Introduction
This chapter describes the professional design and management services that a client needs to deliver successful building projects and the various ways in which a client can commission appropriate professional advisers.
Commissioning architecture
Whether you intend to construct a new building, or extend or modify existing facilities, it is important to understand your commissioning requirements, to assemble the right team of design and other consultants, and to accurately define the services you require.
The RIBA Plan of Work 2013 framework
The RIBA Plan of Work was thoroughly updated in 2013 and is the definitive model for the building design and construction process in the UK, and of influence internationally. It reflects the requirements of modern design and procurement approaches. The RIBA Plan of Work is unique in providing a clear, widely understood and recognised process map, which is flexible for use on projects of all sizes and with all procurement methods. Activities are arranged around a framework of eight numbered stages:
- Stage 0 – Strategic Definition
- Stage 1 – Preparation and Brief
- Stage 2 – Concept Design
- Stage 3 – Developed Designs
- Stage 4 – Technical Design
- Stage 5 – Construction
- Stage 6 – Handover and Close Out
- Stage 7 – In Use
The RIBA Plan of Work 2013 sets out, via a series of task bars, the activities and schedules of service that need to be undertaken at each stage, but does not specify who on the project team will undertake what services or the form that the stage outputs will take. In terms of design and project leadership activities, these matters are dealt with through the schedules of services, which form key components of the professional services contracts for the professional team. Construction activities to be carried out by the builder are defined through the building contract. In Chapter 6, below, Dale Sinclair describes the RIBA Plan of Work 2013 in detail.
The collaborative project team
Assembling an effective collaboration between of client, design team and construction team is recognised as essential for project success. The key roles and appointments that go towards creating the design team are:
- Client: the party commissioning the design and construction of a project. The client may be an individual or a company or organisation. It is important that, wherever possible, the same individual or group represents the client consistently throughout the project process. The effective fulfilment of the client role, especially in the early project stages in defining the project outcomes and design quality objectives, is paramount to project success.
- Project lead: the professional responsible for managing all aspects of the project and ensuring that the project is delivered in accordance with the project programme. A professional project manager or the architect would typically undertake this role, but where the client has substantial in-house construction expertise, this role may be provided directly by the client organisation.
- Lead designer: The design professional responsible for managing all aspects of the design, including the coordination of the design and the integration of specialist subcontractors’ design. For building projects, the lead designer will most commonly be an architect, but a designer from an engineering discipline could also undertake this role depending on the nature of the works.
- Architect: the architect undertakes the architectural design of the project, including at the early project stages carrying out feasibility studies and brief development. The architect may also act as project lead, lead designer and/or contract administrator.
- Construction lead: the party responsible for construction and the provision of construction advice in the early project stages. The contractor would be the construction lead from Stage 5 onwards, after the building contract has been placed, but another construction consultant might perform this role prior to work commencing on-site, if the procurement approach does not include early contractor engagement.
The range of other professional roles and appointments required will vary significantly depending on the size and complexity of the project. For a relatively simple domestic project the client may only need to appoint an architect to lead the project and coordinate design, and a structural engineer for any structural calculations and design required. More complicated projects are likely to involve a number of other professional services. Some of the other roles would typically include:
- Civil/structural engineer: the professional engineer responsible for carrying out the structural/civil engineering design.
- Building services engineer: the professional engineer responsible for carrying out the design of building services.
- Cost consultant: the professional responsible for producing cost information as the design progresses. This information may include the project budget, estimates of the construction cost and life cycle cost analysis.
- Contract administrator: responsible for administration of the building contract, including the issue of instructions and certificates.
- Health and safety adviser: a qualified professional able to advise on health and safety aspects, as defined by legislation and health and safety best practice. The Construction (Design and Management) Regulations 2015 cover the management of health, safety and welfare when carrying out construction projects. Under these regulations, one member of the design team must be delegated and appointed as the ‘principal designer’ to plan, manage, monitor and coordinate health and safety in the pre-construction phase of the project. This includes identifying, eliminating or controlling foreseeable risks, ensuring the other designers carry out their duties under the regulations, and preparing and providing relevant information to the principal contractor to help them plan, manage, monitor and coordinate health and safety in the construction phase. The lead designer or architect will be the natural choice to undertake this role on most building projects, since the ‘principal designer’ should have meaningful responsibility for coordination of the design of the project. On more complex projects, a specialist health and safety adviser, as defined above, may be appointed to advise and assist the principal designer in discharging their duties.
