Schools and Directorates Funded Projects for building, alteration and decorative works

Transcription

1 University of Sussex Schools and Directorates Funded Projects for building, alteration and decorative works Overview 1. All proposed building, alterations and decorative works to be funded from Schools and Directorates budgets must be requested and approved in accordance with VCEG policy which can be found at the end of this guidance document. The same system will apply to all works commissioned by Schools and Directorates, from small jobs to larger capital projects with project boards. The scope of this category of works includes works funded form all funded sources, e.g. to include SDF, earmarked capital from grants, donations, so that there is only one process for all works. It does NOT include reactive maintenance (fixing problems e.g. broken lights, fallen shelves) which should be logged with the SEF service centre who will carry out the work at no charge to the school (unless betterment is being required). All works carried out must be covered within existing agreed budget and it is the budget holders responsibility to deliver this result. 2. All such work must be undertaken by the University s facilities management partner Sussex Estates and Facilities Management (SEF). Following engagement of our outsourcing partner, schools and directorates will benefit from a fixed price quote so that the cost of works is known before placing an order. Value testing by sample and/or by benchmark prices will be undertaken by the Director of Estate Services. As noted above, it is not an option to commission other parties to undertake the work if the fixed price quote is not accepted, as other parties have not been tendered for this type of work and assurance will not have been gained of their quality and compliance standards. 3. In the first instance any work required should be logged with the SEF service centre who will record the request, issue a job reference number and send by a blank copy of PROJECT FORM 1 which must be completed in all cases and sent to the Director of Estate Services at tfm-sch-dir-works@sussex.ac.uk 4. The changes in this area will take some time to refine, and collaboration on all sides will be important to ensure we meet common goals. The system will be reviewed in one year to eighteen months to allow evaluation of size, scope and number of projects, and systems themselves to be evaluated and adapted as appropriate. Issues such as the amount of SEF input appropriate commensurate with the TFM contract and advice and support for sponsors both from SEF and from Professional Services staff to get good standard of documentation, specification and business benefits case are areas which we are seeking uplift on previous systems but may take some working at from all sides to deliver. You co-operation as we bed in these important changes is appreciated. Part 1 form and process 5. Once PROJECT FORM 1 has been received it will be checked and in most cases approved and a notification sent to SEF to provide a fixed price quote directly to you. SEF will contact you to discuss the work required prior to providing a quote. Works under 25k require a minimum of information to allow basic due diligence and to capture type, detail and size of projects carried out. Part 2 form and process 6. Should it be assessed on receipt of PROJECT FORM1 that the work involved is likely to exceed 25k you will be contacted by the University Client Function who will send you PROJECT FORM 2 for completion. PROJECT FORM 2 leads you through a 3 PART process during which a potential project solution will be identified and its merits assessed prior to, if appropriate, its approval by the Registrar & Secretary. Page 1 v1 26 Feb 2014

