ESTATES DEPARTMENT PROJECT SECTION PROJECT PROCEDURES

David Benson Head of Estates 18 December 2007

Section 1

Introduction and Summary.......................................................................

Scope and Purpose .................................................................................................................. Definition of Works ............................................................................................................. Definition of a Project ..........................................................................................................

Section 2

Inception...........................................................................................................

2.1 Identifying the Project ................................................................................................ 2.1.1 Project Aims......................................................................................................... 2.2 Client Management Structure .................................................................................... 2.2.1 Steering Group ..................................................................................................... 2.2.2 Input from Estates ................................................................................................ 2.2.3 Input from the Users ............................................................................................ 2.3 Outputs at Inception Stage ......................................................................................... 2.3.1 Preliminary Costs ................................................................................................. 2.3.2 Funding Sources................................................................................................... 2.3.3 Investment Appraisals .......................................................................................... 2.3.4 Preliminary Programme ....................................................................................... 2.3.5 Health and Safety ................................................................................................. 2.4 2.5 Approvals and Authorisations .................................................................................... Estates Project Management Structure.................................................................

Section 3

Feasibility .........................................................................................................

3.1 Appointing the Design Team ...................................................................................... 3.1.1 Consultants Brief ................................................................................................ 3.1.2 Selection ............................................................................................................... 3.1.3 Form of Appointment for Consultants ................................................................. 3.2 Appointing the Contractor First Stage Tender ....................................................... 3.2.1 Contractors Brief ................................................................................................ 3.2.2 First Stage Tender ................................................................................................ 3.2.3 Letter of Appointment.......................................................................................... 3.3 Developing the Outline Brief ...................................................................................... 3.3.1 Record Information .............................................................................................. 3.3.2 Statutory Consents ............................................................................................... 3.3.3 Management of Change ....................................................................................... 3.4 Outputs of the Feasibility Stage.................................................................................. 3.4.1 Design Options..................................................................................................... 3.4.2 Procurement Strategy ........................................................................................... 3.4.3 Project Programme............................................................................................... 3.4.4 Project Cost Plan ................................................................................................ .. Health and Safety ................................................................................................. 3.5 Approvals and Authorisations ....................................................................................

Section 4
4.1

Design Development .....................................................................................

2

Appointment of Contractors Second Stage Tender ................................................

4.1.1 4.1.2 4.2

Not to be Exceeded Target Cost ........................................................................ Form of Appointment of Contractors ..................................................................

Development of the Brief ............................................................................................

4.3 Management of Design ............................................................................................... 4.3.1 Reference to Standard Specifications .................................................................. 4.4 Management of Change.............................................................................................. 4.4.1 Changes to Budget ............................................................................................... 4.5 Outputs of the Design Development Stage ................................................................. Detailed Design .................................................................................................................... 4.5.1 Review of Programme ......................................................................................... 4.5.2 Detailed Cost Plan................................................................................................ 4.5.3 Statutory Consents ............................................................................................... 4.5.4 Health and Safety ................................................................................................. 4.5.5 Risk Register ........................................................................................................ 4.6 Approvals and Authorisations .................................................................................... 4.6.1 Signing off the Brief ............................................................................................ 4.6.2 Signing off the Design ......................................................................................... 4.6.3 Authorisation........................................................................................................

Section 5A

Construction ...............................................................................................

5.1 Pre-Start Activities ...................................................................................................... 5.1.1 The Building Contract.......................................................................................... 5.1.2 Insurances ............................................................................................................ 5.1.3 Health and Safety ................................................................................................. 5.1.4 Emergency Contacts ............................................................................................ 5.1.5 Emergency Procedures......................................................................................... 5.1.6 Permits to work .................................................................................................... 5.1.7 Service Shutdowns ............................................................................................... 5.1.8 Works to Fire Alarms and Fire Detection Systems ............................................. 5.1.9 Liaison with the Safety Office and Disability office ........................................... 5.1.10 Contractors Parking ............................................................................................ 5.1.11 Artworks ..............................................................................................................

Section 5B
5.2 5.3

Contract procedures ................................................................................

Management of the Construction Process ................................................................. Monitoring of the Project ...........................................................................................

5.4 Management of Time, Cost and Quality .................................................................... 5.4.1 Zero Defects ......................................................................................................... 5.5 5.6 5.7 5.8 5.9 5.10 5.11 Fulfilling the Client Role ............................................................................................ Control of Change....................................................................................................... Implementing Change................................................................................................. Managing Problems and Challenges ......................................................................... Financial Variations ................................................................................................... Staged Payments ......................................................................................................... KPIs ............................................................................................................................ 3

Section 6

Completion and Handover ........................................................................

6.1 Handover 6.1.1 Commissioning and Testing ................................................................................ 6.1.2 O&M Manuals and Health and Safety File.......................................................... 6.1.3 Revision of Master Plans ..................................................................................... 6.1.4 Zero Defects ......................................................................................................... 6.1.5 Defects Liability Period ....................................................................................... 6.1.6 Handover Meeting ............................................................................................... 6.2 6.3 Final Account.............................................................................................................. End of Defects Liability Period ..................................................................................

Section 9
7.1 7.2

Review ...............................................................................................................

Review Meeting ........................................................................................................... Customer Feedback.....................................................................................................

Appendix 1...............................................................................................................................
Change Management .............................................................................................................. CM1MR1EW1 CE1 CHANGE CONTROL FORM ................................................................................ MONTHLY REPORT ............................................................................................. EARLY WARNING NOTICE ................................................................................ COMPENSATION EVENTS .................................................................................

Appendix 2...............................................................................................................................
Project Checklists .................................................................................................................... 2. INCEPTION........................................................................................................................ 3. FEASIBILITY ..................................................................................................................... 4. DESIGN DEVELOPMENT ............................................................................................... 5. CONSTRUCTION .............................................................................................................. 6. HANDOVER ....................................................................................................................... 7. REVIEW ..............................................................................................................................

Appendix 3............................................................................................................................... Proformas .............................................................................................................................

P2 SCORING MATRIX .......................................................................................................... P4 CUSTOMER SATISFACTION QUESTIONNAIRE ......................................................

Appendix 4............................................................................................................................... Standard Agendas ..............................................................................................................

DESIGN TEAM ...................................................................................................................... PRE-CONTRACT ................................................................................................................... PROGRESS ............................................................................................................................. 4

HANDOVER ...........................................................................................................................

Appendix 5............................................................................................................................... Health & Safety Files & Operation & Maintenance Manuals.............................

Section 1 Introduction and Summary

Scope and Purpose UWICs Estate is now large and complex. The number of projects of all kinds that may be under way at any one time, as well as potential projects that may be under consideration is considerable. Procedures have therefore been introduced to ensure that projects are co-ordinated in such a way that all their implications, such as space, health & safety, and finance, are fully considered before any work is embarked upon. UWIC has developed project procedures that are now contained within this document. They are designed to ensure that the full implications of each project are considered in a cohesive and co-ordinated manner. Definition of Works Building or Refurbishment works are generally defined as being any work, regardless of its value, which alters the nature, fabric or use of any part of the Estate. All building/refurbishment work regardless of its value should be carried out in consultation with the Estates Department. This is to ensure it meets the necessary Fire, Health and Safety, and Construction Design and Management Regulations. Health and Safety legislation applies to all construction work. This includes what could be considered to be minor works such as painting a small room or altering network wiring. The Estates Department keeps records of all buildings and facilities forming part of the Estate and together with the Safety Officer is able to advise on all aspects of health and safety associated with works. Definition of a Project Where the nature or extent of the works is such that it requires an input from the Estates Projects Section then it is registered as a Project.

