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The UoL Project Professional Standards
Reference Procedure / Form Version Date Owner Location
FES101 Estates Benchmarking Database - 2017 G Irvine Held by author currentlyFES102 Project Managers Checklist v1 20-Oct-16 G Irvine FES102 EQMS linkFES103 Gateway Review Form v3 v3 2017 G Irvine FES103 EQMS link
CD101 Project Filling System v2 2017 G Irvine CD101 EQMS linkCD102 Client Guide & Governance Structure v4 2017 G Irvine CD101 EQMS linkCD103 Project Cashflow v2 2017 G Irvine CD103 EQMS linkCDxxx Project Programme template Asta template to be created - GICD104 Project Directory v2 2017 G Irvine CD104 EQMS linkCD105 Sustainabile Construction Tracker v2 2017 J Dixon-Gough CD105 EQMS linkCD106 Validation Checklist for a Full Planning Application 2017 G Irvine CD106 EQMS link
CD200 Whole Life Costing Analysis 2017 G Irvine Require a sample copyCD201 Project Risk Register Template v2 2017 G Irvine CD202 EQMS linkCD202 Project Manager Client Feedback v4 v4 2017 G Irvine CD203 EQMS link
DD101 Contractors Pre Qualification Questionnaire 2017 A Copcutt DD101 EQMS linkDD102 Contractors Pre Qualification Evaluation Matrix 2017 A Copcutt DD102 EQMS link
n/a n/a n/a
DD301 Room Data Sheet (sample) 2017 G Irvine DD301 EQMS link
n/a n/a n/a
TD201 Mid Tender Interview Agenda 2017 G Irvine TD201 EQMS link
CDxxx Tender Analysis Report Template to be created - GITD301 Post Tender Interview Agenda 2017 G Irvine TD301 EQMS link
TD400 Request to execute a Contract/Appointment 2017 G Irvine TD401 EQMS linkTD401 Pre Start Meeting Agenda v2 2017 G Irvine TD401 EQMS linkTD402 Notice of Commencement - Insurance v2 2017 G Irvine TD402 EQMS linkTD403 Clerk of Works report 2017 G Irvine TD403 EQMS link
C101 Notifiable Projects Site Setup Checklist & 10 point check n/a CDMA to complete checklist via SOTER inspection recordC102 Technical Enquiry 2017 G Irvine C201 EQMS linkC103 Contractors Submission 2017 G Irvine C103 EQMS linkC104 Building & Project Handover Record Documentation & Checklist 2017 Dave Kellett C104 EQMS linkC105 Handover - Maintenance Check List 2017 G Irvine C105 EQMS linkC106 Completion Certificate v2 2017 G Irvine C106 QMS link
C201 Design team Meeting Agenda v2 2017 G Irvine C201 EQMS linkC202 Site Progress Meeting Agenda v2 2017 G Irvine C202 EQMS linkC203 Client Liaison Meeting Agenda v2 2017 G Irvine C203 EQMS linkC204 Monthly PM report v2 2017 G Irvine C204 EQMS linkC205 Monthly PM Dashboard project review v2 2017 G Irvine C205 EQMS link
C300 Change Control Form v2 2017 G Irvine C300 EQMS linkC301 Notification of Compensation Event from the Project Manager v2 2017 G Irvine C301 EQMS linkC302 Notification of Compensation Event from the Contractor v2 2017 G Irvine C302 EQMS linkC303 Early Warning Notification v2 2017 G Irvine C303 EQMS linkC304 Quotation for a Compensation Event v2 2017 G Irvine C304 EQMS linkC305 Project Managers Instructions / Notification v2 2017 G Irvine C305 EQMS linkC306 Record of Risk Reduction Meeting v2 2017 G Irvine C306 EQMS link
C401 Interim Payment Certificate v2 2017 G Irvine C401 EQMS linkC402 Monthly PQS/PM Cost/Commercial Reporting template v2 2017 G Irvine C402 EQMS link
HO100 Final Contract Sum Statement 2017 G Irvine HO101 EQMS link
HO101 Defects Notification Post Handover Form 2017 G Irvine HO101 EQMS link
HO102 Assest data information pro-forma 2017 Dave Kellet HO102 EQMS link
HO103 Contractor Waste Reporting Form 2017 G Irvine HO103 EQMS link
HO104 Making Good Defects Certificate v2 2017 G Irvine HO104 EQMS link
IU101 Consultant Performance KPI Form v2 2017 G Irvine IU101 EQMS link
IU102 Contractor Performance KPI Form 2017 G Irvine Require a sample copy
IU103 Post occupancy Review 2017 G Irvine IU103 EQMS link
IU104 Post occupancy Review Appendix A-E 2017 G Irvine IU104 EQMS link
HS101 Notification of Proposed Works/Interruption 2017 Helpdesk HS101 EQMS linkHS102 Asbestos Survey Request Form 2017 Steve Wood HS102 EQMS linkn/a Out of Hours Working Authorisation n/a n/a R Hutchins SOTER system action only, no template
n/a n/a
P101 Purchasing Exception Report 2017 A Copcutt/RT P101 EQMS linkP102 Invitation to tender Template Document 2017 A Copcutt/RT P102 EQMS linkP103 Consultant Fee Schedule 2017 A Copcutt/RT P103 EQMS linkn/a University Consultant Scope of Service:
1 Architect Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
2 ME Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
3 PM Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
4 Engineer Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
5 CDM Advisor Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
6 BREEAM Assessor Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
7 Acoustics Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
