Client Guide and Governance Structure

Transcription

1 Facilities Directorate Project Name Client Guide and Governance Structure Date - Version Information for Internal / External Stakeholders regarding the execution and Governance of Capital Projects. Contents: 1: Introduction 2: Project Brief 3: Project Directory & Structure/reporting lines 4: Roles & Responsibilities 5: The Project Professional Standards

2 1.0 Introduction This document outlines a governance and delivery structure for Project Name. It provides guidance to all clients/stakeholders as to how Estates Services will manage the project. 1.1 Governance The Governance structure will identify the roles and responsibilities of the multiple stakeholders involved in the project. This document will outline a structure for clear and timely decision making during various phases of the project. This document will establish: Roles and responsibilities of the Project Sponsor Roles and responsibilities of the Project Steering Group Role of the Project Stakeholders Roles and responsibilities of the Client Liaison Officer Roles and responsibilities of the Project Manager or Officer (PM/PO) / Design Team 1.2 Project Delivery Estates Services have developed the Project Professional Standards (PPS) a workflow that will be used as a tool to deliver all projects. The Standards set out a clear guidance and set of processes that need to be followed in order to successfully deliver the Project and provide a comprehensive suite of templates for use and application throughout. This document provides a very brief overview of the Standards so clients and stakeholders can understand the terminology and the systems we are following. 2.0 Project Brief Insertion of project brief 3.0 Project Directory and Structure/Reporting Lines 3.1 Project Directory Project Sponsor Project Steering Group Client Client Client Stakeholder Stakeholder Stakeholder Stakeholder External Project Manager Governance Stakeholders/Clients Facilities Directorate University Wide e.g. ISS Neighboring parties Third parties e.g. Planning Authority, Listed Buildings Project Team

3 CD102: Client Guide and Governance Structure Architect Civil & Structural Engineer M&E Engineer Cost Consultant CDM Advisor The full Consultation Schedule is attached as appendix A 3

4 CD102: Client Guide and Governance Structure 4.0 Roles and Responsibilities The University Council The University Council has many corporate and governance responsibilities, in relation to Capital Projects the responsibilities can be summarized as follows: 1. Approve the 5-year capital expenditure forecast and Estate Strategy. 2. Approve Business Cases where project cost is greater than 5 million. 3. Provide approvals at relevant project stages including revised budget re-approval University Executive Group The University Executive Group has delegated powers from the University Council to undertake the following Capital Projects responsibilities: 1. Approve the 5-year capital expenditure forecast and Estate Strategy and once agreed forward to the Council for approval. 2. Review and approve prima facie and full business cases up to 5m and where appropriate advise the Council where project costs exceed 5 million. 3. Provide approvals at relevant project stages. Capital Group Responsibilities: 1. Review the Estate Strategy 2. Review and approve prima facie and full business cases up to 3m and where appropriate advise the UEG where project costs exceed 3 million. 3. Provide approvals at relevant project stages Project Appraisal Group The Project Appraisal Group has delegated powers from the Capital group. Responsibilities include: 1. Oversee preparation of SOC, PFBC and Full Business Cases prior to submission to Capital 2. Review the Estate Strategy 3. Review and approve prima facie and full business cases up to 500k The Project Sponsor The Project Sponsor is a key role with overall responsibility for the project, the business case and its outcomes, providing high level direction throughout the life of the project and acting as the primary champion for the project. Responsibilities include:- 1. Overall responsibility for the success of the project in delivering the business impact and business benefits as outlined in the original project definition and business case. 2. To provide strategic leadership and vision to the steering group and the PM/PO to deliver on time and in budget. 4

