The UoL Project Professional Standards Templates · The UoL Project Professional Standards Reference Procedure / Form Version Date Owner Location ... CD104 Project Directory v2 2017

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


Office templates

Procurement

Procurement Process 1



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


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


Policy/Guidance

Feasibility Option / Apprasial (Stage ONE)

FES1 - Prepare Strategic Brief/Feasibility

Concept Design (Stage TWO)



Detailed Proposals (Stage THREE)


DD2 - Statutory Approval

DD3 - Detailed Proposals

Technical Design/Tender (Strage FOUR)

IU1 - In Use Post Project Review


TD3 Evaluate Tender Returns

TD4 Appoint Contractor / Mobilisation

Construction (Stage FIVE)

C1 Construction Activities



C4 Project Valuations

Handover (Stage SIX)

HO1 - Defects Resolution Post Handover

In Use (Stage SEVEN)


Health and Safety



Procurement



Project Workflow


= 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


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


Yes No


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


Start

Produce sustainabilitytracker and related

gateway actions

Notify UniversityCommunications Dept

TemplateCD105

SustainableConstruction

Proceedures &Standard

TemplateCD103


Health & SafetyProcess 1

FES1 Design Brief &Feasibility


TemplateCDTBA

Standard Policies, Procedures& Specifications issued to

Consultants


Gateway 2 - Stage 2 Sign Off


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


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




CD1 - PrepareDesign Brief

DD1 Expressionsof interest


Yes No

OJEU


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


TemplateDD101

TemplateDD102

Produce a list of possibletenderers to undertakethe work and confirm

project interest.


DD2 - StatutoryApproval: Planning



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


feedback

TemplateCD106


TemplateCD202

Open discussions withLeeds MDC PlanningDept in regard to the

project

DD1 - Expressions ofInterest

DD3 - DevelopedDesign

Return to CD2


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


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


DD2 - StatutoryApproval: Planning

TD1 - TechnicalDesign

PREPARE FULLBUSINESS CASE

BUDGET APPROVAL

BC SAMPLE

POLICY: UoL Scheme of Delegation


NoYes

No

Yes


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


- 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


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



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


Building Control andPlanning Requirements tobe included within Tender

documents

Standard policies &specifications issued to

Contractors

TemplateTD201

TemplateCD201

TD1 TechnicalDesign

TD3 EvaluateTender Returns


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


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


TD4 Appoint Contractor /Mobilisation

Return to DD3


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


Contractor establishessite & commences

work

Inform UniversityInsurance of

commencement

TemplateHS101


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


Clerk of Works reports

TemplateTD403

UoL Scheme ofdelegation

Req to execute:Template TD400


Gateway 5 - Completion

C1 - Construction Activities

Principal ContractorActivities

Design & ConstructActivities


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


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




TD4 - Appoint Contractor /Mobilisation

HO1 - Defect Resolution &Final Account

C2C3

C4

Fire Management plansand strategy to be

reviewed



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

htl

y


Administer in accordance with the form of Main ContractConditions and standard templates

TemplateC202

TemplateC201

TemplateC203

TemplateC205

C1 ConstructionActivities

TemplateC204



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


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


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


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


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


feedback

COMPLETE Building/Project Handover Record

Documentation

C4 CommercialValuations


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


IU1 - Post Project Review

Start


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


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


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


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


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



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


Scope ofservices

TemplateP103

Scope ofservices

CD1

FES1

DD1

Proceeduresissued to

Consultants


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


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


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