2 7. PART 1 collects information about the project options that are being considered to address the business need identified and to set out the business case for the project. SEF will assist in outline costing and scoping. PART 1 should be completed and sent to the Director of Estate Services at tfm-sch-dir-threshold@sussex.ac.uk. Once the business case has been considered and approved you will be notified of this by the Director of Estate Services. 8. If PART 1 is approved you will be notified by the Director of Estate Services who will also notify SEF that a quote for the project will be required. a. Smaller less complicated projects may be quoted for by SEF without the need for specialist services which incur costs. This should have been established (see 7 above) and if so SEF will contact you to arrange a fixed price quote free of charge. b. For larger more complex projects this is likely to require spend of professional fees to allow SEF to prepare a fixed price quote. If this is the case and the ceiling for fees recommended by SEF is acceptable, you should raise a requisition in Agresso, quoting the Service Centre reference number, directed to the SEF service centre with the relevant purchase order no. Note that in all contacts with SEF you should quote the job reference no. provided when you first made contact (see 2 above). 9. Once you have discussed the project options and costs with SEF you can proceed to PART 2 which requires you to prepare a project proposal including an option appraisal and information about the project governance and plan for delivery. Note that the minimum governance requirements are provided at the end of PROJECT FORM 2. You must set out with SEF s advice an indicative project budget. Send PART 2 to the Director of Estate Services once completed and the declaration signed by the Head of School. These forms will be considered for approval at least fortnightly by the Director of Estate Facilities and Registrar, who may consult PVCs for advice on strategic fit and business benefits. 10. When you receive your fixed price quote, you may commission SEF to undertake the work via and Agresso order. If the quote is more than 10% higher than the indicative costing submitted on PART 2, and the Head of School/PS Director wishes to proceed, then PART 2 must be repeated to allow costings, budget checking and benefits/payback for the revised amount to be calculated and submitted for reapproval by Director of Estate Services and Registrar before the order can be placed. 11. Orders must be placed via Agresso on specific Product codes to be supplied, and quoting the Service Centre reference to ensure correct routing of the order. 12. PART 3 requires the preparation of a post implementation review after the works are complete. The date for this should have been proposed and agreed as part of the declarations in PART 2. Information about Schools and Directorates funded projects is reported to Capital Programmes Committee at regular intervals during the life of a project and will conclude with the satisfactory completion of PART 3 once approved by the Registrar & Secretary. 13. All prospective jobs will be logged by SEF Service Centre desk. Tracking of progress of Forms 1 and 2 in practice will be through Director of Estate Facilities. Once a job has been approved update son target date for works will be available through SEF Service Centre. v1 26 Feb 2014 Page 2 v1 26 Feb 2014

3 Appendix 1 Policy on approval of Schools and Professional Directorates funded works projects (Vice Chancellor s Executive Group October 2013) All school- or directorate-funded projects must: support University strategy be planned and managed in conjunction with SEF/Director of Estate Services have proper design work have an acceptable payback period (eg we do not refurbish areas slated for demolition or major change within the near future); be covered by the schools or directorates within its existing agreed budget (whether or not that budget is over 4% of turnover surplus or not) be risk-assessed in relation to the potential to go over budget Therefore, each project must have a business case which specifies: Business need from Head of School/Directorate Specification signed off by Head of School/Directorate Project deliverables including benefits realisation measures from Head of School/Directorate Procurement method (from SEF projects may not exceed 1 million) Delivery plan from SEF for works and Head of School / Directorate in case of the non works elements (eg decanting, change of working method) Confirmation of proper design and risk assessment of feasibility of delivery from SEF Costed project specification from SEF Risk analysis from SEF for works and Head of School / Directorate in case of the non works elements Projects with a value greater than 25k (and under 1m) will be approved by the Registrar and Secretary who will request budget approval from the Vice Chancellor Capital Programmes Committee Note that value testing will be carried out on a rate-card or sample basis by Director of Estate Facilities. Page 3 v1 26 Feb 2014

4 Appendix 2 Project Governance Arrangements for Schools and Directorates Works Guidance for Heads of Schools and Directors of Service on Project Governance Arrangements The highest standards of management, control and project governance should be applied at all times in relation to Schools and Directorates funded works projects. The following paragraphs provide guidance as to the minimum standards to be applied for projects with a value in excess of a certain threshold. Record management will be undertaken by SEF under their TFM contract with the University and relevant originals will be requested by SEF to ensure that there is a single complete file on the project. For projects with a total budget value of 100k - 250k the following minimum governance arrangements should be put in place no later than the point at which the project proposal PART 2 is submitted for approval: a. Project approval documentation including: a. Project benefits and deliverables (including strategic orientation) b. Value for money assessment c. Project Delivery Plan d. Project Specification e. Project Risk register b. Project sponsor (Head of School or Director of Service) c. Project Lead (Senior operational lead for the project) d. Sussex Estates and Facilities Project Manager e. Monthly financial reporting against budget (noting, however, that the price will be the quoted fixed cost) f. Minuted decisions affecting the scope, specification, delivery plan, risks and any other aspect of the approved project as defined in the Major Works approval documentation. For projects with a total value of 250k - 1m the following minimum governance arrangements in addition to those detailed in points 1 and 2 above: g. Project Board made up of: a. Chair (Nominee of the Registrar) b. Sponsor c. Project Lead(Senior operational lead for the project) d. Finance representative (Nominee of the Finance Director) e. Sussex Estates and Facilities Project Manager f. Stakeholder representative (Appointed by the Chair) h. Project management team made up of: a. Sponsor b. Project Lead(Senior operational lead for the project) c. Finance representative (Nominee of the Finance Director) d. Sussex Estates and Facilities Project Manager i. Documented decision making / change control process including issues escalation j. Change control register All Documents and records of projects will be kept for a minimum of 3 years after the end of a project notwithstanding the requirements of the University s Master Records retention Schedule. The end of a project should be taken to be the date that the Registrar and Secretary signs PART 3 of FORM 2 Page 4 v1 26 Feb 2014