5 CD102: Client Guide and Governance Structure 3. To work with the steering group to oversee and ensure the successful planning and delivery of the project. 4. To champion the project, communicating with stakeholders to secure their support and commitment. 5. To provide the University wide strategic context for the project 6. To identify and secure the academic resources necessary to ensure the successful delivery of the project. Project Steering Group The project steering group supports the project sponsor in providing effective project oversight and governance. The steering group should have a broad representation of the key stakeholders, enabling it to take a balanced high level consideration of the business case, risks, benefits, issues and progress of the project. Ideally this group should be small enough to act as an executive group. The project steering group generally will include the following representation the project sponsor, the Project Manager/Officer, the Client Liaison Officer, end user representatives, a neutral/external representative, a senior academic and a senior University representative. Responsibilities include:- 1. To provide specialist input to ensure the successful delivery of the project where that is required. 2. To receive and appraise the information received from the PM/PO regarding the delivery of the project. 3. To manage inter dependencies between the project and other on-going projects. 4. To communicate the purpose and activities of the project. 5. To undertake a project assurance role, identifying how the project is delivering against the project specification and business case. 6. To monitor risks to the successful delivery of the project and to agree mitigation. 7. To authorise, where appropriate, deviation from the original plan, in the light of changes within the project. 8. To consider the allocation of time and resources required to meet the requirements of the project. 9. To agree the completion of the project stage and successful delivery of expectations. 10. To sign off the relevant gateway approvals Frequency: Quarterly The Internal Project Manager/Project Officer (PM/PO) The PM/PO is responsible for the day-today management and successful delivery of the project through the planning and delivery stages and reports to the project sponsor. The PM/PO is responsible for planning and managing the activity to achieve the deliverables and outcomes within the agreed cost, time and quality envelopes defined in the project definition. Responsibilities include:- 1. Delivering the project to the agreed project definition and business case and achieving the outputs that underpin the project s business case 2. To manage, undertake/have oversight of the planning and delivery of the project 3. To report to the steering group on the delivery, gathering and presenting the necessary information to enable the steering group to understand the actions and progress of the project 5

6 CD102: Client Guide and Governance Structure 4. To identify and subsequently manage risks which might jeopardise the successful delivery of the project and to communicate these to the steering group. 5. To prepare programmes and maintain an accurate picture of the progress of the project. 6. To manage the risk register, direct costs/on costs and accurately report. 7. To deal with issues and risks as they occur and work closely with the project sponsor to evaluate progress and take corrective action. The Client Liaison Officer The Client Liaison Officer is the one point of contact for all client decisions. A senior member of staff should be appointed to this role who has the necessary knowledge and authority. They should be familiar with the contents of this guide and the Professional Standards and expect to spe3nd up to a third of his/her time on the project during the briefing and design phases and anticipate a significant investment of time and involvement throughout. This is an appointment from within the school or faculty that will use the new facility, and has the role of consulting colleagues about, and securing their agreement to the design proposals. The Client Liaison Officer will also be charged with consulting the client department, school safety representatives and the local nominated Trade Union Safety Representative. This role is an extremely important one in delivering the project objectives, prior to nomination the faculty should appreciate the time required to undertake this role successful and allocation sufficient resources. Responsibilities include: 1. Single point of contact/responsibility and ability to make decisions 2. Communicates all project decisions and information within the faculty / department 3. Works closely with the Internal PM/PO to deal with issues as they occur 4. Communicates with the school health and safety representative regarding the project and obtains all the necessary approvals and clearance certificates so works can proceed The External Project Manager On larger projects an external Project Manager maybe appointed to assist the internal PM/PO officer with the management of the Contractor and the main contract. The responsibilities of this appointment will be similar to that of the Internal PM/PO. Roles and scope of duties will be agreed between Estates Services and the External PM but are generally as set out in the University Scope of Service documents. The External Cost Manager/Quantity Surveyor On larger projects an external Cost Manager/Quantity Surveyor maybe appointed to carry out all aspects of project commercial administration and management. This will include cost planning/control and forecasting, risk management and procurement advice, with detailed reporting and advice/guidance throughout at all RIBA stages to support decision pro-active decision making, to achieve outturn costs within approved budget. Roles and scope of duties are generally as set out in the University Scope of Service documents. 6

