they are:

• • • • • •

Who is it about? What happened, or should happen? When did it, or should it, take place? Where did it, or should it, take place? Why did it, or did it not, happen? How did it, or did it not, happen?

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WHAT? (PURPOSE)

WHERE? (PLACE)

HOW? (MODE)

PROBLEM/ IDEA

WHO? (PEOPLE)

WHEN? (TIMING)

3.2 WHY? (REASON)

Each question should have a factual answer: facts necessary to the Strategic Brief and to inform the Business Case. Significantly, none of these questions can be answered with a simple yes or no. It is important to ensure that all possible options are properly considered, including that a building project may not be the answer. This work should ideally be undertaken or informed by a team that is independent of the outcome of Stage 0, and does not have a vested interest in any particular solution. Therefore, an architect undertaking Stage 0 will do so in the prior knowledge that they might not be designing the solution, but that they may be be retained as a client advisor. Very often, the actual data and information needed to fully answer each question will not be known during Stage 0; however, strategic Risk Assessment and site-based research will enable reasonable assumptions to be made. This will help to identify whether there are any ‘show-stoppers’ that need to be resolved or further investigated before the Strategic Brief can be finalised and the project can proceed.

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Diagnosing a problem or idea to inform a Strategic Brief with the ‘Five Ws and one H’.

STAGE 0 STRATEGIC DEFINITION

Why site appraisal is a subset of strategic options appraisal A site appraisal is similar to a strategic options appraisal in that it considers different locations or sites for a proposal. As part of this process, it will appraise broadly what can be accommodated with the purpose of evaluating which of the sites are suitable. The wider strategic option appraisal work will determine whether site appraisal is undertaken; it will not always be necessary. When it is, however, it needs to ensure that all sites are assessed against the same criteria, related to the statement of need and the Project Objectives. An example process might consider site appraisal first, to identify a site, and then use a strategic options appraisal to see if it can accommodate what is required of it and if this has any likelihood of being delivered.

3.3 Options appraisal could consider various sites in order to look at different ways that a particular client’s outcomes could be achieved. Here, the capacity of sites is being tested for a new edgeof-town office location.

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THE DIFFERENCE BETWEEN A STRATEGIC/SITE APPRAISAL AND A FEASIBILITY STUDY STRATEGIC /SITE APPRAISAL (STAGE 0)

FEASIBILITY STUDY (STAGE 1)

Related to strategic high-level issues such as the

Focused on testing one site to see if it can meet the

site location, whether it can be accessed and

identified need/initial project brief

whether the site is big enough

Intended to appraise if the proposed development is

May consider a variety of sites to see which is best

‘feasible’, to inform the brief and to test what can be

able to meet the client’s vision and objectives

accommodated

Will look broadly at site capacity, if relevant

NOT about design proposals, but may involve testing

NOT about design proposals, although may be about high-level capacity testing (could the site

sample layouts to be sure that the intended use/purpose can be accommodated on the site

physically accommodate the Project Outcomes?)

Table 3.3

The Business Case: what it is and how it is defined This important task is about considering the financial implications of delivering a vision, including how much it might cost to design, construct and operate; how it would be funded; what return it might produce once complete, and over its useful life; the cost of disposal at the end of its useful life; and any other factors that might influence the size, scope and affordability of a future project. Once the initial option appraisal has been completed, the Business Case can be developed to explain the justification of particular options being included in or excluded from the Strategic Brief. Each option should be considered and assessed against financial and value criteria relevant to the client. Such work will necessarily require cost and financial advice, which, in all but the most simplistic of projects, requires cost consultants. The development of the Business Case may often be an iterative process along with option appraisal; however, it is critical that the process starts with an initial strategic option appraisal so that cost does not skew or direct the project inappropriately. But it is of the utmost importance that option

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The differences between site appraisal and a Feasibility Study.

STAGE 0 STRATEGIC DEFINITION

appraisal is informed by, and influences, the Business Case. All projects, from the smallest domestic extension to the most complex facility for a global corporation, require a Business Case, and all will result in optimal client value if that Business Case is the result of robust option appraisal in response to a defined vision. All that will vary between projects is the diversity of advisors, consultants and experts required, and the duration of their involvement. The Business Case is a specialised document, and will necessarily require input from cost consultants and business advisors. On all but the most basic of domestic projects, it is unlikely to be authored or prepared by an architect alone. All Business Cases are likely to comprise:

•

A financial definition and argument of how the vision or statement of need meets the client’s objectives and required outcomes; these could be business objectives, personal objectives or other reasons why the project is needed.

•

An outline of the likely costs associated with identified outputs of the option appraisal, and an initial financial appraisal of each.

• •

Strategic considerations of value for money. A consideration of the principal financial risks associated with each option.

WHY COST ALONE SHOULD NOT DRIVE STAGE 0 Most clients who retain Stage 0 advisors will also have a cost consultant. In that context, the Stage 0 advisor can usefully be described as the ‘champion’ of the client’s benefit (assessing, principally, how well outcomes will work in use). Whilst it is important that both cost and other non-financial value considerations are given due consideration, it is vital that cost alone should not lead the process at Stage 0 (or otherwise), as this will not reflect best value in its broadest sense. Projects advised by cost alone can hit their capital cost and time targets but may fail to deliver outcomes in terms of broader quality and design considerations, which tend to be less easily quantified.

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The Strategic Brief: what it is and how it is defined A Strategic Brief must be written in a plain and easily understandable language; the client must be able to clearly understand and, most importantly, relate to what it says. As such, the document should summarise where a client is, where they would like to be and the routes to get there. The document will make reference to the detail from the option appraisal work and the relevant sections or topics within the full Business Case. A good Strategic Brief will assist a client in understanding the viability of an idea, whilst never detracting from the idea itself. To put it another way, it should define a problem in such a way that a client has the confidence and clarity to proceed to Stage 1 or not, as the case may be. It is recommended that a client sign off and adopt the Strategic Brief as theirs. The Strategic Brief brings together the vision, option appraisal and Business Case into a concise and succinct document. It is a report and a summary of the results of Stage 0.

Example structure for a strategic brief

•

An executive summary, which may include, for example:

~ ~

Why do I (the client) need this project? Should I (the client) deliver it, or should I consider alternative delivery approaches eg to sell the site to a developer?

~

What is my vision for the end product and my scale of ambition, and how does that reflect on me or my client organisation?

• • • •

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A description of the client, for example:

~ ~

Lead and champion. Stakeholders.

A vision statement. A statement of need. The desired Project Outcomes.

STAGE 0 STRATEGIC DEFINITION

It should be supported by broader considerations that affect any subsequent project, and relevant external factors that influence what can be achieved. These will include:

• • • •

Planning considerations. Land ownership or other legal issues. Physical and environmental constraints. The likely impact on neighbours and stakeholders, and their likely response.

STRATEGIC Strategic in this context means relating to the identification of long-term or overall aims and interests, and the means of achieving them.

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HOW DOES PROCUREMENT affect Stage 0?

As soon as the vision or statement of need emerges, the client should begin assembling their advisory team, which may comprise internal and/or external expertise as required. This may also include retaining the advisors used to determine the vision or statement of need. On smaller projects, the client will probably perform some or all of the key roles themselves, and on more complex and larger projects there will be a need for specific advice from individuals tasked with particular topics or duties. Projects of all sizes benefit from the input of an independent client advisor; this may be an architect, a surveyor, a design advisor or other specialist. They may go on to perform this or other roles at future stages of the project or they may only advise for this stage. It is important that the team does not have a vested interest in one particular outcome, and is able to offer independent, impartial advice. Procurement rules apply to projects undertaken by public bodies, and they will affect the ability to obtain advice at this and also at future stages of work. Even at this early stage, they are an important consideration in ensuring that the most effective way to get to the right advice is developed.

What roles are likely to be required? Remember that this is about strategic principles, it is not about testing detailed feasibility and it is certainly not about design in the sense of a specific proposal or approach. It also needs to be understood that not all members of project and design teams have the particular skills to think at this strategic level without pushing towards solutions.

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STAGE 0 STRATEGIC DEFINITION

The roles that may be required include:

• • •

Project sponsor/client lead. Design champion/client design advisor. Independent client advisor, to support and coordinate the process; they can be either in-house or external to the client organisation.

•

Project team for options appraisal:

~ ~

Designer, to test capacities or appraise sites. Engineer, to appraise sites and advise on any significant constraints.

•

Viability/funding and/or property advisor, to also assess cost considerations.

• • • • •

Legal advisor, covering land ownership or related issues. Specialist planning advisor. Sustainability advisor. Business process advisor. Advisors specific to a particular client or organisation.

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HOW IS PROGRAMME INFLUENCED BY STAGE 0? Stage 0 may seem a very early point at which to try and set out a project programme. However, in many cases the project itself will be driven by a time-related need, and it is important to understand the role of this in setting Project Objectives and Project Outcomes. What is needed at this stage is a Project Programme that sets out the main ‘headline’ requirements that can, or need to be, achieved. These would normally be included in the Strategic Brief. Some projects are deadline driven, there may be a need for a building to be open and in use by a particular date. New schools, for example, often have fixed delivery dates set within funding agreements, and need to be open by agreed dates so that pupils can start an academic year. The same is often true of schemes that rely on borrowing, as the lender will want to see the scheme in place and in use so that it can be generating value (of all kinds) and ensuring that they get their return. For all projects, there is a benefit in setting out how long you expect the different stages to take and broadly when they could be delivered. One of the useful aspects of this exercise is that it ensures that any unrealistic expectations can be discussed, and an approach that responds appropriately agreed.

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STAGE 0 STRATEGIC DEFINITION

KEY PROJECT PROGRAMME ISSUES TO CONSIDER AT STAGE 0 If time is restricted, it is important to understand the point at which delivery will become time-critical (ie when future project stages become so squeezed as to be unachievable). How programming issues impact on procurement and inform the briefing, and other, processes – eg if there is little time between each stage, make sure that the client understands what is expected of them in terms of sign-off and the benefit of appointing the team in one go. Use a managed approach to risk, ensuring that programme slippage later does not undermine the vision/need developed in the early stages. Set out the key programme risks – especially those that require decisions by external parties, such as planning, funding agreements or site-ownership issues.

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HOW DOES PLANNING AFFECT STAGE 0? Planning and compliance: anticipating and influencing planning policy Whether you can get planning permission for a particular project or building is fundamental in its ability to deliver a client vision or outcomes. Whilst it is not usually possible to get a firm answer to this question during Stage 0, this is a good time to ask some pertinent questions about its likelihood and to better understand the key risks involved. This makes planning considerations an important issue for the Strategic Brief.

What does planning policy say about the site or proposal? The place to start in assessing the ability of a project to obtain planning permission is to understand what planning policy says about it. This can mean asking for specialist advice from a planning advisor on their interpretation of planning policy in this case, or, for small projects, asking the local authority directly for their view. In some cases a pre-application discussion can be helpful, although it is often not easy to obtain clear advice before the brief or potential of a project is fully scoped out, and before Stages 1 or 2 are complete. One thing to bear in mind is that for some uses, and in many urban situations, it is possible to use higher-level policy to increase floor space, development density or change of use within broad parameters without needing site-specific planning policy to support the change. Examples include the recent temporary change to allow office to residential conversions in most areas, the ability to deliver more housing to support growth on allocated sites and the loosening of permitted development rules for individual householders.

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STAGE 0 STRATEGIC DEFINITION

In all cases there will be restrictions, and the ability to deliver an acceptable design proposal is almost always a key consideration – even where the principle of the alternative use or scale of development is considered acceptable.

Is this a good time to try to influence planning policy? For some projects, existing site-related planning policy may not support the client’s objectives or vision, and it can sometimes be useful to ask whether it is worth seeking to influence planning policy at the next review point (new local plan or site-allocations-policy document). An example of this might be a large organisation wishing to take over a significant site that is currently in a different use class, and which does not contain much development. Through the planning process, it may be possible to agree with the local authority that its site allocations or site-specific policy should be changed or that a development brief should be put in place to support the proposals. This is a technical process that will normally need specialist input from a development planner. In this case, the Strategic Brief cannot really be finalised – or, at least, will be subject to further review – until the appropriate measures are in place. Equally, early consultations may show very clearly that the site is not considered appropriate for the proposed use or project, and that another site or approach needs to be found.

What other statutory considerations should be part of Stage 0? Most building types need to consider a range of other statutory issues or approvals. The simple process of listing out likely approvals, and when they are required as part of the production of the Strategic Brief, is a useful task that will help to ensure that these are considered at the outset and throughout the project. It is helpful to identify whose role it is to review this, and whether stakeholder engagement is needed to fully understand these issues.

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KEY QUESTIONS TO ASK INCLUDE:

•

What approvals are likely to be required in order to achieve the client vision and objectives?

• •

When are they likely to be required? What site-specific considerations need to be taken into account, eg is the site next to a site of special scientific interest (SSSI) or in a protected-view corridor?

•

Are any of these considerations likely to change the outcome of the process, or cause the proposal to be refused in later stages of the project?

Not all future issues can be anticipated, but by being aware of the questions and including them in review processes you can better prepare for issues that would arise in later stages because of a decision or choice made in Stage 0. It is not until Stage 1 and beyond that any specifics or details will be established.

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STAGE 0 STRATEGIC DEFINITION

KEY SUPPORT TASKS FOR STAGE 0 Stage 0 is about gathering information on the potential of a building or project, and on the strategic decision that needs to be made for it to be taken forward. Much of this information concerns financial or delivery considerations that are informed by previous experience and the input of key stakeholders, who will influence, use, or be impacted on by the proposal.

Why Stage 7 feedback into Stage 0 is so important The most important support task at Stage 0 is obtaining Feedback from previous projects in order to inform the potential project options and consideration of the Business Case. This information may be about how others have decided to deal with same problem, how much previous examples have cost to build, or about building performance. However, much of the widely available information on most projects is empirical rather than quantifiable. It is about design solutions and details, rather than about how effective that scheme was in delivering the intended client outcomes and vision – including how it performed in use, both functionally and operationally. Some projects are ‘one-offs’, but nearly every project can add value in learning from previous experience. This could be about how similar projects dealt with specific brief-related issues, how they were constructed or how they have performed in use – eg in terms of efficiency, functionality or environmental performance. Such projects can be those within the client organisation or ones that the project team have done before, but ideally they would also include a much wider pool of examples, including as many as possible from the same sector or building type. For all potential projects, it is worth researching other similar schemes to see what was done and how well it worked out. In some cases, specific technical, design or detail information will be available; other cases will

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involve talking to those who have been involved and, ideally, the end users. These precedent studies would preferably be included in the Strategic Brief, and may be further reinforced in the Initial Project Brief at Stage 1. At Stage 0, it is important to consider how clients with the same problem or vision took forward the proposition, and whether this resulted in a new building project, a change to an existing building or a different solution altogether. This stage of a potential project is also a useful time to think about how the delivered project itself will be able to contribute to the availability of building or project data/information once completed, and how that could be shared with others. This should be a consideration for both the client and the design team.

Involving stakeholders in the Strategic Brief All projects have a range of stakeholders; they are different in each situation, but can include the client and related organisations/departments; end users or user groups; the local community; funders or backers; and regulatory bodies such as planning, highways and Building Control. There are also other stakeholders who may need to be consulted for sensitive, larger or more significant projects, such as local councillors; amenity societies or heritage groups; and other advisory bodies, eg the GLA (Greater London Assembly) in London. The right time to consult with different stakeholders will vary, and it is unlikely that there is much added value in consulting with most of them at Stage 0 when the principle of a potential development is being decided. The question to ask is: which stakeholders need to be included in order to undertake the Strategic Brief, including options appraisal, and in order to have enough information to build the Business Case?

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STAGE 0 STRATEGIC DEFINITION

CONSIDERATIONS INVOLVING STAKEHOLDERS AT STAGE 0 KEY QUESTIONS

EXAMPLE OF ISSUES TO BE CONSIDERED

Do I need their input to shape and

For some building types or sites, it is important to obtain stakeholder

test the initial client vision?

engagement early in the process at this pre-briefing stage. In the case of a university, it can be important to ensure that other departments are consulted, that facilities management are involved and that the vision for change is shared at high level with the relevant, related bodies. Students may have a view on travelling to a new campus site that needs to be understood. Funding bodies may have certain criteria than need to be understood and agreed ‘in principle’.

Does their input impact on my

Without the input and support of key groups, it may not be possible to

ability to set out an informed

reach a strategic decision to proceed with a project. This could be to do

Strategic Brief?

with landownership issues (which should ideally be resolved within the Strategic Brief), planning policy, tenants, local residents or user groups. The question to ask is whether without this knowledge or input you can be specific about the site and principal purpose of the project.

