PM Handbook PDF

Application Guide AG 11/98
PROJECT MANAGEMENT
HANDBOOK FOR
BUILDING SERVICES
Compiled by
C. Parsloe
L. J. Wild
Application Guide AG 11/98
PROJECT MANAGEMENT
HANDBOOK FOR
BUILDING SERVICES
Compiled by
C. Parsloe
L. J. Wild
The Building Services Research

and Information Association
Old Bracknell Lane West,
Bracknell, Berkshire RG12 7AH UK
Tel: + 44 (0) 1344 426511 Fax: +44 (0) 1344 487575
e-mail: bsria@bsria.co.uk web: www.bsria.co.uk
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or
transmitted in any form or by any means electronic, mechanical, photocopying , recording or
otherwise without prior written permission of the publishers.
ISBN 086022 502 X Printed by Oakdale Printing Co ©BSRIA 79060/1 June 1998
ACKNOWLEDGEMENTS]
ACKNOWLEDGEMENTS
BSRIA would like to thank the following sponsors for their contribution
which has led to the production of this Application Guide:
Department of the Environment, Transport and the Regions

'DETR Amec Design and Management
ENVIRONMENT The Chartered Institution of Building Services Engineers (CIBSE)
TRANSPORT
REGIONS
The research project was undertaken under the guidance of the CIBSE
Project Management Group. The contributors were:
M Murray Amec Design and Management

A Foster Independent consultant
I Lyall Ove Arup Partnership
M Long Stanhope pic
L Garner Heery International Ltd
C Pasquire Loughborough University
A Trinick Tritone Partnership
C Moar Codem
J Wild J W partnership
C Parsloe BSRIA
Every opportunity has been taken to incorporate the views of the

editorial panel, but final editorial control of this document rests with
BSRIA.
© BSRIA AG 11/98 Project Management Handbook for Building Services

PREFACE
PREFACE
The techniques of project management have been practised for many

years in a variety of industries although their application to construction
projects, in their present form, began around 20-30 years ago. Since
then the role of the project manager has become accepted to the extent
that many influential clients recognise it as essential to the success of
major projects.
For building services engineers the success of their input to a project is

dependant on the way in which that input is managed in terms of its
preparation, timing and co-ordination. The processes of building
services design and installation are increasingly complex requiring more
structured management approaches if projects are to be delivered on
time and within acceptable cost and quality constraints.
Recognising the need for engineers to be good managers as well as good

designers and/or installers, the CIBSE Project Management Group was
formed to promote this theme. Their main aims are to:
• develop and promote project management methodologies applicable

to building services design and installation
• widen recognition and support for the subject amongst building
services engineers
• provide information, workshops and training for engineers on the
principles of project management.
The longer term objective is to encourage engineers to realise that being

a qualified engineer with project management ability gives them a
significant added value to client organisations.
This handbook has been produced to help forward the Project

Management Group's aims. The guidance presented illustrates both
established project management techniques, and techniques tailored to
the specific situations confronted by building services engineers. The
aim has been to make the guide relevant to both individual engineers
who are responsible for managing their own activities, and engineers in
an overall management role who have responsibility for managing the
activities of others.
Project Management Handbook for Building Services © BSRIA AG 11/98

ABBREVIATIONS
ABBREVIATIONS
ACE Association of Consulting Engineers

AHU Air handling unit
BMS Building management system
BWIC Builders' work in connection
CAD Computer aided design/drawing
CAWS Common Arrangement Work Sections
CCPI Co-ordinating Committee for Project Information
CDM Construction (Design and Management)
CHW Chilled water
CIB Construction Industry Board
CIRIA Construction Industry Research and Information Association
COSHH Control of substances hazardous to health
EPSRC Engineering and Physical Sciences Research Council
FAST Functional analysis system technique
H&S Health and Safety
HV High voltage
HVAC Heating, ventilation and air conditioning
LTHW Low temperature hot water
LV Low voltage
M&E Mechanical and electrical
NJCC National Joint Consultative Council
O&M Operating and maintenance
PERT Program evaluation and review technique
QA Quality assurance
RIBA Royal Institute of British Architects
RICS Royal Institution of Chartered Surveyors
T&I Test and inspection
UPS Uninterruptible power supply
© BSRIA AG 11/98 Project Management Handbook for Building Services

CONTENTS
CONTENTS
1 INTRODUCTION 1
1.1 OBJECTIVES 1
1.2 WHAT IS PROJECT MANAGEMENT? 1
1.3 HOW TO USE THIS HANDBOOK 3
2 PLAN OF WORK 5
2.1 RIBA PLAN OF WORK 5
2.2 PROCESS PROTOCOL 7
3 DESIGN TEAM APPOINTMENT : 9
3.1 MAIN OPTIONS FOR DESIGN TEAM SELECTION 9
3.2 FEE TENDER APPOINTMENT OF DESIGN TEAM 10
3.3 ACCEPTING THE APPOINTMENT 17
3.4 ALLOCATION OF DESIGN RESPONSIBILITIES 18
4 INCEPTION TO OUTLINE PROPOSALS 24
4.1 BRIEFING 24
4.2 MANAGING THE BRIEF 28
4.3 VALUE MANAGEMENT AS AN AID TO BRIEFING 30
4.4 PROCUREMENT PLANNING 32
4.5 PARTNERING 38
5 OUTLINE PROPOSALS TO DETAILED DESIGN 43
5.1 SCOPE 43
5.2 ROLES AND RESPONSIBILITIES 46
5.3 DESIGN PLANNING 50
5.4 CDM REGULATIONS 52
5.5 DESIGN PROCESS MANAGEMENT 58
5.6 PROJECT COST PLANNING 68
5.7 VALUE MANAGEMENT AS AN AID TO SYSTEM SELECTION 70
5.8 VALUE ENGINEERING AS AN AID TO COMPONENT SELECTION 72
6 TENDER PROCESS 74
6.1 PREPARATION OF TENDER ENQUIRY DOCUMENTATION 75
6.2 SELECTING THE METHOD OF TENDERING.. 79
6.3 SELECTING THE TENDERERS 80
6.4 EVALUATION OF TENDERS 83
6.5 RESPONDING TO TENDER ENQUIRIES 84
7 CONSTRUCTION 87
7.1 QUALITY AND ENVIRONMENTAL PLANS 87
7.2 HEALTH AND SAFETY 90
7.3 DELIVERY OF INFORMATION 94
7.4 PLANNING AND PROGRAMMING 98
7.5 SUPERVISION AND INSPECTION 104
7.6 ASSESSING AND REPORTING CONSTRUCTION PROGRESS 112
8 COMMISSIONING 116
8.1 COMMISSIONING MANAGEMENT 116
8.2 PROVING PERFORMANCE 122
Project Management Handbook for Building Services ©BSRIAAG 11/98

CONTENTS
9 HANDOVER... . 125
9.1 FINAL INSPECTIONS 125
9.2 PRE-HANDOVER ACTIVITIES 128
9.3 HANDOVER INFORMATION 131
9.4 PRACTICAL COMPLETION 135
9.5 POST-HANDOVER 135
9.6 FEEDBACK 139
10 BIBLIOGRAPHY 142
10.1 REFERENCED MATERIAL 142
10.2 BACKGROUND MATERIAL 144
INDEX 215
TOOLBOX
Toolbox Tl Weighted evaluations 149

Toolbox T2 Brainstorming 150
Toolbox T3 Gantt diagrams 153
Toolbox T4 PERT diagrams 154
Toolbox T5 Risk assessments for safety hazards 155
PRO FORMA
Pro forma PI Check-lists for design responsibilities 159

Pro forma P2 Value analysis techniques 170
Pro forma P3 Design information matrix 177
APPENDICES
Appendix Al Drawing definitions 183

Appendix A2 Briefing check-lists 190
Appendix A3 Common procedures check-list for CAD operators 193
Appendix A4 Example design programme 197
Appendix A5 Two stage tendering watchpoints 201
Appendix A6 Declaration of management strategy provisions for a building services contract.... 202
Appendix A7 Example M&E contractor's pre-construction programme 207
Appendix A8 Commissioning terminology 212
Appendix A9 Content for designer's and installer's close out report 214
©BSRIA AG 11/98 Project Management Handbook for Building Services

TABLES
TABLES
Table 3.1 Quality/price ratios for projects 16

Table 9.1 Information to be retained by designers and installers 135
FIGURES
Figure 2.1 Example plan of work based on RIBA Plan of Work 6

Figure 2.2 Example plan of work based on Process Protocol Map 8
Figure 3.1 Process of fee tender appointment 11
Figure 3.2 Example filled in design responsibilities pro forma 23
Figure 4.1 Example value hierarchy 32
Figure 4.2 Example filled in procurement route selection form 36
Figure 4.3 Planning and preparation of a project master programme 37
Figure 4.4 Problem resolution flow chart 41
Figure 5.1 Design team organisation 47
Figure 5.2 Example design information matrix 60
Figure 5.3 Example drawings schedule 61
Figure 5.4 Design change control form 63
Figure 5.5 Example earned value calculation 66
Figure 5.6 Example S curve diagrams for monitoring design progress 66
Figure 5.7 Example FAST diagram 72
Figure 6.1 Tender procedure 74
Figure 6.2 Tender invitation documentation - production control matrix 77
Figure 6.3 Example project organisation diagram 85
Figure 7.1 Procedure for dealing with client initiated variations 106
Figure 7.2 Example defect record sheet 109
Figure 7.3 Example defects register 110
Figure 9.1 Example defect status sheet 125
Figure 9.2 Example document issue control sheet 132
Project Management Handbook for Building Services © BSRIA AG 11/98

INTRODUCTION SECTION 1
1 INTRODUCTION
This handbook sets out a number of check-lists, tools and techniques

which can be used by building services engineers and project managers
during the design, construction, commissioning and handover phases of
a construction project.
The information is drawn from a variety of sources. The basic

management techniques described are drawn from standard texts on
project management and can be applied to projects in any field. The
management of human relations has largely been omitted since this is
covered extensively elsewhere. Guidance which is specific to the
building industry has usually been sourced from existing industry guides
including many of BSRIA's previously published guides on
management related topics. All of the guidance has been presented in a
building services context as far as this is possible.
The aim has been to make the handbook relevant to both individual
engineers who are responsible for managing their own activities, and
engineers in an overall management role who have responsibility for
managing the activities of others.
1.1 OBJECTIVES The main objectives of the handbook are to provide practical guidance
on:
the planning and management of building services design

the planning and management of building services installation
the integration of building services design and installation within an
overall construction project management framework.
1.2 WHAT IS Project management differs from other management principles in that it
PROJECT concentrates on a project with a finite life span, carried out to meet
MANAGEMENT? specific goals within time, cost and quality objectives.
All projects undergo the following stages:
conceiving and defining the project
planning the project
implementing the plan
completing and evaluating the project.
There are three basic parameters to all projects: quality, cost and time.
The aim is to complete the project to the specified level of quality on or
before the deadline and within budget.
On any on construction project there may be a number of participants

who's primary function can be described as project management. These
include the client (or user) project manager who has overall
responsibility for meeting the business need, the design team leader who
is usually a professional designer allocated the task of co-ordinating the
design team, the construction project manager with overall
responsibility for project implementation, and the project managers of
all the other suppliers, sub-contractors and specialists who each need a
person to champion the management of their individual contributions.
© BSRIA AG 11/98 Project Management Handbook for Building Services 1

SECTION 1 INTRODUCTION
This handbook is therefore aimed at this wide audience. It is hoped that

building services engineers will embrace the good practice contained in
the handbook and thereby help to improve their contribution to projects.
It is also hoped that construction project managers without a specialist
building services background may find elements within the handbook
which will enable them to improve the way in which they project
manage building services specialists.
1.2.1 Construction project managers

For construction project managers their role and typical responsibilities
have been defined. Project management applied to a construction
project is defined as:
"the overall planning, co-ordination and control of a project from
inception to completion aimed at meeting a client's requirements in
order to produce a functionally and financially viable project that will
be completed on time within authorised cost and to the required quality
standards".
Source: Code of Practice for Project Management for Construction and
Development. Second Edition. The Chartered Institute of Building
The main aim of construction project management is to separate the

management function from the design and execution functions. The
construction project manager has an all-encompassing role controlling
design, briefing, construction, programme and cost.
The following list indicates the range of typical duties which might be
required of a construction project manager:
Assist in preparing the project manager's brief

Assist in preparing the project brief
Advise on budget/funding arrangements
Advise on site acquisition, grants and planning
Arrange feasibility studies
Develop plan of work
Develop project execution plan
Develop designer's brief
Select project team members
Establish management structure
Co-ordinate the design process
Arrange insurances and warranties
Select procurement strategy
Arrange tender documentation
Organise contractor pre-qualification
Evaluate tenders
Participate in contractor selection
Organise construction control systems
Monitor progress
Arrange meetings
Authorise payments
Organise communication/reporting systems
Issue health and safety procedures
Address environmental issues
Co-ordinate statutory authorities
2 Project Management Handbook for Building Services © BSRIA AG 11/98

INTRODUCTION SECTION 1
Monitor budget and variation orders

Develop final account
Arrange pre-commissioning/commissioning
Organise handover
Organise maintenance manuals
Develop maintenance programme
Plan facilities management
Arrange for feedback monitoring.
A model form of agreement for use between clients and project

managers is available from the Royal Institution of Chartered Surveyors
(RICS) entitled "Project Management Agreement and Conditions of
Engagement", this agreement provides the basis for a detailed
description of the duties of the construction project manager for any
specific project.
1.3 HOW TO USE Most sections of the handbook cover stand-alone subjects so that
THIS HANDBOOK readers can dip in to specific topics without needing to read all of the
preceding material. Sections are frequently cross-referenced to each
other to illustrate where there are links between different activities.
A full index is included to facilitate usage of the handbook.
Guidance has, wherever possible, been presented as groupings of related

information differentiated in the following way:
lists/check-lists
actions/responsibilities
rules/watchpoints
reference material
1.3.1 Targeted sections

The guidance given is primarily of relevance to building services
designers and installing contractors, although some sections are aimed
specifically at construction project managers. For these sections, the
intention is to illustrate how building services might best be handled
within an overall project management framework.
To minimise confusion the following icons indicate for which party or

parties the section is mainly intended:
Building services designer (or design team leader)
Building services installing contractor or specialist

sub-contractor
Construction project manager.
© BSRIAAG 11/98 Project Management Handbook for Building Services 3

SECTION 1 INTRODUCTION
1.3.2 Reference material

Reference has been made to a number of other publications within the
main text of the handbook. These are named as being the main sources
of the guidance given, albeit adapted in some instances to suit a building
services context. It is recommended that users of this handbook have
access to each of the named references to provide the background,
context and detail of the subjects covered. This level of information has
been omitted from the handbook although the main advice for carrying
out each activity (the "how to do it" parts) have often been included.
The list of named references has been kept as short as possible to

minimise the level of background reading. For those who wish to obtain
a more in-depth understanding of the subject matter, a comprehensive
bibliography is included as chapter 10.
4 Project Management Handbook for Building Services ©BSRIA AG 11/98

PLAN OF WORK SECTION 2
2 PLAN OF WORK
At the outset of any project it is essential that the client's project team
define an overall plan of work within which individual activities can be
placed. This will help to focus the team on the activities required and
the order in which they must be completed.
2.1 RlBA PLAN OF The main stages of the construction process are defined in a framework
WORK developed by the RIB A known as the RIBA Plan of Work. This is the
most commonly quoted basis for defining the stages of a construction
project. The ACE conditions of Engagement (1995) under which many
building services designers are appointed reflects the main stages in the
RIBA Plan of Work. Indeed, this handbook for building services
engineers is roughly structured on the RIBA framework, although with
separate stages for commissioning and handover, these being critical
aspects of building services installation.
Although the design stages of the RIB A Plan of Work fit well with
architectural design, they are not always well matched to building
services design appointments. For example, for the architect, briefing
proceeds through the scheme design stage concluding with a
consolidated brief. This then forms the basis for detailed design before
going out to tender. However, for many building services design
appointments, design activities may end after the scheme design,
detailed design being carried out by the installing contractor when
appointed. It is therefore essential that the relative roles of individual
organisations within the plan of work are clearly understood.
Figure 2.1 provides an example of how the building services

management activities described in this handbook might fit into a
construction process based on the RIBA Plan of Work. The basic model
of the RIBA Plan of Work has been enhanced for the purposes of
Figure 2.1 to include pre-agreement stages. Furthermore, the concepts
of activity zones and hard or soft gates have been used to add further
clarity.
©BSRIA AG 11/98 Project Management Handbook for Building Services 5

6
SECTION
Figure 2.1 Example plan of work based on RIBA Plan of Work
Project Management Handbook for Building Services
Pre-RIBA Plan of Work

A B C D E F G H
DEMONSTRATING PRE-AGREEMENT INCEPTION FEASBIITY OUTLINE SCHEME DESIGN DETAIL DESIGN PRODUCTION PRE-CONSTRUCTION CONSTRUCTION
PROPOSALS INFORMATION
THE NEED
SOFT GATE
HARD GATE
HARD GATE
SOFT GATE
SOFT GATE
SOFT GATE
SOFT GATE
SOFT GATE
SOFT GATE
Activity
Zone
Value Prepare Revise Revise Revise Revise Revise Revise Finalise Implement handover
manage- outline business business business business business business business plan
DEVELOPMENT
ment business case case case cast case case case
MANAGEMENT (see 4..3) case
Revise Revise Select method of

procurement procurement tendering (see 6.2)
Procurement Revise plan Prepare tender Review progress Review progress
PROJECT Prepare draft
planning procurement Documents (see 6.1)
project Finalise procurement plan
MANAGEMENT (see 4.4) Revise project
handbook plan Revise project
handbook handbook
(see 5.3.3) Finalise programme
Set up partnering
arrangement Revise master Revise master
Prepare master programme programme
(see 4.5) Finalise project
programme
handbook
Select design Final selection of designer

team (see 3.0) based on fee tenders
(see 3.2)
RESOURCE
Define design team
MANAGEMENT Allocate design roles and
responsibilities responsibilities
(see 3.4) (see 5.2)
Prepare cost
plan
Prepare order of Revise cost plan Revise cost plan Finalise cost plan
cost estimate
(see 5.6)
Agree and accept Briefing (see 4.2) Briefing (see 4.2) Value engineering Value engineering
DESIGN Post handover
design appointment (see 5.8) (see 9.5)
MANAGEMENT
(see 3.3) Prepare design
Design process Dssign process Design process
management & Value management management (see management management Feedback (see 9.6)
quality plane (see 5.7) 5.5)
(see 5.3 and 5.5)
Prepare quality and

Contribue to value environmental plans Supervision and
PRODUCTION engineering Respond to tender
(see 7.1) inspection (see 7.5)
enquiry (see 6.5)
MANAGEMENT
Construction planning Assessing and reporting
& programming
progress (see 7.6)
(see 7.4)
Commissioning (see 8.0)

Final inspections
FACILITIES (see 9.1)
MANAGEMENT
Pre-handover (see 9.2)
Handover information
(see 9.3)
HEALTH A N D SAFETY,
PLAN OF WORK
Prepare pre-tender Prepare contractor's Prepare h&s file
©BSRIA AG 11/98
STATUTORY AND LEGAL h&s plan and h&s file h&s plan (see 7.2)
MANAGEMENT (see 5.4)
PROCESS Prepare plan of Revise plan of work Revise plan of work Revise plan of work Revise plan of work Finalise plan of work
Revise plan of work Revise plan of work
MANAGEMENT work (see 2.0)
-VM report -schedule of design -strategic brief & -project brief (see 4.1.3) -VE report -consolidated or -consolidated brief -tender documentation -programmes -O&M manuals
-plan of work responsibilities project execution VM report design brief brief (see 4.1.5) -co-ordination drawings -project plan -h&s file
DELIVERABLES -client brief plan (see 4.1.2) -feasiblity & cost studies (see 4.1.4) -detailed design specification -plant schedules
(4.1.1) -design -cost plan (see 5.6) -revised cost plan drawings -commissioning specification -builders' work
management and -pretender h&s plan -specification (NB building services design -working drawings
quality plans and file -commissioning deliverables depend on type -method statements
specification of design appointment) -test & inspection plans
(see 7.4 for all of above)
PLAN OF WORK SECTION 2
2.2 PROCESS The Generic Design and Construction Process Protocol was funded by
PROTOCOL EPSRC and developed by Salford University. It represents the result of
collaborative research involving a number of leading UK construction
companies and clients.
Details of the Process Protocol are given in:
EPSRC, IMI. Generic Design and Construction Process Protocol.
The design and construction process is broken down into 10 distinct

phases which are grouped into 4 broad stages, namely pre-project, pre-
construction, construction and post-completion. Figure 2.2 illustrates
how the activities described in this handbook might fit into a
construction process based on the Process Protocol Map.
2.2.1 Key features
The main features and advice associated with the Process Protocol
(which might equally be applied to any other process) are as follows:
activities should be grouped into activity zones which identify the

various management sub-processes involved
the process has to cover the whole life of the project from
recognition of a need to the operation of the finished facility; this
approach ensures that all the issues are considered from a business
and a technical point of view
the deliverables from each stage must be agreed and identified in
advance
the process should adopt a phase review approach such that the each
stage concludes with a review of the plan of work and draft project
handbook (as defined in section 5.3.3)
part of the stage review should involve the fixing and approval of
design information. Gates between stages may be thought of as
"soft", whereby only critical information is approved and fixed, the
rest being open to subsequent change, or "hard" where it is essential
that all preceding decisions are fixed in order that the next stage can
proceed with minimal disruption
the process must be controlled by a standard approach to
performance measurement, evaluation and management; a "process
manager" or organising body should be identified by the client to
oversee the control of the process
the success of the process relies on the involvement of the
appropriate parties to the project and on them being given all of the
relevant information on which decisions are to be based
a post-construction feedback stage is essential if the success of the
process is to be assessed and improved upon for future projects.
Project information should be entered and archived in a "legacy IT
system" to ensure availability of past and present project
information.

8 Project Management Handbook for Building Services
SECTION 2
Figure 2.2 Example plan of work based on Process Protocol Map
Pre-project phases Pre-construction phases Construction phases Post-completion phase
DEMONSTRATING CONCEPTION OF OUTLINE SUBSTANTIVE OUTLINE FULL CO-ORDINATED DESIGN, PRODUCTION CONSTRUCTION OPERATION &
Hard gate
Hard gate
Hard gate
Hard gate
Soft gate
Soft gate
Soft gate
Soft gate
Soft gate
THE NEED NEED FEASIBILITY FEASIBILITY STUDY CONCEPTUAL CONCEPTUAL PROCUREMENT & FULL INFORMATION MAINTENANCE
& OUTLINE DESIGN DESIGN FINANCIAL AUTHORITY
FINANCIAL AUTHORITY
Activity zone:
Value Prepare Revise Revise Revise Revise Revise Revise Finalise Implement handover
DEVELOPMENT manage - outline business business business business business business business plan
ment business case case case case case case case
MANAGEMENT
(see 4.3) case
Revise Revise Revise Finalise

procurement Post handover (see 9.5)
procure men- procurement procurement
PROJECT Procurement plan plan plan plan Select method of Prepare tender Review progress
planning tendering (see 6.2) documents (see 6.1)
MANAGEMENT Feedback (see 9.6)
(see 4.4) Revise project Revise project Revise project Finalise project
handbook handbook handbook handbook
Prepare d r a f t Revise master
Set up partnering
project handbook Prepare master programme Finalise master
arrangement programme
(see 5.3.3) programme
(see 4.5)
Final selection of designer

Select design
based or fee tenders
team (see 3.0)
(see 3.2)
RESOURCE
Define design team
MANAGEMENT Allocate design roles and
responsibilities responsibilities
(see 3.4) (see 5.2)
Prepare order of Prepare Revise cost plan Revise cost plan Finalise cost plan
Cost
cost estimate cost plan
studies
(see 5.6)
DESIGN Briefing (see 4.2) Briefing (see 4.2) Briefing (see 4.2) Value engineering Design process Design process Post handover (see 9.5)
(see 5.9) management management
MANAGEMENT
Prepare design
management & Design process
Agree and accept Value management Feedback (see 9.6)
quality plans management (see
design appointment (see 5.7) 5.5)
(see 5.3 and 5.5)
(see 3.3)
Prepare quality and
Contr ibute to value environmental plans Supervision and
PRODUCTION engineering Respond to tender (see 7.1) inspection (see 7.5)
enquiry (see 6.5)
MANAGEMENT Construction planning
& programming Assessing and reporting
(see 7.4) progress (see 7.6)
Corrrnissioning (see 8. 0)
FACILITIES Final inspections
(see 6.1)
MANAGEMENT
Pre-handover (see 9.2)
Handover information
(see 9.3)
Prepare pre-tender h&s plan

HEALTH AND SAFETY, and h&sfile(see 5.4) Prepare contractor's Prepare h&s file
STATUTORY AND LEGAL h&s plan (see 7.2)
PLAN OF WORK
©BSRIA AG 11/98
MANAGEMENT
Prepare plan of
PROCESS work (see 2.0) Revise plan of work Revise plan of work Revise plan of work Revise plan of work Revise plan of work Revise plan of work F inalise plan of work
MANAGEMENT
-strategic brief & protect brief - VM report -VE report consolidated -revised detailed design -programmes -O&M manuals -in-house appraisals
-VM report project execution see 4.1.3) brief (see 4.1.5) drawings or co-ordination -project plan
-feasibility & cost studies -revised cost plan (see 9.6.1)
DELIVERABLES -plan of work plan (see 4.1.2) -feasibility studies drawings -plant schedules -h&s file
-cost plan (see 5.6)
-client brief -project handbook -cost studies -specification -builders' work -close out reports
-design brief (see 4.1.4)
(4.1.1) -schedule of design -commissioning specification -working drawings (see 9.6.3)
-pre-tender h&s plan and file
-responsibilities -method statements
-post occupancy
-cost estimate -test & inspection plans evaluations (see 9.6.4)
(see 7.4 for all of above
DESIGN TEAM APPOINTMENT SECTION 3
3 DESIGN TEAM APPOINTMENT
3.1 MAIN OPTIONS Successful procurement of building services design is critical if

FOR DESIGN subsequent activities are to be managed successfully. The selection
TEAM SELECTION method must ensure that the right level of expertise is identified and
recruited and that an appropriate, well defined level of service is
obtained.
An enquiry for design services might come from a number of different

parties, depending on the nature of the project and the procurement
route chosen. However, the approach to selection is likely to be based
on one of the following methods:
One to one negotiation, whereby appointment is based on one or a

series of interviews. This is a useful method for getting the designer
on board at a very early stage in order to help the client consider,
develop and define his requirements.
Competitive interview, whereby some form of specified presentation

must be given. This might be appropriate where the client has an
outline project description and wishes to hear the designer's views
before making an appointment. The scope of services and fee would
be negotiated afterwards with the preferred firm.
Qualifications-based selection, whereby the designer is selected on

quality, eg technical qualifications, previous relevant experience, and
general suitability. Having short-listed, typically, three companies
on this basis, the finalists are interviewed and a selection made. The
scope of services and fee is negotiated afterwards.
Fee tender, whereby the designer is selected based solely on the fee
quoted for a given project brief and description of service required.
Fee tender and qualifications, whereby the designer is selected based

on an assessment of his proven technical qualifications and ability as
well as the fee quoted.
Design submission, whereby the designer is chosen based on a

design submission and fee quoted. The client would usually pay for
the design submission.
Design ideas competition, whereby the designer is chosen based on

design ideas presented. The designer incurs the risk of losing the
competition. The design fee is stated in the competition conditions.
Whatever the route chosen, all projects will benefit from the
appointment and involvement of the building services designer at the
earliest stages of briefing. Many projects suffer from the appointment
of the building services designer at a stage which is too late for them to
influence key decisions which will impact on the cost and performance
of the services.
©BSRIAAG 11/98 Project Management Handbook for Building Services 9

SECTION 3 DESIGN TEAM APPOINTMENT
3.1.1 Scope of work for designers

Depending on the nature of the appointment, the building services
designer's scope of work should include most of the following
activities:
Take the brief from the client.