Section 2 Inception
At inception stage UWIC will identify the need for a development, identifies the extent of the project and possible locations. Preliminary investigations are made into likely cost and programme. An Investment Appraisal will be carried out on all Capital projects and possible sources of funding identified. 2.1 Identifying the Project A suggestion or request will be made that building works are necessary. Ideally this should be well in advance of the preparation of the Capital Plan or the Estates Schedule of Planned Maintenance and Minor Works Projects for the following year. Requests may come, for example, from or via: Vice Chancellors Board (VCB) Finance and Estates Committee The Estates Strategy Departments generated through approved Departmental Business Plan Maintenance requirements Any projects identified should be in line with the UWICs Strategic Plan and Estates Strategy. 2.1.1 Project Aims The Project Aims should be clearly defined at this stage. 2.2 Client Management Structure

2.2.1 Programme Management Board A Programme Management Board will be appointed to be chaired by a person independent of Estates, VC or PVC, and may include two members of the Finance and Estates Committee, The Director of Finance, the Director of Operations and the Head of Estates. 2.2.2 Project Steering Group For all projects over 500,000, VCB will appoint a Project Steering Group. The Steering Group will normally be chaired by a person independent of Estates and the commissioning department and include the Deputy Director of Finance and the Head of Estates. Otherwise the constitution of the Steering Group would be appropriate to the particular project. 2.2.2 Input from Estates

Project Director
7

The Head of Estates or the Deputy Head of Estates (Projects) will take on the role of Project Director. The Project Director will Oversee the management of the project in the Estates Department Report to the Programme Management Board Report to the Project Steering Group Liaise with the Project Sponsor

Estates Project Manager

The Estates Project Manager is a member of the Estates Projects Section technical staff nominated by the Head of Estates who will be responsible for the day-to day management of the Project. 2.2.3 Input from the Users

Project Sponsor
The Project Sponsor will be a senior member of the commissioning department with authority to make executive decisions on the project requirements. The Project sponsor will report to the Project Steering Group. The Project Sponsor will, with the Head of Estates assist the Director of Finance to prepare an Investment Appraisal for the Project.

User Representative
The Project Sponsor will appoint a member of staff from the department concerned as the User Contact. This person will be responsible for co-ordination of the users input into the Project and will be the point of contact for the Estates Project Manager and the Design Team. 2.3 Outputs at Inception Stage The Estates Department should be contacted for advice on costs and procurement methods. The Estates Department Administration Section will issue a project number. The project will then be included in the Projects List and a file will be opened. The management of space is an executive function of the Head of Estates. Input will be required from the Estates Department on the feasibility of the proposals, budget costs (based at this stage on sq.m rates) and likely programme. 2.3.1 Preliminary Costs

At this stage the costs will be based on square metre rates based on published data or University data for similar projects. Any cost estimates provided will be issued only with the approval of the Head of Estates/Deputy Head of Estates (Projects). Any cost estimates issued should clearly state the area included in the proposed works, an indication of the level of specification allowed for, and a list of what has been included e.g. consultants fees, VAT, infrastructure works including fit out, relocation of existing occupants, I T equipment, Furniture etc. Any exclusions should also be identified. The costs should be clearly marked Provisional. 2.3.2 Funding Sources When the project has been identified the possible sources of funding will be considered. Possible sources of funding could include: Capital Investment Planned Maintenance Minor Works Departmental Funding External Grant

2.3.3 Investment Appraisals An investment appraisal will be carried out for all Capital projects. The Higher Education Funding Council for Englands (HEFCEs) guide to Appraising Investment Decisions (March 1999) provides specific advice on how this will be done. Appendix A of the guide provides a useful Appraisal Checklist. It is based on the principals of The Green Book Appraisal and Evaluation in Central Government Treasury Guidance (HM Treasury ,1997). The Investment Appraisal will be the responsibility of the Director of Finance but will require input from the Estates Department and the Project Sponsor. As part of the approvals process (see below), the Investment Appraisal will be signed off by the Project Steering Group and VCB before the project progresses to the next stage. 2.3.4 Preliminary Programme A programme for the project will be produced. Allowance should be made for any enabling works or relocations required. 9

At this stage the programme may simply consist of a list of key dates or may be presented in the form of a Gantt chart. It should include key dates, milestone dates and specific gateway approvals.

2.3.5 Health and Safety As soon as a project has been identified, the Estates Department will open a Health and Safety File. An F10 form will be submitted to the Health and Safety Executive. 2.4 Approvals and Authorisations All projects involving reallocation of space must be approved by the Head of Estates.

Projects under 50,000

Must be approved by the Head of Estates and included in the Estates Projects Lists. The source of funding must be identified.

Projects over 50,000

Capital projects will be included in the UWICs 10 year Capital Plan. The Capital Budget will be approved by Finance and estates Committee. The Capital Plan must be approved by VCB. Planned Maintenance and Minor Works budgets are approved by Finance and estates Committee. A list of Planned Maintenance and Minor Works Projects will be submitted to Finance and Estates Committee before the start of each financial year. Approvals required for externally funded and departmentally funded projects should be determined VCB. Information required for approval of projects over 50K includes Project Business Plan Site plan and footprint Preliminary Cost Plan Preliminary Programme Statement of Strategic Context Academic Justification For Capital Projects, a full Investment Appraisal

10

Proceeding beyond this stage will have cost implications and funding must be identified. 2.5 Estates Project Management Structure Finance and Estates Committee

VCB

Programme Management Board

Project Steering Group

Project Sponsor

Project Director

User Representative

Estates Project Manager

Consultant Project Manager

Design Consultants

Cost Consultants

Contractor

Suppliers and SubContractors 11

Section 3 Feasibility
At this stage the Design Team is appointed and the project developed further to determine whether it is possible to achieve the project aims within the defined constraints. Further information will be developed on the brief, cost, programme and method of procurement, investigating alternative designs and construction methods. 3.1 Appointing the Design Team The Estates Project Manager should consider the need for external consultants and agree these with the Head of Estates e.g. Project Manager, Planning Supervisor, Architect, Quantity Surveyor, Structural/Civil Engineer, M&E Engineer, Landscape Architect. 3.1.1 Consultants Brief The Estates Project Manager is responsible for generating the Consultants Brief and outline requirements including information generated at inception stage and sketch layouts. The Brief should contain full description of the services to be provided, anticipated budget and programme. It should state clearly the criteria to be used in the assessment of the tenders. Where there are various options for the project to be explored, this should be identified in the Consultants Brief. 3.1.2 Selection Consultants will be selected in accordance with UWICs Partnering Strategy. They will be selected from the Approved List of Framework Consultants. They will be provided with the Project Brief and asked to submit their proposals on how they will contribute to the Project, stating the personnel to be involved and their relevant experience along with a fee proposal relating to the framework fee matrix. They will be asked to submit their information to the Estates Department by a predetermined return date.

