Directorate of Estates and Campus Services. Estates Development Projects. A client guide to Estates Services project management

Transcription

1 Directorate of Estates and Campus Services Estates Development Projects A client guide to Estates Services project management

2 Version 1, December 2013

3 Contents Introduction... 2 The Project Lifecycle... 3 Project Stakeholders... 5 Project Team: Roles and Responsibilities... 6 Stakeholder Engagement... 9 Communication, Dissemination and Feedback...11 Change Control Stage A: Works Request Stage B: Preparing the Strategic Brief Stage C: Outline Proposals Stages D-F: Detailed Design Development...19 Stages G-H: Tender Stages J-K: Mobilisations and Delivery Stage L: Practical Completion and Handover Stage M: Defect Period and Feedback Glossary of Terms Page 1

4 Introduction This guide has been developed to provide project Clients and Stakeholders with a detailed insight into how Estates Services development projects are delivered and the roles and responsibilities of the various stakeholder groups who have an interest in project delivery. Explanation is given of the project lifecycle including what can be expected at each stage of project delivery and critical points within the process. A glossary of common project terms is also included. Involvement in a development project can be an incredibly exciting and rewarding experience; at the same time it can also be an extremely daunting and stressful experience especially where it takes the individual outside their usual role and expertise. The main aim of this publication is therefore to help you to become an informed project stakeholder, reduce uncertainties, clarify expectations and improve the project experience for all those involved. We hope that the following pages demonstrate our commitment to delivering a professional, quality driven project service and provide you with reassurance of our overriding intent to ensure full stakeholder inclusivity throughout the entire project lifecycle. If you have any further questions, feedback or suggestions on this publication, please contact the Estates Development Team via estatesdevelopment@york.ac.uk or via our website. 2 Page

5 The Project Lifecycle Based on the RIBA (Royal Institute of British Architects) industry standards, the development project lifecycle is divided into eight sequential stages: Stage A: Works request Submitting an initial request to Estates for works to be carried out. Stage C: outline proposals Initial design concepts capturing high level requirements. Stages G-H: tender Invitation to tender, tender evaluation & contracting. Stage B: preparing strategic brief Scoping works, feasibility study, impact & risk assessments. Data collation to inform briefing pack. Stages D-F: detailed design development Working up of detail of chosen design solution. Stages J-K: mobilisation & delivery Stage L: practical completion & handover Works practically complete, commissioning & testing complete and defects rectification. Site set up and works on site. Stage M: defect period & feedback Close out of defects and postproject review. Whether a Client, User Representative or other project stakeholder you will be expected to be involved in some, if not all, of the above stages to varying degrees. For minor works projects, the early stages of the lifecycle may be condensed into one and/ or the project may go out to tender on outline proposals only. Page 3

6 The level of detail and duration of each of these stages will depend on the scope and scale of the works involved in the project. A table of example project timescales is shown below however, it should be noted that these are for indicative purposes only and projects will be assessed on a case by case basis. Indicative time periods The following gives examples of the likely timescales for typical project types. Please note that these are indicative timescales only and each project will need to be programmed according to its own requirements and complexity. Please also note that if planning permission is required for a projct, this can take 12 weeks following submission of the planning application. Project type Small works Minor works revenue Minor works capital Major capital Example Office redecoration 20m 2, paint, carpet, lights Re-order 50m 2-100m 2 : partitions, lab benching, mechanical vent, paint, flooring, lights Full refurbishment and change of use of a floor of a building including partitioning, new toilets, all internal finishes, 800m 2 Full refurbishment of listed building Typical value From request to RIBA stage D (detailed design) From RIBA stage D to tender complete Construct Total 5-40k 3 weeks 6 weeks 5 weeks 14 weeks k 8 weeks 8 weeks 10 weeks 26 weeks 250k- 2m 15 weeks 20 weeks 20 weeks 55 weeks 9m 30 weeks 30 weeks 60 weeks 120 weeks Progressing between stages At the end of each of the lifecycle stages, is an authorisation gateway or sign-off process which must be completed by the Project Manager before authorisation is given to proceed to the next stage. The purpose of the sign-off is two-fold: i) to ensure that all the necessary elements have been completed in a stage and client, stakeholder and management approvals received; ii) to ensure that all parties are clear on what has been agreed, amended, updated, etc prior to works progressing to the next stage. If a Stakeholder has any concerns on signing-off project documentation, they should alert the Project Manager as soon as possible. Sign-offs are only expected to the level of an individual s expertise and area of specialisation, and can always be accompanied by a written copy of any concerns, conditions or clarifications that individual may have relating to the approval and which will need to be considered at the next stage. Raising concerns at the earliest possible opportunity is key to maintaining project momentum and ensuring that the end product meets everyone s expectations. 4 Page

