IMPROVEMENTS PROCEDURES
INTRODUCTION
The following sections will act as a guide to the Improvement process from the
submission of a request for improvement works through design to completion on site
and post completion quality checks. This section will also detail the role of key
personnel involved, their respective responsibilities and obligations to the
Improvements process together with an introduction to the forms and project
management solutions utilised by the team.
The Improvement process is summarised in a simple flow chart diagram at the end of
this document.
KEY PERSONNEL
Customer Representative,
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The customer representative will act as the main point of contact between the
School or Service they represent and the ESS Improvements team. The
customer representative will play an integral and focal part of the Improvement
process. The customer should be aware that all projects require a certain time
commitment on their behalf which at times, depending on the project
complexity, may be substantial.
Customer representative duties and responsibilities include the
following;
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Act as liaison between the School/Service they represent and the ESS
Improvements team.
Be able to dedicate sufficient time to the project as required.
Fully communicate with the School or Service they represent.
Be able to act with the full authority of the Service or School they represent.
Take on design responsibilities as determined by the Improvements Project
Manager.
Liaise and inform the Head of Unit and budget holder.
Provide and disseminate information timely to meet the overall project
programme.
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Improvements Project Manager;
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The Project Manager within the Improvements team will be responsible for the
successful development of the project from feasibility to completion on site
including management of the agreed project budget within agreed time
constraints to meet high quality standards.
Improvements Project Manager’s responsibilities:
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Ensure effective communication with the Customer Representative
Manage the project budget within agreed constraints, ensuring that the
customer is kept informed of the basis of all costs, contingencies and risks.
Ensure the project represents Value for Money
Ensure the project is completed within the target completion timescale agreed
with the customer.
Ensure that all work is carried out in a sustainable and environmentally friendly
manner.
Ensure quality of the project is maintained to the customer satisfaction
Advise the customer of the consequences of cost implications of all design
and programming decisions.
Provide and disseminate information timely to meet the overall project
programme.
Further clarification of our Service Level Standards and our obligation to you, as a
customer, are available on the ESS website.
Estate Faculty Co-ordinator:
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The Estate Faculty Co-ordinator is a Faculty based member of staff who is
responsible for prioritising all the Improvement Requests raised within the
Faculty they represent. The Estate Faculty Co-ordinator will also act as a
point of liaison between the Faculty and the Improvements team and as such
all enquiries and Improvement Requests should be forwarded to the
Improvements team via the Estate Faculty Co-ordinator. The Improvements
Project Manager will ensure the Estate Faculty Co-ordinator and the Customer
Representative is kept informed of all project developments and progress
throughout the duration of the project.
IMPROVEMENT PROJECT STAGES OF WORK
The Improvements process uses the standard RIBA outline plan of work as a project
management tool. The Outline Plan of Work organises the process of managing,
and designing building projects and administering building contracts into a number of
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key Work Stages. This is the same process used by the Capital and Planning
Sections of the Estates Support Service .A number of the projects undertaken by
improvements do not require completion of all the stages of the outline plan of work
and consequently we have simplified the process within Improvements into a more
convenient and streamlined process.
Project Initiation
The Estate Planning Team is the first port of call for all space and project related
queries. It is essential, before submitting a request, to contact the appropriate Estate
Faculty Coordinator who can advise on the Faculty's forward strategy and give
guidance on the completion of the enquiry form. For Central Services requests
contact the Estate Planning Team for guidance.
The Estate Planning Manager, in conjunction with the Property, Improvements,
Maintenance and Capital Projects Managers, will allocate the appropriate team to
resource and progress the enquiry.
Once a project is allocated to the Improvements Team the request will be assigned a
unique project reference number and entered into our EPM project database. Once
entered into our database an acknowledgement letter will be sent to the Customer
Representative detailing the unique reference number which should be used in all
correspondence and enquiries should be referred to. The letter will give contact
details and anticipated date when a specific Project manager will be contacting you
to have an initial briefing meeting.
Stage 1
Briefing Process (RIBA Stages of work reference A/B)
An Improvements Project Manager will contact the Customer Representative to begin
the Briefing Process. Following initial consultation the Improvements Project
Manager will develop the brief with the Customer Representative, provide guidance
on levels of finishing and agree and produce a scope of work. A project cost and
time estimate based on the scope of work will be calculated and the Customer
Representative and the Estate Faculty Co-ordinator will be advised via a Budget Cost
Notification Form. This form once signed and returned to the Improvements Team
will act as an approval to proceed to outline proposal stage. If the customer has a
fixed budget for the project the Improvements Project Manager or Estate Faculty Coordinator should be advised at the outset and the Improvements Project Manger will
advise on the adequacy of the budget to meet the scope of works.
The extent of information available at this stage will determine how the estimated
cost of the project is calculated. If limited information is available the estimated cost
could well be a ‘ball-park’ figure based on experience of similar work. Alternatively
the estimate could be arrived at by applying an appropriate rate per square metre to
the floor area that will be affected. The more detailed the information available to the
Project Manager the more robust the cost estimate will be.
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At this stage of the project the Improvements Project Manager will asses any impact
the proposals will have on asbestos or hazardous materials, whether fire precautions
will be affected, whether building regulation approval, planning or listed building
consent will be required and any other influences, risks, contingencies or conflicts.
The implications will be assessed and the costs adjustments to the project made and
identified to the customer.
