project management procedures

Plymouth City Council Project Management System

Project Management Procedures

Project Management ProceduresPurpose of this document

The purpose of this document is to provide an overview and general understanding of the Project

Management Procedures adopted by Plymouth City Council to improve the control of its projects. It will

enable project managers, clients, stakeholders and new users to understand the control steps a project must

follow in order to deliver a successful outcome. Each control step identified within this procedure document

will have a separate more detailed document to explain in full what is required. The procedures do not

describe the normal day to day tasks that would be required to deliver a project merely how a project will be

controlled. The order of the procedures has assumed a traditional procurement route amendments to this

order will be required on a project by project basis dependant on the nature of the project and it’s

procurement route.

Document HistoryRevision History

Revision date Author Summary of Changes New Version Ref:

9th May ‘09 Tony Hopwood Draft for review/comment 1.02

27 August 09 Tony Hopwood Inclusion of Executive Board 1.03

29 Sept 09 S Gregson Amendment to include all PM documents 1.04

07/10/09 J London Amendments to include PST team comments 1.05

Distribution History

Name Title Date of Issue Version

Project Services Team

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Filename: document.doc Author: John London Date of Issue: 11/04/2023Comments:

http://www.plymouth.gov.uk/homepage.htm



Contents

Project Management.............................................................................................................3

RIBA Stages A – B (Project Appraisal)..................................................................................5

RIBA Stage C (Project Proposals/Concept Design)............................................................14

RIBA Stages D – E (Project Design/Development).............................................................17

RIBA Stages F – H (Production Information and Tender Action)........................................21

RIBA Stages J – K (Construction).......................................................................................23

RIBA Stage L (Post Construction).......................................................................................25


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0. Project Management

0.1. What is a project?

A project is a unique set of co-ordinated activities, with definite starting and finishing points, undertaken by an

individual or team to meet specific objectives within defined time, cost and performance parameters as

specified in the business case. It should have the following characteristics:

a finite and defined lifespan

defined and measurable business products (that is, deliverables and/or outcomes to meet specific

business objectives)

a corresponding set of activities to achieve the business products

a defined amount of resources

an organisation structure, with defined responsibilities, to manage the project.

Projects should contribute to business objectives; typically their funding is identified as part of business

planning. They may be part of an overall programme of business change.

0.2. What is project management?

Project management is much more than the tasks carried out by a Project Manager. Project management is a

combination of the roles and responsibilities of individuals assigned to the project, the organisational structure

that sets out clear reporting arrangements and the set of processes to deliver the required outcome. It

ensures that everyone involved knows what is expected of them and helps to keep cost, time and risk under

control.

0.3. Why use project management?

Experience has shown that projects are inherently at risk - through overrunning on time and cost and/or failing

to deliver a successful outcome. Such failures are almost invariably caused by:

poor project definition by the project's owner, perhaps because of insufficient consultation with

stakeholders or their failure to be specific about requirements and desired outcomes

lack of ownership and personal accountability by senior management

inadequately skilled and experienced project personnel

inadequate reporting arrangements and decision-making

inconsistent understanding of required project activities, roles and responsibilities.


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Project management helps to reduce and manage risk. It puts in place an organisation where lines of

accountability are short and the responsibilities of individuals are clearly defined. Its processes are clearly

documented and repeatable, so that those involved in the project can learn from the experiences of others.

The principles of project management are equally valuable for smaller and/or less complex projects. The

nature of your project will determine the project management approach you need, which should be adapted

as required – see Define Project.

0.4. Critical success factors

Successful projects have:

a well-defined scope and agreed understanding of intended outcome

active management of risks, issues and timely decision-making supported by clear and short lines of

reporting

ongoing commitment and support from senior management

a senior individual with personal accountability and overall responsibility for the successful outcome of the

project

an appropriately trained and experienced project team and in particular a Project Manager whose

capabilities match the complexity of the project

defined and visibly managed processes that are appropriate or the scale and complexity of the project.

For cross-cutting projects, there may be nominated senior owners from each organisation involved in the

project and its delivery. Where this is the case, there must be a single owner who is responsible for the whole

project.

