What is Stage 7 in Use?

Stage 7 In Use is a renewed and substantially expanded stage in the Plan of Work 2013. It is unique in that it can be both the first and last stage of a project, depending on how it is used, completing the circular process of planning, designing, constructing and use over time. Stage 7 is the organised study and analysis of a building in use, and includes all aspects of that building and the uses taking place within it.

At the end of Stage 5, the project moves toward independent life. At Stage 6, handover is completed and the client and users live and work with it. Stage 7 In Use is when clients and users, and project teams, discover:

• How well the building supports the needs and desires of all its stakeholders.
• How easy and sustainable it is to operate, maintain and understand.
• Specifically, how well it accommodates the requirements of an organisation or, for example, the lifestyle of a family.

These are the true measure of the success of all the preceding stages, 0 to 6 inclusive – yet historically, and still all too commonly today, project teams are not engaged to return to projects post-Stage 6 unless there are specific claims or defects to resolve, or externally set performance targets. Indeed, it would seem that few clients ever assess or analyse how well their building performs for them or benchmark it against the objectives they had for it at the outset. Stage 7 addresses this disconnection.

Stage 7 is also when the long-term cost and function of a building is assessed, which in turn affects its viability in terms of whether:

• It is still suitable for the stakeholders.
• It is sustainable.
• It offers value in operation.

Such assessment critically informs work on Stage 0 Strategic definition, whether used to inform a new project or to assess the ongoing viability and purpose of an existing building. It is when critical questions are asked, such as:

• Can or should the building be modified?
• Can or should it be refurbished?
• Can or should it be repurposed?
• Is it time to demolish?

The stage provides robust real-world evidence, allowing clients and project teams to make better-informed decisions.

Because it is running during the entire life of a building, Stage 7 is the longest stage. Over such a period, much can be learned; this should be recorded as asset information and also used for Research and Development. It constitutes a review of the building in the form of building performance evaluation (BPE) correlated with an assessment of the impact on user wellbeing and use effectiveness. For example, it could reveal that a building is very energy efficient yet the users are frequently uncomfortable. It is important to understand both how the building is performing and how well it is supporting the needs and desires of its users and operators.

BPE focusing on internal environmental quality and energy have been undertaken for a number of years. The Building Services Research and Information Association (BSRIA) runs the initiative supporting a specific process called Soft Landings for the design, construction and commissioning, and the initial period of operation, of building-services systems. Stage 7 provides the opportunity to integrate this proven effective process into the wider review, study and analysis of a building in use, which includes all aspects of the building and the uses occurring within it.

What Happens at Stage 7?

Although Stage 7 applies to the entire useful life of a building this does not necessarily mean constant activity. Rather, it is likely to comprise targeted interventions at specific intervals, although data on aspects of building performance may well be collected constantly. When undertaking a Stage 7 process, one of the first activities is to develop and agree what such targeted interventions will review, at what frequency, and what data is or could be made available and for what purpose.

For example, on a domestic property this might involve reviewing energy use and comfort levels over changing seasons, whilst in a large, complex building such as a hospital, it would involve assisting and informing the facilities-management team who operate the building for the benefit of medical users and patients alike.

2.1 Feedback and feedforward are rooted in Stage 7 and converge in Stage 0.

The tasks and activities undertaken during Stage 7 are generally the same whether they are performed at the end of a project or to inform the start of a new project, however context for these changes dependent on whether they are performed after Stage 6 or before Stage 0.

What do we Mean by a ‘Building in Use’?

Initiatives such as Soft Landings and CarbonBuzz (both explained later in this chapter) highlight issues of the performance gap between building-systems targets and the actual energy consumed. Stage 7 takes an even wider view of the issue, and looks at all aspects of a building’s performance and its users, taking a whole-system approach. A building in use can be understood and described as a ‘complex adaptive system’.