Do I have enough information

It is often better to consult people early, and to inform and engage

to test their view on the options

them before key decisions are made. However, in some situations there

appraisal, and will this process

may not be enough information to do so, or, realistically, it may be clear

benefit from their informed input?

that it will not affect the outcome in any event. In such cases this may not be the best thing to do. In some cases, it is worth engaging with stakeholders even if you know that they are unlikely to provide support or useful input to assist the strategic definition of the project.

What advisors do I need to

On some highly sensitive projects, it may be that specialist consultation

undertake the engagement with

advice is needed in order to broach potential issues related to the

stakeholders?

development sensitively and without building up significant opposition. For most projects the client and/or design team will be able to do this. In some cases, it is not appropriate to speak to stakeholders at this stage.

Do we need to consult or engage

Some Strategic Briefs require consultation or engagement in order to

to shape the Strategic Brief

agree the principle of development. Examples may include public-sector projects that might affect, say, council residents or tenants, or projects that involve spending public money where there may be a number of different views about how it is spent. Refer to the project scenarios in this book for specific examples.

Table 3.4 Deciding how involved stakeholders should be at Stage 0.

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The stakeholders involved in any project should be identified and involved in communication and the development of the vision or subsequent statement of need from the earliest possible point in any project, and continually updated throughout the process. Stakeholder engagement usefully informs the statement of need or requirements, and provides insight into the Project Outcomes necessary to deliver the client vision. Sometimes, engagement is related specifically to the development of a Strategic Brief or to consulting on the principle of its implementation. The key tasks in any stakeholder-engagement process are to:

•

Record the details of any consultations or meetings, and summarise any relevant inputs or feedback in the Strategic Brief.

•

Identify which stakeholders should be consulted and why, weighting input as necessary (the loudest voice is rarely the most important).

•

Work out what input you want from them and what information they will need from you in order to engage.

•

Agree the best time and way to involve them.

You also need to consider whether you are giving information and seeking Feedback from the relevant stakeholders (which is usually called consultation), or whether you actually want to involve the stakeholders in shaping the Strategic Brief or making the strategic decision about whether to proceed (often called participation).

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STAGE 0 STRATEGIC DEFINITION

STAGE 0 ENGAGEMENT Purpose

CONSULTATION

PARTICIPATION

To give information about what is

To involve people in generating

proposed and to gain Feedback during

a vision, evolving ideas or

the process of developing the vision, the

developing the Strategic Brief

initial outcomes or the Strategic Brief Skills required

Listening, clear communication, simple

Empathy, listening, workshop

language skills, understanding and

facilitation

empathy (for Feedback) Methods

Leaflets, exhibitions, meetings, adverts,

Workshops, meetings, focus

social media, banners and posters

groups, social media – as well as the methods listed for ‘Consultation’, if prepared in the right way

Feedback techniques

Feedback forms, questionnaires, social

Maps, baseline data, social

media, listening and recording via

media, listening and recording

traditional or digital methods (or, ideally, both)

Table 3.5 Deciding whether stakeholders should be consultants or participants at Stage 0.

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SUSTAINABILITY CHECKPOINTS for Stage 0

Stage 0 is the point at which the vision is set and tested. It is critical to consider the vision in terms of sustainability – socially, economically and environmentally. Hence, as with all other Plan of Work stages, this is not just about environmental performance but about sustainability in the very broadest sense. It is important to consider sustainability at this point because the earlier that the project vision/statement of need – and, ultimately, the Strategic Brief – can be brought to relate to sustainability in its widest sense, the more closely these documents can inform the project and the more likely they are to be delivered.

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STAGE 0 STRATEGIC DEFINITION

KEY QUESTIONS RELATED TO SUSTAINABILITY THAT SHOULD BE ASKED DURING STAGE 0:

•

How has the Strategic Brief considered issues of economic sustainability – such as whether the project can be afforded, the impact of whole-life costing on the project, and cost in use?

•

How socially sustainable is the proposal and any options considered? Is it well located to a range of services and facilities; does it relate well to the local area?

•

What environmental performance is expected of the building? Could it achieve the highest levels of sustainability? What are the impacts of improved energy performance on reduced costs in use?

•

How do the sustainability objectives fit with the client’s vision?

•

Does the client, and any advisors, have a clear understanding of the sustainability options?

•

Is the site-selection or option process considering the sustainable potential of different sites, eg options for the location of an office development that would enable more employees to use public transport, reducing the need for large site areas filled with car parking?

•

Are the correct team skills in place to support the client’s sustainability objectives?

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INFORMATION EXCHANGES for Stage 0

A number of documents may be required or produced during Stage 0 because it can vary so much, and because different types of clients and projects will have very different processes to define, test and approve. The principal documents produced during Stage 0 will be the Business Case and the Strategic Brief, of which the former is likely to form a part. This latter document will draw together the outputs of the visioning and options process, and make recommendations as to the way forward. In most cases, the proposals for taking a project forward set out in its Strategic Brief will need an approval process in order to move on to subsequent work stages. For public-sector projects, this may be a formal committee process to identify and agree any expenditure and budgetary requirements, for both the project-development costs and construction. Commercial private-sector projects will very often require board approval, and smaller domestic projects may require bank or finance approval – or, at least, the client’s formal decision to proceed. Very rarely do projects move beyond Stage 0 without a clear decision being made. In order for these approvals to be made relevant, people will need to understand what has been concluded in the Strategic Brief and the background information related to the Business Case. In most cases, the decision to proceed with a particular project will largely depend on securing the necessary expenditure and commitment of resources. Other information – about, for instance, the potential outcomes of the project and how it could help achieve the Project Objectives – may also need to be explained and described to key parties, and summarised concisely. Other groups may also need to be informed about the outcome of Stage 0, and it is generally worth ensuring that the opportunity is taken now to consider and include them. They may include neighbours, local community or amenity groups, council officers or elected members, or others on whom the future delivery of the project might rely. It is unlikely to be appropriate to share the whole of the Strategic Brief with these groups, however, and a form of summarised relevant information will probably be needed.

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STAGE 0 STRATEGIC DEFINITION

UK GOVERNMENT INFORMATION Exchanges for Stage 0

As stated above, the Strategic Brief must be written in plain and easily understandable language; the client must be able to clearly follow and, most importantly, relate to what it says. This has direct relevance to PAS 1192:3 which refers to ‘Organisational Information Requirements’ and ‘Plain Language Questions’; the relationship of Stage 0 to PAS 1192:3 is explained in Chapter 2, Figure 2.7.

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STAGE 0 STRATEGIC DEFINITION

CHAPTER 03

SUMMARY Stage 0 Strategic Definition is about developing a clear understanding of:

• • •

What the project is. What it has the potential to achieve. Where it will be located.

It is not a design stage – it is about information, analysis and strategy. It is a client-led process, and may include specialist advisors or key members of a core project team. Stage 0 can be a quick, short process, eg to accommodate bidding for a site, or it can take a number of years to work through from an initial idea. Stage 0 is about being clear what the client wants to achieve and deliver – developing a vision or statement of need – relating this to the future stages of work in a broad plan about how and when it will be delivered. It will be informed by relevant information from Stage 7 where this provides examples of similar projects, typologies or processes. Stage 0 provides a time for considering different locations and sites through the strategic option appraisal process. This is about which might be the best, or most appropriate, site for the project, and not about proposals for what might go on that site. At the most basic level, is the site of an appropriate size to accommodate the client’s objectives? It is about developing a robust Business Case for a project, which demonstrates how that project can be funded and how its purpose contributes to the client’s needs or operational requirements. The work of defining a project is collected into a Strategic Brief, which sets out all of the issues that have been considered, what has informed the assumptions adopted, and how the preferred route was identified. This encompasses the inclusion of stakeholders/end users/others as appropriate. The purpose of the Strategic Brief is to enable a formal decision to be taken to proceed with the next stages of a project. Until sufficient information is available to allow such a decision to be made, Stage 0 is not complete.

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A

SCENARIO SUMMARIES

Small residential extension for a growing family

B

Development of five new homes for a small residential developer

Stage 0 for this residential

The developer’s Stage 0

extension was undertaken

process took place when the

informally by the owners of the

site came onto the market, and

house. They had decided that

they had to work out what they

they needed to extend. They

could afford to pay for it during

spoke to a couple of architects

the sales process.

about the options for roughly

WHAT HAS HAPPENED TO OUR PROJECTS BY THE END OF THIS STAGE?

how big an extension they

In order to be in a position to

could fit on their house and

make an offer for the land, the

how much it might cost.

developer asked his regular advisors (sales agent, architect

Once they had this information,

and engineer) to visit the

they worked out the best way

site with him and assess its

to fund the project from a

suitability for development.

combination of savings and an extension to their mortgage.

The plot had an existing semi-derelict house on it, so

The couple produced their

they needed to factor into the

own spreadsheet, estimating

programme obtaining planning

all of the costs that would be

approval for the new homes.

required, and took some advice

Initial advice from planning

from local builders on roughly

officers indicated that, due to

how long the project would take.

the size and location of the site within an existing town and in

From talking to architects

a residential area, they did not

and builders, they gained

see any problem with four extra

information about the options

units as long as the design

in terms of who should lead the

proposals were acceptable and

project: whether they needed

access to the site was agreed

the architect to manage it all

with highways.

the way through, or whether

108

the builder was able to fully

In order to secure the funding

understand their requirements.

needed from their bank, the

In order to make sure that they

developer prepared a report on

got the outcomes they had

the potential of the site. This

identified, they realised that

included an indicative housing

they would need to employ

layout from the architect, a

an architect to manage the

simple financial appraisal,

project from feasibility stage to

advice on the sales location

completion, and built the costs

from a local agent, Feedback

for this into their budget.

(Stage 7) information from

STAGE 0 STRATEGIC DEFINITION

C

Refurbishment of a teaching and support building for a university

previous schemes that they

The university had undertaken

A Strategic Brief was coordinated

had completed and sold, an

a strategic review of its

by the estates department using

email from the local authority

buildings alongside its revised

information provided by an

on the planning issues, and

proposals for teaching and

in-house and an external team.

the vendor’s site-investigation

learning over the next 10 years

This brief formed the basis of a

report. This developer’s report

in the light of changes to

board report that sought formal

constituted the Stage 0

funding.

approval for the project from the

Strategic Brief.

finance department and viceOne of the issues identified

chancellor’s office. The board

in the report was the quality

report set out proposals for

and condition of one of the

progressing the project through

teaching buildings, and how

Stage 1, and an indication of

little it was requested for use by

the likely procurement options

staff compared to other, more

beyond this for delivery by the

modern facilities.

start of the next academic year.

The university’s estates department undertook a review of the building, including asking its framework architect to look very broadly at options for what kind of uses could be included. The university is short of highquality lecture spaces, seminar rooms and informal student learning space. The Business Case for the building was developed by the estates department out of the strategic review, and concluded that the refurbishment was needed in order to continue to attract students paying the highest level of fees. The proposals for this building were considered alongside the plans for other changes and new buildings on campus, to ensure that they did not exceed borrowing requirements.

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D

New central library for a small unitary authority

E

New headquarters office for high-tech internetbased company

Council budgets are under

services, tourist information and

The growing internet company’s

significant pressure, and,

offices for other public bodies.

managing director had identified a

following a survey of residents

As well as the new central library,

need for a new, flexible building to

in the borough about where

some of its most historic and

accommodate its increasing size

cuts should be made in order

attractive library buildings were to

and its need for a strong identity,

to minimise harm, one of

be upgraded and a new fleet of

and to send a strong message

the options was to consider

library buses purchased to serve

to its competitors. She engaged

the strategic reorganisation

outlying villages. The Strategic

with some of the in-house team, in

of the libraries and tourism

Brief included an assessment

order to develop this idea, through

departments within the council.

of the various risks involved in

a number of informal workshop

the project, including planning,

sessions. It soon became clear

The authority already had a

resident objection and public-

that they would benefit from

large number of smaller libraries

procurement issues.

outside help and guidance, so a

that were expensive to run

number of high-profile architects

and maintain. The main central

The Business Case for the

were invited in for an initial

library was on a site identified for

scheme was based on the

discussion. Through this process,

comprehensive redevelopment

disposal of uneconomic existing

the team identified that they

as part of a shopping-centre-led

library sites for alternative uses,

needed an independent advisor

scheme, and the council owned

a reduction in running and

who was ‘on their side’ and who

the plot next door – a former

operating costs, and the ability

could see objectively what they

depot site.

to attract more library users to

were trying to do without needing

the newly equipped building with

to jump to a design solution.

The council’s estates department

a café, free Wi-Fi and a greater

The team found an independent

procured a multidisciplinary

range of IT facilities. Projections

advisor on the recommendation

consultant team to undertake

for user numbers, required floor

of one of the architects, and they

a libraries and community-

areas, IT, and operating costs

guided the company through the

learning options review, the

to inform the Business Case

process of identifying their vision,

conclusions of which would act

were obtained from the Stage

articulating their needs for a new

as its Strategic Brief. This project

7 information gained from other

building and establishing the

involved consultation with council

recent library developments

parameters for moving forward.

departments, library staff and

and shared as part of a cross-

They also advised on meetings

a borough-wide engagement

borough libraries strategy group.

with a range of stakeholders,

process with residents. The

including the local authority and

team’s report concluded that

The Strategic Brief was used

local enterprise partnership. A site

the council had three options for

by council officers to brief

was identified and tested through

the future of its library service.

members, and as the basis for

option appraisal, and the proposal

The preferred option was to

its decision to secure capital

was set out in the Strategic Brief.

relocate the majority of its library

funding for the scheme from the

This document was then taken

services to its main central site

council’s budget for the next four

to the board of the company for

in a new high-tech building that

years.

approval to proceed to Stage 1,

also included other information

and to agree the expenditure of the resources needed to produce

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the Initial Project Brief.

STAGE 0 STRATEGIC DEFINITION

111

CHAPTER 04

STAGE 1 PREPARATION AND BRIEF

Stage 1

Preparation and Brief Task Bar

Tasks

Core Objectives

Develop Project Objectives, including Quality Objectives and Project Outcomes, Sustainability Aspirations, Project Budget, other parameters or constraints and develop Initial Project Brief. Undertake Feasibility Studies and review of Site Information.

Procurement Variable task bar

Prepare Project Roles Table and Contractual Tree and continue assembling the project team.

Programme

Review Project Programme.

Variable task bar

(Town) Planning Variable task bar

Suggested Key Support Tasks

Pre-application discussions may฀be฀required฀during฀this฀stage฀to฀discuss฀and฀ determine฀the฀suitability฀of Feasibility Studies. Prepare Handover Strategy and Risk Assessments. Agree Schedule of Services, Design Responsibility Matrix and Information Exchanges and prepare Project Execution Plan including Technology and Communication Strategies and consideration of Common Standards to be used. The฀support฀tasks฀during฀this฀stage฀are฀focused฀on฀ensuring฀that฀the฀project฀ team฀is฀properly฀assembled฀and฀that฀consideration฀is฀given฀to฀the฀handover฀of฀ the฀project฀and฀the฀post-occupancy฀services฀that฀are฀required.

Sustainability Checkpoints

•฀฀Confirm฀that฀formal฀sustainability฀targets฀are฀stated฀in฀the Initial Project Brief. •฀฀Confirm฀that฀environmental฀requirements,฀building฀lifespan฀and฀future฀climate฀ parameters฀are฀stated฀in฀the Initial Project Brief. •฀฀Have฀early฀stage฀consultations,฀surveys฀or฀monitoring฀been฀undertaken฀as฀ necessary฀to฀meet฀sustainability฀criteria฀or฀assessment฀procedures? •฀฀Check฀that฀the฀principles฀of฀the฀Handover Strategy and฀post-completion฀ services฀are฀included฀in฀each฀party’s฀Schedule of Services. •฀฀Confirm฀that฀the฀Site฀Waste฀Management฀Plan฀has฀been฀implemented.

Information Exchanges (at stage completion)

Initial Project Brief.

UK Government Information Exchanges

Required.

CHAPTER 04

OVERVIEW This chapter is about Stage 1 Preparation and Brief, a pre-design stage that follows on from the client-led activities of Stage 0, which focus on deciding what a project is and whether it is a serious proposition. During this stage, clear Project Objectives need to be developed in order to shape and steer the project through subsequent work stages. This stage is about defining and developing both a robust and appropriate approach to the ‘processes’ needed to deliver a project and the Project Outcomes that will determine its success. Of key importance at this stage is ensuring that appropriate briefing is a defined and specific task, and that it has a distinct start point and a distinct end, or sign-off. Preparing an effective Initial Project Brief, and appointing the team that needs to do both this work and future work stages, is not something that can be accommodated into other work stages. The ‘preparation’ in this stage is about preparing to undertake the design stages of the Plan of Work that commence at Stage 2. This preparation will include Feasibility Studies, Project Budget and Project Programme. This chapter sets out why briefing has such a big impact on Project Outcomes, and identifies the work that needs to be done and the issues that need to be considered as well as who should be involved. It also relates this stage to the Plan of Work task bars Procurement, Planning and Programme. Key questions around support tasks, Information Exchanges and sustainability are also considered. This chapter sets out:

•

What needs to be considered during Stage 1 for both the core and support tasks.

