RIBA project quality
plan for small projects
Version for use with
2007 RIBA Outline Plan of Work
Compiled by Keith Snook – September 2006
Part of the RIBA Quality Management Toolkit
(Version Dec 2006 - with minor amendments)
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Section one - instructional
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PREAMBLE
The RIBA Quality Management System – Project Quality Planning for small projects adopts a process
approach and has been developed as a tool to be primarily used by practices electronically. This version
incorporates the 2007 version of the RIBA Outline Plan of Work. It is an MS word document that is very
simple to operate and will provide benefits to the practice. The sequence is less relevant to an electronic
document than to a paper one but for reference/information the order is as follows:
Section one - instructional
Title Page
Preamble
Introduction – explanatory text:A Rose by any other name
The ‘knocked down by a bus’ test
The quality plan
Elements of a quality plan
Using the RIBA Project Quality Plan for small Projects
Section two –project related model documents
Short form quality plan
Quality Plan
Title page
Project particulars
Consultants
Contractors/Suppliers
Programme
Design review report
Record of amendments to brief/Schedule of requirements
Schedule of significant meetings and events
Project responsibilities checklist
Section three – reference material - support procedures
Commission
Project naming and numbering
Design reviews
Project document protocols
Section four – reference material – data and guidance
Consultants – track record
Contractors/suppliers track record
List of project Numbers
Procurement systems
RIBA Outline Plan of Work
Working at Risk
The presentation provides internal links from enquiry points (bookmarks) to reference points as necessary by
way of hyperlinks. Some links to useful external sources are also provided such as:
ƒ Web-site of Co-ordinating Committee for Project Information for access to the full text of the Code of
Procedure for Production Information.
ƒ Web-site of the Usable Buildings organisation for advice on collection and use of feedback data
ƒ RIBA bookshop – access for on line purchase of support documents.
ƒ Building Cost Information Service – an on line subscription service available to RIBA Chartered Practices
for assistance in cost estimating
ƒ British Standards Institution – reference to the International Standard “BS EN ISO 9001 2000 Quality
Management Systems”
Simple instruction on adding your own internal or external links are included though this does assume basic
knowledge of MS Word.
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RIBA - PROJECT QUALITY PLANNING FOR SMALL PROJECTS
INTRODUCTION
“A Rose by any other name ….”
The RIBA Project Quality Plan for Small Projects (PQPSP) is a useful management control mechanism and
not to be seen as “additional documentation required for QA". It may even help in understanding the concept
of the project quality plan to relate it to a ‘design plan’ or some other more familiar term particularly if, as you
read-on, you recognise all the steps as something you do anyway - but under another name. For
presentation purposes we have established terms and used them consistently. One advantage in our terms
is that where clients have an interest in or knowledge of the subject they will understand them. However if
they really understand they will also know that the important thing about quality management is that it is done
- and done in the normal course of events– not what lexicon it uses.
The “knocked-down by a bus” test
Most of the requirements for project quality planning are probably already satisfied in a well-regulated
practice, for example by following the “Architects Job Book”, and the evidence located somewhere in the
files. In a properly operating quality system, all the relevant information will be readily available. In pure QM
terms this is important in order to be able to demonstrate compliance but this is of course not the reason for
doing it. If it is, the system will quickly fail the practice. A hypothetical, test that may be applied is that it
should be implicit that in a practice operating good systems that other technically competent people (from
within or without) should be able to take over a project at short notice should the need arise, and be able to
maintain the specified program, service and performance. The ‘what happens if ‘Fred’ is knocked-down by a
bus’ test!
The Project Quality Plan
It is not too difficult to create a sequence of processes and activities that are logical and can be followed by
others. The already familiar RIBA Outline Plan of Work provides such a framework for a project quality plan
for architecture and indeed all building design activities. It has stood the test of time and has been adopted
in whole or part by other disciplines and the basic stages A to L have become a de-facto process map for
any building design project. It is also the intellectual property of the RIBA and its development is closely
linked to feedback from the profession including from its use for purposes such as this. For these reasons it
is adopted in this model as the framework for the project process.
Projects are frequently intermittent in nature and without a plan keeping track can be difficult. A commission
may initially be for a ‘partial service’ eg a feasibility study, or to determine a brief only and subsequently may
not be extended. This gives good reasons for project quality plans to be prepared and continually reviewed
and updated.
It may be possible to standardise some elements of a quality plan and if responsibilities for particular tasks
are defined elsewhere (eg in written procedures) the quality plan need only identify the task and the
personnel. Similarly information may exist elsewhere eg the schedule of requirements may be filed in say,
the client file. The quality plan need simply identify that file. The quality objectives of the practice may be
common to all projects and be defined in a policy statement. However, those for a project have to reflect the
values of the ‘client’ (funder, user and others) and this may be best recorded in the quality plan.
Elements Of A Quality Plan.
