Chapter 01
Starting Stages 7, 0 and 1
Chapter 01
Overview
This chapter provides an overview of the core objectives at Stages 7, 0 and 1 and how they impact on the project team. It will describe the range of starting points that may be relevant for projects starting Stage 7 and those starting Stage 0, and the information that may be expected to be in place for each. The core part of this chapter summarises the scope and content of each of the eight task bars in the Plan of Work, and how each of these impact on the stages covered in this book. Finally, it will provide a summary of where our sample projects should be before the start of Stage 7.
What is in The Eight Task Bars: at Stages 7, 0 and 1?
Within each stage of the plan of work there are eight task bars describing the key activities that need to be completed in order for the project to progress through the stages. The main tasks are always the core objectives, supported by a range of activities in the other task bars. It is important to understand that the Plan of Work is not intended to deal with all of the subtle and varied activities of every project – rather, that it is a guide to inform the development of focused and specific project information, and a framework for making structured progress.
A key strength of the Plan of Work is that, in one form or another, all of the core objectives and the task bars will apply to all types of project.
Task Bar 1: Core Objectives
This task bar sets out the principal activities for each stage. These will be the principal focus of each stage, and are those to start with in all cases. At Stage 7, the task bar refers to undertaking the in-use services that are the core of this stage, in accordance with the Schedule of Services. For just-completed buildings or projects, these will be the agreed post-handover services. The focus at this stage will be on the gathering of data and evidence about how the building works in use, on both a short-term and an ongoing basis.
The core objectives of Stage 0 are to work out the core requirements of a potential new project and to identify the client’s Business Case, in order to be clear that the project has a financial basis on which to proceed. The Strategic Brief will define what the project is intended to deliver, and demonstrate how it has been informed by strategic options appraisal and site identification. At Stage 1, the objectives become more specific and focus on defining the project needs and client aspirations. These tasks include developing Project Objectives (including Quality Objectives), Project Outcomes, Sustainability Aspirations and a Project Budget. A key task at this stage is to produce the Initial Project Brief, which will summarise all of this information and will provide detailed requirements and parameters. This work will be informed by Feasibility Studies and an increasingly detailed review of site information.
Strategic Options Appraisal
At a stage in a project when many things are not yet clear, strategic options appraisal is a useful way of moving things forward and helping to define what may be possible. Strategic options appraisal may consider different sites, different amounts of accommodation or very different ways of supporting the same core client question. This is not a design exercise in the way in which a specific design is considered from Stage 2 onwards; it is about exploring strategic options, site capacity and ideas, and then setting them out clearly and assessing them against a broad list of strategic client objectives.
Task Bar 2: Procurement
Procurement relates to both the project team and the contractor, and it is an area where there are a great range of alternative approaches – often related to the client and any organisational restrictions or preferences. Although there are no specific procurement-related tasks in Stage 7, it may still be relevant. The form of contractor procurement selected during Stages 2 to 4 will influence the need for any new procurement to cover in-use activities, whether these are part of an existing appointment or whether relevant members of the project team now need to be put in place.
At Stage 0, initial members of the project team start to be needed and initial considerations of future procurement are undertaken. Initial considerations of the contractor procurement options should be included in the Initial Project Brief during Stage 1, when procurement tasks include preparing the Project Roles Table and Contractual Tree that will identify the team and their relationship to the client, both for this stage and subsequent stages. The team needed to take the project forward from Stage 1 will start to be assembled now.
Task Bar 3: Programme
Programme is an important consideration in the Plan of Work, and necessary for all projects. At Stage 7 there are no specific programme-related tasks; however, the gathering and analysis of in-use information will still need to be programmed out, and may need to meet specific timeframes if it is to provide relevant information to inform Stage 0 and Stage 1 of future projects, or to demonstrate that the delivered project meets relevant regulatory requirements.