Develop and agree the brief in areas where the client looks to the
designer for expertise.
Assess the client's numerical and functional performance criteria
and tolerances and agree them, where appropriate.
Propose and agree numerical and functional performance criteria
and tolerances in areas where the client looks to the designer for
expertise.
Select the systems to meet the brief.
Agree with other design team members where plant rooms are to
be located and where and how the services shall be distributed
horizontally and vertically throughout the building.
Agree the location of engineering services terminals.
Calculate the flows of gas, water, air, electricity and drainage for
the systems and design the pipes, HVAC ducts and electrical
distribution systems. /
Determine the motive power, eg fans and pumps, necessary to
achieve system performance.
Determine how the systems shall function in normal, emergency
and standby mode.
Select the plant and equipment by function and performance
description or specific prescription for the installations, including
emergency and standby operational modes.
Arrange how services systems shall be physically co-ordinated one
with the other, and with the building fabric and structure.
Determine where the building services installations shall terminate
for others to complete.
Specify the commissioning process in its:
preparation
pre-commissioning
regulation
management, including witnessing and demonstration
fine tuning and system proving.
Specify the training and instruction and handover requirement
including the provision of documentation.
More comprehensive lists of design duties are given in standard

conditions of engagement produced by the Association of Consulting
Engineers.
3.2 FEE TENDER The use of competitive tendering for design services has increased in
APPOINTMENT recent years. If this method is to be successful, the process needs to be
OF DESIGN TEAM managed carefully.
Advice on this specific method of selecting the building services

designer has been included in this handbook because:
10 Project Management Handbook for Building Services ©BSRIAAG 11/98

• it is a method which is frequently misunderstood by clients and

construction project managers resulting in an inadequate level of
design service on projects
• the method demonstrates a management approach, the principles of
which can be applied to any of the other methods for selecting the
designer.
It is envisaged that the content of this section will be of relevance to

construction project managers but also to designers and installers who
have need to appoint a separate organisation to provide design input to a
project.
The guidance provided is based on the following source references:
CIRIA. Value by Competition - A Guide to the Competitive

Procurement of Consultancy Services for Construction. Special
Publication 117. 1994.
RIBA. Architect's Job Book. Sixth Edition. 1995.
The Construction Industry Board (CIB). Selecting consultants for
the team: balancing quality and price.
A summary of the overall process of appointing a designer based on fee

tenders is illustrated in Figure 3.1.
Establishment of
the quality/price
mechanism
Figure 3.1
Preparation Issue of
Process of fee tender Preparation Evaluation Performance
of the tender
of the brief and award evaluation
appointment tender list documents
Preparation
of the tender
documents
Source: Construction Industry Board, Selecting consultants for the team:

balancing quality and price.
3.2.1 Problems to avoid

In general, competition between designers on the basis of fee alone is
unlikely to ensure a satisfactory outcome for the following reasons:
* the appointed designer may feel constrained by his fee to do the

minimum possible and argue for claims later

it is difficult to make competition fair at the commencement of a

project when the scope of works may be ill-defined and the scope of
design duties undecided
competition is time-consuming and its costs may outweigh any fees
saved, in comparison to a negotiated appointment.
In almost all circumstances it is advisable to select professional

designers on the basis of quality as well as price.
3.2.2 Project brief

It can be difficult to define professional duties at a very early stage in a
project, which is why competition is best done when there are some
design objectives and basic descriptions of intent prepared. The project
brief is effectively the third stage output of the briefing process (as
described in section 4.1), value management exercises and feasibility
studies etc, having already been completed.
For the purpose of obtaining competitive bids, the project brief needs to
be fairly well established and should provide the most detailed possible
information on the following:
details of the prospective project team and other related groups

a project description
a description of the proposed building functions
site location and access details
details of constraints arising from legislation or other sources
net floor areas of proposed buildings
building layouts
the proposed number of occupants
details of any special equipment or processes to be housed in
buildings
space requirements for people and equipment
internal and external environmental design conditions
the proposed building life span
the construction procurement strategy
cost budgets (ie amount available)
design and construction programmes.
For some projects and clients this information may be obtainable

without the need for assistance from a professional. However, in other
cases the client may require expert advice in the early stages of briefing
in order to help decide these issues. If so, it is recommended that an
initial appointment of a consultant or adviser is made to assist with the
development of ideas through to the project brief stage.
3.2.3 Designer's brief

In order to obtain comparable offers for design services, a brief must be
prepared which outlines the range and level of services to be provided
by the designer.
If competition is to be successful the designer's brief must be as

comprehensive and unambiguous as possible.

This brief should include the following:
the services required (expanding on the basic list included under

section 3.1.1)
quality assurance eg minimum qualifications of staff, quality
assurance accreditation etc
scope of responsibilities - including clarification of the overlap with
other parties (as explained in section 3.4)
outputs, ie tangible outputs from the appointment
liaison, ie the numbers of meetings required with clients and project
team
details of other project participants
details of any special arrangements, eg partnering
services required after appointment of contractor.
Standard terms of engagement as prepared by professional bodies such

as the RIBA or ACE can be useful in providing familiar sets of clauses
which are widely recognised and may have some case law to support
them.
The designer's brief is also referred to as the "consultant's brief where

design services are to be provided by an independent design consultant.
3.2.4 Pre-qualification selection

Stage one selection of designers may be based on any or all of the
following criteria:
the client's, project manager's or design team leader's own contact

list
reputation or recommendation
advice from professional bodies
public advertisement.
A short list of tenderers should be established based on responses to a

pre-qualification questionnaire asking for details of each company's:
years in business
experience on similar projects
labour resources
qualifications of key staff and years of experience
areas of specialist expertise relevant to project
specialist out-sourcing
current workload
financial standing
quality systems
house style
computer aided design systems
professional indemnity insurance cover
internal management.
In addition, further relevant information might be obtained by:
examining practice brochures

taking up references
examining previous work
visiting completed projects
interview and/or presentation
visits to designers' offices.
Although the final decision is to some extent a subjective one, it is often

helpful to score each company against set of weighted criteria which
reflect the project priorities. Examples demonstrating the use of
weighted evaluations are shown in Toolbox section Tl.
3.2.5 Tender procedure

Before inviting tenders the following must be decided:
a timetable for issue, receipt and evaluation of tenders

criteria against which tenderers' ability will be assessed
the role of interview in final selection
how fee bids are to be assessed.
As with all tender procedures, it is important to:
send the same tender documentation to all tenderers

adhere strictly to the timetable for issue, receipt, adjudication and
award.
A common method used is "double envelope bidding". This involves

each tenderer making two submissions, one describing their ability and
suitability to undertake the work, and their proposed methodology, the
second proposing their fees. This allows assessors to evaluate the
tenderer's technical ability and any advantages of their proposed
approach before the price envelope is opened.
Tender documentation should include the following:
a letter of invitation
dates by which tenders should be returned
the programme for award
rules regarding validity and acceptability of submissions
a statement of any confidentiality requirements relating to issued
information
the information tenderers should provide
the project brief (as described in section 3.2.2)
the designer's brief (as described in section 3.2.3)
proposed terms of engagement
insurance requirements
the basis of the competition
the criteria to be used for evaluation
the relative priorities of the evaluation criteria.
The letter of invitation should include:
the name of a contact for responding to queries

a list of enclosures
the number of tenderers
details of how and when the result will be notified
an offer to debrief if unsuccessful.
There will inevitably be a number of queries from tendering designers.

It is important to:
set a deadline for tenderers' queries

record the client's replies
circulate replies to all other tenderers anonymously.
Pre-tender briefings may be appropriate to advise tenderers of what is

involved and give them the opportunity to visit the site and ask specific
questions. Mid-term reviews may also be appropriate.
3.2.6 Evaluating technical bids

An evaluation based on quality and ability can be achieved by a
weighted assessment against a previously agreed set of quality criteria.
This might typically include the following categories:
Technical:
technical proficiency
willingness to innovate
design skills
relevant experience.
Management:
quality management system in place
ability to achieve objectives
ability to work to programme
ability to work to budget
ability to work with others.
Method:
proposals tor undertaking the work
staffing
skills, qualifications, previous experience of staff who will be
working on the project
facilities
availability of relevant facilities.
Interviews with the favoured tenderers are essential to supplement or

refine the evaluation of technical proposals.
3.2.7 Evaluating fee bids

Fee bids should be evaluated only if the technical bid has achieved a
minimum acceptable level of quality (the so called "quality threshold").
To aid comparison, it is helpful if bids identify separate costs for each

phase or activity. Bids could be:

• ad valorem, ie dependent on the value of the construction works

• time charge (perhaps against agreed targets)
• lump sum.
The standard conditions of engagement produced by RIBA and ACE

differentiate which duties are best conducted under which fee
arrangement.
Fee levels may be influenced by a variety of factors such as market

conditions, the designer's knowledge of the risks and his willingness to
accept risk. In general, a wide variation in fee bids indicates a problem
with the definition of scope provided in the tender giving rise to
misinterpretation. One example might be where the tender has
inappropriately asked for a lump sum fee against an item for which the
work content cannot easily be judged. The resulting fee bid will
inevitably be wrong, resulting in either too high or too low a value
depending on the particular bidder's assessment of the risk.
In order to obtain a fair comparison between the values quoted, each fee
proposal should be compared taking into account:
• the resources the consultant plans to allocate to the project

• the range of time charges each consultant employs for staff grades
• the level of detail included in the consultant's submission.
Very low tenders should be reviewed to ensure that the tenderer has
fully understood the requirements.
3.2.8 Final selection

Although there are various approaches which can be adopted, final
selection should usually be based on the best combination of ability and
fee.
The aforementioned CIB publication "Selecting consultants for the

team: balancing quality and price," refers to the need to establish a
quality/price ratio. The idea is to establish a system of scoring by which
designers' proposals can be evaluated with proper regard to the nature
of the project.
The following indicative quality/price ratios are suggested:
Type of project Quality/price ratio

Feasibility studies and investigations 85/15
Table 3.1 Innovative projects 80/20
Quality/price
ratios for projects Complex projects 70/30
Straightforward projects 50/50
Repeat projects 20/80
An explanation of how such a scoring system might work is described in

Toolbox section Tl. More specific advice is given in the CIB
publication.

Having agreed the winning tenderer:
notify the winner as soon as possible to ensure that the named team
are still available
advise all other tenderers
provide de-briefing to all tenderers advising the range of fees
submitted.
3.3 ACCEPTING THE In consideration of an invitation to bid, or an offer to undertake a design

APPOINTMENT appointment, the design facility manager (as defined in section 5.2.3)
should address a number of issues.
3.3.1 Responding to tender invitations

The design facility manager should:
ensure that the terms of the invitation are fair and equitable
ensure that the information provided is sufficient to permit
preparation of realistic, comprehensive and comparable bids
ensure that the level of service quoted is within the scope of the
stated requirements.
3.3.2 Before accepting an appointment

For all types of appointment the design facility manager should:
assess what is the minimum level of design service which will

adequately fulfil the client's requirement
identify the need for specialist design input in support of the main
design role and advise the client on how this should be procured
ask for clarification of requirements which are vague, ambiguous or
unrealistic (NB a failure to warn could be considered as negligence)
ensure total clarity regarding what level of design service will be
provided; where the client's requirements are uncertain an initial
level of service should be specified which can be re-negotiated at a
later stage
determine the extent of duties in relation to particular issues such as:
involvement in pre-qualification of installation tenderers
preparation of tender documents for installers
site visits
site meetings
off-site works tests, inspections, mock-up tests
pre-commissioning
commissioning
defect inspections
O&M manual production
review office resources and decide whether it is realistic to achieve
programme, cost and quality requirements
review the contents of the brief (in so far as it has been prepared) and
ensure that the contents provide an adequate basis for the design
appointment
carry out a risk analysis to ensure that all risks can be contained
within acceptable limits, (risk categories might typically include tight
programme, high complexity, unfamiliar materials and methods etc)
© BSRIA AG 11/98 Project Management Handbook tor Building Services 17

ensure that appropriate design warranty arrangements are in place

warn the client if budgets and programme seem unrealistic.
3.3.3 On acceptance of an appointment

The design facility manager should:
check the client's written instruction to proceed

check the appointing documents with regard to services and fees
open the appropriate project files and confirm project administration
procedures
prepare or review the project quality plan (see section 5.3.1)
confirm the design team and design team leader (as defined in
section 5.2.2 and Figure 4.1)
confirm the design unit leader (as defined in section 5.2.3) and other
members of the design unit
agree with other design facilities methods and procedures to be
adopted
establish the client's level of expertise and previous experience of
construction
identify and name members of the client group responsible for
briefing and establish their normal roles and duties within the client
organisation
obtain clear directives regarding the roles and responsibilities of
client group members with regard to the briefing process.
3.4 ALLOCATION OF One of the most important considerations before agreeing any form
DESIGN of design appointment is to ensure that design responsibilities are
RESPONSIBILITIES clearly defined and allocated, and that all participants to the project
understand their relative duties within a comprehensive framework
of activities. Without this understanding gaps can appear where no
party accepts responsibility and the whole design and construction
process begins to break down.
Responsibility for building services design, (where design is to be

carried out by a party which is separate from the installing contractor)
can be the source of considerable confusion if not managed correctly.
The main problem is rooted in a basic misunderstanding of the term

"design". In conflict situations, the courts will start from the premise
that the designer designs and the installer installs, and the only way
responsibility for design can be delegated from designer to installer is
with the specific consent of the client.
However, building services design is seldom a discrete activity with

neat edges, but is more often an evolving process to which designers,
specialist suppliers, manufacturers and site tradesmen might contribute.
Responsibility for parts of the design is regularly passed to the installer
either by direct instruction in design specifications, or implicitly through
requirements to select plant or produce installation drawings etc. This
in itself would not be a problem but different designers can have very
different interpretations of their roles even when appointed under the
same conditions of engagement. This can leave installing contractors in
some degree of confusion over the extent of their responsibility for
detailed design.

To pre-empt and avoid these problems design responsibilities need to be
clearly allocated at the outset of a project. Detailed advice on how this
can be achieved is given in:
This report identifies that for building services design most confusion
arises over the following issues:
definitions for different types of design drawing

the selection of proprietary plant and equipment
the appointment of specialist designers
system commissioning
system handover.
An approach to dealing with these issues is summarised in the following

sub-sections. An approach to the overall management of commissioning
and handover issues is dealt with in chapters 8 and 9.
3.4.1 Drawing definitions

The following actions are required:
Agree a set of definitions for different drawing types at the outset of

a project:
definitions should cover all of the types of drawing to be
produced whether by designer, installer or specialist suppliers
definitions should be detailed to the extent that they cover issues
of scale, size and content, and make clear where responsibility
lies for the accuracy of dimensions, etc.
Identify the party responsible for producing each type of drawing.
Identify the party responsible for resolving spatial clashes.
A set of the drawing definitions proposed in BSRIA Technical Note

TN21/97 has been included as Appendix Al to this handbook. These
are intended to demonstrate the level of detail deemed necessary.
Example drawings for each definition are available in BSRIA Technical
Note TN22/97 Allocation of Design Responsibilities - example
drawings.
With regard to responsibility for spatial co-ordination, a logical

approach is to make designers responsible for spatial clashes on projects
for which they have been appointed to produce "co-ordination
drawings" as defined in Appendix Al. With regard to other less
detailed types of drawing which the designer might produce, the
designer has a responsibility to ensure that the design is at least feasible
within the spaces allocated.
For projects where detailed design has been done by the installing
contractor in the course of producing "installation drawings", then they
should carry responsibility for spatial co-ordination. Where there are
several installing contractors, one of them should be identified as the

lead contractor and made responsible for co-ordinating the work of the
others.
3.4.2 Selection of plant and equipment

Best value for money in respect of plant and equipment selection is
usually achieved when the installing contractor is appointed early and
can contribute to the selection process. If the contractor's appointment
is based on information prepared by a separate designer then the
following actions are recommended:
The designer should define plant performance requirements.

For complex plant items on which subsequent design decisions will
depend, the designer should pre-select the equipment and name the
supplier within the tender documents.
For other plant items, the designer should plan the design around a
provisionally selected item of equipment whilst ensuring that other
manufacturers' equipment can also meet the design requirement.
The designer should specify that those manufacturers whom he has
checked can also meet the requirement (if they are later found to be
inappropriate, eg too big, wrong shape, wrong connections etc, it
should remain the designer's responsibility to resolve the problem).
Alternatives suggested by the installing contractor must be assessed
by either the designer (for which an additional fee may be required)
or by the installing contractor himself, final responsibility lying with
the party carrying out the assessment.
3.4.3 Selection and appointment of companies providing

specialist design input
The best way to integrate the input from specialist designers is to
appoint them at an early stage so that they can contribute to the overall
design process. If the specialist's appointment is to be delayed then the
following actions are required:
The main designer should define the performance requirements of

systems or equipment to be designed by separately appointed
specialist designers.
The designer should specify the selection criteria to which specialist
suppliers must comply.
The designer should produce a provisional design of associated
systems making allowance for future input from the specialist.
The designer should assist in the selection of tenderers, the tender
process and the evaluation of specialists' tender proposals (possibly
following the guidance given in section 3.2).
The designer should co-ordinate the specialist's design input with the
rest of the design.
The designer should evaluate the impact of the specialist's design
proposals on the rest of the design.
3.4.4 System commissioning


The designer should incorporate the appropriate facilities for

commissioning within the system design; these should be identified
within the tender specification and drawings.
The designer should advise on the importance of commissioning and
recommend when it is preferable to appoint a commissioning
manager directly and independently of the installing contractor (the
typical scope of work for a commissioning manager is described in
section 8.1.2).
The designer, installer or a commissioning manager should prepare a
method statement, incorporating time, constraints and programme,
and defining the extent of commissioning procedures so that these
can be properly allowed for within the master programme.
The designer, installer or commissioning specialist should monitor
the progression of the installation works to ensure that the
appropriate facilities are being installed, and that there are no
potential obstacles to the commissioning procedures.
The designer should specify the requirement for monitoring and
witnessing of commissioning results.
The designer should prepare a detailed commissioning specification
and commissioning management specification as described in
sections 8.1.2 and 8.1.3.
The designer, client representative or commissioning manager should
witness the results of commissioning, and provided that the
requirements of the commissioning specification are satisfied, accept
the completed systems.
3.4.5 System handover

The designer should interpret the client brief and establish the
maintenance priorities and options best suited for the client's
purposes.
The designer should specify the precise scope and content of the
operating and maintenance manuals and record drawings.
The designer, client representative and installing contractor should
monitor the production of the handover information, establishing
target dates for production of information, programming the drawing
process, and checking the draft manuals and drawings.
Further guidance on handover information is provided in BSRIA

publication TN 15/95, Handover Information for Building Services.
3.4.6 Standard pro forma

Pro forma section P1 contains pro forma lists of design responsibilities
taken from BSRIA TN 21/97, Allocation of Design Responsibilities for
Building Engineering Services, for each of the subjects described in
preceding section 3.4.1 and 3.4.5
These lists of duties can be used in two ways:
as a means of clarifying with the client the extent of the designer's

role and responsibilities
BSRIA AG 11/98 Project Management Handbook for Building Services 21

as part of a design specification preliminaries as a way of conveying

to tendering contractors exactly what the designer is responsible for,
and what the installing contractor (or other named party) is expected
to be responsible for. This will help the installer to provide an
accurate price with a known risk.
In both cases, it is now accepted best practice that lists of design

responsibilities are used for both these functions on all projects.
Figure 3.2 illustrates an example pro forma list of design responsibilities

completed for the selection of plant and equipment on an imaginary
project.

Figure 3.2 Example filled in design responsibilities pro forma

Project: Example | Design unit leader: F Smith | Date: April 1998
2. SELECTION OF PLANT AND EQUIPMENT
Responsibility
Ref Desiqn Activity Des Inst Oth Additional explanation
2.1 Review the client brief and identify those client

priorities which will influence the choice of plant. Findings of value management exercise to be
This may include consideration of factors such as initial
included with tender documents.
cost, life expectancy, reliability maintainability and
environmental impact.
2.2 Identify proiect limitations which may influence the

choice of plant. This may include consideration of Refer to health and safety plan.
factors such as space and weigh limitations and the
need to comply with health and safety legislation.
2.3 Where appropriate. consider the possible application

of packaged system solutions ( ie plant and systems
designed and supplied as a package).
2.4 Prepare a description of the main performance

requirements of plant items. This will involve
establishing provisional values for the nominal capacities
of plant, the range of operating duties anticipated,
diversities applicable on maximum calculated loads and
the requirements for stand-by capacity.
2.5 Prepare descriptions of essential design features for

plant items. This may include providing details of the
expected quality of construction and finishes, any
essential energy saving features, the acoustic
performance, the availability of spares and the
compatibility of the plant with other equipment.
2.6 Select on a provisional basis those manufacturers'

products which most closely meet the project
requirements of performance, quality and budget as
established from previous duties 2.1 - 2.4.
2.7 Evaluate the impact of provisional plant selections

on the overall building design. Advise on the need At least three alternatives to be checked for
to amend the building layouts or structural details compatibility with project requirements
accordingly. Confirm provisional plant selections.
2.8 Advise on the need for pre-selection of plant. Where

appropriate, invite quotations, report upon offers
received and select equipment.
2.9 Incorporate provisional and ore-selected plant

makes, models and duties in the specification. In the
case of provisional selections include the names of
alternative products which comply with the selection
criteria.
2.10 Prepare a report in consideration of any alternative

plant selections proposed subsequent to the issue Time charge fee applicable.
of the tender documents. Advise whether the
alternative complies with the selection criteria
established from duties 2.1-2.4.
2.11 Advise whether the alternative suggested is

acceptable.
2.12 Fully re-evaluate all parts of the services and

building design which may be affected by Transfer of responsibility to installer with client
acceptance of alternative plant selections. agreement
2.13 If accepted, amend the design to incorporate the

alternative item of plant.
Key: Designer (Des):

Installer (Inst):
Other (oth):
Source: BSR1A TN 21/97 The Allocation of Design Responsibilities for Building Engineering Services

SECTION 4 INCEPTION TO OUTLINE PROPOSALS
4 INCEPTION TO OUTLINE PROPOSALS

This chapter covers the principal management activities associated with
briefing, value management, procurement planning and partnering.
4.1 BRIEFING A brief is everything the design team need to know about the building
the client requires. The briefing process extends throughout the design
stages of a building project. It is an iterative process involving regular
feedback from clients, advisers design team and end users.
Good briefing is essential to ensure that the client's needs are met and
that best value for money is obtained. All projects will benefit from the
involvement of a building services designer at the earliest stages of
briefing.
This section covers the main points to be considered in managing a

successful briefing process. More comprehensive guidance on briefing
is given in:
BSRIA. A Design Briefing Manual. BSRIA Application Guide
AG1/90.
The Construction Industry Board, Briefing the Team.
Institute of Building, Code of Practice for Project Management for
Construction and Development. Second Edition.
BS7000 : Part 4 : 1996. Design management systems.
Within these publications, the briefing process and the main stages
involved are described, sometimes using different terminology and with
the activities in a different order. In particular, BSRIA Application
Guide AG1/90 is written with assumption that the building services
engineer will enter the briefing process at a stage when many of the
basic decisions about the proposed building have already been made.
As the basis for establishing an overall management strategy for

briefing, the following sub-sections describe the five main briefing
outputs identified in the aforementioned publications.
4.1.1 Client brief

Also known as "client's requirements", "statement of need" or "outline
project brief, this is produced by the client and is essentially a
statement explaining the background to the project and the reasons for
proposing the project. The specific content will vary depending on how
much research the client has done, what advice he has obtained, and
what decisions he may already have made. However, the client brief
should contain the following minimum level of information:
the client's business function
the client's business objectives
the structure of the client organisation
the client's perceived need for the project
any relevant historical background
the triggers that have necessitated change
the perceived consequences of failure
the nature of advice needed to progress the project.

INCEPTION TO OUTLINE PROPOSALS SECTION 4
The content of the client brief may be used to decide on the need to
appoint a project manager or other professional adviser to help the client
with the subsequent stages of briefing.
Furthermore, the client brief will form the basis for deciding whether
there is a need to carry out a detailed appraisal of the project options
available to the client. This may be essential if it is apparent that the
client does not fully understand his own requirements, or is unaware of
the options open to him. A particularly good methodology for carrying
out this type of appraisal is the use of value management techniques as
explained in section 4.3.
The end result of whatever appraisal method is chosen should be a

clearly argued business case for the best value solution which meets the
client's needs. It may be that the appraisal identifies a solution which
doesn't involve building at all, in which case the briefing process can
finish at this point. If the decision is to build, then it is appropriate at
this stage, to:
obtain client agreement for an overall project cost budget

decide the most appropriate procurement strategy for the project (see
section 4.4).
The choice of procurement strategy is particularly important since it

almost certainly affects who should contribute to the briefing process.
4.1.2 Strategic brief

Also known as "initial brief, this is produced by the project
manager/client advisor and should provide details of the basic technical
design options available for meeting the client's stated objectives. The
level of detail may vary although it will rarely be detailed enough for
design work. This should be seen as the basis for agreeing feasibility
studies and engineering reports to assess different design options.
The strategic brief is likely to contain as a minimum:
a mission statement (derived from the client brief)

the scope and purpose of the project
the functions to be provided or accommodated
a statement of the client's objectives and their relative priorities
(possibly derived from a value management exercise, see section 4.3)
capital expenditure limits
targets and constraints
quality requirements
the scope of feasibility studies, surveys, prototypes, environmental
impact assessments, cost appraisals etc required to finalise design
decisions (possibly identified during value management
brainstorming sessions).
The topics chosen for investigation in feasibility studies should be those

which ensure the best prospect of enhancing the client's objectives and
providing value for money. Feasibility study reports should normally
provide a risk assessment, life cycle costing, and draft programme for
each of the options considered.

The strategic brief should be accompanied by a "project execution

plan", as referred to in the CIB publication "Briefing the Team". The
project execution plan essentially defines how the project will be
progressed. It should include outline details of:
the proposed procurement strategy
organisational structures within the project team
arrangements for decision making and communication
the health and safety plan (as described in section 5.4.4)
the quality objectives or policy
risk management objectives
proposed value management and value engineering activities
environmental policy
design budget and cashflow forecasts
a programme for subsequent design development
a project master programme.
4.1.3 Project brief

Also known as "detailed project brief, this is produced by the project
manager or design team leader with input from the client, end users and
other advisers. The project brief should state all technical, managerial
and design objectives, as identified in the strategic brief, and show how
these requirements are to be met. It should embody decisions based on
the outcome of feasibility studies, surveys, cost appraisals etc. The
project brief may be used as the basis for competitive appointment of
design consultants (as explained in section 3.2.2).
The project brief might contain all of the basic information contained in
the client brief and strategic brief, as listed above, plus specific details
of the project team and proposed building design solutions in so far as
these have been decided, including:
details of the project team, ie names and contact details for:
clients
end users
architect
planning supervisor
building services consultant
quantity surveyor
structural engineer
specialist consultants (eg acoustic, fire engineering etc)
project manager
construction manager
details of other related groups:
local authority
cost consultant
quantity surveyor
utility suppliers
fire officer
a project description
a description of the proposed building functions
site location and access details
details of constraints arising from legislation or other factors
total floor areas of proposed buildings
building layouts

the proposed number of occupants

details of any special equipment or processes to be housed in
buildings
space requirements for people and equipment
internal and external environmental design conditions
design solutions to be adopted
the required life span of the proposed building and of individual
components
the agreed construction procurement strategy
cost budgets
design and construction programmes.
The project brief will form the basis for the outline design proposals in
which initial layouts and drawings are prepared. It is therefore crucial
that the information contained in it is as comprehensive as possible and
has the full agreement of the client. Any changes of mind from this
point on can be extremely costly.
4.1.4 Design brief

Also known as "detailed design brief, this should be prepared by the
design team leader with input from individual design units, possibly
together with a project manager if appointed and, where appropriate, the
client. The design brief should define all of the previously agreed
design requirements, provide details of any further studies carried out,
and then provide outline design proposals to meet those requirements.
This document, and the success of the proposed outline designs, will
provide the basis on which scheme and detailed design can commence.
4.1.5 Consolidated brief

When the design brief has been developed to the point where it can be
used for more detailed design it should be presented to the client as a
consolidated brief. The consolidated brief should contain the following
information:
an updated list of the principal participants
the summarised outcomes of research and studies undertaken
a discussion of the options, constraints and conclusions
a description of the proposed design solutions including
how they meet the client's requirements
any assumptions on which they are based
the design data on which they are based
any special requirements and provisions
any legislative aspects (eg health and safety, environment etc)
technical risk (associated with the method of design, use of
materials etc)
any construction problems envisaged
operating, maintenance and reliability aspects
a construction cost plan
an on-going design programme
outline design drawings
details of supporting calculations.

4.2 MANAGING THE In order to manage the client and other team members through the
BRIEF briefing process a clear strategy must be adopted. The following sub-
sections provide general guidance notes to help prepare managers.
4.2.1 Roles and responsibilities

The party with overall responsibility for leading the briefing process
should be agreed with the client. They should be selected on the basis
of personal ability rather than their particular functional background.
It is their responsibility to:
advise the client regarding which parties should contribute to

briefing (the early involvement of the building services designer is
usually crucial)
advise the client regarding an appropriate internal structure to
facilitate briefing
identify and name members of the client group responsible for
briefing and establish their normal roles and duties within the client
organisation
obtain clear directives regarding the roles and responsibilities of
client group members with regard to the briefing process
refer the client to existing advice and guidance on design briefing
procedures
determine the basis for decisions already made and, if necessary,
assess their validity
advise the client on the need for a value management exercise where
the client's objectives seem uncertain.
4.2.2 Programming
For the briefing process it is important to invest the most time in the
early stages. The cost of changes later on can be more expensive.
develop a clear structured path towards achieving the brief, with

report stages, major activities and approvals to proceed identified
assess the complexity of the project and the requirement for
investigations and feasibility studies
identify the need for specialist designers and make recommendations
regarding how and when they should be appointed
agree with the client a budget and time-scale for feasibility studies
prepare a timetable for the design process including briefing stages;
include dates and timescales for meetings, value management
workshops, feasibility studies, cost reports, outline design
preparation etc; agree the programme with all members of the
briefing committee
agree an initial milestone programme for design and cost approval
stages.