Note: The Framework Consultancy has already been advertised in the OJEC. Further advertisement for individual projects is not therefore necessary.
The submissions will be assessed by the Estates Project Manager and another member of the Projects Section and by the Head of Estates. They will be assessed strictly in accordance with criteria set out in the Consultants Brief. This is normally carried out in a spreadsheet format using proforma P1. The process must be fully documented. On major commissions interviews may be appropriate and the panel may include members of the Client Department and representatives of Estates. For the appointment of non-framework consultants e.g. where specialists such as catering consultants are required, the Estates Project Manager will follow the rules 12

for tendering of services in accordance with the UWICs Financial Policies and Procedures.

No consultant will be appointed without the approval of the Head of Estates.

3.1.3 Form of Appointment for Consultants Consultants will be appointed in accordance with the Framework Agreement using documentation drafted by the UWICs Solicitors or in the case of smaller commissions (less than 5,000) by exchange of letters. The Framework Agreement is drafted to work in conjunction with the NEC form of contract for Appointment of Consultants. For major projects an NEC Agreement should also be executed. An Internal Order must be raised and a financial code generated when a consultant is appointed. 3.2 Appointing the Contractor First Stage Tender The stage in the Project at which it is appropriate to appoint a Contractor may vary. However, there is much to be gained by appointing and involving the Contractor as early as possible. The process of appointment of a contractor may start as early as feasibility stage of a project. The Contractors appointed will normally be from the Framework using the procedure set out below. For the appointment of non-framework contractors e.g. where specialists are required, the Estates Project Manager will follow the rules for tendering of services in accordance with the UWICs Financial Policies and Procedures. 3.2.1 Contractors Brief The Estates Project Manager with input from the Design Team is responsible for generating the Contractors Brief. The Brief should contain; Design information generated to date. The level of detail will depend on the point at which the Contractor is appointed. At feasibility stage the Contractor could be appointed on the basis of sketch layouts whereas at a later stage more detail will be provided. Anticipated budget and programme. 13

A full description of the services to be provided. This should include details of the input required from the Contractor during pre-construction stages as well as during and post construction. Information on number of options to be explored during the Design stages.

3.2.2 Stage One Contractor will have already been selected in accordance with the Partnering Strategy via an OJEU process.

Note: The Framework Contractors agreement has already been advertised in the OJEC. Further advertisement for individual projects is not therefore necessary.
On major or complex commissions an interview may be appropriate and the panel may include members of the Client Department, representatives of the Estates Department and members of the Design Team. 3.2.3 Letter of Appointment At this stage a Letter of First Stage Appointment (proforma P3) will be issued to the Contractor. When the Contractor is appointed at an early stage in the project he should be asked to identify his pre-contract costs so that an order can be placed for that service.

No contractor will be appointed without the approval of the Head of Estates/Deputy Head of Estates (Projects).
When the First Stage Appointment has been made the Contractor will become a member of the Project Team and contribute towards the development of the project. 3.3 Developing the Outline Brief The Estates Project Manager, with the consultant team and Users, will be responsible for further development of the brief. This will involve wider consultation within the University with some or all of the following as appropriate: Estates Projects Section M&E/Surveying Asbestos Management Access Estates Facilities Section Library and Information Services (Data & Telephones) Safety Officers Disability Advisor

14

A full set of Room Data sheets is not required at this stage, but the brief must identify equipment to be installed areas of specialist requirement which will influence spatial or services design e.g. fume cupboards, electron microscopes, autoclaves, ovens, areas where close climatic control or cooling is required. Before proceeding to design stage the outline brief must be signed off by the Client Department. 3.3.1 Record Information Plans and drawings of the buildings should be available from the Estates Drawings database together with copies of Fire Certificates, Fire Risk Assessments and information on Listed Building Status. The Design Team should identify any surveys (Topographical, geotechnical or measured building surveys) that will be required. 3.3.2 Statutory Consents The Design Team should identify which statutory consents will be required. 3.3.3 Management of Change If Alterations to the Brief are made after this stage they should be confirmed by completion of Form CM1. An assessment will be made of implications to the cost and programme, and the change must be authorised by the Chair of the Project Steering Group or in the case of smaller projects by the Client Representative.

3.4

Outputs of the Feasibility Stage

3.4.1 Design Options As part of the Feasibility stage the Design Team may be required to explore various options for the project. Where possible this requirement should be identified in the Consultants Brief. Where more than one option is considered an Option Appraisal Report should be produced. 3.4.2 Procurement Strategy for major sub-contractors In developing the project, the Design Team will consider procurement options and develop a Procurement Strategy for the project. 3.4.3 Project Programme A programme for the project will be further developed as a Gantt chart. The programme should cover the full procurement process indicating time periods for 15

Detailed briefing Design stages indicating Design Freeze Statutory consents Appointment of Contractors Pre construction activities Prime dates Construction period indicating any phasing Completion Handover/moving

3.4.4 Project Cost Plan The costs should be further developed with the input of the Design Team and formulated into a Project Cost Plan. At this stage the plan will probably indicate the costs based on cost per square metre for different types of accommodation (e.g. Office, Laboratory, Lecture room) backed up by an elemental breakdown for each type. Any cost estimates issued should clearly state the area included in the proposed works, and a list of what has been included e.g. consultants fees, VAT, infrastructure works including relocation of existing occupants, equipment, Furniture etc. Any exclusions should also be identified. Any cost estimates provided will be issued with the approval of the Head of Estates/Deputy Head of Estates (Projects). 3.4.5 Health and Safety The Health and Safety File and F10 form will be updated to identify the Planning Supervisor. 3.5 Approvals and Authorisations Before proceeding to Design Stage, the project must be authorised as follows:Minor works and Planned maintenance projects under 500K - Head of Estates Capital Projects and other projects over 500K Programme Management Board, Project Steering Group and VCB The information submitted for approval should include: The Outline Brief Information on explored options and an Option Appraisal Procurement Strategy Budget Costs and identification of the Funding Source with reference to any

minutes noting budget approvals

16

Programme The completed F10 form Any project change forms Risk Register

17

Section 4 Design Development

For the purposes of these procedures, Design Development stage includes works from the end of Feasibility stage up to start of Construction stage. Although this is a progressive process during which the design will become increasingly more detailed, there is no clear distinction made in these procedures between Outline Design and Detailed Design stages. 4.1 Appointment of Contractors Second Stage Tender If the Contractor has not already been appointed then they will be appointed in this stage following the procedures set out under Feasibility above. 4.1.1 Not to be Exceeded Target Cost Before a full appointment can be made the project design must be developed and more accurate costs determined. The Contractor will work towards achieving more accurate costs and cost certainty by tendering packages or agreeing prices with an established supply chain of sub-contractors. A full construction contract will not be entered into until 80% cost certainty has been reached and a Target Cost agreed. At that stage approval will be sought to enter into a contract (see Approvals and Authorisations below). Pain/Gain agreements are an integral part of the partnering process. Any pain/gain share arrangement must however be approved by the Head of Estates. 4.1.2 Form of Appointment of Contractors The Framework Contractors are be appointed in accordance with the Framework Agreement using documentation drafted by the Universitys Solicitors. For each individual contract a separate contract document will be executed. This will normally be the NEC option C contract. Other standard forms of contract e.g. the PPC2000 or the JCT Minor Works Contract with Partnering Supplement may be used with the approval of the Head of Estates. All contract documents must be executed as deeds (signed under seal). In the case of smaller commissions (less than 5,000) the Contract may be in the form of an exchange of letters or a works order. An Internal Order must be raised and a financial code generated when a contractor is appointed. No construction work is to commence on site for any project over 500,000 without signed contract documentation in place. 4.2 Development of the Brief 18