At Stage 0 the Project Programme is established in order to inform the client’s project considerations and aspirations and as part of the Strategic Brief. During Stage 1 the programme is reviewed, and may become more developed as the Initial Project Brief takes shape. The importance of the programme during these stages will depend on its importance within the project. It is always the case that Stage 0 and the Strategic Brief are completed before work commences on Stage 1. The need for a Design Programme or Construction Programme should be anticipated at this time.
Task Bar 4: Town Planning
The town planning process is a key topic within the Plan of Work, largely because of its influence on project risk and delivery and the relatively late point in a project (generally end of Stage 2 or into Stage 3) when this can be fixed. At Stage 7 there are no specific town planning tasks as these are mostly completed, and the need to consider any planning issues will relate very much to the specific needs of each project and any planning obligations that may have been placed on it.
During both Stage 0 and Stage 1, planning considerations should form part of the background work to the Strategic Brief and the Initial Project Brief. This will include a review of relevant planning policy, and may also involve pre-application discussions with the local authority. Specifically during Stage 1 town planning should inform any Feasibility Studies that are carried out and the form and type of future applications that will be needed should be considered. Some projects may also necessitate anticipation of future changes to planning policy and encompass the need for making representations to the plan-making authorities.
Task Bar 5: Suggested Key Support Tasks
This task bar describes the support tasks that are required at each stage. Support tasks are those elements of the Project Information that help map out who is required to do what, and where responsibilities and other obligations are expected to lie. During Stage 7 this is about considering the activities listed in the Handover Strategy, including Post-Occupancy Evaluation, and other methods for reviewing Project Performance and Project Outcomes. This stage may also include elements of Research and Development, and methods agreed with the client to ensure that the building works as well for them as it can do. This stage, when the project is in use, is likely to last many years, and during this time Project Information needs to be kept updated so that it can be used to inform client or user decisions about its use and operation.
During Stage 0 the key support task is to review Feedback from previous projects that provide useful background on its use or function, and which will assist as part of the strategic decision-making process. At Stage 1 a project switches from ‘what can we do?’ to ‘how should we do it?’, and this means a clear focus on anticipating project and team requirements in some detail for the first time. In some cases this information may be preliminary, but the process of setting it out is an important step in ensuring that things proceed on an informed basis. The tasks comprising Stage 1 include the preparation of Risk Assessments and the Handover Strategy, so that these inform decisions around the brief at the right time. Setting out the Schedule of Services, Design Responsibility Matrix and the proposals for Information Exchanges will help to ensure that the right services are put in place for the right members of the team. Other support tasks during this stage include putting in place the Project Execution Plan, so that the team knows who will do what, and how. The Technology and Communication Strategies will inform how team members will communicate with each other and how they will share information, including which Common Standards will be used.
Task Bar 6: Sustainability Checkpoints
The sustainability checkpoints ensure that projects are developed in a sustainable way. During Stage 7 this is about ensuring that the effectiveness of the building in operation is tested and fine-tuned, and that clients and occupants are kept up to date about how to get the best from the building. This will include monitoring energy/carbon performance in accordance with agreed assessment criteria. At Stage 0 a strategic review of client needs is carried out, and it is important that all strategic options are considered – including, with scarcity of resources in mind, not constructing a new building at all. Initial ideas for sustainability targets will be part of the Strategic Brief. At Stage 1 the sustainability targets will be confirmed and detailed in terms of environmental requirements, building lifespan and climate parameters in the Initial Project Brief.
Task Bar 7: Information Exchanges
Although each project may have different requirements with respect to the type of information to be included in the Information Exchanges, 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. During Stage 7 this relates to ‘As-constructed’ Information and Feedback on building performance. During Stage 0 this will focus on sharing and confirming the Strategic Brief; and during Stage 1, the Initial Project Brief.
Task Bar 8: UK Government Information Exchanges
This is a specific task bar for government projects, which covers Stages 0 to 6. It relates to the government’s own views on how information should be exchanged as set out in its 2011 Construction Strategy. The most notable of these for the stages under consideration relates to Stage 1 and the Employer’s Information Requirements (EIRs).