Quality plans should:
a) Record of the Project Details –
name, address and brief description of the project;
name, address and responsibilities of:
- the client
- other design team members
- specialist consultants
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-
-
contractors
suppliers.
b) Definition of the client’s brief to include outline of the client’s requirements including:
any schedules of accommodation
cost plan or limits
program or time limits
any key design development and construction constraints
agreed level of specification(cost/durability and
particularly deviations from norms or standards.)
c) Definition of the Scope of Services to be provided by the Chartered Practice for the project
(generally based on the RIBA Outline Plan of Work).
d) Record of any critical processes/procedures to be followed, particularly where they differ from
accepted normal office practice.
e) Definition of approval/verification activities such as design reviews, drawing and other document
checks, submissions to statutory authorities, client presentations and approvals.
-
f) Record of Changes and updates on progress relating to
the agreed project plan or client’s brief
team members
any other variations.
The Quality Plan should be reviewed and updated at programmed intervals, usually related to plan of
work stages and at the time of any significant individual changes.
g) Record of any other special actions necessary to meet the project objectives and any unusual
circumstances or uncertainties about the project which require further investigations.
h) Methods of measuring achievement in the design and production processes, particularly on
project completion and monitoring client satisfaction through the project, Including record of dealing
with any client complaint
The above requirements may seem onerous when applied to a job that may be completed by one person in
a couple of weeks. For a small project, the quality plan may just be a few structured notes (which can be
hand written) in the front of the project file. A suggested format is provided at the following link PQPShort.
Quality systems only require legible/intelligible documents of the appropriate level of rigour, not necessarily
word-processed ones!
It may be found useful if the other documents for the project that demonstrate that the quality plan has been
followed are filed with, or as part of, the quality planning document. These may include the brief and brief
change control documents, statutory approvals, client approvals, design review records, checking records,
programs, progress records and architect’s instructions. Alternatively they may be referenced using an office
filing system.
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USING THE RIBA PROJECT QUALITY PLAN FOR SMALL PROJECTS
NB
A basic working knowledge of MS Word operation is assumed and it may be helpful to refer also to Microsoft
‘Help’ function. Follow links for more detailed definitions.
Updates
From time to time the system will be updated on the RIBA web site
Procedure for use:
1. Download a copy from the RIBA web site
2. Create a template and make any generic adjustments to suit the practice. The base document contains
internal and external links note that these may be affected by any amendment you may make.
For project use:
3. Rename a copy using the file identifier for the project. The Identifier is a project number and short
version of the project name e.g. Fallingwater 35/123. Enter footer and check that the file is now
automatically re named.
4. While in footer manually key version status indicator. The system in the toolkit uses the date ddmmyy
with no spaces – you may have your own way of doing this. The ‘printed date’ is simply automatically
linked to the computer clock and records the date on any printed version of the document or part of it.
5. Title page: Insert the name and number of the Project and a date of inception of the commission.
6. The tables for
Project particulars
Consultants
Contractors/Suppliers
are all MS Word tables and cells will expand to accommodate entries.
They are all relatively straightforward. You may already have this information in other files that you can
either import or use from that source (instructions for such IT operations are beyond the scope of this
section).
7. The same applies to the other tabular formats
Commission/Programme
Design Review Report
Amendments to Brief
Schedule of meetings
8. The table of activities entitled ‘Project responsibilities ‘ may be amended to create a bespoke version for
the project. Similarly a new practice master list can be used to replace the one provided. Again it is a
simple MS Word table.
Project 1
RIBA
Base
document
Download/
Customise >
Your
Base
document
Rename/
Complete/
Follow >
Project 3
Project 2
etc.
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Amending the links
1
1.1
1.2
2
2.1
Creating new internal links:
Create a ‘Bookmark’ at the point to be linked-to either in the same or other accessible document:Highlight one word
Choose ‘Insert’ menu and ‘Create bookmark’
Name bookmark in dialogue box and close and revert to document.
Create a ‘Hyperlink’ to that point
Highlight the word to be linked-from
Choose ‘Insert’ menu and ‘Create hyperlink’
In the dialogue box browse for the name of the appropriate bookmark and select, close and revert to
document.
Test the operation of the link.
Creating new external links:
Create a ‘Hyperlink’ to that source
Highlight the word to be linked-from
Choose ‘Insert’ menu and ‘Create hyperlink’
In the dialogue box type or otherwise insert the URL for the link required.
Test the link.
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Section two –project related model
documents
MODEL DOCUMENTS
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Project Quality Plan for Small Projects– Short Form for use on qualifying projects only.
QMT/PQPSP/PQPshort
No.: …………..
Date:
Project:
Status: ………
By:
Client:
ITEM
Client requirements/instructions:
PEOPLE INVOLVED
DATES
Received/
Confirmed:
Scope of work:
Refs to other docs:
Appointment:
Programme:
Correspondence:
…..
…..
Staffing:
Tasks (including checking as appropriate)
…..
Design, progress or any other reviews/audits required for
project:
….
….
