What is an initial brief, and what should it look like?

There is no set format for what an Initial Project Brief should look like, but it should always comprise a structured written document with supporting information that is presented in a way that allows it to be shared with others and is accessible to those who need to use it. A key role of the Briefing stage is to produce something – the Initial Project Brief – that will act as a record or summary of relevant discussions, client requirements and site constraints, which must all have been identified. The information should be clearly presented, easily read and simple for others to understand – both now and in the future. Briefs that are too long, poorly laid out, badly explained or containing unnecessary information are much less likely to be effective.

Table 4.2 A guide to simple briefing information.

The initial brief is the result of a series of tasks that lead to knowing more about the proposals, site, client and project requirements. The Briefing undertaken at Stage 1 is about progressing the client’s detailed Briefing requirements. A vitally important part of any project is that the work done is appropriate and proportionate to the outcome that is required, and related to the particular stage that the project has reached at the time. This is as true at Briefing stage as any other, and the process of developing and forming the brief should help define what ‘appropriate’ and ‘proportionate’ means in each particular case. This will be related BOTH to project size and also the complexity of the project, building or site.

For example, an initial brief for a small domestic project might only be a few pages of A4 text with some reference images, whereas a fully developed initial brief for a technical office building might be a thick, bound and illustrated document including extensive technical data and flow charts about how the spaces will be used. Conversely, some small but complex projects require larger briefs and some large but simple projects will need smaller ones.

4.1 There is no set format for what an Initial Project Brief should look like, but it should be identifiable, collated and dated.

How is the Initial Project Brief different from the Strategic Brief?

The Strategic Brief produced at Stage 0 will reflect the nature of the information needed to support the defining the idea and potential of the project. As detailed in the previous chapter, it will contain high-level information that sets out why a project is needed and what the client’s considerations have been in order to decide to proceed with the next stages. The Strategic Brief’s role is different from later briefs in that it sets the scene for the project but will not yet contain detailed proposals about building requirements or procurement. At Stage 0, the client may want a project but not have a defined site; alternatively, they may have a site but be unclear what can be accommodated on it. By the outset of Stage 1, both of these issues should have been resolved.

The Initial Project Brief will take information from the Strategic Brief, including any site options appraisal work that has been undertaken, and the Business Case, which is likely to inform the budget and programme considerations.

It will also need to refer back to review and Feedback produced as part of Stage 7, which will have been considered during Stage 0. This might include examples of other relevant projects.

In terms of going forward, the Initial Project Brief will need to anticipate and be clear on the elements of the project that will need to become more fixed and definite as it moves into the design stages. Formulating the brief is not a design stage of the project, but it is about creating the conditions for good design and the delivery of high-quality projects that meet Project Objectives and Project Outcomes.

The Final Project Brief comes later, at the end of Stage 2, and is a further iteration of the Initial Project Brief. It is sometimes also included within the Employer’s Requirements (ERs) at the relevant stage for that project.

How do you work out what sort of Initial Project Brief is needed?

Good briefing and preparation is about asking a range of pertinent questions and understanding the implications of the answers. These questions should be very broad, and can be about how the project will be used, its site and servicing requirements, planning-policy considerations, the team needed to deliver it, and its programme considerations. In effect, the Initial Project Brief is about shaping the questions that will be tested and answered from Stage 2 onwards.

A common difficulty is that the problem to be solved is not defined clearly enough, and instead the team start using design to fill this void. It is important to avoid designing too early because:

• This often gets ‘unpicked’ through subsequent client reviews or changes to a brief.
• It is hard to demonstrate that the client requirements are fully understood and therefore addressed.
• Without a clearly formulated and signed-off brief, there will be abortive work and wasted resources.

In order to decide what is needed at this stage, it can be helpful to think about the questions the project team will have as they start Stage 2. It is best to avoid jumping to solutions and to focus on the information that is needed and the testing required, so as to be confident that it can be made to work.