Project Performance
Project Performance is in essence a measure and assessment of both how well the building is working in use and how effective the processes of developing that building through Stages 0 to 6 were in achieving that Project Outcome. How Project Performance is shaped and presented will depend on who is using it and at what stage, from a project team reviewing their performance, to a client assessing the viability of a building – to a client and project team jointly gathering evidence to inform Stage 0 for a new project.
What are the Core Objectives: of Stages 7, 0 and 1?
The core objectives of these stages are all about ensuring that a project performs and delivers what is wanted and what is needed. To achieve this it is critical to understand what is possible, what is achievable and what can be learnt from other, similar projects elsewhere. The structured Briefing and information-gathering exercises in Stages 0 and 1 are about increasing the likelihood that what is delivered meets client and user needs and expectations, by properly understanding what those requirements are in detail and by reducing the risk that, in the end, this turns out to be a building or project that is not effective, attractive or useful.
The reason these stages are so important is that the cost of a new building or project is exclusively focused on how much it costs to run and operate and how well it supports and facilitates its core purpose and end users. The substantial cost of a building project lies not in paying a consultant to write a good brief, or in appointing a good design team or a good contractor to build it. The cost is in what happens after it is handed over and during its useful life. This means that getting this wrong, and having a building that does not perform well in any area, is an expensive mistake and one that most clients should be very keen to avoid. Figure 1.1 (overleaf) illustrates the broad proportions of cost related to different stages of a project.
These stages are different from some of the others in the Plan of Work in that they are necessarily sequential – ie, the information from one stage needs to be gathered, assessed and signed off before proceeding to the next one. This is to ensure that information is shared (or ‘exchanged’, to use Plan of Work terminology) and that this is agreed (or ‘signed off’) before things can proceed to the next stage (see Figure 1.2 (overleaf)). The importance of this is covered in both Chapters 3 and 4. This sequencing is a critical difference between the 2013 Plan of Work stages and former Stages A and B, which were essentially overlapping stages at the start of a project and which are now mostly contained within Stage 1. In this regard, Stages 7 and 0 are really pre-start stages in what has traditionally been thought of as the defined extent of a building project. Their inclusion in the Plan of Work 2013 reflects their importance in ensuring that what is delivered, and how it performs, maps well against what is needed and anticipates future client requirements.
1.1 The ratio of client related costs at different stages of a project, showing that money spent early on is very modest compared to the costs during construction phases and in particular when the building is in use. Money spent well early on can result in real savings later on in a project and most importantly through having an effective building In-Use.
At the heart of each of these three stages is the need to understand the function and purpose of the intended building or project, and how the client or other end users need to use it. This happens in Stage 7 through the collection of in-use information, in Stage 0 by understanding the client’s strategic needs, and then in Stage 1 by understanding their detailed needs and considerations. These stages all include analysis of this information, and Stages 0 and 1 include testing of further project or site information as required.
1.2 7, 0 and 1 – the three stages of review and Briefing, each with a distinct core purpose and a need to complete key milestones before moving forward.
‘Need’ when related to building projects encompasses a very broad set of considerations, and therein lies a substantial amount of the complexity and skill involved in setting up a project properly. In each of these stages, these considerations must be about more than just the obviously quantifiable requirements and measurable criteria, such as space standards and cost targets, that often feature in simple project briefs and in use data. Rather, these stages are also about qualitative, behavioural and performance criteria that affect, for example, how a building will influence its end users, how much it will cost in use, its actual (rather than predicted) impact on the environment, its ‘esteem’ value for the client and its ability to be flexible over time and as needs change. Skill and experience in understanding, testing and anticipating the broadest considerations of need will be required. Most clients will need specialist support and advice to help them through these stages.