In addition, there may be the need for other specialists to be appointed, such as landscape architects, sustainability consultants, planning consultants, fire engineering consultants, lighting designers, interior designers, acoustic consultants and party wall surveyors.
Some projects may require designers with special experience and expertise. For example, when the project involves an element of masterplanning, the client may need designers with urban design skills. Works to historic buildings may require the expert services of a conservation architect and the RIBA maintains a register of architects with specialist accreditation for historic building conservation, repair and maintenance, details of which can be found in the ‘Find an Architect’ section at www.architecture.com.
The RIBA Accredited Client Adviser: Strategic client leadership
Many clients will have significant in-house expertise and resources to assist with developing the brief and assembling the project team, but others may need professional support and advice in establishing the project. If the client is beginning a complex project and does not have knowledge and experience in procuring buildings, then having a professional RIBA Client Adviser on board – independent of the design and construction team – to provide strategic advice and construction industry knowledge from the earliest stages, can help bring certainty and control to the whole enterprise, and safeguard your investment. On smaller, less complex projects, the project lead, lead designer or architect may provide this early stage strategic support.
A RIBA Accredited Client Adviser can work with you to help define and deliver the best long-term solution for your organisation, one that will fulfil the aims of the project, by providing services such as:
- Setting collaborative project outcomes.
- Advising on strategic decision-making, including masterplanning and property portfolio management.
- Facilitating stakeholder consultation.
- Developing the brief.
- Assisting with budget setting.
- Undertaking feasibility studies and options appraisals, including new build, refurbishment and extension alternatives.
- Advising on procurement options.
- Assisting with selecting and appointing the professional team.
- Giving early advice on sustainability and information strategies.
- Undertaking appraisals of design proposals.
RIBA Accredited Client Advisers can help the client achieve high quality and best value in the building project. The most important decisions are the ones made at the very inception, before the planning and design stages and long before any bricks are laid. It is at this early stage that the success – or otherwise – of the clients’ projects are decided. More complex projects often have multiple stakeholders and users who all have an interest in the project outcomes and performance. Often the development of an effective stakeholder management plan, which will serve throughout the project cycle, is an important deliverable by the RIBA Accredited Client Adviser that can make a significant contribution to project success. RIBA Accredited Client Adviser services are generally concentrated in the early project stages (Stages 0–2), but sometimes they are retained through the later project stages to offer continuing independent advice and design review.
The RIBA offers a referral service for RIBA Accredited Client Advisers, who they select for their all-round procurement expertise, design experience, business knowledge and track record of delivering results in construction projects. The RIBA evaluates and accredits all of its RIBA Accredited Client Advisers on an annual basis. More information can be found in the ‘Find an Architect’ section at www.architecture.com.
Services at Stage 0
The early project stages are critical in ensuring that clients get the best value from their design teams and the right project outcomes; changes made later in the process will result in additional expense and delay. In Stage 0 (Strategic Definition), the client and their professional advisers will establish and test the business case for the project and develop the high-level strategic brief. The strategic brief may require a review of a number of alternative sites or options, such as extensions, refurbishments or new build.
Services at Stage 1
At Stage 1 (Preparation and Brief) the design team will be assembled and they will develop and refine the project brief and programme. It is at this stage that you will need to confirm the core design team members and put in place professional services, contracts and associated schedules of services. On a simple project the design team might only comprise an architect and structural engineer but for a more complex scheme there could be a large number of different designers and specialist consultants. Before Stage 2 (Concept Design) can commence, it is essential that the project team is properly appointed.
Methods of selecting professional consultants
There are a wide variety of approaches to selecting architects and professional consultants for the design team. Clients may wish to identify a shortlist of potential practices based on recommendations or whose work they already know and admire. Professional services firms maintain comprehensive websites on which clients can find out about services they offer, the key personnel in their team and their business culture, as well as seeing examples of their previous work. Many professional institutes offer referral services to help clients to identify potential firms. RIBA Client Services, for example, help clients create a tailored shortlist of architects with the appropriate skills and experience. They will listen to the clients’ requirements and then recommend accredited RIBA chartered practices. The RIBA also publishes a number of client guidance documents that are available in the ‘Find an Architect’ section at www.architecture.com: these include Client Conversations, Working with an Architect for Your Home and A Client’s Guide to Engaging an Architect.