INCEPTION TO OUTLINE PROPOSALS
4.2.3 Briefing committee

establish a committee for collective decision making comprising

representatives from all parties with an interest in the outcome of the
project including
client, project manager, quantity surveyor
design team
end users
establish what expertise is required and ensure that this is available
to the committee; engage and brief additional experts as required to
fill any gaps
set up clear lines of communication between members of the
committee, eg addresses, telephone, fax and e-mail details
include representatives of the building users on the committee, if
possible
allocate administrative and advisory support to the committee
establish standard agendas, format of minutes etc, for briefing
meetings
during the preparation of feasibility studies, convene and minute
meetings of the teams carrying out the studies, report progress and
interim findings back to the client.
4.2.4 Activities
The following actions are required of the briefing committee
establish a clear understanding of the client's requirements,

objectives and priorities; if necessary use value management
techniques to help clarify these for the design team and the client
himself (see section 4.3)
organise visits to recently completed buildings of a similar type
carry out pre-briefing appraisals of existing buildings (possibly
others owned by the client) which have the same function as that
proposed for the new project
collect historical information regarding any decisions already made
concerning the nature of the project, the proposed site, and client
priorities etc.
4.2.5 Reports and meeting minutes

prepare a report at the conclusion of each of the five briefing stages

described in section 4.1
record all significant decisions, who made them, why the decision
was taken and on what information or prevailing circumstances it
was based.
4.2.6 Questionnaires, check-lists and room data sheets

Briefing aids should be developed and used to ensure an organised
approach to information collection. Standard questionnaires, check-lists
and room data sheets can be developed to suit individual projects.
Examples for building services applications are included as
Appendix A2.
© BSRIA AG 11/98 Project'Management Handbook for Building Services 29

4.3 VALUE Value management can be an invaluable tool to help clients put their
MANAGEMENT AS requirements and intentions into context and to help the designer to
AN AID TO fully appreciate those requirements and their order of priority.
BRIEFING
One definition of value management is as follows:
A structured approach to defining what value means to a
client in meeting a perceived need by clearly defining and
agreeing the project objectives and how they can be
achieved.
Guidance on value management is given in:
BSRIA. Value Engineering of Building Services. BSRIA

Application Guide AG15/96.
CIRIA. Value Management in Construction - A Client's Guide.
SP129. 1996
4.3.1 Concept stage value management workshop
A value management workshop held at the concept stage of a project

will aim to help identify the need for a project, the key project
objectives and constraints, and the value criteria against which the
project will be assessed.
The objectives of the workshop should be:

to establish clear project objectives and ensure they are agreed by all
parties
to identify explicitly the value criteria
to provide useful ideas about possible solutions
to ensure the decision making process is accountable.
Depending on the project circumstances, the participants for the

workshop might include all members of the briefing committee
including the client, the project manager, the cost consultant, the design
team and any end users. The workshop should be led by either the
design team leader, the project manager, or an independently appointed
facilitator.
The format of the workshop might include the following stages:
Information:- ie assessing the client brief (as described in section

4.1.1) and mission statement to establish a common understanding
amongst the participants of exactly what the client is asking for and
why. During this process it is essential that each of the client's
stated objectives are recorded. Furthermore any constraints, ie
features which are made compulsory for whatever reason, should be
noted.
Structuring of Objectives:- the previously agreed client objectives are

arranged into a value hierarchy. The aim is to establish how the
different objectives fit together and to begin prioritising them. The
top of the hierarchy is defined by one all-embracing objective which
captures the raison d'etre of the project. This higher order objective
is then broken down into lower order objectives by use of a "means

INCEPTION TO OUTLINE PROPOSALS
end analysis", ie the lower order objectives are considered to be a

means to an end whilst the higher order objective is an end in itself.
For most projects it is likely that two levels of breakdown will be
sufficient. A blank pro forma diagram for a value hierarchy is
included in Pro forma section P2. An example value hierarchy is
shown in Figure 4.1 for an imaginary speculative office
development.
Speculation (brainstorming):- the purpose here is to generate

alternative ways of achieving the identified objectives. Each
objective is addressed in turn and the question asked, "How might
this best be achieved?" At this stage no attempt is made to assess the
feasibility of the suggestions. The aim is to encourage a free flow of
ideas and to generate as many ideas as possible in the time available.
Guidance on brainstorming is given in Toolbox section T2.
Evaluation:- the ideas identified in the previous stage are now

evaluated to assess their perceived value. The result should be a
small number of alternative schemes which would enhance the
overall value of the project.
Development:- the favoured alternatives are now developed further.

The final recommendation will be based on detailed development
work (in the form of feasibility studies) which is most likely to take
place after the workshop. The extent of the follow up work should
be defined together with an agreed timescale.
Information Collection - having established that the project is viable,

the process of collecting information necessary to the design process
can commence. This needs to be done through direct access to the
client and or end users. Typical in formation required will include
things such as internal temperatures, lighting levels etc.
On completion of the workshop the facilitator should produce a report

for the client indicating clear project objectives structured within a
value hierarchy and an initial set of design options for further evaluation
and development.
In all cases it should never be assumed that the client understands what
he is asking for. The designer has a duty of care to explain the
consequences of certain client requests in terms of installed and life
cycle costs, programme or complexity. It may be that a much simpler
solution is available which the client is unaware of.

Figure 4.1 Example value hierarchy
B2 VALUE HIERARCHY FORM

Client: A another Property Management & Investments Plc Project: Crowthorne
Value Management Stage: VM1 or VM2 Facilitator: G. Hayden Date: 04/09/96
Mission Statement: The prolect is Required as part of the Client's on going business objective in the field of Property Management/lnvestment. A return on investment is
required within 15 years, therefore the building must be completed/let as soon and as cheaply as possible.
Attract tenants
Aesthetically Comfortable Environmentally
pleasing Flexible Future proof
en vironment friendly
Maximise
floor area
Small Small riser
footprint voids
Open
A.S.A.P
Good Prefabrication
buildability potential
Maximise Minimise
investment construction
Minimum slab Minimum
height distribution
Minimise
running costs
Good
Low energy maintainability
Constraints Identified: The Building Services must comply with the Building Regulations. CIBSE Lighting Guides and Health & Safety at Work Act.
Site Location/lnfrastructure.
Tick Participants:
Structural Building Project Cost Sub- Sub- Specify Others
Client Architect Facilitator Contractor
Engineer Services Eng. Manager Consultant Contractor Contractor
Source: BSRIA AG15/96 Value Engineering of Building Services
4.4 PROCUREMENT A procurement strategy must be selected which is most likely to achieve
PLANNING the client's objectives. The choice made is very likely to influence the
outcome of the project in terms of its cost, quality and construction
period. Furthermore, the choice will have a bearing on how much
control and flexibility the client gets, and how much risk he is exposed
to.
All of these issues are expanded on in relation to the most common

methods of procurement in the following Guides:
CIRIA. Planning to Build? - A Practical Introduction to the

Construction Process. Special Publication 113. 1995.
Institute of Building. Code of Practice for Project Management for
The Construction Industry Board. Constructing Success.
This section brings together the main check-lists and tools described in
these publications as an aid to managers assisting the client in the
selection process.
The decision should not be made too early. Although a procurement

route might be proposed at the strategic briefing stage, a final decision
should not be made until the project brief has been finalised. In short,
there needs to be an understanding of what is being procured before a
decision can be made regarding how to procure it.

4.4.1 Selection criteria

The choice of procurement strategy is likely to depend on achieving the
appropriate balance between the following criteria:
timescale
cost
quality
complexity
flexibility
control
risk
responsibility.
It may be that under each of these criteria there are a number of issues
that are relevant to a particular client and need to be addressed. For
example the following questions should be put to the client.
Timescale:
How important is timescale?

Must the building be in use by a certain date?
Do you wish to minimise the construction phase of the project?
(Advice on the impact of contractual route on construction
programming is given in section 7.4.3).
Cost:
Is there a strict cost limit?

Do you need a firm price for construction before giving a
commitment to proceed?
How important are running costs?
Are there any restrictions on the timing or availability of funding?
Quality:
How important is the appearance of the building?

How important is the reliability of the building and services?
How important is life expectancy?
Does your building need to be technically advanced or highly
serviced?
Flexibility:
Do you foresee the need to alter the project in any way after agreeing
the design brief?
Do you foresee the need to leave decisions on internal layout and
phased handover as late as possible, perhaps during construction?
Risk:
Do you want the construction company to carry the risk of cost or

time slippage?
Do you want the design team to carry all risk for design?

Responsibility:
Do you wish to have a direct responsibility for the management of

the project?
Do you wish managed responsibility to be allocated to one
organisation or split between a number of different parties?
It may be that the answers to these questions are provided as the

outcome of a value management workshop (as described in section 4.3).
4.4.2 Procurement options

The various options for procurement are described in detail in numerous
other sources including those referenced at the front of this section. For
each option there are standard forms of contract which are applicable.
The main options are as follows:
Designer led - The traditional form of contracting, whereby the

project is managed by the design team plus a quantity surveyor to
provide financial and contractual advice. The building contractor is
appointed based on his tender for constructing the works. Tendering
may be single stage or two stage. For a single stage tender the
contractor would price once based on a completed design, whereas in
a two stage tender the contractor would price initially on an
incomplete design, but would provide a further tender based on the
completed design before works began. This latter arrangement
enables the contractor to be brought on board early to contribute to
the design. The particular benefits of two stage tendering with
respect to building services design are explained in section 6.2.1.
Design and build - Under design and build, a contractor would be

appointed to provide the completed building and would be
responsible for design and construction. The appointment of the
contractor may be on the basis that they would carry out the
complete design and construction of the building with input from the
client at the briefing stages. Alternatively, the client might appoint a
separate designer to prepare an outline design and performance
specification to be used as the basis of tender submissions from
design and build contractors. The winning contractor would then be
appointed to develop the design, whilst the designer might be
retained to oversee matters on the client's behalf.
Management Contracting • A management contractor would be

appointed by the client to act alongside the design team. The
experience of the management contractor would be available to the
project team throughout the design and procurement stages of the
project. Construction work would be divided into self-contained
packages to be carried out by individual works contractors sub-
contracted to the management contractor.
Construction Management - As with management contracting, the

construction manager would be appointed by the client to act
alongside the design team. However, works contractors would be

contracted directly to the client leaving the construction manager free

to concentrate on the organisation and management of the project.
4.4.3 Choosing the best option

A useful initial aid to selecting the best procurement strategy is the use
of a weighted evaluation as explained in Toolbox section Tl. Having
determined those requirements and objectives which are most important
to the client, and weighted them accordingly, an evaluation can be
carried out as demonstrated in Figure 4.2. For each procurement
option, each time the client's tick corresponds with a bullet point, the
option scores points. If under a certain selection criteria the
procurement option scores points for say two out of three of the
selection criteria sub-questions, then the option would score two thirds
of the client's overall weighting for that selection criteria.
Whilst this technique is not definitive, it should provide a useful means

of focusing the client's attention on the main issues which need to be
considered.
4.4.4 Project planning

Whilst a weighted evaluation of the procurement options will provide a
good indication of the most suitable choice, a more detailed project
planning exercise may be required to assess the effects of different
design, construction and procurement options on the overall project
programme. This exercise will also lead to the development of an
outline project master programme which can be used as the basis for
subsequent project management.
Planning and programming involves thinking through all the stages of a

project and identifying:
the tasks to be performed
the logical interfaces between tasks
the methods to be used
the resources required
the timescales to be allowed.
Guidance on the process of project planning and programming for

project managers is given in:
The Chartered Institute of Building. Code of Practice for Project

Management for Construction and Development. Second Edition.
The overall process of project planning and preparation of a project

master programme is illustrated in Figure 4.3.
At early stages of the project, the timing information used will be based
on the project team's previous experience of similar construction
projects. As the project develops, more detailed programmes can be
developed with input from the relevant contractors and sub-traders.
Further explanation of the master programme and its relation with other
types of programme is given in section 7.4.2.

Figure 4.2 Example filled in procurement route selection form
Selection Procurement option

criteria Sub-questions to client Assessment
1 2 3 4
Very • • •
How important is timescale? Average • • • •
Not very •
Tlmescale Must the building be in use by a Yes • • •
certain date? No •
Do you wish to minimise the Yes • • •
construction phase of the project? No •
Weighting: 20 Scores: 0 20 20 20
Is there a strict cost limit? Yes • • •
No •
Do you need a firm price for Yes • • •
construction before giving a No •
Cost commitment to proceed?
How important are future running Very • • • •
costs? Average • • • •
Not very •
Are there any restrictions on the Yes • •
timing or availability of funding? No • •
Weighting: 25 Scores: 12.5 18.7 12.5 18.7
How important is the appearance Very • • •
of the building? Average • • • •
Not very •
How important is the reliability of Very • • •
the building and services? Average • • • •
Quality Not very •
Very • • •
How important is life expectancy? Average • • • •
Not very •
Does your building need to be Yes • • •
technically advanced or highly No • • •
serviced?
Weighting: 15 Scores: 11.2 11.2 15 15
Do you foresee the need to alter Yes • •
Flexibility the project in any way after No • •
agreeing the design brief?
Do you want the builder to carry Yes •
the risk of cost slippage? No • • •
Risk Do you want the design team to Yes •
carry all risk for design? No • • •
Do you wish to have a direct Yes •
responsibility for the management No • • • •
Respons- of the project?
ibility Do you wish responsibility to be Yes • • •
allocated to one organisation (or No • •
split between a number of different
parties)?
Totals: 43.7 84.4 57.5 58.7
KEY:
1 Traditional general contracting (designer led) 3 Management contracting
2 Design and build 4 Construction management

Prepare comparative
programmes for
different design and
construction options
Prepare comparative
programmes for
different procurement
options
Yes
Figure 4.3 Review / modify?
Planning and
preparation of
a project master No
programme
Agree procurement No
method with client?
Yes
Prepare final outline

project programme
Agree outline
programme with
client
Prepare outline
construction programme
Prepare outline
procurement
programme
Prepare outline design

programme
Develop project master programme
Adapted from: Chartered Institute of Building, "Code of Practice for Project

Management for Construction and Development".

SECT ON 4 INCEPTION TO OUTLINE PROPOSALS
4.5 PARTNERING Partnering is a structured approach to encouraging team working

between the different contributors to the building process. Partnering is
not embodied in any contractual agreement between the parties.
Contributors may be working for different companies under different
contractual conditions. Nevertheless partnering seeks to achieve its
objectives by establishing:
clear, agreed mutual goals

agreed problem resolution methods
a continuous search for measurable improvements.
Detailed guidance on the nature of partnering and how partnering has

been applied in a number of case studies is given in the following
publications:
Trusting the Team. Centre for Strategic Studies in Construction.

The University of Reading.
The Construction Industry Board. Partnering in the Team.
Partnering can be:
strategic - whereby a client with repeat work establishes partnering

arrangements with his team of advisors
project-specific - which is carried out for individual projects.
Strategic partnering offers the best results because relationships can be

established over longer periods, and there is scope for feedback from
one project to the next. However, project-specific partnering has also
been found to be worthwhile in most cases.
4.5.1 Initiating a partnering arrangement

Partnering works best if as many participants as possible are involved.
The key players should certainly be included, ie the client, the design
team and the main contractor, but also as many of the sub-contractors as
practicable. Partnering should ideally be initiated during the design
process. However, for most procurement strategies, it may only be
practical to implement partnering after the tender process, when
contractors and sub-contractors have been brought on board.
Partnering should not be imposed. It is important to ensure that the

parties involved have a positive attitude. Partnering is an issue best
raised during one of the interview stages of the tender process.
There must be:
an acceptance from all participants that an investment in partnering

is worthwhile
potential for improvement in the product
recognition that partnering brings medium or long term benefits
support from senior management.

The partners should have:
the same basic culture

a trust in one another
a co-operative and flexible manner
financial stability
a good-quality management system.
It is worthwhile asking each tenderer:
what is their understanding of partnering relationships?

what is their previous experience of partnering?
are they willing to undertake partnering?
what do they see as the potential benefits and risks of partnering?
what are their thoughts on shared risk, evaluation of performance,
incentives and profit sharing?
If the organisations interviewed appear to have compatible cultures and

a willingness to contribute to partnering, then there are likely to be
benefits from initiating a partnering arrangement. If one or other party
is reluctant for whatever reason, then partnering is less likely to
succeed. In these circumstances, the client will need to decide if the
benefits of using partnering outweigh the involvement of that particular
tenderer. It is important that no undue pressure is placed on tenderers
who then feel obliged to agree even though they are reluctant.
4.5.2 Partnering workshops

A partnering workshop should be held within a month of contracts being
awarded. The workshop should be held on a neutral site and the costs
should either be borne by the client (who stands to derive the most
benefit) or be shared between the participants. The workshop should be
run by an independent facilitator. The aim should be to:
establish mutual objectives

formulate a problem resolution process
agree initial benchmarks against which to measure improvements.
The issues agreed during the workshop should be embodied in a

"partnering charter" agreed by all participants.
The initial workshop should typically last two days and should include
the following activities:
an introduction to partnering
an introduction by each of the team members including
a description of their roles and requirements
a list of their perceived success factors
the agreement of a mission statement for the project
the agreement of project objectives and their priorities (possibly
identified previously at a value management workshop)
the agreement of communication methods between the parties
team building exercises
the identification of problem areas and areas of conflicting interests

the identification of mutual goals, eg in relation to quality, cost

control, profit, programme, safety etc
the agreement of a problem resolution process (see section 4.5.3)
the agreement of how performance is to be measured (see section
4.5.5)
brainstorming to identify solutions to problems
brainstorming for ideas to help achieve mutual goals
the agreement of a partnering charter
the agreement of arrangements for follow-up workshops.
Many of the activities proposed involve management techniques such as

brainstorming which is described in Toolbox section T2. Where there is
a large group of partners the group should be broken down into smaller
syndicates, each tasked with brainstorming specific issues.
4.5.3 Problem resolution

Problems will inevitably occur which may risk bringing the partners into
dispute. It is therefore important that an agreed procedure for dealing
with problems is agreed at the outset.
The publications referenced under 4.5 suggest three levels of problem

resolution:
technical
managerial
political.
The flow chart shown in Figure 4.4 indicates the problem resolution
process recommended.
At the political level a wider view of the long term interests of the
parties should be taken into account.
If no solution has been agreed at the end of this procedure, then some
form of adjudication must be considered. However, this would be
damaging to the partnering agreement so every effort must be made to
achieve a solution through this process.

Identify the problem
Clarify the problem

with partners
Figure 4.4 Agree level of decision

Problem resolution appropriate
flow chart (ie technical, managerial
or political)
Agree time limit

for resolution
Problem moves up to next
level
Propose solutions
No
Problem resolved?
Yes
Agreement
4.5.4 Follow-up workshops

Follow-up workshops should be held every three or four months as
dictated by circumstances or when a new partner joins the team. These
meetings are intended to address partnering issues, ie a review of
performance in relation to the level of:
• co-operation
• motivation
• quality improvement
• value improvement
• achievement of mutual goals.
A final workshop should be held at the conclusion of the project to

review overall project performance and to record performance
assessments for feedback purposes. This might take the form of one of
the feedback meetings described in section 9.6.

4.5.5 Performance measurements

In agreeing mutual goals it is important that these are accompanied by
measurable targets in order to determine the success, or otherwise, of
the partnering arrangement. Performance targets should be set which
are based on historical data available from other projects but which are
non-project specific. This may often mean representing targets in
percentage terms. For example, a valid target for a design team may be
to answer a certain percentage of design queries within a certain time
limit. For the contractor, spot checks on the quality of installation might
be one method of measuring performance.
Whatever the criteria for measuring performance, each party's

performance relative to those criteria should be monitored and recorded
on a monthly basis and discussed at each follow-on workshop.

OUTLINE PROPOSALS TO DETAILED DESIGN SECTION 5
5 OUTLINE PROPOSALS TO DETAILED DESIGN
This chapter covers the roles and responsibilities of individual project

team members and addresses the management activities associated with
design planning, the CDM Regulations, design process management,
construction cost planning and value management/engineering
exercises.
As an introduction to the chapter, section 5.1 gives an overview of the

typical design and management activities which might be expected if
working under the different stages identified in the RIBA Plan of Work.
5.1 SCOPE The activities to be carried out by the design team and the project
manager, and proposed methods by which they may be managed are
described in the following publications:

BS7000 : Part 4 : 1996. Design Management Systems.
The following sections provide a general overview of the management

procedures which are advocated.
5.1.1 Outline proposals

The project brief (as described in section 4.1.3) is likely to form the
basis for the outline design proposals.
For the design team, the output of the outline proposals stage will be:
the design brief (as described in section 4.1.4)

a set of outline drawings and schematics
a cost appraisal sufficient to allow a cost plan to be prepared
a revised project master programme
proposals developed sufficiently to allow application for outline
planning permission (where appropriate).
In the case of a design and build procurement route, or where the

contractor is to be appointed on the basis of a two stage tender, the
following additional item will need to be prepared by the services
designer:
outline proposals for employer's requirements, including a

performance specification and drawings for building services
systems.
Employer's requirements form the basis of obtaining tenders from

design and build contractors. Their scope and content will vary
depending on the nature of the project but will generally require the
following minimum level of information:
site details, ie location, boundaries, soil conditions etc

site constraints, eg access, storage, restrictive covenants etc

SECTION 5 OUTLINE PROPOSALS TO DETAILED DESIGN
planning permissions obtained

building functions
schematic layouts of building
requirements as to forms of construction, materials, environmental
design criteria, services performance requirements etc
special programming requirements, eg phased handover
contract information, eg preferred subcontractors
requirements of contractor's design liability
scope of information to be included in contractor's proposals
content and form of contract sum analysis in contractor's proposals.
The main design activities to be carried out during the outline proposals
stage are as follows:
review the project brief to ensure that the client's objectives are still
valid
develop outline proposals
check proposals against brief, budget and programme issue
preliminary plans and specification
finalise the outline proposals
present proposals to client for approval.
The main design management activities to be carried out during the

preparation of outline proposals are as follows:
assess design office resources needed and ensure that they are
adequate and available
review the project quality plan (as described in section 5.3.1)
monitor progress against design timetable
monitor design cost against job cost allocation
monitor project cost against cost allocation.
At the outline proposals stage it is important that the design team leader
ensures that the client fully understands the design proposals and
formally agrees that they meet his objectives. The designer's proposals
must therefore be in a format which the client can easily understand.
5.1.2 Scheme design

Approval-to proceed to scheme design should ideally be accompanied
by an agreement to freeze the brief in respect of those parts of the
design for which further changes will hinder or delay the design
process.
For the design team, the scheme design stage usually involves the
preparation of:
a set of scheme drawings

the consolidated brief (as described in section 4.1.5)
a cost appraisal including an estimate of construction costs
prototypes, mock-ups, samples etc
proposals sufficiently developed to allow application for full
planning permission where appropriate.

The main design activities to be carried out during the scheme design
stage are as follows:
check that client has approved outline proposals

review the design brief to ensure that the client's objectives are still
valid
develop scheme designs
issue preliminary drawings and specification
check proposals against brief, budget and programme
finalise the scheme design
present scheme design to client for approval.
The main design management activities to be carried out during the

preparation of scheme design proposals are as follows:
assess office resources needed and ensure that they are adequate and
available
review the project quality plan
monitor progress against design timetable
monitor design costs against job cost allocation
monitor project costs against cost allocation.
The scope of work involved in the scheme design stage may vary
depending on how much preparation was done in preceding stages. The
overlap between outline design and scheme design may also be blurred.
However, keeping a closely defined distinction between the two may be
important if there is a doubt that the project may not proceed beyond
outline proposals.
For building services designers the scheme design output may often
form the basis for tender enquiry to prospective installers.
5.1.3 Detailed design

The detailed design stage involves progressing the scheme design to its
final format ready for the tender process. Depending on the nature of
the building services design appointment, this may involve preparation
of "co-ordination drawings" (as defined in Appendix Al).
At present, for the majority of projects, it is normal for the building

services engineer's role in developing the design to end at the scheme
design stage with the issue of detailed design drawings as defined in
Appendix Al. (It should be noted that in this context the term "detailed
design drawing" is a misnomer since they are normally intended to be
produced at the scheme design stage rather than the detailed design
stage.) These drawings will be used as the basis for tender, a detailed
design co-ordination exercise being carried out post tender by the
winning contractor in the course of producing installation drawings.
Although the building services designer's role is therefore often reduced

during the detailed design stage, it is nevertheless essential that he
retains an input to the design and be allowed additional fees to update
his drawings in response to architectural or structural changes. This is
essential in order to ensure that a co-ordinated set of tender drawings are
issued which provide a feasible solution for contractors to price against.
© BSRIA AG 11 /98 Project Management Handbook for Building Services 45

The detailed design stage usually involves the preparation of the

following items depending on the nature of individual design team
members' appointments:
a set of design drawings for tender purposes

a set of specifications for tender purposes
a final cost appraisal including construction costs
a project master programme for the project construction with key
activities.
The main activities to be carried out at detailed design stage include the
following:
check whether the client has accepted the scheme design proposals
review the consolidated brief to ensure that the client's objectives are
still valid
develop detailed designs
issue preliminary drawings and draft specification
check detailed designs against brief, budget and programme
finalise the detailed design
present the detailed design to the client for approval
prepare tender documentation.
The main design management activities to be carried out are as follows:
assess design office resources

review the quality plan
check progress against timetable
check expenditure against job cost allocation
report to client on fees and expenses incurred
check whether the consolidated brief still meets the client's
objectives (any design changes beyond this stage will result in
additional work which should be chargeable).
5.2 ROLES AND The relationships between project management functions and design
RESPONSIBILITIES management functions are shown in Figure 5.1.

Project organisations Organisations undertaking design work
Client Other
Firm 1 Firm 2 Firm 3
sources
Figure 5.1
Design team
organisation
Project Design Design Design

Planning
management facility facility facility
Supervisor
team manager manager manager
(see 5.4.3) (see 5.2.1) (see 5.2.3)
Specialists
Design team leader Design unit leader Design unit leader Design unit leader
and advisors
(see 5.2.2) (see 5.2.3)
Design team
Source: BS7000 : Part 4: 1996, Design management systems.
5.2.1 Project manager's duties

A project manager appointed to co-ordinate and manage the activities of
the design team might be given the following responsibilities:
=> to ensure that the design management plan (as described in section
5.3.2) is being complied with
=> to ensure that the requirements of the consolidated brief are being
met
=> to produce, together with the design team, an integrated programme
for the activities of all design team members
=> to develop the design programme to include dates for the submission
and consideration of outstanding reports affecting design issues
=> to commission any additional reports required
=> to draw attention to the design team's duties under the CDM
Regulations (see section 5.4)
=> to obtain, on behalf of the design team, information and decisions
relevant to the design from the client
=> to submit, with the design team, preliminary design proposals to the
client for approval
=> to obtain regular cost reports, monitor the cost plan and secure client
approvals at agreed stages.
=> to clarify responsibilities between the design team and specialist
contractors or manufacturers who may contribute to the design
=> to review project control procedures and amend the project handbook
as required (see section 5.3.3)
=> to review and if necessary amplify the consolidated brief for each
design unit
=> to co-ordinate client and design team activities
=> to prepare with the design team a detailed design and production
information programme defining tasks and allocating responsibilities
=> to establish key dates for delivery of information for cost checking,
client approval, and tender preparation purposes
=> to liaise between client, design team and statutory bodies
=> to prepare and collate design progress reports
=> to obtain client approval for detailed design.
© BSRIAAG 11/98 Project Management Handbook for Building Services 47

5.2.2 Design team leader

A design team leader should be appointed who is responsible for over-
seeing and co-ordinating the work of the design team. Within the design
team there may be a number of "design units", ie individuals or groups
of designers from one design facility appointed to fulfil some part of the
design requirement for a particular project. Each design unit may have
its own leader. It is the responsibility of the design team leader to
manage the activities of these units and to provide the primary link
between "project management" and "design management".
Specific responsibilities of the design team leader might include most of

the following:
defining the communications channels between design team

members and the client or others (as described in section 5.5.1)
defining procedures for control of documentation
leading the briefing process, including preparation of briefing stage
reports
advising on, and possibly organising, the procurement of design
services
preparing the design management plan (as described in section 5.3.2)
preparing designs as part of the design process
determining the form and content of design team outputs and
preparing a design programme
setting targets for design team outputs
agreeing stages at which construction cost and programme estimates
will be reviewed
collating and reviewing cost and time data from design units relevant
to the project master programme
co-ordinating the activities of the design team
assisting in the development of the health and safety plan (as
described in section 5.4.4)
establishing compatible information exchange interfaces between
design units, including CAD data exchange
co-operating with the planning supervisor (as defined in section
5.4.3) •
issuing regular reports on design progress relative to the design
programme.
The design team leader should also take responsibility (either

individually or with other members of the design team) for ensuring that
the content of design information is co-ordinated. This role is crucial to
ensure that there is no conflict or ambiguity between the information
produced by different design units.
5.2.3 Design facility manager and design unit leader

The "design unit leader" is likely to be working under a "design facility
manager" who has some corporate responsibility for the activities of
that particular design company. The design facility manager might be
responsible within his company for providing:
• direction with regard to corporate objectives, policies and strategies

• input to business plans, budgets and marketing strategies.
48 Project Management Handbook for Building Services © BSRIA AG 11 /98

A clear demarcation between the responsibilities of the design facility

manager and the design unit leader is essential.
In relation to a particular design project, the design facility manager's

responsibilities might typically be as follows:
submitting bids for work on behalf of the organisation

determining the acceptability of the terms of a new commission (as
described in section 3.3)
ensuring completion of any further investigations following analysis
of the strategic brief
appointing a design unit leader
determining the composition of the design unit and the financial and
technical resources required
approving the design programme and frequency of progress reports
establishing a verification strategy and approval process
monitoring performance and progress
authorising the issue of design outputs
ensuring that all design commitments have been fulfilled
issuing requests for fee payment and claims for additional fees.
In contrast, the design unit leader's responsibilities might typically be as

follows:
liaising with the design team leader, and other members of the
project team
obtaining the necessary approvals from the project team or design
team leader
participating in briefing
advising on the design resources needed to complete the design
planning the design programme
agreeing channels of communication
identifying the need for specialist design input from other
organisations
identifying sources of design data and methodologies
ensuring that the design is completed
controlling design cost, programme and quality of output
appraising design inputs from others
attending site (post tender) as required.
It follows that a design unit leader is responsible to both the design team
leader and the design facility manager and it is essential that these two
duties do not conflict. This is best achieved by ensuring that design
appointments and responsibilities are clearly defined and mutually
compatible.
5.3 DESIGN The planning of design activities throughout the duration of the project
PLANNING should be given careful consideration by the project team, and
documented in the form of quality plans, design management plans and
project handbooks.