All projects will follow key stages and the following outlines the control steps that must be taken in each stage:


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1. RIBA Stages A – B (Project Appraisal)

The Project Appraisal stage enables the client department to identify the need for a project, its objectives,

business case and possible constraints on development. It assesses various options and their feasibility to

enable the client to decide whether to proceed. The following identifies the key steps to be taken within the

stage.

1.1. Statement of Need

The Statement of Need defines and documents client objectives in consultation and will establish how their

achievement will be measured. The aim is to uncover the underlying need that may be initially expressed by

stakeholders in the form of a solution. In order not to rule out alternatives and to objectively evaluate

solutions, the statement sets out the "What" rather than the "How".

The information contained is used in tandem with the Project Mandate to trigger starting up a Project. It will be

produced by the Client Department and issued with the Project Mandate to the Departmental Management

Team (DMT) to enable the Department to consider the scheme and it’s fit with the Department’s and Council’s

strategic requirements.

No external fees and only minimal officer time is to be spent on the scheme until such a time as the Initial

Project Proposal (IPP) has been approved and funding to develop the scheme identified and approved by the

Capital Programme Board and/or Cabinet – see Statement of Need.

1.2. Initial Project Appraisal

The Client SRO may wish to assure themselves that the ideas for the project are feasible in

broad/property/construction terms before advancing any further into the appraisal stage. In such a situation

the Client SRO can request a Portfolio Manager to provide an Initial Project Appraisal by making a request to

the Project Services Manager. It will enable the Client SRO to advance into the initial stage of the project with

more confidence – see Initial Project Appraisal.

1.3. Project Mandate

The information in the mandate is used to trigger starting up a Project. It should contain sufficient information

to identify at least the objectives of the project. The Project Mandate will be produced by the Client

Department and issued to the Client Departmental Management Team (DMT) to enable the Department to

consider the scheme and it’s fit with the Department’s and Council’s strategic requirements.


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Upon receipt of DMT approval the Project Mandate is forwarded to the Project Services Manager who will

assign a Portfolio Manager to develop the mandate and produce a Project Brief in consultation with the Senior

Responsible Officer (SRO).

No external fees and only minimal officer time is to be spent on the scheme until such a time as the Initial

Project Proposal has been approved and funding to develop the scheme identified and approved by the

Capital Programme Board and/or Cabinet – see Project Mandate.

1.4. Define Project (Major/Minor)

This step determines which Project Procedures shall be adopted and the approach to risk identification.

All projects with an estimated cost in excess of £500,000 shall be deemed as major projects regardless of

their complexity. If the cost is >£100,000 and <£500,000 then the Project Manager shall undertake an

assessment of the project risk level against the following criteria:

Council requirement risk

Council and user requirements complete, accurate and agreed

Council/Departmental reputation criticality

Time/occupation criticality

Intensity of use and design life

Regulatory risk

Safety criticality

Environmental criticality

Other regulatory requirements

Design/construction risk

Cost of build

Novelty of key technology or building services

Design complexity/interfaces

Level of recent experience/capability

Each of the above criteria shall be scored on a scale of 1-6 to indicate the most likely risk value. The higher

the risk or level of uncertainty the higher the score (1=low risk, 6=high risk).

A simple spreadsheet tool (below) shall be used for this purpose.


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Schemes with an estimated cost less that £100,000 are to be considered minor unless there are particular

complexities and/or political issues that would require the greater level of control exercised on more major

schemes. The final decision shall be made in consultation with the Capital Programme Director.

The Project Services Manager shall undertake the assessment with the support from specialists (as required)

and key stakeholders as part of the development of the Project Brief. This may be undertaken as part of an

initial Risk Management Workshop.

The result of the assessment shall be stated in the Project Brief/Execution Plan. This shall be used for

determining which Project Procedures shall be adopted and the approach to risk identification – see Define

Project (Major/Minor).

1.5. Allocate Portfolio Manager

Once the Project Services Manager has defined the project, they will then allocate the project to a Portfolio

Manager who will work with the project throughout its lifetime – see Allocate Portfolio Manager.

1.6. Produce Project File & Programme

The Portfolio Manager will ensure that any new project is allocated a project file, project number and will

immediately prepare a Project Programme – see Produce Project File & Programme.

1.7. Project Brief

The project Brief provides a firm foundation for the initiation of the project. If approval is given to proceed to

production of a Capital Programme Business Case (CPBC), the Project Brief is extended and refined into the

Project Execution Plan.

