University of Glasgow
Development Projects
Guiding Principles
February 2013
Contents
Page
1.0
Application
01
2.0
Executive Responsibility
01
3.0
Purpose
01
4.0
Aims and Objectives
01-02
5.0
Clients and Promoters
02
6.0
Types of Projects
02
7.0
Project Management (Refurbish and Major Projects)
03
7.1
7.2
7.3
03-04
05-06
06-07
RIBA Design and Development Stage
Pre Contract EDM Responsibilities
Post Contract Stage EDM Responsibilities
8.0
General background and Approach
07-08
9.0
Changes
07
10.0
Contingencies
08
11.0
Risk Assessment
09
12.0
Project Implementation Plan
09
13.0
Selection and Appointment of consultants
09-10
14.0
EMIS Refurbishment and Major Projects
10
15.0
The Project Management Process
10-11
Development Projects
1.0
Application
This guide applies to all building development projects carried out on the University estate in
Gilmorehill, Garscube, & field stations
2.0
Executive Responsibility
The Director of Estates and Buildings is responsible for all Development projects. The Director
reports to Estates Committee.
Estate Committee
The Estate Committee reports, via the Finance Committee, to the University Court who have
ultimate responsibility for the Estate.
Capex Committee
Capital expenditure related to all projects is also considered and approved by the Finance
Committee and Court
3.0
Purpose
To give project management guidance in connection with building and engineering works to:
•
•
•

4.0
The Estates Development Team
Academic and Administrative Colleges, Schools, Research Institutes and University
Services
Professional Consultants and Contractors employed by the University
A detailed description of the project management process is included in the Project
Management Guide
Aims and Objectives
The aims and objectives of this guide are to ensure that:
•
•
•
•
•
•
•
•
•
•
•
•
There is a common and consistent approach to Project Management
Colleges, Schools, Research Institutes and University Services understand the project
management process, and their roles and responsibilities as customers
Productive teamwork, communication and consultation exists between all parties
Strategic issues are understood and taken into account
Project risks are identified, ranked, owned and managed, and possible abortive costs
minimised
Value for money, best practice and quality control procedures are adopted
Environmental impacts are evaluated and minimised
A high standard of provision of access for the disabled is incorporated in the design
High priority is given to Health and Safety issues both during construction and for future
use and maintenance
Reliable as-built information is compiled and retained for future use
The return on capital investment in energy conservation is calculated and financially
sound measures adopted
A robust progress and cost control reporting system is adopted with input from all
interested parties
1
•
•
•
Cost in use and life cycle cost issues are considered
The Universities’ legal and financial position is protected
Professional consultants and contractors are properly briefed and appointed
•
There is compliance with:
a)
b)
c)
5.0
Statutory Legislation
University Regulations and Standing Orders
Internal and External Audit requirements
Clients and Promoters
As “end users”, the Academic and Administrative Services, Colleges, Schools, Research
Institutes and University Services can be regarded as customers in the building procurement
process with Estates and Buildings acting on their behalf as professional advisors.
The Project Manager should:
•
•
•
6.0
Ensure that the Client brief is finalised and funding approved, at the earliest possible
time, and be prepared to delay or stop the process until these requirements are met
Create an environment where all those involved in the project are encouraged and
given the confidence to challenge each other and the University in a constructive way
Ensure appointments and contracts are well drafted so that everyone knows their
responsibilities and those of others including the University
Types of Projects
A variety of projects are undertaken each year by the Estates & Buildings on behalf of their
customers including:
•
•
•
•
•
•
•
Refurbishment of existing buildings and facilities
Alteration and conversion works
New extensions
Minor Works
New buildings
New facilities within existing buildings
Replacing services plant and installations
The Estates and Buildings Management appoint and supervise consultants to provide
professional services and contractors to execute building and engineering works on behalf of
the University. Consultants and Contractors are selected and appointed in accordance with
the University’s Standing Orders. Frameworks are available for Professional Services and
Building Contractors.
The Estates and Buildings manage this process using EMIS. EMIS enables the Estates and
Buildings Estates Development Manager (EDM) to Project Manage, to monitor and record the
design procurement and delivery process, providing an audit trail for the project. It provides
technical checklists for each stage of the project to ensure compliance with specified
procedures before proceeding to the next stage.
2
7.0
Project Management (Refurbish and Major Projects)
7.1
RIBA Design Development Stage
The EDM will discuss the proposed scheme in principle with the “Customer” or “End
User” within the academic and administrative departments concerned. The Customer
may be represented by one or more of the following:
•
•
•
•
Head of College, Head of School, Head of Research Institute or their representative
University Secretary or representative
Non Academic Department and their representatives
Director of Estates and Buildings Management
Having understood the concept the AD, Planning Manager, Senior EDM or EDM will:
•