The Brief will be developed to include a full set of Room Data Sheets. If appropriate a layout drawing of each room will be produced and appended to the Room Data Sheet for approval by the Users. The Estates Project Manager will ensure that full consultation is carried out with User Departments including: Estates Projects Section - M&E/Surveying Asbestos Management Access Space Management Facilities Section Environmental issues Maintenance Security Traffic Management External Works (Gardens) Library and Information Services Safety Office Disability Office Archivist for identification of any artworks 4.3 Management of Design

4.3.1 Reference to Standard Specifications In order to maintain the required level of quality and consistency, standard specifications should be used wherever possible. These apply to building works (under development) and M&E Services. The Estates Project Manager will ensure that copies of the UWICs Design Guidelines are issued to the Design Team. Any variance from the standard specification must be approved by the Head of Estates. 4.4 Management of Change By this stage the Design Team should be working to an approved brief signed off by the Users. Changes to the brief should not be made at this stage. However, if changes are considered essential, they should be confirmed by completion of Form CM1. An assessment will be made of implications to the cost and programme, and the change must be authorised by the Chair of the Project Steering Group or in the case of smaller projects by the Client Representative. 4.4.1 Changes to Budget Any changes to the budget must be authorised as follows using form CM1. 19

Minor Works & Planned Maintenance Projects up to 100K Authorisation by Head of Estates Minor Works & Planned Maintenance Projects over 100K Authorisation By Director of Finance Capital Projects where variance is less than 5% Authorisation by Head of Estates Capital Projects where variance exceeds 5% Authorisation by VCB & Director of Finance Where additional funding is contributed by the User Department this must be confirmed in writing/e-mail by the Authorised Signatory in the School and if it exceeds the signatorys authorisation limit, by the Director of Finance. Any Authorised changes to the budget must be documented and kept on file. 4.5 Outputs of the Design Development Stage Detailed Design 4.5.1 Review of Programme The programme will be continually reviewed. Any alteration to the programme must be notified with explanation to the Head of Estates. 4.5.2 Detailed Cost Plan The Cost Reports will become increasingly more detailed as design progresses. It is the Estates Project Managers responsibility to ensure that the project costs stay within the Project Budget. If the projected costs exceed the budget then the design must be adjusted/value engineered to bring the scheme within budget. 4.5.3 Statutory Consents The Design Team under the direction of the Estates Project Manager will be responsible for submitting information to apply for Statutory Consents including, as appropriate, Planning Consent, Listed Building Consent, Building Regulations, the Fire Authority and Licensing Board. The anticipated time for consideration and granting of consents should be indicated on the Project Programme. All applications must be approved by the Head of Estates prior to submission.

20

4.5.4 Health and Safety All Design work will be carried out in accordance with the Construction (Design and

Management) Regulations 1994 (amended 2000).

The Health and Safety Plan and the F10 Form will be updated to identify the Principal Contractor. The output for this stage will be a Pre Tender Health and Safety Plan complete with a full set of Design Risk Assessments. 4.5.5 Risk Register An initial Risk Register will be prepared for the project. 4.6 Approvals and Authorisations

4.6.1 Signing off the Brief At an appropriate time during Design Development stage, when the Brief has been sufficiently developed but before work starts on Detailed Design, the Brief including Room Data Sheets, must be signed off by the User Representative and the Project Sponsor. 4.6.2 Signing off the Design Before approval is sought to progress to Construction Stage, the design must be signed off by the User Representative and the Project Sponsor. 4.6.3 Authorisation Before proceeding to Construction stage, the project must be authorised as follows:For contracts below 100,000 incl VAT, approval is required from the Head of Estates For contracts between 100,000 and 500,000 incl VAT, approval is required from VCB. For contracts over 500,000 incl VAT, approval is required from the Project Steering Group, VCB and Chair of Finance and Estates The information submitted for approval should include:The Detailed Brief and design Budget Costs and identification of the Funding Source with reference to any

minutes noting budget approvals

Programme

21

Any project change forms Pre Tender Health & Safety Plan Risk Register

22

Section 5A
5.1

Construction

Pre-Start Activities

5.1.1 The Building Contract For details of the form of building contract refer to the previous section. No construction work is to commence on site for any project over 500,000 without signed contract documentation in place. No works of any size are to be carried out without a written order. 5.1.2 Insurances The Estates Project Manager will liaise with the Department of Finance and the Project Team to ensure that adequate insurances are in place for the duration of the contract. 5.1.3 Health and Safety In accordance with the Construction (Design and Management) Regulations 1994 (amended 2000), no works shall be permitted to commence on site until a Contractors health and Safety Plan has been submitted to the satisfaction of the Planning Supervisor. 5.1.4 Emergency Contacts An emergency call out number for ongoing works must be registered with Facilities, Estates and EMT Members. 5.1.5 Emergency Procedures The Contractor should be briefed on emergency procedures operating within UWIC campuses. 5.1.6 Permits to work The Estates Department operates a permit to work system which covers: Working at height Work in confined spaces Hot works Work in plant rooms Roof access

For projects, permits and keys may be issued for the term of the construction period or may be issued for individual operations within the contract. This is at the discretion of the Deputy Head of Estates (Projects). 23

5.1.7 Service Shutdowns All services shutdowns shall be co-ordinated with and if necessary carried out by the Estates Department. The Estates Project Manager will be responsible for giving adequate notice to University staff, students and others of any planned shutdown. Shutdowns will be tested and certified by Estates before the Contractor is permitted to work on the installation. 5.1.8 Works to Fire Alarms and Fire Detection Systems Any alterations to the fire protection systems must be co-ordinated with the Estates Department, Facilities and the Safety Officers. Where works are to be carried out to Fire Alarms or Fire Detection Systems a Fire Impairment Form must be completed and the UWICs insurers (UMAL) and the Fire Service must be informed. This includes any de-activation of devices including the bagging off of two or more detection devices. 5.1.9 Liaison with the Safety Office and Disability office Where there is disruption to the normal running of UWIC e.g. when traffic/pedestrians are diverted or fire safety procedures changed the Safety Office and Student Services Office must be consulted. 5.1.10 Contractors Parking Parking Permits are issued to contractors at the discretion of the Estates/Facilities Sections. Contractors are subject to the same parking restrictions as other campus users. Management of parking within the Construction Site is the responsibility of the Contractor. 5.1.11 Artworks Where there are any artworks in the area identified as the Site, UWICs Archivist must be informed and arrangements made for the safe removal/relocation of these.

Section 5B
5.2

Contract procedures

Management of the Construction Process The Estates Project Manager should ensure that a workable regime is in place for project management and control and that the responsibilities of the project Team members are clearly defined. This should include: 24

 5.3

The Client interface The mechanism for controlling change and its consequences A strategic overview of the project

Monitoring of the Project The Estates Project Manager will report regularly to the Deputy Head of Estates (Projects) in an agreed level of detail regarding Overall Current progress Expenditure to date Anticipated final cost, with explanation for any change Forecast cash flow Current and anticipated problems and proposals for dealing with them Team performance including delivery of required quality

5.4

Management of Time, Cost and Quality The appointed Contractors will have immediate responsibility for managing the construction works on site to achieve the requirements of their contract. To allow effective monitoring of the progress, the contractor will be obliged to provide and if necessary update a construction programme in agreed format and detail, and to submit regular progress reports. The Estates Project Manager will provide the Deputy Head of Estates (Projects) with an updated project programme, cost plan and projected progress information as required for each project (usually monthly). Although the Contractor is responsible for managing work on site and achieving the specified quality, the Design Team has responsibility for overseeing and monitoring the work. The responsibilities of the Design Team members should be clearly defined in this respect. It may be appropriate to appoint a Clerk of Works for the project. The Estates Project Manager will agree arrangements with the Head of Estates.