2.2 A patient-centric hospital viewed as a complex adaptive system showing the factors influencing its performance.

For example, many domestic environments are controlled with simple thermostats and heating systems turned on and off by a timer clock. Such simple systems have no direct connection with external environmental conditions or variations in occupancy and user behaviours. A colder than expected morning could mean that occupants wake to a cold house, so they adjust the thermostat. During the day, temperatures return to seasonal norms but the thermostat is not adjusted back, and the following morning the home is too hot. Thermostats are not designed to be used as a switch, yet frequently they are used as such. Such reactive actions can all too easily trigger a chain of unintended consequences, impacting users’ comfort, wellbeing and the real and perceived effectiveness of a building.

At the time of writing, we are entering the era of the Internet-of-Things, Sensors, Big Data and Machine Learning. The ways in which people interact with buildings is changing fast, both at the scale of ‘smart buildings’ and ‘smart cities’. These technologies enhance insight and understanding of how buildings work ‘in use’, making analysis and responsiveness easier, and improving insight into actual human behaviour through both quantitative and qualitative data. As these technologies become ever more pervasive, so will the insight available from data and the potential impact of Stage 7, from its application to a family home through to the most complex of buildings.

The Performance Gap: Why Don’t Buildings: perform in use as indicated in the brief?

The performance gap is when a building’s performance is not that predicted during design. This can manifest itself in a variety of ways, but some of the most obvious include unexpectedly high utility costs and fluctuating, uncomfortable internal environments. Some matters will have become evident and been resolved during stage 6, but others may not show up until later and can persist for much of the life of a building. Performance gaps that relate to specific Project Outcomes not being optimally met may negatively impact on productivity in an office building, learning in a school or wellbeing in a home. Such gaps will almost always only become apparent over time, or indeed may not be apparent until specific studies or a review are undertaken.

During Stages 0 and 1, a building users’ needs are established. During Stages 2 or 3, when the project team develop design solutions to meet these needs, a cause of subsequent performance gap can manifest itself from decisions made without reference in-use data. Problems may appear later, in Stages 4 and 5. Value engineering by contractors or subcontractors can have a major effect on system efficiency and ease of use. What appears to be a saving on capital expenditure can (and, all too often, does) result in a building that may have been cheaper to construct but is significantly more costly to run and/or negatively impacts on the users and erodes the value of the Project Outcome that caused it to be built in the first place.

Stage 7 addresses this gap through feedback review that reveals the cause of performance gaps in buildings in use. It can address problems in an existing building – or, as feedforward, inform future projects.

Therefore, to mitigate performance gaps Stage 0 and 1 should always be informed by Stage 7 evidence. Then all subsequent decisions during design and construction should be made with this knowledge and insight. Doing so will firstly avoid repeating known performance-gap-inducing decisions and, as the Stage 7 knowledge base grows, result in better-performing buildings that are Project Outcome focused.

Stage 7: The Value for Clients

Stage 7 provides value for clients because it helps them understand how their asset is working for its intended purpose, through insight and knowledge of how well their building works and how best to operate and use it. A continual, regular review process can greatly assist a client in understanding the effectiveness and appropriateness of a building to support their and the building users’ needs and wants. It assists better-informed decisions, whether a client is considering a new project or looking to ensure optimal Project Outcomes from an existing building.

2.3 If Stages 0 and 1 are done poorly or inadequately, resultant costs are likely to rise and be unpredictable – with a resultant loss in value.

Deciding to start a new project and to progress beyond Stage 0 is a big step that involves considerable financial commitment, and the expenditure of time and resources. Good Stage 7 information provides the evidence to support sound decisions and helps ensure the decision is made and the information informing those decisions is comprehensive and robust. The best decisions are made with the best information.

2.4 If Stages 0 and 1 are done robustly, resultant costs are appropriate and as planned – with a resultant net gain in value.

During a building’s lifetime, the Stage 7 value lies in optimising and refining its operation to best suit the client’s Project Outcomes and their ongoing and potentially evolving requirements.

Such knowledge should be captured in the evolving asset information (based on the previous Project Information), which over time will become ever more valuable to building owners, operators and users alike. Asset information can greatly assist with ongoing maintenance, repairs or substantiating warranty issues in addition to scheduled routine cleaning, maintenance and replacement regimes. It is conceivable that, just like a second-hand car that has been maintained and serviced regularly retains more value than one that has not, the same will be the case for a building.