•
•
•
•
•
•
•
•
•
•
Develop an initial in-house brief and forecast budget and agree it with the
Customer in conjunction with College/School/RI and Assistant Director
(Development Projects) prepare a Capex Application for submission to Capex
Committee for approval
Capex Committee will decide if the application aligns with the University’s Capital
Plan and strategic direction
Capex Committee will approve or defer the application
Estates Planning Manager will prepare Project Initiation Forms and arrange with
Estates Finance Manager budget authority to proceed. AD, SEDM and Planning
Manger will meet with the appropriate EDM and formally hand over the project
Professional Services consultations will be selected from Framework schedule
Consultants will be interviewed and appointed by the AD
For major projects above OJUE threshold a professional services tender will be
prepared supported by procurement services group and issued to the market in
open competitive tendering
EDM will agree terms of appointment via the framework or tender offer and make
a recommendation for appointment to AD or Secretary of Court for major projects
Check the appropriate level of Professional Indemnity Insurance cover is in place
for each consultant.
Instruct the professional team to proceed with design development via the RIBA
Stage Process.
Finalise brief in conjunction with Customer and professional team.
Meet with AD / Planning Manager / SEDM at each RIBA Stage and review design
development against customer brief and review budget forecast against Capex
Committee approval. Sign off by Customer is required by Customer at Stages D and
prior to tender issue
For major projects Professional Services consultants are required to complete
‘readiness to tender’ forms, prepare and issue to Estates Director a pre tender cost
estimate. Project Board approval or Chair of Project Board’s approval will be
sought prior to issue of construction tenders for major projects
3
•
The project brief and design development process should be detailed and
comprehensive, highlighting potential risks, difficulties and benefits.
Scoping/briefing design development must include as appropriate :
–
–
–
–
–
–
–
•








•
•
•
•
•
Backlog maintenance figures
Arrange meeting with Operations team to review brief, design development and
specification
Risk Register
CDMc Health and Safety File
Carbon Management Plan
Green travel Plan
Asbestos Survey and report
Accessibility survey and report
Note of meetings will all customers, stakeholders and support services
An outline procurement construction programme
Cash flow forecast
An environmental impact assessment for major projects
An assessment of the impact of the project on other departments and services
Investigation work carried out which may include:
a)
b)
c)
d)
e)
f)
g)
h)
•
The project objectives and the evaluation criteria adopted
A summary of the options reviewed stating the reasons for selecting the
option considered
The scheme proposal
A cost-benefit analysis
A life-cycle costing
A preliminary budget clearly stating contingency and inflation allowances
included in estimate, listing exclusions and highlighting principle risks and
unknowns
Proposed funding arrangements as agreed with the Director of Finance
together with appropriate elements of the business plan where appropriate
Measured surveys
Soil investigation
Drain surveys
Services surveys
Asbestos surveys
Structural surveys
Planning enquiries
Review of all existing documentation
Exceptional Health and Safety Process/Procedures
4
7.2
Pre Contract EDM Responsibilities
Following AD / SEDM / Estates Planning Manager authority the principal pre-contract
stage tasks include:
•