At the end of this process, it should be possible to be much clearer about the purpose, scope and objectives of the project. The role of the brief at this stage is to gather together all of this information and, through the briefing process, to set out the requirements of the project. This may include being clear about what is achievable – for example, being realistic about the project budget or the capacity of the site – and setting out parameters for assessing future responses to the brief.

What does the client actually need, and is this different from what they think they want?

Helping the client or client organisation find out what they need from the project is the most important part of the Initial Project Brief, as it goes to the core purpose of the project itself – the Project Objectives and Project Outcomes. Some clients will be able to formulate the brief for themselves, but there is very often a value in it being prepared by an independent or specialist advisor who can look more objectively at the issues raised. Put simply, this process is about asking questions, describing what is needed and why it is needed, and what the client and others who will use or be involved in it see as important.

Client briefs can vary considerably. Some will have detailed technical requirements, others will be very broad and open. Some will include specific design intentions, eg room data sheets or complex technological requirements, and others will be intentionally loose. The key is to get an appropriate amount of relevant information for that specific project and ensure that it relates to the Strategic Brief and Business Case from Stage 0. If all of the necessary information is not there, then further specific studies or investigations will be needed.

It is also important to consider that, broadly, there are two different types of client:

• Those who are the end users of the project, eg schools, businesses, manufacturers, homeowners or public-sector groups/organisations.
• Those who are developing the project for other end users, who may or may not be identified before completion of the project – eg developers.

Briefing and preparation should consider that projects need to work commercially AND operationally both for those who will deliver a building and those who will use it once it is complete. A brief needs to consider both of these groups’ needs, and, in an ideal world, would include both of them in its preparation.

Why helping the client to develop clear Project Objectives is so important in achieving good Project Outcomes

Establishing, testing and agreeing clear and measurable Project Objectives is, in many ways, the most important aspect of the early stages of a project. These objectives should form the core of any project brief and set the high-level intentions and priorities of a project so that they can inform any Feasibility Studies during Stage 1 and design development from Stage 2 onwards.

A key skill required of those working on brief preparation is to really challenge the brief they have been given and, as far as possible, to be sure that this is actually what is required. As much as some clients will have the appropriate skills to assess their own requirements, there are many others who will not. For them, a specific briefing process to assess their needs will require targeted external support.

What should the Initial Project Brief include?

There are various lists of information set out in the Plan of Work and other useful documents about what should be considered and reported on in the Initial Project Brief. This list will vary by project type and size. It should include relevant information from Stage 0 and the Strategic Brief, where available, as its starting point.

It makes sense for the brief to follow the task bars in the Plan of Work.

The content of each section of the brief will vary, and the list of contents will be specific to each project or client. In any case, a brief should start with introducing the project, explaining it, describing the site and technical requirements and cross-referring to relevant background documents. The brief should also set out how the team will operate, the different team roles and responsibilities, and the next steps.

For some projects, where a contractor is to be appointed early – for example, during Stage 2 – Employer’s Requirements (ERs) may also be required as brief-related outputs.

Scoping the Initial Project Brief

In all cases, consider whether the information is necessary, useful AND appropriate. Concise and clear information is always better than unnecessary and irrelevant detail.

Table 4.5 A contents list for the Initial Project Brief.

What Feasibility Studies are needed to inform the Initial Project Brief?

The project vision established at Stage 0 may be deliverable in a number of different ways. Feasibility Studies at Stage 1 are project-related investigations that test a range of site, brief, capacity, cost and viability issues in order to ensure that the scope and potential of the project is clearly understood and to inform the project as it goes forward. Feasibility Studies are more specific than the site options appraisal that may have taken place during Stage 0 to help determine if a site was suitable.

In many cases, a Feasibility Study is the first task of a project team; in other cases, it may already have been undertaken by the time the project team, who will take the project on from Stage 2, are on board. Either way, it will be coordinated by a project lead with support and input from appropriate members of the project team.