For construction projects, the Project Brief is a formal statement of the objectives and functional and

operational requirements of the finished project. It should be in sufficient detail to enable the construction

team to execute the design and specification of the work and is therefore an essential reference for the

construction team.

The Project Brief is a key document in its own right. Any significant change to the material contained in the

Project Brief will thus need to be referred to corporate or programme management.

For construction projects the Project Brief is a key component of the Project Execution Plan.

Fitness for purpose content:

Does the Project Brief accurately reflect the mandate for the project?


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Does it form a firm basis on which to initiate a project?

Does it indicate how the customer will assess the acceptability of the finished product(s)?

The Project Brief is to be developed between the Client SRO and the Portfolio Manager and should be

approved by the Project Board as the basis for the scheme – see Project Brief.

1.8. Project Structure and Governance

The Portfolio Manager will identify, produce and gain approval of a suitable Project Structure and Governance

to successfully deliver the project. The following identifies the essential roles to be included in any Project

Structure and Governance:

Investment decision-making - takes the investment decision based on affordability and cost justification

this role is the responsibility of the Director of the Department sponsoring the project

Ownership - defines the scope and content of the project for delivering the benefits; personally

accountable for the success of the project (usually known as the Senior Responsible Owner, as this role

must be taken by a senior individual in the organisation). The SRO should have the status and authority

to provide the necessary leadership and must have the clear accountability for delivering the project

outcome

Interface between ownership and delivery (sponsorship/directing)- ongoing management on behalf of the

owner to ensure that the desired project objectives are delivered; must have adequate knowledge and

information about the business and the project to be able to make informed decisions. This may be known

as the Project Sponsor; sometimes referred to as the Project Director (the Portfolio Manager).

Project management - leading, managing and co-ordinating the project team on a day-to-day basis (the

Project Manager)

Project team - delivers the required outputs or deliverables (the Project Team)

In addition to the essential roles described above, there will be a requirement for specialists, design

consultants such as architects, and others who are appointed by the Project Sponsor/Project Director or

Project Manager.

For all major, and some minor projects there may be a Project Board chaired by the SRO. Membership of the

Project Board, which is through formal appointment by the SRO, should be a single role representing key

stakeholder interests (described in more detail below) and a single role addressing technical/supply issues

(typically a representative from the supplier organisation). The Project Board provides the owner with

stakeholder/technical input to decisions affecting the project; ultimate authority and accountability resides with

the SRO.


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There will always need to be active project assurance - to assure the owner that the project is employing good

practice - making sure stakeholders are being consulted appropriately and their needs are being addressed,

for example. Project assurance is ultimately the responsibility of the SRO and will be included in the

responsibilities of project board members, or may be fulfilled by individuals external to the project acting on

behalf of the owner.

In practice, some roles may be combined, subject to an overriding proviso that the person combining the roles

possesses the requisite competencies, experience, expertise and time. For example, the roles of project

ownership and project sponsor/director can be combined where the responsibilities of both roles can be

fulfilled by a single individual. Where roles are combined the allocation of the functions must always be

absolutely clear, with delegations and responsibilities that do not overlap. The role of Project Manager should

be clearly defined and implemented, and not simply another member of the project team. Where two roles are

combined, the person appointed must have at least the authority and status of the 'higher' role; however, it is

important to note that the roles of Investment Decision-Maker, Senior Responsible Owner and Project

Sponsor/Project Director cannot be allocated to a single individual – see Project Structure and Governance.

1.9. Initial Project Proposal

The Initial Project Proposal (IPP) document is used to alert the key and significant persons outside of the

project related client department of a possible future project and that work is being undertaken to appraise the

potential project. Submission of the IPP to CPB and/or Cabinet enables them to ask questions about the

development of the project and to approve/decline its further progress – see Initial Project Proposal.

1.10. Tender Process for Consultant/Project team

The Portfolio Manager will identify and undertake the most effective tender process to procure the relevant

consultants/project team. This must include the appointment of a Construction Design Management Co-

ordinator (CDM-C) on all relevant CDM projects. All procurements must comply with PCC Financial

Regulations and OJEU requirements where applicable. Advice and approval is to be sort from the PCC

Procurement Team. In addition the procurement method will need to be approved by the Project Services

Manager before commencement – see Tender Process for Consultant/Project team.