8 Fire Engineer Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
9 Monitoring Architect Consultant Scope/Brief 2017 G Irvine EQMS Link to Standard Specification
10 AV Engineer 2017 G Irvine EQMS Link to Standard SpecificationP104 Basic Tender Evaluation Matrix 2017 A Copcutt/RT P105 EQMS linkP105 Unsuccessful Tenderer Feedback Form (v1) 2017 A Copcutt/RT P106 EQMS linkn/a Standard NEC Consultant Appointment Template 2017 A Copcutt/RT EQMS Link to Contracts/NECn/a Contract Notice Request Form n/a A Copcutt/RT Online OJEU system action only via procurement, no templateP106 Consultant Pre Qualification Questionnaire 2017 A Copcutt/RT P105 EQMS linkP107 Consultants Pre Qualification Evaluation Matrix 2017 A Copcutt/RT P105 EQMS linkP108 Consultant Interview Briefing Note Template 2017 A Copcutt/RT P105 EQMS linkP109 Consultant Interview Evaluation Template 2017 A Copcutt/RT P105 EQMS link
P201 Optional Move Strategy Template 2017 G Irvine P201 EQMS linkP202 Space Release agreement 2017 M Troughton P202 EQMS linkP203 Area Decontamination Certificate 2017 M Troughton P203 EQMS link
n/a n/a
OT001 UoL Letter Template 2017 G Irvine EQMS linkOT002 UoL Letter of Intent/Interim Contract 2017 G Irvine EQMS link
C4 Project Valuations
Handover (Stage SIX)
HO1 - Defects Resolution Post Handover
IU1 - In Use Post Project Review
Health and Safety
In Use (Stage SEVEN)
Health and Safety Process 1
Health and Safety Process 2
Office templates
Procurement
Procurement Process 1
Procurement Process 2
Procurement Process 3
C1 Construction Activities
C2 Site Progress Monitoring
C3 - Change Control Process
CD2 - Develop Concept
Detailed Proposals (Stage THREE)
DD1 - Expressions of Interest
DD3 - Detailed Proposals
Technical Design/Tender (Strage FOUR)
TD1 - Technical Design
TD2 - Produce Tender Documentation
TD4 Appoint Contractor / Mobilisation
Construction (Stage FIVE)
DD2 - Statutory Approval
TD3 Evaluate Tender Returns
Concept Design (Stage TWO)
Templates
Feasibility Option / Apprasial (Stage ONE)
FES1 - Prepare Strategic Brief/Feasibility
CD1 - Prepare Design Brief
Project Workflow
The UoL Project Professional Standards
Reference Procedure / Form Version Date Owner Location
POLICY: Investment - detailed guidelines building & refurb projects http://www.leeds.ac.uk/finance/investment_apprasial/linktodocuments/UoL_Inv
Dec_Guide_Latest
Strategic outline case
http://www.leeds.ac.uk/finance/investment_apprasial/linktodocuments/investmt
appcasestudy.doc
Prima Facia Business Case
http://www.leeds.ac.uk/finance/investment_apprasial/linktodocuments/invapppri
mafaciecase2.doc
Sustainable Construction procedure 19/10/2016 James Dixon-
GoughEQMS Link
Sustainable Design and Construction Standard2017 05/06/2017 James Dixon-
GoughEQMS Link
Policies and Procdures issued to Contractors at Tender Stage v4 17-May-17 G Irvine EQMS Link
UoL Full Business Case sample
http://www.leeds.ac.uk/finance/investment_apprasial/linktodocuments/invappco
uncilpaperv2.pdf
CL-16-32 Scheme of Delegation 24-Nov-16 Council EQMS Link
Policies and Procdures issued to Contractors at Tender Stage (v2) 2017 G Irvine EQMS Link
TD1 - Technical Design
Policy/Guidance
Feasibility Option / Apprasial (Stage ONE)
FES1 - Prepare Strategic Brief/Feasibility
Concept Design (Stage TWO)
CD1 - Prepare Design Brief
CD2 - Develop Concept
Detailed Proposals (Stage THREE)
DD1 - Expressions of Interest
DD2 - Statutory Approval
DD3 - Detailed Proposals
Technical Design/Tender (Strage FOUR)
IU1 - In Use Post Project Review
TD2 - Produce Tender Documentation
TD3 Evaluate Tender Returns
TD4 Appoint Contractor / Mobilisation
Construction (Stage FIVE)
C1 Construction Activities
C2 Site Progress Monitoring
C3 - Change Control Process
C4 Project Valuations
Handover (Stage SIX)
HO1 - Defects Resolution Post Handover
In Use (Stage SEVEN)
Procurement Process 3
Health and Safety
Health and Safety Process 1
Health and Safety Process 2
Procurement
Procurement Process 1
Procurement Process 2
Project Workflow
The UoL Project Professional Standards
= Gateway sign off
If printed this document becomes uncontrolled. June 2017
Capital & Design Projects RIBA Workflow
CD1 - PrepareDesign Brief
C2 - Site ProgressMonitoring
IU1 - Post ProjectReview
Feasibility Option /Appraisal
(Stages A / B)
Outline Proposals
(Stage C)
Detailed Proposals
(Stages D / E)
Tender
(Stages F / J)
Construction
(Stages K)
Post Project
(Stages L)
Health and Safety
Change Control
Risk Management
Consultation
Procurement
Key Themes
- Change Control 1
- Risk Management 1
- Consultation Schedule
- Appoint Design Team
- Decant / Recant
- Specialist Appointments
- Site Surveys / Visits
- Pre Start
- Onsite WorkingFES1 - Prepare
Strategic Brief &Feasibility
CD2 - DevelopConcept