Although none of these stages are about actually designing a building project, they are about setting up the conditions to support good design. The value of design in delivering a good response to a brief, in exceeding client expectations in terms of how a building makes the users feel and in using the evidence delivered in Stage 7 to shape how a new proposal functions are all supported by the processes set out in the Plan of Work. Stages 7, 0 and 1 are about setting up the right conditions for good design, good delivery and good long-term stewardship.
Why Stages 7, 0 and 1 Support High-Quality Outcomes
The Plan of Work is a highly flexible tool supporting all building types, budgets and project structures. The specific processes in the Plan of Work support the delivery of projects that meet client and user objectives well, and this will result in better buildings than if such things are left to chance. Stage 1 specifically identifies the need for Quality Objectives that encourage a focus on achieving high-quality design, and which ensure that these objectives are discussed early on in the briefing process.
What Comes before, what Comes after: and why it’s important
The context for projects varies based on a range of factors, for example some projects are part of a continuous cycle of building review, replacement, renewal and growth ‘starting’ at Stage 7, whilst others may be entirely new projects for first-time clients that can only realistically commence at Stage 0. This context affects the purpose and role of Stage 7.
A key element of any of the stages of the Plan of Work is considering the work that was undertaken in the previous stages and ensuring that relevant information about the site, the project team (including the client) or any completed studies or reports is properly handed over, recorded, shared and validated prior to the commencement of the next stage. Just as important is what happens at the end of each stage, and making sure that any outputs or Information Exhanges are understandable, clear and comprehensive in order to support the successful transition forward, and are signed off by the client and other relevant stakeholders.
The interaction between Stages 6 and 7 and between Stages 1 and 2 needs careful consideration, as they are key transition points (see Figure 1.2). In particular, these are points at which a project team may change or expand, and the task of managing this change needs to be well handled. At this stage too the high-pressure demands of a project can mean that a client’s focus on getting things started, or the excitement of handing a building over to its end users can make some of the Stage 7, 0 and 1 tasks seem unimportant and easily left out. As is set out in this guide, Stages 7, 0 and 1 are critical in ensuring fully resolved, efficient buildings that meet the needs and objectives of the client, and that work well for their end users.
Following on from Stage 6 Handover and Close Out
At some point in the transition between Stage 5 Construction to Stage 7 In Use, the contractor’s role and the roles of the majority of the project team working with them is completed. In order for a client and end user to get the best outcome value from the project, a regime of facilities management and continuous review should be implemented to ensure that the building remains effective, optimal, retains its value and best serves the needs and requirements of its occupants. The scale and rigour of this stage and the transition between Stage 6 and Stage 7 will need to be suited to each particular client, building and its end users. Sometimes this is a smooth transition that was envisaged and planned early on in a project; at other times it may only be properly picked up later on, once the client realises that a rounded and evidenced understanding of their asset in use is of value to them. Sometimes this realisation comes as part of a broader performance review of a portfolio of properties.
Outcome Value
The outcome value of a project is how well the delivered project (the outcome) meets the needs and aspirations of the client and end users. This relates to how well it fulfils the brief, and how accurately and effectively the brief has defined the client and user needs.
Looking forward to Stage 2 Concept Design
The transition from Stage 1 Preparation and Brief to Stage 2 Concept Design is also important, because it is about moving from analysis to design. It can seem like it won’t do much harm to move forward to the design stage before Stage 1 is complete, and it may seem like a good idea to start anyway and to catch up with the briefing information once the design work is under way. However, this is not a good idea and will often lead to abortive work and delay. The critical things to consider are the amount of information that can be decided and agreed at briefing stage, and ensuring that, as far as possible, the information that the Stage 2 project team will need to proceed is all in place. Change happens on all projects, but securing good, timely outcomes needs to be a managed process and not one left to chance.
Managing stage transitions
The main chapters of this guide cover the key milestone issues related to the successful start and completion of each of the work stages.
At each stage there are common questions that it can be helpful to consider:
- Do I have all of the information I was expecting from the previous stages?