The Improvement Project Manager will consider the current commitments and
workload as well as the Faculty or Service priority, take account of any hazards,
statutory approvals or consents, and work with the Customer Representative and the
Estate Faculty Co-ordinator to produce a realistic programme and timescale for the
project. In certain circumstances, for example where an accelerated programme of
works is required, it may be necessary to appoint external consultants to carry certain
elements or develop the project. In this instance the customer will be advised of the
additional costs.
A breakdown of the cost estimate will be sent together with the Budget Cost
Notification Form (MI2). It is important to note that there will be contingency, design
or other risks identified within the MI2 which must be included as part of the overall
project cost. This cost will be carried through the project and identified at all stages. It
is normal for the risks and contingency to diminish as the project proceeds through
the design and construction stages. Further information on contingencies and risks
and associated costs are contained within appendix A of this document.
In signing the MI2 form a commitment to progress the project will be entered into
whereby resources from ESS and the Customer will be required.
Dependant on the complexity and nature of the project the Improvements Project
Manager may omit this and proceed directly to stage 3.
Stage 2
Sketch Plan, Outline Proposals and development to detailed design
(RIBA Stages of work reference C, D and E)
The Improvements Project Manager will commence development of the project
design in line with the project brief and will produce sketch plans and outline
proposals. Further financial checks will also be carried out at this stage to monitor
and profile costs. The Improvements Project Manager will discuss the sketch plans
and outline proposals with the Customer Representative
Following agreement of outline plans the Improvements Project Manager will
commence developing detailed design of the project in line with the outline proposals
and sketch plans. The Improvements Project Manager will consult and apply, as
required, for all statutory authority approvals as part of the detailed design stage. As
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part of the design development the Improvements Project Manager will also ensure
the works comply with the Health and Safety regulations.
Following completion of the detailed design the Customer Representative will be
required to sign off the specification.
It is important to note that once this stage has been signed off any changes after this
stage may result in delay and additional cost to the project.
Dependant on the complexity and nature of the project the Improvements Project
Manager may omit this stage and proceed directly to stage 3.
Stage 3
Pre- Construction (RIBA Stages of work reference F, G and H)
With detailed design work complete, and where required, a full project specification
and tender documents will be produced. A final pre-tender cost check will be carried
out and the Client Representative and Head of Unit will be informed of the pre tender
estimate. A copy of all specification drawings and the tender pack will be forwarded
to the Customer Representative for approval. The Customer Representative will be
expected to sign off the tender submission to confirm it meets with the project brief
and to confirm their approval to proceed to tender on the basis of the pre-tender
estimate.
Once approval has been received tenders will be invited from competent contractors
fully in accordance with University procurement procedures. The amount of time
allocated for the contractors to tender for the works will depend on the complexity
and nature of the works.
Following receipt of tenders the Improvements Project Manager will carry out a posttender evaluation of the tenders and will make a recommendation to the Customer
Representative, Head of Unit and the Estate Faculty Co-ordinator. If the
recommendation to award a contract is accepted the Improvements Project Manager
will send the Customer Representative a Tender Cost Notification Form (MI3) form
for approval. Once approved the Tender Cost Notification (MI3) form should be
returned to the Improvements Team. Once the approved MI3 form has been received
a SAP transfer of 90% of the total tender sum will be transferred from the Faculty or
Service budget allocated on the returned MI3 form into an ESS holding account from
which the Improvements Project Manager will raise purchase order to mobilise
contractors to site. In cases where the project spans the University financial year the
transfer of funds will match the projected spend within each financial year.
A cost breakdown as submitted, by the contractor, including any contingencies risks,
will be provided within the Project Managers recommendation.
Please note that the project cannot proceed past this point until the MI3 has
been signed off
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Stage 4
Construction Phase (RIBA Stages of work reference J & K)
The Improvements Project Manager will monitor the progress of the works on site
until successful completion of the works. Regular progress review meetings will
take place throughout the duration of the contract with the Customer Representative,
to ensure that the customer is aware of the progress of the works and any problems
that may arise can be resolved quickly.
Regular financial updates will be provided to the Customer representative, including
the status of all contingency and risk items.
Any changes made to the design or specification of the project during the
construction stage will affect the overall programme completion date and total project
costs. Additional works will need to be submitted on a project variation form.
Stage 5
Post construction Phase (RIBA Stages of work reference L)
Following completion on site the Improvements Project Manager will hold a formal
handover meeting with the Customer Representative, Head of Unit and the Estate
Faculty Co-ordinator to ensure all members of the project team are happy with the
overall finish of the work. Any defects arising as a result out of the meeting will be
rectified within agreed timescales.
At this time the Improvement Project Manager will explain all controls and special
features of the completed project and will ensure all user manuals where available
are handed over.
The Improvements Project Manager will agree, as soon as possible, the Final
Account with the Contractor along with all other project costs and will advise the
Customer Representative and head of unit of the final cost by presentation of an Outturn Cost Notification Form (MI4). The Out-turn Notification Form (MI4) form will
contain the original cost and the final account cost agreed with the contractor
including details of any variations requested and spend against contingencies. The
Customer Representative will approve the Out-turn Notification form and return it to
the Improvements Design Team where an internal recharge will be carried out and
the financial accounting of the project will be closed. Any under spend against the
approved budget will be credited to the schools originating account.
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A feedback form will be sent to the Customer Representative to complete. This
feedback form will be reviewed by the Improvements Manager and used to improve
the overall improvements procedure.
Quality assurance inspections on a sample of projects will be carried out after formal
handover of the project. The Customer representative and the Head of Unit will be
invited to attend.
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