• •

How to make the most of earlier work undertaken at Stage 0. How to ensure that Stages 2 and beyond are set up effectively.

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WHAT IS STAGE 1, AND WHY DO WE NEED IT? Stage 1 is about preparing for and shaping the future of the project in a way that manages the various risks in order to help define and achieve the best outcomes. This stage will be heavily informed by the work undertaken at Stage 0, and together they are about achieving the best possible start for a project. A project vision and Strategic Brief developed as part of Stage 0 will need to be turned into clear Project Objectives and Project Outcomes during Stage 1 – and, hence, are of critical importance for effective delivery. Any good building project is really only successful if it works for the people that use it and those who own and manage it at all stages through its life cycle. Research by CABE (and others), set out in Creating Excellent Buildings: A Guide for Clients 2003, demonstrated that the earlier an effective brief is considered, tested, discussed and agreed, the more likely it is that it will be achieved. Whether undertaken as a formal and separate work stage, or more informally by the client, the work done as part of Stage 0 will have already helped to define the project. The Business Case for the project should be understood, and a Strategic Brief put in place to form the starting point for Stage 1. Stage 1 is a time for the briefing and preparation that is needed to help ensure that subsequent stages of work, and specifically Stage 2 Concept Design, are as productive as possible. It is about taking information from Stage 0, in whatever form it is in, developing it and moving that information forward as the basis for Stage 1 outputs. This means taking the vision from the Strategic Brief in Stage 0 and using it to shape the Project Objectives in Stage 1. Taken together with the Project Outcomes, this will define the ‘purpose’ of the project. At the end of this stage, the project should be set up to move forward to Stage 2 Concept Design with a robust, informed and well-developed Initial Project Brief and the appropriate team members in place.

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STAGE 1 PREPARATION AND BRIEF

WHAT IS A PROJECT OBJECTIVE AND A PROJECT OUTCOME? An excellent way to start working with the client group, project team or design team at an early stage is to work together to set clear objectives for the project and to prioritise them. Ideally, all objectives should be ‘SMART’ (Specific, Measurable, Achievable, Relevant and Timely). This is not always easy, and sometimes this can take time and refinement to get right. Stage 1 is a great opportunity to take initial Project Objectives, identified at Stage 0, and to shape, refine and develop them to form the basis of the Initial Project Brief.

PROJECT OBJECTIVES ARE:

PROJECT OUTCOMES ARE:

Qualitative principles that will shape and inform the

Quantitative and measurable targets, by which

scheme and the Initial Project Brief, and which should

the scheme can be assessed and its success

form an evolving basis for deciding how a project will

tested throughout the design, delivery and post-

deliver what is needed.

occupancy stages

These could include considerations such as:

These could define issues such as:

•

•

Qualitative aspirations for a landmark building,

floor space required.

appropriate to the project’s purpose and site.

•

Requirements for a project to create simple street

•

Sustainability as a defining feature of the project,

•

• •

for that building type.

•

•

Specific sustainability targets, eg BREEAM ‘Excellent’.

A desire for award-winning architecture that becomes a recognised example of best practice

Fixed programme targets that shape the delivery of the scheme.

including considering whole-life costing. Minimising future maintenance implications.

The number of people to be accommodated in an office building.

buildings that relate well to its context.

•

The number of residential units or amount of

•

A need to reflect specific organisational structures, data requirements or systems.

A need to support new ways of working and efficiencies in use.

Table 4.1 Project Objectives and Project Outcomes.

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WHAT TASKS ARE INCLUDED IN STAGE 1 of the RIBA Plan of Work 2013? Stage 1 is about defining what the project will be, and the tasks required as part of Stage 1 are focused on what is needed to move the project forward to Stage 2 when the design work will start. The tasks undertaken during Stage 1 are focused on the core objectives. These are to:

•

Develop the Project Objectives and the Project Outcomes, as these will be the benchmarks by which the project is tested and its success measured through design, construction and in-use performance. They often relate to what the client values about the project, and what it needs to achieve in order to work for them and for the end users.

•

Set high-level Sustainability Aspirations response and approach to energy and sustainability as the project develops.

•

Gather and analyse detailed information on how the project will need to work, what it should include, and who it is for.

•

Understand and analyse Site Information, including undertaking Feasibility Studies to test that the brief is achievable and deliverable.

• • •

Scope out the Project Budget. Develop a strategic Project Programme. Assemble the project team, the Schedule of Services, Project Roles Table and the Contractual Tree, which will define what each of the team members needs to do and how they will work together.

• •

Align this information with the Design Responsibility Matrix. Undertake a range of support tasks including the Handover Strategy, Risk Assessments, Project Execution Plan, which ensure that future project requirements inform the early stages of the work.

The work undertaken across these tasks will be ‘captured’ and reported in the Initial Project Brief. The other principal task that sits alongside this work during Stage 1 is the assembly of the project team itself.

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STAGE 1 PREPARATION AND BRIEF

In addition to these core tasks, the tasks bars for Stage 1 focus on Procurement and Information Exchanges as most important at this point. The Stage 1 task bars are:

•

Procurement – This stage is about appointing the project team, which includes setting up the relevant project information to support this. It covers how the team is assembled, how the required roles will be identified and defined, and how the expectations on who should do what will be set out.

•

Programme – Setting out a strategic Project Programme based on key project milestones and relevant advice from team members about what is deliverable and achievable. This will set out an ‘ideal’ timescale for all of the future stages of the Plan of Work in order to help decisionmaking, and is useful even if it is known that it will change.

•

Town Planning – This new task bar is about testing the principle of development with reference to planning policy and pre-application discussions with the planning authority and others.

•

Key Support Tasks – Working out the secondary tasks that are needed at this stage to support the principal activity of making an informed Initial Project Brief and establishing the project team.

•

Sustainability Checkpoints – Ensuring that a clear set of objectives for sustainability is in place, and that they are appropriate to the scale and complexity of the project as well as planning and other compliance requirements.

•

Information Exchanges – Ensuring that the Initial Project Brief is in a format that is appropriate and clear, and is shared with the right people at the right time.

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IT’S NOT JUST WHAT YOU DO IN STAGE 1 THAT MATTERS, IT’S HOW YOU SET THINGS UP TO WORK IN THE FUTURE THAT REALLY COUNTS Setting up a good project is not just about the information that you have and what you do with it, but is also about how the project will be run and managed. The relationship between what you do and how you do it is key to delivering projects well. Just having the information in place and the schedules completed is not enough if the structures for achieving an effective team are not actioned and delivered. An example of this is where a design-led high-quality building is required as a project objective but the appointed designers are given very little say in the project, and are sidelined by others on the project team. In this case, the structure of the project has not been set up to achieve the core design-focused objective. For a project to be delivered effectively and efficiently, the information produced, the behaviour expected of the team (and evidenced through their procurement) AND the way it is managed all need to relate to each other and be shaped around the Project Objectives and Project Outcomes. A key question to ask is: ‘How can I help make the project team most effective at achieving the Project Objectives?’

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STAGE 1 PREPARATION AND BRIEF

DEVELOPING THE INITIAL PROJECT BRIEF What is an initial brief, and what should it look like? There is no set format for what an Initial Project Brief should look like, but it should always comprise a structured written document with supporting information that is presented in a way that allows it to be shared with others and is accessible to those who need to use it. A key role of the briefing stage is to produce something – the Initial Project Brief – that will act as a record or summary of relevant discussions, client requirements and site constraints, which must all have been identified. The information should be clearly presented, easily read and simple for others to understand – both now and in the future. Briefs that are too long, poorly laid out, badly explained or containing unnecessary information are much less likely to be effective.

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WHAT DOES SIMPLE BRIEFING INFORMATION LOOK LIKE? It is clear

It is well structured, easy to understand and does not rely too heavily on jargon or unexplained technical detail. Some of the parties that need to approve the brief may not understand the technical detail, so this can be included in appendices.

It is editable

Since the Strategic Brief should inform the Initial Project Brief, and this is then further developed to form the Final Project Brief, it makes sense for this to be in an editable format for those who may work on it in the future.

It explains why

Rather than just giving information as fact, explaining the rationale behind key decisions and requirements makes it much easier to understand and less likely that these are ‘unpicked’ in the future.

It has context

It shows how it relates back to the Strategic Brief (or relevant strategic briefing work) from Stage 0, and how it needs to evolve and firm up to form the Final Project Brief at Stage 2.

It is explained, referenced Briefs do not need to be lengthy, but it can be helpful for them to refer to other and evidenced

(available) documents or references so that those using the brief can confirm technical or contextual detail in the future. Key reference documents will include Feasibility Studies and Site Information.

It is comprehensive

Briefs need to cover a broad range of issues and details in a way that is appropriate and proportionate for the size and complexity of the project. Simple and concise briefing documents are suitable for all but the most complex projects.

Table 4.2 The initial brief is the result of a series of tasks that lead to knowing more about the proposals, site, client and project requirements. The briefing undertaken at Stage 1 is about progressing the client’s detailed briefing requirements. A vitally important part of any project is that the work done is appropriate and proportionate to the outcome that is required, and related to the particular stage that the project has reached at the time. This is as true at briefing stage as any other, and the process of developing and forming the brief should help define what ‘appropriate’ and ‘proportionate’ means in each particular case. This will be related BOTH to project size and also the complexity of the project, building or site.

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A guide to simple briefing information.

STAGE 1 PREPARATION AND BRIEF

For example, an initial brief for a small domestic project might only be a few pages of A4 text with some reference images, whereas a fully developed initial brief for a technical office building might be a thick, bound and illustrated document including extensive technical data and flow charts about how the spaces will be used. Conversely, some small but complex projects require larger briefs and some large but simple projects will need smaller ones.

B R IE F P R OJ E CT nt office Replaceme scheme und 1 . Backgro quired 2. Clients re nts l requireme 3. Technica ent d procurem 4. Team an g and fundin 5. Delivery strategy

to Extension d, SW21 43 Old Roa B R IE F R E

Q U IR E M E

NTS

___ _________ _________ ___ _________ _________ ___ _________ _________ KEY R IS K

S

___ _________ _________ ___ _________ _________

4.1 There is no set format for what an Initial Project Brief should look like, but it should be identifiable, collated and dated.

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How is the Initial Project Brief different from the Strategic Brief ? The Strategic Brief produced at Stage 0 will reflect the nature of the information needed to support the defining the idea and potential of the project. As detailed in the previous chapter, it will contain high-level information that sets out why a project is needed and what the client’s considerations have been in order to decide to proceed with the next stages. The Strategic Brief’s role is different from later briefs in that it sets the scene for the project but will not yet contain detailed proposals about building requirements or procurement. At Stage 0, the client may want a project but not have a defined site; alternatively, they may have a site but be unclear what can be accommodated on it. By the outset of Stage 1, both of these issues should have been resolved. The Initial Project Brief will take information from the Strategic Brief, including any site options appraisal work that has been undertaken, and the Business Case, which is likely to inform the budget and programme considerations. It will also need to refer back to review and Feedback produced as part of Stage 7, which will have been considered during Stage 0. This might include examples of other relevant projects. In terms of going forward, the Initial Project Brief will need to anticipate and be clear on the elements of the project that will need to become more fixed and definite as it moves into the design stages. Formulating the brief is not a design stage of the project, but it is about creating the conditions for good design and the delivery of high-quality projects that meet Project Objectives and Project Outcomes. The Final Project Brief comes later, at the end of Stage 2, and is a further iteration of the Initial Project Brief. It is sometimes also included within the Employer’s Requirements (ERs) at the relevant stage for that project.

How do you work out what sort of Initial Project Brief is needed? Good briefing and preparation is about asking a range of pertinent questions and understanding the implications of the answers. These questions should be very broad, and can be about how the project will be used, its site and servicing requirements, planning-policy considerations, the team needed to deliver it, and its programme considerations. In effect, the Initial Project Brief

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is about shaping the questions that will be tested and answered from Stage 2 onwards. A common difficulty is that the problem to be solved is not defined clearly enough, and instead the team start using design to fill this void. It is important to avoid designing too early because:

•

This often gets ‘unpicked’ through subsequent client reviews or changes to a brief.

•

It is hard to demonstrate that the client requirements are fully understood and therefore addressed.

•

Without a clearly formulated and signed-off brief, there will be abortive work and wasted resources.

In order to decide what is needed at this stage, it can be helpful to think about the questions the project team will have as they start Stage 2. It is best to avoid jumping to solutions and to focus on the information that is needed and the testing required, so as to be confident that it can be made to work.

KEY QUESTIONS TO SHAPE THE BRIEF

POSSIBLE RESPONSES

What does the client want from this project?

Scope out Project Objectives and Project Outcomes

What type of project is this going to be?

Some examples might include: highly technical, constraints-driven, design-led, complex, deliveryfocused, budget-constrained, highly sustainable, bestpractice – or a combination of the above

What information needs to be gathered in order

Site Information (topographical and building surveys),

to be able to move in an informed way to the next

operational client requirements, client procurement

stage of work?

constraints, programme drivers, relevant standards and best-practice guidance

What information needs to be undertaken to

Feasibility Studies; viability appraisals; desktop reports

make sure that the next stages are appropriately

on relevant issues such as archaeology, ecology or

informed?

ground conditions; high-level cost review

Who needs to be involved in or consulted as part of

Wider client group, user groups, stakeholders, planners,

the production of the Initial Project Brief?

specialists, funders, neighbours, community, technical advisors, etc.

Table 4.3 Questions to shape the brief.

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At the end of this process, it should be possible to be much clearer about the purpose, scope and objectives of the project. The role of the brief at this stage is to gather together all of this information and, through the briefing process, to set out the requirements of the project. This may include being clear about what is achievable – for example, being realistic about the project budget or the capacity of the site – and setting out parameters for assessing future responses to the brief.

What does the client actually need, and is this different from what they think they want? Helping the client or client organisation find out what they need from the project is the most important part of the Initial Project Brief, as it goes to the core purpose of the project itself – the Project Objectives and Project Outcomes. Some clients will be able to formulate the brief for themselves, but there is very often a value in it being prepared by an independent or specialist advisor who can look more objectively at the issues raised. Put simply, this process is about asking questions, describing what is needed and why it is needed, and what the client and others who will use or be involved in it see as important. Client briefs can vary considerably. Some will have detailed technical requirements, others will be very broad and open. Some will include specific design intentions, eg room data sheets or complex technological requirements, and others will be intentionally loose. The key is to get an appropriate amount of relevant information for that specific project and ensure that it relates to the Strategic Brief and Business Case from Stage 0. If all of the necessary information is not there, then further specific studies or investigations will be needed.

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It is also important to consider that, broadly, there are two different types of client:

•

Those who are the end users of the project, eg schools, businesses, manufacturers, homeowners or public-sector groups/organisations.

•

Those who are developing the project for other end users, who may or may not be identified before completion of the project – eg developers.

Briefing and preparation should consider that projects need to work commercially AND operationally both for those who will deliver a building and those who will use it once it is complete. A brief needs to consider both of these groups’ needs, and, in an ideal world, would include both of them in its preparation.

Why helping the client to develop clear Project Objectives is so important in achieving good Project Outcomes Establishing, testing and agreeing clear and measurable Project Objectives is, in many ways, the most important aspect of the early stages of a project. These objectives should form the core of any project brief and set the high-level intentions and priorities of a project so that they can inform any Feasibility Studies during Stage 1 and design development from Stage 2 onwards.

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EXAMPLES OF PROJECT OBJECTIVES PROJECT SCENARIO

EXAMPLE PROJECT OBJECTIVES

A. Small residential extension

•

currently.

for a growing family

B. Development of five new homes for a small residential

More living space with a better quality of light than the house has

• •

To maximise the use of low-impact and sustainably sourced materials.

• •

To deliver five new homes that relate to market requirements.

To be completed by next December.

To respond to planning officer’s comments positively, in order to help ensure a smooth ‘ride’ through the application process.

developer

•

To deliver a high-quality product that forms the basis of the company’s growing reputation.

C. Refurbishment of a teaching

•

To deliver a profit.

•

To create better lecture spaces suitable for current teaching methods,

and support building for a

improved staff facilities and a range of easily accessible seminar

university

rooms and shared learning spaces.