1.11. Feasibility Study Stage B Report

The feasibility study consists of two main sections (see Feasibility Study Stage B Report):

Part 1: Statement of Requirements

The purpose of the feasibility study is to further define the statements of need, bring together relevant

information and establish clear operational and business requirements. It will make use of the objectives

defined by the stakeholders.


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http://www.plymouth.gov.uk/pms_initial_project_proposal_ipp_.doc

http://www.plymouth.gov.uk/pms_project_structure_and_governance.pdf




The sections below could be used to provide the above:

1.1 Executive summary

1.2 Project Background

1.3 Statement of Objective

1.4 Project Context – including Strategic, Operational Environmental and Safety

1.5 Council Requirements including Time, Cost and Quality

1.6 Risk

Part 2: Basis of Design

This section translates the business need into technical requirements such as process flows,

building areas, etc.

The sections below could be used to provide the above:

2.1 Site/location requirements

2.2 Accommodation requirements

2.3 Standard

2.4 Plant/Equipment Systems

1.12. Project Control Documentation

The following control documentation will be compiled during the Appraisal stage it will be reviewed, updated

and reported on throughout the life of the project.

1.12.1. Communications Plan

The Communications Plan is used to define all parties with an interest in the project and the means

and frequency of communication between them and the project. The Project Director owns this plan

with the Project Manager, to ensure all necessary communication is issued out to relevant parties.

Communication Plans are required for all major projects – see Communications Plan.

1.12.2. Risk Management Procedure and Risk Register

The purpose of risk management is to identify and manage risks as opportunities or threats to the

project objectives. Risk management aims to maximise the results of positive events (opportunities)

and minimise the consequences of adverse events (threats).

Identification and management of risk is required to provide assurance to key stakeholders that the

project will achieve its stated benefits to cost, time and quality. Certainty of outcome increases,

through reduction in risk exposure, as the project progresses – see Risk Management Procedure and

Risk Register.


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1.12.3. Project Execution Plan

The project Execution Plan (PEP) is the core document for the management of a project. It is a

statement of policies and procedures defined by the project director, although usually developed by

the Project Manager for the Project Sponsor/Project Director's approval. It sets out in a structured

format the project scope, objectives and relative priorities – see Project Execution Plan.

1.12.4. Project Deliverables & Design Approval

Approvals will be required for the project deliverables and designs using a standard pro forma:

Documents requiring this sign-off include, but are not limited to, the following (see Project

Deliverables & Design Approval):

Statement of Need – DMT signature only

Project Mandate – DMT signature only

Project Brief – DMT/Stakeholders

Initial Project Proposal (IPP) – Head of Service/Finance Officer/CPB and possibly Cabinet

Capital Programme Business Case – Accountable Project Officer/Finance Officer/Head of

Service/CPB and possibly Cabinet

Communications Plan

Feasibility report

Stage reports

Cost Plans

CPB/Cabinet Papers

Post Project Review

Etc.............

1.12.5. Cost Management Procedure

The purpose of this procedure is to provide a structured approach to the management of all costs

associated with the project. This shall ensure the project achieves a balanced and logical distribution

of available funds between the various elements of the works, that the total expenditure is within the

approved budget and that overall the final product represents good value for money.

The Cost Management process comprises a set of tasks which span the life of a project from the

earliest stages of project appraisal up to construction, but with implications for the operation and

maintenance of a building or facility during the post-construction stage.


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The outlined tasks and activities shall be undertaken as described for project appraisal to post-

construction stages of a normal project.

1.12.6. Project Performance Management Process

The purpose of this document is to drive continuous improvement in the delivery of the Council’s

projects.

The procedure sets out how performance is recorded and managed throughout a project against a

set of Key Performance Indicators.

The outputs of this procedure will be; a set of KPI Targets, Performance Measurement against the

KPI Targets, Project Team Performance Data and a Project Review Report contained within the End

of Project Report.

1.12.7. Request for Information (RFI)

This document enables anybody within the project to formally request information and to record when

the information requested and returned.

1.12.8. Lessons Learned Log

The purpose of the Lessons Learned Report is to bring together any lessons learned during the

project that can be usefully applied to other projects. At the close of the project it is completed and

prepared for dissemination. As a minimum, lessons learned should be captured at the end of each

stage of the project; ideally a note should be made of any good or bad point that arises in the use of

the management and specialist products and tools at the time.