Clients may decide that a more formal competitive selection process could best meet their project needs, in the form of an open competition, invited competition or, more commonly, competitive interview. RIBA Competitions has extensive experience of delivering high profile selection processes, run as architectural competitions or other competitive selection processes by its experienced team.
Projects in the public sector above certain minimum financial thresholds are subject to EU procurement legislation, and professional services for such projects must be procured in accordance with one of a range of specified selection and tendering procedures. Comprehensive information on EU thresholds and procurement procedures can be found at: www.ec.europa.eu/internalmarket/publicprocurement.
Questions to ask your potential design team
The client should interview each of its shortlisted practices to gain a better sense of whether there is the right cultural and business fit to make the project a success. Building projects take a fairly long time from inception to completion and the relationship between the client and design team will need to meet the test of time. The interview should enable the client to test how compatible their culture, philosophy and personality are with their own working methods and its project requirements. It is a good idea to meet sufficient firms to be able to gauge and measure a range of alternatives without becoming swamped by too much choice and information.
The client will want to know about the experience the firm has built up from its portfolio of work and to check whether it has any necessary sector or specialist knowledge. Does the firm have a record of project delivery on time and within budget to required quality standards? What is their approach to the design process and do its completed projects reflect the sort of design aspirations the client has for its own project? The client should ask what the firm considers to be the most important issues and biggest challenges on its project.
The client may wish to visit previous projects undertaken by the practice, as well as taking up references from previous clients. This will give the client an indication of the quality of its work and perhaps also the opportunity to discover how other clients have approached projects with similar briefs, or consider design approaches in other sectors that might effectively cross over to the client’s own programme.
Sustainability in all its aspects, ranging from energy and water efficiency to waste reduction and flood resilience, is a key element for a successful project outcome for many clients, and this is an area the client may wish to explore in greater detail with the potential members of its design team. If the client wishes to utilise specific sustainability measures, standards or certification on its project, such as BREEAM developed by the UK Building Research Establishment (BRE), LEED provided by the US Green Building Council or Passivhaus, the client will want to know about their knowledge and experience of these different design and assessment processes.
BIM
Building Information Modelling (BIM), using sophisticated computer-based 3D modelling with integrated specification, performance and cost data, is bringing about changes in the processes and working cultures of the building industry.
BIM can:
- Provide greater accuracy in design and construction planning and management.
- More efficient collaboration within the design team and between the designers and the builder and subcontractors.
- Richer data for project decision-making and post-completion facilities management.
Even if the client does not have specific requirements for BIM data, it may wish to understand the capabilities and resources that firms can offer to utilise BIM as a project tool that can improve project delivery and outcomes.
Viability
All the design and consultancy practices that make up the design team need to be able to provide adequate resources to support the client’s project, and the client should seek clarity about who will lead the project for them and which staff will be working on it. It is also important to be satisfied about the financial resilience of the firms and to be certain that they will have the resources to complete the job, so company financial checks should be made before appointments are confirmed.
Fees
The client will also need information about fee levels and the payment arrangements. The fee is a matter for negotiation and agreement; there is no standard or recommended basis for fee calculation. Fees will reflect the complexity of the project, the scope of services to be provided, the work stages for which services are required, the procurement method (traditional, design and build, construction management) and the timeframe for completion.
Working relationships
In selecting the design team, the aim is to find the best balance between technical expertise, management competence, costs, professional service and, of course, design quality. The importance of strong working relationships between the team members is also critical, as effective collaboration lies at the heart of all successful projects. ‘Selecting the Team’ is a free guidance document produced by the Construction Industry Council (CIC) that can be downloaded at www.cic.org.uk (June 2005) and provides more detailed guidance on quality based selection of professional consultants.
The project roles table and contractual tree
On smaller projects, design roles are often delete comma, with the architect, for example, providing the services of project lead, lead designer and contract administrator. For bigger, more complex projects, the design service roles may be allocated to a much larger range of different consultants, and in these circumstances a project roles table and a contractual tree can be useful tools in managing the allocation of roles and services.