……
Application of procedures/protocols:
This plan presumes the application of normal office procedures at an appropriate
degree of rigor to suit the commission:
Variances from above statement:
1
2
3
4
Key decisions/changes
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QUALITY PLAN
FOR
CLIENT
Outline pro-forma for you to adjust to your own way
of working and schedules
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PROJECT PARTICULARS
QMT/PQPSP/Particulars
PROJECT NAME
PROJECT NO
CLIENT
ADDRESS
TELEPHONE NO
FAX NO
EMAIL
CONTACTS
(Key representatives)
POSITION/
RESPONSIBILITY
(poss refer to chart)
TELEPHONE NO
MOBILE NO
ADDITIONAL INFORMATION
Details of the commission
Enter details of the commission referring to the agreed brief and any correspondence or
other files as necessary such as design review regime.
CDM Regulations
Project Notifiable
Location of H&S Plan/File ……………………………………………………….
Notes:
Y/N
Appointed as Planning Supervisor Y / N
(if ‘yes’ see separate Quality Plan for this function)
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CONSULTANTS
QMT/PQPSP/Consultants
1
DISCIPLINE
PRACTICE NAME
ADDRESS
Email
Web
Tel
CONTACTS
POSITION/
RESPONSIBILITY
Tel
Mob
Email
ADDITIONAL INFORMATION
Details of the consultant’s commission particularly level of service and its relationship to
your own
.
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CONTRACTORS/SUPPLIERS
QMT/PQPSP/Contractors/Suppliers
1
DESCRIPTION
NAME
ADDRESS
Email
Web
Tel
CONTACTS
POSITION/
RESPONSIBILITY
Tel
Mob
Email
ADDITIONAL INFORMATION
Details of the contract and scope of works/supply
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COMMISSION/PROGRAMME Procurement method: …………………………………………….
WORK STAGE
DESIGN AND OTHER
REVIEWS (type/scope/date)
START (dates)
PLANNED/ACHIEVED
COMPLETE (dates)
PLANNED/ACHIEVED
QMT/PQPSP/Prog
INITIALS
(inc. client
approval as nec)
COMMENTS
PRE CONSTRUCTION
A:
Appraisal
B: Developed Brief
C: Concept
D: Design Development
E: Technical Design
F: Production Information
F1 for construction
F2 further as req.
G: Tender Documentation
H: Tender Action
USE
J:
Mobilisation
K: to Practical Completion
L: Post Practical
Completion
L1 final inspections and
admin
L2 assisted occupation
L3 performance in use
Other Services
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QMT/PQPSP/Des. Rev.
DESIGN REVIEW REPORT
Undertaken by:
Present::
Date:
Stage:
DESCRIPTION
Yes/
No
ACTION
ACTION BY
ACTION
COMPLETE
Have all the points on the
Design Check List been
addressed?
Have all statutory and
regulatory requirements
been included?
Are the project timescales
being achieved?
Have there been any
changes to client
requirements? If yes
record on record of
amendment sheet.
Have the changes above
been approved in writing?
Additional Comments
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RECORD OF AMENDMENTS TO BRIEF/SCHEDULE OF REQUIREMENTS
DATE
QMT/PQPSP/Brief Amnd.
ACTION
BRIEF DESCRIPTION OF AMENDMENT and ACTIONS
INITIALS
DATE
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SHEDULE/RECORD OF SIGNIFICANT MEETINGS AND EVENTS
QMT/PQPSP/Meetings
DATE
LOCATION
BRIEF DESCRIPTION OF MEETING/EVENT
INITIALS
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PROJECT RESPONSIBILITIES CHECK LIST
A Appraisal
Identification of client’s needs and objectives, business
case and possible constraints on development.
………………
Principal
WHAT
v
Delete-from / Add-to list as appropriate to project
………………
QMT/PQPSP/Proj. Check List
WHO >
DOCUMENT
REFERENCES,
LINKS & NOTES
Client initial brief
Preparation of feasibility studies and assessment of
options to enable the client to decide whether to proceed.
Scheme administration –formalise appointment
commission
appointment
contract
Prepare Preliminary programme
programme
Collect data supplied by owner/client
Undertake consultation with authorities
Check if project notifiable under CDM Regulaltions
CDM
Propose/obtain/undertake surveys (list)
surveys
Check economic viability – confirm client budget
BCIS
Check position wrt scheme finance availability
Undertake assessment of procurement methods
Procurement
Consider/propose possible consultants
ConsultantTR
Prepare Inception briefing report
………………………………………..
B Developed Brief
Development of initial statement of requirements into the
Developed Brief by or on behalf of the client confirming
key requirements and constraints. Identification of
procurement method, procedures, organisational
structure and range of consultants and others to be
engaged for the project
Administration
Undertake/obtain surveys (list)
Surveys
Collect further data supplied by owner/client
Check availability of services
Authorities: consultations with (list)
Undertake strategic design review
Prepare Feasibility briefing report(s)
…………………………………………
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C Concept
Implementation of Developed Brief and preparation of
additional data.
Preparation of concept design including outline proposals
for structural and building services systems, outline
specifications and preliminary cost plan.