7 Project Stakeholders A project Stakeholder is defined as anyone who either has an interest in, or is impacted by, the works/outputs of a project. The following diagram gives a non-exhaustive list of typical stakeholders that could be involved in a project to a greater or lesser extent. Not all of a project s stakeholders will have a direct interest in the scoping, design or outputs/deliverables of a project. Their interest may be solely in the impact of the works whilst on site on their day to day operations for example noise, dirt, diversions, service isolations, temporary unavailability of spaces or facilities etc. Other stakeholders however, may have a very keen interest and direct involvement in the scoping, design and delivery of the project such as IT Services, Telephony and Security. Whilst preparing the Strategic Brief, the Project Manager will make an informed assessment of which Stakeholders need to be actively consulted and involved in the project and which only need to be made aware that the project is happening and provided with details of any disruptions during works on site. Involvement of too many stakeholders can result in conflicting requirements, aims and possible delays to the project. Page 5

8 Project Team Roles and Responsibilities The typical composition of a project team and its roles on a large strategic project are shown below. This will vary on a project by project basis and for many of our minor projects the stakeholder group will be very small indeed. Project Sponsor Responsible for the business case for the project and for ensuring the anticipated benefits outlined therein are realised by the project (for example improved student experience, reduced complaints, etc). Has the authority to influence/regulate and adjudicate between conflicting stakeholder requirements at University level. Usually a member of the University s Senior Management Team and reports progress to the Campus Development Steering Group. Makes recommendations for budget increases to University management if required. 6 Page

9 Project Manager Responsible for delivering the project and its outputs: deliverables. Acts on behalf of and represents the University, has the duty of ensuring the Project is to the University s satisfaction, safeguarding its interest at all times, and giving consideration to the needs of the eventual user of the facility. Co-ordinates and manages different disciplines and expertise, to satisfy the objectives and provisions of the project brief from inception to completion. Performs the overall day-to-day management of the project to ensure that project deliverables are achieved within time/cost/quality constraints, whilst managing stakeholder expectations. Reports project progress to the Steering Group (depending on project size/ complexity) to ensure the project s overall direction and integrity is maintained. Alerts the Project Steering Group to emerging risks and potential means of mitigating them. Client(s) Usually the initiator of the project request. May be more than one, with conflicting requirements. Active stakeholders and funders often considered clients. Design Team Specialists in their respective fields responsible for designing a solution that will meet the agreed standards and specifications within the agreed budget and timeframe constraints. Typically includes Architect, Mechanical & Electrical Advisor, CDM Co-ordinator, Quantity Surveyor/Cost Consultant and Contract Administrator/Employer s Agent. Stakeholder(s) Anyone with an interest in, or impacted by, the works or deliverables of a project. Some stakeholders will be actively and directly involved in the project, others merely need to be kept informed of the project ( passive stakeholder ). Active stakeholders will usually include the following: Client Representative(s), Estates Operational Champion (representing Estates Electrical, Mechanical and Building Engineers), Facilities Manager, Maintenance Manager, University Fire Officer, IT Services and Telephony, Security, Asbestos Manager, BMS (Building Management Systems) Manager and User Representatives (if different from Client Representatives). Page 7