Feasibility Studies usually represent the first time that Site Information and Project Objectives are brought together, and, most importantly, capacity options for the proposal are tested. This is also when viability testing is undertaken that will inform the Project Budget and a review of the Business Case.

The need for Feasibility Studies will depend on:

• The need for key issues raised by the client brief to be tested against site-specific considerations.
• How important it is to consider alternative approaches and options.
• The need to test and inform the Initial Project Brief in order to be clear that it is possible.
• The need to scope out cost, financial and legal considerations.
• Whether project funders or clients require a Feasibility Study to demonstrate the potential and scope of the project, in order to proceed.
• A detailed understanding of the design issues raised during Stages 0 and 1 and the need for design analysis to inform Stage 2.

4.2 Feasibility Studies test different physical configurations or project scenarios on a given site, in order to assess what can be accommodated and whether it might be made to work.

Who is best placed to write and ‘hold’ the brief (architect, project manager, or other specialist)?

It doesn’t necessarily matter who writes the brief, but the critical factor is that whoever does approaches it in the right way and that the client is committed to it. The author should normally have relevant experience, the confidence to talk to the right people and the ability to express the project requirements clearly to others. In many cases the Initial Project Brief will be written by the project/client lead and/or the lead designer, either of whom would continue to have a role into the next stages of the project.

The Initial Project Brief will have a lasting physical, social and environmental impact through all stages of the project design and construction, and on the people who use the finished building. For this reason, input to the brief from key stakeholders and, ideally, end users is very important. Stakeholders should be consulted during the production of the brief and involved in the review and sign-off process once it is completed.

The level of engagement with stakeholders as part of the preparation of the Initial Project Brief will vary for projects of different scales and complexity. Some projects will require extensive consultation, including with other parts of the client organisation, external agencies, user groups and adjacent land/property owners. In some cases, it may be more appropriate for the Initial Project Brief to identify further stakeholder and user-group consultation at subsequent stages, and as part of Stage 2 when the Final Project Brief is developed and agreed.

Once agreed, the Initial Project Brief is not a static, fixed document. It needs to remain at the forefront of the project at all stages, being updated, referred to and signed off as necessary. It should be clear whose responsibility it is to ‘hold’ the brief and ensure that it continues to inform project development appropriately. Mid-stage amendments to the brief need to be treated seriously in order to avoid abortive work. Any significant changes to the brief beyond Stage 1 may mean restarting design work.

Who are the project team during Stage 1?

The first consideration is the team needed to undertake Stage 1 itself. This will include some or all of the following:

• In-house members of the client organisation, with appropriate skills and experience.
• External advisors with built-environment skills and experience of brief writing and analysis (client design advisor, or related built-environment professional).
• Members of the future project team (architect, project manager, lead designer, etc.).

In most cases, formulating the Initial Project Brief requires the collaboration of a number of parties, with one person identified as lead in order to draw all of the threads together. The appointment and briefing of this team is something for which the client may need specialist advice or support.

The skills of the coordinator of the Initial Project Brief will need to include:

• Analytical skills, gathering information and working out what is relevant and important.
• Synthesising and prioritising information from a range of sources.
• Anticipating and visualising the future stages of the project, in order to flag up issues in advance.
• Clear presentation and writing skills that can be readily understood by others.
• Capacity-building, to include all of those who need to contribute to the brief, or who have a view on what the Project Outcomes should be.
• Being timely and proportionate, so that the brief-writing process does not turn into a bigger issue than necessary – or even, inadvertently, kick-starts the design stages of the project.

The second set of priorities involves identifying, procuring and appointing the team needed to deliver subsequent stages of the project. This is a specialist task, and one for which most clients will need advice on the range and nature of skills required at different stages.

Table 4.6 Skills needed for specific Project objectives

Which project team members are needed when?

