Chapter 01
This chapter provides an overview of the core objectives at Stages 4, 5 and 6 and how they impact on the project team. It will describe how far the design should have progressed by the end of Stage 3 Developed Design, and what information is required in order to achieve a successful start to Stage 4 Technical Design. It will detail what to expect with regard to the Cost Information at the end of Stage 3, and what the status of planning permission should be at this stage. Finally, it will review what the design team should expect to receive in the Information Exchange at the end of Stage 3, and provide a summary of where our sample projects should be. Under each stage, there are eight task bars describing the key activities that need to be completed in order for the project to progress through that stage. In this task bar the core objectives and the principal activities for each stage are set out. At Stage 4 it refers to the preparation of Technical Design in accordance with the Design Responsibility Matrix (DRM) and the already established Project Strategies. Once all the specialist subcontractors are appointed the DRM can be checked and updated if necessary. At this stage reference is also made to completing the Technical Design, including all the work of the specialist subcontractors in accordance with a Design Programme. The core objectives of Stage 5 include the resolution of any Design Queries and the construction of the project in accordance with the Construction Programme. At Stage 6 the core objectives are to hand over the building and complete the Building Contract. The RIBA Plan of Work 2013 has a pull-down list of alternative procurement choices, which contributes to the creation of a bespoke Plan for each project. The options available are:
The decision on the preferred procurement route may be taken at the very outset of the project, but should be determined no later than Stage 2. If the chosen procurement route is single- or two-stage design and build, some of Stage 4 may be incorporated in the Contractor’s Proposals. If the chosen procurement route is traditional, then Stage 4 Technical Design information will need to be complete before the project is tendered. In Chapter 2, there is a description of how to deal with tender action for this method of procurement. The stages of the RIBA Plan of Work 2013 are generally sequential, and follow the progression of a project from commencement to completion and beyond. The Project Programme, established at the start of the project, describes the duration of each stage and in general terms should not require updating at Stage 4. In some instances the stages may not be sequential – but rather, Stages 4 and 5 may overlap. This is particularly prevalent in management contracts, in which the work is often tendered in packages. Within a bespoke RIBA Plan of Work 2013 the Project Programme option is determined by the procurement route selected, reflecting the fact that procurement fundamentally frames the Project Programme and that stages might overlap. When to submit for planning is a further option in enabling the customisation of the RIBA Plan of Work 2013. This can occur during Stage 2 or Stage 3 (the latter being the recommended stage). During Stages 4 and 5 the only planning matters to be dealt with will include discharging the specific conditions attached to the planning approval. On most projects it would be unusual for Stage 4 to commence before planning permission is obtained. This task bar describes the key support tasks that are required at each stage. During Stages 4 and 5 one of the main support tasks is to review and update all the project strategy documents. This ensures that buildability, health and safety, maintenance, operation, sustainability and handover are all considered. In addition, at Stage 4 all the remaining approvals are to be obtained, such as that for Building Regulations. At Stage 6 the project team carry out the activities listed in the Handover Strategy. The sustainability checkpoints ensure that the project is developed in a sustainable way. At Stage 4 the team prepare the Building Regulations Part L submission, together with the future climate impact assessment once all the systems and operating protocols are established. Details are audited for airtightness and continuity of insulation. In addition, the maintenance team should be consulted on the environmental control systems to be adopted. Although each project may have different requirements on the type of information to be included in the Information Exchange, knowing what the expected deliverable is will ensure a successful outcome to the stage. This task bar provides guidance on the type of information to be included. This is a specific task bar for government projects. It recognises that, as a client, government does not need to be involved in all Information Exchanges. Specifically with regard to this guide, once a government client has received and approved the information at the end of Stage 3, they do not require further information until the project is ready for handover.1 The DRM will be completed at Stage 1. It will define the interfaces between areas of work and clearly establish who is responsible for each area. The design team will base their fee on this schedule of responsibility, making sure that their role is defined and priced correctly. An early engagement with the contractor may have an impact on the DRM prepared by the design team. The contractor may prefer to procure certain packages from suppliers who do not have an in-house design capability and who may turn to the design team to complete the design. In these circumstances the design team will be able to use the DRM to establish with the contractor that this additional scope will demand further fees, or a reduction. By the time Stage 4 in the RIBA Plan of Work 2013 is started, all the major design decisions will have