10 Steering Group Responsible for supporting the Project Sponsor in the delivery of the business case and anticipated benefits of the project. Monitors the project with regards quality, time and budget. Considers and rules on project issues that cannot be resolved at Working Group level. Typically includes Project Sponsor, Project Manager, Head of Client Department, Head of Estates Development and Head of Estates Operations. Provides direction and guidance on matters of policy. Approves all major plans and authorises any major deviation from the agreed plan. Negotiates a solution to any problems between the project and external bodies. Provides overall guidance and direction to the project, ensuring that it remains within specified constraints. Signs off the completion of each stage and authorises the start of the next stage. Ensures that the required resources are committed to the project. Arbitrates on any conflicts within the project. Can approve financial variations within an approved budget but must escalate budget variations to relevant University management. Working Group Responsible for supporting the Project Manager in the day-to-day delivery of the project to the agreed requirements, in time and on budget. Detailed design/usage issues are discussed at this level and those which cannot be resolved are referred to the Project Steering Group. Typically includes Design Team representation, Contractors, Client/User representatives and active Stakeholder representatives (listed above). 8 Page

11 Stakeholder Engagement Unsuccessful or unsatisfactory projects can often be traced back to poor stakeholder engagement and/or poor planning during the early stages of a project. In short, what comes out of a project is often a direct reflection of what is put in to it! The more information on and input to what the project is aiming to achieve that can be provided during the Preparing the Strategic Brief stage, the more realistic the project scope of works, and more robust the early risk, impact and financial assessments will be. This is not to say that Clients awill be expected to decide on small details such as colour of carpets and curtains at the outset, rather that if there is a critical piece of equipment or facilities that need specialist conditions that this is made known to the Project Manager as soon as possible in the project lifecycle. It is far easier to accommodate a specialist research laboratory need for a major load bearing floor in the outline design stage than after all the floor plans have been issued and construction is underway. Similarly, the likelihood of a project meeting client and stakeholder requirements significantly increases if we can specify those requirements from the outset. This does not preclude variations being proposed and agreed during the design process but it is far easier, and significantly more time and cost effective to tweak an already compliant design than it is to try to make a completely non-compliant design retrofit to requirements later in the process. The early information gathering and assessment stages are also critical to putting the project in context of a very busy and often crowded, publically accessible Campus. Mitigation measures (diversions, relocations, etc) can be dealt with far more easily with advance notice to those who will be affected, if the issue is identified early in the process. Stakeholders have a key role to play in helping Project Managers identify such issues by providing data on existing buildings, facilities and services; on events that are happening in those areas which may be affected by the works and any potential clashes with day-to-day University business. Page 9

12 Whilst Project Managers will endeavour to undertake as thorough data gathering and assessment exercise as possible, they often do not have direct access to locally held records, knowledge and expertise. Therefore, there is a responsibility on Stakeholders to provide information where available, to highlight where information is not available or out of date and if they are aware of any potential issues or clashes to bring these to the Project Manager s attention as soon as possible. There can never be too much information provided! 10 Page

13 Communication, Dissemination and Feedback Communication can make or break a project. Even the smallest of projects can go horribly wrong with poor project communications. The Project Manager is the linchpin for co-ordinating the Client, the Stakeholders, the Design Team, the Contractor(s) and any third party involvement. Client and Stakeholder representatives have a key role to play in relaying project communications to and from their respective teams: to disseminate information on the project so that the wider stakeholder audience is kept informed; to gather information and feedback from their teams on the project plans; and feed it back to the Project Manager accordingly. A good way of gathering input and feedback on project proposals is to consult the users at the coalface - those who use, maintain, run, repair the building, facility, space on a day-to-day basis. Their knowledge and experience of what works and any issues with existing facilities is often invaluable, together with practical suggestions for how improvements could be made. All communication MUST be channelled through the Project Manager. Consultants and Contractors should not contact Stakeholders directly and vice-versa, unless specific permissions has been given by the Project Manager. Failure to communicate through the Project Manager makes the project harder to manage and can lead to contractual and liability issues, escalating costs, increased risks and delays and potential project failure. Page 11