•

To focus on the delivery of the scheme within the cost envelope identified, and to change the scope of the project to fit this.

D. New central library for a

•

To consider new ways of engaging with technology, in order to encourage reading and to extend the use of the library.

small unitary authority

•

To create a high-quality working environment that encourages staff retention.

•

To provide informal and formal opportunities to engage with a range of reading materials and local history.

E. New headquarters office

•

status of the company.

for high-tech internet-based company

To deliver a significant landmark building that reflects the growing

• •

To deliver a range of flexible and creative working environments. To anticipate future technical-specification and data requirements for internal and external communications.

Table 4.4 Project Objectives for different types of project.

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A key skill required of those working on brief preparation is to really challenge the brief they have been given and, as far as possible, to be sure that this is actually what is required. As much as some clients will have the appropriate skills to assess their own requirements, there are many others who will not. For them, a specific briefing process to assess their needs will require targeted external support.

WHAT HAPPENS WHEN PROJECT OBJECTIVES ARE NOT SET OUT CLEARLY AND AGREED DURING STAGE 1?

• •

The design team undertakes abortive work at Stage 2. A team might be appointed without a skill set that matches to the client’s requirements.

•

Key Site Information might be missed, delaying progress and the start of Stage 2.

•

Brief changes are more likely later on in the process.

What should the Initial Project Brief include? There are various lists of information set out in the Plan of Work and other useful documents about what should be considered and reported on in the Initial Project Brief. This list will vary by project type and size. It should include relevant information from Stage 0 and the Strategic Brief, where available, as its starting point. It makes sense for the brief to follow the task bars in the Plan of Work.

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HOW THE PLAN OF WORK SHOULD INFORM THE INITIAL PROJECT BRIEF

•

Project Objectives and Project Outcomes, ideally prioritised based on discussions with the client/organisation and relevant stakeholders.

• •

Quality Objectives. Background information on the client organisation and user requirements.

• • •

Technical project requirements and detailed briefing. Approach to sustainability. Review of Feedback from earlier or similar projects (collected as part of Stage 7 on a range of other projects, either for the same client or others).

• •

Site Information, sometimes informed by Feasibility Studies The outcome of relevant Feasibility Studies undertaken to inform the project brief.

•

The Project Budget, and any specific requirements related to the project’s funding arrangements.

•

An outline Project Programme and anticipated procurement strategy related to both the project team procurement and contractor procurement routes.

•

The structure of the project team, including roles, contractual working arrangements and, specifically, how it should be managed.

•

Details of further information needed at subsequent stages, and when this is expected to be required or available. Information Exchanges, and how this information is to be shared.

•

130

Analysis of previous relevant projects or examples.

STAGE 1 PREPARATION AND BRIEF

The content of each section of the brief will vary, and the list of contents will be specific to each project or client. In any case, a brief should start with introducing the project, explaining it, describing the site and technical requirements and cross-referring to relevant background documents. The brief should also set out how the team will operate, the different team roles and responsibilities, and the next steps. For some projects, where a contractor is to be appointed early – for example, during Stage 2 – Employer’s Requirements (ERs) may also be required as brief-related outputs.

Scoping the Initial Project Brief In all cases, consider whether the information is necessary, useful AND appropriate. Concise and clear information is always better than unnecessary and irrelevant detail.

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LIST OF CONTENTS FOR INITIAL PROJECT BRIEF

LIKELY SCOPE AND CONTENT TO BE INCLUDED

Introduction/vision

This should set the scene for the project and summarise the vision for what is to be achieved. It should set out the background on the client, and how the client (team) is to be part of the project.

Project Objectives and

This should set out clearly the client’s and end users’ Project Objectives, including

Project Outcomes

those related to quality, and the Project Outcomes that they want to achieve. The above should be two separate, prioritised lists set out in such a way that they can be used to assess the progress and success of the scheme at future review points.

Project requirements

This should set out the project requirements at an appropriate level of detail. This will

(which may include or

be based on the outcome of Feasibility Studies and viability appraisals, as well as

separately cover technical

site options testing that may have taken place at Stage 0.

requirements)

It should set out relevant standards and guidance that the project must relate to – eg C4SH (Code for Sustainable Homes), BREEAM, London Housing Design Guide, HCA (Homes and Communities Agency) DQIs (Design Quality Indicators), BCO (British Council for Offices) guidance, Sport England guidance. It should include the Sustainability Aspirations of the project. The project requirements may take the form of lists of areas, room sizes or numbers of users, or may be descriptive of the functions and processes that the project needs to accommodate. For large and detailed projects, this may include room data sheets, detailed technical specifications, organisational or flow charts and other project-specific requirements.

Key issues (not all issues –

This should summarise the most relevant issues, challenges and requirements

focus on the relevant ones!)

that are raised by the brief. This might include planning issues, site constraints, capacity issues, organisational challenges – whatever is most relevant in that case. This simplified information means that a team responding to the brief will be better able to understand the project in the way that is intended by those putting the brief together. This section should also identify what is not known at this stage of the project, or where information is missing or incomplete. It should include the project risks.

Table 4.5 A contents list for the Initial Project Brief.

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LIST OF CONTENTS FOR INITIAL PROJECT BRIEF

LIKELY SCOPE AND CONTENT TO BE INCLUDED

Site Information

This should include background information on the site, including due diligence and baseline data on relevant issues. This may include services, ecology, transport, archaeology and heritage, trees, drainage, topography and existing uses. Lengthy or detailed documents should be in an appendix.

Relevant background

This may include or refer to Stage 7 In Use data or the outcomes of previous

information

projects, a review of other similar relevant building types or projects, the Stage 0 Strategic Brief and/or the Business Case. Feasibility Studies are key background documents that inform the project brief; their conclusions should be summarised in the main report. This should focus on including or referencing information that is useful to those responding to the brief, now or in the future. It should set out what information was used to underpin the decisions that led to the Business Case, Strategic Brief or Initial Project Brief, or other supporting documents. This will include the outcome from any relevant Research and Development undertaken during this stage or otherwise. Links to relevant online information can be as useful as including the information itself.

Project Programme

This should set out key delivery milestones for the project and the anticipated programme from Stage 2 onwards. This might be based on the duration of the stages or related to specific time-bound deadlines.

Project Budget

This should set out both the Project Budget and information around whether it is fixed or variable, how it is funded and whether it is reliant on funding from other sources – eg grants or residential sales. It should include any restrictions on how the budget may be spent.

Team/process/Information

The brief should consider how the project team will be managed, and also how they

Exchanges

will share information and communicate. This will include any Common Standards to be used, part or all of the Project Execution Plan, and the Technology Strategy and Communication Strategy. It may also include the Design Responsibility Matrix, Contractual Tree and Project Roles Table.

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WHAT OTHER ISSUES SHOULD YOU CONSIDER in preparing the Initial Project Brief? •

The project team – Time should be taken to consider how the process of preparing the project brief can help with the identification of and cohesiveness of the project team; should these be integrated or separate processes?

•

Changing standards – Whether standards and guidance that are current at the time of initial brief production may change. Where known, impending or likely changes should be identified and anticipated.

•

Specialist advisors – Some types of building or use may need specialist advice, either as part of the brief-production process or in the project team going forward. Ensure that the brief and Project Roles Table/Contractual Tree set out where this is required and at what stage.

•

Reference earlier work – Make sure that the brief includes and references the work undertaken at Stage 0 and other work during Stage 1, so that it does not try to ‘reinvent the wheel’.

•

Client sign-off – During the process of developing the brief, key information will need to be signed off by the client organisation and key decisions will need to be made as part of this process. The project should not proceed on to the next stage unless the brief is agreed with the client group and other relevant parties.

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What Feasibility Studies are needed to inform the Initial Project Brief ? The project vision established at Stage 0 may be deliverable in a number of different ways. Feasibility Studies at Stage 1 are project-related investigations that test a range of site, brief, capacity, cost and viability issues in order to ensure that the scope and potential of the project is clearly understood and to inform the project as it goes forward. Feasibility Studies are more specific than the site options appraisal that may have taken place during Stage 0 to help determine if a site was suitable. In many cases, a Feasibility Study is the first task of a project team; in other cases, it may already have been undertaken by the time the project team, who will take the project on from Stage 2, are on board. Either way, it will be coordinated by a project lead with support and input from appropriate members of the project team. Feasibility Studies usually represent the first time that Site Information and Project Objectives are brought together, and, most importantly, capacity options for the proposal are tested. This is also when viability testing is undertaken that will inform the Project Budget and a review of the Business Case. The need for Feasibility Studies will depend on:

•

The need for key issues raised by the client brief to be tested against site-specific considerations.

• •

How important it is to consider alternative approaches and options. The need to test and inform the Initial Project Brief in order to be clear that it is possible.

• •

The need to scope out cost, financial and legal considerations. Whether project funders or clients require a Feasibility Study to demonstrate the potential and scope of the project, in order to proceed.

•

A detailed understanding of the design issues raised during Stages 0 and 1 and the need for design analysis to inform Stage 2.

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Garden room

Garden

Existing house

Extension

Garden

Existing house

Extension Existing house

Extension

Road

Road

Road

FEASIBILITY STUDY OPTION 1 GARDEN ROOM AND TWO-STOREY SOUTH-FACING EXTENSION

FEASIBILITY STUDY OPTION 2 LINEAR KITCHEN DINING EXTENSION AND PORCH

FEASIBILITY STUDY OPTION 3 TWO-STOREY REAR EXTENSION AND REMODELLED ENTRANCE

Easier to deliver, but does not provide the expanded living space that the family needs

Relates well to the garden and house, but may impact on neighbours so limited to single storey

Extension north facing and may reduce daylight into the core of the house. Least impact on the neighbours

4.2

Who is best placed to write and ‘hold’ the brief (architect, project manager, or other specialist)? It doesn’t necessarily matter who writes the brief, but the critical factor is that whoever does approaches it in the right way and that the client is committed to it. The author should normally have relevant experience, the confidence to talk to the right people and the ability to express the project requirements clearly to others. In many cases the Initial Project Brief will be written by the project/client lead and/or the lead designer, either of whom would continue to have a role into the next stages of the project. The Initial Project Brief will have a lasting physical, social and environmental impact through all stages of the project design and construction, and on the people who use the finished building. For this reason, input to the brief from key stakeholders and, ideally, end users is very important. Stakeholders

136

Feasibility Studies test different physical configurations or project scenarios on a given site, in order to assess what can be accommodated and whether it might be made to work.

STAGE 1 PREPARATION AND BRIEF

should be consulted during the production of the brief and involved in the review and sign-off process once it is completed. The level of engagement with stakeholders as part of the preparation of the Initial Project Brief will vary for projects of different scales and complexity. Some projects will require extensive consultation, including with other parts of the client organisation, external agencies, user groups and adjacent land/ property owners. In some cases, it may be more appropriate for the Initial Project Brief to identify further stakeholder and user-group consultation at subsequent stages, and as part of Stage 2 when the Final Project Brief is developed and agreed. Once agreed, the Initial Project Brief is not a static, fixed document. It needs to remain at the forefront of the project at all stages, being updated, referred to and signed off as necessary. It should be clear whose responsibility it is to ‘hold’ the brief and ensure that it continues to inform project development appropriately. Mid-stage amendments to the brief need to be treated seriously in order to avoid abortive work. Any significant changes to the brief beyond Stage 1 may mean restarting design work.

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PROCUREMENT: APPOINTING the project team The other principal activity to take place in Stage 1 Preparation and Brief is the identification, structure and appointment of the project team. This team needs to be carefully considered, effective and appropriate for the project. There are two key issues for the client to address at the outset of this stage, and for which different skills and experience may be required:

•

What further help does the client need with Stage 1, over and above the team that are working on the Initial Project Brief?

•

What project team does the client need to design and deliver the project, ie the work from Stage 2 onwards?

In some cases, and particularly for smaller projects, this may be the same team as the one that worked on the initial brief; in other situations, specialist team members may be required in order to reflect the different needs of Stage 1 and Stage 2 work. Public-sector clients, who are subject to publicprocurement rules, will generally have more complex team-appointment issues to consider than private-sector clients, although this is unlikely to change the range of skills that are required – merely, how the team members are identified and appointed. For public-sector bodies, it is worth preparing a team-procurement plan to ensure that the right team are in place at each stage and that key knowledge and skills are not lost through poorly timed or administered project-team retendering processes.

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STAGE 1 PREPARATION AND BRIEF

The benefits of a well-thought-through and cohesive project team that are appointed at the right time and work effectively together are well established. They include:

•

Making a project easier to run during the design, construction and operational stages, and spending less time blaming others and more time arriving at optimal solutions.

•

Avoiding delays while additional or specialist team members are put in place and the responsibilities of different team members are agreed.

•

Matching team skills (rather than roles) to the Project Objectives (including, specifically, the Quality Objectives), making it more likely that these will be achieved.

THE COLLABORATIVE PROJECT TEAM The RIBA Plan of Work 2013 considers the appointment and collaboration of the whole project team, rather than just the design team. The detailed proposals and tasks required to set up a team that is properly collaborative are set out in the RIBA publication Assembling a Collaborative Project Team by Dale Sinclair (RIBA Publishing, 2013).

Getting the right team and structure in place is about achieving the best possible start to a project, and making sure that the right team of people – with the correct skills, knowledge and expertise – are involved, and that they are clear what their roles are at each stage. All of this information should be set out clearly in the Project Execution Plan (PEP), which is formulated and developed during Stage 1. This document sets out the processes and protocols to be used to develop the design, including the Design Responsibility Matrix, the professional-services contracts used to appoint the team members, the Schedules of Services that define what is expected of each of them and the Project Programme. The PEP is sometimes called a ‘project quality plan’. It should also set out what decisions need to be made by whom at each stage, as a lack of timely decision-making is a major factor in delay and abortive work.

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N E C UTI O X E T C E P R OJ 5/02 DATE: 0 T: 1162 P R OJ E C 2 STAG E:

P LAN

N:1 S E CTIO DATE: R EVIEW 03/02 P RACTIC

E

R O LE S ECT ARCH IT ER E NG IN E CH APE AR LAN DSC _____

_______ ISS U E S _______ _ _ _ _ _ _ ____ _______

_______

___ R IS KS _______ _______ _ _ _ _ _ _ ______

____

S _______ ACTION _______ _ _ _ _ _ _ _____ _______

4.3 The introduction to a simple Project Execution Plan for the small domestic extension in Scenario A, showing who is expected to do what and when.

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STAGE 1 PREPARATION AND BRIEF

Who are the project team during Stage 1? The first consideration is the team needed to undertake Stage 1 itself. This will include some or all of the following:

•

In-house members of the client organisation, with appropriate skills and experience.

•

External advisors with built-environment skills and experience of brief writing and analysis (client design advisor, or related built-environment professional).

•

Members of the future project team (architect, project manager, lead designer, etc.).

In most cases, formulating the Initial Project Brief requires the collaboration of a number of parties, with one person identified as lead in order to draw all of the threads together. The appointment and briefing of this team is something for which the client may need specialist advice or support. The skills of the coordinator of the Initial Project Brief will need to include:

•

Analytical skills, gathering information and working out what is relevant and important.

• •

Synthesising and prioritising information from a range of sources. Anticipating and visualising the future stages of the project, in order to flag up issues in advance.

•

Clear presentation and writing skills that can be readily understood by others.

•

Capacity-building, to include all of those who need to contribute to the brief, or who have a view on what the Project Outcomes should be.

•

Being timely and proportionate, so that the brief-writing process does not turn into a bigger issue than necessary – or even, inadvertently, kick-starts the design stages of the project.

The second set of priorities involves identifying, procuring and appointing the team needed to deliver subsequent stages of the project. This is a specialist task, and one for which most clients will need advice on the range and nature of skills required at different stages.