Review of procurement route
Administration
Undertake materials research and prepare outline
specification statements
Prepare initial architectural design
Prepare/procure structural design to respond to above
Prepare/procure services design to respond to above
Prepare/procure initial landscape and external works
proposals
Consider access & transportation Issues
Prepare/procure cost plan
BCIS
Undertake co-ordination and checking
Undertake design review
Design review
Prepare outline scheme report
Obtain owner/client approval
Prepare/submit application for outline planning
permission
……………………………………………..
D Design Development
Development of concept design to include structural and
building services systems, updated outline specifications
and cost plan.
planning
The activities in italics
may be moved to suit
project requirements
Completion of final Brief.
Application for detailed planning permission
Administration
Prepare Architectural design
Prepare/procure Structural design
Prepare/procure Landscape design
Prepare/procure Services design
Prepare/procure Interior design
Prepare/procure Cost plan
Undertake co-ordination and checking
Undertake Design review (including health and safety
aspects of design)
Prepare Scheme design report
BCIS
checking
H&S
Pursue approvals
…………………………………………………..
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E Technical Design
Preparation of technical design(s) and specifications,
sufficient to co-ordinate components and elements of the
project and information for statutory standards.
Administration
Pursue Planning and building regulations requirements
Collect further data supplied by owner/client
Prepare Architectural design
Prepare/procure Structural design
Prepare/procure Landscape design
Prepare/procure Services design
Prepare/procure Interior design
Make preliminary arrangements for contract
management
Undertake/procure cost checking function
BCIS
Undertake technical reviews
Undertake co-ordination and checking
Prepare and make Presentations
……………………………………….
F Production Information
F1
Preparation of detailed information for construction.
Application for statutory approvals.
F2 Preparation of further information for construction
required under the building contract. Review of
information provided by specialists
The activities in italics
may be moved to suit
project requirements
Administration
Prepare Contract documentation and tender information
Prepare/procure preparation of Bills of quantities,
schedules of rates or other pricing information
Prepare Architectural - project information
(drawings/specifications)
Prepare/procure Structural engineering - project
information (drawings/specifications)
Prepare/procure Landscaping - project information
(drawings/specifications)
Prepare/procure Services engineering - project
information (drawings/specifications)
Undertake Co-ordination and checking
CPIC
Project information appraisal
G Tender Documentation
Preparation and/or collation of tender documentation in
sufficient detail to enable a tender or tenders to be
obtained for the project
The activities in italics
may be moved to suit
project requirements
Prepare Architectural - tender documentation
Prepare/procure Structural engineering - tender
documentation
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Prepare/procure Services engineering - tender
documentation
Prepare tender lists - main contract
Consider demolition and/or enabling works contracts
………………………………………….
H Tender action
Identification and evaluation of potential contractors
and/or specialists for the project.
Obtaining and appraising tenders; submission of
recommendations to the client
The activities in italics
may be moved to suit
project requirements
Administration
Convene pre-tender meetings
Answer questions (from tenderers)
Apply agree procedure (NJCC?) for opening of tenders
…………………………………………..
J Mobilisation
Letting the building contract, appointing the contractor.
Issuing of information to the contractor.
Arranging site hand over to the contractor.
Administration
Check any outstanding items related to the site
Undertake briefings of key participants (consultants,
general contractors, specialist contractors etc)
…………………………………………..
K Construction to Practical Completion
Administration of the building contract to Practical
Completion
Provision to the contractor of further Information as and
when reasonably required.
Review of information provided by contractors and
specialists
Issue all information/instructions
Where applicable provide information for health and
Safety file (CDM Regs) and/or for Building Log Book
(Building Regulations part L2)
Prepare/implement quality control regime including onsite observation/inspection
Prepare/implement Cost control regime
CDM
Issue Certificates
Conduct/attend meetings
Monitor progress and programme
Respond to enquiries from client/users
Respond to enquiries from construction team
Attend design meetings
…………………………………………………
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L Post Practical Completion
L1
L2
L3
Administration of the building contract after Practical
Completion and making final inspections.
Assisting building user during initial occupation
period
Review of project performance in use
Administration
Issue certificates and final certificates
Undertake site inspection/observation
Prepare materiel for archive
Collect/analyse/act on client feedback
Analyse/act on performance of completed works
(including aspects of construction related to design)
Analyse/act on Performance of project design team
Analyse/act on Performance of construction team
Analyse/act on contractual relationships
Analyse/act on office costs
Undertake continuing feedback (without prejudice)
………………………………………………………
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Section three
Reference material - support procedures
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USE OF THE SHORT FORM QUALITY PLAN SFQP
This short form has two principal uses:
1
Where the characteristics of the commission, particularly its very limited size and scope
suggest that a full QP would be unnecessary and where other office procedures are
reasonably expected to be set aside, modified or otherwise compromised.
2
Another use of the short form is for projects with an ill-defined start or for services outside
the normal scope of the documented procedures of the quality system (whilst being within
the scope of competence and PII cover of the practice). See also notes on ‘working at risk’
under the general heading and link enquiry.