14 Change Control Change is an inevitable part of projects. Even with the most diligent of planning, it is more than likely that something will arise that will require a change during the course of a project. The consequences however, can vary considerably depending on the nature of the change and more importantly the stage at which the change is requested in the lifecycle process. The later in a project lifecycle that a change is requested and introduced the more expensive, time-consuming and difficult the change is to accommodate. Large-scale changes, whilst difficult or inconvenient, can often be accommodated during the early design phases without too much impact on the overall programme or budget. Request the same change later in the design process (Stages D-F) however, and abortive costs may be incurred as well as programme delays as detailed plans, service provisions and specifications all need to be revisited to assess the knock-on effect of the requested change. Once Contractors are on site abortive and redesign costs together with project delays can be considerable, but more likely, the change request will be rejected as impossible to accommodate at that late stage in the project. Seemingly minor changes can also cause considerable problems or be rejected if they are introduced too late in the process. The end result will be a project that does not deliver the required outcome. A request for change needs to be fully assessed for its impact/ knock-on effect on design, programme and budget before a decision can be made on whether the change is to be accepted. Therefore all changes requests must be made through the Project Manager and only the Project Manager (or Contract Administrator where one is appointed) can contractually issue a variation (an approved change request). 12 Page

15 Stage A Works Request The first stage in the project lifecycle is the submission of a Works Request indicating that a User has (or may have) some (future) works that they wish to be carried out. The Works Request is a downloadable online form accessed through the Development Team web pages. All requests for project work (refurbishments, space relocations, construction, etc) must now be made using the Works Request form. Requests for routine maintenance items or reporting day-to-day faults should continue to be made through the Estates Helpdesk on ext 5555 or estates@york.ac.uk. Why is this being introduced? Channelling all requests for estates projects through one portal allows: requests to be given equal and appropriate consideration; for checks to be carried out regarding time, funding and resource available to support the works; and for workload within the Estates Development Team to be managed and programmed to enable the appropriate level of support for projects going forward. When is the deadline for submission of Works Requests? As works on site are often restricted to vacation periods when access can be gained to teaching and residential spaces, these periods often get booked up very quickly in terms of resource available to support the works, both in terms of University project management support but also Contractors and Suppliers. Most of our Contractors and Suppliers also work for other Universities, Schools and Local Authorities whose peak demand period for works is also vacation periods. We have reached the situation where some Contractors can no longer respond to invitations to tender as they are fully booked on projects elsewhere. Similarly, Suppliers lead-times can double during vacation periods as some manufacturers close for a period during the Summer as well as at Easter and Christmas. Page 13

16 To prevent this situation from re-occurring the following deadlines are being introduced for the start of academic year 2013/2014: Works required in: Easter vacation Summer vacation Deadline for submissions of works request form Last day of Autumn Term Last day of Spring Term It is therefore strongly recommended that if a department thinks that they will require works that they submit a Works Request as soon as possible, even if the decision on whether the works are required does not come until later in the year. What happens next? The requests are reviewed by the Head of Development, Head of Operations and Senior Finance Officer and assessed for strategic and financial alignment with the University s strategic, capital and revenue plans. A decision is then reached: proceed to feasibility study (and Project Manager allocated) further information required (before the decision can be made) request put on hold (eg until funding or resource becomes available) reject. When will I get a decision? Works Requests are reviewed at regular Estates Senior Management Team meetings. Once a decision has been made, the original requestor will receive an response informing them of the decision. If the decision is negative, or further information is required before a decision can be made, this will be explained in the response. Please bear in mind that in peak periods, large numbers of requests are received and therefore there may be a slight delay in responding. What you can expect: acknowledgement of receipt of Works Request appropriate and equal consideration of requests confirmation of decision feedback on any rejected or delayed Works Requests. Expectations of you: submission of all requests for Estates project management supported works via the online Works Request form timely submission of Works Requests to allow sufficient time for scoping, planning and carrying out of the requested works if approved provision of basic data requested as part of the Works Request to allow an informed decision. 14 Page

17 Stage B Preparing Strategic Brief The success of a project is directly related to the quality of the information and planning that is put into the project in the early stages. The purpose of Stage B is to: establish the current condition of building/facilities where works have been requested; establish the full scope of the works that would need to be carried out to deliver the requested works for example identifying any asbestos works, enabling works, etc that would need to be completed as part of the works package; carry out a risk assessment and feasibility study to identify any potential risks, missing data and threats to the delivery of the project and to allow realistic programming and costing of the works to be carried out; to gather the latest University standard specifications that the works will need to adhere to and be designed to; identify any clashes or co-dependencies that impact on, or will be impacted by, the requested works. with the aim that 1) a complete package of information can be given to the Design Team allowing the works to be designed to meet the University s standards from the outset rather than trying to retrofit the design later in the process; and 2) an agreed starting status of the building/facility is established to allow configuration management to be implemented, tracking all the changes that are made to the building/facility as part of the project; and 3) agreement is established on the University standard specifications that the project is working to and delivering to (unless a variation is raised, agreed and recorded during the course of the project); and 4) all high level risks are identified, costed where appropriate and agreed; and 5) the full scope, risk and likely costs of the works are agreed and signed off by Estates Senior Management, before any works start on the project design or on site. Page 15