5.4.1 Zero Defects Achieving zero defects should be a specific aim of all projects. 5.5 Fulfilling the Client Role The Estates Project Manager is responsible to UWIC for delivery of the project in accordance with the brief and must

25

 5.6

Agree corrective action in the event of failure to achieve cost, quality or programme targets. Evaluate the implications for the Client, keep stakeholders informed and agree responsibilities internally. Decide on the use of contingencies. Generally respond to queries raised by the Project Team. Liaise with the End Users. Keep Senior Management informed on a need to know basis.

Control of Change The adverse time and cost implications of incorporating a change in the Clients requirements grow steeply as the project runs through Detailed Design into the Construction phase. The likelihood of change being required during construction should be limited as far as possible by providing the Project Team with a clear and comprehensive brief, to which all stakeholders have subscribed and not starting construction work until all major design issues have been resolved. In some cases there may be a genuine need to leave options open or to maintain flexibility in design solutions. This must be recognised and taken into account when considering the method of procurement. The Estates Project Manager should resist pressures from the End Users to change the project during the construction phase. However where change is considered necessary the appropriate procedure for implementing the change should be followed.

5.7

Implementing Change The Estates Project Manager should initiate or approve change only on the basis of a realistic assessment of the time and cost implications. The basis for paying for changes implemented during construction should be clearly established. In all cases the Estates Project Manager will ensure that accurate records are kept of events. On the simplest of projects, a Variation Order will be raised by the Estates Project Manager and issued to the Contractor to confirm the change. On larger projects, an appropriate procedure must be established at the start of the construction phase for implementing change in accordance with the form of contract used. (See appendix for examples)

5.8

Managing Problems and Challenges The purpose of these procedures is to ensure that construction projects run smoothly. Thorough briefing, clear contracts, effective risk management and a culture of openness, trust and co-operation will help the Team to avoid many disputes. Problems and differences will always arise but the Estates Project Manager 26

will ensure that a culture of co-operation exists in a team and that all parties accept an obligation to resolve them speedily and economically. At the start of the project a Dispute Resolution Ladder should be established to identify the parties who should communicate to resolve any disputes arising. Time limits should be set for the resolution at each level. The object of this exercise is to resolve the dispute as quickly as possible at the lowest level possible usually on site. (See appendix for example) 5.9 Financial Variations The approved budget must be regarded by the Design Team as a not to be exceeded figure. The Estates Project Manager has no authority to increase the budget for the project. Any increases to the budget must be authorised as follows. Minor Works and maintenance Projects over 50K Any increase in budget must be approved by the Head of Estates. Any increase in the budget will be reported to Finance and Estates Committee. Capital Projects In accordance with the UWICs Financial Regulations, the Head of Estates has authority to vary the budget by 5%. Any increase in the budget will be reported to Finance and Estates Committee. Any increase in budget of more than 5% must be approved by Finance and Estates Committee. Written Authorisation of any changes to the budget must be kept on file. 5.10 Staged Payments Payments to the Contractor will normally be made on a monthly basis preferably at the end of each month. Certification will be carried out in accordance with the building contract. All payments must be authorised by the Estates Project Manager. The normal terms of payment will be within 28 days. Retentions are not required. In exceptional circumstances where the Estates Project Manager considers a retention to be useful, this should be agreed with the Head of Estates. 5.11 KPIs 27

In order to continually monitor performance, an agreed set of KPIs will be collected on a monthly basis and forwarded to the Head of Estates.

28

Section 6 Completion and Handover

The process of completion and handing over should be subject to careful planning and procedure. It comprises Final commissioning, testing, witnessing and certifying of services installations Pre-completion checks by Project Team Preparation for formal handover Issue of Certificate of Practical Completion Operation and Maintenance (O&M) Manuals Health and Safety File Formal Handover Meeting

Upon issue of the Certificate of Practical Completion, ownership of the project will pass to the University. Careful consideration must therefore be given to Security Insurance Cleaning and maintenance Fitting out & moving in Training of cleaning, maintenance and security staff Procedure for dealing with defects

Whilst commissioning, testing and preparation of O&M manuals are the responsibility of the Main Contractor, the whole Design Team should work together to ensure that the handover process runs as smoothly as possible. On larger projects a Handover Workshop may be held several weeks before completion to plan the above. 6.1 Handover

6.1.1 Commissioning and Testing Commissioning is the process whereby static completion of an installation is brought to the state of full working order for proving. Testing is a matter of checking the commissioned installation and evaluating its performance measured against specified requirements. Commissioning and testing procedures should be programmed on all but the smallest projects. The Estates Project Manager should identify any tests that need to be witnessed by UWIC representatives. Although commissioning and testing will be substantially complete at handover, further testing may be required e.g. at start of heating season. This should be programmed at handover.

29

6.1.2 O&M Manuals and Health and Safety File O&M manuals and the Health a Safety File should be handed to UWIC before Practical Completion. These documents should be to a pre-determined format and should be electronically stored. They must include All test reports All guarantees and warranties Information on maintenance of non-standard components Maintenance regime Operating instructions Complete set of as fitted drawings

All drawings should be AutoCAD compatible. For further details of requirements refer to Appendix 5 6.1.3 Revision of Master Plans The Estates Project Manager is responsible for passing drawn information on to the CAD Draftsperson who will update the UWICs master drawings database. 6.1.4 Zero Defects Achieving zero defects is a specific aim for all projects. Ideally the works when handed over should be defect free. As this is rarely the case in practice a procedure should be in place for identifying and dealing with defects during the Defects Liability Period (DLP). Building Users, maintenance staff and others should be informed of the procedure to be adopted. The first point of contact during the DLP for reporting of defects would normally be the Estates Project Manager who will liaise with the rest of the Project Team. At the end of the DLP the point of contact will be the Estates Helpline. The Estates Maintenance Section will be responsible for the maintenance of the building. All defects should be scheduled and a programme agreed for rectification. The list should be reviewed on a regular basis. 6.1.5 Defects Liability Period The Defects Liability Period (usually 12 months but may be 6 months on simple projects) starts as soon as Practical completion is reached. At this point UWIC takes ownership of the completed project and is responsible for all aspects of its operation. During this time the Contractor may be given the opportunity to rectify certain defects which have arisen at his own cost. Defects do not include damage inflicted during this period. Maintenance is the responsibility of UWIC. Some components (e.g. lifts, landscaping) of the building may require periodic maintenance by the Contractor or UWIC during the first year in order that the 30

warranties remain valid. If this is the case, the maintenance regime and the responsibility should be clearly established at the Handover Meeting. 6.1.6 Handover Meeting A formal meeting should be arranged for the handover of the building (see sample Agenda in Appendix 4) 6.2 Final Account Using the preferred procurement method of Partnering, most issues regarding the Final Account should be resolved during the course of the contract. A fully documented Final Account for the project must be completed within 2 months of Practical Completion. On projects below 100,000 the Final Account will be signed off by the Deputy Head of Estates (Projects). On projects over 100,000 the Final Account will be signed off by the Head of Estates. When the Final Account has been agreed the Estates Project Manager/Project Manager will issue the Final Certificate. Retentions are not required. In exceptional circumstances where the Estates Project Manager considers a retention to be useful, this should be agreed with the Head of Estates. 6.3 End of Defects Liability Period Towards the end of the Defects Liability Period, a meeting should be arranged between the Estates Project Manager, the Project Manager, the Contractor and representatives of the Maintenance Section and the Users to walk around the building to identify any outstanding defects. A programme will then be agreed for the Contractor to attend to the defects. When all items have been attended to the Estates Project Manager/ Project Manager will issue a Certificate of Making Good of Defects or other such notice as required by the Contract.