been made and the relationship between many of the different building components will be fixed. The design will be coordinated and aligned with the Project Budget. The core objective of Stage 4 is to turn the Developed Design into a comprehensive set of Technical Design information that will enable the contractor to undertake construction. The information can also be used to form the basis of information for the handover of the building and to facilitate the operation of the building. This information is completed by the design team and supplemented by the Technical Design information prepared by the specialist subcontractors. The lead designer has a major role to play during Stage 4. As the project team grows in size there are more detailed interfaces to coordinate, and the work of the specialist subcontractors needs to be integrated into the design information. The project lead will need to ensure
that this specialist input is available at the right time, and completing the Design Responsibility Matrix at Stage 1 will ensure that this happens. The Design Programme, started at Stage 2, will be updated to reflect the level of detail to be produced at this stage. The Design Responsibility Matrix, developed at Stage 1, may also be updated at the commencement of Stage 4, and this will be utilised to ensure that everyone understands their role in the team. By the time Stage 5 Construction is reached, the work of the Design Team will be complete. This is the culmination of the design stages, and the lead designer will pass on the responsibility for the Project Information to the contractor. During this stage the design team will continue to answer any Design Queries from the contractor. These will arise because, despite advances in design software ensuring that design information is coordinated at the end of Stage 3 and integrated at the end of Stage 4, it may require interpretation should unknown site conditions be encountered. In addition to answering Design Queries, the design team may be engaged to inspect the works. The benefit of the original designers undertaking inspection responsibilities is that it will enable them to ensure that the required quality is reached as well as anticipating potential problems. However, if novated to the contractor under a design and build contract this is not usually the case. The contractor or client may use Stage 5 to ensure that the role of those responsible for inspections is comprehensive and covers the inspection of any work off as well as on site. This may involve the design team visiting manufacturers in remote areas, but it will pay dividends when products arrive on site with no defects. Before Stage 5 is complete the construction lead will instigate the handover process associated with Stage 6 Handover and Close Out. This will start before construction completes, as equipment must be commissioned and any defective workmanship corrected prior to handover. With Practical Completion the contractor will pass on the building, the ‘As-constructed’ Information and the user guide to the client. At this stage the client takes control of the building and prepares for occupation (part of Stage 6) and Stage 7 In Use. The RIBA plan of Work 2013 prescribes that by the time the end of Stage 3 is reached the design will be coordinated, the Concept Design validated and a number of key decisions will have been made. It would be appropriate to expect that the key aspects of the project are defined, that the rules for the integration of the design are established and that all elements that are fundamental to the predictability of cost, construction and operation are fixed. To develop a truly coordinated design it is necessary to progress the mechanical and electrical design from the diagrams of intent, often produced by engineers at Stage 3, into information showing sizes and locations of all but the most minor pieces of equipment. The designers will also have considered all safety issues that may arise during the construction, maintenance, operation and demolition of the project. Any permanent mitigation solutions will be embedded in the design for the project. The information available from the design team at the end of Stage 3 should include either drawings that enable the project team to understand the layout of the building, the systems (such as those for cladding, walls and ceilings) that form the building and the major components within them, or a Level 2 Building Information Model conveying the same information.
Level 2 BIM requires the production of 3D information models by all key members of the collaborative project team. The final model will be formed of separate models prepared by individual disciplines (architectural, structural and mechanical). The lead designer will provide comments on all models to ensure that the information being presented is robust. By the end of Stage 3 these individual models will be combined into a federated model in a common data environment. The level of design information should include the following:
1.1
Illustration showing how all the systems and components come together at Stage 3. The illustration at Figure 1.1 shows that:
As part of the briefing process at Stage 1, a Project Budget will be set. As the design progresses through Concept Design and Developed Design, the design team will produce a design that meets the Project Budget. To help them achieve this, the cost consultant will prepare regular construction cost estimates. At the end of each stage the latest construction cost estimate will be reconciled with the Project Information and signed off by the client. By the time the project reaches the end of Stage 3 the design will be fully coordinated and a great deal will be known about the materials and finishes chosen. The construction cost estimate should now have changed from a square-metre calculation used at the outset of the project, to an elemental cost plan.