18 Sounds good, but what do I need to do? Technical Stakeholders (Estates Operations, Maintenance, Health & Safety, IT Services, Telephony, Security etc) will be expected to: supply existing data (such as existing building plans, service layouts, condition surveys, periodic test results and fire safety assessments etc) where it is available; inform the Project Manager where information is not available or out of date so that a risk can be flagged and costs included to obtaining the information if required; and confirm that the University standard specifications provided are the latest versions to be delivered to. Non-technical Stakeholders (Client and User representatives, Facilities Managers, Conference Office, Timetabling & Room Booking, etc) will be expected to: provide details of their respective high-level requirements of the project and help identify any clashes with other events or activities that may impact on, or be impacted by, the works being delivered, or affect when the works can be delivered, for example, if there is a conference happening in that building over the vacation period. Then what happens? The findings of the feasibility study, impact and risk assessments and scope of works will be submitted by the Project Manager, together with a covering report, to the Estates Senior Management Team for consideration and approval. If the works are approved, the project will be progressed to Stage C and the Stakeholders informed accordingly. Client and User requirements at this stage need only be outline but should capture all major aspects of the project, such as: type of facilities required how the facilities are to be used any co-location requirements any special access requirements proposed opening arrangements any special equipment needs approximate user numbers any special security needs any ancillary requirements. 16 Page

19 Stage C Outline Proposals Stage C is an iterative process of stakeholder consultation, the purpose of which is to develop the project sufficiently to determine a general approach to layout, design, construction and costs. Draft designs are produced for review by the project Working Group and an indicative programme and cost calculated. Design Team Consultants (Architects, Mechanical & Electrical Consultants, Quantity Surveyors, CDM Co-ordinator) may be appointed to assist in this phase, subject to the size and nature of the works involved. Stakeholder engagement and communication are key Client and Stakeholder representatives have a large role to play in this stage. Stakeholder consultation is a cyclical process and a project may go round this loop several times before it is ready for sign-off. Attendance at project meetings is key, as well as the dissemination of information to, and gathering information from, their respective stakeholder groups to feed back to the Project Manager. Steering Groups and Working Groups Any variations from the University s standard specifications (electrical, mechanical, building, lifts etc) must be agreed and signed off by the relevant Estates Operations representative before it can be incorporated into the plans. Some smaller projects will go out to tender at the end of Stage C so it is essential that the stage C plans accurately reflect the Client s and Stakeholders requirements. Projects requiring Local Authority approval may also be required to submit plans as part of this stage, so again it is essential that all requirements are captured so that the appropriate approval can be applied for. For large strategic projects a Steering Group and a Working Group are usually established, with Head of Department level representation on the Steering Group and User representatives on the Working Group. Smaller projects may have a Working Group or may function on individual consultation meetings with Stakeholder representatives depending on the nature of the works requested. Page 17

20 Whether at Steering Group, Working Group or individual consultation level, it is vitally important that the representatives: have sufficient time to be able to commit to the project are empowered to make decisions on their respective elements of the project on behalf of their respective group are able to accurately represent and communicate the requirements of their respective groups. Sign-off of Stage C plans and design proposals At the end of the stage, each of the Stakeholder representatives will be asked to signoff the plans and proposals. In signing-off the plans and proposals, the representatives are only signing to say that to the best of their knowledge and in their opinion, the plans and proposals presented will meet the requirements of their section. If a Stakeholder s approval is conditional, or they wish to have their views recorded as part of the signoff, there is a section on the reverse of the form for comments to be recorded. Timely sign-off and return of the form is required to avoid any delays to the project. 18 Page