A crucial early decision involves the form of building procurement to be employed, as this determines the stage at which the building contractor will become involved in the project and take on some design responsibilities:
- Traditional procurement: the design team produces full technical design information at Stage 4 (Technical Design) and the contractor is then appointed following a tendering process at the end of that stage. The contractor and/or specialist subcontractors may carry out some further design work during Stage 5 (Construction).
- Design and build procurement: tender documents are issued earlier, at either the end of Stage 2 (Concept Design) or Stage 3 (Developed Design), depending on whether a single- or two-stage tendering process is to be used. In this approach, the contractor will begin to offer input to the design process earlier in the project cycle.
- Contractor-led procurement: with this type of approach the contractor is appointed at the start of Stage 2 (Concept Design) and assumes primary responsibility for managing the design development. Contractor-led procurement is only usually employed on relatively complex projects, where the early engagement of the contractor’s supply chain and contractor management of project risk is sometimes perceived to be advantageous.
The project roles table sets out in a simple tabular format which roles are required on the project at each work stage, and which consultant will undertake those roles at each stage. The contractual tree sets out in a hierarchical diagram the formal contractual relationships between the different design team members providing services to the project. The number of roles will depend on the specific needs of each project. Early scoping of these roles is essential to ensure adequate budgets are allocated for professional fees and to enable schedules of service to be prepared. Once all of the roles are identified, an analysis can be made of who might undertake them at each stage and if some specific roles are not needed at certain stages.
It is quite likely that one firm may be appointed to undertake a number of different roles, for example:
- An architectural practice acting as project lead, lead designer, architect and contract administrator.
- A construction management consultancy acting as project lead, cost consultant and health and safety adviser.
- An engineering consultancy fulfilling the structural and building services engineer roles.
There are also circumstances when a role might move from one firm to another at some stage, for example:
- An RIBA Accredited Client Adviser might also perform services as an architect at Stage 0 (Strategic Definition) and Stage 1 (Preparation and Brief) before passing this to another practice to develop the design at Stage 2 (Concept Design).
- In design and build arrangements, one architectural practice might provide architectural design services up until Stage 2 (Concept Design) or Stage 3 (Developed Design) before another architect employed by the contractor assumes architectural design responsibilities for the later project stages.
- Similarly, a contractor’s specialist mechanical and electrical subcontractors might take over design responsibilities for building services engineering design once a design and build contractor has been appointed, and develop the initial design produced by the professional building services engineer.
For smaller projects, there is likely to be much greater aggregation of roles and design services into a smaller number of professional appointments, and passing of roles will be much less frequent. On smaller projects consultants will be providing a full service across all project stages. The RIBA has produced a template project roles table which can be downloaded free of charge as part of the RIBA Plan of Work Toolbox available at www.ribaplanofwork.com.
Setting up professional services contracts for the design team
Work should not be started by any member of the professional team until a professional services contract (sometimes referred to as an appointment agreement) is in place for the delivery of those services. As a minimum, each professional services contract should:
- Identify the parties to the appointment.
- Allocate and define limitations of responsibilities and liabilities.
- Define the scope of work (usually through a schedule of services mapped to the work stages).
- Confirm the legal framework (form of law, etc).
- Confirm the fee, method of calculation and payment (normally set out in a fees schedule).
- Set out methods of dispute resolution (typically mediation and adjudication.
- Define provisions for the termination of the agreement.
The professional services contract is designed to help the parties avoid misunderstandings and disputes, to ensure that the fees and provisions for payment are clearly defined and enable the designers to grant a copyright licence to the employer.
On very complex projects it may be necessary to engage lawyers to prepare a bespoke agreement. Negotiations will typically focus on issues such as:
- Arrangements for engagement of subconsultants.
- Provisions in relation to deleterious materials.
- Professional indemnity (PI) insurance provision and caps on liability.
- Liability periods.
- Novation of designers (in design and build arrangements).
- Joint and several liability.
- Liability periods.
- Net contribution provisions.
In general, there is much to recommend the use of standard forms of professional services contract, and it is important for clients to remember that any significant change in balance in the apportionment of liability and risk to the consultant is likely to be reflected in the fees charged. It is important to ensure that any provisions agreed fall within the cover of the consultant’s PI.