7 CD102: Client Guide and Governance Structure Design Team The design team is responsible for the successful delivery of the project and developing a fully working design in accordance with end user requirements. Roles and duties of each externally appointed professional discipline are set out in the University Scope of Service documents. Key Responsibilities: 1. To develop the design brief into a working scheme through user consultation 2. To develop a design that conforms to the programme and budgets requirements of the University 3. To develop a design that conforms to all the Universities requirements 4. To develop a design that complies with relevant statutory and legal requirements 5. To obtain feedback from internal and external stakeholders Project Working Group The size and scale of a project may warrant one or more working groups to deliver specific work streams within the project. The PM/PO leads the coordination and management of all working groups and teams involved in the delivery of the project. The working groups should include relevant specialists from within the University. Key Responsibilities: 1. To deliver the outputs and make decisions for an individual work stream, escalating project wide issues to the steering group as appropriate. 2. To contribute to the broader project direction and report to project steering group 3. To lead broader consultation with stakeholders on specific work stream issues. 4. To understand how the particular work stream fits into the broader landscape of the project. Stakeholders A stakeholder is anybody who is affected by the project, including users. Not all stakeholders will be involved in the project, but typically their views will be represented on the project either by an individual who may sit on the steering group or who may have been involved in a consultation activity at any stage. 7

8 CD102: Client Guide and Governance Structure 5.0 The Project Professional Standards (Document ref/link: tba) The University has developed a complete project workflow document and which provides clarity and sets out the minimum professional standards required for management and control of any project. This applies to all project stakeholders at each of the RIBA work stages and provides guidance, policy, administration templates and acts as an aide to memoir. The project management process is split into seven key RIBA project work stages; each key process has a series of sub processes and then key themes running through the entire project life cycle. At certain points within the project a gateway review is required, this is identified by a traffic light symbol. Strategic Definition, Preparation and Brief (RIBA Stage 0-1) The Strategic Definition, Preparation and Brief stage is where a need is identified by the department or service and the underlying solutions are defined. A strategic brief will identify the client needs, objectives and possible constraints on the project. Preparation of feasibility studies, assessment of options and the development of a Strategic Outline Case (SOC) will enable a decision to be made on whether to proceed. The initial statements of requirements will be developed into a design brief and a Prima Facie Business Case (PFBC) through appointing consultants and engaging with Stakeholders. Objectives - To define the business need and its objectives - To explore the full range of options to meet the business need and identified objectives 8

9 CD102: Client Guide and Governance Structure - To determine a preferred solution and prepare feasibility estimate for discussion/funding To develop a design brief confirming key requirements and constraints The following processes must be followed to complete Stage 1: FES1 - Prepare Strategic Brief Gateway Review 1 Stage 1 sign off: Feasibility & Prima Facie Business Case approval Concept Design (RIBA Stage 2) The Concept Design stage will develop the design brief into a concept design. The design team will be appointed and outline proposals will be produced for the structural and building services systems, an outline specification will be progressed and a cost plan will be established. Consultations with stakeholders will be established, the procurement route agreed and the master programme will be developed for the project. Objectives - To develop the design brief into a concept design - To determine the cost of the concept through discussion/feedback and refine feasibility estimate to cost plan - To engage the planners in pre-consultation discussions. - Carry out site surveys - Produce stage 2 report for signoff The following processes must be followed to complete Stage 2; CD1 - Prepare Design Brief CD2 - Develop Concept Gateway Review 2 Stage 2 Sign off Developed Design (RIBA Stage 3) At this stage the design team will form strategy and obtain decisions all matters related to design specification, construction and cost. In liaison with the client, the design team will produce room data sheets identifying individual room requirements and final working drawings. Objectives - To develop the outline proposals into a fully developed design - To obtain client/stakeholder sign-off of the design - To submit a full planning application - To obtain expressions of interest from tenderers (if required) - Produce stage 3 report and Full Business case for sign-off and refine cost plan to support budget requirements, based on final agreed client requirements. The following processes must be followed to complete stage 3: DD1 Expressions of Interest DD2 Statutory Approval: Planning DD3 Developed Design Gateway Review 3 Full Business Case, budget approval & Stage 3 Sign off Technical Design & Tender (RIBA Stage 4) 9