DD1 - Expresions ofInterest
DD3 - DevelopedDesign
TD1 - TechnicalDesign
TD2 - ProduceTender
Documentation
TD3 - EvaluateTender Returns
C1 - ConstructionActivities
C3 - ChangeControl Process
HO1 - DefectResolution & Final
Account
DD2 - StatutoryApproval -Planning
C4 - CommercialValuations and
Reporting
Definition,Preparation & Brief
(Stage 1)
Concept Design
(Stage 2)
Developed Design
(Stage 3)
TechnicalDesign/Tender
(Stage 4)
Construction
(Stage 5)
Handover
(Stage 6)
In Use
(Stage 7)
Proceed toStage 2
Health and Safety:
Project Controls:
Risk Management:
Procurement:
KEY THEMES
C 3 - Change Control
CD202 - Project RiskRegister
P1 - Appoint Design Team& Specilaists
P2 - Decant/ Recant
P3 - Furniture
H&S 1- Site Surveys /Visits
H&S 2 - Onsite Working
TD4- AppointContractor /Mobilisation
Proceed toStage 3
Proceed toStage 4
Proceed toStage 5
Proceed toStage 6
Proceed toStage 7
C 2 - Progress
C 4 - Valuations &Reporting
Full Business Caseand Budget
approval
Strategic Outline andPrima Facie Case
approval
The UoL Project Professional Standards
FES1 - Prepare Strategic Brief
Gateway 1: Feasibility and Prima Facia
business case APPROVAL
Prima Facie Business Caseprepared by faculty with
budget input from Estates
Integrated Planning Exercise(IPE) discussions on spacewithin individual Faculty and
needs / fit with strategy
Start
Assessment of faculties' needsagainst strategic estate prioritiesand competing financial needs
Project prioritised as part ofannual Estate Strategy Review.Priorities are displaced in theStrategic Estates Cash Flow
POLICY: Investment - detailed guidelinesbuilding & refurb projects (TBC - AmeenaBradford)
STAGE 1:Project Workflow
Strategic outline case(SOC) submitted as
per IPE process
POLICY: Investment - detailed guidelinesbuilding & refurb projects (TBC -Ameena Bradford)
SOC SAMPLE
PFBC SAMPLE
Feasibility StudyCommissioned
Feasibility Study notrequired
Engage frameworkconsultant(s) to tender/undertake the feasibility
works, space usage analysisand develop options & brief
Feasibility worksundertaken internally by
Estates
Feasibility report completedand submitted to UoL
Project Manager
- End User / Faculty Head- Maintenance & Operations- Sustainability Service
Obtain Project Managerschecklist for reference and
Project ProfessionalStandards
TemplateFES102
CD1 Prepare DesignBrief
ProcurementProcess P1
Liaise with Planning & SpaceManagement, agents/valuers andlegal to identify & resolve any site
related issues
ESTABLISH VAT STATUS
TemplateFES103
The UoL Project Professional Standards
Yes No
CD1 - Prepare Design Brief
Produce ProjectDirectory
Appoint Design Team &establish detailed
(responsibility matrix) &UoL Scope of Service.
Create schedule of direct &on costs
Set up Capital ProjectAccount Number and
Establish Filing Structure
Issue standard FDspecifications to Consultantand agree fee draw down
Issue Client Guide andGovernance
Arrange and ConductUser Consultations toestablish requirements
Produce Design Conceptand review with
stakeholders
Undertake Cost Check ofDesign Concept, as built
info and updatebudget/cashflow to
produce Pre-TenderEstimate (PTE)
Obtain cost estimatesfrom relevant
stakeholders regardingspecialist equipment
Establish Steering Groupand / or Working
Group(s)
Produce ProjectProgramme
- End User / Faculty Head- IT- Catering- Engineering Services- Cleaning- Security- Maintanance and Operations- Disability/Equality Impact Assessment- Access Strategy- Fire- Sustainability service
TemplateCD101
Design works undertakeninternally by Estates
TemplateCD102
TemplateCD103
TemplateCD104
Produce draft ProjectCashflow and CHECKproject VAT STATUS
- Principal Designer- BREEAM- Engineer, Site investigation- QS- PM- Topo, GPR, Drainage, Asbestos- Services- Other specialists & Surveys
Project requires planningpermission?
TemplateCD106
Arrange a preapplication discussionwith LCC PLanners &
pay any fees. EstablishS106 requirements
Obtain writtenconfirmation from LCC
www.leeds.gov.uk forguideance
Assess S106requirements cost &negotiate with LCC.
Agree DesignParameters with LCC &
incorporate into theDesign Concept
STAGE 2:Project Workflow
Start
Produce sustainabilitytracker and related
gateway actions
Notify UniversityCommunications Dept
TemplateCD105
SustainableConstruction
Proceedures &Standard
TemplateCD103
ProcurementProcess P1
Health & SafetyProcess 1
FES1 Design Brief &Feasibility
CD2 - DevelopConcept
TemplateCDTBA
Standard Policies, Procedures& Specifications issued to
Consultants
The UoL Project Professional Standards
Gateway 2 - Stage 2 Sign Off
CD2 - Develop Concept
Produce Stage 2 report& presentation
Develop a valueengineered Design
Concept that fulfills thebusiness need and
meets key universitypolicy requirements
Survey Results fed intoDesign Concept.