31

Section 9 Review
7.1 Review Meeting Post project evaluation is important on all projects. At the end of the project a meeting must be held to review the project against the objectives set at the start and to review the KPIs. The review should take into account the views of 7.2 The Building Users The Maintenance Team The Project Team

Customer Feedback Customer feedback forms should be issued to all the people directly involved in the project. Minutes and feedback forms will be copied to the Deputy Head of Estates (Projects).

32

APPENDIX 1 CHANGE MANAGEMENT

33

Appendix 1
Change Management Standard Operating Procedures for Change Management University Of Wales Institute Cardiff Contracts Placed Under the ECC NEC Option C Action 1.01 Authorised Parties The following are authorised to instigate change on UWS projects:

NEC Clause

Project Sponsor (PS) Project Director (PD) Design Team (DT) Project Manager (PM) ALL PM PM PM 61.2, 61.6

1.02 1.03 1.04 1.05

Instigating Change If an authorised party wishes to instigate change they must contact the PM and complete Part One of the Change Control Form in Appendix 1 of this document. Once completed the PM reviews the request and assesses whether it is in the best interests of the Project to proceed to the Contractor Review. If the PM decides to proceed to the Contractor Review he states any assumptions which the Contractor should take into account in addition to the standard Delay and Disruption The PM also states any potential omissions that the Contractor should consider to offset the costs of the potential change. Assessing Change

1.06

1.07 1.08 1.09 1.10

If the Contractor (Cont.) receives a Change Control Form he Cont. must act upon it, complete Part Two and return it to the PM within 3 weeks, together with a revised programme if applicable. The Contractor should also price at Actual Cost the potential Omissions indicated by the PM in Part One If appropriate, the Contractor also indicates whether the Cont. proposed instruction should give rise to an Early Warning Notice and whether he considers a meeting to be necessary. If the Contractor considers a meeting to be necessary the PM PM shall arrange it. Within 2 weeks of receipt of the Contractors quotation the PM PM will either: 34

62.3

16.1, 16.2 16.2 62.3

1.11

Issue an instruction to submit a revised quotation, Accept the quotation Not proceed with the proposal Notify that he will make his own assessment If a further quotation is required the procedure at 1.08 to Cont. 1.10 will repeat.

62.4

1.12

1.13

Approval If the PM confirms acceptance of the Contractors quotation the authorised parties confirm their agreement by signing and returning at Part Three of the Change Control Form and returning to the PM On receipt the PM issues to the Contractor to action and revises the Completion Date if applicable. Monthly Reports

ALL

PM

65

2.01

3 days prior to the monthly progress meeting the Contractor Cont. will provide the PM with the following: A full copy of the report to be tabled at the meeting A summary tracked programme showing the current progress position on the project with any key milestones. The format of this programme should be A4 portrait or landscape with a maximum of 20 summary activeties Not later than seven days following the monthly progress meeting the PM will issue his monthly report in the format detailed in Appendix 2 of this document.

2.02

PM

3.01

Early Warnings Where Early Warning Notices are required for issues other than changes the notice will be issued on the form detailed in Appendix 3 Compensation Events Where Compensation Events are to be notified in accordance with Clause 60 and are not covered by the Change Control procedure above then the form detailed in Appendix 4 will be used

ALL

4.01

ALL

35

Decision to initiate change Project Sponsor Project Director Design Team Project Manager

Completes Part 1 of Change Control Form. Issues to Project Officer Project Officer decides whether to proceed to Contractor Review Project Officer passes information to Project Manager Project Manager advises on information required from Contractor and any omissions to be made to offset cost of change Change Control form issued to Contractor
Project Manager requests further information / quotation

No change to Project

Project manager advises Contractor that he will make his own assessment

Contractor completes Part 2 of Cost Control Form, advises on Early Warning Notice would be generated and returns to Project Manager Project Manager confirms acceptance by completing Part 3 of Change Control Form

No change to Project

36

CM1- CHANGE CONTROL FORM

[Insert Project Title] CHANGE CONTROL FORM PART ONE REQUEST CHANGE INITIATOR [Name] [Name] [Name] [Name] End User Employer Consultant PM Number: 000001 TO: [Name] PM

Approved For Contractor Review? YES/NO Confirmation of a Verbal Instruction? YES/NO Assume the following in preparing revised prices:Delay Budget price only Disruption Budget price only [Others please state] Price the following potential omissions:[Insert] Contractor YES / NO YES / NO YES / NO YES / NO Budget/Firm Budget Time Days/Weeks

Are you authorised to initiate this change? YES/NO SCOPE OF CHANGE

REASON FOR CHANGE

PART TWO - IMPACT

TO: [Name]

Cost Implication (excl delay & disruption Delay & Disruption Programme Implication (Attach revised programme) Impair the performance of the Works

EARLY WARNING In compliance with Clause 16.1 of the Contract this is/is not* an Early Warning Notice. Meeting Required? PART THREE APPROVAL Signed and agreed implementation by: [Name] [Name] [Name] [Name] End User Employer Consultant PM YES / NO If YES PM to arrange

Received on behalf of [Name] Contractor

Date: ..

Date: ..

NOT APPROVED Further Action Required:1. Revised Quotation, PM to instigate 3. Not Proceeding 2. PM to make own assessment

37

MR1- MONTHLY REPORT

[Insert Project Title]

MONTHLY PROJECT REPORT

Project Manager: Report Nr. Programme Start Date: Extension Issued: Current Week Nr. 0 Days of 0 Dated

Original Completion Date: Revised Completion Date:

Progress Report (refer to attached tracked summary programme)

Progress

+/-

Days/Weeks

If the project is in delay what measures are the project team taking?

Key Milestones Were previous milestones hit? What milestones are there in the next reporting period? Financial
Contract Sum: Est. Final Account: Current Gross Valuation Forecast Gross Cashflow Difference Change Control Form Issued to Date: Cost to Date: Approved to Date: 0.00 +/-

Early Warnings Issued to Date: In Month: Are there any disputes? Could they lead to Adjudication?

In Month In Month In Month

Relationships (Poor/Average/Good/Excellent) Project Team P/A/G/E Estates & End Users P/A/G/E Estates & Proj. Team P/A/G/E Signed: Dated: 16/04/2004

Quality Performance Site: Consultants: Estates Dept.

Product P/A/G/E The Works: P/A/G/E P/A/G/E Defects Low/Medium/ High P/A/G/E

38

EW1 EARLY WARNING NOTICE

[Insert Project Title] EARLY WARNING NOTIFICATION TO: Compensation Event No. Notification Nr.