10 CD102: Client Guide and Governance Structure At this stage final design will be completed and the employers requirements documentation will be collated in sufficient detail to enable tender or tenders to be obtained for the project. Received tenders will be appraised and a recommendation will be submitted. The contractor will formally be appointed and the contractor will set up site. Objectives - To develop the developed design into a fully detailed technical design - Prepare developed and detailed pre-tender estimate - Preparation of tender documentation - Analysis & appraisal of the tenders Value Engineer if required - University approval to award a contract - Contractor mobilisation and site set up The following processes must be followed to complete Stage 4 TD1 Technical Design TD2 Produce Tender Documentation TD3 Evaluate Tender Returns Gateway Review 4 Tender Report, Contractor appointment and Stage 4 sign off TD4 Appoint Contractor/Mobilisation Construction (RIBA Stage 5) At this stage the project is constructed in accordance with the Construction Programme and final design issue are solved. The building contract is actively managed from start on site to completion by the internal or external Project Manager. Prior to completion a commissioning and handover plan is agreed to allow a seamless transition and soft landings to occur. Objectives - Effective management of the building contract - Progress monitoring, risk management and change control in accordance with Standards - Cost control, payment evaluation, programme management and detailed reporting - Effective commissioning and handover plan The following processes must be followed to complete Stage 5 C1 Construction Activities C2 Site Progress & Monitoring C3 Change Control Process C4 Commercial Valuation and Reporting Gateway Review 5 Handover & Completion Handover & Closeout (RIBA Stage 6) Once the project is handed over an effective process will be in place to manage defect resolution and a final account will be agreed where possible. There will be many post project items that need to be managed by the PM/PO including defects liability to ensure project closure. Objectives - Effective defect resolution - Assisting building user during initial occupation period 10

11 CD102: Client Guide and Governance Structure - Agreement of auditable final account Undertake PM/Client feedback The following processes must be followed to complete Stage 6 HO1 Defect Resolution & Final Account Post Handover In Use (RIBA Stage 7) Once complete and in use we are required to conduct further review of the project, the team and lessons learned through the project and ensure issues are fully closed out. This may include post-occupancy evaluation, review of project performance, project outcomes and research and development aspects. Project Information should also be updated, as required, in response to ongoing client Feedback until the end of the building s life. Objectives - Review lessons learned and project performance in use - Carry out a Post Occupancy Evaluation - Completion of KPI review - Final cost analysis and feedback to benchmarking data - Final archive The following processes must be followed to complete Post Project (L) IU1 Post Project Review Key Points of reference to be followed throughout RIBA stages and workflow Health & Safety: HS1- Health & Safety process Site Surveys & Visits HS2- Health & Safety process Onsite Working Procurement: It should be noted that guidance must be sought from the University Procurement department prior any procurement or appointment, to ensure the correct procedure is followed in relation to Government legislation and OJEU rules and use of existing agreements, Frameworks or Term arrangements. P1- Procurement process Appoint Design Team, Specialist Consultants & Surveys P2- Procurement process Decant/Recant P3- Procurement process Furniture procurement 11