1.13. Capital Programme Business Case

The Business Case is a description of the reasons for the project and the justification for undertaking the

project, based on the estimated costs of the project, the risk and the expected benefits to the Council.

The Business Case is used continuously to align the projects progress to the business objectives through

consideration and approval by the Capital Programme Board. The Business Case also requires approval by

Head of Service and possibly Cabinet – see Capital Programme Business Case.

1.14. Gateway 1 Review


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This review focuses on the project's justification from a regulatory (including H&S), commercial or operational

perspective. It provides assurance to the Council stakeholders that the need for the project expenditure is

valid and shall provide a net benefit – see Gateway 1 Review.

Objectives of this Gateway

Confirm Project Brief document has been endorsed and approved

Compilation of Project Risk Log using appropriate procedures and documentation

Confirm Initial Project Proposal has been endorsed and approved

Any feasibility studies and initial surveys are complete, relevant and valid

Appointment of the Professional Team with appropriate approvals and agreements

Production of a Project Programme with date and version reference

Production of a Project Execution Plan

Production of a Project File for use in the project office

Ensure a clear Project Organisational Structure through the establishment of the Project Board and if

appropriate advisory boards or user committees including production of an organogram to illustrate

project relationships

Facilitate Project Board sign-off of Stage and secure approval to proceed

Facilitate submission of Capital Programme Business Case to the Capital Programme Board to seek

corporate approval to proceed

1.15. Approval to Proceed by Capital Programme Board

Once the Capital Programme Business Case has been approved by the Capital Programme Board and the

project has gone through the Gateway 1 Review then the project is able to proceed to the next stage.


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RIBA Stage C (Project Proposals/Concept Design)

The Project Proposals Stage implements the Design Brief and the preparation of additional data. This will

include the preparation of a concept design, proposals for structural and building services systems, outline

specifications, a preliminary cost plan and a review of the procurement route.

2.1. Update Project Brief

The Project Manager will update the Project Brief for the project stage. At this stage the following items

should have been considered and finalised:

Operational requirements and any functional relationships

Size of the facility, i.e. physical area

Specific technical requirements, e.g. design life, performance standards, procurement strategy and

alignment with framework agreements

Formal communication structure

The brief will be submitted to the Project Client for approval – see Update Project Brief.

2.2. Update Control Documentation

All the project control documentation will be reviewed and updated during this stage.

2.3. Re-appoint/Confirm Consultant/Project team

There will be a requirement to either appoint a new project team or to re-engage the project team from the

Project Appraisal Stage. Additional team members from the appraisal stage may also be required – Re-

appoint/Confirm Consultant/Project team.

2.4. Value Engineering

Value management during the design development stage is termed “Value Engineering”. The objectives are

to ascertain elements of the design and specification that add no value to the project in terms of satisfying the

brief and objectives of the Council or those which could be provided through another method thus increasing

value to the Council – see Value Engineering.

2.5. Whole Life Costing

Whole-life costing must be undertaken in accordance with the British and International

Standard: BS ISO 15686 – service life planning of buildings and constructed assets.


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2.6. RIBA Stage C Report

The RIBA Stage C report will enable the sign off of the stage. The RIBA Stage C report will include the

following (see RIBA Stage C Report):

Introduction

Architectural

Structural Engineering

Cost

Programme and Planning

Procurement

Risk

Health and safety

Way Forward

Key Performance Indictors

Mechanical & Electrical

2.7. RIBA Stage C Report Sign Off

The RIBA Stage C report must be signed off by the Project Board. There must be evidence of stakeholder

consultation and agreement with the design proposal.


This review shall establish that the project scope, objectives and strategy for implementation has been clearly

defined in view of risks and regulatory requirements.

It provides the Client and Project Director with assurance that the most cost effective approach to

implementation has been selected prior to developing the design and entering to commitments with suppliers

– see Gateway 2 Review.