Hence, Stage 7 also is the correct and logical point of reference for financial decisions about the relationship between capital and operational expenditure, and for assessing the true value of a building.

Stage 7 is not an Entirely New Stage

Prior to the Plan of Work 2013 this post-project work stage existed as Stage L ‘Post Practical Completion’. This consisted of:

• L1 - Administration of the building contract after Practical Completion and the carrying out of final inspections.
• L2 - Assisting the building user during the initial occupation period.
• L3 - Review of project performance in use.

However, in practice the main focus of this stage was contractual, and was undertaken by a contract administrator without the input of designers or other members of the project team who had been involved in the Briefing or design stages of a project. Stages L2 and L3 were, all too often, token gestures – if done at all. Certainly, it was uncommon for output from these stages to inform subsequent projects. Much of the former stage L1 is now within Stage 6. L2 is effectively the transition from Stage 6 into Stage 7, which builds upon and expands the former Stage L3.

Who is Best Placed to Undertake Stage 7?

Stage 7 is client- and end-user-focused, comprising the study, analysis and diagnosis of a building in use. As the awareness and benefit of the value of Stage 7 grows, the diversity of experts involved is likely to expand – along with a growing interest and willingness of Stage 2–6 project teams to proactively engage in Stage 7 activity. Expertise in architecture and building physics is necessary, but those professions with understanding of human behaviour, both physiologically and psychologically, are becoming increasingly relevant. As Big Data becomes more prevalent in buildings, experts in data collection and processing will also be likely members of the project team for Stage 7.

Although it is typically a client who will instigate and support Stage 7 activities, there is huge opportunity for project teams to offer periodic review of a building that they designed and constructed. Such reviews provide valuable material for Research and Development, promote ongoing client relationships and may well lead to future project opportunities.

The client and users are therefore at the heart of this stage, and it cannot be undertaken without them. Clients may set the agenda for Stage 7, but in many cases they will need support and advice to get the best from this stage and to understand the tools and methods most appropriate to their circumstances and needs. Services provided by a project team or specific advisors should be provided in accordance with the Schedule of Services, agreed as early as possible in the project.

There are many different types of client, and an even greater diversity of building types and users. Who or what a client is – an individual or an organisation – and the end users that their building accommodates will determine the services appropriate at Stage 7. Sometimes this work is carried out in-house within the client organisation, at other times it will need other project team members. It is vital to have a clear understanding of some of the challenges and activities that building owners and operators face.

For instance, the client at Stage 7 might be:

• The end user of the building or project (eg a householder or a business).
• An individual or an organisation wishing to develop a building for the use of others (a developer).
• The owner of a site wanting to find a viable and deliverable use for it (a landowner).

On a domestic project, the owner-occupier will undertake the vast majority of Stage 7 tasks personally – but may require, and will certainly value, support and advice from their project team. There is an ever-growing availability of IoT devices, such as smart thermostats, that allow households to better operate and control their environments to suit their needs. Energy suppliers are also providing such technologies as an incentive to existing and new clients.

As the task of operating and maintaining a larger building has become more complex and time consuming the discipline known as facilities management (FM) has evolved. By definition, FM is the practice of coordinating a physical workplace with the people and work of an organisation. It integrates the principles of business administration, architecture and the behavioural and engineering sciences. The opportunity offered by Stage 7 here lies in linking the skill and knowledge of those who operate and manage a building with those who design and construct it.

What are the Core Objectives of Stage 7?

The core objectives of this stage are to undertake comprehensive building-performance evaluation (BPE) combined with Post-Occupancy Evaluation (POE). Both are tried and tested process methodologies that are instrumental in undertaking Stage 7.