COMMISSION
Purpose
Defines what to do on receipt of verbal or written instruction from a client to provide professional
services.
Procedure
1
Open file with:
a) unique project name;
b) a unique project number;
c) date of enquiry;
d) client's name, address and contact details.
2
Before entering into an agreement review:
a) The extent of the duties and scope of work are clearly defined and acceptable. The
Conditions of Appointment and terms for payment of fees are agreed;
b) The statement of requirements (“Brief”) is adequately defined and/or there exists a means
for clarifying them as the design proceeds;
c) There are no obvious ambiguities, contradictions or inadequacies in the documentation;
d) The program for the project is acceptable;
e) The Practice has adequate resources and expertise to complete the project to program,
additional resources/expertise needed to be brought in;
f) The Practice has adequate equipment available (including computer software);
g) The Practices PI insurance is adequate
h) There are no other reasons for rejecting the commission;
3
Record review
Client Agreement
1
a)
b)
c)
d)
e)
2
Use appropriate RIBA appointment or make sure the following are covered:
Terms of reference - comprising the terms set down in the client's initial enquiry or letter of
invitation, together with any relevant comments, clarifications of results of negotiation;
Conditions of appointment - based on those established by the RIBA or agreed mutually with
the client.
The clients brief - having been checked for adequacy and completeness.
Program - showing the extent and nature of the project, dates of all key activities, including
obligations of the client, and approval periods.
Remuneration - defining clearly the terms of payment agreed by the client.
Where the agreement has been drawn up by/on behalf of the client, check the details and
identify conditions at variance with those prepared by the RIBA, taking legal advice as
necessary, before signing and returning the agreement to the client. Keep a copy of the
agreement signed by all parties on the commission file.
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Amendments To The Commission
1
2
3
During the course of the work, minor amendments and clarifications, particularly the schedule
of requirements (“Brief”), frequently occur.
Record the changes in notes of
meetings/conversations and send a copy to the client.
Where these changes constitute an amendment to the terms of the commission by way of
change in scope, program or cost limits, agree the changes with the client and hold a signed
record in the commission file.
Formally agree any significant changes such as those which may affect the ability of the
Practice to comply with the client’s brief in terms of specified requirements, programme, capital
cost or professional fees. Hold a signed record of the changes (and consequences thereof) of
all such changes from the client’s original brief including those stemming from proposals by the
client, the Practice and the consultants.
Speculative Work
When invited to bid for work or undertakes speculative work it may not be possible to satisfy all the
requirements of normal commission review.
1
Record any ambiguities or omissions in the documentation and make efforts to obtain
clarification.
2
Before submitting the tender, undertake a commission review, recording unresolved
ambiguities.
CDM Regulations
Write to the client advising whether or not the project is notifiable and of their consequential
responsibilities under the Construction (Design and Management) Regulations 1994.
PROJECT NAMING AND NUMBERING
Project Naming
The project name is unique for each commission. If one project has two or more commissions
these must be identified in the name. The name should include one or more of the following such
as will achieve a unique identity. It should also reflect as far as possible the client’s preferences.
You may have a ‘full’ and ‘short’ versions and it is best to agree the nature of any short version as
there could be confusion if different parties elect to use different short names.
• Client name or name of organisation (and identification of the client representative)
• Location information (eg town, street etc)
• Type of project (eg offices)
• Agreed short name
Project Numbering
The project number commences with the last two digits of the year followed by a sequential number
of 3 digits (05/123). A list of project numbers is maintained
by:…………………
at: ………………….
DESIGN REVIEWS
Purpose
Design reviews identify and anticipate problem areas and inadequacies initiate corrective action to
ensure that the final design meets the client and statutory requirements. The reviews are
programmed in the quality plan and normally occur towards the end of plan of work stages D and E.
The review is to be programmed to allow alterations to be made in response to the review within the
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project programme. Participants at each design review include all functions concerned with the
design stage being reviewed.
Check list
The design reviews establish that the design:
a) satisfies the requirements of the brief;
b) takes account of feedback from previous similar projects;
c) satisfies regulatory requirements, specified standards and Practice standards;
d) drawings and calculations have been checked;
e) has been based on the latest consultants information;
f) has been submitted for and received approval where required in the quality plan;
g) takes into account all special requirements identified in the quality plan;
h) is reasonable, buildable and maintainable;
j) takes account of the findings of the previous review;
PROJECT DOCUMENTS
The documents referred to in this section are those which constitute the output of the Practice in
response to the client's brief. They are usually in the form of drawings and project specifications.
They may sometimes be reports and studies. Project documents may also be prepared and
transmitted by electronic means.
Project Document Numbering
All project documents show the unique project number allotted when the commission was accepted
(see 2.1 Commission). Individual drawings are numbered in accordance with the recommendations
in The Construction Project Information (CPI) Code: Production Information: a code of procedure for
the construction industry section 2.3.
All correspondence for the project shows the project number.