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MATCHING SKILLS TO OBJECTIVES: GETTING THE RIGHT TEAM, NOT JUST ANY TEAM EXAMPLE PROJECT OBJECTIVE

EXAMPLE OF SKILLS REQUIRED

Support the client from initial idea

Experience of brief writing, Building Regulations and planning,

(Stage 0/1) through delivery to

knowledge of local contractors, experience of running tenders and

handover (Stage 6)

providing support during construction and handover

Achieve BREEAM ‘Excellent’ rating

Experience of what this means at all stages during construction and delivery – and, ideally, of achieving it in practice Specialist support role likely to be required, in order to assist design team

Minimise the planning risk of the

Specialist understanding of planning policy and constraints, ability

project in order to move through to

to advise and work with the design team, and knowledge of how

delivery stages

to effectively engage with the planning system to achieve the right planning permission for the client

Deliver an award-winning design

Keeping high-quality design as the focus of the scheme: design-led

that reflects the strong ethos and

team are more likely to be able to accomplish this

aspirations of the client organisation

Experience of award-winning design-led projects or design-focused team procurement – eg competitions Focusing on qualitative criteria for appointments

Deliver a low-maintenance building

Understanding the limitations of what an organisation can realistically

that fits within the client’s existing

achieve in terms of maintenance (applies especially to some public-

maintenance and management

sector clients)

programme

Realising that maintenance requirements may need to be understood by future owner-occupiers (for other, private-sector clients)

Deliver the project through a codesign process with local residents

Willingness to work with others and share ideas Communicating effectively with non-professionals Some members of the team, eg designers, will need these skills more than others

Table 4.6 Skills needed for specific Project Objectives

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Which project team members are needed when? At Stage 1, the team and processes that will govern the whole project are being established and set out within the Project Execution Plan. A key part of this plan is setting out who the future project team will need to include, and when they will be needed. It should differentiate between who is needed as part of the core project team and when specialists are likely to be required. The PEP should be appropriate and proportionate for each project, and need not be lengthy or complex – it is about thinking through what you expect to be needed at each stage by making reasonable, sound assumptions. For simple projects, it might comprise a single sheet of A4 paper. For complex projects, a larger multi-sectional document will be needed. A key focus for preparing the PEP at this stage is about understanding the client organisation, their needs and expectations. In the Plan of Work 2013, the team-related information is set out in three main places, each with a different role and purpose but designed to help work out who is needed when, what they are responsible for, and how they will relate to others in the team. These are:

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

•

A Project Roles Table that sets out the roles required on a project, as well as at which stages those roles will be required and the parties responsible for them.

PROJECT ROLES SIMPLE DOMESTIC PROJECT STAGE 7

Client Architect Engineer Ground worker Main contractor Joiner Gardener

4.4 A simple Project Roles Table for a small residential project.

144

0

1

2

3

4

5

6

7

STAGE 1 PREPARATION AND BRIEF

•

A Contractual Tree, which is a diagram that sets out the contractual relationship between the client and the parties undertaking the roles required on a project.

CLIENT

ARCHITECT

CONTRACTOR CONTRACT ADMINISTRATOR

FIRE ENGINEER

ENGINEER

LANDSCAPE ARCHITECT

SPECIALIST SUBCONTRACTORS

SUBCONTRACTORS e.g. ground workers, electrics, etc.

4.5 A simple Contractual Tree for a small residential project with architect as lead and contract administrator and the contractor being directly appointed by the client from Stage 5 onwards.

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•

A Design Responsibility Matrix, which sets out which part of the design is to be the responsibility of which members of the project team. This is principally about construction detailing, but is valuable through design Stages 2–4 for clarity. It will identify whether the architect, designer, contractor or specialist subcontractor (or others) are to be responsible for different elements of the design in relation to the Schedule of Services, and will need to be carefully managed to ensure that everything is undertaken as envisaged.

A

A

D

D

D

L

L

Landscape architect

A

Main contractor

A

A

A

L, D

L

L

A

D

L

L

Ground worker

L A

Kitchen fitter Services / Heating engineer plumber

FINISHES

A

A

GARDEN

KITCHEN DESIGN

L, D

Engineer

SERVICES

BATHROOMS

Architect

FOUNDATION DESIGN

ROOF

STRUCTURE WALLS/FLOORS

SUBSTRUCTURE

DESIGN RESPONSIBILITY MATRIX VERSION: 04

A

A D

Services / Electrics cabling

D

A

D

A

L = lead and coordinate A = advise D = design

4.6 The process of developing each of these elements as part of the PEP at Stage 1 will allow those assembling the team to relate the requirements to the information being prepared in the Intial Project Brief. This close relationship between the team and the brief, with its Quality Objectives and Project Outcomes is a fundamental principle of a successful project.

146

A simple Design Responsibility Matrix for a small residential project.

CLIENT ISSUES TO CONSIDER WHEN ASSEMBLING A PROJECT TEAM QUESTION(S)

KEY CONSIDERATIONS

Are the team formulating the

Would an objective view be helpful on the brief at the outset of design stages

Initial Project Brief the same

(Stage 2 onwards)? Do this team have the right creative design skills? Do you

team as the one that I need to

need to demonstrate an open and transparent procurement process, which may

deliver the project?

or may not reappoint this team? All the above notwithstanding, remember that ‘new’ consultants often challenge work done at earlier stages.

How important is it that the

Is the client organisation open to ‘options’ at various stages, or are they more

team deliver what is needed

secure with being presented with a rational and well-developed intent?

whilst managing client expectations? How do you want the team to

Does the client want to be involved in the day-to-day running of the project, or

report back to each other and

just at monthly meetings?

the client?

Who from the client organisation will be involved, and what should their roles be?

How should the briefing for the team appointments reflect the specific needs of the project? How detailed should the Schedule of Services be for

This will impact on team size and fit, relevant experience, and skills. Ii is important to make sure that the way the project is presented attracts the right kind of team, eg design-led, technical expertise or offsite manufacture. Does the Schedule of Services for each member of the team accurately reflect the scale and complexity of the project and the project vision?

each appointment? What are the team- and

Do public-sector procurement rules mean that a single, multidisciplinary project

contractor-procurement options? team is easier for the client to manage? Are they aware of the impacts of this on Can any be ruled out by client

their role within the project?

or market requirements, or other

How does the likely contractor-procurement route affect the selection of the

limitations?

project team at Stage 1 – and, specifically, the Design Responsibility Matrix?

Does the client need specific

What skills does the client have in procuring and developing building projects?

advice to support their role, eg a client design advisor? Does the client know where to go to find the kind of projectteam members they need?

Would an independent advisor help clarify the client’s intentions and help get them delivered – particularly during Stage 1, but also to support them during later stages? Does the client organisation understand what is required of them as part of the project team? Are they clear what the project team will do and what they will not or cannot do?

Does this stage need to

Is the client sure that the current proposal is the right one for them? How likely

accomodate any special

is it that this could change and evolve as different personnel get involved in the

requirements, challenges or

project? Is it likely that the Stage 0 outcomes will need to be reconsidered?

opportunities because of the type of client or project?

How can the team structure, decision frameworks and meeting arrangements support timely, considered decision-making by the client, and minimise abortive work?

What does the Handover

Is the building needed by a particular date? Is it required in its entirety or is

Strategy need to consider?

phased handover/partial completion acceptable?

Table 4.7 Client issues that will shape the project team.

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THE PROJECT PROGRAMME Establishing a programme framework Delivering a project on time is often high on the list of client priorities and objectives (along with delivering on budget and ensuring high-quality outcomes). However, for projects to be delivered on time many different complex processes, decisions and actions must take place. There is an interesting balance, particularly at Stage 1, between the need for realism and the need for a little bit of optimism over how long a project will take to deliver. Clearly being realistic is important but being ‘too realistic’ can make a project seem like it is failing, and the focus on the Project Outcomes can be lost. If timescales are particularly tight and are one of the main considerations of a project, then the Initial Project Brief and all future work stages should be shaped around this. Examples include:

•

Schools, which often must secure planning permission by a key funding deadline, and which must then complete the works in time for children to arrive at the start of an academic year or term.

•

Affordable housing that must be delivered by a particular date as a condition of its grant funding, or in order for residents to be relocated.

•

An infrastructure project that is required by a key handover date.

In such cases, the whole brief must be led by this key Project Objective. The Project Execution Plan, the Project Roles Table, and the procurement methods and selection criteria involved in appointing the team must be shaped around these principal programme constraints. Stage 1 is the point at which the first Project Programme is set out. The process of understanding the programme drivers, constraints and milestones is an important part of developing the PEP and the Initial Project Brief. Stage 1 is a good time for working on a Project Programme, as this process helps to scope out the project, informs the cost plan and is necessary for informed decision-making. As a project proceeds beyond Stage 1, its programme will evolve and change; this is normal, and should be expected.

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STAGE 1 PREPARATION AND BRIEF

DO THE CLIENT AND PROJECT TEAM UNDERSTAND THE IMPACT OF THE PROJECT PROGRAMME, AND WHAT IS REQUIRED OF THEM TO HELP MEET IT? Scenario A: Small residential extension for a growing family As part of their domestic extension project, the clients know the design team they want to appoint but do not understand when they have to decide to proceed to the next stage of the project in order to meet their own deadline for completion. They are also unclear on the programme risks related to the planning permission that they need for the remodelling works and extension. In this case, the architect sets out a list of the key decisions that need to be made on the project on a simple Project Programme (see Figure 4.7, below) and then explains this to the clients. They also discuss the Schedule of Services all the way through the project – as well as the options with regard to the services that can be provided, and what this means for how much the clients will need to do themselves.

Programme-setting as part of Stage 1 Preparation and Brief is about:

•

Establishing fixed client parameters, or ‘milestones’, eg when a key lease will end, or limits on funding deadlines’.

•

Assessing reasonable delivery timescales for the different stages of the project, related to its likely scale and complexity and making contingency allowances for possible or likely time overruns.

•

Making clear when key client decisions are going to be needed, eg to proceed to the next stage.

•

Considering the principal risks to the Project Programme and how these could be mitigated, either now or as the project progresses – eg the importance of key Site Information, client decision-making and sign-off, and planning permissions.

There are many relevant questions to ask in preparing an initial Project Programme as part of Stage 1, but what is important is the way in which the emerging Initial Project Brief, any background Feasibility Studies and the work on the PEP inform this thinking and develop the rationale behind this important aspect of the project.

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KEY PROGRAMME QUESTIONS AT STAGE 1

•

Does the client have any particular objectives about when key project milestones should be delivered, and what are the reasons for these?

• •

What would an ‘ideal’ programme for this project look like? Are the risks of not achieving key programme drivers understood, and are these clear from the Stage 1 Risk Assessments?

•

Are there key points in this project at which the programme is most likely to be delayed? Which of these can we anticipate and plan for now, eg:

~

Time taken to deliver site or building surveys, site and background information.

~ ~

Planning strategy and the pre-application process. Time take to sort out team appointments, including specialists.

~

Allowing sufficient time for client reporting and approvals.

~ ~

Tender and construction delays. Handover and completion strategy.

‘Programme creep’ happens through the gradual extension of project timescales as the reality of the complex design and delivery process has its impact. This can be mitigated by ensuring that a well-managed project team is put in place, who are clear on their roles from the outset and who relate well with the client and others in the team. Programme creep during Stages 2–4 is often related to changes to the project brief that happen after Stage 1. The initial Project Programme should be included within the PEP, together with a description of the principal programme objectives and milestones. The rationale for the programme should be explained alongside its importance to the client organisation.

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STAGE 1 PREPARATION AND BRIEF

PROGRAMME FOR A SMALL DOMESTIC PROJECT YEAR 1 J

F

M

A

M

J

YEAR 2

J

A

S

O

N

D

J

F

M

A

M

J

J

A

S

O

N

D

Agree brief Feasibility study Concept design Developed design Planning Tender Site prep Construction Handover Maintenance Monitoring Adjsutments STAGES

7, 0, 1 2–3

4–6

7

4.7 A simple Project Programme for a small domestic project with a pre-Christmas deadline, to enable the clients to understand when they need to appoint a contractor.

PROJECT PROGRAMME VERSION 1 TASK

DURATION

START/END 1

Stage 1 Brief

4 weeks

Stage 1 Team appoints

3 weeks

Stage 1 Site surveys

6 weeks

Stage 1 Feasibility

2 weeks

Stage 1 Sign-off

1 week

Stage 2 Concept designs

10 weeks

Stage 2 Consultation

2 weeks

Stage 2 Pre-app meeting

1 day

Stage 2 VE review

3 weeks

Stage 2 Decision freeze

1 week

Stage 2 Sign-off

1 week

2

3

4

5

6

7

8

9

10

11

12

13

Key relationship highlighted by Gantt chart

4.8 The principles of a Gantt chart, making clear the contingent programme links between key items.

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PLANNING AND COMPLIANCE Thinking early on about the challenges

Why is planning important at briefing stage? It can be easy to think that because planning applications are not made until later in the project, planning does not need to be considered as part of Stage 1. However, planning approval has the potential to add considerable risk to a project – in most circumstances, development cannot proceed without it – and a poorly considered planning strategy can have considerable impact on the Project Programme. Even when planning permission is not required – as, for example, with permitted development – this usually needs to be confirmed. Pre-application discussions with the planning authority are on their way to becoming the norm in projects of any size. This is not a process that can easily be fixed in terms of time or output, as it depends on a range of factors and the agreement of a varied group of people in order to move things forward. Planning risk can be mitigated by an early review of planning policy and through a well-managed pre-application process. This process can be agreed in advance through a pre-application planning agreement (often called a PPA), which sets out what each side will do when, and the issues that need to be agreed.

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STAGE 1 PREPARATION AND BRIEF

Who should I talk to about planning, and when? Early meetings with planning officers are generally very useful, but at Stage 1 any engagement with planning is about the ‘principle’ of the proposals rather than about design issues or specifics. Current planning policy will set out many of the issues around the acceptability of development and land uses, and policies on scale, views, massing and other criteria such as housing mix, car parking and planning obligations (payments secured through Section 106 agreements or the Community Infrastructure Levy (CIL)). This information is set out nationally in the National Planning Policy Framework (NPPF) and Planning Policy Guidance (PPG), and at local level is usually contained in a Local Plan document and other supporting planning-policy documents that will be set out on a local authority’s website. Adopted or emerging neighbourhood plans and Neighbourhood Development Orders (NDOs) are also a key consideration, as this means that local people are often well engaged in the planning process and the future of the area. Planning policy should be reviewed as part of the briefing and feasibility process. Specific town-planning advice may be beneficial at Stage 1 in order to interpret the impact that planning policy will have on the proposals, and how this information can be used to help shape the Initial Project Brief. In making a decision about planning permission, the planning process considers a range of factors related to environmental, social and economic sustainability. By setting out the Initial Project Brief (and, subsequently, by designing the project) to respond specifically to relevant planning policies and considerations, the likelihood of a positive outcome from the planning process is significantly increased. The importance of good design has always been part of planning. Currently, it is set out in national Planning Policy Guidance, in place since 2014, which makes clear that ‘Good quality design is an integral part of sustainable development’, and that ‘Achieving good design is about creating places, buildings, or spaces that work well for everyone, look good, last well, and will adapt to the needs of future generations.’

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KEY QUESTIONS TO ASK REGARDING PLANNING

•

How do the Project Objectives respond to planning requirements for broader project-related issues, such as good place-making and sustainability requirements?

•

Have planning considerations been used in developing the Project Outcomes?

•

How has national and local planning policy influenced the Initial Project Brief in order to reduce planning risk?

The discharge of planning obligations and conditions attached to a permission is also a key future stage, which must be undertaken correctly in order to minimise delays to construction.

What other compliance issues need to be considered? During Stage 1, and in terms of drafting the Initial Project Brief, it is important to consider the principal compliance stages that a project will need to go through and to anticipate the impact of these on the design and delivery process. Building Control approval is likely to remain the most important of these stages. Appropriately experienced professional members of the project team will be able to anticipate the impact of these requirements. The Initial Project Brief should set out the key compliance stages and the Project Execution Plan, Project Roles Table and Design Responsibility Matrix should set out how the team will be expected to deal with compliance issues.

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STAGE 1 PREPARATION AND BRIEF

Are there funding or compliance issues that are critically important for the scheme? Some projects rely on funding that comes with specific conditions, or which requires that the client organisation demonstrate specific quality criteria. These should be established as part of defining the Project Outcomes and set out clearly in the Initial Project Brief. Such conditions can relate to:

•

The physical attributes of the scheme, eg whether it meets the provisions of the London Housing Design Guide (LHDG) in order to qualify for HCA grant funding, or a need to meet National House Building Council (NHBC) requirements in order to gain the relevant certification.

•

The qualitative aspects of the proposals, eg achieving a minimum assessed score level in Building for Life 12 (BFL12), which is a widely accepted method for assessing good place-making.

In all cases the Project Execution Plan will need to be clear about when and how these attributes need to be demonstrated, and by whom within the team.

Are planning or compliance-related changes likely over the lifetime of the project; and, if so, how should this influence the Initial Project Brief ? Anticipating change in the planning and compliance process is important for the whole project team. Steering a project through the Plan of Work 2013 takes a long time, and planning policies or compliance criteria can change during this time. Sometimes there is warning of key changes but on other occasions there is not, and in such cases the client and project team need to work together effectively in order to resolve any new issues that arise. The Project Execution Plan and Project Roles Table will need to set out what is expected in terms of anticipating and planning for known issues, eg registering a housing scheme for NHBC compliance at key points, and registering schemes against key sustainability targets such as those contained in the Code for Sustainable Homes.