5 PROJECT FORM 1 Schools and Directorates funded projects UNIVERSITY OF SUSSEX Project Name: Sponsor Name (HoS/PS Director): Contact Name/Phone No: Schools and Directorates funded works project - request for a fixed price quote Service Centre Reference No: Contact : (The above will be completed and this form will be issued by SEF from Service Centre call logged for all Schools and Directorates funded proposed building, alterations and decorative works.) For simple projects under 25k (eg putting up shelves), a base minimum return may be supplied in the form. This must be sufficient to allow appraisal and due diligence to be carried out, and to allow capture of type and size of projects. SEF advice may be requested briefly to assist in framing and feasibility. Supporting information a. What is the outline scope and specification of the work? b. What is the business need that this request seeks to address? c. Where will the work take place (specify buildings, floors, room numbers)? d. To your knowledge, when was the last time work was undertaken on this space and any adjacent space and what was the nature of this work? Agreed for fixed price quote Head of School/ Director of Professional Service (Please print, sign and scan the hard copy and forward to tfm-sch-dir-works@sussex.ac.uk) Approved Yes/No (strike out not applicable) and Comments Director of Estates Services (Approvals will be forwarded to SEF Service Centre for logging and starting job or sending Project Form 2 for completion in case of jobs over 25k) Page 1 v1 26 Feb 2014

6 UNIVERSITY OF SUSSEX Schools and Directorates funded works project request Project Name Service Centre Reference No: Sponsor Name (HoS/PS Director): Contact Name/Phone No: Contact : (This form will be forwarded by SEF Service Centre if you have completed PROJECT FORM 1 and been informed the project value is likely to exceed 25k) PART 1 - Identifying a project solution / Business case PART 2 - Project proposal PART 3 - Post implementation review Once FORM 1 has been approved SEF will offer a 30 minute consultation to discuss the project and advise in respect of the project proposals SEF will supply an outline indicative quote of the size of project and timescale to allow evaluation of impact on cost and operations as part of the process of completing PART 1. This estimate from SEF will also set out any major caveats (e.g. facts unknown without investigation of structure of building such as retaining walls and asbestos) PART 1 Identifying a Project Solution/ Business case Boxes a to g of PART 1 below should be completed and signed by the Head of School or Professional Services Director a. What are the project deliverables? (Hos/PSD) b. What are the business benefits which will accrue from the deliverables of the project? (please state how the project supports both school and institutional strategy)(hos/psd) c. How does the project deliver value for money? (Please identify and quantify (if possible) process and operational efficiency, financial savings, improved services, income generation (Hos/PSD)) d. What are the success criteria for the proposed project (Hos/PSD) e. Please identify the project stakeholders and provide details of engagements which support the project proposal?(hos/psd) f. What are the key risks which at this stage you believe might impact upon the successful undertaking of this project and how might these be overcome?(hos/psd) Page 1 v1 26 Feb 2014

7 g. What are the solution options to address the business need which have been considered and which is the preferred option and why?(hos/psd) h. Indicative price and significant caveats (Please supply copy of SEF advice) Head of School/ Professional Service Director (Please print, sign and scan the hard copy and forward to To be completed by the Director of Estate Services Recommended for consideration by Registrar YES/NO Comments Director of Estates Services The business case in principle is acknowledged please proceed to the Project Proposal PART 2. Approved YES/NO Comments Registrar and Secretary (Form will be forwarded to SEF cc Director of Estate Facilities and Director of Finance) Page 2 v1 26 Feb 2014

