Estate Services
Project Name
Client Guide and Governance Structure
Date - Version
Information for Internal / External Stakeholders regarding the execution and
Governance of Capital Projects.
Revision Details
Date
Author
Details
Client Guide and Governance Structure
1.0
Introduction
This document outlines a governance and delivery structure for Project Name. It provides guidance to all
clients/stakeholders as to how Estates Services will manage the project.
1.1
Governance
The Governance structure will identify the roles and responsibilities of the multiple stakeholders involved
in the project. This document will outline a structure for clear and timely decision making during various
phases of the project.
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This document will establish:
Roles and responsibilities of the Project Sponsor
Roles and responsibilities of the Project Steering Group
Role of the Project Stakeholders
Roles and responsibilities of the client liaison officer
Roles and responsibilities of the Project Manager / Design Team
1.2
Project Delivery
Estates Services have developed the Project Manager Handbook that will be used as a tool to deliver all
projects. The handbook sets out a clear list of processes that need to be followed in order to successfully
deliver the Project. This document provides a very brief overview of the Handbook so clients and
stakeholders can understand the terminology and the systems we are following.
2.0
Project Brief
Insertion of project brief
3.0
Project Directory and Structure/Reporting Lines
3.1
Project Directory
Governance
Project Sponsor
Project Steering Group
Stakeholders/Clients
Client
Client
Client
Stakeholder
Stakeholder
Stakeholder
Stakeholder
Facilities Directorate
University Wide e.g. ISS
Neighboring parties
Third parties e.g. Planning Authority, Listed Buildings
Project Team
External Project Manager
Architect
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Client Guide and Governance Structure
M&E Engineer
Cost Consultant
CDMC
The full Consultation Schedule is attached as appendix A
3.2
Structure Chart and Reporting Lines
4.0
Roles and Responsibilities
The University Council
The University Council has many corporate and governance responsibilities, in relation to Capital Projects
the responsibilities can be summarized as follows:
1. Approve the 5-year capital expenditure forecast and Estate Strategy.
2. Approve Business Cases where project cost exceeds £3 million.
3. Provide approvals at relevant project stages
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Client Guide and Governance Structure
Vice Chancellor’s Executive Group
The Vice Chancellor’s Executive Group has delegated powers from the University Council to undertake the
following Capital Projects responsibilities:
1. Approve the 5-year capital expenditure forecast and Estate Strategy and once agreed forward to
the Council for approval.
2. Review prima facie and full business cases and where appropriate advise the Council where
project costs exceed £3 million.
3. Provide approvals at relevant project stages
Capital Group
The Capital Group has the following responsibilities:
1.
2.
3.
4.
Review the Estate Strategy
Review prima facie business cases and advise VCEG accordingly
Review full business cases and advise VCEG accordingly
Provide approvals at relevant project stages
The Project Sponsor
The Project Sponsor is a key role – with overall responsibility for the project and its outcomes, providing
high level direction throughout the life of the project and acting as the primary champion for the project.
The primary responsibility of the Project Sponsor is to provide the strategic vision and operational
leadership necessary to ensure the completion of project planning, which aligns to University strategic
objectives. The Sponsor will then secure the successful delivery of the project against the expectations of
the project definition and business case, delivering the required outputs and outcomes within timescale
and budget. Specific responsibilities include:1. Overall responsibility for the success of the project in delivering the business impact and business
benefits as outlined in the original project definition and business case.
2. To provide strategic leadership to the steering group and the project manager.
3. To work with the steering group to oversee and ensure the successful planning and delivery of the
project.
4. To champion the project, communicating with stakeholders to secure their support and
commitment.
5. To provide the University wide strategic context for the project
6. To identify and secure the academic resources necessary to ensure the successful delivery of the
project.
Project Steering Group
The project steering group supports the project sponsor in providing effective project oversight and
governance. The steering group should have a broad representation of the key stakeholders, enabling it
to take a balanced high level consideration of the business case, risks, benefits, issues and progress of the
project. Ideally this group should be small enough to act as an executive group. The project steering group
generally will include the following representation – the project sponsor, the project manager, the Client
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Client Guide and Governance Structure
Liaison Officer, end user representatives, a neutral/external representative, a senior academic and a
senior University representative.
Key Responsibilities
The primary responsibility of the steering group is to direct the activities of the project and the project
manager to ensure the delivery of the project against agreed expectations, costs and timescales as set out
in the project specification and business case.