An elemental cost plan gives the individual costs for all the major components of a building – eg walls, floor, ceilings. It enables the design team to design to cost, and enables the cost consultant to identify those items that appear expensive when compared to elemental cost plans of other similar buildings. It ensures that the design team and the client focus on areas where savings can be achieved. As Building Information Modelling progresses into Level 3 it will be possible for the design team to reference similar building cost plans and interrogate their own building model to keep the project on budget. It is important that the cost consultant uses his of her experience to develop a realistic cost for the building, as not all the detail will be illustrated in the Project Information at this stage. In addition, a contingency figure should be included within the estimate. In general, it is practical to assume that the building cost estimate at this stage is within 10% of the final cost.
Whole-life costing is a means of comparing options and their associated cost over a period of time. Costs to be taken into account include both initial ones such as design, construction and installation costs and future ones such as operating costs, rent, rates, cleaning, maintenance, repair, replacement and demolition. Only options which meet the performance requirements for the built asset should be considered.
The design team may have already considered the impact of whole-life costs on certain elements of the design. This is where the cost of maintenance is considered alongside the capital cost of the building. The Maintenance and Operational Strategy will be formulated during Stages 2 and 3, and this should enable the team to consider the costs of these activities. In some instances the client may wish to increase the budget in order to improve the specification of aspects that will reduce running costs.
In our small house extension, the owners could install an enhanced boiler for an extra £1,000. The advance boiler produces a reduced running cost of £100 a year, therefore the payback period is ten years. The family believe that they will move in around five years’ time, so on these grounds the expense may not be justified. However, the boiler improvement impacts on the overall environmental performance of the house and this could improve the selling price, allowing them to recoup the extra cost later. Providing the client with quality information is key to this design decision, and based on the information provided the family elect to put in the enhanced boiler. Any whole-life costs studied during Stage 3 should be included in the cost plan at the stage’s Information Exchange. This will ensure that the project team, at Stage 4, do not waste time revisiting decisions already determined, and that any value-engineering studies taking place during Stage 4 are well informed. A systematic and organised approach to provide the necessary functions in a project at the lowest cost. Value engineering promotes the substitution of materials and methods with less expensive alternatives, without sacrificing functionality. At the end of Stage 3 the design will be sufficiently detailed to prepare a full planning application. Generally, before Stage 4 is commenced this application will be determined and planning permission will be achieved. The approved planning information, together with the Design and Access Statement and any other supporting documentation such as an Environmental Impact Assessment, should be included in the stage Information Exchange. In addition, it is usual when planning is granted that a number of conditions are imposed on the project. These conditions will be discharged by the project team during Stages 4 and 5. The RIBA Plan of Work 2013 allows the team to select when they wish to submit for planning approval. It is conceivable that a number of clients will prefer the end of Stage 2 as the submission point. This would allow them to reduce the cost of the design team, but could be a false economy. At the end of Stage 3, much more is known about the content of the design. Any plant equipment on the roof will be fully understood; materials and products can be sourced against the Project Budget. By waiting until Stage 3 the planning drawings can be more accurate in terms of scope, materials, textures and colours. If these have not been adequately covered in the application at Stage 2 it will be necessary to revisit the planners with amendments, and a significant deviation could result in a new application being requested. Once all the tasks in a stage are completed, the project team prepare the information for handing on to the next stage. This is an important gateway as all the information should be complete before the next stage can commence. It is good practice to ensure the client signs off the design at these gateways, so that the RIBA Plan of Work 2013 stages are respected and abortive work is avoided. Within the Information Exchange at the end of Stage 3 Developed Design, it should be possible to review the following:
On many projects there is a requirement to complete the building as quickly as possible. Moving at speed increases the risk that the design will not be fully resolved before construction has commenced. Even though it may be possible to overlap the start of Stage 4 with the end of Stage 3, this can only be achieved if the information is produced in packages or work sections. This will result in a sequential completion of Stage 3.