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Key support tasks – who will the project team be, and how will they work together? Many of the support tasks relevant for Stage 1 are set out elsewhere in this chapter. These will vary from project to project, but are focused on ensuring that the project team is properly assembled and that future work stages are properly considered. Suggested tasks include:

•

Preparing a Handover Strategy that sets out when and how the client will receive the building or project through a ‘Soft Landings’ approach, and the arrangements for doing so. This should also include a strategy for Stage 7 In Use and monitoring the effectiveness of the delivered scheme.

•

Preparing Risk Assessments that consider the principal risks for a project and the impact that they could have, alongside a risk mitigation strategy with clarity on who is going to manage this.

•

Preparing a Project Execution Plan, including a Technology Strategy and a Communication Strategy, information management and consideration of Common Standards – for the team to work to, and for efficient and clear communications. This includes consideration of shared technologies (eg BIM level 2) and project insurances. Once the design stages have begun, agree processes for change management and the appropriate processes and timescales for client sign-off.

•

Develop and agree a Schedule of Services, a Project Roles Table, a Design Responsibility Matrix and tables for Information Exchanges. Include these as part of each professional-services contract.

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THE PROJECT EXECUTION PLAN AND SUPPORTING DOCUMENTS WHAT IT SHOULD INCLUDE Project Execution Plan

The PEP is a project management tool that sets out how and when the specific tasks

(PEP)

needed to deliver the project are to be undertaken and by whom. It will set out how the team has been assembled to respond to the brief and their roles, when the brief will be reviewed, and arrangements and timescales for client milestones and sign-off. The PEP is an effective way of gathering together all of the ‘hows’ related to a project, and an opportunity to plan out the work in advance. The document will be developed and used by the team member with responsibility for managing the team. The PEP will need to be reviewed at each stage. At Stage 1 it is likely to identify a number of unknowns and areas to be developed further, particularly related to the later stages. The scope and contents of the PEP will include:

• • •

Background, project objectives and priorities. Project risks, uncertainties, and limitations. Team structure and organisation, including contact details, roles and responsibilities for all team members and stakeholders.

•

Project strategy related to design, and construction, including detail on how future team members, such as the contractor, are to be procured.

•

Project management processes, including how the team, programme and costs will be managed, key milestones, and how change will be dealt with.

•

Administrative, information and document control systems and procedures, including how information is to be shared.

• Technology Strategy

Future implications for commissioning, handover and ongoing maintenance/in-use.

Sets out how different information technologies would be used and shared by the team during design, construction and the in-use stages. This will include consideration of the facilities management (FM) implications of this information, and how it will be used both to support the design and construction stages and also, following completion, in use as an FM tool.

Communications

Sets out how the team members will communicate with each other, and how information

Strategy

will be shared, recorded and collated. Includes reference to archiving and storing information for effective access by those who need it, both during the project and afterwards. This will vary considerably according to size and type of project.

Common Standards

These may include reference to CAD (Computer-aided Design) standards, informationreference systems and data monitoring. It could include anything involving the need for different members of the team to use easily referenced and shared information.

Handover Strategy,

An approach to staged building handover, to ensure that things run smoothly and

including ‘Soft

that any potential problems or issues are sorted out in a timely manner. Relevant at

Landings’ approaches

Stage 1 because of the need to consider what information will be needed to support the Handover Strategy at the appropriate point in the future, and in anticipation of the particular team skills and support that are likely to be required.

Table 4.8 Contents of the Project Execution Plan.

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SUSTAINABILITY CHECKPOINTS Why do I need to set the sustainability targets now?

Highly sustainable projects that make careful use of resources both in their construction and in use do not happen by accident. They happen because of a clear intention (or Project Objective) on the part of the client or a principal member of the design team, or because they are made to through a regulatory process. The most successful way of achieving sustainable buildings is through agreed client intent from the outset. At Stage 1, sustainability is important because:

•

The Project Objectives and Project Outcomes need to establish Sustainability Aspirations for the project that will shape how it is progressed.

•

These Sustainability Aspirations need to be set out clearly in the Intial Project Brief, including clear targets showing what success will mean for the completed project.

•

Issues that will affect the delivery of the project are being considered as part of the Project Execution Plan, including items such as waste management and air quality.

•

The client’s needs in terms of energy use and management systems will be under consideration, and need to be incorporated early on. Whole-life issues such as cost in use are important sustainability considerations that should be included in the Initial Project Brief.

•

The briefs for the different members of the project team in the Contractual Tree are being set out, and the Schedule of Services should specify each team member’s role in relation to sustainability. This will establish whether the right team, with appropriate experience in the delivery of sustainable buildings, is appointed.

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STAGE 1 PREPARATION AND BRIEF

As well as ensuring that the Initial Project Brief is shaped appropriately around sustainability and energy considerations, other issues to consider include:

•

Understanding what planning policy, planning guidance and the Building Regulations say about sustainability and renewable energy, and being clear how the team will develop an appropriate strategy for responding to this.

•

Anticipating changes in sustainability requirements or standards over the life of the project.

•

Requiring the design team to benchmark against similar project types/ locations in future stages.

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INFORMATION EXCHANGES Why is it important to share Stage 1 information?

The Initial Project Brief will be the principal output document from Stage 1. It will gather together all of the related tasks and activities that have defined, analysed and shaped the project requirements and informed the scope and content of the brief itself, so that it can form the basis for the rest of the project. To get this right, it is important to ensure that the brief is complete, acknowledges where information is not known or where agreement has not been reached, and that it is signed off and agreed by all relevant parties. The Initial Project Brief is not intended to be a prescriptive, fixed document and will evolve into the Final Project Brief during Stage 2. The Initial Project Brief will then form the basis of the work undertaken by the project team from Stage 2 onwards, when the process of design and the synthesis of the project begins. Other supporting documents that need to be collated and shared during Stage 1 are set out under ‘Key support tasks’, above, and include the Project Execution Plan and various team-working schedules and appointment documents that have also been developed during Stage 1.

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STAGE 1 PREPARATION AND BRIEF

UK GOVERNMENT INFORMATION Exchanges for Stage 1

UK Government Information Exchanges are required during Stage 1 and will be concerned with the sharing of the Initial Project Brief and other information that needs to be confirmed. Stage 1 is a transition stage between PAS 1192:3 which is concerned with the Strategic Brief at Stage 0, including ‘Organisation Information Requirements’ and ‘Plain Language Questions (PLQs)’ and PAS 1192:2 during Stage 2 which relates to the Final Project Brief.

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USING PREPARATION AND BRIEFING to develop the project approach to risk

All potential building projects carry risk, and many of the risks cannot be fully understood at Stage 1. The purpose of developing the Initial Project Brief is to understand more about the project requirements and limitations, and a key part of this is using Risk Assessments to develop the project approach. Specific project risks are often categorised into:

• • • • •

Resource risks – eg project-team appointments or resourcing. Regulatory risks – eg planning or Building Control issues. Physical risks – eg those related to ground conditions. Legal risks – eg land ownership or rights of way. Construction risks – eg complex construction, small site, noise or disturbance.

•

Financial risks – eg those related to increases in construction costs, or to do with funding or viability.

Actually, many early-stage project risks are less technical than this, and it is advisable not to focus only on construction-related risks. Risk is particularly important to Stage 1 because some of the biggest risks to the delivery of any project come from not having undertaken a robust and thorough Stage 0 and Stage 1 process at the outset. Key Stage 1 risks include:

•

Not having a clear, well-thought-out Initial Project Brief that sets out a complete set of project and client requirements, and a good understanding of the site.

•

Not basing the Stage 1 work on that undertaken at Stage 0 – including the Strategic Brief, the Business Case and any options appraisal – and therefore losing the link back to earlier decisions.

•

Not having an appropriately experienced team in place to undertake the brief, prepare the supporting documents, and appoint the team needed to commence Stage 2.

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STAGE 1 PREPARATION AND BRIEF

•

Not having a clear management and delivery mechanism in place for the project, as set out in the Project Execution Plan and the various supporting documents needed before Stage 2 commences.

Project risks are not something that only a project lead has to deal with on a spreadsheet at team meetings. Risk management is something for the whole team to consider at each stage, and to help in proactively managing – the Plan of Work itself is, in effect, a whole-team risk-management tool. Risk need not be boring – it can really focus the design stages on key issues that might otherwise not become clear or be resolved until much later in the process.

WHAT HAPPENS WHEN A CLIENT DOESN’T THINK ABOUT THE FUTURE? Scenario D: New central library for a small unitary authority One of the less well-publicised reasons for this project being needed in the first place is that the client has not maintained their existing stock of library buildings well, and the repair bill to keep them open is huge. Publicly, the reason is that they want to change the way in which their libraries are managed and run to keep up with changes in use and provision. In putting together what appears to be a well-thought-through brief for the new library, the issues that have not been considered are future maintenance, management arrangements and longterm costs in use. One of the advantages of Stage 7 in the Plan of Work 2013 is that it acts as a reminder that the costs and impact of a building in use are a key consideration in its early stages, and need to be considered clearly as part of project briefing. By asking pertinent questions of the client organisation, their advisors are able to ascertain that only capital costs were considered as part of the Stage 0 work and that there is no brief for long-term maintenance. Via its inclusion as a key element of the Initial Project Brief and in the risk register, this issue will be considered more carefully by the project team and will influence decisions made as part of the procurement strategy, design stages, material selection and detail choices in the future. This also helps the client to factor in a realistic review of ongoing costs related to the project.

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The preparation and briefing stage is a crucially important time at which to start thinking about project-specific risk. The way that the brief is put together and the team is assembled can begin to mitigate these risks and help to ensure that they do not undermine the delivery of the project or its ability to realise the Project Outcomes. The Initial Project Brief can help with managing risk by identifying those aspects of the project that appear challenging; to state what is not yet known; and to highlight, even at this early stage, how key risks can help to shape key decisions and the form of the project team.

HIGH LEVEL RISK ASSESSMENT OF FUTURE STAGES, WHICH MIGHT BE CONSIDERED AT STAGE 1 EXAMPLE RISK

IMPACT

POSSIBLE MITIGATION APPROACHES

Project doesn’t get

Delay, redesign and

Speak to planners early. Build CAD or physical model

planning approval

additional cost

to communicate scheme. Listen to what the planners actually say (rather than what they don’t).

Project costs increase

Project becomes

Regular cost monitoring. Use of simple materials. Talk to

significantly

unaffordable and cannot

potential contractors early on. Commission early surveys.

continue, or needs to be reduced in size/scope Project not ready to go

Necessary borrowing

Close watch on programme creep; comprehensive

to tender by funding

withdrawn, may mean

brief will reduce risk of abortive work and time delays.

deadline

project cannot progress

Anticipate future team requirements during Stage 1.

to construction

Commission early surveys.

Unknown site

Project may be

Undertake all necessary surveys early on, and use these

constraints

undevelopable; cost

to inform the brief and the emerging scheme.

increase and programme slippage Project team cannot

Project delays and

Effective team communications and engagement of team

resource the work as

additional cost

required. Clarify team capacity before appointment.

Change in project or

Delays or abortive work,

Identified project champion. Clear briefing of all new team

client personnel

changes in project

and client members, wide circulation of well-rationalised

direction

and clear project brief. Discussions on brief updates

needed

needed with project team.

Table 4.9 164

Risk Assessment of future stages.

STAGE 1 PREPARATION AND BRIEF

Important risk-management tools at preparation and briefing stage include Feasibility Studies, site investigations and assessments, and consultations with key stakeholders, such as the planning authority or adjoining owners. One of the most significant risks to timely project delivery can be client decision-making – often because it is either not clear what decision needs to be made, or what the impact would be of not making it at the right point. The briefing and preparation stage is about putting enough of the right information together to enable the client to make a formal decision to proceed with the project and to appoint the project team.

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What can go wrong during Stage 1, and what can we learn from it?

PROBLEMS AT STAGE 1 CAN RELATE TO ANY ASPECT OF THE WORK THAT TAKES PLACE AT THIS POINT, AND COULD INCLUDE THE FOLLOWING The Feasibility Studies change the

This is something that will happen during Stage 1, and may mean that

‘direction’ of the project from what was

the work undertaken at Stage 0 needs to be reviewed and revisited

agreed at Stage 0.

before the project can progress again to Stage 1.

The client does not want a brief, or does

This can be a challenging situation on any project, and one in which the

not want to appoint anyone to produce

risk to the client needs to be identified and discussed with them.

one.

As a very minimum, key members of the project team can put together a simple brief, seek client sign-off and proceed on that basis.

The Initial Project Brief risks being overly

Think about what is appropriate for the project and what the project

long and complicated for the project.

team need to know in order to continue. Focus on setting clear Project Objectives and Project Outcomes. Make sure the brief covers ‘what’ is required rather than ‘how’ it will be delivered, which can be set out elsewhere – in the Project Execution Plan.

The client does not have any firm dates or

This project is in need of being strategically defined through Stage 0

requirements for the project to be put in

of the Plan of Work. This stage is about working out the Business Case

the brief; they just have a site.

(financial viability), what can be accommodated and what is needed next. In some cases, rather than the requirements coming from the client organisation it is for the project team to work out what is possible/ deliverable and then to get that agreed.

The Initial Project Brief focuses on one

Sometimes this is because the detail is understood but the big questions

area in a lot of detail, and other key

(why are we doing this project?, etc.) are much harder. This is why broad

issues are ignored.

discussions about Project Objectives and Project Outcomes are so important as part of the Stage 1 process.

Table 4.10 Potential problems at Stage 1.

166

STAGE 1 PREPARATION AND BRIEF

The Initial Project Brief is too prescriptive,

Stage 1 is not a design stage, and should be about working out

and does not allow any ‘space’ for the

parameters for the project – not solutions. In some cases there may not

project team to contribute creative design

be many alternatives, but it is important to remember what the design

or innovation.

team are there to do at Stage 2 and beyond.

The design team start the design process

Design (or capacity) testing as part of Feasibility Studies is not the

too early – ie before the commencement

same as at a design stage, and is intended for a different purpose.

of Stage 2.

Ensure that the team is clear about why commencing design too early is counterproductive, and usually results in the work needing to be revisited by the team as a whole.

A change in project team between Stages

New teams commonly question project briefs, and this is to be expected.

1 and 2 leads to an undermining of the

It is down to the management arrangements within the project (as set

brief. Key members of the project team

out in the Project Roles Table) to keep the team working together towards

change, and they have not ‘bought into’

the clear goals set out in the Project Objectives and Project Outcomes.

the agreed brief.

Generally, the more that the team understand about why these are as they are, the more able they will be to work with them.

External factors change – eg funding

At some point in every project, external parties are likely to seek to

models – or the planning process

change it, despite the preferences of the client and team, or the brief.

fundamentally changes what can be

In order to cope with this positively the Initial Project Brief needs to be

achieved.

clear on the reasons for all key decisions related to the project. That way, the project is better able to accommodate those changes in the future.

The client does not want to appoint the

If the project team are not all appointed at the same time, or when it has

full design team ready for the start of

been identified that they will be needed, it is likely to lead to abortive

Stage 2.

work and delay. Often, this happens because the client does not understand why technical advisors are needed early on, or thinks that it will make it cheaper to save these appointments until later. This is rarely the case.

167

STAGE 1 PREPARATION AND BRIEF

CHAPTER 04

SUMMARY Stage 1 Preparation and Brief is about setting out a sound and robust start to a project once its principal purpose and Business Case has been agreed, developed and signed off as part of Stage 0. Stage 1 is about preparing an Initial Project Brief based on technical information, client requirements and Feasibility Studies. It is about ensuring that the client has the right team in place to prepare this brief, and has the information needed to do so thoroughly. As part of the preparation of the brief, consultation will be needed with the client, or within their organisation, in order to understand their requirements in detail and to establish Project Objectives and Project Outcomes. Consultation with other stakeholders and regulatory bodies is also likely to be required. The second key task of Stage 1 is considering and planning for how the project is to be managed from Stage 2 onwards, and to establish the systems and arrangements for how the team will be appointed and will work together from Stage 2, when design work commences, through to Stage 6, when the project is completed and handed over, and on to Stage 7’s data-gathering and analysis. During Stage 1, the Project Execution Plan is developed alongside a range of supporting schedules and matrices that set out who is expected to do what and when. By the end of Stage 1, the team that will take the project forward should have been identified and appointed. The value in a well-executed and robust Stage 1 is that it will anticipate the future needs of the project, the team and the client from Stage 2 onwards, and will ensure that, as far as possible, it progresses well into the design and delivery stages. It also makes it more likely that Quality Outcomes and Sustainability Aspirations are met, as well as helping to scope out costs, programme and risk issues early on.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

A

SCENARIO SUMMARIES

WHAT HAS HAPPENED TO OUR PROJECTS BY THE END OF THIS STAGE?