Confirm any updates to the Project Brief document

Ensure any changes made to the project undertaken in value engineering exercises have been

communicated to all project stakeholders and duty holders

Ensure the Project Risk Register has been updated

Compliance with Stage C sign-off procedures

Ensure that the project cost plan per the Project Brief/Project Execution Plan is detailed and achievable


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Ensure the procurement strategy is appropriate in view of scope, risks and Building Projects experience

Ensure compliance with client’s statutory duties under CDM/Health and Safety Regulations

Ensure the Project Execution Plan is up to date

Production of a Project Programme with date and version reference

Ensure that the project plan as per the Project Brief and Project Execution Plan an is detailed and

achievable

Compliance with Monthly Reporting procedures and requirements

Ensure all surveys are complete, relevant and valid

Ensure compliance with any planning requirements

Drawings (including floor naming and room numbering) are produced to Council standards


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3. RIBA Stages D – E (Project Design/Development)

The Design Development Stage (D) enables the development of the concept design to structural and building

services systems, updated outline specifications and cost plan. It also allows the completion of the Project

Brief. Once approval has been gained for the Stage D report the planning application can be submitted.

The Technical Design Stage (E) enables preparation of technical design(s) and specification sufficient to co-

ordinate components and elements of the project and information for statutory standards and construction

safety.

3.1. Update Project Brief

The Project Manager will update the Project Brief following the previous project stage. At this stage the

following items should have been considered and finalised (see Update Project Brief):

Functional layouts

Circulation/Operational Strategy

Phasing/Demolition/Decanting Strategies

Design Concept and Proposed Services Strategy

Procurement Strategy

3.2. Update Project Documentation


3.3. Value Engineering Review

Value management during the design development stage is termed “Value Engineering”. The objectives are

to ascertain elements of the design and specification that add no value to the project in terms of satisfying the

brief and objectives of the Council or those which could be provided through another method thus increasing

value to the Council – see Value Engineering.

3.4. Whole Life Costing Review



3.5. RIBA Stage D Detailed Design Report

The RIBA Stage D report will enable the sign off of the stage. The RIBA Stage D report will include the

following (see RIBA Stage D Detailed Design Report):


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Introduction

Architectural


Cost


Procurement

Risk

Health and safety

Way Forward

Key Performance Indicators


3.6. Stage D Detailed Design Report Sign Off

The stage D report must be signed off by the Project Board. There must be evidence of stakeholder

consultation and agreement with the design.

3.7. Planning Application

The full planning application will be made by the Project Manager on behalf of the Client. Details about

Planning Applications along with the online form are available at www.plymouth.gov.uk/planningapplications -

see Planning Application.


Following the tender return a value engineering review should take place. The objective will be to ascertain

any further elements of the design and specification that can be amended or removed without effecting the

value to the project in terms of satisfying the brief and objectives of the Council or those which could be

provided through another method and increase the value to the Council. A full value engineering exercise

maybe required if the tender value exceeds that allowed in the budget – see Value Engineering Review.




3.10. RIBA Stage E Final Design & Cost Report

The RIBA Stage E report will enable the sign off of the stage. The RIBA Stage E report will include the

following (see RIBA Stage E Final Design & Cost Report):

Introduction


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Architectural


Cost


Procurement

Risk

Health and safety

Way Forward

Key Performance Indicators


3.11. Stage E Final Design & Cost Report Sign Off

The Stage E report must be signed off by the Project Board. There must be evidence of stakeholder

consultation and agreement with the final design. The Project Board will approve the submission of the

planning application.


This review confirms that appropriate design reviews and approvals have been undertaken and that the

recommended final proposal is appropriate before entering into the production information stage. It provides

assurance over the effectiveness of the design development. This is important to ensure that the final

proposal design is cost effective and consistent with Council/user requirements (per Proposals Stage) – see

Gateway 3 Review.


Confirm any updates to the Project Brief

Ensure any changes made to the project undertaken in value engineering exercises have been

communicated to all project stakeholders and duty holders

Ensure the Project Risk Register has been updated

Compliance with Stage E sign-off procedures

Ensure that the project cost plan per the Project Brief/Project Execution Plan is detailed and achievable

Ensure compliance with client’s statutory duties under CDM/Health and Safety Regulations

Ensure the Project Execution Plan is up to date

Ensure the Project Programme is updated with date and version reference

Ensure that the project plan as per the Project Brief and Project Execution Plan is detailed and achievable

Compliance with Monthly reporting procedures and requirements

Ensure all surveys are complete, relevant and valid

Ensure compliance with any planning requirements


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Drawings (including floor naming and room numbering) are produced to Council standards

Confirm the business case (cost vs. benefits) now that final proposal design is complete

Approved in line with regulatory requirements (including H&S) and Council delegations of authority

Ensure that project controls are in place to manage cost, time and quality in view of risk and change

Ensure approval of the final proposals and decision to proceed to production information by the

Client/Project Sponsor

Ensure that timescales for delivery are communicated and integrated with departmental plans.