Specific responsibilities include:1. To provide specialist input to ensure the successful delivery of the project where that is required.
2. To receive and appraise the information received from the project manager regarding the delivery
of the project.
3. To manage inter dependencies between the project and other on-going projects.
4. To communicate the purpose and activities of the project.
5. To undertake a project assurance role, identifying how the project is delivering against the project
specification and business case.
6. To monitor risks to the successful delivery of the project and to agree mitigation.
7. To authorise, where appropriate, deviation from the original plan, in the light of developments
within the project or the acquisition of new information.
8. To consider the allocation of time and resources required to meet the requirements of the
project.
9. To act as a champion of the project.
10. To agree the completion of the project stage and successful delivery of expectations.
11. To sign off the relevant gateway approvals
Frequency: Quarterly
The Internal Project Manager
The Project Manager is responsible for the management and successful delivery of the project and reports
to the project sponsor. The Project Manager is responsible for planning and managing the activity to
achieve the deliverables and outcomes within the agreed cost, time and quality envelopes defined in the
project definition.
Key responsibilities:
The primary responsibility of the Project Manager is to provide the day to day management required to
successfully steer the project through the planning and delivery stages and to ensure delivery against the
agreed project definition and business case. Specific responsibilities include:1. The project manager is responsible for delivering the project to the agreed project definition and
business case – and achieving the outputs that underpin the project’s business case
2. To undertake/have oversight of the planning for the project.
3. To manage the day to day delivery of the project ensuring delivery against the project plan.
4. To report to the steering group on the delivery of the project, gathering and presenting the
necessary information to enable the steering group to understand the actions and progress of the
project.
5. To identify and subsequently manage risks which might jeopardise the successful delivery of the
project and to communicate these to the steering group.
6. To maintain an accurate picture of the progress of the project
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Client Guide and Governance Structure
7. To manage costs
8. To deal with issues and risks as they occur and work closely with the project sponsor to evaluate
progress and take corrective action.
The Client Liaison Officer
The Client Liaison Officer is an appointment from within the client department or faculty that will use the
new faculty, and has the role of consulting colleagues about, and securing their agreement to the design
proposals. The Client Liaison Officer will also be charged with consulting the client department, school
safety representatives and the local nominated Trade Union Safety Representative. This role is an
extremely important one in delivering the project objectives, prior to nomination the faculty should
appreciate the time required to undertake this role successful and allocation sufficient resources.
Key responsibilities;
The primary responsibility of the client liaison officer is to act as one point of contact for all client
decisions. Specific responsibilities include:1.
2.
3.
4.
5.
Single point of responsibility
Has the ability to make decisions regarding the project
Communicates all project decisions and information within the faculty / department
Works closely with the Internal Project Manager to deal with issues as they occur
Communicates with the school health and safety representative regarding the project and obtains
all the necessary approvals and clearance certificates so works can proceed
The External Project Manager
On larger projects an external project manager maybe appointed to assist the internal project manager
with the management of the project. The responsibilities of this appointment will be similar to that of the
Internal Project manager. The split of duties will be agreed between Estates Services and the External
project Manager.
Design Team
The design team is responsible for the successful delivery of the project and developing a fully working
design in accordance with end user requirements.
Key Responsibilities
1.
2.
3.
4.
5.
To develop the design brief into a working scheme through user consultation
To develop a design that conforms to the programme and budgets requirements of the University
To develop a design that conforms to all the Universities requirements
To develop a design that complies with relevant statutory and legal requirements
To obtain feedback from internal and external stakeholders
Project Working Group
The size and scale of a project may warrant one or more working groups to deliver specific work streams
within the project. The project manager leads the coordination and management of all working groups
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Client Guide and Governance Structure
and teams involved in the delivery of the project. The working groups should include relevant specialists
from within the University.
Key Responsibilities
The primary responsibility of a working group is to maintain oversight of and direct the successful delivery
of the particular work stream, accounting to the project manager. Specific responsibilities include :1. To deliver the outputs for an individual work stream
2. To contribute to the broader project direction
3. To make day to day decisions relating to the individual work stream, escalating project wide
issues to the steering group as appropriate.
4. To lead broader consultation with stakeholders on specific work stream issues.
5. To report progress and issues / risks to the project steering group.
6. To understand how the particular work stream fits into the broader landscape of the project.
Stakeholders
A stakeholder is anybody who is affected by the outcome of the project. Not all stakeholders will be
involved in the project, but typically their views will be represented on the project either by a named
individual who may sit on the steering group or who may have been involved in a consultation activity.