Small residential extension for a growing family

B

Development of five new homes for a small residential developer

The briefing for this project was

The residential developer had

done by the architect through

a standard brief for the houses,

a series of informal meetings

which they had developed on

with the clients in their existing

other sites and that they give to

house. It was clear that the

all of the architects and other

clients had no professional

consultants that they employ

background in construction,

from Stage 1 onwards. Work

and did not understand the

on Stage 0 that supports the

process. The architect wrote a

identification and purchase

concise report of what they had

of the sites that they take

told him they wanted, which

on is done in-house, by an

he asked them to review and

experienced development

agree.

manager.

Further background studies

In terms of developing the site-

looked at planning issues,

specific elements of the brief,

potential costs and other

they asked for each project

constraints.

team to start with a Feasibility Study for the site that covered

All of this information –

all of the Site Information

including recommendations for

and capacity issues, and

other team members and when

background discussions

they would be needed, how the

with key stakeholders such

project would be run and the

as planning and highways,

required client inputs – were

and local councillors. A local

set out in the Initial Project

agent then took the cost plan

Brief. This document was

produced by the client and the

signed off by the client before

Feasibility Study, and advised

they agreed to start Stage 2 of

the client on the viability of the

the project.

scheme. The project team clarified the Project Objectives and Project Outcomes with the client in their response to the appointment, and this document formed the basis for moving forward to future design

170

STAGE 1 PREPARATION AND BRIEF

C

Refurbishment of a teaching and support building for a university

stages. In this document,

The architect was reappointed

A number of university

the project team set out any

to assist with developing the

departments would need to use

additional specialist expertise

Initial Project Brief for the

the building, and so agreeing

that would be required and

refurbishment of the teaching

the Initial Project Brief with them,

when it would be needed.

building. This included refining

as well as the next steps in the

the Project Objectives, Quality

project, was the most important

At the end of this process,

Objectives and Project

and complex element of this

the client confirmed the team

Outcomes identified in Stage

stage. To do this, the architect

appointments and agreed

0 as well as the information

arranged briefing workshops

the scope of services and

contained in the Strategic

with the key parties involved,

Project Programme for the

Brief, and adding detail

and secured a good level of

works, which included two

about the client requirements

support for the proposals once

4 bedroomed and three 3

developed as part of a series

the teaching staff, in particular,

bedroomed houses on the

of workshops and consultation

understood the type of spaces

site and a target of Code for

exercises with teaching,

that would be created and how

Sustainable Homes level 5.

management and operations

they could use them.

staff. Towards the end of this stage, A key task at this stage was

the university estates department

producing a Feasibility Study

coordinated and appointed all

for the site, in order to inform

of the different consultants to

the Initial Project Brief in terms

supplement the team comprising

of how much teaching space

the architect and engineer, who

the building could actually

had been advising during Stage

accommodate in its new

1. The estates team produced

format.

the Project Roles Table and the Contractual Tree, and reviewed

The Initial Project Brief and

the Project Programme. Each

Feasibility Study needed to

consultant was given a Schedule

take into account the wider

of Services to work to, and

university master plan that

understood each other’s roles.

is in place for the campus. The master plan contains much of the upfront Site Information needed, and sets out requirements for cycle parking, entrance and servicing arrangements.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

D

New central library for a small unitary authority

The council client appointed a

This work was pulled together

Because of the specialist nature

specialist team from one of its

by the lead consultant to form

of this work, the authority decided

consultant frameworks to review

the Initial Project Brief. This

that rather than use its existing

and detail its requirements for

document included references

frameworks to appoint the design

the new central library. This

to the site options appraisal

team, they would use the Initial

included Feasibility Studies

undertaken at Stage 0, and

Project Brief as the basis for a

on the identified site in order

Feasibility Studies on the

full OJEU (Official Journal of the

to consider the potential size

selected site by architects and

European Union) procedure for the

and capacity of the building,

engineers from the consultant

appointment of the project team as

baseline surveys and the

framework.

a series of separate appointments.

compilation of other background information. Specific work

The existing libraries team

streams included considering

within the authority, and local

the results of a district-wide

councillors, were consulted

consultation on library and

on the brief through a series

communication services, and

of workshops that explored

the use of technology. There

what currently worked well and

was also a review of other

what would improve existing

recently developed libraries and

arrangements. Because of the

related facilities across the UK

sensitive nature of the changes

and abroad, to look at recent

to the library programme, the

innovations. This review collected

council’s communications team

up-to-date data on the services

started a wider consultation

that people access and that

process with residents,

assist those excluded from other

explaining how the libraries

means of accessing online data

service was going to be

and other information.

changing.

This stage also included a

The council appointed a project

thorough review of how the

manager to advise on team

council’s library department

appointments from Stage 2

works at present, and advice on

onwards, who put together

streamlining the system through

the Project Execution Plan,

the use of new technology to

Contractual Tree and Project

reduce running costs. This work

Roles Table in specific response

involved specialist advisors

to the client’s objectives for a

and technology consultants

high-quality design-led solution

looking at how this should

that would inspire visitors and be

be accommodated into the

flexible in use.

proposals.

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STAGE 1 PREPARATION AND BRIEF

E

New headquarters office for high-tech internet-based company

A highly regarded architect

issues and concerns about

was appointed to work with

the redevelopment of

the client’s in-house creative

the brownfield site. They

team to develop the Initial

were concerned about

Project Brief collaboratively

contamination, the potential

and interactively. A key task

scale of the development

was to undertake an ongoing

proposed and the highly

Risk Assessment alongside

innovative aspirations of the

their client design advisor role

client in relation to the site on

during this stage, in order to

the edge of a Conservation

ensure that the creative, but

Area. The key output was

not technically experienced,

the Initial Project Brief,

client team had a good

which brought all of these

understanding of how the

work streams together and

developing Initial Project Brief

provided clear advice for

would mitigate key areas of risk

the non-construction-related

in the tight delivery programme.

client team. Stage-specific issues and ‘learning’ included

The client team wanted the

steering a non-professional

project to be highly sustainable

team, who struggled to remain

and to deliver on an impressive

focused on the tight Project

renewables target. The building

Programme and dynamic brief

needed to be extremely flexible

requirements.

to cope with the changing nature of the company and its expectation for growth over the next 5–10 years. The sustainability aspect of the brief became a separate work stream, and prompted the appointment of a specialist team to look at emerging technologies. Pre-application discussions took place with the local planning department, in order to understand their

173

CHAPTER 05

CONCLUSION

BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

This book is about the stages of the RIBA Plan of Work at the beginning and end of a building project. It starts at Stage 7, when buildings are in use, at the point at which a building is regularly monitored and analysed to ensure that it optimally meets owners’ and users’ needs, or where an existing building or buildings are assessed to inform future building projects and the upcoming Stage 0. It next considers Stage 0, when projects are strategically defined and become identifiable entities with a Business Case. Lastly, it looks at Stage 1, when project briefs are developed and defined and the project team for the rest of the stages are appointed. The book has set out a number of key principles in relation to these stages:

•

When a building or project is in use, a client realises the true value of the building as a measure of the operating costs and its impact on how well it supports their Business Case and intended use. This means that getting the Project Objectives and the brief wrong is an expensive mistake, and confirms that money spent on defining and briefing projects properly is money well spent.

•

That evidence and data collected and analysed at Stage 7 are of value for both clients and for wider society, as they help us all to benefit in terms of having better buildings that actually deliver on what they promised and that work for those using them. We should all consider sharing data on our buildings and its systems – and, in turn, benefiting from the experience of others.

•

Getting a project right starts from the very early stages, long before any design takes place. Projects need to start with a clear intention and sound Business Case at Stage 0 – and ideally, this should be informed by evidence realised from related or similar Stage 7 experience.

•

Good decisions made early on about who the project team will be, and their roles, will have a strong influence on effective delivery. This makes team and contractor procurement very important: something that needs to be carefully ‘designed’ in order to fit with the desired Project Outcomes.

•

Stages 7, 0 and 1 are always sequential: you must complete and sign off each of them before progressing to the next. The only exception to this is that Stage 7 In Use should ideally be a programme of continuous improvement for all operational buildings.

•

Stage 0 is a new stage in the Plan of Work 2013, but one that reflects considerations and decisions that are already there for clients considering a new project and deciding to take it forward. Stage 0 is a clear process for agreeing both this important starting point and the Strategic Brief.

176

CONCLUSION

•

By the end of Stage 0, a site should be clearly identified and defined and a Business Case agreed. The client will be in a position to decide to progress with the project, and should understand that this is a substantial milestone.

•

There are various types of drawn and written work that take place long before the project-specific design commences in Stage 2. These start with options appraisal at Stage 0, and Feasibility Studies and site-capacity testing at Stage 1. This work is about ensuring that the project moves forward on an informed basis in the knowledge of what is deliverable.

•

A project brief is a ‘live’ document that should be confirmed and reviewed at key stages, starting with the Strategic Brief at Stage 0, the Initial Project Brief at Stage 1 and as a Final Brief at Stage 2. Clients always benefit from a well-considered and informed briefing process.

The pressures on projects have changed over many years, through technical considerations and project complexity being significantly increased. Clients remain concerned about delivery and programme, the cost of the project and the quality and value of what is being delivered. The approach set out in this book encourages clients to consider these issues holistically, and to think about the capital costs of briefing, designing and building in the context of why they actually need the project, its purpose and how much it can benefit them over time.

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

WHAT HAPPENS NEXT? Stage 2 Concept Design

The next stage in the Plan of Work is the first design stage of a project, at which point the brief progresses into specific ideas and concepts and the project team is firmly established. For this team to work well, and for the work that they produce to be effective, it needs to be based on the strong foundations of a good brief informed by a Business Case, evidence about what works and a sound understanding of the purpose of the project. All of this will result from the correct application of stages 7, 0 and 1. Stage 2 is the first stage at which the architectural concept for a project will become apparent, and is one that most design and project teams are used to – and that many expect to be the ‘beginning’ of the project for them. Following on from this book, the next in the series sets out how best they can use the information that is available to them, how to work together as a team, and the important considerations and decisions that need to be made during this early design stage. The key learning to take from all of the books in this series is how one stage influences another, and how important it is to see the Plan of Work as a whole and as part of a continuous circle of improvement whereby we learn, as an industry, from what has worked – and consequently deliver effective, sustainable and durable buildings. As this series demonstrates, this applies to projects of all sizes and complexity using all types of information and technology, and across all building types.

178

CONCLUSION

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

Plan of Work glossary

A number of new themes and subject matters have been included in the RIBA Plan of Work 2013. The following presents a glossary of all of the capitalised terms that are used throughout the RIBA Plan of Work 2013. Defining certain terms has been necessary to clarify the intent of a term, to provide additional insight into the purpose of certain terms and to ensure consistency in the interpretation of the RIBA Plan of Work 2013.

‘AS-CONSTRUCTED’ INFORMATION

reasoned argument. It may contain supporting information,

Information produced at the end of a project to represent what

financial appraisals or other background information. It should

has been constructed. This will comprise a mixture of ‘as-

also highlight initial considerations for the Project Outcomes.

built’ information from specialist subcontractors and the ‘final

In summary, it is a combination of objective and subjective

construction issue’ from design team members. Clients may

considerations. The Business Case might be prepared in

also wish to undertake ‘as-built’ surveys using new surveying

relation to, for example, appraising a number of sites or in

technologies to bring a further degree of accuracy to this

relation to assessing a refurbishment against a new build

information.

option.

BUILDING CONTRACT

CHANGE CONTROL PROCEDURES

The contract between the client and the contractor for

Procedures for controlling changes to the design and

the construction of the project. In some instances, the

construction following the sign-off of the Stage 2 Concept

Building Contract may contain design duties for specialist

Design and the Final Project Brief.

subcontractors and/or design team members. On some projects, more than one Building Contract may be required;

COMMON STANDARDS

for example, one for shell and core works and another for

Publicly available standards frequently used to define project

furniture, fitting and equipment aspects.

and design management processes in relation to the briefing, designing, constructing, maintaining, operating and use of a

BUILDING INFORMATION MODELLING (BIM)

building.

BIM is widely used as the acronym for ‘Building Information Modelling’, which is commonly defined (using the

COMMUNICATION STRATEGY

Construction Project Information Committee (CPIC) definition)

The strategy that sets out when the project team will meet,

as: ‘digital representation of physical and functional

how they will communicate effectively and the protocols

characteristics of a facility creating a shared knowledge

for issuing information between the various parties, both

resource for information about it and forming a reliable basis

informally and at Information Exchanges.

for decisions during its life cycle, from earliest conception to demolition’.

CONSTRUCTION PROGRAMME

The period in the Project Programme and the Building BUSINESS CASE

Contract for the construction of the project, commencing

The Business Case for a project is the rationale behind the

on the site mobilisation date and ending at Practical

initiation of a new building project. It may consist solely of a

Completion.

180

GLOSSARY

CONSTRUCTION STRATEGY

1 and fine-tuned in response to the Concept Design at the

A strategy that considers specific aspects of the design that

end of Stage 2 in order to ensure that there are no design

may affect the buildability or logistics of constructing a project,

responsibility ambiguities at Stages 3, 4 and 5.

or may affect health and safety aspects. The Construction Strategy comprises items such as cranage, site access and

EMPLOYER’S REQUIREMENTS

accommodation locations, reviews of the supply chain and

Proposals prepared by design team members. The level

sources of materials, and specific buildability items, such as

of detail will depend on the stage at which the tender is

the choice of frame (steel or concrete) or the installation of

issued to the contractor. The Employer’s Requirements may

larger items of plant. On a smaller project, the strategy may

comprise a mixture of prescriptive elements and descriptive

be restricted to the location of site cabins and storage, and

elements to allow the contractor a degree of flexibility in

the ability to transport materials up an existing staircase.

determining the Contractor’s Proposals.

CONTRACTOR’S PROPOSALS

FEASIBILITY STUDIES

Proposals presented by a contractor to the client in response

Studies undertaken on a given site to test the feasibility of the

to a tender that includes the Employer’s Requirements.

Initial Project Brief on a specific site or in a specific context

The Contractor’s Proposals may match the Employer’s

and to consider how site-wide issues will be addressed.

Requirements, although certain aspects may be varied based on value engineered solutions and additional information may be submitted to clarify what is included in the tender. The Contractor’s Proposals form an integral component of the

FEEDBACK

Feedback from the project team, including the end users, following completion of a building.

Building Contract documentation. FINAL PROJECT BRIEF CONTRACTUAL TREE

A diagram that clarifies the contractual relationship between the client and the parties undertaking the roles required on a project. COST INFORMATION

All of the project costs, including the cost estimate and life cycle costs where required.

The Initial Project Brief amended so that it is aligned with the Concept Design and any briefing decisions made during Stage 2. (Both the Concept Design and Initial Project Brief are Information Exchanges at the end of Stage 2.) HANDOVER STRATEGY

The strategy for handing over a building, including the requirements for phased handovers, commissioning, training of staff or other factors crucial to the successful occupation of

DESIGN PROGRAMME

a building. On some projects, the Building Services Research

A programme setting out the strategic dates in relation to the

and Information Association (BSRIA) Soft Landings process is

design process. It is aligned with the Project Programme

used as the basis for formulating the strategy and undertaking

but is strategic in its nature, due to the iterative nature of the

a Post-occupancy Evaluation (www.bsria.co.uk/services/

design process, particularly in the early stages.

design/soft-landings/).

DESIGN QUERIES

HEALTH AND SAFETY STRATEGY

Queries relating to the design arising from the site, typically

The strategy covering all aspects of health and safety on

managed using a contractor’s in-house request for information

the project, outlining legislative requirements as well as

(RFI) or technical query (TQ) process.

other project initiatives, including the Maintenance and Operational Strategy.

DESIGN RESPONSIBILITY MATRIX

A matrix that sets out who is responsible for designing each

INFORMATION EXCHANGE

aspect of the project and when. This document sets out the

The formal issue of information for review and sign-off by the

extent of any performance specified design. The Design

client at key stages of the project. The project team may also

Responsibility Matrix is created at a strategic level at Stage

have additional formal Information Exchanges as well as

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BRIEFING A PRACTICAL GUIDE TO RIBA PLAN OF WORK 2013 STAGES 7, 0 AND 1

the many informal exchanges that occur during the iterative

employer’s Business Case, Sustainability Aspirations

design process.

or other aspects that may influence the preparation of the brief and, in turn, the Concept Design stage. For example,

INITIAL PROJECT BRIEF

Feasibility Studies may be required in order to test the

The brief prepared following discussions with the client to

Initial Project Brief against a given site, allowing certain

ascertain the Project Objectives, the client’s Business

high-level briefing issues to be considered before design work

Case and, in certain instances, in response to site Feasibility

commences in earnest.