5.3.1 Project quality plan
Quality management aims to ensure consistent performance of a product

or service to a defined standard of quality or achievement. Most design
practices are likely to have standard procedures for organising design
activities and projects, documented in the form of a quality system.
This will typically define sources of published design methods and data
and any standard forms and practices to be followed.
There may also be a need for specific "quality plans" describing how
the quality system is to be applied to particular projects. A project
quality plan should describe how things should be carried out for the
project in question. It should be a dynamic document and should be
reviewed at the commencement of each stage of the plan of work to
ensure that the procedures are applicable to the tasks ahead.
A typical quality plan for a design office might include:

the brief (at whatever level it has progressed to)
details of other parties not necessarily named in the project brief, eg
the design team leader
design unit leaders
specialist designers
the practice (or project) quality manager
brief development control and review procedures
agreed procedures for consultations and approvals
project design programmes
staff assigned to the project and their responsibilities
design input control procedures (as described in section 5.5.2)
design review procedures
design output control procedures (as described in section 5.5.3)
project administration and document control procedures
project specification basis and development
procedures for appointment of the construction team
contract administration procedures
procedures for monitoring the installing contractor's quality plan
procedures for changes to the approved brief (as described in section
5.5.8)
procedures for changes to the design (as described in section 5.5.9)
identification of revised documents
programme for inspections and tests and personnel involved
procedures and check sheets to be used for tests
corrective actions in the event of non-conforming work
end of project reviews
procedures for feedback studies and reports
procedures for maintenance manuals and operating instructions
procedures for as-installed information
job records and files
quality audit procedures
5.3.2 Design management plan

The design team will need to produce a "design management plan"
detailing the requirements of the design process and how it is to be
managed. The contents of the design management plan should include:

the communication channels to be adopted between the design team

members (explained further in section 5.5.1)
the named party or parties responsible for checking that the content
of the design is co-ordinated
a calculation plan, identifying the calculations to be carried out, the
methodologies, any standard calculation sheets to be used and the
checking procedures in place
the types of drawings to be produced, with details of their sizes
content and format (reference can be made to standard drawing
definitions such as those included in Appendix Al of this guide)
schedules of drawings indicating numbers and titles of drawings to
be produced by each discipline
relationships of interdependent CAD systems (explained further in
section 5.5.5)
estimates of staff hours to be spent by designers on each element or
drawing
methods for monitoring design resources expended compared to
planned estimates
schedules of information required and planned dates of issue
key dates for design reviews
dates for project co-ordination and progress meetings
dates for design team meetings.
5.3.3 Project handbook

Where the management role extends to overseeing and co-ordinating
activities between different members of the design team, and contractors
throughout the design and construction stages, it is appropriate that a
"project handbook" is prepared during the course of the design stages.
The project handbook might also be referred to as the "project execution
plan".
The project handbook should provide a clear and concise description of

policies, strategies, responsibilities, lines of communication and key
interfaces between the parties. It should be consistent with all other
contract documentation and terms of engagement.
The project handbook might typically be prepared by a project manager
with input from the project team. Although amendments may be
necessary during the course of the project, the project manager should
be the only party authorised to implement revisions. Once complete,
copies will be issued to all of the project team.
The project handbook should contain details of the following:
the parties to the project

any third parties' organisations
the roles and duties of the project team
the project site details
general administration and correspondence protocols
contract administration:
contract conditions
contract management and procedures
tender documentation
claims for entitlements
indemnities, insurances and warranties

design co-ordination arrangements

procedures for variations or changes
procedures for site instructions
cost control and reporting
planning, programmes and progress reporting
organisation of meetings
arrangements for the selection and appointment of contractors
safety, health and environmental protection
quality assurance
dealing with disputes
signing off
reporting
fitting out
commissioning
completion and handover
client commissioning and occupation.
Source: Chartered Institute of Building, Code of Practice for Project
Management for Construction and Development, Second Edition, 1996.
5.4 CDM Under the Construction (Design and Management) (CDM) Regulations
REGULATIONS 1994, designers have a duty to consider health and safety issues during
the design process, and to minimise risk. In order to comply with the
Regulations, health and safety needs to be considered along with other
design issues.
The aim should be to:
identify any significant health and safety hazards associated with the
construction and maintenance of the design
select design options that entail as few as possible foreseeable risks
(within the limits of what is reasonably practicable)
look for ways of reducing and controlling the risks that remain.
Guidance describing the types of hazard which should be considered

and the designer's responsibilities under CDM is given in the following
publications:
HSC. Managing Construction for Health and Safety. Approved

Code of Practice.
HSC. Designing for Health and Safety in Construction.
CIBSE. TM20. Health, Safety and Welfare in the Built
Environment. 1995.
CIRIA. CDM Regulations - Work sector Guidance for Designers.
Report 166.
HSE. The Role of the Designer. Information Sheet; Construction
Sheet No 41.
To obtain a fuller understanding of the designer's responsibilities in

compliance with the CDM Regulations reference should be made to
these publications, and the specific regulations themselves.
This publication does not provide a complete explanation of the

requirements on designers.

The following sections provide a summary of the main roles, outputs

and management activities which arise.
5.4.1 Design roles covered by CDM Regulations

Under the CDM Regulations, the term designer is taken to include:
architects and engineers contributing to, or having overall

responsibility for, the design
building services engineers designing details of fixed plant
(including distribution systems)
surveyors specifying articles or substances or drawing up
specifications for remedial works
contractors carrying out design work as part of a design and build
project
anyone with authority to specify or alter the specification of designs
to be used for the structure
temporary works engineers designing formwork and falsework
interior designers, shopfitters and landscape architects.
5.4.2 Designers' responsibilities under CDM

Designers have a responsibility to assess the risks (which can
reasonably be foreseen) associated with the construction or maintenance
of their design, and take measures to avoid or minimise them.
To ensure that risks to health and safety are fully considered in the
design process designers should:
identify significant hazards associated with the construction and

maintenance of their design
consider risks which may arise when their design is incorporated
into the project
if possible, alter the design to avoid or minimise the risk.
Designers must include adequate information in the design about any

aspect of the project which might affect health and safety at work. They
should also co-operate with the planning supervisor and other designers
with regard to health and safety.
A simple technique for assessing risk is included as Toolbox section T5.

Where risks cannot be avoided the following actions should be
considered in order of descending priority:
put in place measures to minimise the risk, eg add safety features

put in place measures that will control the risk to all workers
provide a means of personal protection for individual workers.
Designers also have a responsibility to take reasonable steps to alert

clients to their duties under the CDM Regulations and of the existence
of the HSC Approved Code of Practice referenced in the introduction to
section 5.4.
The designer's responsibility extends into the construction phase to

cover any on-going design work arising from temporary works,
variations or detailed design.

5.4.3 Planning supervisor

The planning supervisor is appointed by the client. The following
factors should be considered:
the planning supervisor is a statutory appointment - if the

appointment is terminated before the end of construction then a
replacement has to be appointed
the appointment must be made as soon as the client knows enough
about the project to judge who would be suitable to take on the
planning supervisor role
the planning supervisor may be appointed from the client team, ie a
project management organisation, a contractor, the design team or as
an independent appointment.
Guidance on the planning supervisor's role and duties are provided in:
HSE Information Sheet, Construction Sheet No 4 The Role of the

Planning supervisor
CIRIA Practical Guidance for Planning Supervisors, 1998.
The main responsibilities of the planning supervisor are to:
advise the client on the competence and resources of prospective

designers and principal contractors (as defined in section 7.2.1)
notify the Health and Safety Executive of the project at concept
design stage (for all projects lasting more than 30 days or involving
more than 500 man days)
ensure that adequate consideration and information on health and
safety is included in the design
ensure co-operation on health and safety between members of the
design team
ensure preparation of, a pre-tender health and safety plan (see
section 5.4.4)
advise the client on the principal contractor's health and safety plan
(as described in section 7.2.2)
confirm to the client that the resources for health and safety are
adequate
report to the client on all matters concerning health and safety
throughout design and construction phases
ensure that the health and safety file is prepared and handed over to
the client on completion of the project (see section 5.4.5)
manage the CDM related activities during design (see 5.4.6).
5.4.4 Pre-tender health and safety plan

Details and guidance on the pre-tender health and safety plan is given in
HSE Information Sheet, Construction Sheet No 42, the Pre-tender

stage health and safety plan
The pre-tender health and safety plan is developed during the design,
and forms part of the tender documents. It is likely that the design team
will provide most of the information. Its scope may include details of:
the client

the site location

the nature of construction work to be carried out
the construction programme
surrounding land uses, adjacent premises and any associated
restrictions
existing services such as underground and overhead lines
existing traffic systems and restrictions affecting access for fire
appliances and deliveries
existing structures which are to be demolished or refurbished and
their possible instability or inclusion of hazardous materials
ground conditions and its possible instability or contamination
structures to be demolished or incorporated in the proposed structure
significant hazards or work sequences identified by the designer
which cannot be avoided or designed out, and where appropriate, a
broad indication of the precautions assumed for dealing with them
the principles of the structure's design and any precautions that
might be needed, or sequences of assembly that need to be followed
health risks arising from materials specified, either because of their
nature or manner of their intended use
positions of site access and egress points (for deliveries and
emergencies)
locations of unloading, layout and storage areas
location of temporary site accommodation
site traffic and pedestrian routes
health and safety issues applicable to construction works in a partly
occupied building
any specific site rules laid down by the client or planning supervisor
procedures for considering the health and safety implications of
design elements arising from the principal contractor's or other
contractors' packages
procedures for dealing with unforeseen eventualities during project
execution which cause substantial design changes.
5.4.5 Health and safety file

The planning supervisor is responsible for ensuring the preparation and
handover of the health and safety file. The health and safety file is a
record of information for the end user which focuses on health and
safety. Its development is likely to necessitate input from the client,
designers, the principal contractor, and other subcontractors. Starting at
the an earlier design stage and continuing throughout the project.
Specific guidance regarding the health and safety file is provided in:
HSC. Design for health and safety in construction.

HSC. Managing construction for health and safety. Approved
Code of Practice.
HSE. A guide to managing health and safety in construction.
BSRIA. The CDM Regulations Health and Safety File. BSRIA
BSRIA. Standard Specification for CDM. BSRIA Technical Note
TN9/97.
HSE. The health and safety file. Information Sheet, Construction
Sheet No 44.

These publications suggest that the health and safety file can be treated
as a composite part of handover information as described in section 9.3.
In whatever form it is produced it should focus on health and safety

issues such as:
procedures and requirements for cleaning and repair of the structure

operation and maintenance of plant equipment
instructions for equipment
design loadings for structural elements.
In its simplest form the health and safety file may comprise a contents
indicating the location of list of information relevant to health and
safety contained in other handover documents such as the O&M
manuals or record drawings.
5.4.6 Management of CDM during design

Overall responsibility for the management of activities required under
CDM lies with the planning supervisor. The main management
activities required to ensure compliance with the CDM Regulations are
as follows:
agree with the client the scope of the health and safety
requirements
establish a budget for health and safety activities
identify and take into account any existing health and safety
information relevant to the project
agree with the client the format and structure in which information
is to be presented for the health and safety plan and file
establish the method of compiling the health and safety plan and
file
define responsibilities and authorities with regard to the
preparation of health and safety information
define staged activities and required outputs
identify milestones for the delivery of health and safety
information and ensure these are identified in project programmes
ensure that designers specify what is expected of contractors,
equipment suppliers, commissioning engineers etc regarding the
preparation of their health and safety plans and input to the health
and safety file
specify the requirements for the health and safety file (refer to
BSRIA Technical Note TN9/97)
procure resources for the preparation of the documentation (eg
external authors)
brief the persons responsible for producing documentation
manage the process for compiling the information.

5.5 DESIGN A full list of the design duties and the main design activities should
PROCESS have been agreed on appointment of the design team and further
MANAGEMENT detailed within the project documentation described under section 5.3.
The following sections explain how some of these activities might best
be managed and co-ordinated to ensure the success of the process.
5.5.1 Project communications

Project communication will feature as part of each company's design
management plan as described in section 5.3.2.
The routine methods of communication (eg post, telephone, facsimile

(fax), electronic mail (e-mail) etc) should be specified in relation to the
different types of data or information to be exchanged. It is also
worthwhile establishing some basic rules governing communication
such as the following recommendations from BS7000 : Part 4: 1996,
Design management systems:
The design team leader should be the focus for communications

within the design team and, where necessary, should approve all
communications between the design team, external agencies and
the client.
Where communications relate to changes to design team resources

or design management issues, the relevant design facility manager
should be consulted.
Design unit leaders should be aware of and approve, where

necessary, all communications between their design unit, other
design units and the design team leader.
Designers should communicate formally through established

channels such as team meetings. They may also communicate
informally provided the outcome of such communications is
recorded and validated.
Agreement on this subject will necessitate each party preparing specific

project procedures for internal and team use.
5.5.2 Design input control

Input for design calculations and decision making is likely to come from
a number of sources including:
the project brief
information from previous stages
output from specialists or other design disciplines
standard design methodologies and data
product information
codes, standards and legislation
staff expertise and knowledge.
These sources should be identified and recorded in accordance with the

procedures described in the quality plan under "design input control".

In order to avoid the use of inappropriate data, a system of validation

should be established. Sources of design data should be validated by:
long term usage (although data sources more than five years old
should be regularly re-checked for suitability)
status of source, eg professional institution or research association
technical judgement - where someone may need to judge what are
the best data available
testing.
The correctness of designs should be verified by:

design reviews (as described in section 5.5.10)
checking, approving and authorising procedures
testing
repetition of calculations by different persons using different
techniques
comparison with rules of thumb.
Furthermore, it has been shown that many of the problems which occur
on building sites are the result of poor project information. Every effort
should be made to ensure that information is:
complete
delivered on time
accurate in terms of description, reference and dimension
sufficiently detailed to suit its purpose (whether for pricing or
construction)
feasible, ie buildable or installable
relevant
clearly expressed and unambiguous
firm (as opposed to provisional)
consistently arranged and structured
not conflicting (with itself or other information).
Good project information is the most likely guarantee of good quality

work and best value for money.
5.5.4 System selection

There are three main factors to take into consideration when selecting
building services systems:
the client's objectives (as defined in the project brief)

constraints, eg legislation, regulations and standards
the ability to achieve the required function, eg in terms of
performance, ease of control, appearance etc.
There are a number of ways of evaluating different system options. For

small systems for which there are few options, decisions can be made on
the basis of previous experience. However, for complex, costly systems
where there are a number of possible alternative solutions a second
stage value management workshop would be appropriate as described in
section 5.7.

5.5.5 CAD and data exchange

The transfer of design information on large projects can be a major
cause of increased cost and delay if not managed properly. The
following publications provide some standard approaches which can
help to avoid confusion and enhance compatibility.
BS 1192: Part 5. Guide for Structuring of Computer Graphic

Information. Construction Drawing Practice. 1990.
The Quality Control of Handling Project Data through a
Consistent Approach to Design Management and Procedures. The
Construction Round Table. 1996.
These documents, between them, define standard approaches to:
allocating CAD drawing layers for construction

equivalent terminology
a "Data and Information Exchange Agreement" between project team
members
a "Common Procedures Check-list" for CAD operators.
An abbreviated version of the Common Procedures Check-list from the

Construction Round Table publication is included as Appendix A3. For
more detailed guidance on the scope and application of this check-list,
reference should be made to the publication itself.
5.5.6 Design information matrix

As a means of defining the scope of design activities and then
monitoring their progress, it is helpful to establish some form of design
information matrix at the outset.
A design information matrix can be used as a means of translating a

complex brief for a building into a concise representation of the
information to be produced and the activities to be carried out. Figure
5.2 shows an example page from a design information matrix for
building services elements.
It can be seen that by taking the CCPI Common Arrangement Work

Sections (CAWS) menu and presenting them against a matrix covering
the main activities and design outputs, a useful tool can be created to
ensure that the thought process addresses all these matters in an
organised way.
A complete set of pro forma matrix sheets covering all of the building
services items listed under CAWS are included as Pro forma section P3.

Figure 5.2 Example design information matrix
Project: Example Design unit leader: F Smith Date: April 1998
Design Details of spatial Structural Related

CAWS Brief requirements: considerations: builder's
Ref. Description work
Plant Dist. Loads Holes
R Disposal Systems
R1 Drainage
-rainwater pipework and gutters
-foul drainage above ground
-drainage below ground
-land drainage
-laboratory/industrial waste drainage
R2 Sewerage
-sewage pumping
-sewage treatment/sterilisation
R3 Refuse disposal
-centralised vacuum cleaning
-refuse chutes
-compactors/macerators
-incineration plant
S Piped Supply Systems
S1 Water supply
-cold water
-hot water
-hot and cold water (small scale)
-pressurised water
-irrigation
-fountains/water features
S2 Treated water supply
-treated/deionised/distilled water
-swimming pool water treatment
S3 Gas supply
-compressed air
-instrument air
-natural gas
-liquid petroleum gas
-medical/laboratory gas
S4 Petrol/oil storage
-petrol/oil - lubrication
-fuel oil storage/distribution
S5 Other supply systems
-vacuum
-steam
S6 Fire fighting, water
-fire hose reels
-dry risers
-wet risers
-sprinklers
-deluge
fire hydrants
Key: = required, = issued (dates may be used instead <of ticks)

5.5.7 Drawings schedule

The drawings schedule should be decided based on:
the contents of the assembled briefing information

the building or project geography
the likely requirements for sub-contracting packages (and their
interfaces).
An initial scheduling of information to be produced is a useful way of

establishing the number of drawings to be produced. To some extent this
may have been considered when the designer's conditions of
appointment were agreed and when responsibilities for drawing
production were decided.
A drawing numbering scheme should be selected which best identifies

the type of drawing.
Figure 5.3 shows how an initial scheduling of drawing information can

be used to plan drawing production.
Project: Example Design unit leader

: F. Smith Da te:
April 1998
Service: Notes: Drawing titles Drawing Nos. Scale Sheet
LPHW size
For pipework LPHW Pipework 79060/M/l NTS AO
Schematics distribution and schematic
electrics. Containing
Figure 5.3 information required LPHW electrical
Example drawings for commissioning and schematic 79060/E/l NTS AO
schedule flushing procedures.
1:20 plantroom layout LPHW Plantroom 79060/M/2 1:20 A1
Boiler house with cross-sections, Plan
including incoming gas LPHW Plantroom
meter room. sections 79060/M/3 1:20 A1
Ground, and 1 st - 3 rd LPHW Ground 79060/M/4 1:50 AO

Floors floor layouts including Floor layout
sections
LPHW First Floor 79060/M/5 1:50 AO
layout
LPHW Second 79060/M/6 1:50 AO

Floor layout
LPHW Third 79060/AA/7 1:50 AO

Floor layout
Radiators, valves, flow Cross-refer to
Schedules measurement devices. specification.
Mark up architectural Cross-refer to

Builders' and structural drawings, design
work provide plant weights, information
information access requirements, matrix.
hole sizes and locations.

In summarising the requirements for drawings consideration should be

given to:
• how best to cross-reference to specifications for component details

• the need for co-ordination between design team members.
Having listed the drawings to be produced a drawings production

schedule can be prepared. This schedule may itself provide clear work
packages suitable for inputting to the design programme as described in
section 5.5.11.
Further guidance on the planning and production of drawings can be

obtained from:
CCPI. Production Drawings - A code of procedure for building
works.
BSRIA. Design Information Flow. BSRIA Technical Note
TN 17/92.
5.5.8 Design brief changes
During the briefing process, changes are expected and permissible.
However, when the brief is agreed and becomes fixed for the purposes
of progressing to the next stage of design, then any subsequent changes
can have an impact on the project objectives of programme, cost and
quality.
A design brief change procedure must be agreed for the project and
included in each party's project quality plan (see section 5.3.1). The
procedure must provide clear instructions on how and when to record a
change to the brief, including its effect on the project objectives.
5.5.9 Design change control

Design changes can be defined as changes made to the described and drawn
building services schemes prepared in compliance with an agreed brief.
Design changes may sometimes arise as the result of design brief changes or
belated decisions. The consequence of each design change which incurs
extra cost is the erosion of the contingency allowance. The tracking of
contingency money expenditure allows the client to make informed
decisions about design changes and to judge whether they are really
necessary or whether the money could be better spent elsewhere.
Design changes must therefore be formally recorded so that their impact

can be assessed and used in support of changes to the cost plan if this
becomes necessary. This approach is an important aspect of
construction cost control as described in section 5.6.3.
An example pro forma sheet for a design change control form is shown
as Figure 5.4.
The procedures for design change control will change after the
appointment of the contractor. Post-tender design changes may give rise
to variation claims. Some project managers may therefore develop
specific change assessment procedures to evaluate the impact of design
changes.
62 Project Management Handbook for Building Services BSRIA AG 11/98

DESIGN CHANGE CONTROL (DCC) Design DCC

unit
Project: School building Rev. No
Proj. No
Date
Title:
Description:
Increase size of changing room ventilation
Reason for change:
Client instruction to increase changing area

Figure 5.4
Design change
control form Discipline: Initiated: DFM approved:
Mechanical 20/3/98 27/3/98
INSTALLATION DESIGN TOTAL Cost planner:
Effect on cost: COST COST
£5000 £300 £5300
Effect on Design programme: Weeks Planner:
0 T Jones
Design Facility Manager's Comments:
Variation to be raised
Change not approved
Proceed with change
Client approval required
Name: F Smith Signed: Date:

Distribution Project manager Design team leader
DCC File Cost consultant
Client
5.5.10 Design reviews

Design reviews should take place at three levels:
• within each discipline

• within each design unit
• within the project design team.
Reviews within a specific discipline (eg electrical, mechanical, public

health etc), may not require a structured procedure. Individual
engineers might simply be expected to work in compliance with the
company quality procedures, their output being checked and validated
by a senior engineer for that discipline.

Reviews within a design unit or within the project design team are likely
to involve properly structured meetings with an agenda which addresses
the following developments since the last review meeting:
changes to the brief

agreement on the scope of work elements and packages
design changes
construction cost estimates
information required from other disciplines/design units
value management/engineering reports, studies, mock-ups etc
buildability, commissionability and maintainability issues
compliance with:
technical standards
environmental objectives
CDM Regulations
client approvals
progress against design programme and cost targets
issues in connection with the tender process.
5.5.11 Defining and programming the design process

The design process needs to be planned and programmed by individual
design unit leaders and co-ordinated by the design team leader into an
overall design programme
In order to begin planning the design process it is usually helpful to

begin by breaking the design workload down into manageable sub-units.
By identifying all of the elements required to complete a project in this
way there is less chance of neglecting or overlooking an essential step.
Each sub-unit should ideally be linked to an identifiable deliverable.

Typical sub-divisions of a design process might therefore include
drawing production, specification production, value engineering
exercises, design team meetings etc. Each of these may have been
decided through detailed consideration of the project requirements in
the course of producing a drawing schedule and design information
matrix.
For each design work package there are five stages of planning:
decide on the time required to complete the work package

identify the sequence in which work packages can be completed
which can overlap, and any interdependencies between different
members of the design team
determine the earliest and latest possible start time for each package
estimate the total cost of each work package
allocate responsibility for completing each work package.
Estimating time allowances can only be done by persons with previous

experience of the process or from historical data. In general, the time
required to establish the design technical data and information required
for drawings is at least as long as the time needed to draught the
drawings.

The determination of earliest and latest start times are best determined
by charting the process in a Gantt chart or for large complex projects, a
PERT diagram. These techniques are described in their simplest forms
in Toolbox sections T3 and T4. Reference should be made to standard
project management text books for greater detail on their application.
Using one of these techniques, an initial outline design programme

should be produced by the design team leader covering the entire design
process and how it relates to the overall project programme. The outline
design programme should take on board the content of individual design
programmes produced by each of the design unit leaders.
A final outline design programme will reflect the interdependence of the

various design units and will highlight key dates for:
delivery of information from other parties, eg the client or specialist

contributors
ordering pre-selected equipment (in the case of items for which there
is a long lead time between ordering and delivery)
delivery of design outputs.
These dates would feed into the project master programme and be
monitored by the design team leader or project manager.
An example design programme (Gantt chart) illustrating the level of

detail required is included as Appendix A4.
5.5.12 Controlling design costs

Design unit leaders will be responsible for controlling design costs and
reporting progress to their design facility managers.
The cost of the design process will largely be made up from the labour
cost associated with each work package, although overheads, materials,
equipment hire and management costs may need to be added. Each
design unit will need to monitor and control its own costs.
A simple technique for monitoring cost against progress is to use earned

Value, as explained in the following paragraphs.
The work packages previously identified can be reviewed to determine

key milestone dates and the outputs to be delivered on those dates. For
the purposes of planning, outputs may be drawings, studies,
specifications or simply significant decisions in respect of a proposal or
report. For a given project, the milestones should be:
focused on a deliverable
unambiguous
measurable
few in number (around eight across the course of the design process)
at useful intervals.
Based on man hour estimates for each work package, the cost of each
package can be determined, and hence a target cost expenditure to
coincide with each of the agreed milestones can be established.