21 Stages D-F Detailed Design Development The detailed design development phase is probably the most intensive phase of Stakeholder input, as the initial plans are further developed and finalised ready for pricing by the Contractor(s). In essence, this is a repeat of the iterative stakeholder consultation carried out in Stage C but at a much more detailed level. Service drawings are finalised, equipment and fit-out schedules produced and furniture layouts agreed. On large construction projects detailed room data sheets may also be produced for each area. The plans and specifications that result from this phase will form the basis of both the invitation to tender and the subsequent contract, It is therefore important that they are as accurate as possible with regards to meeting Client and Stakeholder requirements. Whilst amendments are possible after this stage, they are usually extremely costly or have the potential to significantly impact the programme of delivery. All handover and commissioning requirements should be provided at this stage so that they can also be included in the tender package, and priced and programmed by the Contractor accordingly. Future-proofing All technical variations need to be approved by Estates Operations and the Project Manager prior to being incorporated into the plans. Approved variations will be recorded in the Technical Variations Record, which remains a live document throughout the project lifecycle and which will provide a complete list of agreed variations at handover. Parallel project activities include the updating of the project s cost profile, risk register and impact assessment. From a sustainability perspective, future-proofing of a design is recommended where possible. This is not to say that reams of additional services and facilities are added on the off-chance that numbers may increase substantially in the future. Rather, that facilities are not made unnecessarily bespoke so as to cause significant cost should its function be required to change in the future. Projects are usually constrained by budgets and therefore cannot cater for all future scenarios, but sensible consideration should be given to likely near future variations when providing user numbers. Page 19

22 Jargon-busting Discussions at some project meetings may inevitably become very technically based. Whilst the Project Manager will endeavour to ensure technical issues are explained for the understanding of all those present at the meeting, if a Stakeholder is unsure of what is being discussed or agreed, they should inform the Project Manager. A key purpose of stakeholder consultation is to ensure that all Stakeholders clearly understand what will, and will not, be delivered as part of the project. Sign-off At the end of the stage, all Stakeholder representatives will again be asked to sign-off the proposals. The documents for sign-off may be either in the form of a formal report or a series of plans and room data sheets, depending on the nature and scale of the works to be undertaken. Once approved, the project can progress to tender. 20 Page

23 Stages G-H Tender The procurement strategy and contract type selected for a project will be determined by the Project Manager and the Head of Estates Development based on the scale and nature of the works. Should the value of the works exceed European Union procurement thresholds (shown below), then the works will need to be tendered through the Official Journal of the European Union (OJEU) process. The nature of the procurement process will determine how long the process will take. Public Contracts Regulations 2006 from 1 January 2012 Supplies Services Works Entities listed in Schedule (1) 113,057 ( 130,00) Other public sector contracting authorities 173,934 ( 200,000) 113,057 (2) ( 130,00) 173,934 ( 200,000) 4,348,350 ( 5,000,000) 4,348,350 ( 5,000,000) Indicative Notices To be confirmed To be confirmed 4,348,350 ( 5,000,000) Small lots To be confirmed To be confirmed To be confirmed Figures are net of VAT Stakeholders have very little involvement in the tender process phase. For large strategic projects, the Head of the Client Department may be included on the tender review panel, but otherwise, the tender process is carried out by the Project Manager, Head of Estates Development and either the University s Procurement Manager or the project s appointed Quantity Surveyor/Contract Administrator. Value engineering As part of their tender submission, the successful Contractor may have suggested alternative products or identify areas where savings may potentially be made. The value engineering need to be treated as proposed variations, and be evaluated for their impact on quality, cost, function and programme before any decision is made as to their acceptance. In doing this, these post-tender variations also need to be signedoff by the relevant Stakeholders before they are approved for implementation on site. This ensures that all parties are agreed as to exactly what is being delivered by the project before the Contractor starts on site. Page 21