Specialist Consultantsare incorporated into the
Design team andManaged by the Architect
Undertake a Whole LifeCosting Exercise to
determine carbon / energydemand and outputs
Undertake a procurementworkshop to determine thepreferred delivery method /
Contract
Develop a DecantStrategy with the Client if
Appropriate *
Risk workshop/Developpriced Project Risk
Register
Develop masterprogramme
Undertake Cost Check ofDesign Concept &
update PTE,budget/cashflow
If Project Budget isexceeded undertake a
value engineeringexercise
Design Team toundertake on site survey
works
Determine insurancerequirements with
University and Underwritersstipulations (Zurich)
- End User / Faculty Head- Project Sponser- ISS- Catering- Engineering Services- Cleaning- Security- Maintanance and Operations- Sustainability Service- H&S (Asbestos)- H&S (Fire Engineering)- H&S (Faculty)- AV
- Disability/Equality ImpactAssessment- Access Strategy- Central Teaching Space
PD to issue F10.
TemplateCD201
TemplateFES103
Undertake PM clientfeedback and PM
feedbackTemplate
CD202
TemplateCD200
STAGE 2:Project Workflow
Start
- Topography- Site investigation- Boreholes- Cloud point survey- Compartmentation- Drainage (above and below ground- Asbestos survey/records- GPR survey- Fire alarm & emergency lighting- Services/utility records- Other specialists & Surveys
Health & SafetyProcess 1
ProcurementProcess P1
ProcurementProcess P2
CD1 - PrepareDesign Brief
DD1 Expressionsof interest
The UoL Project Professional Standards
Yes No
OJEU
DD1 - Expressions of Interest
Start
Does OJEU apply?
In conjunction with UoLCentral Procurementdevelop and issue a
contract notice throughIntend
If value >£25k issuenotice on Contracts
Finder.
Prepare PQQdocumentation and
evaluation criteria andissue to CentralProcurement *
If required develop a listof required pre-
qualification and issue tothe potential tenderers
Undertake a team evaluationof the submitted pre-
qualification information
Provide evaluationdocumentation to CentralPurchasing so successful
and unsuccessful tendererscan be informed via Intend
Undertake pre- qualificationinterviews if required
Inform successful /unsuccessful tenderers
of their status andprovide provisional ITT
release date
STAGE 3:Project Workflow
TemplateDD101
TemplateDD102
Produce a list of possibletenderers to undertakethe work and confirm
project interest.
CD2 - DevelopConcept
DD2 - StatutoryApproval: Planning
ProcurementProcess P1
The UoL Project Professional Standards
No
Yes
DD2 - Statutory Approval: Planning
Start
Full Planning Applicationsubmission prepared by
the design team andsubmitted for Planning
review
Is the planningapplication accepted?
Review planningconditions and assignownership for delivery
Instruct solicitor to draftheads of terms for the
S106 agreement
Ensure University signsoff heads of terms
Provide schedule ofS106 payments to
Finance
Discussion with Directorof Estates the method for
undertaking PublicRealm Enhancements oroffsite improvements if
applicable
STAGE 3Project Workflow
Undertake PM clientfeedback and PM
feedback
TemplateCD106
www.leeds.gov.uk forguideance
TemplateCD202
Open discussions withLeeds MDC PlanningDept in regard to the
project
DD1 - Expressions ofInterest
DD3 - DevelopedDesign
Return to CD2
The UoL Project Professional Standards
Yes
No
DD3 - Developed Design
Gateway 3 - Stage 3 Sign Off ,
Business Case and Budget
Review & incorporatestage 2/3/4 commentsinto the design concept
Undertake detailedconsultation with
stakeholders to establishproject strategy /
requirements
Develop the outlineproposals into a detaileddesign through layouts,
elevations, servicingstrategies & room data
sheets
Obtain room data sign offfrom the client
Produce Stage 3 Report
Update priced ProjectRisk Register and master
programme
Undertake Cost Check ofDetailed Proposals and
update PTE
If the Project Budget isExceeded Undertake a
Value EngineeringExercise to Re-design the
Detailed Proposals
Produce designinformation and present
BIM/REVIT model
Project involves adecant?
Obtain Stakeholder signoff through report
distribution &presentations
Obtain room numbering ifrequired from Estate
Planning & Information
STAGE 3:Project Workflow
Obtain cost estimatesfrom relevantstakeholders
- End User / Faculty Head- Project Sponser- ISS- Catering- Engineering Services- Cleaning- Security- Maintanance and Operations- Sustainability Team- H&S (Asbestos)- H&S (Fire Engineering)- H&S (Faculty)- AV (School or CTS owned)- Disability/Equality Impact Assessment- Access strategy- Estates Planning- Estates Interior Designer- Marketing & Communication
- Central Teaching Space
- IT- Catering- AV- Estates Asbestos- Estates Interior Designer
Undertake a Whole LifeCosting Exercise to
determine carbon andenergy output
Are enabling worksrequired prior to the
comencement of the mainworks?
Update Client Guide &Update SustainabilityTracker and related
gateway actions
Discuss asset recordingwith Asset Team
Start
TemplateDP301
TemplateCD201
TemplateCD102
TemplateCD103
TemplateFES103
TemplateCD105
TD2 - Produce TenderDocumentation
ProcurementProcess P2
DD2 - StatutoryApproval: Planning
TD1 - TechnicalDesign
PREPARE FULLBUSINESS CASE
BUDGET APPROVAL
BC SAMPLE
POLICY: UoL Scheme of Delegation
The UoL Project Professional Standards
NoYes
No
Yes
TD1 - Technical Design
Start
Review & incorporatestage 3 comments into
the design
Undertake detailedconsultation with
stakeholders to refineproject strategy /
requirements
Develop the outlineproposals into a TechnicalDesign with Architectural,
structural & building servicesinformation, servicing
strategies & room datasheets
Update priced ProjectRisk Register and master
programme
Undertake Cost Checkof Technical Design and
refine Pre-TenderEstimate (PTE)
Produce final designinformation
STAGE 4:Project Workflow
- End User / Faculty Head- Project Sponser- ISS- Catering- Engineering Services- Cleaning- Security- Maintanance and Operations- Sustainability Service- H&S (Asbestos)- H&S (Fire Engineering)- H&S (Faculty)- AV- Disability/Equality ImpactAssessment- Access strategy- Estates Planning- Estates Interior Designer- Marketing & Communication Review whole life costing
exercise andsustainability tracker
Building Control submission
prepared by the designteam
Is the application accepted?