•

•
•
•
•
•
•
•
•
•
•
•
•
•
Preparing project execution plan (PEP)
Arranging for consultants’ appointment agreements to be engrossed and
instructing the professional team to proceed up to tender stage
Ensuring the professional team has copies of the feasibility study and a note of any
conditions imposed on the project by the University. This will be their brief
Arranging for outline proposals to be developed and costed
Ensuring the cost plan is circulated to all members of the professional team and
accepted by them. They should all have contributed to its production and agreed it
in draft prior to issue
Obtaining approval to any Capex approval scope or budget variance from Capex
Committee via AD, SEDM or Planning Manager
Agreeing the Framework or OJEU tender route, form of contract after considering
risk transfer issues with AD, SEDM / planning Manager
Monitoring design progress by chairing regular project meetings and writing
minutes. The prompt issue of minutes following meetings is important. Progress
checks between meetings are also essential for effective pro-active project
management
Appointing CDMc to prepare Health and Safety information at tender stage
Carrying out Health and Safety checks and financial check on consultants
If OJUE tender agreeing the tender list and ensure standing order procedures in
respect of tenders are carefully followed
Tenderers should pre-qualify by an agreed list with procurement Services Group
but the following items should be referenced
Financial check (always ask for a statement about off balance sheet liabilities)
Experience of contractor and his proposed team
Team approval
Reference
Inspection of similar work
The tender report to the Project Board should contain proposals for dealing with
any divergence from budget. Report to confirm:
–
–
–
–
–
–
Tenders received
Proposed savings if they are required and implications
Contingencies included
PC Sum and Provisional Sum content making clear which are not backed up by
supporting quotations and therefore at risk Bond % (to be linked to nonpayment condition)
Parent Company Guarantee (to be linked to non-payment condition)
Sub contractor Warranties will be obtained from principle Subcontractors only
or those with a design liability (to be linked to non-payment condition)
5
7.3
•
•



•
•
•
•
Type of Contract Traditional or an alternative recommendation
Significant contract amendments
Agreed KPIs
Resource Schedule
Procurement Programme
The contractors’ Programme and Method Statement
Method Statement
Cash flow projections
Insurance arrangements in particular Clause 22D (loss of LAD), Clause 22.2.1
(damage to other property not due to negligence) and professional indemnity for
any contractor or Sub contractor designed elements. A typical tender report is
included at Appendix B. Normal contract amendments and typical warranties are
included at Appendix C

The EDM should:
– Obtain approval to proceed from AD to proceed with Refurbishment projects
less than £ 1 m over £ 1m Project Board
– Issue letter of Intent to contractor to mobilise team where appropriate. Note
condition that work is not to commence until contract is signed by the
contractor and returned to the University
– Ensure contract documents are completed and executed (under seal, as
appropriate) as soon as possible. This will normally be prior to contract
commencement, exceptionally after contract commencement but never more
than one month after commencement.
– Ensure all necessary insurance is in place. Renewal dates to be logged and
renewals to be checked during project.
Post Contract Stage EDM Responsibilities



Having appointed the contractor and commenced work on site, the Post Contract
stage begins
The EDM will monitor progress by arranging and chairing regular Project Team
Meetings at monthly intervals at most, and regular site visits between meetings.
He will also ensure all drawings and instructions are examined when received and
actioned as appropriate
The Project Meeting agenda should include:
 Approval of previous minutes
 Matters arising
 Reports by each consultant
 Progress Report by contractor
 Outstanding Information
 Unconfirmed Variations
 Outstanding PC and PS Items
 Comparison with Cash Flow
 Accident Report
 Any other business
6

The Project Manager should:
– Ensure minutes of meetings are produced and issued promptly, and monitor
progress between meetings as previously noted
– Keep Client informed by including them on circulation list

Ensure monthly Financial Statements are produced by the Quantity Surveyor in an
acceptable form
Ensure Quantity Surveyor is working on the Final Account and require Financial
Statement to disclose which elements they have actually measured and priced, if
not actually agreed, and those that have still to be evaluated in detail
Ensure Contract Administrator issues instructions promptly and addresses claims in
detail as and when they arise
In the event of poor service from a professional or a contractor, discuss concerns
with the Assistant Director who will advise on appropriate action.
It is essential that the EDM is prepared to address the issue rather than soldier on
with the wrong professionals or contractors
The terms of Appointment and Contract include provisions to deal with these
matters