8 UNIVERSITY OF SUSSEX Schools and Directorates funded works project request Project Name: Service Centre Reference No: Sponsor Name (HoS/PS Director): Contact Name/Phone No: Contact : (SEF will forward approved Part 1 once the business case in support of the project (PART 1) has been approved by the Registrar and Secretary for completion of PART 2 below) For certain projects Sussex Estates and Facilities may need to engage professional consultants and incur expenditure in order to produce a fixed price quote. They will provide a ceiling price for such fees and Schools and Directorates will be required to pay for these costs if they wish to proceed to this stage. PART 2 Project Proposal a. Please provide a high level description of the preferred option (Hos/PSD) b. Option appraisal (please give detailed and objective justification in support of the preferred option including an analysis of the relative whole life costs of each option. Please explain how it meets business need, delivers business benefits and value for money more effectively than the other options including the do nothing option) (Finance Division, supplied as a separate document) c. Statement of project requirements (Please attach any documents and drawings received from SEF; also include more detailed costing than estimate at previous stage of costs from SEF, including ancillary work such as Univ IT costs) d. Detailed delivery plan (consider operational disruption, project oversight, quality control, timing, Health and Safety) (SEF, supplied as a separate document/project plan) e. What are the key ESTATES risks that might impact upon the successful undertaking of this project and what arrangements are in place to mitigate against these risks? (SEF, supplied as a separate document ) f. What are the key NON-estates risks that might impact upon the successful undertaking of this project and what arrangements are in place to mitigate against these risks? (HoS/PSD) Page 3 v1 26 Feb 2014

9 g. How will benefits and deliverables be measured and by whom? (Clearly state the success criteria against which the project will be measured) (HoS/PSD) h. Please provide details of the project governance arrangements (Please refer to the guidance notes on project governance; where a Project Board is required a chair will be appointed by Registrar on behalf of VCEG) (HoS/PSD) DECLARATION and APPROVAL HOS/PSD confirm the following by signing below I confirm the statement of requirements is correct and appropriate to meet the identified business need and project deliverables I am satisfied that the project can be undertaken in accordance with the proposed delivery plan I confirm that risks to the project have been identified and measures to mitigate against risk put in place I confirm that funds are available from within the existing agreed school/psg budget to spend on this project I agree to undertake a post implementation review (PART 3) (insert estimated date) and submit this to the Registrar and Secretary no later than six months following completion Head of School/Professional Service Director (Please print, sign and scan the hard copy of this form and forward with all relevant attachments to Head of Management reporting) Page 4 v1 26 Feb 2014

10 Head of Management Reporting confirm the following by signing below I confirm that the Head of School can undertake the quoted works within existing budgets Head of Management Reporting (Please print, sign and scan the hard copy of this form and forward with all relevant attachments to tfm-sch-dirthreshold@sussex.ac.uk) Director of Estates Services confirm the following by signing below Recommended to Registrar YES/NO Comments Director of Estates Services Approved by Registrar YES/NO Comments Registrar and Secretary (Registrar and Secretary will return approved forms to SEF Service Centre for progressing to next stage) A FIXED PRICE QUOTE CAN NOW BE OBTAINED FROM SEF WHEN APPROVED AND THE PROJECT MAY PROCEED SUBJECT TO THE QUOTE BEING WITHIN BUDGET. THE TIMING OF PROJECTS WILL BE SUBJECT TO SEF SCHEDULING OF WORK WHICH WILL DEPEND ON OTHER PROJECTS BEING UNDERTAKEN Page 5 v1 26 Feb 2014