At regular design review meetings, the design unit leader can report the
estimated earned value of the work relative to the milestones. The
earned value is calculated as:
% complete x control (planned) cost of work package
This principle is illustrated in Figure 5.5. It can be seen that for the
imaginary project illustrated, £10,000 has been spent out of a total
budget of £30,000 ie 33% of the total. However, in work terms around
40% of the work has been completed suggesting a fairly healthy
situation.
1 3,000 2,000 100 3,000

2 8,000 4,000 50 4,000
Figure 5.5
3 9,000 2,000 33 3,000
Example earned
4 4,000 2,000 50 2,000
value calculation
5 6,000 0 0 0
Total 30,000 10,000 40 12,000
The cost and programme status can be brought together by recording

cost and time against an S curve for the project. Figure 5.6 illustrates
example S curve diagrams.
It can be seen that by plotting the planned costs against the design
programme timescale an overview of the design process is created.
Since most expenditure tends to occur in the middle stages of a process
this curve is usually S shaped. Plotting expenditure and earned value on
the same graph provides an indication of how well the design is
progressing against budget and programme.
£ £
Earned value Earned value

Expenditure Expenditure
Control coat Control cost
Figure 5.6 now Time now Time
Example S curve
diagrams for monitoring ahead on programme, ahead on cost behind on cost, behind on programme
design progress
£
C
Earned value
Earned value Expenditure
Expenditure Control cost
Control cost
now Time
now Time
ahead on cost, behind on programme

ahead on programme, behind on cost

5.6 PROJECT COST Accepted definitions for budget and cost planning are as follows:
PLANNING
• budget - the total expenditure authorised by the client which is
within the responsibility of the design team
• cost planning - the technique by which the budget is allocated to the
various elements of an intended building project to provide the
design team with a balanced cost framework within which to produce
a successful design.
Because terminology can vary, each project should adopt agreed
common terms.
If there is any uncertainty, whenever called upon to comment on the
budget, cost plan or their equivalents, the building services designer
should:
=> request the basis upon which the allowances were made
=> request the degree of accuracy of the figures presented.
Guidance on project cost planning is given in:
Chartered Institute of Building. Code of Practice for Project

BS7000 : Part 4 : 1996. Design Management Systems.
5.6.1 Problems associated with building services cost planning

In general building services designers find difficulty in presenting
accurate initial cost estimates for the following reasons:
many do not have the facility to analyse properly the costs of

services on previous projects
there is no simple relationship between the cost of services and
building area or volume
published cost information is usually too vague to allow accurate
predictions.
Similarly, quantity surveyors suffer problems in estimating the cost of

services because they have difficulty understanding:
the impact of plant location, distribution routes and building cores on

services costs
the cost implications of different design codes, standards, statutory
regulations etc which must be complied with
the effect of the complexity of services on the demands for increased
site management, commissioning management, provision of
documentation etc
the impact on services design of client policies regarding
environmental issues, phasing, flexibility, extension, standby,
maintenance, fire and security etc.
Until a more satisfactory method is found of combining the designer's

technical awareness with the quantity surveyor's costing techniques,
initial cost estimates must be anticipated to be of much lower accuracy
than those for other building elements, typically ± 25% or more.
©BSRIA AG 11/98 Project Management Handbook for Building Services 67

A confusion can also arise over the interpretation of cost data provided
to building services designers by quantity surveyors. Gross cost values
for components which incorporate installation costs are of little use to
the designer selecting the component. To ensure that cost targets are
achieved the designer requires the nett cost of the component itself so
that a selection can be made which is within the quantity surveyor's
allowance.
5.6.2 Risk analysis

To help limit the effects of unforeseen costs on the budget and cost plan,
an estimating approach which incorporates risk analysis is usually
beneficial. Risk analysis entails a number of processes by which
financial risk is identified, assessed and quantified for inclusion in
project cost estimates. Risk may be defined as the possible exposure to
uncertainties at the time of prediction, which may result in
consequential financial loss or expenditure greater than expected.
A good approach to risk analysis in relation to cost planning is given in:
Defence Works Services (DWS). Estimating using Risk Analysis.

Functional Standard Technical Bulletin 07/94.
5.6.3 Cost control

The objective of cost control is to ensure that the project is completed
within budget and, as far as possible, in compliance with the cost plan.
To achieve this objective, all members of the project team have to adopt
a positive attitude.
In order to achieve effective cost control the following rules must be

adhered to:
all decisions affecting design or construction must be made with due

consideration of the cost implications - no decision should be made
which causes the budget to be exceeded
no member of the project team should have authority to increase its
overall costs - increased costs on one item must be balanced by
savings on another
regular cost appraisals and updates of the cost plan must be issued
checks must be made that the design change control procedure is
strictly followed at all stages.
The methods used to forecast costs will vary at different stages of the
design. As design work progresses more accurate forecasts of
construction cost can be made. The design team leader and client
should agree at what stages forecasts should be made. Forecasts should
be presented in an agreed format using recognised methods of
measurement and cost data.
The client should be made aware of the factors likely to cause the actual
construction cost to vary from the cost forecast during design. If the
design team leader feels that the client's budget must be exceeded a
written request should be made giving:
details of design changes leading to the request

confirmation of the design changes that are essential

confirmation that compensating savings are not possible.
5.6.4 Pre-tender estimate

A pre-tender estimate, usually prepared by the quantity surveyor,
provides a final check on cost plan allowances and provides a means of
checking tender summary breakdowns. The quantity surveyor is likely
to carry out a materials take-off from the designer's drawings and
incorporate any quotations for plant obtained by the designer. The take-
off may be compressed to include "fittings on the run" rates.
If preceding cost control has been carried out effectively, the pre-tender
estimate should comply with the latest cost appraisal.
5.6.5 Value engineering as a means to reduce cost

The use of value engineering techniques during the development of the
design can help ensure that unnecessary cost is eliminated and that the
client is getting best value for money. However, in applying these
techniques it must be remembered that:
the most significant value improvements or cost savings are likely to

be found during the earlier stages of design; the opportunities for
savings diminish as the design progresses
value enhancing or cost saving ideas must be adopted only after
carrying out some form of functional analysis as described in section
5.8.1; this will help ensure that the client's priorities in relation to
cost, life cycle costs, maintainability, environmental friendliness etc
are recognised.
5.7 VALUE Following on from the value management exercise carried out at
MANAGEMENT AS inception stage (as described in section 4.3) a second value management
AN AID TO workshop is useful to help decide best value design solutions.
SYSTEM
SELECTION
More detailed guidance on value management is given in:

Application Guide AG/5/96.
CIRIA. Value Management in Construction - A Client's Guide.
SP129. 1996.
5.7.1 Outline proposals stage - value management workshop

A value management workshop held at the outline proposals stage of a
project will aim to help identify the design proposals which provide best
value for money.
The objectives of a value management workshop at the outline

proposals stage should be to:
verify that the previously established project objectives are still valid
ensure that the choice of outline design proposals is made in
accordance with the appropriate value criteria
achieve a group consensus in favour of a single option
ensure the decision making process is accountable.

The participants to the workshop are likely to be those that attended the
concept stage value management workshop described in section 4.3.1,
plus any other stakeholders who may have emerged.
The main stages of the outline proposals stage workshop are as follows:
Information: - ie reviewing the client's objectives, as previously

identified, in order to determine whether these objectives remain
valid. New information may have come to light which necessitates a
change in the value hierarchy established at the previous value
management workshop. Next, consideration will be given to any
constraints previously identified to ensure that these are still valid.
Structuring of objectives: - the value hierarchy would be restructured

based on the findings of the preceding information stage. The client
objectives identified in the value hierarchy should now be viewed as
attributes against which different design options will be assessed. To
facilitate the use of the hierarchy in this way, attributes which have
no bearing on design choices should be ignored whilst those that do
should be minimised to form as short a list as possible. Whilst
capital cost is very likely to be one significant attribute, this should
also be ignored for the time being, until the end of the analysis.
Assignment of importance weightings: - importance weightings

should be assigned to each of the attributes. The use of importance
weightings is described in Toolbox section Tl. The second order
attributes are prioritised first by assigning each of them with an
importance weighting. Once these are agreed the third order
attributes are also assigned importance weightings. Finally the
second order weighting is multiplied by the third order weighting to
give an overall weighting for the third order attribute. These overall
weightings are then used as the basis for evaluating different design
options. A pro forma value hierarchy with space for weightings in
included in Pro forma section P2.
Evaluation: - Each design proposal is evaluated against the weighted

attributes. Using this technique, different system options or design
solutions can be compared to determine which one most closely
fulfils the client's objectives and provides best value for money. A
pro forma decision matrix sheet for this purpose is included in Pro
forma
section P2.
Sensitivity analysis: - this involves testing the sensitivity of the

preceding evaluation process was. Attention is focused on those
weightings or scores which were previously the cause of
disagreement. If by adjusting these weights, the ranking of design
proposals is affected, then more consideration may need to be given
to those values. If such adjustments make no difference to the
ranking then participants may continue to the next stage.
Cost/value reconciliation: - the first cost and life cycle cost of each
option is now considered. Final selection may be based on the ratio
of the proposal's rating to projected cost. Alternatively, the proposal
70 Project Management Handbook for Building Services BSRIA AG 11 /98

with the highest rating could be chosen as long as it does not exceed
the budget.
Value improvement: - the workshop ends with a final brainstorming

session to see if the group can come up with any ideas about how the
design option can be improved to reduce cost and give better value
for money.
5.8 VALUE Value engineering differs from value management in that attention now
ENGINEERING AS switches to the functions of different systems or components. The
AN AID TO intention is to determine whether the same function can be achieved at
COMPONENT
lower cost.
SELECTION
One definition of value engineering is as follows:
A systematic approach to achieving the required project

functions at least cost without detriment to quality,
performance and reliability.
Guidance on value engineering is given in :

5.8.1 Scheme design stage - value engineering workshop

Value engineering is a useful technique for use during the scheme
design and detailed design stages of a project. The participants in value
engineering workshops should include the client, project manager, cost
consultant, and relevant members of the design team. Where the
installing contractor is appointed early on to contribute to the design,
they can play a very valuable role in commenting on productivity and
buildability issues and suggesting innovative installation methods.
The main stages of a value engineering workshop are as follows:
Information: - this involves identifying the areas within the design

which offer the greatest potential for savings. Having identified a
number of promising systems or components, the functions of these
are then analysed using functional analysis techniques. A functional
analysis system technique (FAST) diagram would typically be used
for this purpose. At the head of the diagram the overriding function
of the component is described. This is then broken down into sub-
functions of the main function. Figure 5.7 shows an example FAST
diagram for an air handling unit. A pro forma sheet to aid functional
analysis is included in Pro forma section P2.
Speculation (brainstorming): - the idea is to generate as many

alternative ideas or methods to achieve the same functions as those
identified during the preceding functional analysis. Brainstorming
techniques are described in Toolbox section T2.
Evaluation: - the ideas generated are then evaluated in terms of their

feasibility and value enhancement. Ideas which do not meet all of
the functional requirements are eliminated.

• Development: - ideas accepted in the previous stage are carried

forward for further development. Options may need to be designed
in more detail and costed. This may be carried out after the
workshop.
• Recommendation: - based on the development work, a

recommendation is made to implement or discard the idea.
Figure 5.7 Example FAST diagram

FUNCTIONAL ANALYSIS SYSTEM TECHNIQUE (FAST DIAGRAM) FORM
Client: A another Property Management/Investment Plc. Project
: Crowthome
Value Management Stage: VE1 or VE2 Facilitator: G. Hayden Date: 5 / 9 / 9 6
Component or System under Consideration: Air handling unit (for an air conditioned office).
Cools air
Removes Reduce s
heat temperatur e
Heats ai r
Adds Increase s
heat temperature
De-humidifies ai r
Removes Reduce s
moistur e spec. enthalpy
Condition s
Humidifies ai r
spac e Adds Increase s
moistur e spec. enthalp y
Cleans ai r
Filters
pollutants
Provide s
ai r movement
Discharges Provide s press
ai r gradients
Provides
fresh air
Intake s
ai r
List of most viable alternatives:

1. Natural Ventilation 2. Mechanical V e n t i l a t i o n 3.
4 5. 8.
7. 8. 9.
Tick Participants:
Specify Others:
Structural Building Project Cost Sub- Sub
Client
/ Architect
Engineer Services Eng. / Manager / Consultant / Facilitator / Contractor / Contractor Contractor

TENDER PROCESS SECTION 6
6 TENDER PROCESS
The tender process for appointing contractors comprises four main

activities:
preparing tender enquiry documentation

deciding the method of tendering
selecting the tenderers
evaluating tenders.
Tenders may be obtained by:
open tendering whereby anyone who wishes to bid may do so

selective tendering whereby tenders are invited from a small pre-
selected group
negotiation, for situations where price is not the main criterion for
selection and competition is not essential (although to achieve some
degree of competition negotiation may be used as the second stage in
a two-stage process).
Although open tendering guarantees maximum competition it can be

wasteful of the tenderers' time and can give unreliable results if
selection is purely on lowest cost.
Guidance on the tender process is given in:

The following sections provide general guidance notes and check-lists

for those responsible for managing the tender process or managing the
response to a tender enquiry.
Figure 6.1 illustrates the tender procedure to be followed.

SECTION 6 TENDER PROCESS
Figure 6.1 Tender procedure
The tender list short list prequalify
Select Contractors Contractors

suitable Report Report Client
on short list briefed and Interview
contractors recommending recommending approves
asked to asked to contractors
interview list tender list tender list
prequatrfy respond
Compilation
Response
of preliminary
Advertise from
list of
interested
tenders
contractors
Receipt and opening of tender
Late tenders
Rejected invitations
Arrangements for tender
Queries directed to
Receipt of tenders Tender opening
Invite tenders tender nominee
Accompanied site
Prepare tender packages, inspections
including health and safety plan
Tender appraisal
Communication
with tenderers Awarding the contract
Arithmetical and Preliminary report Clarification Full report on Letter of Contract

technical check on tenderers tender meeting tenders acceptance document
Qualified
tenderers Letters of regret
Source: The Chartered Institute of Building. Code of Practice for Project Management for Construction and
Development
6.1 PREPARATION OF Tender documentation should be prepared and delivered in accordance

TENDER ENQUIRY with the design programme. The scope of tender enquiry
DOCUMENTATION documentation should include the following:
• a letter of invitation
• an explanation of the scope of works
• an explanation of the tender method
• instructions to tenderers
• the information tenderers should provide
• dates by which tenders should be returned
• the programme for award
• rules regarding validity and acceptability of submissions
• proposed forms of contract with all relevant information entered
• information for inclusion in contracts, eg option clauses and special
or amended clauses
• special requirements for insurance, warranty or guarantee bonds
• a declaration of non-collusion
• the basis of the competition
• the general criteria to be used for evaluation

production information co-ordinated documents, ie drawings,

specifications, schedules, bills, etc
an environmental policy statement and explanation of what the
winning tenderer must do to comply with it
a pre-tender health and safety plan
procedures for the approval of materials, samples, mock-ups etc
procedures and format for development of O&M manuals and record
drawings
details of the design team's conditions of engagement and
clarification of the interfacing of design responsibilities between
designer and contractor (further explained in section 6.1.1)
a description of the management functions to be provided by the
contractor (further explained in section 6.5.1)
any relevant feasibility studies or value engineering reports which
explain the origins and development of the design
any special reports which may affect the method of construction.
The letter of invitation should include:
the name of a contact for queries

a list of enclosures
the number of tenderers
how and when the result will be notified.
Specific items for issue to building services contractors might include:
a commissioning division of responsibility

a commissioning management specification
document and production information schedules
milestone dates to be achieved.
The main management activities required to control and facilitate the

preparation of tender documentation are as follows:
prepare and agree with other members of the project team, a

programme for tender activities
ensure that the main design deliverables dates are compatible with
the programme for tender activities
clarify the roles of each member of the project team with regard to
the tender process
identify the need for control over the selection of suppliers or
contractors (for example by pre-selecting plant and naming or
nominating acceptable sub-contractors)
check that tender documents are delivered on schedule
check that tender documents are complete and comprehensive
check that all proposed sub-contract terms are compatible with the
main contract terms
check that contract terms are fair (where a disproportionate amount
of risk is passed to the tenderer its acceptance is reflected in a
higher price)
ensure clarity regarding the overlap of design responsibility
between the design team and the contractor

ensure clarity regarding the scope of any proposed contractor
designed elements and confirm that the appropriate design
warranties will be secured.
A tender information control matrix linked to the programme for

deliverables is often an essential aid in controlling the preparation of
documentation. An example is shown as Figure 6.2. The organisation
responsible for the source of a document would be responsible for
programming its circulation for approval amongst the team.

F i g u r e 6 . 2 Tender invitation documentation - production control matrix
Lead management
Project: E x a m p l e - Multi-service design on a construction management projec
collation
Req'd No. of Date Date
Document Source Drafted Typed Checked Printed Comment
copies required received
Invitation to tender CM 4/1/98 6/1/98 10 10/1/98 10/1/98 11/1/98

Scope of works CM 4/1/98 6/1/98 10 10/1/98 12/1/98 11/1/98
Instructions to tenderers 10 16/1/98
CM 8/1/98 12/1/98
Form of contract &
10 16/1/98
amendments QS 8/1/98
Form of tender
QS 7/2/98 14/2/98 10 20/2/98
Breakdown of tender
(summary) DUL 7/2/98 8/2/98 10 20/2/98
General preliminaries
Particular preliminaries QS 27/1/98 10 20/2/98
Contract programme QS 10 23/2/98

Allocation of design 10 22/2/98
CM
responsibilities
10 14/2/98
Management DUL
Method statement 15/2/98
CM
Labour relations
CM
Specification
CM
List of drawings
DUL
Pre-tender health
and safety plan DUL
BoQ or pricing
schedule CM
Declaration of
QS
non-collusion
Performance bond
Warranty QS
Parent company
CM
guarantee
Other documents (listed): CM
Environmental policy CM
Quality policy
BWIC and lifting

CM
schedule
CM
CM/
DUL
Compiled by: Date issued to contributors:

Project manager: Contact no:
Date documentation completed: Signed:
Out to tender programmed:: 9 / 4 / 9 8 | Actual
CM Project manager
DUL Design unit leade
QS Quantity surveyor/cost consultant
BSRIA AG 11 /98 Project Management Handbook for Building Services 77

6.1.1 Design responsibilities

Section 3.4 described the need to ensure that the design team's
responsibilities are clearly defined at the outset, especially with respect
to a number of key areas, where, for building services design, there is
often confusion. These areas were identified as follows:
definitions for different types of design drawing
selection of proprietary plant and equipment
appointment of specialist designers
system commissioning
system handover.
If the advice in section 3.4 has been followed, the designer will have
confirmed with the client, before his appointment, the scope of his terms
of engagement in the form of a list of responsibilities regarding each of
these potential problem areas. In order to minimise the risk of
confusion to tendering contractors, this same information should be
passed to them. Pro forma sheets for allocating design responsibilities
are included as Pro forma section P1.
In any event, where there is a clear intent to pass some responsibility for
design to a subcontractor or supplier, this must always be done with the
prior knowledge and consent of the client.
6.2 SELECTING THE The method of tendering should be agreed with the client and other
METHOD OF members of the project team. Specific guidance on the alternative
TENDERING methods of tendering, and the situations in which they might be
appropriate are given in the following NJCC publications:
Code of Procedure for Single Stage Selective Tendering

Code of Procedure for Two Stage Selective Tendering
Code of Procedure for Selective Tendering for Design and Build
Code of Procedure for Selection of a Management Contractor
Guidance Note 1: Joint Venture Tendering
Guidance Note 2: Performance Bonds
Guidance Note 4: Pre-Tender Meetings
Guidance Note 8 Selection and Appointment of Construction
Manager and Trade Contractors.
Care should be taken to:
check with the client whether the tender process is likely to be

subject to legislative control
clarify the purpose of tendering, ie whether it is to obtain information
required for detailed design, to obtain a realistic basis for a
provisional sum, to facilitate advance ordering of equipment etc.
Whichever method of tendering is chosen, the following activities are

essential:

Furthermore,
supply all tenderers with identical information

adhere strictly to the timetable for issue, receipt, adjudication and
award - tenders delivered late should be rejected
deal with queries from tenderers promptly and copy responses
anonymously to all other tenderers.
6.2.1 Two stage tendering
There are a number of circumstances under which the early appointment

of a building services specialist installer using a two stage tender
approach can be particularly beneficial to the project:
when there is insufficient time for the building services designer to

produce a scheme design advanced enough for tender purposes
where there is a need to get the installing contractor appointed early
so that installation drawings can be produced to facilitate the
completion of architectural and structural detailed design
to enable the project to benefit from installing contractors'
knowledge of innovative methodologies such as time saving products
and prefabrication or preassembly options
to ensure that the installing contractor is available to integrate
services work with that of the supply utility firms and to do enabling
design to release early construction packages for items such as
underslab drainage, maintenance of existing services, entry ducts,
earth rod pits etc
where the project would benefit from the installer procuring plant,
equipment and materials on extended delivery, the timely supply of
which is essential if the programme is to be achieved.
The benefits to the client can be substantial if the contractor's role is

managed correctly.
A summary of the important issues relating to two stage tendering are

summarised as a list of watch points in Appendix A5.
6.3 SELECTING THE For selective tendering, a list of contractors must be prepared. It is
TENDERERS essential that, for building services installation, tenderers are chosen by
managers who have some knowledge of building services. This will
help to ensure that companies are chosen who can handle the technical
and managerial complexity of a particular project, and that the selected
firms are generally comparable in size and ability.
For small projects, lists of contractors can be compiled based on

reputation, recommendation, previous experience or other such sources.
For larger, more complex projects, a more detailed selection procedure
may be required involving an initial pre-qualification stage, followed by
final interview.
In either case, an early preliminary invitation to tender is required to

enable contractors to decide whether or not they wish to tender and, if
so, what resources they will need to allocate to prepare the tender.

6.3.1 Pre-qualification
Stage one selection of contractors may be based on any or all of the
following sources:
the client project manager's or design team leader's own contact list
reputation or recommendation
advice from professional bodies
public advertisement.
If established contact lists are to be used, care should be taken to ensure

that information about the companies on the list is kept up to date and
relevant.
It is essential that the tender list is made up of contractors who stand an

equal chance of winning the contract. The inclusion of names who, for
whatever reason, are unlikely to be the favoured choice must be avoided
since this wastes the time of the contractor in question and diminishes
the benefit of the competition.
A short list of tenderers should be established based on responses to a

questionnaire asking for the following details of each company:
name and details

names of directors etc
financial status, share capital etc
quality management systems and accreditation
curriculum vitae of proposed team members
staff with chartered qualification
manpower
design engineers
technicians
fitters etc
management structure
insurers and liability cover
willingness to sign a design warranty or provide performance bonds
construction turnover and details of contracts completed recently
referees
willingness to contribute in partnering arrangements
health and safety policy and procedures
policy on environmental issues
policy on discrimination
policy on training.
For complex projects where the contractor may be involved in some

design, it may also be appropriate to ask for details of the following:
experience on similar projects

qualifications of key staff
areas of specialist expertise
knowledge of computer aided design, estimating, and management
systems.

Although the final decision is to some extent a subjective one, it is often

helpful to score each company against a set of weighted criteria.
Examples demonstrating the use of weighted evaluations are shown in
Toolbox section Tl.
It is usually prudent to keep a reserve list of contractors in case one of

those selected drops out.
With regard to the management activities surrounding the selection

procedure, the project manager/design team leader should:
check whether the client has any preferences regarding the choice
of contractor or whether he keeps a list of approved contractors
check whether the selection procedure needs to take account of
specific client objectives (eg a client who places a high priority on
environmental issues may wish to employ contractors with
established environmental management systems in place)
identify the essential features and expertise required from
prospective tenderers
brief selected firms regarding the nature of the project and the
method of procurement
obtain views from firms on the proposed scope of works, form of
contract, tender and construction periods (NB concern that contract
conditions are risky is likely to reflect in higher tender prices)
check whether labour would be direct employed, self-employed or
subcontract
obtain confirmation from firms of their intention to respond
recommend to the project team appropriate firms for interview
together with other members of the project team, conduct
interviews with prospective tenderers (see section 6.3.2)
prepare a final tender list for client approval
arrange for selected tenderers to visit and inspect the project site.
6.3.2 Pre-qualification interview

Interviews may form part of the pre-qualification process. They should
follow a common structure commencing with an introduction to
information ideally issued to interviewee in advance, including:
a description of the project and its organisation

the project programme
the intended procurement strategy and forms of contract
an explanation of the contract terms and conditions.
Attention should then focus on the tendering contractor's approach to

project management with respect to:
pre-construction expectations
site administration
setting out and dimensional control
materials handling and control
supervision and on-site representation (a visit to an existing site
should be requested)
labour relations

quality management
environmental management
the health and safety plan
partnering arrangements.
Finally, the method of tendering should be explained by the interviewer

and details provided of the programme for the tender process.
6.4 EVALUATION OF Tenders should be retained unopened until the return deadline. They
TENDERS should then be opened in compliance with any set project procedure.
A prepared tender opening summary form is a useful way of recording

the main items in each tender and by whom the opening was witnessed.
Initial checks include:
ensuring that everything required by the tender enquiry

documentation has been included
noting any omissions or added conditions
checking costs (be wary of very low tenders and point out the risks
of acceptance to the client).
The main management activities surrounding the evaluation of tenders

and the appointment of a contractor are as follows:
evaluate the tenders and prepare a formal report to the client

scrutinise the initially preferred tender for errors or inaccuracies
and query the tenderer on any apparent anomalies
ensure that alternative offers (of plant or equipment) are assessed
and that responsibility for design implications are clearly allocated
(in accordance with section 3.4.2)
ensure that the planning supervisor has appraised and is happy
with procedures for preparation of the health and safety plan
submitted by the preferred tenderer
initiate action if tenders are outside the budget
arrange and chair a post-tender interview with the preferred
tenderer (see section 6.4.1)
approve the selection of the successful tenderer and arrange formal
acceptance of the tender
follow the contract procedures for instructing acceptance of the
tender, checking that the offer is still open for acceptance and that
the particulars on which the tender was based have not changed
ensure that the client understands the contract terms
inform unsuccessful tenderers of the outcome at the earliest
opportunity and provide details of the range of bids when
appropriate (normally after a decision has been made to proceed
with the successful tenderer)
arrange formal signing and exchange of contracts.
6.4.1 Post-tender interview
A post-tender interview should be held with the best of the tenderers in

order to obtain confirmation of:
82 Project Management Handbook for Building Services BSRIA AG 11 /98

contract scope and responsibilities

costs
programme
management strategy (further explained in section 6.5.1)
methods
technical matters
staffing, labour and plant requirements
labour relations
partnering arrangements
health and safety
quality management.
The contractor should be told in advance what the main focus of the
meeting will be to enable them to nominate their most appropriate
representatives for attendance.
Any contractor queries should be raised and various actions and dates
for their resolution set.
6.5 RESPONDING TO For contractors on the receiving end of a tender enquiry, care must be
TENDER taken to plan and programme their response.
ENQUIRIES
At the pre-qualification stages, the contractor should assess whether:

the risks associated with the contractual route are acceptable
the nature of the work is within their field of experience
they are able to prepare an accurate tender within the proposed
tender period
the proposed contract programme is within their ability to achieve
the proposed project budget is realistic.
Concerns regarding any of these issues should be raised during the pre-
qualification interview. If any of these aspects are considered
unsatisfactory, the contractor may wish to decline to tender at this point
rather than waste time and effort on a potentially high risk contract.
Assuming the contractor is happy with the proposed project and tender
process, steps must be taken to plan and programme his tender response.
The contractor should:
clarify the scope of the tender bid and the bid documentation
required
estimate the number of hours to be allocated for bid preparation
(based on an estimate of the likely contract value and
documentation required)
allocate staff to resource the preparation of the bid
identify any deviations from the standard contract conditions
which might incur additional risk
assess the areas of risk associated with the contract and decide a
strategy for dealing with them
identify packages for sub-letting to specialist contractors
identify non-standard items of plant equipment or materials and
decide how to obtain prices for these
prepare a management strategy and organisation diagram for the
project (as described in sections 6.5.1 and 6.5.2).

With regard to the post tender interview, the contractor should assess in
advance (or ask for guidance from the interview organiser) which
members of his team should be present at this meeting, ie a director with
an estimator, site manager or design leader. This will very much depend
on whether the main focus of the meeting is to be technical, managerial
or cost related. Attendance by inappropriate members of staff could
leave the contractor at a severe disadvantage if decisions can't be made
at the interview and further negotiations are required before the award
of a contract.
6.5.1 Contractors' proposed management strategy

Tendering contractors should aim to provide details of their proposed
management strategy in order to demonstrate compliance with the
management functions asked for in the tender enquiry documents. Even
when there is no tender request for a management strategy or the request
is vague, the contractor should still spend time preparing an outline
strategy which will stand up to scrutiny by the project team (or
main/management contractor) and which can be used for subsequent
detailed planning of the works on award of a contract.
The purpose of the management strategy presentation is to inform the

relevant parties of the contractors' proposals for managing their works
and documenting their performance. The management strategy is likely
to describe procedures for:
• the preparation of quality, health and safety, and environmental plans
(as described in sections 7.1.1, 7.1.2 and 7.2.2)
• planning and programming the delivery of information
• planning and programming of on and off-site construction
• the procurement, production and approval of samples, mock-ups,
trial assemblies etc
• supervision and inspection
• construction progress reporting
• the management and progress of commissioning
• the management and recording of final inspections
• planning and programming the preparation of handover information
• the instruction and training of end users
• setting up post contract maintenance agreements where requited
• confirming responsibilities regarding fine tuning and system proving.
An example "declaration of management strategy" is included as
Appendix A6.
6.5.2 Contractors' proposed organisation diagrams
In connection with their proposed management strategy, tendering
contractors should also provide organisation diagrams showing the
management structure for:
• planning
• commercial control
• design
• construction
• commissioning
• handover.
An example organisation diagram is shown in Figure 6.3.

Figure 6.3 Example project organisation diagram
Off site
Director
Project manager *
On site
Mechanical Electrical & associated

(inc public health and piped Planning Commercial
ancillary services
fire protection services)
Functions not represented full time on site

Project engineer * Project engineer *
Mechanical Public health

Sub-contractors supervisor supervisor
visiting engineers
Sub contractors' Sub contractors'
for Electrical
visiting engineers visiting engineers
supervisor
Foreman Foreman for fire and for lifts &
security systems escalators
BMS& HVAC
Ducting Insulation Sprinklers
controls commissioning Back of
Chargehand Chargehand Mall & public Multi-
area house storey car
trucking & park
Engineer Foreman Foreman Foreman Engineer loading bay
Operatives Operatives Operatives
Departments
Sub-let elements/ location

Commssioning management team
Good organisation diagrams show the functions and status of persons

and the geographical location in which they will operate, ie overall,
general or local. They should also show the role of resident or visiting
health and safety advisors, quality or environmental auditors and all
specialist sub-traders and suppliers.