BPE typically focuses on the performance of the whole building understood through a study and review of its constituent systems, with an emphasis on building physics. Conversely, POE focuses more on building operators and users and their perception of building operation, and how well it supports their needs and aspirations. Both of these methodologies have individual merit run separately; however, the greatest possible value from Stage 7 is achieved through their combined use. For instance, a BPE might be commenced during Stage 6, with the findings then used to inform a POE run later in Stage 7. Equally, in feedforward scenarios both are valid methodologies for collecting and analysing information to use at Stage 0 Strategic definition and Stage 1 Preparation and Brief.

The specific in-use services that will be defined in the Schedule of Services will depend on the scale of project and building, and also on whether the form of procurement or contract includes for in-use status. Such services will also be aligned with operator and user experience, ranging from simple homeowner to FM team in the case of a complex building with many diverse users, such as a large office, university or hospital.

Procurement Issues, the Project Team, Contracts

Rather than (merely) commission the design and construction of a building or simply renting a building based on floor-area rate or location, certain clients and end users are seeking procurement of assured Project Outcomes. Although still a nascent market, procurement is changing to support this process, leading to more performance-related clauses in building contracts, a preference for payment structures based on demonstrable performance, and a greater emphasis on ongoing FM contracts.

This could lead to the emergence of more forms of design-build-fi nance operate (DBFO) contracts. It is also possible that, in the near future, the built-environment ‘market’ will shift towards procurement of service or Project Outcome in preference to commissioning the design and construction of a building – or that, when procuring a building, the emphasis will be on the value derived during Stage 7 In Use.

In Design and Build Financial Operative (DBFO) projects and similar schemes, much of the building management and operation is not the direct responsibility of the user. A main contractor, as part of a special purpose vehicle (SPV), takes on the management for many years after completing the design and construction. This means that all the decisions about what the client expects and needs from a well-managed building will have to have been set down and planned in Stages 0 and 1. Doing so should enable clients to make an informed choice of SPV to carry out all aspects of the project, and if done robustly and comprehensively for an SPV to clearly understand the client’s expectations during resultant Stage 7. Therefore for this form of procurement, the circular relationship of Stage 7 into Stage 0 and 1 is particularly valuable. Indeed, in such procurement methods Stage 7 becomes a contractual obligation.

The operation of all but the smallest buildings and individual domestic properties will require some degree of facilities management for day-today operation, and ongoing repair and maintenance. It is not the purpose of this book to provide guidance on building operation or FM. However, an awareness of the nature and diversity of tasks and activities that comprise typical FM processes can be useful in understanding the Stage 7 In Use context.

The Programme Drivers for Stage 7

2.5 A truer representation of the stages’ correlation to actual time.

It is unrealistic to consider that a Project Programme would span the entire useful life of a building, as typically this will be decades in duration. However, it is entirely appropriate that the transition from Stage 6 into 7 establishes the basis for a Stage 7 regime of review and Feedback at planned key intervals – for example, one year into stage 7 and again five years later. Equally, a Stage 7 review could be instigated because of a desired change of use or change in a user’s requirements. Therefore, a Stage 7 programme will often evolve and develop during the life of a building in response to the needs of the owners, operators or users. The exceptions are PFI and DBFO contracts, which will necessarily have specified contractual Project Outcomes for Stage 7 over defined timescales as discussed earlier in the context of the DBFO.

When Stage 7 is being used to inform Stage 0 for a new project, information might be obtained from a building with a review and Feedback regime in place or a regime might be implemented in a building to assess its viability or performance. Such a study could be done over as little as a period of weeks, but could easily be over months or even years. Stage 7 data can also be sourced from online resources such as CarbonBuzz.

As Stage 7 links the circular process of the Plan of Work, it can be either the start of a Project Programme or the conclusion of one – or, indeed, both.

Are Planning Issues Relevant at Stage 7?

Most planning issues will be resolved long before a building is in use, but, increasingly, projects are required to demonstrate that they have achieved the performance standards that were required by the planning approval process.

These requirements will often be set out in planning conditions or in Section 106 legal agreements related to planning approval. In order to fulfil these requirements, data and performance information will need to be collected and presented in an appropriate form.