11 UNIVERSITY OF SUSSEX Project Name: Sponsor Name (Hos/PSD): Contact Name/Phone No: Contact Schools and Directorates funded works project request Service Centre Reference No: Project Budget: : PART 3 Post implementation project review To be completed following project implementation and submitted to the Director of Estates Services by the date specified in PART 2. The completed post implementation review will be presented to Capital Programmes Committee. i. Was the project completed on time? j. Was the project completed within budget? (Please provide the final budget statement and explain any variance between the budgeted and actual outcome) k. Did the project follow the delivery plan? (Please explain deviations from the plan and the resulting impact) l. Did the project deliver the planned solution? (Please explain any changes to the scope of the original solution and the resulting impact on delivered business benefits) m. Please provide evidence to demonstrate that business benefits have been realised and success criteria met. n. Please provide evidence that value for money has been delivered. (Quantify financial savings and efficiencies and provide evidence of service improvements) o. Please provide details of any learning points to be taken from this project Head of School/ Director of Professional Service For completion by Director of Estates Services p. Please detail any learning points not already identified in m. above I confirm that there has been a valid project review which has been performed on a fair and reasonable basis. Approved Project Review Closed Director of Estates Services Registrar & Secretary Page 6 v1 26 Feb 2014

12 Appendix 1 Policy on approval of Schools and Professional Directorates funded works projects (Vice Chancellor s Executive Group October 2013) All school- or directorate-funded projects must: support University strategy be planned and managed in conjunction with SEF/Director of Estate Services have proper design work have an acceptable payback period (eg we do not refurbish areas slated for demolition or major change within the near future); be covered by the schools or directorates within its existing agreed budget (whether or not that budget is over 4% of turnover surplus or not) be risk-assessed in relation to the potential to go over budget Therefore, each project must have a business case which specifies: Business need from Head of School/Directorate Specification signed off by Head of School/Directorate Project deliverables including benefits realisation measures from Head of School/Directorate Procurement method (from SEF projects may not exceed 1 million) Delivery plan from SEF for works and Head of School / Directorate in case of the non works elements (eg decanting, change of working method) Confirmation of proper design and risk assessment of feasibility of delivery from SEF Costed project specification from SEF Risk analysis from SEF for works and Head of School / Directorate in case of the non works elements Projects with a value greater than 25k (and under 1m) will be approved by the Registrar and Secretary who will request budget approval from the Vice Chancellor Capital Programmes Committee Note that value testing will be carried out on a rate-card or sample basis by Director of Estate Facilities. Page 7 v1 26 Feb 2014

13 Appendix 2 Project Governance Arrangements for Schools and Directorates Works Guidance for Heads of Schools and Directors of Service on Project Governance Arrangements The highest standards of management, control and project governance should be applied at all times in relation to Schools and Directorates funded works projects. The following paragraphs provide guidance as to the minimum standards to be applied for projects with a value in excess of a certain threshold. Record management will be undertaken by SEF under their TFM contract with the University and relevant originals will be requested by SEF to ensure that there is a single complete file on the project. 1. For projects with a total budget value of 100k - 250k the following minimum governance arrangements should be put in place no later than the point at which the project proposal PART 2 is submitted for approval: a. Project approval documentation including: a. Project benefits and deliverables (including strategic orientation) b. Value for money assessment c. Project Delivery Plan d. Project Specification e. Project Risk register b. Project sponsor (Head of School or Director of Service) c. Project Lead (Senior operational lead for the project) d. Sussex Estates and Facilities Project Manager e. Monthly financial reporting against budget (noting, however, that the price will be the quoted fixed cost) f. Minuted decisions affecting the scope, specification, delivery plan, risks and any other aspect of the approved project as defined in the Major Works approval documentation. 2. For projects with a total value of 250k - 1m the following minimum governance arrangements in addition to those detailed in points 1 and 2 above: g. Project Board made up of: a. Chair (Nominee of the Registrar) b. Sponsor c. Project Lead(Senior operational lead for the project) d. Finance representative (Nominee of the Finance Director) e. Sussex Estates and Facilities Project Manager f. Stakeholder representative (Appointed by the Chair) h. Project management team made up of: a. Sponsor b. Project Lead(Senior operational lead for the project) c. Finance representative (Nominee of the Finance Director) d. Sussex Estates and Facilities Project Manager i. Documented decision making / change control process including issues escalation j. Change control register All Documents and records of projects must be kept for a minimum of 3 years after the end of a project notwithstanding the requirements of the University s Master Records retention Schedule. The end of a project should be taken to be the date that the Registrar and Secretary signs PART 3 of FORM 2 Page 8 v1 26 Feb 2014