SECTION 7 ; CONSTRUCTION
7 CONSTRUCTION
The construction stage commences with a variety of pre-construction

activities involving detailed planning and drawing production. The
main pre-construction activities are described in the following sections
7.1 to 7.4.
It is also likely that some of the guidance provided in preceding chapters

1-5 will be applicable as contractors go about appointing specialist
designers and sub-contractors.
7.1 QUALITY AND Contractors will have to prepare quality and environmental plans
ENVIRONMENTAL possibly as a need to meet:
PLANS
. specified requirements, or
. a contractor's enquiry conditions, or
. their own company systems.
Construction work should not proceed until these plans have been
prepared and approved by the project team.
7.1.1 Contractor's quality plan

It is essential that a plan is developed detailing how quality is to be
assured. Most companies now have a some form of quality management
system.
BS4778 Part 1 1987: "Quality Vocabulary Standard" defines a quality

plan as,
"a document setting out the specific quality practices,

resources and sequences of activities relevant to a
particular product, service, contract or project."
Advice concerning the relevance and application of contractors' quality

plans is given in:
The following paragraphs summarise the main points covered by this

publication.
The appropriate scope, content and level of detail that should be

provided in the quality plan are dependent on a number of factors
including:
• the type of project

• the number of buildings or project phases
• the content of services
• the technical complexity of services
• the number of sub-traders.

CONSTRUCTION SECTION 7
However, in most circumstances the quality plan should aim to include:
• an authority statement
• details of controls governing the contents of the quality plan and its
issue
• quality auditing procedures
• a quality statement for the project
• the management organisation (on-site and off-site)
• the allocation of responsibilities
• controls over documentation
• programming and method statements
• procurement procedures
• control of off-site manufacturing, testing and fabrication
• procedures for packaging, delivery and storage on-site
• systems for product identification and traceability
• procedures for supervision and inspection of installations
• procedures for testing of installations
• procedures for commissioning
• methods of protecting the works
• procedures for calibrating instruments on-site
• procedures leading to handover
• schedules of standing instructions, project procedures and work
instructions
• schedules of standard forms.
The contractor's quality plan should eventually include input from sub-
traders' quality plans. These may become available over a period of
time meaning that a staged approval process needs to be set up, possibly
starting with the plans submitted at tender stage but extending until all
sub-traders are appointed. Individual companies' quality plans will
usually be based on their own quality management system, modified or
extended to suit the particular project requirements. For example off-
site fabricators may need to amend their quality procedures to cover
testing, commissioning, protection during transport, off-loading and any
associated acceptance or witnessing checks during these stages.
The quality plans should be used as management tools by:
• contractors and sub-contractors to help manage their own works (in

conjunction with their management strategies)
• contractors to monitor the performance of their sub-contractors.
In particular, the content of the quality plan will form the basis for
checks on sub-contractor activities. If the quality plan states that a
certain activity will take place, it is legitimate to establish whether it is
happening and, if not, why not.
7.1.2 Contractor's environmental plan

The contractor will have to comply with environmental requirements
laid down by:
• the client
• the design team

SECTION 7 CONSTRUCTION
• the lead contractor

• his own company's policy.
Advice concerning the scope and content of contractors' environmental

plans is given in:
As with the quality plan, the precise content of the project

environmental plan should depend on the particular project
circumstances. However, the content of a building services contractor's
environmental plan is likely to include the following:
• a summary of project environmental issues and methods of

addressing them
• the allocation of responsibilities and duties relating to environmental
issues
• a programme for regular reviews of environmental policy and its
implementation
• the preparation, issue and revision of method statements and work
instructions relevant to environmental issues-
• procedures for vetting, monitoring and reviewing instructions
prepared by sub-traders and specialists
• procedures for receipt, notification and resolution of complaints or
policy contraventions
• procedures for recording reviews, audits, training, complaints and
contraventions.
Source: Wild LJ. Site Management of Building Services Contractors
Building services installers who have an environmental plan as part of

their company policy may have difficulty implementing the plan on a
site where there are no specified or contractual requirements governing
environmental issues. On sites where there is some environmental
commitment, the installer will be expected to contribute to the
management and implementation of the policy.
The main management activities required when dealing with the

interfaces between different contractors' environmental policies are as
follows:
ensure that all parties are aware of the project's environmental

policy and of each other's corporate policies
set up regular liaison between each contractor's environmental
managers
ensure contractors' environmental managers are aware of the
strategy and guidance in BSRIA's Environmental Code of Practice
for Buildings and their Services

ensure that environmental plans drawn up by different contractors

are compatible and complementary
consider punitive measures against contractors who fail to comply
with the environmental policy.
7.2 HEALTH AND There is a variety of health and safety legislation which is relevant to
SAFETY construction, most of which comes under the umbrella of the Health and
Safety at Work Act, etc 1974. The legislation requires employers to
have regard for the health and safety of their employees, and to ensure,
as far as reasonably practical, that contractors, visitors, and members of
the public are not exposed to health and safety risks. Employees must
also take reasonable care of their own safety and that of others who may
be affected by their actions.
The introduction of the Construction (Design and Management)

Regulations 1994 brought with it a specific requirement for contractors
to prepare health and safety plans for all but the smallest of projects.
Guidance on the application and implications of health and safety
legislation is given in the following publications:
HSE. Health and Safety for small construction sites.

HSE. Essentials of Health and Safety at Work.
HSC. Managing Construction, for Health and Safety. Approved
Code of Practice.
HSC. A guide to managing health and safety in construction.
CIBSE. Health, Safety and Welfare Guidance for Building
Services Engineers. TM20.
HSE. Information Sheets, Construction Sheets 39 to 44.
To obtain a fuller understanding of the contractor's responsibilities in

compliance with the CDM Regulations, reference should be made to
these publications, and the regulations themselves. The following
sections provide a summary of the main roles, outputs and management
activities which arise.
7.2.1 Principal contractor
The principal contractor is appointed by the client to carry out and/or

manage the construction work and to take responsibility for the
management of health and safety during the construction process. The
principal contractor may not necessarily be the lead contractor, but
could be any of the contractor organisations involved in construction
provided they have a continual presence on-site. In practice, the
principal contractor will rarely be a building services contractor.
The main responsibilities of the principal contractor are to:
• develop and implement the health and safety plan (as defined in
section 7.2.2)
• satisfy themselves that contractors carrying out works are competent
and have made adequate provision for health and safety
• obtain and check safety method statements from contractors
• ensure the co-ordination and co-operation of contractors
• ensure training for health and safety is carried out

• establish appropriate communications between contractors on-site

for health and safety
• ensure that only authorised people are allowed on-site
• display notification details
• monitor health and safety performance
• provide the planning supervisor with information arising from
construction activities which need to be included in the health and
safety file (previously described in section 5.4.5)
• obtain other contractors' information for inclusion in the health and
safety file
• provide arrangements for those employed on project construction to
give their views on safe practices of work and ensure co-ordination
of these.
All other contractors have a responsibility to co-operate with the

principal contractor regarding health and safety issues. Where building
services contractors are responsible for a number of sub-contractors,
similar responsibilities will fall on them in respect of their sub-
contractors.
7.2.2 Contractor's health and safety plan

Before starting construction work, the principal contractor should
review the pre-tender stage health and safety plan (as described in
section 5.4.4) and use it as the basis for a more detailed plan, expanded
to cover construction activities. The client's planning supervisor should
ensure, as far as possible, that the contractor's health and safety plan is
satisfactory before the client allows work to start on site.
In preparing the health and safety plan, the principal contractor needs to
identify the hazards and assess the risks associated with each of the
main stages of the construction process. To do this properly, method
statements may be required from each of the contractors working on the
project. Where there is a significant risk which is common to a number
of contractors, the principal contractor should take a positive role in
ensuring that the risks are controlled and managed.
It is likely that information for the health and safety plan will become
available over a period of time, so the plan should be reviewed and up-
dated as information is made available. Furthermore, design changes
arising during construction may necessitate additional risks being taken
into account and entail the involvement of the planning supervisor. It is
vital that all such changes are notified to all parties working on-site who
will be affected.
As an expansion to the pre-tender health and safety plan, the

contractor's health and safety plan might include:
© a statement of the health and safety objectives for the project

• an organisation diagram illustrating the hierarchy of responsibility
for safety management
• arrangements for communication between the principal contractor,
planning supervisor, client, designers, other contractors and anyone
else whose health and safety may be affected

• the health and safety standards to which the project will be earned
out
• procedures for ensuring that contractors are competent and will make
adequate provision for health and safety, eg
- requesting contractors' safety instructions and method statements
- defining in advance the safety information required from each
contractor
- requesting safety information on materials to be used by
contractors
- requesting details of machinery or tools to be used by contractors,
and the training given
• arrangements for management meetings and initiatives to promote
safety
• arrangements for dealing with design work carried out during the
construction phase
• procedures for safety inspections, checks and audits to ensure
compliance with:
- legal requirements
- health and safety rules developed by the principal contractor
- the safety standards set for the project
• arrangements for checking that everyone on site has been provided
with:
- details of the project, planning supervisor, principal contractor etc
- the relevant parts of the health and safety plan
- the appropriate health and safety training
• arrangements for obtaining and considering the views of workers on
health and safety
• arrangements for the identification and management of risk to health
and safety, including details of risk assessments to be carried out and
details of safety method statements to be completed in relation to
issues such as:
- materials storage and handling
- the movement of vehicles on-site
- the disposal of waste
- common access and work areas
- temporary services eg electricity
- temporary structures
- commissioning
• emergency arrangements in the case of injuries, fire etc
• arrangements for informing the principal contractor about accidents,
ill-health and dangerous occurrences which need to be notified to
HSE under the Reporting of Injuries, Diseases, and Dangerous
Occurrences Regulations (RIDDOR) 1985
• arrangements for the provision and maintenance of welfare facilities
• site rules, arrangements for making site rules and arrangements for
bringing them to the attention of those affected
• arrangements for passing on information for the health and safety file
• details and locations of statutory registers and accident books
• descriptions of safety equipment to be available on-site, its purpose,
use and control
• proposals for safety training, for whom, when to be given, and how
to be recorded
• programmes for review, amendment and re-issue of safety plan.

7.2.3 Contractors' input to health and safety file

All of the previous information will be mirrored to an appropriate level
in each building services contractor's safety plan.
As described in section 5.4.5 the health and safety file is a record of

information for the end user. The planning supervisor is responsible for
its preparation and handover.
The legal status of the health and safety file now means that a building
services installer who does not provide O&M manuals and record
drawings will jeopardise the issue of the practical completion certificate
and, possibly, handover of the project.
7.2.4 Management of CDM during construction

Overall responsibility for the management of construction stage
activities required under CDM lies with the principal contractor.
The planning supervisor's role during construction might involve:
reporting to the client concerning the adequacy of health and safety

procedures
ensuring that designers comply with their requirements
ensuring on-going preparation of the health and safety file.
The main management activities required of the principal contractor to

ensure compliance with CDM Regulations during construction are as
follows:
ensure that construction work does not start until the principal
contractor has prepared a suitable health and safety plan
set up a team to prepare the health and safety plan based on the
resources identified at pre-tender stage
check compliance with health and safety legislation where the
client's work activities may be affected by the construction work
ensure that nominated contractors are competent and are aware of
their requirements under the health and safety plan
ensure that tender documentation for sub-contractor appointments
includes the relevant parts of the health and safety plan, eg codes
to be complied with, site rules and procedures to be followed
check health and safety information provided in sub-contractor
tenders and confirm that proposed contractors are competent
regarding health and safety issues
check contractors' safety method statements to ensure that all risks
have been assessed and that adequate arrangements have been
specified in compliance with the health and safety plan
consider the programming of different contractors' works to ensure
that the activity of one will not create a hazard for another.

7.3 DELIVERY OF In accordance with each contractor's management strategy, they will
INFORMATION have identified the nature of project information to be provided by them
before related work can commence. For building services contractors,
this might include:
• quality, environmental and health and safety plans (as described in

sections 7.1 and 7.2)
• builders' work drawings
• working drawings
• method statements
• sample approvals
• test and inspection plans (including off-site manufacture)
• plant and equipment procurement schedules
• O&M manuals and record drawings (as described in section 9.3).
All of the information to be provided must be planned for and its

production programmed. It is usually beneficial to hold an "information
production planning meeting" with the lead contractor soon after
contract award to agree:
• a schedule of delivery dates for information
• turnaround approval times for information submitted.
The following sections provide management guidance in relation to the

production of information types not previously discussed.
7.3.1 Builders' work in connection with building services
With regard to builders' work drawings, an appropriate format for

information should be agreed between the building services installer and
the lead contractor to avoid the production of unnecessary drawings.
Some builders prefer to have certain information, such as holes and
chases in block and brickwork, marked out on site. The structural
engineer's drawings will also need to be checked to establish the
provisions allowed for in the structural design.
Clarification should be sought regarding responsibilities for items such

as:
• the provision of secondary steelwork
• fixings
• enabling works, eg earth rod pits
• early works, eg trenches for drainage
• fire stopping
• acoustic stopping
• protection of exposed, finished building fabric.
7.3.2 Working drawings
Working drawings are deemed to include all of the drawings prepared

and issued by the building services contractor and their sub-traders for
the purposes of construction, including:
• installation drawings (for construction)
• installation wiring diagrams
• shop drawings

• manufacturer's drawings
• manufacturer's certified drawings
• builders' work drawings
• specialist drawings.
Recommended definitions for these drawing types are included as

Appendix Al.
Initially, the building services installer will need to prepare a list of the
working drawings he intends to produce. The full list may be
provisional until more precise details are available from suppliers and
sub-traders.
For those drawings under his direct control a resourced person day
allocated programme for their production must be prepared. The
procedure for managing and monitoring the production of drawings can
be the same as described for the production of the design (see sections
5.5.11 and 5.5.12). The timeliness of delivery of drawings is essential if
the master programme is to be achieved.
A drawing approval procedure should be established which recognises

the responsibilities of the different parties in relation to drawn
information. These responsibilities should have been established at
design appointment and construction tendering stages through the use of
some form of division of design responsibilities as described in sections
3.4.1 and 6.1.1.
7.3.3 Method statements

Method statements should be listed in the contractor's quality plan.
In relation to building services, method statements might be produced

describing the procedures and methods for the installation of:
• major central plant plant items

• pipework (by type - steel, copper, plastic)
• ductwork (metal or plastic)
• insulation (pipes and ducts)
• controls
• plumbing (soil, waste and sanitary fittings)
• hot and cold water services
• fire sprinklers, hosereels, dry risers
• utilities
• electrical power, lighting, and containment systems for specialist
sublets.
Furthermore, specialist sub-traders will be required to produce their own

method statements defining procedures for the installation of services
within the scope of their own sub-contract packages. In a building
services context these might include:
• lightning protection
• substation and HV switchgear
• lifts and escalators
• security systems

• data systems
• telecommunications
• fire detection and prevention
• kitchens and cold rooms
• electric generators
• UPS systems
• BMS
• commissioning
• commissioning management.
Prior to the appointment of sub-traders and specialists the building

services installer may only be able to accurately programme the delivery
of method statements for work under his direct control. However, based
on the dates identified on the plant and equipment procurement
schedule, he should be able to provide indicative dates for method
statements to be provided by others.
7.3.4 Approval of samples

The design specification, its preambles and the contract preliminaries
should make reference to approval requirements for:
• materials
• samples
• mock-ups
• trial site assemblies
• workmanship.
If the guidance in chapter 6 concerning the tender stage has been

followed, the scope of the installer's responsibilities in relation to
approvals should be well defined.
To demonstrate compliance with the requirements of the specification it

is important that the contractor puts in place a procedure and
programme detailing the procurement and approval of samples, and
prepares some standard documentation. A standard form for sample
submission might include:
• a description of the sample to be approved

• when submitted and by whom
• whether accepted or rejected and by whom.
Where a technical submission (confirming the technical suitability of

the plant or equipment) has been requested prior to an order being
placed, the contractor may also choose to complete a standard technical
submission form. This might include:
• manufacturers' data
• design check calculations
• certified performance levels
• QA documents
• builders' work requirements
• assembly and installation details
• O&M instructions
• a list of recommended spares.

7.3.5 Test and inspection plans

Test and inspection (T&I) plans must be prepared for all systems and
equipment for which there is a need for testing and witnessing. They
inevitably cover much of the commissioning stage activities but will
also cover installation activities such as system pressure testing
requirements. T&I plans may derive from a requirement of the
specification or from a company's own standing instructions, as defined
in their quality system.
The contractor must prepare a list of all the T&I plans that need to be
produced, including those required from his sub-traders, and should
prepare a programme or date schedule for the release of T&I plans for
approval. As in the case of method statements, the contractor may
initially only be able to give approximate dates for the delivery of T&I
plans to be prepared by sub-traders not yet appointed.
Where there is a requirement for testing and inspection of plant and

equipment manufactured off-site, the T&I plan will need to be cross-
referenced to the plant and equipment procurement schedule.
Where relevant, T & I plans should also identify "hold points", ie stages
beyond which work shall not proceed until the preceding stage has been
checked for compliance with the specified requirements.
The following building services items would normally be included:
• chillers
• boilers
• air handling units
• high voltage switchgear
• generators
• lifts
• terminal units
• control panels
• prefabricated plant rooms, risers, modules etc.
7.3.6 Plant and equipment procurement schedules

These schedules record all of the information relevant to the
procurement of plant and equipment.
In relation to each of the listed items of plant or equipment, the

procurement schedule should contain the following information:
• confirmation of the choice of manufacturer

• the date the order was placed
• proposed dates for issue and approval of manufacturer's certified
drawings
• confirmation of receipt of the manufacturing programme
• the date manufacture commenced
• dates for works inspections and demonstration visits (by designers,
contractors, clients, insurers, etc)
• the earliest date available on site
• the actual date delivered to site.

Procurement schedules may derive from a requirement of the

specification or from a company's own standing instructions, as defined
in their quality system. The schedules should be reviewed regularly and
updated.
7.4 PLANNING AND Planning is a strategic activity implemented by programming. It

PROGRAMMING involves thinking through all the stages of a project and identifying:
• the tasks to be performed and their sequence

• the methods to be used
• the information required
• the resources required
• the timescales to be allowed.
Detailed guidance on the planning and programming of construction and

building services activities is given in:
The Chartered Institute of Building. Programmes in Construction -

a guide to good practice.
Wild L. J. Site Management of Building Services Contractors.
E & FN Spon, London. 1997.
The following sections explain the main considerations and activities

associated with the preparation of successful construction programmes,
particularly in respect of building services installation activities. The
guidance is given in the context of a building services installing
contractor appointed as sub-contractor to a lead contractor.
7.4.1 Programming techniques

Techniques used for construction planning and programming include the
following:
° Gantt charts
° PERT diagrams
° network analysis techniques
° critical path analysis
° resource analysis.
Gantt charts and PERT diagrams are described in their simplest forms in
Toolbox sections T3 and T4. For more detailed guidance on their
application and the other forms of analysis, reference should be made to
standard project management text books.
It is now common for these techniques to be generated and manipulated

using computer software.
7.4.2 Different types of programme

A number of different inter-related programme types might be produced
at different stages of construction. These are described as follows:
° Project Master programme - the format and development of a project

master programme under the control of the project team is described
in section 4.4.4. This is a pre-tender programme which covers the

entire design and construction process. The master programme is

never updated but is used as the benchmark against which progress is
reported.
Under the JCT 87 Management Contract the "master programme" is

called the "project programme". It is produced during the pre-
construction period and shows a detailed programme for
construction, required materials order and delivery dates, and a list of
proposed work packages.
• Managing programme - developed by the lead contractor, and usually

used internally within that organisation, the managing programme
develops and tracks the master programme as the project proceeds.
To maintain progress to the agreed master programme the lead
contractor must monitor and regularly update the managing
programme in order to counter the adverse influences of weather,
material deliveries, sub-contractor performance shortfalls and to
accommodate variations.
• Finishes programme - this is a particular version of a managing

programme produced by the lead contractor for detailing the final
stages of a project through to completion. It should contain the
overall programme dates for commissioning, final inspection,
training, and handover. These may not be the same as those
originally identified on the master programme.
• Sectional programmes - these are for each major element of the

works, eg foundations, frame, cladding, building services etc. These
must be tied to the dates in the lead contractor's managing
programme.
• Short term/stage programme - established by the site management for

issue to the supervisors of specific areas of work for durations of up
to 13 weeks and updated every 8 weeks as appropriate to the overall
duration of the project. They must be tied in with agreed sectional
programmes and in turn, with the managing programme. They
should show resources employed, and be marked up to monitor
progress.
• Look ahead/weekly programmes - covering 2-3 weeks' work and

updated every week. They are useful for breaking high volume
repetitive activities on different floor levels into meaningful progress
monitoring tools. Also suitable for cyclical activities such as 1st, 2nd
and final fix.
It is essential that programmes demonstrate the interfaces and

interdependencies between different activities and that each part of the
works is broken down into manageable sections.

7.4.3 Impact of contractual route
In practice, planning and programming can vary from being negligible
on some traditional contracts, to being intensive, pre-set and
consequently inflexible on some management type contracts.
Managers responsible for the development and co-ordination of

construction programmes should aim to put in place procedures which
will avoid the following planning problems commonly associated with
building services installation.
Under traditional general contracts:
* inadequate planning and programming of service installation content

by the lead contractor (which is often carried out at tender stage
only)
* an over-simplistic approach to building services due to a failure to
appreciate their scope, content and impact on other building elements
* the adoption of programme acceleration policies without
understanding the consequences for building services
* poor monitoring of progress against programme.
Under construction management and management contracting:
* incorporating advice from one contractor in their tender proposals,

then appointing another who intends to use different installation
methods or disagrees with the original advice
* removing the building services installer from any programming
responsibility whatsoever
* setting programmes without consulting the building services
contractor with regard to possible time or cost saving techniques
which may be applicable
* not asking for innovative, productivity enhancing solutions.
The main problem is that under many forms of contract, the lead
contractor is required to produce a master programme which must
typically be submitted within 21 days of accepting of the tender. This
has the disadvantage that input from sub-contractors, including the
building services installer, may not be available in time to be
incorporated.
Possibly during the post-tender interview, the building services

contractor will be given the lead contractor's master or managing
programme and asked to confirm his ability to comply with the
activities, logic and durations allowed. If the building services
contractor is able to demonstrate that the lead contractor's programme
cannot be complied with or that the logic is flawed, then the project
team should be informed immediately and a new managing programme
developed taking account of the building services contractor's own
detailed sectional programme.
Failure to assimilate the building services contractor's programme into

the lead contractor's programme is highly likely to lead to conflict and
possible failure later on. There must be agreement to a single

programme before the lead contractor places the order with a building
services sub-contractor.
In conclusion, it is essential that all contractors do their best to ensure

that their programmes are realistic and well thought out. The
submission of programmes which are not feasible will expose them to
contractual risk. The best results for building services are usually
achieved by combining planning skills with a specific knowledge of
building services installation and having a sufficiently well progressed
design on which meaningful decisions can be based.
7.4.4 Work breakdown structure

An essential prerequisite for successful programming is to break down
the work into logical packages which together provide comprehensive
coverage of the work content and which will facilitate subsequent
control and monitoring activities.
For a complex building services installation the work breakdown

structure must be decided based on a thorough knowledge of:
• the generic systems to be installed

• the numbers of plant and equipment items
• plant and equipment locations
• system distribution routes
• interfaces with the structure and fabric
• likely sub-contract packages.
Although the approach adopted may need to be developed on a project-

specific basis, a good starting point is the use of Common Arrangement
Work Sections, as described for the design process in section 5.5.6.
Using a matrix similar to the design information matrix described, a
complex specification can be broken down into a simple matrix of
system types, numbers and locations.
7.4.5 Activity lists

Activity lists define the activities to be carried out in completion of each
package of work identified in the work breakdown structure. For
example, the building services installer should state clearly the content
of 1st, 2nd and final fix activities, and should append these descriptions
to his method statement.
7.4.6 Interfaces with building work

Interfaces between building services installation and building works are
likely to have the largest impact on the progress of the project. They
therefore need to be identified in advance, assessed in terms of their
potential effect on the construction process, and programmed
accordingly.
The building services contractor may be requested to provide a schedule

of builder's work attendance requirements for the benefit of the lead
contractor.

interlaces can be categorised as major, minor or modular:
• major interfaces include those where the building services

installation will have an effect on the construction of a major
element of the building (the foundations, floor slabs, building
envelope, etc), or where access requirements for building services
installation may restrict the release of specific work areas to other
trades. Aspects of services installation which may have a structural
implication should be identified as such.
The building services activities which might typically be thought of

as major interfaces include the installation of:
- puddle flanges for the ingress and egress of utilities
- templates for flue holding down bolts
- . earth rod pits and connections
- underslab drainage
- large air intake and discharge openings
- internal penetrations through the structure (walls or floor)
- roof plinths and openings
- cast-in conduits etc
- facilities for loading of plant into plantrooms
- service ducts, trenches and riser shafts
- supports, fixings and secondary steelwork
- external works (eg external lighting, car park barriers etc)
• minor interfaces are those which individually have no great

importance until they occur in high numbers, such as socket outlets
and switches
• modular interfaces are those which repeat under identical

circumstances at numerous locations and levels in the building,
eg light fittings, grilles and sprinkler heads in ceilings.
7.4.7 Logic sequences

Each activity must be reviewed to establish the construction logic. This
must be done not only in relation to other building services systems but
any preceding building work activity on which it is dependent. The
review should also determine which activities can take place
concurrently. A logic sequence network can then be attempted.
Durations should be added to each activity using the working day as the
unit of time.
7.4.8 Format and content of the building services programme

Unquestioned acceptance of the lead building contractor's programme
for building services is almost certain to hinder subsequent control and
progress monitoring. It should normally be assumed that a lead
contractor who has no specialism in building services will not be
knowledgeable enough to programme building services to the level of
detail required for effective control.
The building services contractor's sectional programme must be based

on his own logic and sequence networks, whilst complying (as far as
possible) with the lead contractor's managing programme.