Common areas in which performance may need to be monitored for planning purposes include:

• Energy performance – demonstrating in use that the building is achieving the standards that it set out to, and that were agreed.
• Travel plans – checking that agreements that encourage sustainable modes of transport are in place.
• Phased projects – where the outcomes of one phase affect what needs to be delivered in subsequent phases, or where standards or planning policy may have changed; for example, on housing projects this may include unit numbers, mix or tenure.

It also worth ensuring that all planning conditions have been discharged and that legal obligations are, and continue to be, complied with. Some of these will require action well after the building or project has been handed over and is in use.

The Key Support Tasks at Stage 7

Tools and Tasks that Support BPE and POE

For BPE and POE activities, there is an ever-growing number of methodologies, processes and tools. Some of the more established and common include:

• Focus groups, exploring the specific experience of user groups or activities.
• Monitoring of organisational activities (how well is the organisation able to perform its business in the building?).
• Observation of use patterns, including use of sensors for detecting patterns of use.
• Tracking the project’s successes and failures, using methods including social media.
• Matching areas used for different activities to those planned at Stage 1.

There are several established tools and methodologies, including;

• BSRIA Soft Landings.
• BUS (Building Use Studies) Methodology (ARUP).
• Specific BPE energy tools;
  • ~ TM22 Energy Assessment and Reporting Methodology (CIBSE).
  • ~ TM31 Building Log Book Toolkit (CIBSE).
  • ~ TM39 Building Energy Metering (CIBSE).
  • ~ Model Commissioning Plan (BSRIA).

• Design Quality Indicators (CIC).
• Key performance indicators – KPIs.
• CarbonBuzz (RIBA and CIBSE).
• BRE Environmental Assessment Method – BREEAM (Building Research Establishment).
• Leadership in Energy and Environmental Design – LEED (US Green Building Council).

As with Stage 7 itself, BPE and POE constitute an evolving and growing area of interest and specialism; they will continue to improve, and new tools and approaches will emerge.

BSRIA Soft Landings

Soft landings merits specific reference; it was developed, by BSRIA, primarily for the design, specification, commissioning and operation of building-engineering systems, such as heating, cooling and lighting. BSRIA runs the Soft Landings initiative, developing and publishing the official guidance and arranging training. The Soft Landings process mapped to the Plan of Work starts in Stage 1 and continues into Stage 7 but is commonly known in Plan of Work terminology as the Handover Strategy. The process enables design engineers and constructors to improve the operational performance of buildings and provide valuable feedback to project teams. Soft Landings also requires designers and constructors to remain involved with buildings beyond Stage 6, to assist the client during the first months of operation and beyond, to help fine-tune and debug the systems, and to ensure that the occupiers understand how to control and best use their buildings.

In essence, Soft Landings involves:

• Achieving greater clarity at the inception and briefing stages about client needs and required outcomes.
• Placing greater emphasis on building readiness, by designer and constructor having greater involvement during the pre-handover and commissioning stages.
• A resident Soft Landings team located on site during the users’ initial settling-in period.
• Remaining involved after occupation, during and beyond the defects liability period to resolve outstanding issues.

Soft Landings requires designers and constructors to spend more time on constructive dialogue with the client, and in setting expectations and performance targets on energy and end-user satisfaction.

During Stage 7, Soft Landings typically envisages continued involvement by the client, design and building team over a three-year aftercare period. This can greatly assist the operators to get the best out of a building; it also is an ideal framework from which to establish a whole-building-life regime of review and Feedback from users and operators alike.

The Soft Landings process allows everybody involved to benefit from the lessons learned from occupant-satisfaction surveys and energy monitoring. The worksteps in Soft Landings enable operators and users to spend more time on understanding interfaces and systems before they occupy the building. The designers and key contractors are tuned to understand and support the end users in the critical, early period of occupation.

Adopting the Soft Landings approach is an excellent basis for longer-term Stage 7 activities.