24 Stages J-K Mobilisation and Delivery Most projects will hold a pre-start meeting prior to any works starting on site. This allows the Project Manager to run through all the house-keeping requirements with the Contractor such as access to site, parking, signing-in, security, permitted working hours, emergency contact details whilst on site, service isolations etc. Technical Stakeholders are usually invited to attend this meeting. Once the Contractor starts on the site, access to the site for any Stakeholders is through the Project Manager in the first instance. Under no circumstances should Stakeholders access the site unaccompanied. Change control and communications Progress on site is reviewed through regular site progress meetings. Depending on the size of the project there may be several monthly meetings, or only a couple of fortnightly meetings if the works are minor and relatively short-term. Where project Steering Groups are in place, the Project Manager provides a written report on progress to each meeting, detailing any issues that have arisen. Once a site, the pace and sequencing of works means the potential for issues to escalate very quickly is significantly increased. It is therefore essential that all communications, particularly any requests for changes, are sent via the Project Manager. If the Project Manager is not kept in the loop, they cannot be expected to know all the issues and any requests made. Should a Stakeholder wish to request a change to a design or specification, they should raise it via a Project Change Request form which is available from the Project Manager. Similarly, if a University standard technical specification changes during the course of a project, the Estates Operations representative should inform the Project Manager accordingly so that a variation can be raised if the changes are to be incorporated into the project. Commissioning and snagging As the works near completion, the Contractor(s) will begin snagging identifying defects and rectifying them, and commissioning any equipment and services installed. Services (fire alarms, electrics etc) and any equipment installed all need to 22 Page

25 be tested and certified as fully working, compliant and safe, so a suitable period of the Contractor s programme for time on site should be dedicated to commissioning. A snagging list is usually produced which identifies defects or items requiring attention and tracks their resolution prior to handover of the building/facility. Stakeholder involvement Technical Stakeholders may be invited to attend site progress meetings if required during this phase, and would be required to review any change requests that are received. Non-technical Stakeholders are not usually involved during this phase other than receiving updates on progress through Steering Group or Working Group meetings. If particular issues arise that require Stakeholder sign-off then the Project Manager will raise the issue with the Stakeholder directly. Page 23

26 Stage L Practical Completion and Handover Once physical works on site and commissioning are complete and all the necessary lifesafety and handover checks have been passed, an assessment is made as to whether the facility is practically complete and safe to handover to the University. The facility does not go straight to the Departmental Client. Instead there is a staged handover process (see below) which is followed before the handover to the Client. There is a period in which Estates Operations colleagues may need to carry out statutory approvals, asset coding, etc all of which needs to be completed before the facility can safely be handed over to the Clients and the Users move in. Beneficial access may sometimes be granted (with agreement from Estates Operations) during this period to allow furniture installation if required. Orientation visits to familiarise the Users with their new facilities can also be arranged during this period through the Estates Operations representative. Sub- Contractor(s) Self- snag for quality assurance Commissioning witnessed by UoY Clerk of Works Provide commissioning cer<fica<on, O&M manual and H&S manual informa<on Principal Contractor Self- snag for quality assurance Responsible for quality assurance of Sub- contractor works Commissioning witnessed by UoY Clerk of Works Provide commissioning cer<fica<on, O&M manual and H&S manual and completed handover checklists Provide user training to UoY maintenance staff on new plant installa<ons Project Manager Receive confirma<on of Prac<cal Comple<on Confirm comple<on and receipt of required handover documenta<on Confirm arrangements for defect handling going forward Estates Opera<ons Carry out any statutory approvals required Complete asset coding where required Confirm any maintenance and opera<onal issues Confirm key and access arrangements with Security Client & Users Report any defects or issues arising via the Estates Services Helpdesk (x5555) 24 Page

27 Stage M Defect Period and Feedback The final phase of the project lifecycle is two-fold: i) closing out any remaining snags or defects that arise post-occupation ii) reviewing the project, its deliverables and benefits to identify good practice and identify any lessons to be learned. Defects and issues arising 5555 facilities helpdesk As part of the handover process, the arrangements for the reporting, handling and rectification of any defects that occur once the users have moved in are agreed with the Contractor(s) and communicated to the Stakeholders. Users are requested to report any defects or issues that arise through the Estates Facilities Helpdesk on ext 5555 or via the website at ac.uk/admin/estates/operations/business/helpdesk/index.html. The duration of the defect period (the time through which the Contractor is contractually liable to return to site and rectify the defects) varies depending on the type of the contract under which the works were delivered. Post-project review Following the completion of the project, we are keen to receive feedback on how the project has gone, on the Client s and Stakeholders experiences and whether the envisaged deliverables and benefits have been achieved. The type of post-project review depends on the scope of works that have been carried out, but we are proactively seeking feedback and identification of good practice and lessons learned. Project close Once the defect period has passed and the final account agreed (and any retention monies released), the project will be closed and the facility becomes maintained as part of the University s normal operations. Page 25