The sectional programme must provide details of the work breakdown

structure and the specific activities required in each work area. The
programme must show the lead contractor's anticipated "weather-tight
status" and the provision of connections for utilities, including the dates
they become live.
In particular, it is essential that a detailed pre-construction programme is

prepared. Pre-construction activities have frequently been omitted from
planning considerations resulting in an inadequate understanding of
what needs to be produced by when, in advance of installation.
An example building services sectional programme for pre-construction

activities is shown in Appendix A7.
When programming the installation of building services works it is

particularly important to ensure that:
* installation in areas which include plant rooms does not start until
they are weather tight
* priority is given to installing the electrical supplies to motor control
centres and outstations so that power supplies to fans and pumps are
available in time to prepare for commissioning
* electricity, gas, water, drainage, telephones and data utilities are
installed and enlivened in time for commissioning
* commissioning activities, tests and demonstrations are divided into
logical stages and dates, each of which are checked for feasibility
given the state of completion of the building and other activities
* dates for client or tenant training are agreed with them in advance
* the preparation of record drawings and operation and maintenance
manuals is scheduled to ensure delivery in advance of handover and
makes allowance for at least two approval cycles lasting four weeks
each.
7.4.9 Resource analysis

Based on previous experience the contractor should attempt to allocate a
labour resource appropriate to each of the programmed activities. This
will help to confirm the logic of the programme and may expose where
his sub-traders may struggle to provide sufficient resources to meet the
programme.
Labour should be plotted on a labour histogram indicating the total

number of men on-site during each phase of construction. The sectional
programme and labour histogram should be issued to sub-traders so that
they can either agree them or submit their own improved solutions.
The allocation of labour for each activity should be estimated taking

into account:
* appropriate levels of construction labour productivity
* factors likely to affect adversely productivity, eg confined or
congested working spaces
* the use of power tools
* the use of productivity enhancing products or techniques
* holidays

CONSTRUCTION
* absenteeism
* overtime working.
The aggregate of resources required for each activity starting at its

earliest start date must be considered in relation to the anticipated
resource availability. It will usually be necessary to re-schedule some
activities to give a more even spread of labour and ensure that the site
supervision and inspection resources are properly matched to the labour
workforce.
The aim, wherever possible, should be to:

* ensure a gradual build-up of work for individual sub-traders
* achieve continuity of work for sub-traders
* maintain the total number of site workers within manageable limits
of the supervision available
* avoid sudden large variations in the number of site workers.
7.5 SUPERVISION Supervision or inspection in connection with some form of quality

AND INSPECTION control procedure implies that the result must comply with some
specified requirement such as the contractor's own quality manual, or
an industry code of practice.
A contractor's quality plan, method statements and test and inspection

plans should, between them, explain how the works are to be carried out
and the appropriate checks and inspections required. The test and
inspection plans define any hold points at which work must stop until
checked and approved. Details of project management procedures in
respect of supervision and inspection activities is given in the following
publication:
The following sections provide an outline of the management activities

and aids which can be used to facilitate the supervision and inspection
of building services installation during the course of a construction
project.
7.5.1 Responsibility for supervision and inspection

Responsibility for supervision and inspection lies with a number of
different parties:
• clients (and their project managers)

• designers
• clerks of works
• contractors and sub-traders
• local authorities and utility companies.
Under the terms of most contracts, the preliminaries, or specification

preambles will set out duties for inspection of information delivered by
the contractor (such as working drawings, method statements etc), and
for the inspection of samples, mock-ups and off-site manufacture.
However, for site installation activities, the roles of client, project

manager and design team are frequently left uncertain. The contractor
may need to ask for clarification regarding what site inspections they
intend to make and the inspection procedures anticipated. Depending
on the scope of inspections anticipated, it may be beneficial to have an
inspection harmonisation meeting between contractors and the parties
responsible for carrying out inspections.
To ensure that the responsibilities for supervision of building services

works are properly allocated, the project manager or design team leader
should ensure that:
• the client has in place procedures for,

- issuing instructions
- responding to queries
- providing input to testing and inspection programmes
- inspecting works and issuing approvals at the agreed times
- (these to be achieved either as the responsibility of their own
representative or the project manager, the architect or other
specified party)
• the designer's responsibilities in respect of site supervision are
clearly defined (a decision should have been made at the time the
designer was appointed as to the extent of the designer's
responsibility for site supervision and inspection)
• a building services qualified clerk of works is appointed to oversee
the building services installation on behalf of the client (in the
absence of any site supervision by the designer)
• the role of the building services clerk of works is clearly defined, ie
whether their role is simply to identify issues of non-compliance with
specified standards etc, or whether, and under what circumstances,
they have authority to issue an instruction which changes the original
scope of work
• the responsibilities of those carrying out the inspections are well
defined and understood by them
• final responsibility for performance of the inspected item is clarified
in advance (whether it be with the installer or the inspecting party).
Prior to and during the course of construction, the lead contractor and
building services installer would be required to:
ensure that supervision and inspection are properly carried out in

accordance with the conditions of their contract
ensure that quality and environmental plans are being implemented
initiate independent quality audits (where there is concern over the
implementation of a contractor's quality system)
ensure that defects are recorded and remedial measures carried out.
The role of the clerk of works is to point out defects and by implication
of this, to give instructions for corrective actions. Clerks of works who
have no building services knowledge can effectively slow down the
installation by constantly seeking explanation of the contractor's
actions. It is therefore essential to ensure that, if appointed, the clerk of
works is adequately qualified to oversee building services installation.

For large projects with services incorporating air conditioning, and

advanced controls, the lead contractor must have some building services
knowledge within their organisation. This is essential if the contractor
is to provide supervision and instruction to building services sub-
contractors, and to ensure that the building services contractor's method
statements, test and inspection plans etc are suitable.
Inspectors and officers of the local authorities will include the following
individuals:
• building inspector
• sanitary inspector
• H&S inspector
• building control officer
• fire control officer
• environmental health officer.
Other external inspectors might include representatives from utility

companies (gas, electric and water), and client and tenant insurers.
7.5.2 Instructions
Most of the instructions generated during a project come from the client,
project manager or design team and are issued, under the conditions of
the contract, to the lead contractor. These are then passed on to the lead
contractor's sub-traders and from them to their sub-traders.
In order to avoid delays arising from the uncertainty or misinterpretation

of instructions issued, each contractor must put in place procedures for
dealing with instructions which include:
• reading and assessing the content of the instruction received

• asking for clarification where the instruction is not clearly
understood
• adding to it any further explanation or information relevant to sub-
traders who may have to carry out the instruction
• passing it on to the appropriate sub-traders
• answering promptly any queries received from sub-traders in
response to the instruction.
7.5.3 Variations
Variations are a particular form of instruction which can change the
scope and content of the works for which the building services installer
has received an order. They may therefore have an impact on cost and
programme. In general, individual variations of whatever size do not
represent the greatest management problem. Management procedures
are most strained when large numbers of variations are issued at a time
when construction activities are at their peak.
If the earlier advice regarding briefing, value management and value

engineering has been followed, the project team will have done its best
to ensure that client initiated variations during construction are kept to a
minimum. In addition to the preceding advice regarding the processing

of instructions, contractors should assess the implications of each

variation order in terms of its effect on:
• interfaces with other trades

• the sub-contractor's sectional programme (and lead contractor's
managing programme)
• the planned labour resource for forthcoming works
• cost.
Concerns in relation to any of these matters should be raised with the

lead contractor and project team.
A procedure for dealing with client initiated variations should be

established as summarised in Figure 7.1.
The project manager must ensure that:
=> all consequences of the variation are considered

=> the variation is implemented in accordance with the contract
provisions.
Clarify client
Client change
requirements
requested
Compile report on
consequences of
change
Review and
modify
Figure 7.1 Consequences No

Procedure for dealing accepted by client?
with client initiated
variations
Yes
Obtain formal Modify project

authorisation programme and
cost plan
Issue variation
order
7.5.4 Inspections
Each contractor has a requirement to deliver the works on time, to the
tendered cost and to the specified standards. Compliance with these
requirements is confirmed through the process of inspections.
The building services contractor must plan and resource the inspections
which apply to his work and that of his sub-traders. These are issues for

CONSTRUCTION SECT ON 7
which procedures should have been declared at the pre-award meeting

or as part of the contractor's management strategy document, and which
should be similarly indicated in sub-traders' quality, safety, and
environmental plans.
Inspection of building services installations should seek to ensure:

• safe access for future commissioning, operation, maintenance and
repair
• compliance with specified requirements through good working
practice in compliance with industry recognised codes and standards
• compliance with relevant legislation.
The activities which require inspection will vary from project to project.
The inspection of building services under construction will normally
cover visual inspection of:
• plant and equipment
- under manufacture
- in storage
- when delivered to site
• distribution systems
• terminals.
Interfaces between building works and building services works are

specific areas of concern requiring co-ordinated inspection procedures.
Examples include inspections to confirm that:
• services fixed to the structure have not degraded the structural

integrity of the building
• services passing through the boundaries of fire compartments are fire
stopped
• services passing through other boundaries have appropriate smoke
and acoustic air tight barriers
• services in false floor or false ceiling membranes are properly
positioned, aligned, sealed and stopped
• services on walls and partitions are properly located and co-ordinated
with the wall finishes.
Inspection is also concerned with making progress. Issues which might

affect progress and for which inspection procedures need to be clarified
between building services installer and building contractor include:
• confirming that work areas are suitable for building services

installation to commence
• confirming when work is complete and releasing areas back to the
builder.
In order to facilitate procedures for inspection, the project manager

should ensure that:
• the items chosen to be inspected are appropriate (services which will

be left exposed may not require as detailed an inspection as those to
be covered up)

• the requirements tor inspections are clearly explained to the relevant

contractors
• inspection sheets are prepared by contractors for recording data and
information relevant to inspections
• the parties carrying out the inspection and giving approval are the
best qualified to do so
• the lead contractor have some building services expertise in their
team (if they are to supervise a building services sub-contractor on a
building with advanced services involving air conditioning and
automatic controls)
• procedures are established for dealing with visits and instructions
from external inspectors to ensure that the lead contractor and all
relevant sub-contractors are kept informed
• corrective measures are taken in response to any report of non-
compliant work identified by local authorities.
7.5.5 Defects
A defect can be defined as an unacceptable deviation from specified
requirements.
Building services contractors will require a system of recording defects

in order to assess and monitor the cost and programme implications. A
standard defect record sheet should be prepared recording:
• description of the defect

• remedial works proposed
• agreement to remedial works proposed
• confirmation of defect clearance.
This may be acted on internally or issued to a sub-trader responsible for

correcting the defect.
An example defect record sheet is shown in Figure 7.2.
It should be noted that the identification of the party responsible for

carrying out the remedial works does not necessarily imply that they are
responsible for the cost of the remedial work.
Individual defect records should be compiled to form a defects register

as shown in Figure 7.3.
The defects register and the relevant contractors' responses in dealing

with them should be monitored to establish whether the number of
defects is deemed excessive and whether steps need to be taken to
improve performance. The record of defects will also help in assessing
the likely overall consequences for the construction programme.

F i g u r e 7.2 Example defect record sheet
Defect Record: 1 Contractor Mechelec Issue date: 24/3/98

Location in works (attach sketch as necessary): Ground floor entrance lobby
Drawings / specification references: 79060M/1, 79060M/2 1
Description of defect (attach additional details and sketches if necessary)

Inaccessible commissioning valve in heating system
pipework to terminal unit
Signed: Title: Date:
Contractor's proposed remedy and technical justification

(attach all supporting technical documents)
2
M o d i f y pipework to p e r m i t access point
Signed for contractor: Title: Date:
Contractor's proposals agreed by employer's representative 3
Signed: Title: Date:
Defect critical to handover: Clearance:
7 days
yes/
14 days
28 days
QS valuation The work above has been inspected and is 4

deemed satisfactory
Name:
Signed:
Title:
Date:
Distribution: 1.
2.
3.
4.
© BSRIA AG 11/98 Project Management Handbook for Building Services 10 9

SECTION 7 CONSTRUCTON
Figure 7.3 Example defects register
Defects Register Contractor: Mechelec Sheet No: 1
Record Fault Status

No. Subject Code
1 2 3 4 5 6 7 8 9
1 Access to valve
Enter date in appropriate status column

Key:
1. Notification 2. Proposal 3. Acceptance 4. Inspected/complete

Where some deficiency of the design is the possible cause of the defect,
the initial response should be an informal discussion of the problem
accompanied by the issue of a "request for information" sheet to the
designer. This might ask for clarification or an instruction for remedial
action. However, there may sometimes be an issue of responsibility to
resolve, particularly at the so-called "fuzzy edge" between separately
appointed building services designers and installers.
Most design deficiencies manifest themselves either as physical clashes

caused by poor spatial co-ordination, or a failure of plant, systems or
building to perform as specified. In the case of spatial co-ordination
problems, the issue of who is responsible for clashes should have been
decided when the nature of the design team's appointment was agreed.
As recommended in section 3.4.1 the party responsible for resolving
spatial clashes needs to be decided at the pre-tender stage, and the
decision notified to all tendering contractors.
Performance failures are likely to manifest themselves at the

commissioning stage. These must initially be investigated by the
installing contractor. When satisfied that all that is possible has been
done to comply with the specified requirements, the contractor should
then ask the designer for instructions how to proceed.
In conjunction with the lead contractor and project manager, the

building services designer and installer should agree a course of action
taking into account:
• the likely impact of the failure on the function of the building.

• the need for further testing
• the need for additional investigations (possibly by a third party
consultant with relevant expertise)
• the likely effect of testing, investigations and remedial works on cost
and programme
• the appropriate routes for reporting progress regarding the failure to
other members of the project team
• the need to apply or prepare for dispute resolution procedures (where
responsibility for the failure is disputed).
7.6 ASSESSING AND Construction progress is controlled by setting realistic targets and
REPORTING monitoring performance against those targets. Any deviation in
CONSTRUCTION performance must be scrutinised and corrective action taken where
PROGRESS necessary. If sub-contractors slip behind their agreed sectional
programmes, then they have a greater obligation to help find solutions
which bring the project back on programme.
Details of management procedures regarding the monitoring and control

of construction progress is given in the following publications:

The following sections identify the main activities to be carried out.

7.6.1 Management role

In helping to ensure that the agreed programme for the works is
achieved, the typical role of the project management team would be to
ensure that:
• adequate and timely design information is available to contractors at

the programmed times and that their reasonable requests for
clarification are met promptly
• approval or acceptance of contractors' drawings and information is
given within specified time limits
• post-tender design modifications (initiated by the design team) are
kept to a minimum so that the construction programme is not
undermined.
• costs are contained within the cost plan and budget
• project progress meetings are arranged and accurate minutes kept of
reports and actions agreed
• summary progress reports are prepared and issued to the client.
7.6.2 Site progress meetings

The building services installer should ensure that progress meetings held
early in the construction stage deal with:
• the status of project information, eg

- quality, environmental and health and safety plans
- project plan
- plant and equipment procurement schedules
- builders' work drawings
- working drawings
- method statements
- sample approvals
- test and inspection plans
• information or decisions required from the design team
• the progress on site
• the progress of plant and materials procurement and off-site
production
• safety issues
• inspection, testing and defect clearance
• variations.
As the project proceeds, progress meetings should also begin to deal

with:
• commissioning
• handover documentation
• client training and instruction
• final inspection and clearance of defects
• handover procedures.
Safety may also be dealt with at separate dedicated site safety meetings.
Commissioning, handover documentation, and client training should,

ideally, be put on the agenda between 2-6 months before each activity is
due to start, depending on the size of the project.

7.6.3 Progress reports

The requirements and format of contractor progress reports should
ideally have been considered before the award of contracts, and should
be described in subcontract documents.
In practice, for building services installation, the current status of works

in progress may be difficult to assess. Unlike other building trades they
cannot be assessed on a percentage area or volume basis. However, it is
important that an attempt is made to provide as accurate an assessment
as possible. This is critical if the building services installer is to retain
control over project costs and programme.
The building services installer should provide a progress report

(available before each site meeting) which will be incorporated in the
lead contractor's project report to the client and project team. Progress
information can be provided in the form of:
• marked up programmes
• progress status sheets
• marked up drawings.
Probably the most effective method of indicating progress is to give an

assessment of the percentage completion of each activity identified on
the contractor's sectional programme. It should be noted that the
subsequent introduction of alternative, possibly more detailed
programmes, with different lists of activities will only serve to confuse
things. All progress should be related to the activities identified on the
lead contractor's managing programme which itself should have had
input from individual sub-contractors.
Based on progress reports provided by individual contractors, the

project team can prepare a report for the client detailing:
• current status of design and construction against master programme

• notice of further decisions required
• status of construction costs against cost plan
• problems recorded and measures taken to overcome them
• an update on the anticipated final cost and completion date.
If progress is falling behind programme, the relevant contractors should

check that:
• the causes are identified

• labour resources are adequate
• materials stored are adequate
• plant and equipment has been delivered
• construction plant and tools are adequate
• timekeeping is satisfactory
• labour supervision and inspection levels are appropriate.
Proposals for recovery may include:
• changing the labour force

• increasing the resources of materials, labour, construction plant and

tools
• increasing or improving the level of supervision, inspection and
defects clearance.
The best method of implementing programme recovery measures is to

set new targets against short term programmes and to monitor against
these.
7.6.4 Dealing with contract claims

Contractors have an obvious incentive to identify differences between
the tendered solution and that actually implemented for reasons of
feasibility, practicality or other circumstances beyond their control.
Although they may not be initiated by a specific instruction, such
differences may form the basis of claims for additional costs or time.
All such claims must be:
• supported by the relevant contract conditions

• made within the time limit specified in the contract
• based on costs agreed at the time, by the relevant members of the
project team.
In order to process such claims in an efficient and fair manner, a record

must be kept of all the factors which might be relevant to the claim such
as:
• the effects of related instructions or variation orders

• the dates and content of all requests for information
• the dates and content of all information provided
• the dates and details of plant, equipment and materials deliveries
• a record of any relevant contract inspections
• a list of the defects recorded which are relevant to the claim
• a record of the weather conditions on the site
• a record of the personnel involved
• the specific details of any disputed items.
In processing each claim, the building services contractor must also

ensure that:
• disputed statements are given comprehensive replies at the time of

receipt
• all documentation relevant to a claim is recorded.

COMMISSIONING SECTION 8
8 COMMISSIONING
The commissioning stage is critical to the success of building services

installation. This chapter describes the main management issues which
must be addressed in order to pre-empt and avoid problems.
The commissioning programmes produced by building services

installers and their sub-traders are frequently over-optimistic, assuming
that others will co-operate in providing water, gas and electric supplies,
a weather-tight building, unobstructed access and a dust free
environment. Unless the interdependencies of all the building services
systems and plant are identified together with their integration with on-
going construction activities, a risk of project overrun exists. This
complex, often highly fragmented part of the construction process
demands good management.
The objective is to ensure that the commissioning of separate systems is

properly planned and controlled so that the installation is operational to
the specified level at handover. Consideration of commissioning
activities must begin at the design stage and be reviewed during the
installation. It is important that the client and design team recognise
commissioning as an essential service to the design and a distinct phase
in the construction process.
Commissioning management may be assigned to a lead or multi-service

installer. Large or complex projects may benefit from the separate
appointment of a commissioning manager. The worst outcome is that in
the absence of a clearly specified assignment, the role falls
unsuspectingly on the lead building contractor.
8.1.1 Project manager's role

In support of the procurement and organisation of commissioning
management expertise, the project manager must ensure that:
• the client has a nominated representative who will be responsible for

managing the client's role in commissioning
• a consistent terminology is agreed for commissioning (Appendix A8
contains a list of commonly understood terminology as defined in
BSRIA Commissioning Guides and CIBSE Commissioning Codes)
• the requirement and role for a commissioning manager is assessed
and agreed based on the designer's recommendation (as advised in
section 3.4.4)
• the specialist commissioning manager is identified and appointed at
the agreed stage
• an appropriate procurement route is decided for the appointment of
both the "hands on" commissioning specialist and the commissioning
manager
• a detailed commissioning specification is prepared (as described in
section 8.1.3)
• responsibilities for commissioning activities are clearly defined
• the authority of the commissioning manager over individual trade
sub-contractors is agreed and identified
• the contract documents make adequate provision for commissioning

SECTION 8 COMMISSIONING
• the commissioning programme is properly integrated within the main

construction programme
• statutory and insurance approvals relating to commissioning are
identified and plans are made for obtaining such approvals
• consideration is given to links between commissioning activities and
maintenance or client training activities
• commissioning results are prepared in an agreed format for inclusion
in the operating and maintenance manuals
• separate commissioning meetings are held at appropriate stages of
the project.
8.1.2 Role of Independent commissioning manager

As an appointment direct to the client, the commissioning manager is
free to provide independent advice on commissioning activities.
An early appointment at the outline design stage is usually advisable.

This makes available commissioning expertise to the design and project
programming activities.
Where appointed, a commissioning manager might be required to carry

out the following activities at different stages of the project.
General duties:
• liaison with designers to establish or clarify the design philosophy

• obtaining relevant design information from designers
• agreeing commissioning methods and tolerances with designers
• providing input to the commissioning specification
• obtaining services specifications, drawings, standards, codes and
guides relevant to commissioning
• liaison with main, managing and services contractor's planning
departments
• assisting with certification of variations, via the lead contractor
• chairing and attending site progress, technical and commissioning
meetings as necessary
• producing interim and stage progress reports
• commenting on services contractors' quality plans with regard to
commissioning
• providing technical advice on commissioning and testing
• advising on alternatives to proposed commissioning methods.
Design and pre-installation stage duties:
• carrying out design commissionability appraisals at outline proposals

and detailed design stages
• liaising with designer and contractor to establish detailed information
on the BMS and controls works
• developing with the BMS/controls specialist and designer, a logic
network for the off-site proving, by simulation, of all software;
agreeing mnemonics and graphics
• producing, with contractors' input, co-ordinated commissioning logic
networks, method statements and programmes

• commenting on contractors' working drawings and the adequacy of

systems for commissioning
• assisting in the monitoring of plant procurement and testing
• agreeing works test procedures
• witnessing works testing
• ensuring that fully co-ordinated block wiring diagrams are produced
which fully reflect the total integration of all power and control
wiring systems
• advising on the provision of system flushing and chemical cleaning
facilities.
Installation and commissioning duties:
• checking that certified equipment data supplied by contractors

complies with design data, eg air and water pressure losses, fan and
pump curves, filter and strainer grading etc
• monitoring and updating of the commissioning programme
• providing a watching brief during installation
• witnessing pre-commissioning activities
• agreeing pro forma documentation for record sheets etc
• ensuring that relevant gas, air and fluid pressure testing is being
carried out systematically
• carrying out regular site inspections of services installations and
stores of materials to ensure that required standards of cleanliness
and protection are being maintained
• approving contractors' flushing and cleaning method statements and
programme, and witnessing the results of flushing and cleaning of
pipework and ductwork
• witnessing and collating on and off-site plant proving tests
• establishing start-up and operating procedures
• carrying out pre-commissioning inspections
• monitoring of site progress against programme
• checking and agreeing a set of test instrumentation.
Commissioning and testing stage duties:
• checking that agreed start up procedures are being adhered to

• witnessing of test results, demonstrations and acceptance tests
• organising demonstrations of plant and system operating procedures
with the end user's engineering representative
• ensuring that all plant and systems are recorded including reference
to an agreed labelling system
• co-ordinating and technically supervising commissioning and testing
procedures
• establishing emergency procedures plant close down and witnessing
their demonstration
• witnessing partial load testing and the use of simulators on the BMS
for out of season conditions
• demonstrating the operation of the BMS to the designer's specified
requirements including physical testing of all safety interlocks
• witnessing the demonstration of specified acoustic tests
• witnessing plant reliability tests

• managing the contractors' provision of specified support services

such as false loads, safe power supplies, proven interlocks etc
• signing off completed systems to clients and end users using standard
handover documentation.
Completion and post-contract stage duties:
• providing technical input to the O&M manuals and associated record

drawings
• assisting the client's or end user's engineering representative to
establish planned preventative maintenance based on the designer's
recommendations
• planning and managing the transfer of the building services from
contractor to end user's representatives
• establish a regime of plant performance monitoring during the
defects liability period.
These potential duties will form the basis of a commissioning

management specification, prepared by the designer to define the role of
the commissioning manager. The responsibilities of individual parties
in relation to each of these duties might also be clarified by preparation
of a division of responsibilities matrix as described in section 8.1.4.
8.1.3 The commissioning specification

The technical requirements for commissioning of building services must
be planned and specified at the pre-tender stage. It is usually advisable
to prepare a separate specification for each service to be commissioned.
The commissioning specification should include:
• the scope of works, ie details of the systems to be commissioned,

their functions and duration of operation, and an explanation of their
inter-relationship with other engineering systems
• the technical specification of the commissioning work, ie
- the relevant standards to be complied with
- the instruments to be used and any calibration requirements
- acceptable tolerances for test results
- the witnessing and reporting procedures required
• design data relevant to commissioning such as
- flow rates
- temperatures
- operating pressures
- plant capacities
- illumination levels
- glare indices
- control logic statements
- plant schematics
- fault levels
- noise ratings
• a set of schematic drawings, together with a set of either detailed
design drawings or co-ordination drawings each with clearly marked
details of
- volumetric flow rates
- design total pressures
- design total pressure losses at equipment

- pipe and duct sizes

- locations of dampers, valves and flow measuring stations
- electrical fault levels
- current ratings
- short circuit capacities
- tripping times
• system preparation details, ie the requirements for, and methods by
which systems will be prepared ready for commissioning (this will
include flushing and cleaning details in the case of water systems)
• requirements for capacity testing and system proving (as described in
section 8.2.1).
In addition, the contract documentation should provide details of any

special requirements with regard to:
• provision for client access

• client staff training
• the requirements of operating and maintenance manuals
• statutory approvals to be obtained
• written schemes of examination (eg pressure vessels regulations)
• insurance approvals to be obtained.
8.1.4 Allocation of responsibilities

To pre-empt and avoid confusion at the commissioning stage of a
construction project, the roles and responsibilities of the different
parties with respect to commissioning should be carefully thought
through at the pre-tender stage.
Deciding the roles and functions of the different parties can be a

difficult task for large, or highly serviced buildings. Detailed advice
and background information on this subject is given in the following
publications:
Wild L. J. Commissioning ofHVAC Systems Division of

Responsibilities. BSRIA Technical Memorandum TM1/88.
BSRIA. The Allocation of Design Responsibilities - a code of
conduct to avoid conflict. BSRIA Technical Note TN21/97.
Specific issues relating to commissioning which frequently cause

conflict on sites are described in BSRIA Technical Note TN21/97.
Based on a survey of installing contractors, this publication notes that
many of the reported problems arising from commissioning are the
result of:
• inadequate provisions for commissioning in the system design

• a lack of clarity in tender documentation regarding the requirements
for testing, witnessing and acceptance
• poor programming and co-ordination of commissioning activities and
the preceding activities on which they depend.
In order to overcome the causes of these problems it is recommended

that agreement is obtained with respect to the actions described in
section 3.4.4.

As an aid to clarifying the various roles for a particular project, a list of

commissioning responsibilities is included within Pro forma section PI.
The completed pro forma should be included as part of a commissioning
management specification so that the agreed division of responsibilities
is made clear to all the parties involved .
8.1.5 Planning and programming commissioning activities

Commissioning management essentially involves using the same
management techniques for planning, programming and progress
monitoring as might be used for the construction process itself and as
described in section 7.4. However, the main feature is that some
specialist knowledge of commissioning procedures is brought to bear on
the formulation of the finishes programme.
The main objective for commissioning management is to programme

commissioning activities to achieve the project completion date.
Commissioning activities should therefore be planned back from this
date. By doing so clashes of priority with the forward moving
construction programme will be highlighted.
A commissioning management specialist is best placed to advise on the

planning and programming of commissioning stage activities since they
will have specialist knowledge of the procedures involved, and the
interdependencies between different activities. If a commissioning
manager is not appointed, then the installing contractor is probably best
placed to advise.
In order to determine a feasible and efficient ordering of commissioning

procedures, a logic sequence diagram should be prepared to help clarify
the interdependencies of different activities. The durations of each
activity should then be estimated so that the logic network can form the
basis for a detailed commissioning programme. When all logic
connections and programmes have been integrated with the building
works, and with the lead contractor's commissioning programme for the
whole project, a simplified management programme may be produced.
8.1.6 Commissioning site meetings

Commissioning may be discussed at the lead contractor's site progress
meetings as recommended in section 7.6.2. These meetings are intended
as reviews of progress to ensure adequate information flow and
completion of systems for commissioning. Where the services are
complex, separate commissioning meeting should be held to:
• assess progress
• resolve clashes of priority between contractors.
8.1.7 Report stages

Hold points relevant to the commissioning process must be identified.
These are likely to occur at the following recommended report stages:
• report that system design is commissionable

• post installation report - installation complete and ready for
commissioning
120 Project Management Handbook (or Building Services BSRIA AG 11/98

• system cleanliness report - specified cleanliness has been achieved

• system commissionable - confirmation on completion of pre-
commissioning checks
• testing report - to demonstrate compliance with specified
requirements.
The final documentation of reports and completed record sheets should

be compiled into a systems commissioning manual for inclusion in the
building operating and maintenance manual.
8.1.8 Building services installer's role

The building services installer should:
• identify the specified requirements in respect of commissioning

management
• identify the technical risk associated with commissioning systems in
compliance with the specified requirements
• seek clarification of aspects of the commissioning which appear to
have been omitted or which are unclear
• in the absence of any specified commissioning management or
allocation of commissioning responsibilities, prepare his own
responsibility schedules
• clarify the role and responsibilities of the commissioning manager,
when appointed
• establish the demarcation between his responsibilities and those of
the commissioning manager
• check the installation for commissionability
• ensure that procedures for site cleanliness and good housekeeping
are in place and adhered to
• ensure that installation checks on commissioning devices are made to
ensure that all devices are correctly installed, in accordance with the
manufacturers' instructions and are easily accessible.
8.2 PROVING Successful commissioning will not necessarily provide confirmation

PERFORMANCE that the desired environmental conditions will be maintained under all
specified operating conditions. In order to give this assurance, capacity
testing, system proving and fine tuning may need to be added to the
commissioning process. For buildings where system performance is
critical, these activities should be considered.
8.2.1 Capacity testing and system proving

Capacity testing involves demonstrating the capability of the installation
to achieve and maintain the specified system performance criteria under
normal, standby and emergency modes. Capacity testing may be carried
out before handover of the building as the final activity of the
commissioning process.
System proving involves measuring, recording, evaluating and reporting

on the seasonal performance of systems against their environmental
design criteria. Seasonal simulation requirements may be specified to
permit pre-handover system proving. Alternatively the process will
often have to be carried out after handover and post-contract.