Services during the core design and construction stages – Stage 2 (Concept Design), Stage 3 (Developed Design), Stage 4 (Technical Design) and Stage 5 (Construction)
A design responsibility matrix can be used to describe the allocation of detailed design responsibilities for each element of the building and to ensure that the contractual schedules of service for each of the design team members accurately reflect these responsibilities. The schedules of service will also need to incorporate the requirements for administration of the building contract and site inspections, and reviews of progress.
Completing the project cycle
At Stage 6 (Handover and Close Out), the consultant team may provide services to facilitate the successful handover of the building, including updating ‘as-constructed’ information, certifying practical completion and the inspection of making good of defects.
Stage 7 (In Use) provides the opportunity for further services to be commissioned relating to gathering feedback on the project and assisting with the successful operation and use of the building. Post-occupancy evaluation of projects is seen as increasingly important by many clients, particularly when they are repeat clients with a portfolio of buildings and projects to manage.
The Building Services Research and Information Association (BSRIA) has developed a process, Soft Landings, designed to assist the construction industry and its clients deliver better buildings. Soft Landings aims to avoid a performance gap between design intentions and operational outcomes, for example:
- At Stage 1 (Preparations and Briefing), when expectations and requirements are set but may not be informed by experience and feedback from the outcomes of other projects.
- At the main design development Stages 2–3, when specific environmental and other performance targets are set and regulatory compliance achieved, but those targets may not be revisited or validated during Stage 4 (Technical Design) and Stage 5 (Construction).
- During Stage 5 (Construction), when budget shortfalls or value engineering may compromise the best of intentions, and variations to the building and its technical systems change how the building will be used.
- During Stage 6 (Handover and Close Out), when commissioning of building systems and user training may be rushed to meet deadlines.
- During initial occupation and use of the building, if not enough support is available to occupants and the managers to ensure the building is set up for the long term.
Getting the best from your professional team
Client Conversations is a RIBA publication that can be found in the ‘Client Hub’ subsection of the ‘Find an Architect’ section at www.architecture.com and provides insights into achieving successful project outcomes from the experiences of real clients in a range of sectors.
It presents key lessons from a number of case study projects under six headings:
- 1 Defining project outcomes.
- 2 Leading from the start.
- 3 Assembling the project team.
- 4 Project briefing.
- 5 Mitigating risk.
- 6 Handover, use and feedback.
The contents will help the client to identify the services it needs from the design team and to get the very best from them in the delivery of the project. ◼
Perspective
by Michael Darner
Good client relationships
The ideal client is knowledgeable. Someone who knows his brief in advance, understands the design process, questions and challenges concepts, makes clear, timely decisions, appreciates value but is not penurious, is well funded and, above all, is fair in all his dealings with the design team. The ideal client does not exist.
A good client, however, usually has most of these characteristics, and with collaboration and guidance with his design team is drawn into a larger understanding of what the creation of architecture is truly about.
I have always believed that the best projects are the ones in which the client and team have engaged with one another from beginning to end. The client must realise that the job of his design team is to open and explore possibilities with him. At the same time, the client needs to be able to articulate his own particular vision and emphasis for his project, as well as state the problems he knows need to be solved – both the readily visible ones and the unseen issues that might come from organisational politics, company economics or professional preferences. Knowing your client and his objectives inside-out can save an immeasurable amount of time and effort during the design process.
Hopefully this knowledge will emerge at the beginning of the relationship, and as a corollary you will begin to understand how best to communicate your ideas. Whether they are a universal quick study or a struggle to comprehend simple visualisations, each client is different in how they perceive your concepts. Your presentation may seem sensationally clear to you, but being certain that you understand how they understand is critical to moving process forward productively.
You also need to be certain that during the design process you truly understand what you are hearing from your client. Far too often we deceive ourselves with responses to leading questions we pose, looking for acceptance so we can move forward with our own agenda. Circling back and asking questions another way can help avoid the trap of ‘hearing what we want to hear’.
Assuming you have a client who has done his homework, knows how to interpret a concept and can articulate critiques of the work, the next most important issue is that your client pays you fairly, on time and with a clear understanding of what he or she is paying for. You will learn much about your client as you negotiate your initial agreements. The burden is as much on you as him, however, when it comes to defining expectations for deliverables. At the end of the day, avoiding ageing accounts receivables depends upon all aspects of the client relationship but if you have got communications right from the start, they should never be an issue.