3.13. Approval to Proceed by Capital Programme Board

Once the Stage E Report has been approved by the Capital Programme Board and the project has gone

through the Gateway Review 3 then the project is able to proceed to the next stage.


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4. RIBA Stages F – H (Production Information and Tender Action)

The Production Information Stage (F) is enables the preparation of detailed information for construction and

the application for statutory approvals.

The Tender Documentation Stage (G) enables the preparation and/or collation of tender documentation in

sufficient detail to enable a tender or tenders to be obtained for the project.

Tender Action Stage (H) sees the identification and evaluation of potential contractors and/or specialists for

the project. At the end of the stage tenders will be obtained and appraised with a clear recommendation

submitted to the client for approval.

4.1. Forward Plan

For projects greater then £500K in value a forward plan template must be prepared and submitted to notify

the public and Councillors that a key decision will be required in the near future. This will be undertaken by

the Portfolio Manager. Approval of the Forward Plan is required by the relevant Cabinet Member before the

Forward Plan is published. Cabinet will not approve any requests to enter into contract unless a Forward Plan

has been previously submitted at the appropriate time – see Forward Plan.



4.3. Tender Process for Contractor

The tender process must comply with all PCC Financial Regulations and OJEU requirements as applicable.

Advice and approval should be sort from PCC Procurement Team and all required PCC Processes followed.

In addition the procurement method will need to be approved by the Project Services Manager before

commencement.


Following the tender return a value engineering review should take place. The objective will be to ascertain

any further elements of the design and specification that can be amended or removed without effecting the

value to the project in terms of satisfying the brief and objectives of the Council or those which could be

provided through another method and increase the value to the Council. A full value engineering exercise

maybe required if the tender value exceeds that allowed in the budget – see Value Engineering Review.


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4.6. Update Capital Programme Business Case

The Business Case is used continuously to align the projects progress to the business objectives and at this

stage will be updated to reflect the tender return – see Update Capital Programme Business Case.

4.7. Prepare Contract Documentation

The contract documentation should start to be prepared and put in place ready for the Gateway 4 Review.

The Portfolio Manager will liaise with the PCC Legal Team to prepare the contract. The Capital Programme

Approval Form needs to be fully approved before the contract can be signed and the Contractor appointed.


This review confirms that appropriate design review and approvals have been undertaken and that the

recommended contract decision (for construction works only contracts) is appropriate before entering into

contract. It provides assurance over the effectiveness of the design development and tendering process (as

appropriate). This is important to ensure that the implemented design is cost effective and consistent with

Council/user requirements (per Proposals Stage) – see Gateway 4 Review.


Confirm the Business Case (cost vs. benefits) now that design is complete

Obtain additional authorisation for increased spend (as appropriate) using Change Request Form/CPAF

Confirm that tenders have been properly evaluated and the recommended contract decision is cost

effective and

Approved in line with regulatory requirements (including H&S) and Council delegations of authority

Ensure that project controls are in place to manage cost, time and quality in view of risk and change

Ensure approval of the detail design and decision to proceed to Construction Stage by the Client/Project

Sponsor

Ensure that timescales for delivery are communicated

Departmental plans

4.9. Capital Programme Approval Form

The Capital Programme Approval Form must be completed by the Portfolio Manager and all required

approvals identified within the document obtained before contracts can be signed and the Contractor

Appointed – see Capital Programme Approval Form.


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5. RIBA Stages J – K (Construction)

The Mobilisation Stage (J) enables the letting of the building contract and the main contractor to be appointed,

the issuing of information and arrangement site hand over to them.

Construction to Practical Completion Stage (K) enables the administration of the building contract to practical

completion, provision to the contractor of further information as and when reasonably required and review of

information provided by contractors to specialists

5.1. Appoint Main Contractor

A contract signed by both the Contractor and relevant PCC signatories must be in place before any works can

commence on site. Appointment of the main contractor requires approval and sign-off by the Project Services

Manager before taking place.