Building ControlRequirements to be
included within design &ITT
www.leeds.gov.uk forguideance
TemplateCD201
Review Health andSafety risks/strategy &SOTER and Blue Book
requirements
TemplateCD105
DD3 - Developed
TD2 - Produce Tender
Is the project onbudget?
Value Engineer:Return to CD2
Concept Design
TemplateCD200
Disability/Equality ImpactAssessment & Access Strategy
requirements incorporated
The UoL Project Professional Standards
TD2 - Produce Tender Documentation
Start
Confirm tender SINGLEor TWO stage process
and issue date withprocurement
Produce list of tenderdocumentation and
standards for inclusion (tobe agreed by University
and Design Team)
Undertake workshop todetermine contract
amendments terms andconditions and risk
allocations.Update priced risk register
Produce final tenderdocumentation incl UoL
standard Contract forms andissue to procurement two
working days prior to tenderrelease day
Tender documentsissued via Intend
Manage the addendumsand issue to the tenderers
via Intend
Manage and coordinatemid-tender clarification
meetings if required
Manage and coordinatethe resolution of
tenderers queries
Tender documentreturned on due date
via Intend
STAGE 4:Project Workflow
Building Control andPlanning Requirements tobe included within Tender
documents
Standard policies &specifications issued to
Contractors
TemplateTD201
TemplateCD201
TD1 TechnicalDesign
TD3 EvaluateTender Returns
The UoL Project Professional Standards
No
Yes Or
Either
Gateway 4 - Tender Report and approval of Contractor
TD3 - Evaluate Tender Returns
Start
Issue tender returns toDesign, H&S &
Sustainability teams forscoring and complete
technical review
Undertake a review of thereturns for consistency,clarity, inclusions and
exclusions
Obtain clarity regardinginclusions, exclusions,
technical and cost relatedqueries
Is the project withinbudget?
If the costs cannot bereconciled Capital Group
or VCEG to be madeaware
Cost differencesanctioned by relevant
approval body
Value Engineer and /or Redesign scheme
Manage and conduct posttender clarification
reveiews
Produce tender analysisreport. Including due
diligence & insolvencychecks
Tender report signed byDirector of Estates
STAGE 4:Project Workflow
Update priced ProjectRisk Register
Obtain updated costestimates from relevant
stakeholders
Forward Tender Report toEstates Finance for
completion
Provide unsuccessfultender feedback to
procurement
Procurement to inform unsuccessful contractors - 10 dayCooling off period. Note - The remedies directive allowsunsuccessful contractors to challenge a decision within 3
months of becoming aware of any tender process discrepancyref to Procurement Team for further advice if required
TemplateTD301
TemplateCD201
Template
FES103
Disposal of redundantfurniture via approved
methodology
TD2 - Produce TenderDocumentation
TD4 Appoint Contractor /Mobilisation
Return to DD3
The UoL Project Professional Standards
TD4 - Appoint Contractor / Mobilisation
Start
Issue contract awardnotice
Raise SIPR for Contractor PO
If contract negotiationsare required instruct
solicitor to negotiate onour behalf and reach
mutual conclusion
Manage and check theproduction of contract
documentation (or LOI)prior to issue to Contractor& obtain authority to issue
& execute
Upon receipt of signedcontract documentationorganise Council signing
through Secretariatand/or in accordnace
with Scheme ofDelelgation
Update masterprogramme
Appoint Clerk of Works
Appoint MonitoringConsultants if required
Liaise with PD, Marketing& Comms and contractor
regarding Site H&SIssues
If required arrange tenantbriefing to communicatepending works, liaisonwith Stakeholders eg.
Security
Issue notification ofworks via Estates Admin
STAGE 4:Project Workflow
Contractor establishessite & commences
work
Inform UniversityInsurance of
commencement
TemplateHS101
Health & SafetyProcess 2
Contractor H&Sdocumentation, plans,CPP all in place and
approved prior to starton site
Hold pre start meetingwith Contractor andagree site set up &
contacts
TemplateTD401
TemplateCD104
H&S: Management ofContractors Proceedures
TemplateTD402
ProcurementProcess 1
TD3 - EvaluateTender Returns
C1 - ConstructionActivities
Clerk of Works reports
TemplateTD403
UoL Scheme ofdelegation
Req to execute:Template TD400
The UoL Project Professional Standards
Gateway 5 - Completion
C1 - Construction Activities
Principal ContractorActivities
Design & ConstructActivities
STAGE 5:Project Workflow
Site Establishment, set upand emergency proceeduresincluding fire management
plan (TO BE APPROVED &KEPT UP TO DATE
THROUGHOUT)
Enabling Works incl.demolition, service
connections, asbestosremoval etc
Approved full & completedesign, detailing and
construction of project scopefor all internal & externalworks to Substructure &
Superstructure
University & Client Input- PM to manage
Contractor to submitdwgs & samples for
approval
University advisors to review and approvewith input from:- PM- Client / Stakeholder- Estates Planning & Info (roomnumbering)- Engineering Services- Central Teaching (AV) (if required)- ISS- Access Strategy- M&O, Central H&S (Fire) - fire alarmsand emergency lighting etc
Procurement of furnitureto Procurement policy ifnot part of Contractor
works
Agree with the Contractorthe testing commissioning
regime / training programmeat least 10 weeks prior tohandover and dsitribute tomaintenance & Operations
Confirm with the team theproject is commissioned and
ready for completion andobtain signed commissioning
report
Compile Building/Project Handover
Record Documentation
Obtain EPC or DisplayEnergy Certificate
certificate, evidenceSustainability Standards
met
Undertake PM clientfeedback and PM
feedback
TemplateC105
TemplateC106
TemplateFES103
Project HandoverMeeting
(Checklist and PC Cert)
TemplateCD202
Establish progressMonitoring & meeting
timetable
Establish commercialvaluation and reporting
procedures
Establish ChangeControl Procedure
TemplateC103
Exchange of TechnicalQueries between
project team
TemplateC102
Does the project involvea move of people?