28 Glossary A Abortive Costs B Benefits Costs incurred if a design is changed significantly to warrant the existing design to be redone. The improvements (for example in service delivery, environment, facilities, etc) that are expected to arise from the successful completion of the project. C CDM Construction Design & Management Regulations 2007, issued by the Health & Safety Executive CDM Co-ordinator Professional appointed to be responsible for ensuring that all parties involved in a project adhere to CDM Regulations Change Control Change Request Client Clerk of Works Commissioning Condition Survey Configuration Management The process by which changes to project designs and/or specifications are requested, assessed for their impact, decided upon and recorded A request for an amendment to the existing/proposed design and/or specification The requestor of the works Member of Estates Services who oversees works on site The testing of services and equipment that are either newly installed or have been isolated during the works to ensure that they are fully working and compliant following the works Report detailing the current state of an asset The tracking, control and recording of any changes made to a building, its facilities or services as part of a project D Defect Defect Period Deliverables Design Team A fault requiring rectification The period in which the contractor is responsible for rectifying defects in the project deliverables The physical outputs of a project Specialists in their fields contracted to design a solution that will 26 Page

29 meet the client and stakeholder needs within the defined budget and timescales (eg architect, electrical & mechanical engineers, quantity surveyor, etc) F Feasibility Study Future-proofing I Impact Assessment Instruction M Mobilisation O OJEU Operational Champion Assessment of whether proposed works are possible practically, financially, operationally, strategically and from a health and safety perspective Adding a degree of flexibility into a design or not making a design so bespoke as to be very costly to amend should the future function of a space/facility change Identification of items, areas, people, facilities and services that are likely to be affected by the project works on site; assessment of the likely impact and identification of mitigation measures where appropriate The formal issues of an agreed change request to the Contractor for implentations on site. The setting up of the contractor s site including the area of works and any compound and waste areas required The Official Journal of the European Union the publication through which European tenders above a certain threshold are published and administered Representative from Estates Operations who attends project meetings with the role of feeding back to the various Operational & Maintenance sections within Estates Operations and feeding their requirements into the project P Practical When all the works described in the contract have been carried out Completion Pre-start meeting Meeting held before the appointed contractor starts work on site, to confirm all the necessary arrangements for the works on site Project Manager Project Sponsor Q Member of the Estates Services Development Team appointed to manage the project (and ensure it deliverables) in the interests of the University Responsible for the business case for a project and for ensuring the required benefits are delivered. Usually a member of the University s Senior Management Team Page 27

30 Quantity Surveyor R Retention RIBA Risk Assessment Risk Register Risk Owner Room Data Sheet S Scope of Works Snagging Stakeholder Steering Group V Value Engineering Variations W Works Request Qualified professional appointed to manage all costs relating to building and civil engineering projects, from the initial calculations to the final figures Monies held back from the Contractor for the duration of the defect period to cover any additional defect costs not met in the contract The Royal Institute of British Architects Identification of risks that may impact on a project, and assessment of the likelihood of the risk occurring and the impact that it would have on the project. Typical risk categories include: quality, health & safety, financial, delivery, resources and schedule. A tracking document that records all risks identified, their likelihood of occurrence, likely impact, mitigation measures and risk owner The person responsible for monitoring and managing a risk (through mitigation measures where applicable) A schedule detailing all the requirements of a room: services, function, number of users, layout, size, power, data, security, furnishings etc. The extent and detail of the works to be carried out including any enabling works and surveys Checking of works carried out to identify any defects requiring rectification Anyone with an interest in, or impacted by, a project and its works Head of Department level group which oversees the project with regards quality, time and budget; and provides overall guidance and direction to ensure the project remains within specified constraints Review of the designs and specifications to see where alternatives could be used and identifying where savings could be made Changes to designs, plans or specifications that have been agreed by the Project Manager and formally instructed to the Design Team/Contractor to be implemented Request submitted by a department to Estates Services Development for project work to be carried out. 28 Page

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32 Development Team Estates Services Providence House University of York Heslington York YO10 5DD