- Have I identified what is missing, and whether it may be available?
- Is it clear how client decision-making has been supported by this process, and which information the client has relied on?
- Is the client clear about what has been done, and what to expect next?
- If there are gaps, how can these be covered and is it clear whether the previous stage was fully completed?
- Is the information I am providing at the end of this stage sufficient to allow the appropriate members of the project team to move forward? Are any gaps, and the reasons for them, clearly identified? Should they be defined before moving on to the next stage?
Chapter 01
Summary
This chapter sets out the content of the task bars for Stages 7, 0 and 1. It explains the core objectives of each stage; how these relate to the other task bars that support them; and the importance of ensuring that they are sequential, agreed and fully complete before the design work itself begins in Stage 2. It explains the importance of, and difference between, the roles of the Strategic Brief at Stage 0 and the Initial Project Brief at Stage 1.
The chapter sets out what to consider at the end of Stage 6 that will influence what happens next, and the importance for clients that they know what is happening when a building is finally fulfilling its intended purpose. It sets out what needs to be considered before the handover to Stage 2 and the importance of a really clear well-considered brief and robust project information before design work commences.
In the following chapters, we will learn more about each of the stages, starting with Stage 7.
Scenario Summaries
WHAT HAS HAPPENED TO OUR PROJECTS BEFORE THE START OF STAGE 7?
A A Small residential extension for a growing family
Prior to the handover meeting a final inspection of the works is undertaken by the architect. The works are complete and to a satisfactory standard. The handover meeting takes place, and the client is guided through the operation of the equipment installed in the extension. The Practical Completion Certificate is issued, along with half of the retention monies.
The architect makes a photographic survey of the completed building for their records. The contractor hands over the keys and agrees their final account with the architect, in the latter’s role as contract administrator.
The client moves in and starts to use the building. After four weeks, the architect visits the client to check that everything is working as expected and to get some initial feedback from them on the performance of the building. It is working better than everyone expected.
B Development of five new homes for a small residential developer
The houses are handed over to the developer, together with the keys and the final meter readings for all the utilities. The developer insures the buildings until they have completed the sale of them all and passed them on to the new owners. The contractor remains on site to work systematically through the rectification list, with a view to completing the items in five weeks. The design team return to site for an additional final inspection once the works are complete.
C Refurbishment of a teaching and support building for a university
The building reaches Practical Completion, and the novated design team issue a collateral warranty in favour of the university. Because the design team only had a limited involvement with the site works, their ‘As-constructed’ Information is issued as record drawings of their tender information to the contractor, who updates them with information from their specialist suppliers before issuing them in their Health and Safety File.
The design team agree with the client that they can return for feedback throughout the rectification period, to obtain useful information on the performance of their design. There is no direct commission for this work, so the design team must agree a retainer with the university.
D New central library for a small unitary authority
The client’s design team are retained for four weeks by the local authority to assist with ensuring that the building is set up correctly for use. In particular the mechanical engineer is based on site to balance the Building Management System (BMS) and ensure that the BIM model is working in collaboration with the BMS.
The client completes the book stacking during the four-week operational readiness period, and uses this time to learn how the building is supposed to work. The architect visits site regularly to brief the staff on the proposed operation of the building.
The contractor’s design team issue collateral warranties to the client for the work they have completed.
E New headquarters office for high-tech internet-based company
The client accepts the building from the management contractor, and commences the move from their old offices. The design team take a full photographic record of the building at the point of Practical Completion, and issue this along with their ‘As-constructed’ drawings and models. These are subsequently used to settle a dispute over damage created by the removal company installing the furniture in the new offices.
The internet company’s maintenance team hold a series of workshops with the design team in order to understand how the building works. The targets for the building’s performance in use are explained, and the architect and services engineer are commissioned to undertake regular reviews of the building’s performance in use. The first report is due after three months’ operation, together with a rebalancing exercise on the BMS.