Issue Of Documents
Documents are only issued after the appropriate approval has been recorded (see 2.3 Drawing and
document checking). All documents are issued with an issue sheet form F***. It records the
number of document and its amendment mark, the number of copies and to whom issued. A copy
of the issue sheet is filed in ***.
Incoming Project Documents
All incoming project documents from members of the design team (including the client, where
appropriate) not accompanied by an issue sheet are recorded on form F**** including number,
revision mark and date. Each drawing/document is date stamped on receipt.
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Section four
Reference material – data and guidance
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QMTK/PQPSP/ConsultantsTR
CONSULTANTS – track record
Name & Address of Consultant
Contact details
Description of Approved Service
Basis of Assessment
Comments by:
Date
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QMTK/PQPSP/ConractorsTR
CONTRACTORS – track record
Name & Address of Contractor
Contact details
Description of Approved Service
Basis of Assessment
Comments by:
Date
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List of project numbers
Number
Project name (long/short)
Dates issued/completed
/
/
/
/
/
/
/
/
/
Project architect
Archive location
QMTK/PQPSP/Proj List
Notes
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How important is early completion to the
success of your project?
B Controllable
variation
C Complexity
D Quality level
E Price certainty
F Competition
G Management
H Accountability
I Risk avoidance
Do you foresee the need to alter the project in
any way once it has begun on site, for example
to update machinery layouts?
Does your building (as distinct from what goes
in it) need to be technically advanced or highly
serviced?
What level of quality do you seek in the design
and workmanship
Do you need to have a firm price for the project
construction before you can commit it to
proceed?
Do you need to choose your construction team
by price competition
Can you manage separate consultancies and
contractors, or do you want just one firm to be
responsible after the briefing stage?
Do you want direct professional accountability
to you from the designers and cost consultants?
Do you want to pay someone to take the risk of
cost and time slippage from you
Crucial
Important
Not as important as other factors
Yes
Definitely not
1
2
3
4
5
Yes
Moderately so
No just simple
Basic competence
Good but not special
Prestige
Yes
A target plus or minus will do
6
7
8
9
10
11
12
13
Certainly for all works contractors
Works and construction management teams
No, other factors more important
Can manage separate firms
Must have only one firm for everything
14
15
16
17
18
Not important
Yes
No, prefer to retain control and therefore
risk
Prepared to share agreed risks
Yes
19
20
21
22
23
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Consultant
Project
manager
•
Contractor
project
manager
•
Construction
management
•
•
QMTK/PQPSP/Procurement Guide
Fee construction Design and
manage
Management
contracting
Develop and
construct
Competitive
A Timing
Design & build
Direct
Priority
Accelerated
The document THINKING ABOUT BUILDING was originally published by govt following research
at the Building Research Establishment. It was later adopted and republished by the
Construction Round Table. Now both versions are out of print but this extract provides a simple
starter for aiding decision making on procurement based on an analysis of client priorities. (NB
does not cover PFI or its derivatives)
Sequential
PROCUREMENT - IDENTIFYING YOUR PRIORITIES
Lump sum
contracting
•
•
•
•
•
•
•
•
•
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RIBA OUTLINE PLAN OF WORK 2007
Work Stage Sequences by Procurement Method
The diagrams illustrate different sequences for completion of work stages for various
procurement methods, but are not representative of time.
In arriving at an acceptable timescale the choice of that method may be as relevant as other
more obvious factors such as the amount of work to be done, the client's tendering
requirements, risks associated with third party approvals or funding etc.
FULLY DESIGNED PROJECT
Select advisors ---
A
single stage tender
B
Planning
Select / confirm consultants -
C
D
E
F1
F2
G
H
J
L2,3
K
L
FULLY DESIGNED PROJECT with design by Contractor or Specialist
Select advisors ---
A
B
Planning
Select / confirm consultants --
C
D
Pre-contract design by Specialist
E
G*
F1
H*
F2
F1
H2
Post contract design by Contractor or Specialist
F2
Competitive single stage tender
G
Two stage main contract tender
G*
G* First stage documentation
F2
H*
H*
F1
G
J
L2,3
K
L
H2
H* First stage tender may include Contractor's Proposals H2 Second stage tender
DESIGN AND BUILD PROJECT single stage tender
Select Advisors ---
A
B
Select / confirm consultants ---
Planning
C
Design review
D
Employer's Requirements
L2,3
G
Contractor's Proposals
H
J
E
F
K
L
Note: Final design activity by Client may be at stage C D E or possibly F. These stages not repeated by contractor
DESIGN AND BUILD PROJECT two stage tender (all design by contractor)
Appoint consultants -
A
B
Employer's Requirements
L2,3
design review
G
Contractor's Proposals
H1
H2
C
J/K
D/E
L
F
Planning
PARTNERING CONTRACT
Appoint consultants -
A
B
Appoint partnering team -
Output specification by client
Planning
H
C
D
E
Select Specialists ----
H
E
F1
F2
F1
Agree Guaranteed Maximum Price -----
F2
G/H
J/K
L2,3
L
Design and construction sequences may be as shown for Management Contract/ Construction Management
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MANAGEMENT CONTRACT / CONSTRUCTION MANAGEMENT
Select Advisors
A
B
Planning
Select/confirm consultants
C
D
Select MC or CM
G
H
L2,3
J
Shell and core packages
E
Fit out packages
F1
G
E
H
F1
K
F2
G
L
J
H
K
F2
MC Management Contractor CM Construction Manager
Specialist Contractors should be appointed by the Management Contractor or the Construction Manager as appropriate
in time for the delivery of any pre-construction design services as required by the overall programme.