Reference Clause 16.1 Reason for Notice:

Early Warning Meeting Required? Venue: . Date:

YES/NO*

Attendees: Effects: Increase the total of the Prices Delay Completion Impair the performance of the works in use *Delete as appropriate Signed on behalf of .. Date . Received on behalf of . Date

YES/NO* YES/NO* YES/NO

39

CE1 COMPENSATION EVENTS

[Insert Project Title] COMPENSATION EVENT NOTIFICATION

TO: Project Manager

Compensation Event No. Notification Nr. Reference Clause 60.1 Sub-Clause

Description of the compensation event:

Cost Implication Programme Implication

YES/NO* YES/NO*

*Delete as appropriate Signed on behalf of .. Date . Received on behalf of . Date

40

APPENDIX 2 CHECKLISTS

41

Appendix 2

Project Checklists

Check 2 Check 3 Check 4 Check 5 Check 6 Check 7

Inception Feasibility Design Development Construction Completion and Handover Review

42

PROJECT CHECKLIST 2. INCEPTION

PROJECT NO :__________________ BUILDING NO: ___________________

PROJECT TITLE:___________________________________________________

STEERING GROUP (FOR PROJECTS OVER 500K) CONTACT DETAILS (EMAIL/TEL) CHAIR

PROJECT DIRECTOR (ESTATES) ESTATES PROJECT MANAGER PROJECT SPONSOR USER REPRESENTATIVE

COST ESTIMATE AT INCEPTION STAGE (ATTACH COPY OF PRELIMINARY

COST REPORT)

43

FUNDING SOURCE

INVESTMENT APPRAISAL (FOR ALL CAPITAL PROJECTS) Attach Copy Approved

PRELIMINARY PROGRAMME Copy Attached

HEALTH AND SAFETY F10 FORM Complete

DETAILS OF APPROVAL TO PROCEED TO FEASIBILITY STAGE

PROJECT AIMS

PROJECT CHECKLIST

44

3. FEASIBILITY PROJECT TEAM DESIGN TEAM PROJECT MANAGER PLANNING SUPERVISOR ARCHITECT QUANTITY SURVEYOR STRUCTURAL/CIVIL ENGINEER MECHANCAL & ELECTRICAL ENGINEER OTHERS CONTRACTOR OUTLINE BRIEF Signed Off By: OPTION APPRAISAL Attach Copy Date: CONTACT DETAILS (EMAIL/TEL) Appointed

PROCUREMENT STATEGY Attach Copy

45

PROJECT PROGRAMME Attach Copy

PROJECT COST PLAN Attach Copy

FUNDING SOURCE

HEALTH AND SAFETY FORM F10 Revised to Identify Planning Supervisor

DETAILS OF APPROVAL TO PROCEED TO DESIGN STAGE

46

PROJECT CHECKLIST 4. DESIGN DEVELOPMENT CONTRACTORS SECOND STAGE TENDER COMPLETE TARGET COST/GUARANTEED MAXIMUM PRICE IS THERE A SHARED SAVINGS AGREEMENT? FORM OF APPOINTMENT/CONTRACT FINANCIAL CODE FUNDING SOURCE(S)

80% Cost Certainty Achieved

Date: __________________

DETAILED BRIEF (Including Full Set of Room Data Sheets) Signed Off By: Date:

CONSULTATION WITHIN UWIC Estates Projects Section M&E Asbestos Access Facilities Space Management Environmental Issues Maintenance Security Traffic Management External Works Safety Office Library Archivist Library & Information Service Disability Office Other

47

PROJECT PROGRAMME Attach Copy

PROJECT COST PLAN Attach Copy

(Detailed Cost Plan)

FUNDING SOURCE

STATUTORY CONSENTS Applied Date Planning Building Control Other Granted Date

HEALTH AND SAFETY FORM F10 Revised to Identify Principal Contractor

Pre-tender Health & Safety Plan Complete DETAILED DESIGN (Signed Off By Users) Signed Off By:

Date:

RISK REGISTER Attach Copy

DETAILS OF APPROVAL TO PROCEED TO CONSTRUCTION STAGE

48

PROJECT CHECKLIST 5. CONSTRUCTION BUILDING CONTRACT Form of Contract: ______________________ Contract Documentation Completed: Contract Sum: ______________________ Completion Date: _________________ INSURANCES Checked Before Commencement of Work On Site

HEALTH AND SAFETY Contractors Health and Safety Plan Approved By Planning Supervisor:

EMERGENCY CALLOUT NUMBERS Passed to Facilities: Estates EMT Members:

FURTHER INFORMATION ON MANAGEMENT OF THE PROJECT SHOULD BE KEPT IN MAIN PROJECT FILES Please attach to this checklist: An up-to-date programme An up-to-date cost projection Copies of authorised change orders

49

PROJECT CHECKLIST 6. HANDOVER

Date of Handover Certificate of Practical Completion Issued End of Defects Liability Period

Date Date Date

Details of Partial Possession

Final Account Agreed and Signed Off by Head of Estates Date Certificate of Making Good and Defects Issued Final Certificate Issued Date

Date

Operation and Maintenance Manuals received from Contractor and handed over to Maintenance Section* Drawings passed to Projects Draughtsperson for updating of database drawings Finance informed of any changes to Insurance Provision

Date Date Date

*Assumes that all commissioning and testing is complete and that certificates are included in Manuals.

50

PROJECT CHECKLIST 7. REVIEW Project No Title

Customer Satisfaction Surveys Sent Out

Sent

Returned

Review Meeting Held Action Points

Date

Completed form to be circulated to Head of Estates and Deputy Head of Estates (Projects) with copies of Customer Satisfaction Sheets and Minutes of Review Meeting attached.

51

APPENDIX 3 PROFORMAS

52

Appendix 3

Proformas

P1 P2 P3 P4

Appointment of Consultants Appointment of Contractors Letter of Appointment of Contractor 1st Stage

(to be added)

Customer Satisfaction Survey

P2 SCORING MATRIX
UNIVERSITY OF WALES INSITITE

53

CARDIFF CONSULTANTS FRAMEWORK AGREEMENT Fee bid proposals for ... project SCORING MATRIX Name: Max Score Actual Score

Q Nr

Description Staffing and Delivery

Comments

Method of information gathering Method of design communicationand co-ordination Resourcing and personnel to be involved (Analysis of CVs) Programming/Target programme Proposals for option appraisal Value of work currently being carried out for UWIC Projects of a similar nature Renumeration Fees Fees - option 2 Fees - option 3 Fees - option 4 Fees additional - Expenses

10 10 15 10 10

10 15

20

TOTAL 100 NOTE Fees 0 - 10% deduct 1 point Fees 10 - 20% deduct 2 points Fees 20 - 40% deduct 3 points Fees over 40% deduct 4 points

54

P4 CUSTOMER SATISFACTION QUESTIONNAIRE CUSTOMER SATISFACTION QUESTIONNAIRE

Customer: Project: ESTATES DEPARTMENT

We would welcome your feedback on how you assess our performance against the following:-

Disappointing

Reasonable

Excellent

Good

1. the quality of the completed project 2. the quality and professionalism of Estates staff 3. our communication skills 4. our ability to manage changes and resolve problems 5. our overall performance during the design stage 6. our overall performance during construction 7. our overall performance at handover 8. our ability to meet agreed timescales 9. our commitment to making the project a success 10. your overall level of satisfaction

If you have rated any question below reasonable please provide a comment on the specific failing so that we may effectively target any remedial action. Comment:

Name:..
Position:.