It applicable confirmrelevant leases, legal's
are in place
TemplateC101
TemplateC104
Health & SafetyProcess 2
ProcurementProcess P2
ProcurementProcess P3
TD4 - Appoint Contractor /Mobilisation
HO1 - Defect Resolution &Final Account
C2C3
C4
Fire Management plansand strategy to be
reviewed
The UoL Project Professional Standards
C2 Site Progress Monitoring
Start
Finish
Works commence onsite
Site Progress MeetingDesign Team Meeting Client Meeting
Attend Site ProgressMeetings on datesagreed at Pre Start
Meeting
Attend Design TeamMeetings on datesagreed at Pre Start
Meeting
Attend Client LiaisonMeeting on datesagreed with Client
Attendance requiredfrom:- Project Manager- Main Contractor- M&E Contractor- QS- Design Team (if
required)- Principal Designer- CofW- M&O Rep (Suitable
Intervals and prior tohandover)- H&S advisor if
required
Attendance requiredfrom:- Architect (both sides)- Structural and Civil
Engineer- M&E Engineer- Main Contractor- M&E Contractor- PM (if required)- Engineering
Services (if required)- UoL Interior designer
(if Required)- End User (if
Required)
Attendance requiredfrom:- Project Manager- End User / Client
Representatives- Design Team (if
required)- Marketing &
Communication ifrequired
Review ProgressAgainst:- Programme of Works- Compensation
Events- Design Issues- Procurement- H&S- Feedback- Risk Management- Sustainability
Review ProgressAgainst:- Programme of
Works- Drawing Issue /
Approval- Design Issues- Review room
numbering at eachdesign/layout change- Procurement- Feedback- Risk Management- Sustainability
Review ProgressAgainst:- Programme of
Works- Budget- Approvals- Design Issues- Procurement- Client Feedback
(every 6 months duringproject)- Risk Management
PM to issue action point minutesfollowing each meeting as
appropriate and monitor throughto completion.
PM report and PM Dashboard tobe completed monthly for review
at Capital review meetings
Mo
nth
ly
Mo
nth
ly/F
ort
nig
htl
y
Mo
nth
ly/F
ort
nig
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STAGE 5:Project Workflow
Administer in accordance with the form of Main ContractConditions and standard templates
TemplateC202
TemplateC201
TemplateC203
TemplateC205
C1 ConstructionActivities
TemplateC204
The UoL Project Professional Standards
C3 - Change Control Process
Change initiated bythe Client / End User
Stage 5:Project Workflow
Finish
CHANGEIDENTIFIED
Notification ofchange issued byProject Manager
Authority Limits:
External Project Manager < £1,000
UoL Project Manager < £10,000 for scopechanges (per month)UoL Project Manager < £10,000 at anytime for H&S, asbestos works &emergency works
Director/Deputy Director of Estates <£100,000
Over £100,000 Capital Group
The form is submittedto the relevant
sponsor for approval
The form is submitted to the relevantauthority for approval and copied to CostManager and a request for a quotation
issued if necessary
The change is accepted or rejected &Instructed or Notified accordingly
Change reported at steering group
Risk Rduction meeting if required. Issueupdated cash flow, cost report and riskregister at monthly intervals for capital
project review meeting
TemplateC300
TemplateC301
Change initiated bythe Principal
Contractor
TemplateC302
Contractor issuesEarly Warning form
TemplateC303
Early Warning Formissued by Project
Manager
TemplateC303
Form is recorded and issued to PQS/Contractual PM
TemplateC304
Formal Compensation Event issuedby Contract PM
TemplateC305
Change shall be treated in accordance with the applicableConditions of Contract
TemplateC306
TemplateCD201
Contract documents, specificaton, scope,ERs & CPs checked to ensure requirement
for change is challenged where possible
C1 ConstructionActivities
The UoL Project Professional Standards
NO
Yes
no
No
Yes
C4 - Project commercial Valuations and reporting
Works commenceonsite
Finish
PM receives paymentcertificate from QS/PM
supported with a copy ofMC application summary
& QS assessment andundertakes a check
Interim or final Valuationsassessed by the QS and
submitted to PM for approval
In conjunction with MCagree cash flow and aschedule of application
dates and pass toaccount department
Payment certificateaccurate and fully
completed
Interim or final paymentcertificate passed to Finance
department for payment
Interim ValuationsUpon receipt of Interim Payment Certificate ProjectManager:- Is teh Contract or LOI signed?- Checks the Contract Sum amount detailed on theInterim Payment Certificate against the ContractDocuments to verify correct.- Verifies that the amount recommended forpayment by the QS represents the price for workdone to date plus other amounts to be paid to thecontractor less amounts to be paid by or retainedfrom the Contractor. (Clause 50.2)- Checks that the Contractor has submitted a firstprogramme for acceptance. If no programme hasbeen submitted one quarter of the Price for WorkDone to Date is retained from assessment of theamount due until the Contractor has submitted a firstprogramme for acceptance (Clause 50.3)- Checks the "Deduct amount previously certified"figure against the previous signed copy of theInterim Payment Certificate.- Comp checks the Interim Payment Certificate andretention to ensure mathematical accuracy- If final, Checks that Building/ ProjectHandover Record Documentation is complete
PM returns PaymentCertificate to QS foradjustment and re-
submission
Stage 5:Project Workflow
QS/PM to provide detailed commercial reportincluding elemental forecast cost to complete
against approved budget. This shall be providedat agreed monthly intervals for capital projects
review meeting, PM dashboard
Issue updated cash flow provided at monthlyintervals for capital projects review meeting
Risk reduction meeting if required.