Each package will require Building Control approval before its construction commences
PUBLIC PRIVATE PARTNERSHIPS and PRIVATE FINANCE INITIATIVE
PPP/PFI stages
Preparation
1.1 Inception
1.2 Pre-qualification
1.3 Output Specification
OGC model
Tenders/Negotiations
2.1 1st bids
2.2 2nd bids
2.3 Preferred Bidder to Financial Close
Gateways
0
1
Construction
3.1 Contract Award
3.2 Construction
2
3
4
Compliance audit
Negotiations / Brief review
Select Client Design Advisors
Use
4 After hand-over
5 Commissioning / operations
6 Evaluation
1.1-3
2.1
2.2
2.3
3
1.2
2.1
2.2
2.3
3
5
5
4
6
5
Provider's outputs
Provider's design Team
C
D+E
F1
F2 -K
4
6
L
L2,3
Planning
SMART PFI Variants
Select Client Design Advisors
1.3
1.3 review
Select /develop a design model
Compliance audit
Negotiations/Brief review
Planning
5
4
6
5
Provider's outputs
1.2
Provider's Design Team
2.1/2
(D+) E
2.3
F1
3
F2 -K
4
6
L
L2,3
RIBA stages
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WORKING AT RISK - GUIDANCE NOTES
OPTIMISM?
`Working for nothing’, constantly the subject of comment and discussion, often arises when
the optimistic meets the unscrupulous.
The law does not generally support claims for payment for doing work in the expectation of
obtaining a contract. By definition bidding for work is speculative and the associated costs are
not normally recoverable unless this is a prescribed term of the bidding process.
Nevertheless an architect providing preliminary services at the request of a client, whether
building owner, developer or contractor, might in certain circumstances make a successful
claim on a quantum meruit basis. In the absence of a contract, a claim would be based on
the principle that the law will require the client to make restitution if the client has not paid for
the architect’s work, which helped to achieve the client’s objectives and/or an anticipated
subsequent contract was not awarded to the architect. Also, it certainly helps if the architect
has positively indicated that payment is expected.
The client’s objective for requesting the services might be to obtain, for instance:
•
planning permission; or
•
approval in principle by a funder; or
•
acceptance of a design and build tender; or
•
achievement of ‘preferred bidder’ status in PFI/PPP type projects. [Note in public
sector work the subsequent appointment of the architect might be subject to EU
requirements for competition].
For a claim to succeed it would be necessary to demonstrate that the architect’s contribution
was:
•
requested by the client and given on the mutual understanding that a contract would
follow; and
•
made efficiently and effectively.
•
of benefit to the client.
FACTS OF LIFE
However given that speculative or conditional offers are a fact of commercial life, architects
must decide on their practice strategy, and in each case make a commercial judgement about
the risks involved. It is implicit in a speculative offer that the architect is in effect saying: “I will
wager achievement of your objective against some [or all] of my preliminary fee”. It is
important therefore to record the terms on which the offer is made.
Within the RIBA and ARB Codes are requirements that an architect must define the terms of
engagement in writing before services are provided and not to provide services unless invited
to do so. The profession feels that these requirements are necessary to uphold professional
standards and safe practice. If, contrary to the Code, the architect just does whatever is
required and hopes for the best perhaps in the belief that the client will be “bound to like it”,
the risk to the architect’s reward will be at its highest.
An offer (see indicative specimen letter) will provide the basis for a contract and should
therefore:
•
be as carefully considered as any other bid;
•
be addressed to the putative client, state what the offer comprises, the conditions that
would apply on acceptance of the offer and to any subsequent appointment, and the
liability for fees arising;
•
attempt to prevent exploitation of the architect by the client, particularly in respect of
copyright.
Whilst a contract requires ‘offer and acceptance’ to be complete it may be reasonable to
assume that a contract has come into force if, after receipt of an offer, the client’s actions
imply acceptance. If no response is received it will be another matter for the architect’s
commercial judgement on whether to proceed with the services. If the response is: “Please
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get on with the services and we can negotiate” the effect may be to confuse the architect’s
position particularly over the terms of any future contract.
Indicative specimen letter - version for a private client
Italicised entries are project specific hypothetical example texts
Text in square brackets [….] (whether or not italicised) are generally alternatives for
selection.
Dear M
New Project
We write to confirm that you have asked us to prepare preliminary designs for a new building and to
confirm the terms of our appointment.