Studies. PROJECT OUTCOMES MAINTENANCE AND OPERATIONAL STRATEGY

The desired outcomes for the project (for example, in the case

The strategy for the maintenance and operation of a building,

of a hospital this might be a reduction in recovery times). The

including details of any specific plant required to replace

outcomes may include operational aspects and a mixture of

components.

subjective and objective criteria. PROJECT PERFORMANCE

POST-OCCUPANCY EVALUATION

Evaluation undertaken post occupancy to determine whether

The performance of the project, determined using Feedback,

the Project Outcomes, both subjective and objective, set out

including about the performance of the project team and

in the Final Project Brief have been achieved.

the performance of the building against the desired Project Outcomes.

PRACTICAL COMPLETION PROJECT PROGRAMME

Practical Completion is a contractual term used in the Building Contract to signify the date on which a project

The overall period for the briefing, design, construction and

is handed over to the client. The date triggers a number of

post-completion activities of a project.

contractual mechanisms. PROJECT ROLES TABLE PROJECT BUDGET

A table that sets out the roles required on a project as well as

The client’s budget for the project, which may include the

defining the stages during which those roles are required and

construction cost as well as the cost of certain items required

the parties responsible for carrying out the roles.

post completion and during the project’s operational use. PROJECT STRATEGIES PROJECT EXECUTION PLAN

The strategies developed in parallel with the Concept Design

The Project Execution Plan is produced in collaboration

to support the design and, in certain instances, to respond to

between the project lead and lead designer, with contributions

the Final Project Brief as it is concluded. These strategies

from other designers and members of the project team. The

typically include:

Project Execution Plan sets out the processes and protocols

•

to be used to develop the design. It is sometimes referred to

•

fire engineering strategy

as a project quality plan.

•

Maintenance and Operational Strategy

PROJECT INFORMATION

Information, including models, documents, specifications,

acoustic strategy

•

Sustainability Strategy

•

building control strategy

•

Technology Strategy.

schedules and spreadsheets, issued between parties during

These strategies are usually prepared in outline at Stage 2

each stage and in formal Information Exchanges at the end of

and in detail at Stage 3, with the recommendations absorbed

each stage.

into the Stage 4 outputs and Information Exchanges. The strategies are not typically used for construction

PROJECT OBJECTIVES

The client’s key objectives as set out in the Initial Project Brief. The document includes, where appropriate, the

182

purposes because they may contain recommendations or information that contradict the drawn information. The intention is that they should be transferred into the various models or drawn information.

GLOSSARY

QUALITY OBJECTIVES

SUSTAINABILITY ASPIRATIONS

The objectives that set out the quality aspects of a project.

The client’s aspirations for sustainability, which may include

The objectives may comprise both subjective and objective

additional objectives, measures or specific levels of

aspects, although subjective aspects may be subject to a

performance in relation to international standards, as well

design quality indicator (DQI) benchmark review during the

as details of specific demands in relation to operational or

Feedback period.

facilities management issues. The Sustainability Strategy will be prepared in response

RESEARCH AND DEVELOPMENT

to the Sustainability Aspirations and will include specific

Project-specific research and development responding to the

additional items, such as an energy plan and ecology plan

Initial Project Brief or in response to the Concept Design as

and the design life of the building, as appropriate.

it is developed. SUSTAINABILITY STRATEGY RISK ASSESSMENT

The strategy for delivering the Sustainability Aspirations.

The Risk Assessment considers the various design and other risks on a project and how each risk will be managed and the party responsible for managing each risk.

TECHNOLOGY STRATEGY

The strategy established at the outset of a project that sets out technologies, including Building Information Modelling

SCHEDULE OF SERVICES

(BIM) and any supporting processes, and the specific

A list of specific services and tasks to be undertaken by a

software packages that each member of the project team will

party involved in the project which is incorporated into their

use. Any interoperability issues can then be addressed before

professional services contract.

the design phases commence. This strategy also considers how information is to be

SITE INFORMATION

communicated (by email, file transfer protocol (FTP) site or

Specific Project Information in the form of specialist surveys

using a managed third party common data environment) as

or reports relating to the project or site-specific context.

well as the file formats in which information will be provided. The Project Execution Plan records agreements made.

STRATEGIC BRIEF

The brief prepared to enable the Strategic Definition of the

WORK IN PROGRESS

project. Strategic considerations might include considering

Work in Progress is ongoing design work that is issued

different sites, whether to extend, refurbish or build new and

between designers to facilitate the iterative coordination of

the key Project Outcomes as well as initial considerations for

each designer’s output. Work issued as Work in Progress is

the Project Programme and assembling the project team.

signed off by the internal design processes of each designer and is checked and coordinated by the lead designer.

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Index

Page numbers in italic indicate figures and in bold indicate glossary terms.

Building Services Research and Information Association

A

approvals 95–6 see also planning considerations ‘as-constructed’ information 56, 180

(BSRIA) 25, 50, 52 Building Use Studies (BUS) 48, 50 building users 35, 37–8

asset information 25, 35, 43, 49

behaviour 30, 31

asset management 42, 57

post-occupancy evaluation 40, 47–8, 182 wellbeing 25, 30 BUS see Building Use Studies (BUS)

B

background information 133

business case 78, 78, 86–7, 104, 180

barcodes 42 behaviour, user 30, 31

C

BFL12 see Building for Life 12 (BFL12)

CAFM (computer-aided facilities management) systems 56–7

Big Data 30, 31, 37, 49

capital project management 57

BIM see Building Information Modelling (BIM)

CarbonBuzz 29, 35, 45, 50, 53, 55, 56

BMS see Building Management Systems (BMS)

change control procedures 180

BPE see building performance evaluation (BPE)

Chartered Institution of Building Services Engineers (CIBSE)

BREEAM (Building Research Establishment Environmental Assessment Method) 50, 55, 132 brief see project briefs; Stage 1 (Preparation and Brief); strategic brief BSRIA see Building Services Research and Information Association (BSRIA)

45, 50 CIC see Construction Industry Council (CIC) circular plan of work 25, 45 client 33–5, 73–4 decision-making 165 needs 10–11, 126–7

budget, project 118, 133, 182

and project team 147

building contract 180

role 37–8, 70, 75

building equipment

sign-off 134

inventories 43 preventive maintenance 43

vision 78, 78, 79–81 Code for Sustainable Homes 155

Building for Life 12 (BFL12) 155

common standards 133, 157, 180

Building Information Modelling (BIM) 42, 56, 57, 58, 180

communication strategy 157, 180

Building Management Systems (BMS) 31

complex adaptive systems 29–31, 29

building operations 39, 42–3, 157

compliance issues 6, 46, 94–6, 152–5, 159

computer-aided facilities management (CAFM) systems 56–7 building performance evaluation (BPE) 25, 27, 40 tools and methodologies 50–2 Building Regulations 154, 159

184

computer-aided facilities management (CAFM) systems 56–7 concept design see Stage 2 (Concept Design) Construction Industry Council (CIC) 48 construction programme 6, 180 construction strategy 181

INDEX

consultation 98–101, 136–7 contract 180 design-build-finance-operate (DBFO) 41–2, 44

H

handover and close out see Stage 6 (Handover and Close Out)

contractor’s proposals 181

handover strategy 52, 118, 157, 181

contractual tree 118, 133, 145, 145, 181

health and safety strategy 181

core objectives 4–5, 9–12, 11, 40, 118

HVAC (heating, ventilation and air conditioning) systems 43

Core Objectives task bar 4–5 cost information 181 costs 9, 10, 87 see also project budget

I

information exchanges 8, 181–2 at end Stage 0 76, 104–5 at end Stage 1 133, 160–1

D

design-build-finance-operate (DBFO) contracts 41–2, 44

at end Stage 7 56–8, 59 Information Exchanges task bar 8, 119

design programme 6, 181

initial project brief 118, 119, 121–7, 129–37, 160–1, 182

Design Quality Indicators (DQI) 48, 50, 132

initial project brief coordinator 141

design queries 181

Internet-of-Things (IoT) 30, 31, 38–9

design responsibility matrix (DRM) 118, 133, 139, 146, 146, 181

K

DQI see Design Quality Indicators (DQI)

key issues 132

DRM see design responsibility matrix (DRM)

key performance indicators (KPIs) 50, 51 key support tasks 6–7, 47–9, 97–101, 156

E

KPIs see key performance indicators (KPIs)

economic sustainability 103 emergency management 57

L

employer’s requirements 124, 181

lease administration 43, 57

energy performance 25, 46, 103

LEED (Leadership in Energy and Environmental Design) 50,

enterprise resource planning (ERP) systems 42 environmental performance 25, 103

51 London Housing Design Guide (LHDG) 155

ERP see enterprise resource planning (ERP) systems M F

facilities management (FM) 39, 42–3, 157 computer-aided systems 56–7

Machine Learning 30, 31, 49 maintenance and operational strategy 182 maintenance management 43, 57

feasibility studies 86, 118, 133, 135, 136, 181

MEP (mechanical, electrical and plumbing) systems 43

feedback 25, 27, 32, 78, 97–8, 181

methodologies and tools 50–2

see also consultation

metrics see key performance indicators (KPIs)

feedback sessions 45

Model Commissioning Plan 50, 51

feedforward 25, 28, 45, 78, 97–8

move management 43, 57

final project brief 124, 181 ‘five Ws and one H’ 83–4, 84

N

FM see facilities management (FM)

National House Building Council (NHBC) 155

focus groups 50

National Planning Policy Framework (NPPF) 153

foresight 79

needs, client 10–11, 126–7 Neighbourhood Development Orders (NDOs) 153

G

NHBC see National House Building Council (NHBC)

Gantt charts 151 Gateway Review process 74

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O

objectives see core objectives; project objectives occupants see building users

Stage 1 6, 118, 119, 133, 148–50, 151 Stage 7 44–5 project requirements 132

Office of Government Commerce (OGC) 74

project roles table 118, 133, 144, 144, 155, 182

options appraisals 5, 78, 78, 82–5, 85, 86–7

project strategies 182

organisational planning 42, 57

communication 157, 180

outcome value 14

construction 181 handover 52, 118, 157, 181

P

health and safety 181

PAS (Publicly Available Specification) 1192:3 58, 59, 105, 161

maintenance and operational 182

people management 57

sustainability 183

PEP see project execution plan (PEP)

technology 157, 183

performance gap 29, 32

project team 183

PFI (private finance initiative) 44

Stage 0 5, 75, 90–1

planning considerations 6, 46, 94–6, 152–5, 159

Stage 1 5, 133, 134, 138–47

Planning Policy Guidance (PPG) 153

Stage 7 37, 45, 49, 53

planning, strategic 42, 57

public sector 58, 74, 138

post-occupancy evaluation (POE) 40, 47–8, 182

Publicly Available Specification (PAS) 1192:3 58, 59, 105, 161

tools and methodologies 50–2 practical completion 36, 182 preparation 71–6 see also Stage 1 (Preparation and Brief)

Q

quality objectives 12, 183 questionnaires 48

preventive maintenance 43, 57 procurement 5, 41–2, 90–1, 138–47

R

Procurement task bar 5, 119

real-estate portfolio management 43

Programme task bar 6, 119

renewable energy 159

project briefs

research and development 49, 53, 183

final 124, 181 initial 118, 119, 121–7, 129–37, 160–1, 182 see also strategic brief

responsibilities see design responsibility matrix (DRM); project team risk assessment 118, 156, 162–7, 183

project budget 118, 133, 182

risks at Stage 0 72–3

project execution plan (PEP) 118, 133, 139, 140, 143, 155,

roles see project roles table; project team

157, 182 project information 43, 49, 182

S

project management 43

Scenario A (residential extension) 18, 62, 128, 170

project objectives 81, 83, 117, 118, 127–9, 182

Scenario B (small housing development) 18, 62, 108, 128,

examples 128

170–1

in initial project brief 132

Scenario C (refurbishment of university building) 128, 171

matching skills to 142

Scenario C (university building refurbishment) 19, 63, 109

project outcomes 8, 35, 49, 117, 118, 182

Scenario D (new central library) 19, 63, 110, 128, 163, 172

feedback sessions 45

Scenario E (new headquarters office) 19, 63, 110, 128, 173

in initial project brief 132

schedule of services 38, 40, 118, 183

outcome value 14

sensors 30, 31, 49, 50

performance gap 29, 32

service-based procurement 41

procurement of 41

show-stoppers 84

project performance 8, 48–9, 182

site appraisals 85–6, 85

project programme 182

site information 118, 133, 183

Stage 0 6, 92–3

186

site selection 103

INDEX

skills 141, 142

Stage 2 (Concept Design) 13, 14–15, 178

smart buildings 30–1, 39

Stage 6 (Handover and Close Out) 13, 14, 24, 25, 27, 36

smart IoT devices 31, 38–9

Stage 7 (In Use) 21–63, 176

social media 50

building performance evaluation 25, 27, 40

social sustainability 103

compared with previous Stage L 36

Soft Landings 25, 29, 50, 52, 157

complex adaptive systems 29–31, 29

space management 42, 57

core objectives 4, 9–12, 11, 40

special purpose vehicles (SPV) 41–2

facilities management 39, 42–3

specialist advisors 134

feedback and feedforward 25, 27, 28, 32, 45, 97–8

SPV see special purpose vehicles (SPV)

information exchanges 56–8, 59

Stage 0 (Strategic Definition) 65–110, 176–7

key support tasks 7, 47–9

business case 78, 78, 86–7, 104, 180

people undertaking 37–9

core objectives 4, 9–12, 11

performance gap 29, 32

feedback and feedforward 25, 28, 45, 78, 97–8

planning conditions 46

information at start of stage 69

post-occupancy evaluation 40, 47–8, 182

information exchanges 76, 104–5

procurement issues 41–2

key support tasks 7, 97–101

programme drivers 44–5

options appraisals 78, 78, 82–5, 85, 86–7

research and development 49, 53, 183

planning considerations 6, 94–6

scenarios 18–19, 62–3

preparation 71–6

Soft Landings 25, 29, 50, 52

project programme 6, 92–3

sustainability 7, 54–5, 54

project team 5, 75, 90–1

task bars 4–8, 22

risks 72–3

tools and methodologies 50–2

scenarios 108–10

value to clients 33–5

site appraisals 85–6, 85

Stage L (previous version) 36

stakeholder engagement 98–101

stage transitions 13–15, 27–8

strategic brief 78, 78, 88–9, 98–101, 104, 183

stakeholder engagement 98–101, 136–7

sustainability 7, 102–3

stakeholders 80

task bars 4–8, 66

see also client

value to clients 73–4

standards and guidance 132, 134

vision 78, 78, 79–81

standards, common 133, 157, 180

Stage 1 (Preparation and Brief) 113–73, 176–7 core objectives 4–5, 9–12, 11, 118 feasibility studies 86, 118, 133, 135, 136, 181 information at start of stage 69 information exchanges 133, 160–1 initial project brief 118, 119, 121–7, 129–37, 160–1, 182

statement of need 81, 83 statutory approvals 95–6 see also planning considerations strategic brief 78, 78, 88–9, 104, 183 and initial project brief 124 stakeholder involvement 98–101

key support tasks 7, 156

strategic definition see Stage 0 (Strategic Definition)

planning considerations 6, 152–5, 159

strategic options appraisals 5, 78, 78, 82–5, 85, 86–7

project execution plan 118, 133, 139, 140, 143, 155, 157,

strategic planning 42, 57

182

strategies see project strategies

project objectives 117, 118, 127–9, 132

Suggested Key Support Tasks task bar 6–7, 119

project programme 6, 118, 119, 133, 148–50, 151

sustainability 7, 54–5, 54, 102–3, 158–9

project team 5, 133, 134, 138–47

sustainability aspirations 118, 132, 158, 183

risk assessment 118, 156, 162–7, 183

Sustainability Checkpoints task bar 7, 119

scenarios 170–3

sustainability strategy 183

sustainability 7, 158–9

sustainable transport 46

task bars 4–8, 113, 119

system control interfaces 35

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T

task bars 4–8, 22, 66, 113, 119

V

vision 78, 78, 79–81

team see project team technology strategy 157, 183 thermostats 30 smart 31, 38 tools and methodologies 50–2 Town Planning task bar 6, 119 transitions between stages 13–15, 27–8 travel plans 46 U

UK Government information exchanges 58, 105, 161 UK Government Information Exchanges task bar 8 users see building users

I M A G E C R E D I TS

p. 140 © iStock/hh5800 p. 143 © iStock/kyoshino

188

W

wellbeing, user 25, 30 work in progress 183