Only in exceptional circumstances will letters of intent be approved to enable certain elements of work or

orders placed for products to commence prior to the contract being signed. Once this is complete the site

should be handed over to the contractor – see Appoint Main Contractor.



5.3. Mobilisation and Construction

Throughout the Construction Period the Project Manager will continue to provide Monthly Reports to the

Portfolio Manager and Project Board. The Project Manager will also organise and report monthly site progress

meetings to the Portfolio Manager. Using the monthly reporting and site progress reports the Portfolio

Manager will track the progress of the project ensuring the Project Manager has tight control of the project.

They will ensure all certified payments are made within the required time scales and will monitor the overall

budget using a PCC internal Budget Monitoring Spreadsheet, collecting data on both external and internal

costs to the project.

5.4. Testing and Commissioning

The Project Manager will ensure that a detailed programme for testing and commissioning is prepared

(approx two months before handover), communicated and undertaken prior to Handover. This must include

the training of the relevant “Person In Control” of the property.


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5.5. Project Handover

The Project Manager will ensure a detailed handover programme is prepared (two weeks prior to handover),

communicated and undertaken. The Project Manager will ensure the Portfolio Manager, End User and Clerk

of Works attend the Handover meeting. The practical completion certificate will be signed and issued by the

Project Manager on successful completion of the handover.

5.6. Review Capital Programme Business Case

The Capital Programme Business Case must be reviewed to assess its alignment with the business

objectives and to identify any required actions – see Review Capital Programme Business Case.


This review focuses on ensuring that the project delivers the outcome defined in the Statement of Need and

Strategic Brief/Business Case. It provides assurance that the deliverables are satisfactory and capable of

being properly put into service to achieve the stated benefits – see Gateway 5 Review.


Ensure that the contract records are up to date

Ensure that the construction works are properly tested and accepted prior to final payment

Check that the business case remains valid and the project shall provide the stated benefits

Ensure that handover is properly controlled

Ensure that risks and issues are properly managed during construction and reflected in revised

contingency levels

Ensure that necessary testing is done (including user acceptance)

Ensure that appropriate arrangements are in place for maintenance and operation following handover.


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6. RIBA Stage L (Post Construction)

6.1. End Project Report

This report is the Project Manager's report to the SRO on how well the project has performed against the

Project Brief, including the original planned cost, schedule and risk allowances, the revised business case

and final version of the project plan – see End Project Report.

6.2. Final Account and Cost Analaysis

The final account should be agreed and signed off within three months of practical completion. The cost

manager will undertake a full cost analysis on the final contract figures and report accordingly.

6.3. Post Occupancy Review

A Post Occupational Review must be carried out when the facility has been in use for long

enough to determine whether the business benefits have been achieved (typically, twelve

months after completion and while the change is still recent enough for users to be aware of the

impact of the change).

This review establishes:

whether the expected business benefits have been achieved from the investment in the facility, as

justified in the business case.

if lessons learned from the business-focused aspects of the project will lead to recommendations for

improvements in performance on future projects.

As a minimum this review will assess:

the achievement of business case objectives to date

whole life costs and benefits to date against those forecast, and other benefits realised and expected

continued alignment to the business strategy

the effectiveness of improved business operations (which may include functions, processes and

staff numbers)

ways of maximising benefits and minimising whole-life cost and risk

the sensitivity of the business service to expected business change

business and user satisfaction.

There should be regular post implementation reviews over the operational life of the facility.

These reviews are essential inputs to Gate 6 Review.


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This Review focuses on ensuring that the project achieves the benefits identified in the Business Case.

This review shall be undertaken within six to twelve months following project handover or when evidence of

the in-service benefits is available. It must align with the Post Occupancy Review and use the information

gathered at that review – see Gateway 6 Review.


Assess whether the justification for the project, per the business case, was realistic. Assess whether the

planned benefits are now being delivered. Ensure that any on-going contract services meet user/Council

requirements and plans are in place to manage the contract to its conclusion.

6.5. Project File Closed

The project file with then be brought to a close and the PCC Programme Support Officer will ensure that the

file is appropriately archived – see Project File Closed.


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