For your protection and to ensure clarity, ethical and professional codes that apply to architects
prevent us from undertaking work without a written agreement as to the service offered and the
fees to be charged. This letter provides a basis to comply with these requirements to cover the
period until a more formal and explicit contract, as referred-to below, can be executed.
You have provided an outline of your requirements and asked us to
1
carry out feasibility studies for the project in particular to identify solutions (a) suitable for a development
adjoining the conservation area and (b) which will minimise energy usage; and subsequently
2
to develop the preferred solution sufficient for the purposes of a full planning application.
For the above services to be provided effectively, you have agreed we shall act as lead designer and you
will obtain structural and building services designs and cost advice to assist us. We understand that a measured
survey of the site, the existing services and the ground conditions [is available] [will be made available]
Performance of our services will be carried out [on a time charge basis] [for a lump sum fee of £…. ]. If
other preliminary services are required these will be charged additionally on a time basis. Time
based services are charged at the following rates:
Principal
£ … per hour Senior Architect
£ … per hour
These preliminary charges include for out of pocket expenses but exclude special presentation
material and any disbursements made on your behalf. An invoice will be submitted on
completion of our preliminary services. VAT [is] [is not] chargeable on the net value of our fees
and expenses.
We will perform the preliminary services in accordance with RIBA form of appointment [SW],
[CE], [SFA] a copy of which is enclosed, subject to the following:
·
fees shall be due whether or not the project proceeds beyond the preliminary services;
·
if we are not appointed to perform further services, a premium payment of £ …, which
incorporates the licence fee for the copy and use of our design, shall become payable
whether or not the design is adopted as the basis for the project.
It is a condition of this offer that RIBA Form [SW], [CE], [SFA] is also the basis for any further
services required for the project. Fees for further work will be based on a percentage of the
construction cost.
If these terms are acceptable, please sign the enclosed copy of this letter and return it to us. We
shall then be in a position to start work. We are looking forward to working with you on this
project.
Yours faithfully
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The Architect
I/We confirm that [the Architect] is to proceed with the preliminary services as set out above.
[signed]
Signature of Client. [date]
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Indicative specimen letter - version for a contractor/developer client
Italicised entries are project specific hypothetical example texts
Text in square brackets [….] (whether or not italicised) are generally alternatives for
selection.
Dear M
New Project
We write to confirm that you have asked us to join your team preparing a tender submission for this design
and build project and to confirm the terms of our appointment.
For mutual protection and to ensure clarity, ethical and professional codes that apply to architects
prevent us from undertaking work without a written agreement as to the service offered and the
fees to be charged. This letter provides a basis to comply with these requirements to cover the
period until a more formal and explicit contract, as referred-to below, can be executed.
You have provided an outline of your requirements and a copy of the tender documents and
asked us to
1
carry out feasibility studies for the project in particular to identify solutions (a) suitable for a development
adjoining the conservation area and (b) which will minimise energy usage; and subsequently
2
to develop the preferred solution sufficient for the purposes of the tender submission.
For the above services to be provided effectively, you have agreed we shall act as lead designer and you
will obtain structural and building services designs and cost advice to assist us. We understand that a measured
survey of the site, the existing services and the ground conditions [is available] [will be made available]
Performance of our services will be carried out [for a lump sum fee of £…. ] [on a time charge basis]. If
other preliminary services are required these will be charged [additionally] on a time basis. Time
based services are charged at the following rates:
Principal
£ … per hour
Senior Architect £ … per hour
[etc.]
These preliminary charges include for out of pocket expenses but exclude special presentation
material and any disbursements made on your behalf. An invoice will be submitted on
completion of our preliminary services. VAT [is] [is not] chargeable on the net value of our fees
and expenses.
We will perform the preliminary services in accordance with RIBA form of appointment [SFA]
[CE], a copy of which is enclosed, subject to the following:
·
… % of our fees will become payable on the date set for the tender submission;
·
the remaining … % will become payable on acceptance by the building owner of the
submission;
·
additional fees shall be paid for any services provided after submission and prior to
further appointment;
·
fees shall be due whether or not the project proceeds;
·
if we are not appointed to perform further services, a premium payment of £ …, which
incorporates the licence fee for the copy and use of our design, shall become payable
whether or not the design is adopted as the basis for the project.
It is a condition of this offer that RIBA Form [SFA] [CE] with amendment DB2 for Contractor
Proposals is also the basis for the further services required (Work Stages C, D, E, F, K and L) to
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complete the project for which our further fees will amount in total to W% of the Construction
Cost.
Additionally, out of pocket expenses, including printing, reproduction and travelling costs will be
charged [at net cost plus .. % handling charge] [by the addition of .. % to of the gross fees payable]. Special
presentation material and any disbursements made on your behalf will be charged at net cost plus
.. %.
If these terms are acceptable, please sign the enclosed copy of this letter and return it to us. We
shall then be in a position to start work. We are looking forward to working with you on this
project.
Yours faithfully
The Architect
I/We confirm that [the Architect] is to proceed with the preliminary services as set out above.
[signed] Signature for Contractor Client [date]
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