5.0 The Project Manager Handbook
The project management process is split into six key project stages; each key process has a series of sub
processes and then key themes running through the entire project life cycle. At certain points within the
project a gateway review is required. The gateway review is identified by a traffic light symbol.
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Client Guide and Governance Structure
Feasibility Option / Appraisal (RIBA Stages A/B)
The feasibility / appraisal stage is where a problem is identified by the department or service and the
underlying solutions are defined and investigated. A strategic brief will identify the client needs,
objectives and possible constraints on the project. Preparation of feasibility studies, assessment of
options and the development of a full business case will enable a decision to be made on whether to
proceed.
The initial statements of requirements will be developed into a design brief by appointing consultants and
engaging with Stakeholders.
Objectives
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To define the business need and its objectives
To explore the full range of options to meet the business need and identified objectives
To determine a preferred solution
To obtain funding
To develop a design brief confirming key requirements and constraints
The following processes must be followed to complete Feasibility Option / Appraisal;
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-
FES1 - Prepare Strategic Brief
Gateway Review 1 – Prima Facie Business Case Sign off
FES2 - Prepare Full Business Case
Gateway Review 2 – Full Business Case Sign off
Gateway Review 3 – Funding Approval
FES3 - Prepare Design Brief
Gateway Review 4 – Stage A/B Sign off
Outline Proposals (RIBA Stage C)
The outline proposal stage will develop the design brief into a concept design. Outline proposals will be
produced for the structural and building services systems, an outline specification will be progressed and
a cost plan will be established.
The procurement route will be agreed and the draft programme will develop into a master programme
for the project.
Pre-consultation will be undertaken with the planners.
Objectives
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To develop the design brief into a concept design
To determine the cost of the concept
To engage the planners in pre-consultation discussions.
The following processes must be followed to complete concept design;
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Client Guide and Governance Structure
-
OP1 – Develop Concept
-
Gateway Review 5 – Stage C Sign off
OP2 – Pre-Planning Consultation
Detailed Proposals (RIBA Stage D/E)
At this stage the design team will obtain and sign off final decisions on every matter related to design
specification, construction and cost. In liaison with the client, the design team will produce room data
sheets identifying individual room requirements and final working drawings.
A full planning application will be submitted.
Expressions of interest will be sought from potential tenderers.
Objectives
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To develop the concept design into a full design
To obtain client/stakeholder sign off of the design
To submit a full planning application
To obtain expressions of interest from tenderers (if required)
The following processes must be followed to complete Detailed Proposals (stage D/E)
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DP1 – Expressions of Interest
DP2 – Detailed Proposals
Gateway Review 6 – Stage D Sign off
DP3 – Planning Permission
Tender (RIBA Stages F/H)
At this stage tender documentation will be collated in sufficient detail to enable tender or tenders to be
obtained for the project. Received tenders will be appraised and a recommendation will be submitted.
The contractor will formally be appointed and the contractor will set up site.
Objectives
- Preparation of tender documentation
- Appraisal of the tenders
- University approval to award a contract
- Contractor mobilisation
- Contractor site set up
The following processes must be followed to complete Tender (F-J)
- T1 – Produce Tender Documentation
- T2 – Evaluate Tender Returns
Gateway Review 7 – Tender Report Approval
- T3 – Appoint Contractor / Mobilisation
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Client Guide and Governance Structure
Construction (RIBA Stage K)
At this stage the project is constructed in accordance with the previous design, planning and consultation
work. The building contract is activity managed from start on site to completion. Prior to completion a
commissioning and handover plan is agreed to allow a seamless transition.
Objectives
- Effective management of the building contract
- Cost control and programme management
- Effective commissioning and handover plan
The following processes must be followed to complete Construction (K)
- C1 – Site Progress Monitoring
- C2 – Project Valuations
- C3 – Testing, Commissioning and Handover
Gateway Review 8 – Completion
Post Project (RIBA Stage L)
Once the project is handed over an effective process will be in place to manage defect resolution. There
will be many post project items that need to be managed by the project manager to ensure project
closure. Following the defects liability period the final account will be agreed.
Objectives
- Effective defect resolution
- Assisting building user during initial occupation period
- Review of project performance in use
The following processes must be followed to complete Post Project (L)
- PP1 – Defect Resolution Post Handover
- PP2 – Post Contract
- PP3 – Final Account
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Client Guide and Governance Structure
Appendix A
Consultation Schedule
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