At Stage 1, the team and processes that will govern the whole project are being established and set out within the Project Execution Plan. A key part of this plan is setting out who the future project team will need to include, and when they will be needed. It should differentiate between who is needed as part of the core project team and when specialists are likely to be required. The PEP should be appropriate and proportionate for each project, and need not be lengthy or complex – it is about thinking through what you expect to be needed at each stage by making reasonable, sound assumptions. For simple projects, it might comprise a single sheet of A4 paper. For complex projects, a larger multi-sectional document will be needed. A key focus for preparing the PEP at this stage is about understanding the client organisation, their needs and expectations.

In the Plan of Work 2013, the team-related information is set out in three main places, each with a different role and purpose but designed to help work out who is needed when, what they are responsible for, and how they will relate to others in the team. These are:

• A Project Roles Table that sets out the roles required on a project, as well as at which stages those roles will be required and the parties responsible for them.

  

  4.4 A simple Project Roles Table for a small residential project.
  

• A Contractual Tree, which is a diagram that sets out the contractual relationship between the client and the parties undertaking the roles required on a project.

  

  4.5 A simple Contractual Tree for a small residential project with architect as lead and contract administrator and the contractor being directly appointed by the client from Stage 5 onwards.
  

• A Design Responsibility Matrix, which sets out which part of the design is to be the responsibility of which members of the project team. This is principally about construction detailing, but is valuable through design Stages 2–4 for clarity. It will identify whether the architect, designer, contractor or specialist subcontractor (or others) are to be responsible for different elements of the design in relation to the Schedule of Services, and will need to be carefully managed to ensure that everything is undertaken as envisaged.

4.6 A simple Design Responsibility Matrix for a small residential project.

The process of developing each of these elements as part of the PEP at Stage 1 will allow those assembling the team to relate the requirements to the information being prepared in the Intial Project Brief. This close relationship between the team and the brief, with its Quality Objectives and Project Outcomes is a fundamental principle of a successful project.

Table 4.7 Client issues that will shape the project team.

Why is planning important at briefing stage?

It can be easy to think that because planning applications are not made until later in the project, planning does not need to be considered as part of Stage 1. However, planning approval has the potential to add considerable risk to a project – in most circumstances, development cannot proceed without it – and a poorly considered planning strategy can have considerable impact on the Project Programme. Even when planning permission is not required – as, for example, with permitted development – this usually needs to be confirmed.

Pre-application discussions with the planning authority are on their way to becoming the norm in projects of any size. This is not a process that can easily be fixed in terms of time or output, as it depends on a range of factors and the agreement of a varied group of people in order to move things forward. Planning risk can be mitigated by an early review of planning policy and through a well-managed pre-application process. This process can be agreed in advance through a pre-application planning agreement (often called a PPA), which sets out what each side will do when, and the issues that need to be agreed.

Who should I talk to about planning, and when?

Early meetings with planning officers are generally very useful, but at Stage 1 any engagement with planning is about the ‘principle’ of the proposals rather than about design issues or specifics.

Current planning policy will set out many of the issues around the acceptability of development and land uses, and policies on scale, views, massing and other criteria such as housing mix, car parking and planning obligations (payments secured through Section 106 agreements or the Community Infrastructure Levy (CIL)). This information is set out nationally in the National Planning Policy Framework (NPPF) and Planning Policy Guidance (PPG), and at local level is usually contained in a Local Plan document and other supporting planning-policy documents that will be set out on a local authority’s website. Adopted or emerging neighbourhood plans and Neighbourhood Development Orders (NDOs) are also a key consideration, as this means that local people are often well engaged in the planning process and the future of the area.

Planning policy should be reviewed as part of the briefing and feasibility process. Specific town-planning advice may be beneficial at Stage 1 in order to interpret the impact that planning policy will have on the proposals, and how this information can be used to help shape the Initial Project Brief.