The Benefits of Research and Development

Stage 7 is the ideal time for project teams to learn how well their projects have worked. Through research on a building in use and analysis of Project Performance, very valuable Feedback can be acquired. Such activities are not only hugely valuable in understanding what worked well and what could be improved on a subsequent project, but also present one of the best ways for more junior and less experienced members of any project team to understand the impact and effect of their actions during Stages 2 to 6. The process can also have a very real and positive benefit in fostering ongoing client relationships. Any client who sees that their project team has a continuing interest and commitment to the building that they designed and constructed is very likely to consider that team favourably for any subsequent projects.

Project teams can also learn much about their own performance, how well they communicated and responded to the needs of each member of the team and, most especially, to the client. Such research could lead to the development of new and preferred working methods that the team and clients can benefit from on subsequent projects.

Equally, by providing information to internet portal sites such as CarbonBuzz, the whole industry has an opportunity to research and develop better methods and solutions through the study and analysis of buildings in use.

Sustainability Checkpoints: at Stage 7

Stage 7 is when you find out and understand just how sustainable a project actually is. At this time the impact of holistic sustainability – which includes social, economic and environmental factors – can be fully assessed. When setting the sustainability aspirations of a building during Stage 1, much can be learned from Stage 7 information from previous projects.

2.6 Holistic sustainability unifies factors of society, economics and environment.

Stage 7 is where the effectiveness of all the previous stages is fully understood. The building is in use, and its performance, effectiveness, value and overall ability to support the project outcomes defined at Stages 0, 1 and 2 can be confirmed, measured and assessed, providing the fullest indicator of whether or not it is sustainable. This Stage 7 information is also a vital source of data for subsequent Stage 0 activities on new projects or opportunities. This could be through specific study of existing buildings, from a client’s property database, from a project team’s individual or collective knowledge base, from professional-institute databases or from open public sources such as CarbonBuzz and BREEAM.

Sustainability measurement during Stage 7 assists clients in bringing environmental performance and financial impact into balance – on, for example, managing critical information; energy performance; water usage; or energy-specific retrofits.

Sustainability measurements could include:

• Analysis of building environmental impacts (energy, water, greenhouse-gas emissions, recycling, waste and others).
• Integration with the display energy certificate (DEC), to calculate carbon footprint and energy-use costs.
• Forecasting the project’s financial impacts (net present value, internal rate of return, return on investment, payback period) and environmental impacts.
• Structured building assessments and certifications using rating systems like those offered by LEED or BREEAM.
• The participation of both occupants and management in the understanding of and access to sustainability information.

Information Exchanges: Who needs to know about the outcome of Stage 7?

Information Exchange at Stage 7 for a specific building will occur between client, operator and end users, the project team responsible for both the design and construction and any ongoing Stage 7 services. Through portals such as CarbonBuzz, exchanges are occurring within the construction industry at large, and ultimately with the whole of society. It is not overstating the case to say that Stage 7 is the most important stage in the Plan of Work 2013 because of its ability to influence and shape the evidence used to operate existing buildings, and also to shape the Briefing of new ones. It is both the start and end of the process of delivering the most holistically effective built environment possible.

During Stage 7, the ‘As-constructed’ Information will, in all likelihood, be updated and refined to suit the needs of in-use building operation, becoming, in the process, asset information. This is the case whether we are talking about 2D CAD drawings or a more comprehensive Building Information Modelling (BIM) database.

In the same way that BIM is impacting on Stages 2 through 5, information technologies systems are relevant to Stage 7 in the form of computer-aided facilities management (CAFM). CAFM systems can provide much information and data for Stage 7.

UK Government Information Exchanges

The UK Government (UKG) has a strategic objective to achieve Level 2 Building Information Modelling (BIM) on all public-sector asset procurement, with equal applicability to private-sector building, infrastructure, refurbishment and new-build projects. Publicly Available Specification (PAS) 1192:2 specifies an information-management process to support BIM Level 2 in the capital/delivery phase of projects, setting out a framework for collaborative working on BIM-enabled projects that relates to Plan of Work Stages 2–5. Particularly relevant to Stage 7 is PAS 1192:3 – Specification for information management for the operational phase of assets using building information modelling.

2.7 Stages 6, 7 and 0 in relation to PAS 1192:3.