Let us look at the development of Scenario E, our high-tech office building. As the building is required to be completed in a short period of time, the client has adopted a management contract for the project. Before the design team have finalised the interior design for the building, the contractor wants to start the foundations and superstructure. By dealing with each element as a package it is possible to achieve this. As the design reaches the end of Stage 3 and is coordinated, the structural engineer can commence Stage 4 on these early packages. Of course, the risk to the design team is that as the Developed Design is completed more becomes known about the building, which may affect the structure and result in abortive work. The potential for these risks to occur should be highlighted to the client before this kind of acceleration is commenced. To mitigate these risks the lead designer can adopt a robust design strategy, which either incorporates flexibility in design – such as by allowing adequate zones for services development – or versatility in design by understanding the constraints that need to be adopted. The diagram in Figure 1.2 illustrates the following:
1.2
An overlapping design and construction programme. We are now in a good position to commence Stage 4. We have explained what to expect at the end of Stage 3: what the status of the Developed Design information should be, and what to expect in the Information Exchange. Once we commence Technical Design we do not expect to revisit design decisions taken throughout Stages 2 and 3, so it is important that the client signs off the end of Stage 3. When dealing with a complex client consisting of multiple stakeholders, this is best done through an end of stage presentation. In all instances a good Developed Design report will capture all the decisions made by the design team in producing the building design. In the next chapter we will examine what happens at the start of Stage 4. WHAT HAS HAPPENED TO OUR PROJECTS BY THE END OF STAGE 3? The design team have completed coordinated design. A full planning application is prepared and submitted to the local authority. In line with the traditional procurement route the architect has started to sound out the interest of local builders to tender. A number have full order books and the architect has been contacting colleagues to find some other suitable builders as well as taking references to provide to the client. The developer obtained planning permission at Stage 2, so where the design has changed slightly during Stage 3 the architect has had to resubmit it to the local planning officer for approval. Fortunately the changes were minor in nature, and the planning officer was able to approve the changes himself through delegated powers. The developer has continued to drive down the budget for the scheme through amendments to the outline specification, but has eventually signed off the design and the cost plan. The developer has confirmed that a traditional contract is the preferred procurement route. The university have elected to procure the building through a single-stage design and build contract. The contractor has been selected and the design team have been novated. Initial surveys to open up the existing fabric have been undertaken and the design team have used this information in the development of a coordinated design. There are still some areas of concern that the design team were unable to examine prior to construction, and these have been included in the risk register. An enhanced contingency figure has been retained by the university to cover the cost of any unforeseen works that may come to light in Stage 4. The client’s design team have worked closely with the contractor’s design team throughout Stage 3 to ensure that the Project Objectives are being met. The contractor has finally been appointed under a two-stage design and build contract after finalising the method of construction and firming up his lump-sum price. Working through Stage 3 has enabled the contractor to influence the method of construction, and the external envelope is to be prefabricated off site. This has enabled the contractor to offer a reduction in the Stage 5 Construction Programme. A fully developed design report, together with a fixed lump-sum price for the works, has been prepared and signed off by the authority. The specification is an outline one at this stage, although the client’s design team have obtained confirmation from the contractor on 80% of the proposed materials and finishes. Which are included in the Contractor’s Proposals included in the Building Contract. The client signed off the design at the end of Stage 3 and submitted for planning permission. Because they are keen to progress the project quickly, they instructed the commencement of Stage 4 before planning was obtained. The work is divided into 15 different packages so that work can commence sooner on the earlier packages. The construction manager produces a cost estimate for the project that is within 10% of the budget. He market-tests some of the major packages such as cladding prior to Stage 4 commencing. The Handover Strategy is developed in detail with the client, as they wish to fit some of their own equipment in the building towards the end of the project.Starting Stages 4, 5 and 6
Chapter 01
Overview
What is in the Eight Task Bars: at Stages 4, 5 and 6?
Task Bar 1: Core Objectives
Task Bar 2: Procurement
Task Bar 3: Programme
Task Bar 4: Town Planning
Task Bar 5: Suggested Key Support Tasks
Task Bar 6: Sustainability Checkpoints
Task Bar 7: Information Exchanges
Task Bar 8: UK Government Information Exchanges
What are the Core Objectives: of Stages 4, 5 and 6?
Using the Design Responsibility Matrix at Stage 4
How far should the Design have: progressed by the time Stage 4 is reached?
Level 2 Building Information Model (BIM)
What to expect in the Cost Information at the end of Stage 3
Elemental Cost Plan
Whole-Life Costs
Whole-Life Costs on a Small House Extension
Value Engineering
What should the status of planning be at the end of Stage 3?
What if planning was submitted at the end of Stage 2 Concept Design?
What should be Included in the: Information Exchange at the end of Stage 3?
Overlapping Stages
Chapter 01
Summary
Scenario Summaries
A Small residential extension for a growing family
B Development of five new homes for a small residential developer
C Refurbishment of a teaching and support building for a university
D New central library for a small unitary authority
E New headquarters office for high-tech internet-based company