In making a decision about planning permission, the planning process considers a range of factors related to environmental, social and economic sustainability. By setting out the Initial Project Brief (and, subsequently, by designing the project) to respond specifically to relevant planning policies and considerations, the likelihood of a positive outcome from the planning process is significantly increased.

The importance of good design has always been part of planning. Currently, it is set out in national Planning Policy Guidance, in place since 2014, which makes clear that ‘Good quality design is an integral part of sustainable development’, and that ‘Achieving good design is about creating places, buildings, or spaces that work well for everyone, look good, last well, and will adapt to the needs of future generations.’

The discharge of planning obligations and conditions attached to a permission is also a key future stage, which must be undertaken correctly in order to minimise delays to construction.

What other compliance issues need to be considered?

During Stage 1, and in terms of drafting the Initial Project Brief, it is important to consider the principal compliance stages that a project will need to go through and to anticipate the impact of these on the design and delivery process. Building Control approval is likely to remain the most important of these stages. Appropriately experienced professional members of the project team will be able to anticipate the impact of these requirements.

The Initial Project Brief should set out the key compliance stages and the Project Execution Plan, Project Roles Table and Design Responsibility Matrix should set out how the team will be expected to deal with compliance issues.

Are there funding or compliance issues that are critically important for the scheme?

Some projects rely on funding that comes with specific conditions, or which requires that the client organisation demonstrate specific quality criteria. These should be established as part of defining the Project Outcomes and set out clearly in the Initial Project Brief. Such conditions can relate to:

• The physical attributes of the scheme, eg whether it meets the provisions of the London Housing Design Guide (LHDG) in order to qualify for HCA grant funding, or a need to meet National House Building Council (NHBC) requirements in order to gain the relevant certification.
• The qualitative aspects of the proposals, eg achieving a minimum assessed score level in Building for Life 12 (BFL12), which is a widely accepted method for assessing good place-making.

In all cases the Project Execution Plan will need to be clear about when and how these attributes need to be demonstrated, and by whom within the team.

Are planning or compliance-related changes likely over the lifetime of the project; and, if so, how should this influence the Initial Project Brief?

Anticipating change in the planning and compliance process is important for the whole project team. Steering a project through the Plan of Work 2013 takes a long time, and planning policies or compliance criteria can change during this time. Sometimes there is warning of key changes but on other occasions there is not, and in such cases the client and project team need to work together effectively in order to resolve any new issues that arise.

The Project Execution Plan and Project Roles Table will need to set out what is expected in terms of anticipating and planning for known issues, eg registering a housing scheme for NHBC compliance at key points, and registering schemes against key sustainability targets such as those contained in the Code for Sustainable Homes.

Key support tasks – who will the project team be, and how will they work together?

Many of the support tasks relevant for Stage 1 are set out elsewhere in this chapter. These will vary from project to project, but are focused on ensuring that the project team is properly assembled and that future work stages are properly considered.

Suggested tasks include:

• Preparing a Handover Strategy that sets out when and how the client will receive the building or project through a ‘Soft Landings’ approach, and the arrangements for doing so. This should also include a strategy for Stage 7 In Use and monitoring the effectiveness of the delivered scheme.
• Preparing Risk Assessments that consider the principal risks for a project and the impact that they could have, alongside a risk mitigation strategy with clarity on who is going to manage this.
• Preparing a Project Execution Plan, including a Technology Strategy and a Communication Strategy, information management and consideration of Common Standards – for the team to work to, and for efficient and clear communications. This includes consideration of shared technologies (eg BIM level 2) and project insurances. Once the design stages have begun, agree processes for change management and the appropriate processes and timescales for client sign-off.
• Develop and agree a Schedule of Services, a Project Roles Table, a Design Responsibility Matrix and tables for Information Exchanges. Include these as part of each professional-services contract.

What can go wrong during Stage 1, and what can we learn from it?

Table 4.10 Potential problems at Stage 1.