Date:
55

Poor

APPENDIX 4 STANDARD AGENDAS

56

Appendix 4 Standard Agendas Design Team Meeting Pre Start Meeting Progress Meeting Handover Meeting Review Meeting (to be added)

57

DESIGN TEAM

(Project Title) Project No ----

Design Team Meeting Agenda

(No. --)

58

1.0 2.0 3.0 4.0

Minutes of Previous Meeting Matters Arising Contractors Matters Design Team Report Architect M&E Structural Cost Systems Building Users Matters/Briefing Matters AOB Date of Next Meeting

5.0 6.0 7.0

59

PRE-CONTRACT

University of Wales Institute Cardiff (Project Title) Project No ------

Agenda for Pre-Contract Meeting

60

0.0

Introduction 0.1 0.2 0.3 Personnel Project goals/objectives Specialists

1.0

Contract 1.1 1.2 1.3 1.4 Preparation & signatures Documentation requirements Insurances Commencement & Completion

2.0

Communications 2.1 2.2 2.3 2.4 2.5 2.6 Form of communication Lines of communication Circulation of communications Instructions Change Management Procedures Emergency Contact Nos

3.0

Safety Matters 3.1 3.2 3.3 3.4 3.5 3.6 Liaison with UWIC Safety Officers Contractors Safety Management Emergency Procedures Permits to work Service Shutdowns Works to Fire Alarms

4.0

Contractors matters 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 H &S Files Site organisation Parking & traffic management Security Restrictions Quality control Sub-contractors & suppliers Temporary services
61

5.0

Design Team matters: 5.1 5.2 5.3 5.4 5.5 Architect Cost Consultant Planning Supervisor Mechanical& Electrical Engineers Structural Engineer

6.0 7.0 8.0

Users matters KPIs Meetings 8.1 8.2 Progress meetings User Group meetings

9.0

Any Other Business

10.0 Date of Next Meeting

62

PROGRESS

(Project Title) Project No ----

Progress Meeting Agenda

(No. --)

63

8.0 9.0

Minutes of Previous Meeting Matters Arising

10.0 Progress Report 11.0 Contractors Matters 12.0 Consultants Matters 13.0 Building Users Matters 14.0 Health and Safety 15.0 KPIs 16.0 AOB 17.0 Date of Next Meeting

64

HANDOVER

University of Wales Institute Cardiff (Project Title) Project No ------

Agenda for Handover Meeting

65

Attendees: Contractor Design Team

Estates Project Officer Deputy Head of Estates (Projects) Facilities Representative User Representative Representative of Maintenance Team

The meeting will normally be a sit down meeting followed by a tour of the completed works.

1.0

Introductions

2.00 Purpose of Meeting 3.00 Certificate of Practical Completion Defects/Outstanding Works Any Additional Works Details of Any Partial Possession Defects Liability Period Agree communication for any defects Operation and Maintenance Manuals Health and Safety Files Maintenance Regimes required during first year Lifts Automatic Doors Others Warranties 4.00 Insurances 5.00 Training Programme (may already be completed) 6.00 Security 7.00 Meter Readings (if required) 8.00 Tour of Inspection 9.0 Handover of Building

66

APPENDIX 5 HEALTH AND SAFETY FILES AND OPERATION AND MAINTENANCE MANUALS

67

Appendix 5 Health & Safety Files & Operation & Maintenance Manuals

68

Health and Safety Files And Operation and Maintenance Manuals On the completion of the project, in accordance with the CDM Regulations, the Contractor is required to provide the University with a Health and Safety File giving full information for safe maintenance and use of the completed facility throughout its life. The University also requires a full Operation and Maintenance Manual for the completed facility. These may be produced as one document. For further information on the requirements of the Health and Safety File refer to CDM Regulations Health and Safety File, Application Guide 7/97 (BSRIA, 1997) and Construction (Design and Management) Regulations 1994:

The Health and Safety File, Construction Sheet 44 NIS/06/44 (HSE, 1995)

The Estates Projects Section is responsible for updating the existing drawings database using the information provided. All documentation will be handed to the Estates Maintenance Section. Maintenance of the information is the responsibility of the Maintenance Section. Format The document shall be in digital format, fully indexed, and searchable and provided on CD / DVD (2 copies) All drawings will be in AutoCAD format so that they can be used to update existing layout drawings and can be readily updated themselves in the future. Where works are carried out to an existing building, the University will provide any existing AutoCAD drawings that would be of use in the production of new/updated record drawings. The certificates provided should be original copies, signed by the Contractor and the Design Consultant.

69

Information to be Provided 1 00 General information 1 01 1 02 1 03 1 04 Location of the project Brief outline of the Project List of the Project Team with contact addresses and numbers List of all the Contractors and Subcontractors with addresses and telephone numbers.

2 00

Building 2 01 Full set of building layout drawings showing all fixtures and fittings 2 02 2 03 Full set of Structural drawings Details of all materials used including Manufacturers details (not manufacturers catalogues) Item reference Model/Pattern Size, if applicable Colour, if applicable
Where non-standard components have been used information on maintenance should be provided. For standard items this is not required.

3 00

Electrical Information 3 01 3 02 3 03 3 04 3 05 Full set of as fitted Electrical drawings in AutoCAD format Full circuit charts for all distribution boards (copies on DBs) All original Electrical Test Certificates Emergency Lighting Test Certificate Lightning conduction Test Certificates

70

4 00

Fire Safety 4 01 Full set of as fitted drawings showing sounder test levels to all rooms and identifying fire resistance of all fire wall and fire doors 4 02 4 03 4 04 All original Fire Alarm Test Certificates Full points list for all fire alarm system Zone charts (copies to be mounted in building)

4 05 Building Fire Certificate or suitably adjusted Risk Assessment (To be procured in consultation with the Estates Facilities Section) 4 06 Drawings, schedules and certification of all fire fighting equipment and signage supplied within the project 5 00 Mechanical 5 01 5 02 6 00 Full set of as fitted Mechanical drawings in AutoCAD format All original Test Certificates

Services Generally 6 01 6 02 6 03 6 04 6 05 Originals of any BREAAM or other accreditation certificates Plan showing locations of all services meters Full details of BMS System with all IP addresses Full set of drawings showing BMS Control wiring Maintenance manuals for all plant items

6 06 Manufacturers warranties for all equipment where warranty exceeds the Contract Warranty Period 6 07 6 08 6 09 7 00 Lifts 7 01 Original Lift Test Certificates 71 All original Commissioning Certificates Details of all interfaces with existing equipment / installations Certificates of conformity for plant items

7 02 Set of as fitted Lift drawings including circuit diagram for controls 7 03 7 04 8 00 Details of any maintenance contracts for first year and any warranties Test Certificates for all lifting beams or lifting equipment supplied

Security and Doors 8 01 Details of locks and suiting arrangements

8 02 Details of all automatic doors with manufacturers details and information on any maintenance contracts and warranties 8 03 8 04 8 05 9 00 Details of all security systems and door controls Full information on any CCTV installations Full details and Test Certificates for any Intruder Alarms

Roof Access 9 01 Details of roof access, edge protection and Test Certificates for any restraints etc.. 9 02 Details of access to all roof mounted plant items

10 00 Maintenance Regime 10 01 A full list of all plant and fixed equipment that will require regular maintenance and testing. 11 00 Grounds and External Landscape 11 01 Landscaping Contract specification and drawings 11 02 Details of access arrangements and any alteration of tactile paving

72