TemplateCD104
TemplateC401
TemplateC402
Applications and payments shall be in accordance withthe applicable Conditions of Contract
TemplateCD103
TemplateC204
CONTRACT EXECUTED& CERTIFIED VALUEWITHIN LETTER OF
INTENT?
UNSIGNEDCONTRACT OR
LETTER OF INTENTEXCEEDED
ISSUE NIL PAYMENTCERTIFICATE
ISSUE PAYMENTCERTIFICATE
C1 Construction
EXECUTED CONTRACTTO BE SCANNED AND
UPLOADED TO UoLPROJECT FOLDER
The UoL Project Professional Standards
Payment Due?
HO1 - Defects Resolution & Final Account Post Handover
Handover
Contractor resolvesdefect
Estates Helpdeskmonitor the response
and close it out
Defect categorised andreported to the
contractor and trackedto resolution
'Defects' are reported tonominated client
representative. ClientRepresentative forwards
defect to Estates Helpdesk
Stage 6:Project Workflow
Work categorised andreported to Estates
Maintenance and trackedto resolution
Maintenance resolves
TemplateHO101
Manage completion ofAsset ManagementDatabase from the
Contractor
Obtain completed SWMPand pass to sustainability
team
Obtain final BREEAMrating for the project
Obtain DEC 12 monthsafter completion
Implement a seasonalcommissioning regime
Upon satisfactorycompletion of defectsissue 12 month finaldefect certificate andrelease retention via
payment process (C4)
Agree auditable finalaccount with the contractor
TemplateHO102
TemplateHO103
TemplateHO104
QS/PM to provide detailed elemental commercial report includingactual FINAL out turn costs
Update costbenchmarking database
(GI)
TemplateCD202
Undertake PM clientfeedback and PM
feedback
COMPLETE Building/Project Handover Record
Documentation
C4 CommercialValuations
C1 - ConstructionActivities
IU1 - Post ProjectReview
C4
Obtain BIM model fromContractor
Confirm room numberingcorrect on plans withEstates Planning, inclsignage and (CAFM)
database
SIGNED FINAL ACCOUNTSTATEMENT IN PLACE Template
HO100
The UoL Project Professional Standards
IU1 - Post Project Review
Start
Stage 7:Project Workflow
6 months postcompletion undertake
lessons learnedcompletion review
Undertake final KPIreview of the design
teams, PM & QSperformance
Undertake final KPIreview of Contractor
Undertake postoccupancy evaluation
Instruct Admin Team to Archive the project on system.COPY OF ALL CONTRACT DOCUMENTATAION
SHALL BE PLACED ON THE SYSTEMS FORREFERENCE
Finish
TemplateIU101
TemplateIU102
TemplateIU104
HO1 - Defect Resolution &Final Account
Undertake finall postcompletion cost analysis Template
C402
TemplateIU103
Check updated UoLbuilding record drawings
updated for estatesreference
The UoL Project Professional Standards
EQMSLink
Low Risk High Risk
HS1 Site Surveys / Visits
Consultant requires site access to undertakesurveys
Project Workflow
Finish
Start
HIGH RISK:Site Survey or visit
HV/LV switch/transformerroom, Plant Room, Sub
Station, Lab, Prep Rooms,Ducts, Risers, Roofs,
LOW RISK: SiteSurvey or visit
PM to review MS&RA submitted byconsultant 24 hours in advance.review risk level and determine if
you should be in attendance
Consultant to contactBuilding Manager if
access is required torooms
PM/Technical Officer issuespermit or access authorisation onday of survey. Consultant to sign
in
PM to arrange EstatesTechnical Officer to
review MS&RA ifapplicable
Out of Hours Work (outside Monday - Friday 08:00 - 17:00).Same processes as above but 24 hours notice is required to
inform security and arrange access
If the work involves disruption to occupants sendout via Estates Admin a Noification of Works or
Interruption of Services
Consultant to visit FDoffice and sign out on
departure
If 'physical' works in building datingprior to 2000 Review Asbestos
Register to determine if a risk exists
H&S: Management ofContractors Proceedures
Contractor/Consultant TO COMEPLETEUNIVERSITY or FACULTY INDUCTION or BRIEFING
WHERE NECESSARY(Note requirements for all operatives to log on/off
through SOTER system)
Procedure: ContractorInduction & SOTER Use
Asbestos
ManagementProceedures
TemplateHS101
Template: FD RiskAssessment HS103
Arrangements forissuing permits to
Contractors
Arrangementsfor issuingpermits toContractors
Requires issue of'Authorisation' for out
of hours work onSOTER
CD2 Develop
Procurement
If required requestasbestos survey fromestates asbestos team
TemplateHS102
The UoL Project Professional Standards
HS2 Onsite WorkingProject Workflow
Start
If the work involvesdisruption to occupants send
out via Estates Admin aNotification of Works orInterruption of Services
Authorisation required toenter any area on estate
Finish
PM to assess impact of workson any adjacent projects andconduct appropriate liaison
If requiredTemp Site set upplans, fire strategy etc to be
approved -
TemplateHS101
H&S: Management ofContractors Proceedures
Contractor/Consultant TO COMPLETE UNIVERSITYor FACULTY INDUCTION or BRIEFING WHERE
NECESSARY(Note requirements for all operatives to log on/off
through SOTER system)
Procedure: ContractorInduction & SOTER Use
If 'physical' works in building datingprior to 2000 Review AsbestosRegister to determine if a risk
exists
AsbestosManagementProceedures
PM to review MS&RA submitted byconsultant 24 hours in advance.review risk level and determine if
you should be in attendance
PM to arrange Estates ElectricRep to review MS&RA if
applicable
PM/Estates Authorised Person issuespermit or access authorisation.