12 CD102: Client Guide and Governance Structure 6.0 Primary University duties under CDM Regulations 2015 This form is aimed to ensure those involved in works are aware of the primary duties held by the University under the Construction (Design and Management) Regulations 2015 (CDM 2015) and the constraints posed by public sector procurement regulations. Estate Services are duty bound to ensure the health, safety and wellbeing of construction workers, staff and students. It is therefore important that colleagues in the wider University whose decisions may inadvertently impact upon the works are made aware of these duties. This form should be completed by the primary point of contact from the Faculty, School or Service to confirm an understanding of the duties and to signify an agreement to support Estate Services in pursuant of these duties. CDM 2015 places duties upon the University and those involved in works to; Ensure designer(s), where appointed, and contractors are provided with sufficient time and resources to allow each stage of the project to be carefully considered so that all construction work and any future works or maintenance can be undertaken safely. Such stages include, but are not limited to; obtaining an adequate brief, all aspects of design, obtaining statutory consents, procurement, tender evaluation, mobilisation and construction. Example of a typical small/medium project timeline Design Period Procurement & Order Mobilisation Construction < Variable > < Typically> < Minimum > < Variable > 8 Weeks 7 Weeks 2 Weeks 8 Weeks It is important to recognise that late confirmation of specialist equipment/suppliers, late changes in design and specification and restrictions imposed on access, working hours etc., will each have a detrimental impact on the programme. Furthermore, accelerating the pace of the design and/or construction phase of a project to compensate for delay can have a negative effect on the quality of work and health and safety. Suppliers will need to have their health and safety credentials, insurances and specialist accreditations checked prior to appointment. Individuals will also require to be inducted by our Safety Team, this ensures our expectations are known, emergency arrangements are clear and any usual or significant risks are brought to their attention. Ensure contractors have access to adequate welfare facilities. The HSE expect welfare facilities to be of adequate size to accommodate the number of workers on site at any one time and for these facilities to include: flushing toilets, hot and cold running water, a means of boiling water and heating food, a separate sink (from that in the toilet) for washing crockery, tables and chairs in a clean area away from work to eat food, a space to store PPE and dry wet clothing. This may on occasion require car parking spaces to be allocated and/or spaces adjacent to the project being made available for accommodation and waste skips. With the exception of student accommodation, where reasonable we encourage the use of existing facilities including the use of our commercial outlets. Ensure suitable arrangements are implemented to protect the health and safety of those working and those that could be affected by the works including our staff and students. It is particularly important we have a clear and concise understanding of the project aims which need to include your expectations during the design, during works and after the build. Sharing these at an early stage can help shape the approach taken to plan and accommodate your requirements. Estate Services will do everything possible to reduce the impact of the project on the campus, it is important to recognise that construction work will invariably involve elevated noise levels, vibration, dust and smells, disruption by deliveries and waste removal, a possible need to isolate services, erect hoarding and assign space for skips, site offices, storage of materials etc. The need to provide information to those designing and undertaking the works to help them plan the works in a timely fashion. Estate Services will collate and provide this information to those that require it. This may involve the need for you to provide information within your control or expertise so not to delay the programme. It may also involve the need to access areas to undertake investigatory works some time before the actual works start which might in itself cause some disruption. Name: Telephone: Date: 12

13 CD102: Client Guide and Governance Structure 7.0 Cost Control and Change Management All stakeholders are required to follow the change control process as set out in the Project Professional Standards (below). Where change is initiated by a Client/Faculty or end user completion of Template C300 is required for sign off and approval and administration in accordance with the Main Contract and the University of Leeds financial delegated authority limits. This is particularly relevant when change may be funded by faculty/school or from non-project or third party budgets. 13

14 CD102: Client Guide and Governance Structure 8.0 Approved Budget Costs Exclusions Within the project approved budget costs may be (dependent on the type of project) identified for the following items but these items will not be funded by Capital Development and these costs would need to be funded by the schools, namely: 1. Simon Voss door access controls to internal doors (external perimeter doors are funded by Capital Development). 2. White Goods and appliances to kitchens/labs etc. 3. Laboratory equipment. 4. CCTV requirements additional to the University Security requirements 5. AV equipment to school owned teaching rooms (Capital Development will install the infrastructure only). 6. Computer hardware, printers/photocopiers and software. 7. Telephone handsets. 8. Academic Equipment new and any repairs to existing equipment 9. Liquefiers and all other gas cylinders and tanks Title %documenttitle% Document ID Version Issue Date Current Date/Time Current User Review Date %documentid% %version% %issuedate% %currentdt% %currentuser% %nextreviewdate% If printed this document becomes uncontrolled. 14