8.0
General Background and Approach
All development Projects are a constant challenge to deliver on time and within budget to an
agreed quality standard. A University campus such as Gilmorehill has its own special
challenges due to its national historic and planning importance. The Garscube campus sits
within a rural setting. It must be recognised that all projects will have an impact no matter
how small, on neighbouring buildings and our community partners. There are numerous
problems such as noise, dust and access difficulties.
It is also extremely important that potential Health and Safety issues are identified early and
that they are monitored and managed rigorously throughout the project lifecycle, ensuring full
compliance with the CDM Regulations is always achieved. The University has specific duties to
disclose hazards and to employ competent consultants and contractors in this regard.
The logistics of decanting people into alternative accommodation has to be carefully planned
at an early stage in agreement with those involved. In order to minimise disruption during the
academic year, the summer, Christmas and Easter breaks, when students have vacated their
accommodation and teaching has stopped, provide the best opportunities for decanting.
Project programming can also be determined by the need to complete a new facility in time
for a new semester.
The EDM must understand the special circumstances that apply and make sure that they are
also understood by the Customers /he serves and the consultants and contractors s/he is
managing.
9.0
Changes
Controlling change on any project is essential since changes can always occur. They can have a
material effect on time, quality and budget.
7
Once the project brief has been finalised and approved by the Customer and AD, it must not
be changed at a later date without the AD/SEDM/Estates Planning Managers approval.
Budgets approved by University Committee must not be exceeded without Committee
approval. EDM must advise AD/SEDM/Estates Planning Manager of any variance to the
approved budget as soon as a variation recognised by the project team.
Although changes to the project may not incur extra costs, they can delay the project and
divert attention away from completing it on time. In addition to this, all information relating
toindividual projects and their stages must be recorded on EMIS. This must be done prior to
the EDM accepting and implementing any proposed changes. This provides more financial
control within the system and identifies any risk of the project becoming out of the control
At Contract stage there can be a number of undetermined Customer issues in relation to
detail design and specification. These outstanding issues should be minimised and resolved
prior to Stage D. Following ‘sign off’ at Stage D no customer changes can be accepted with
approval of the AD or Project Board for major projects.
10.0 Contingencies
The scope and briefing stage should be underpinned by preparation of a budget plan and all
subsequent Cost Plans and Financial Statements must include appropriate financial and
programme contingencies to allow for unknowns and risks. The contingency allowances made
should be clearly stated and carefully assessed by the EDM based on past experience and an
evaluation of the nherent risks. The allowances should only be reduced or varied after they
have been set for sound risk assessment reasons and never just to accommodate customer or
design team pressures.
Although every effort must be made to produce a budget estimate that is as accurate as
possible, it cannot contain all known costs at an early stage. The Customer together with the
EDM and his team, should consider all associated costs relating to the project and include
them in the overall cost plan. Realistic contingencies must be built into the overall scheme and
these should be re-assessed in a controlled fashion by the Project Manager and the Quantity
Surveyor every time a cost report is prepared. The important stages regarding variations in
contingencies and when they should be reviewed are:
•
•
•
•
•
•
Initial budget that is normally based on limited information
Review of costs after the brief and design are frozen and signed off at the appropriate
stage
Pre tender estimate
Post tender evaluation
Various stages of the construction phase. (Monthly reports)
Practical completion
8
11.0 Risk Assessment
A risk assessment should be produced to identify and quantify the risks associated with the
project. This should be reviewed as the risk reduces in line with the progress of the design.
The risk analysis will provide some comfort to the University Finance Director and Client
regarding the level of exposure the University has at any one time. A typical Risk Assessment is
available on EMIS.
12.0 Project Execution Plan (Major Projects)
A Project Execution Plan (PEP) should be prepared as early as possible in order to establish the
ground rules, the scale of the project and expected deliverables. The plan will include the
following information:
•
•
•
•
•
•
•
•
Project brief
Approved Feasibility Study
Brief description and general information
Aims and objectives
Programme
Names of the people who will be taking on key roles
The method of funding for the project and any audit related issues
Details of the Design Team members and their roles
The customer will be represented by their appointed College/School/RI/University Services
representative who must have full delegated authority for the project. Where the work
involves two or more Colleges /Schools or Support Services s it is essential that an agreement