Contractor to sign in
Arrangements forissuing permits to
Contractors
Arrangements for Durationof Authorisations &
Permits
Authorised Person toissue required permits,
keys, radios and monitors
On Completion, Issuerto close out permit
Contractor to return to FD& sign out by 16:45
Clarify if out of hoursauhtorisation is required
If in any doubt that correctauthorisations are in place STOP
WORK and review with safety dept
TD4 AppointContractor/Mobilisation
C1 - ConstructionActivities
The UoL Project Professional Standards
or
Policy???
P1 - Appoint Design Team & Specialists
Framework Appointment External Appointmentover OJEU Threshold
Appoint Design Team,Specialist Consultantsand/or comission Site
Surveys
External Appointmentunder OJEU Threshold
Prepare Mini TenderDocumentation including
Form of Appointment
Issue to all FrameworkConsultants via Email
Evaluate TenderReturns, returns viapurchasing or email
directly to PM
Award Contract byraising SIPR and Issue
Appointment
Upon Receipt of SignedAppointment Documentsorganise Council Signing
through Secretarial
Prepare TenderDocumentationincluding (inclsustainability
questions) Form ofAppointment via
Purchasing
Issue to minimum threeConsultants via Email or
in Writing
Draft OJEU Notice/PQQand forward to
Procurement to Issue viaIntend
Evaluate ReturnedPQQ's and Provide
Feedback toUnsuccessfuls
Draft ITT documentation(incl sustainability
questions) and issue viaIntend to Tenderers
Evaluate Tender Returnsvia Intend
Organise and ManageTender Interviews (if
required)
Award Contract byraising SIPR and IssuingAppointment Documents
Project Workflow
Finish
P P
If tendering to only oneparty follow the processbelow but complete a
purchase exception reportfor authorisation
Inform UnsuccessfulTenderers/feedback.
Undertake 10 day coolingoff period
Procurement to inform unsuccessful Consultants - 10day Cooling off period. Note - The remedies directiveallows unsuccessful tenderers to challenge a decision
within 3 months of becoming aware of any tenderprocess discrepancy
Upon Receipt of SignedAppointment Documentsorganise Council Signing
through Secretarial
Update PEP
TemplateP101
TemplateP103
TemplateP102
TemplateP104
AppiontTemplate
TemplateP105
TemplateP106
TemplateP1108
TemplateP102
TemplateP104
TemplateP107
TemplateP109
AppointTemplate
Health & SafetyProcess 1
Scope ofservices
TemplateP103
Scope ofservices
CD1
FES1
DD1
Proceeduresissued to
Consultants
The UoL Project Professional Standards
Yes
No
P2 - Decant / Recant
If project involves a decant /Recant. Liaise with the client to
develop decant / recantstrategy & programme
Will an outsideremoval company be
required?
Tender documentationissued to minimum three
tenders
Award contract by raisingSIRP and issuing terms
Faculty will manage themove, PM to assist if
required
Project Workflow
Finish
In conjunction liaise withEstates Planning to determineavailable property or space in
existing buildings
Does the decant spacerequire prepartion,
enabling or constructionworks.
In conjunction with theFaculty compile a list of
works and agreeprogramme.
Consult with ISS and agreeIT and phone requirements
Once the space isdecanted the faculty to
complete a SpaceRelease agreement
TemplateP202
TemplateP201
TD2 - Produce TenderDocumentation
If tendering to only oneparty follow the processbelow but complete a
purchase exception reportfor authorisation
TemplateP101
Evaluate TenderReturns, returns andadvise unsuccessful
parties
CD2
DD3
C1
The UoL Project Professional Standards
Yes
No
P3 - Furniture
New furniture isrequired
Check installation is inline with furniture layout
drawings
Will the furniture beprovided through the
main contract
Project Workflow
Finish
Consider recycling?
Through consultationwith the end user theArchitect will detail
furniture positions on thelayout drawings and
schedule loose and fixedfurniture on the room
data sheets
Contractormanages tender
process, they have
PM to tender thefurniture using the North
East UniversityPurchasing Consortium
(NEUPC)
Tender documentationissued to a minimum
three tenderers
Evaluate TenderReturns, returns via
Purchasing
Award Contract
Manage the supply,delivery and installation
of the furniture
Contractor proposalswill be developed andagreed in conjunctionwith the end user and
University Interiordesigner
PM will develop furnitureproposals in conjunction
with the end user andUniversity Interior
Designer
C1