is reached where one of the ‘representatives’ has overall delegated authority.
The plan should provide some indication of timescale/programme, and whether it is in
support of other activities, such as providing space for a new course that will be starting in “x”
months or a year’s time. The programme should include reference to the committee structure
timetable for seeking authority to proceed.
The scale and size of the project will provide an indication of the type of design team required
and whether the actual design will be done in-house or contracted out. It should be possible
to advise if the project will need to be completed under CDM regulations and any planning
issues would need to be considered at this stage.
13.0 Selection and Appointment of consultants and contractors
The stage at which consultants are appointed will vary depending on the size, type and
complexity of the project. Different types of consultant may be required at different stages,
and therefore an overall view of this resource should be taken and an appropriate strategy
adopted. The selection of consultants and contractors must comply with the University
Standing Orders and the Estate Committee Regulations.
9
When competitive tendering is undertaken for the consultants, the two-stage method must
be adopted and the most appropriate bid, which provides best value, be accepted. There
needs to be a stringent evaluation of capability, resource and relevant experience during the
consultants’ and contractors’ selection process.
On larger projects, intensive research should be undertaken on the financial standing and past
performance of consultants and contractors, by taking up technical references direct with
previous Clients. The University has adopted the use of ‘Constructionline’ to determine
contractor performance. Both sets of information help to confirm the level of expertise and
experience of those concerned.
The EDM should interview both parties, sometimes at both pre-tender and post-tender
stages, to determine their suitability for employment. Great care should be taken before
appointing a multi-disciplinary practice for more than one major duty, as it can lead to the
dominant discipline sidelining the others and to internal company charging mechanisms
influencing resources applied to the project.
In addition to this, it is important to ascertain a contractor’s “track record” in relation to
claims and Health and Safety issues. When preparing for projects over £1M the final
contractor list must be agreed with the Director and Assistant Director of Estates and
Buildings.
The EDM must ensure that the process of selecting consultants and contractors is given
sufficient time to allow proper investigations to take place. This selection process must be
undertaken in line with the standing orders. Again it is emphasised that it is vital that
consultants are properly briefed and their required services clearly established and confirmed
in writing. This applies to ALL phases of the project with clear boundary conditions whether
continuity of the phases or commission is involved or not.
Fees should be on an inclusive lump sum basis wherever possible and include all normal
disbursements. Stage payments should be set and hourly rates should be agreed.
Appointments must be confirmed in writing using the most appropriate conditions of
engagement for consultants such as professional institutions’ terms and conditions with
appropriate amendments. The lead consultant should be clearly identified. The respective
appointments should confirm the names and duties of the other consultants and impose
conditions on them all to co-operate with each other.
14.0 EMIS Refurbishment and Major Projects
Without exception all project details must be recorded on EMIS
15.0 The Project Management Process
The project management process is generic and will support all types of projects, irrespective
of size and value. The project management principles referred to in this paper will be followed
in respect of all University projects.
Every project goes through the same design and thought process. The purpose of the system
is to ensure that each stage is considered and the Project Manager records the process.
10
All variations to the budget must be approved by the AD / Estates Planning Manager / SEDM
or where over £1M Project Board accordingly.
The EDM may represent the Assistant Director depending on the size and type of the project.
At all stages of the project, the customer has a role to provide information in a timely fashion
to the EDM enabling all relevant data to be incorporated before progressing to RIBA next
stage.
The process includes the following stages:
•
Outline Project Intentions/Inception/Idea
•
Option Appraisals
•
Feasibility
•
Agreement to proceed
•
Initial Design
•
Final Design
•
Tendering and project approval
•
Construction Phase
•
Cost Control
•
Commissioning
•
Handover
•
Evaluation
The amount of effort put in during the development of the brief and in the initial stages of the
process is reflected in the final product. When any of the early stages is skipped or ignored for
perceived expediency, the overall project suffers. It is therefore important that all stages are
recorded and considered. The degree to which the team needs to examine each stage will be
based on the size and type of the project.
The process being advocated can be applied to all types of projects. The stages and
terminology are common and the process can provide a robust format upon which a service,
product or facility can be delivered.
11