In consultation with the client, the project management team or building

services designer must determine:
• the need for system proving and its extent
• the contractual arrangement under which system proving will be
carried out (whether under the original contract or under a direct
contract between the building services installer and the client)
• whether system proving should be carried out:
- before handover
- post-contract:
- before occupancy
- concurrent with operational training
- during occupancy.
The requirements for system proving must be decided and agreed at the
design stage. The building services designer should therefore describe
these requirements in the commissioning management specification,
together with the proposed contractual arrangement under which the
works will be completed. Similarly, commissioning logic diagrams and
programmes prepared by the commissioning manager or installing
contractor should make proper allowance for system proving activities.
When carried out post-contract, there is no reason why the installer's

existing quality, safety and environmental plans can't be re-established.
Method statements for system proving may need to consider
requirements to ensure the safety of building occupants.
8.2.2 Fine tuning
Fine tuning involves the adjustment of a system where usage or system
proving has shown such need. This may include the re-assessment of
design criteria and control set points to achieve the required system
performance.
Building users often benefit from some fine tuning during their first year
of operation. The project management team must, in consultation with
the client and designer:
• assess the need for fine tuning of the building services
• ensure that requirements for fine tuning are incorporated in the
commissioning specification
• ensure that fine tuning activities are programmed and planned in
advance
• arrange that the relevant parties are retained and appointed to provide
input to fine tuning activities
• ensure that fine tuning activities are planned with regard to the health
and safety of occupants and such that any disturbance to them is
minimised
• arrange a mechanism by which building occupants can provide
feedback on the performance of the building both before and after
fine tuning.
Meetings to deal with issues arising from fine tuning of the services
should be held on a regular basis (typically monthly) between the
designer, client representative, facilities manager, commissioning
manager etc. The previously appointed commissioning manager should
be retained under a new agreement to provide input.

HANDOVER SECTION 9
9 HANDOVER
Final inspections, practical completion and handover activities should

be planned and managed as discrete activities requiring special attention
and input beyond that normally applied to the preceding construction
activities.
To ensure effective handover the project management team will be

responsible for:
• arranging final inspections and the issuing of a final certificate

• implementing user occupation plans
• preparing for handover and the handover meeting itself
• practical completion and the issuing of a practical completion
certificate
• preparing the final account
• preparing post completion review and project evaluation report.
Details of the nature and scope of procedures relating to final inspection

and handover are given in:
Institute of Building. Code of Practice for Project Management for

The following sections describe the main points to be considered, and

the appropriate actions to be carried out.
9.1 FINAL A final round of inspections will be carried out by the contractor's
INSPECTIONS representative and the design team.
9.1.1 Contractors' final inspections

The success of the design team's round of inspections is obviously
critical to the building services contractor and must be carefully planned
for.
The design team's inspections must be preceded by a round of detailed

inspections by the installing contractor and each of his sub-traders.
Although the building services installer can never know for certain the
quantity of defects that will be discovered during these inspections,
some cost and programme allowance must be made for both his
inspections and the consequent remedial works. The previously
established defects register (as described in section 7.5.5) might provide
some indication of what allowance to make.
For large projects it may be necessary to allow for the temporary

appointment of a handover manager or additional co-ordinators and
finishers to resource final inspections and defects clearance.
The contractor's sectional programme should include a specific

allowance for final inspections and defect clearance in each part of the
building. Furthermore, the installing contractor's planned programme

SECTION 9 HANDOVER
of inspections should be integrated with the lead contractor's proposed

handover programme.
To facilitate programming, a policy for inspections should be agreed

between the design team, leading contractor and building services
contractor identifying:
• the order in which areas are to be inspected

• acceptance standards (which may be subjective)
• whether lifting of access panels is necessary.
Standard defect status sheets should continue to be used to record

outstanding defects.
Building services defects should now be categorised under the following

headings:
• non-compliance with specified requirements

• damaged
• incomplete work
• incomplete due to late variation.
To facilitate the logging of defects, standard sheets should be prepared

recording:
• location of defect (ie building, floor, area or room)

• defect category
• description of defect
• re-inspection time and procedure
• confirmation of defect clearance.
An example final inspection defect status sheet is shown in Figure 9.1.

HANDOVER SECTION 9
F i g u r e 9 . 1 Example defect status sheet
Defect status report for: Mechanical services Contractor: Mechelec Report issue date: 7/11/97
No Inspect Zone Level Room Element Description Category Clearance dates:
Date ref. Cleared Inspected
01 20/10/97 West 3 Office Insulation Torn insulation on plenum boxes dam 17/11/97 20/11/97
02 20/10/97 West 3 Office Ductwork No access to dampers spec 17/11/97 20/11/97
03 20/10/97 West 1 Lobby Ductwork Duct access door blocked by pipes spec 15/11/97 20/11/97
04 20/10/97 West 1 Lobby Pipework Regulating valve missing inc 15/11/97 20/11/97
05 20/10/97 West 1 Lobby Pipework Isolating valve doesn't shut off spec 15/11/97 20/11/97
06 20/10/97 West 1 Plant Pipework Strainer fitted wrong way round inc 21/11/97 25/11/97
07 20/10/97 West 1 Plant Labels Lagging to ducting incomplete inc 21/11/97 25/11/97
Key:
spec non-compliance with specified requirements
dam site damaged
Inc incomplete work
var incomplete due to late variation
9.1.2 Design team inspections

Under their terms of engagement, the design team normally have a duty
to carry out a round of final inspections. These will occur prior to
practical completion to produce a list of outstanding works and at the
end of the defects liability period to confirm that all defects have been
rectified.
There is no ideal time for the initial inspection to occur and this activity
is likely to coincide with the final stages of commissioning or during the
training of the end user's staff.
It is usually preferable that the building services installer is present

during the designer's inspection. This can help avoid listing defects
which have already been the subject of agreed waivers or variations.
Minimal defects means practical completion can be granted.
Practical completion releases the lead contractor and his sub-contractors

from liability for:
• damage to completed work.

• any further liquidated damages
• insurance for the works.
In addition, a proportion of the retention money, as agreed in the

contract, is released.

SECTION 9 HANDOVER
9.1.3 Phased handover

Parts of the building which are handed over early will need to comply
with written acceptance standards.
Care must be taken to ensure that phased handover does not prevent the
completion of works required under the contract or interfere with the
operation of building services systems.
Where the project is for commercial property unlet at handover or there

is a delay before occupancy commences, the requirements may need to
be tailored to suit the circumstances. For example, the instruction and
training duties of the contractors will need to be delayed until a tenant is
found. Installation mothballing or tickover requirements may be also
required where such a delay is likely to be protracted.
9.1.4 Defect clearance

Defect clearance must be prioritised to ensure that acceptance standards
are met. The order of priority will depend on the type of project but for
most buildings an order of priority aimed at eliminating building
services defects which affect the issue of an occupation certificate and
the end user's business function is as follows:
• fire systems and those affecting escape routes, eg smoke extract and
emergency lighting
• security systems
• building safety, eg guard rails, notices etc
• public health systems
• environmental systems (HVAC, lighting, acoustics etc)
• process services and sensitive areas
• visual defects.
The reducing number of inspection and defect clearance sheets from the
installer, lead contractor and client team should culminate with the issue
of a practical completion certificate and a short list of non-critical
outstanding defects.
9.2 PRE-HANDOVER The main events leading up to practical completion include the
following:
• the client is advised of the anticipated handover date and is invited

to participate in final inspections
• the availability of O&M manuals and record drawings are checked
• the client ensures that the appropriate maintenance arrangements are
in place
• the end users are given training and instruction on the operation of
the building
• the commissioning results and documentation are completed and
approved.
9.2.1 Management activities in relation to handover

Handover should be introduced to progress meetings from mid-
construction onwards.
The project management team must ensure that:

HANDOVER SECTION 9
• the required scope, content and format for the O&M manuals is
agreed between design team and client at concept design stage
• the requirement for record drawings is agreed at the concept design
stage
• responsibilities for the preparation of handover information are
clearly identified pre-tender (see section 9.2.2)
• a programme is prepared for preparation and delivery of handover
information
• systems are in place for change control to deal with changes to the
installation design during construction
• a procedure is in place for checking O&M information
• a definition is given of the degree of deficiency which would be
considered serious enough to delay completion
• operator instruction and training requirements are established
• maintenance responsibilities are established
• the requirements for extended warranties are decided.
9.2.2 Allocation of responsibilities for handover information

As discussed in section 3.4.5, BSRIA Technical Note TN21/97, The
Allocation of Design Responsibilities for Building Engineering Services
provides a methodology by which the responsibilities for handover
information can be clearly allocated to the relevant party. The aim of
this guide is to prevent disputes arising due to confusion over the scope
and standard of handover information required, and its proposed method
of production.
Pro forma section PI contains a pro forma check-list of duties relating to

the production of handover information which must be allocated to one
or other of the parties involved.
9.2.3 Contractor's handover plan

The building services contractor should make a thorough search of the
specification in order to determine the requirements for handover. The
requirements may be split between a variety of sections covering
practical completion, handover, commissioning, testing, record
drawings, O&M manuals, as-built drawings, spare parts etc.
Based on the requirement specified, the contractor should instigate

preparation of a handover plan which will essentially provide a detailed
programme of activities leading up to handover, providing key dates for
the delivery of information. The handover plan should be agreed with
the lead contractor and distributed to client and project team.
9.2.4 Instruction and training

Most projects have specified requirements for instruction and training
for prospective building users which involve:
• familiarisation - eg a tour of the building with descriptions given of

installed plant and equipment
• instruction and training for:
- general building services operation and basic maintenance
- specialist services operation and basic maintenance
- process services, hot/cold start and maintenance.

SECTION 9 HANDOVER
The provider of instruction and training must understand the specified

requirements and agree details of how, when, where and for what
duration training and instruction is to be provided.
Care must also be taken to ensure a match between the specified

requirements and level of understanding of prospective recipients. If
there is a mismatch, this should be brought to the attention of both the
recipient and the specifier.
Since many of the instruction and training activities will need to take
place on-site, prior to handover, the process should be integrated into
individual contractors' sectional programmes and the project master
programme.
9.2.5 Spares
Spares and tools to be provided for on-going maintenance must be
agreed and planned for in advance. This should ideally have been
considered by the designer and specified at tender stage. If there is any
uncertainty on the part of the contractor clarification should be
requested from the designer.
The list of spares must be decided taking into account:
• known patterns of wear

• manufacturers'/suppliers' parts stocking policies, whether quick
response or related to demand
• the maintenance policy.
9.2.6 Keys
Early in the handover process the building services installer should
create key schedules. These should cover their availability on site,
identification, usage for access control and final handover. Keys
provided for the set up and adjustment of special equipment should be
included on the schedule.
9.2.7 Tools
Where designers are unaware of the specialist tools used for the erection
of plant and equipment, or required for its maintenance, they should
specify that the building services installer will provide and identify in
the handover information, whatever tools are required for the
maintenance of the building services. To ensure the availability of the
appropriate tools at handover, a schedule of tools should be drawn up by
the installer at an early stage.
9.2.8 Replacements
Stock levels of replacement oils, greases, chemicals, filters etc should be
agreed during design and specified at the tender stage. Clarification
should be sought if there is any uncertainty in the requirement.
A schedule of replacement requirements should be prepared covering:

• procurement
• storage

HANDOVER
• usage
• replacement during commissioning
• replacement after handover.
Materials and chemicals must be supplied with appropriate COSSH

assessments in compliance with the COSSH Regulations.
9.3 HANDOVER Specific details on the options for format, content and delivery of
INFORMATION handover information are given in:
BSRIA. Handover Information for Building Services. BSRIA

Technical Note TN15/95.
In accordance with the specified requirements, each contractor will have

identified the nature of handover information to be provided by them.
For building services contractors, this might include:
• operating and maintenance manuals

• health and safety file
• record drawings.
9.3.1 Operating and maintenance manuals

The O&M manuals are likely to contain:
• instructions on how to use the manual

• emergency information and associated contacts and addresses
• contractual and legal information
• systems descriptions and intended modes of operation
• manufacturers' relevant technical literature
• health and safety documentation
• asset list/equipment schedules
• parts identification and recommended spares
• spares policy
• commissioning data
• maintenance instructions
• fault finding advice
• lubrication details
• modification information
• disposal instructions
• names and addresses of manufacturers
• index of plans and drawings
• manufacturers literature.
Specific detail of the scope of content under each of these headings is

given in BSRIA Technical Note TNI5/95.
Based on the complexity of building services and the number of

buildings involved, the installer should decide how many volumes of the
manual will be required. He may need to seek agreement on a suitable
method of sub-dividing the information. One approach is as follows:
Volume 1: Operating manual

Volume 2: Maintenance manual
Volume 3: Manufacturers' technical literature
© BSRIA AQ 11/98 Project Management Handbook for Building Services 129

SECTION 9 HANDOVER
Volume 4: Commissioning records.
There may also be a requirement for specialist manuals for specific

systems, eg energy management systems, security systems, data
systems, kitchens, coldrooms etc.
If not specified, the provider of O&M manuals must also agree the
format of their presentation, eg font styles, type of cover, internal layout
etc.
9.3.2 Health and safety file

The scope and format of the health and safety file are described in
section 5.4.5.
The health and safety file must be produced in compliance with the
Construction (Design and Management) Regulations regardless of the
requirements of the designer's specification. A detailed check-list of the
certificates and test records relevant to building services which might be
contained in the health and safety file is provided in BSRIA Technical
Note TNI5/95 Handover Information for Building Services.
9.3.3 Record drawings

A definition for record drawing should have been agreed when the
design team were appointed. A recommended definition for record
drawing is as follows:
A drawing showing the building and services installations as installed at

the date of practical completion.
The main features of the record drawing should be as follows:
• the drawing should be to a scale not less than that of the installation
drawings
• the drawings should have marked upon them positions of access
points for operating and maintenance purposes
• the drawing should not be dimensioned unless the inclusion of a
dimension is considered necessary for location.
Specific details of the content of record drawings for electrical and

mechanical installations is given in BSRIA Technical Note TN15/95.
In the absence of specified requirements, agreement must be reached on:
• the list of record drawings to be produced

• title blocks and logos
• requirements for notices encapsulated in plastic
• requirements for wallcharts framed under glass
• numbers of negatives and prints required
• whether to be provided as a CAD file.
9.3.4 Providing the documentation

Having clarified the requirements for handover information and agreed
a division of responsibilities, the handover activities can be
programmed. It is usually beneficial to hold an "information production

HANDOVER SECTION 9
planning meeting" with the lead contractor at an early stage, no later

than mid contract, to agree:
• a schedule of delivery dates for information

• turnaround approval times for information submitted.
Information will need to be provided from a variety of manufacturers,

contractors, specialists and sub-traders. All of the information relevant
to handover documentation must be passed to the party responsible for
providing the documentation.
The management of building services documentation production will

probably be allocated to the lead building services contractor. He, in
turn, may decide to appoint a technical author or documentation
manager, possibly from a list of pre-selected firms included in the
specification. Alternatively the client and design team may do this,
appointing an independent specialist contractor to whom all the other
building services installers and specialists will be responsible for
providing their information.
The input of information must be co-ordinated. A programme

identifying the specific stages, of documentation preparation should be
produced which demonstrates the intended links with sectional
programmes and master programme. Activities relating to the
preparation of handover information are often related to construction
and commissioning events and need to be closely tied in.
A progress sheet is a good idea to monitor the preparation and approval

of documentation for large and complex buildings. An example
document issue control sheet is shown in Figure 9.2.

132
Project Management Handbook for Building Services
SECTION 9
Figure 9.2 Example document issue control sheet
Project: Example | Document: Health and Safety file Contractor: Mechelec Date: 15/11/98
FIRST DRAFT SECOND DRAFT FINAL ISSUE
Building Handover Installer Issue to Issue to Design Comment Final Issue to Issue to Design Comment Issue to Contractor Issue to
date info. to lead design team passed to installer lead design team passed to lead /design client
author contractor team comment author info, to contractor team comment author contractor team
author checks
A 6/11/98 21/8/98 4/9/98 7/9/98 21/9/98 23/9/98 2/10/98 16/10/98 19/10/98 22/10/98 23/10/98 2/11/98 4/11/98 6/11/98
22/8/98 4/9/98 7/9/98 21/9/98 23/9/98 3/10/98 16/10/98 20/10/98 22/10/98 23/10/98 2/11/98 5/11/98 9/11/98
B 6/11/98 21/8/98 4/9/98 7/9/98 21/9/98 23/9/98 2/10/98 16/10/98 19/10/98 22/10/98 23/10/98 2/11/98 4/11/98 6/11/98
22/8/98 4/9/98 7/9/98 21/9/98 23/9/98 3/10/98 16/10/98 20/10/98 22/10/98 23/10/98 2/11/98 5/11/98 9/11/98
c 27/11/98 11/9/98 25/9/98 29/9/98 13/10/98 15/10/98 23/10/98 6/11/98 10/11/98 12/11/98 13/11/98 23/11/98 25/11/98 27/11/98
11/9/98 25/9/98 29/9/98 13/10/98 15/10/98 23/10/98 8/11/98 12/11/98 12/11/98 15/11/98
D 27/11/98 11/9/98 25/9/98 29/9/98 13/10/98 15/10/98 23/10/98 6/11/98 10/11/98 12/11/98 13/11/98 23/11/98 25/11/98 27/11/98
11/9/98 25/9/98 29/9/98 13/10/98 15/10/98 24/10/98 8/11/98
© BSRIA AG 11/98
HANDOVER
HANDOVER SECTION 9
9.4 PRACTICAL Before practical completion, the project manager and planning
COMPLETION supervisor should ensure that:
• a building maintenance contract has been' arranged by the client or

occupier
• appropriate insurances have been arranged
• adequate operating and maintenance training has been given or
arranged
• if necessary, an engineer from the contractor's organisation has been
appointed to assist during the initial period of occupation
• the relevant health and safety inspections are planned
• licences have been obtained for the storage of hazardous substances
• commissioning works are complete, witnessed, recorded and
approved
• the relevant test certificates have been issued
• outstanding defects been rectified to an acceptable standard
• a schedule and resourced programme for the completion of
outstanding work has been agreed
• arrangements have been made for any additional works
• statutory examinations and inspections have taken place
• fire systems have been inspected and approved
• public utilities have been inspected and signed off
• meter readings and fuel stocks have been recorded
• product warranty documentation has been issued
• spares, tools, replacements etc have been issued and an inventory
provided
• O&M manuals have been checked and issued
• record drawings have been checked and issued
• the health and safety file has been compiled, checked and issued by
the planning supervisor.
At handover:
• a Certificate of Practical Completion is issued

• the contractor gives up possession of the site to the client
• a proportion of the retention money is released
• insurance, security and maintenance becomes the responsibility of
the client or occupier
• keys and spares are passed to the client or occupier
• O&M manuals, health and safety file and all other specified
documentation is passed to the client or occupier
• the defects liability period commences.
9.5 POST-HANDOVER After the project has been handed over, the building services installer
may retain an involvement in the following activities:
the clearance of defects in accordance with the resourced

programme appended to the practical completion certificate
system proving and fine tuning specified to be carried out post-
handover
operation and maintenance (under the control of the client or end
user)
dispute resolution

HANDOVER SECTION 9
preparation of final account

assembly of project documentation for archiving
preparation of location records for redeployed staff
the clearance of defects notified during the defects liability period
attendance at the final inspection at the end of the defects liability
period
the clearance of defects on the final inspection defects list
providing input to the project manager's feedback report process
the setting up and management of their own feedback report
system.
9.5.1 Retention of project information

Building services designers and installers should retain a record of all
significant project information. Table 9.1 shows a typical list of
information which should be retained by both parties. Where there is an
on-going dispute or a history of unrest between the parties, it is probably
wise to keep all project information.

HANDOVER SECTION 9
Table 9.1
Information to be retained by designers and installers
Designer Installer
Brief * *
Enquiry documents/drawings * *
Tender/fee bid proposals * *
Feasibility studies * *
Contract/terms of engagement * *
Building Regulation approvals including fire, licensing etc * *
Specifications * *
Calculations * *
Planning approvals * *
Programmes * *
Drawings * *
Record drawings *
Commissioning results * *
O&M manuals - spares/parts listings * *
Records of training/instruction for owner/operator staff/operatives * *
Comment/approvals drawings - particularly for design development * *
Contract information (including prequalification meeting notes, tender
documents, order, progress records, minutes of meetings etc) * *
Copy invoices * *
Test and inspection (T&l) documents (including plans, approval of samples,
* *
holdpoint ie witnessing approvals)
Insurance policies *
Insurance certification records eg lifts, sprinklers, pressure vessels etc *
Accident book - and associated records *
Photographs - negatives if possible, including any video cassettes
Completion, notification of handover certificates and records (sectional, partial
possession, practical)
Final accounts and fee settlement statements * *
Invoices supporting final account and fee settlement *
Making good defect records/certificates * *
All general correspondence * *
Minutes of principal contractor, design construction *
Progress and commissioning meetings etc * *
Minutes of specialist and sub-trader meetings *
Information request sheets and responses * *
Defects schedules * *
Principal Contractor's instructions and directions *
Instructions and directions to specialist and sub traders
Quality plans/procedures etc * *
Quality audits/reviews * *
Method statements * *
Health and safety plans, information passed to planning supervision,
* *
notifications minutes of meetings etc
COSSH assessment documents *
Industrial relations returns *
Reports from specialists and sub-traders *
Reports to principal contractor, eg pre-site meeting *
Progress reports *
Ad hoc reports, eg for special situations * *

HANDOVER SECTION 9
Paper records of project information can be easily misinterpreted unless

the original author is available to explain the background and context of
the material. It is therefore essential that a record is kept of the
subsequent location of individual project team members.
9.5.2 Defect clearance post handover

Although the list of defects at practical completion should be small,
their clearance during the defects liability period may not be as straight-
forward as it was before handover. The building may now be occupied,
and under the operation of the client or end user. This may impose
constraints of access, noise, cleanliness and safety. In agreement with
the building operator, the occupants should be informed as to what is to
be done, when it will be done and how it will affect them.
Further defects may come to light during the defects liability period.
These should be added to the list of defects and handled in the same
way.
Performance failures are likely to prove the most problematic category

of defect to resolve and should therefore be given priority at the outset
of the defects liability period. Performance failures should be
investigated by appropriately qualified specialists and rectified as
quickly as possible if the confidence of the occupants is to be
maintained.
Workers attending at occupied premises for the purpose of carrying out

repairs or investigations into performance failures should be informed
of:
• their reason for attending site

• the time they are expected
• a contact point and person
• client safety, security and environmental requirements
• the degree of disclosure of their findings to the client or occupants
• the form of feedback report required covering their visit.
It is essential that the objectives of investigations are clearly defined and

understood by all parties if they are to produce the answers required.
Puzzling failures may warrant investigation on a number of different
fronts by specialists in different fields.
Managers having commissioned investigative reports should read them

immediately to ensure that the purpose of the visit has been discharged
properly, and to ascertain whether further or different action is
necessary.
The resolution of problems may require a prolonged period of fine

tuning during which regular meetings may need to be held to review
progress.
9.5.3 Final inspection at the end of the defects liability period

As the end of the defects liability period approaches, the design team
and project manager should:

HANDOVER SECTION 9
carry out a final inspection of the project accompanied by the

client, the clerk of works (if appointed), and all relevant
contractors including the building services installer
complete a schedule of outstanding defects and deliver it to the
relevant contractor within 14 days of the expiry of the defects
liability period
arrange for a programme of remedial work with the agreement of
the client and lead contractor
carry out a further inspection after defects have been remedied
issue a certificate that defects have been made good when satisfied.
If performance failures have been given priority at the outset of the

defects liability period, as recommended, then the building services
defects recorded at the final inspection should hopefully consist of a
relatively small number of minor problems. Nevertheless, their
clearance will still require analysis, method and resourcing to an agreed
programme.
The protocols for attendance and reporting should be as previously

stated.
9.5.4 Post-handover variations

Clients may have a legitimate necessity to change aspects of the
building as soon as it is handed over. From their point of view, this can
best be achieved by issuing instruction for the work under the original
contract. However, this may raise contractual difficulties regarding
practical completion, insurances, the rendering of the final account and
the defects liability period.
It may therefore be preferable for the work to be carried out under a

simpler design and install arrangement involving a partnership between
the original designer and installing contractor. The works can be carried
out under the control and approval of the client's facilities manager.
9.6 FEEDBACK Feedback involves the acquisition analysis and dissemination of lessons
learned from the project.
It may be in response to a client requirement, or it may be initiated

within any of the project participants.
Structured forms of feedback include:

• in-house appraisal
• debriefing
• close out reports
• post-occupancy evaluations.
A more detailed description of the various mechanisms of feedback and

how they may be implemented is given in:
A Route to Continuous Improvement in Construction. Post-Project

Audit. Construction Round Table. 1996.
BSRIA. Application Guide Feedback on Design (in preparation
at time of writing).

HANDOVER SECTION 9
These would be carried out within individual organisations with the

purpose of appraising their performance on a project. The findings
would be used internally to modify and improve working procedures.
The scope of subjects covered would depend on the nature of the

organisation and the particular project under review. In general, in-
house reviews are likely to cover, in varying degrees of detail:
• performance against cost and programme targets

• communications with other parties
• performance of staff
• quality of work
• the success of project management procedures
• the handling of disputes.
9.6.2 Debrief
It may be a requirement of the contract that a debrief meeting is held to
which members of the project team are invited. It is essential that such
meetings are given clear objectives and held with the full co-operation
of all of the parties. A "no-blame" policy must be agreed to ensure the
most open possible discussion of the problems and difficulties
encountered.
The debrief can address any aspect of the project design, construction,
and management including:
• communications with client

• communication between design team members
• communications with planning supervisor
• communications between design team and contractors
• design team programming
• quality of drawings and specifications
• cost planning and final costs against budget
• meeting completion dates
• quality of project management
• quality of site management
• health and safety compliance
• quality of installation work
• effectiveness of installation programming
• co-operation of contractors in settling claims
• co-operation over material for health and safety file
• quality of final installation.
9. 6.3 Close out reports

Close out reports may be authorised by the client or may be a
requirement of a construction management or management contractor's
quality management system.
Typical contents lists for close out reports which might be produced by
building services designers and installers are included as Appendix A9.

HANDOVER SECTION 9
9.6.4 Post-occupancy evaluation

Repeat clients may sometimes require a longer term assessment of the
performance of their building so that lessons can be learnt for future
projects. This normally requires a greater input of resources to provide
an on-going assessment of the project and finished building.
Over the years of occupancy, data can be gathered on matters such as

comfort levels, the performance of controls, maintenance problems,
energy efficiency, and environmental performance. This information
can be fed back to the project teams for new projects so that priorities
can be modified to ensure that past errors are avoided, and better quality
and value are achieved.

BIBLIOGRAPHY SECTION 10
10 BIBLIOGRAPHY
10.1 REFERENCED The following publications are referenced within the main text of this
MATERIAL guide as the principal sources of information.
• CIRIA Special Publication 117. Value by Competition - A Guide to

the Competitive Procurement of Consultancy Services for
Construction. 1994. ISBN 0860 17 414X
• The RIBA Architect's Job Book, Sixth Edition, 1995.
ISBN 18 5946 00 70
• EPSRC, IMI (Salford University). Generic Design and Construction
Process Protocol
• The Construction Industry Board (CIB). Selecting consultants for
the team: balancing quality and price. ISBN 0 7277 2543 2
• The Construction Industry Board (CIB). Briefing the Team.
ISBN 0 7277 2541 6
• The Construction Industry Board (CIB). Constructing Success.
ISBN 0 7277 2541 6
• CIRIA SP113. Planning to Build? - A Practical Introduction to the
Construction Process. 1995. ISBN 0 86017 433 6
• The Construction Industry Board (CIB). Partnering in the Team.
ISBN 0 7277 25513
• BSRIA, A Design Briefing Manual. Application Guide AG1/90.
ISBN 086022 286-7
• BSRIA, Value Engineering of Building Services. Application Guide
AG15/96. ISBN 0 86022 450 3
• CIRIA SP129. Value Management in Construction - A Client's
Guide. 1996. ISBN 0 86017 452 2
• The Chartered Institute of Building. Code of Practice for Project
1996. ISBN 0582 276 802
• BS 7000 : Part 4. Design Management Systems. BSI. 1996.
ISBN 0580 25318
• HSC, Managing construction for health and safety. Approved Code
of Practice. L54, 1995. ISBN 0 7176 0792
• HSC, Designing for Health and Safety in Construction. 1995.
ISBN 07176 08077
• CIBSE TM20, Health, Safety and Welfare in the built environment.
1995. ISBN 0900 953 705
• CIRIA Report 166 CDM Regulations - Work sector guidance for
designers. ISBN 0860 17 4646
• HSE, A guide to managing health and safety in construction. 1995.
ISBN 0 7176 07550
• BSRIA. The CDM Regulations Health and Safety File. Application
Guide AG7/97. ISBN 0 86022 459 7
• BSRIA. Standard Specification for CDM. Technical Note TN9/97.
ISBN 086022 4422
• BS 1192: Construction Drawing Practice, Part 5, Guide for
Structuring of Computer Graphic Information. BSI. 1990.
ISBN 0580 182 770
• The Construction Round Table. The Quality Control of Handling
Project Data through a Consistent Approach to Design Management
and Procedures. 1996. ISBN 0952 77 526

• CCPI, Production Drawings - a code of procedure for building

works. ISBN 0951 266 217
• BSRIA. Design Information Flow. Technical Note TN 17/92.
• ISBN 086022 300 0
• Wild L. J. Site Management of Building Services Contractors,
E & FN Spon, London 1997. ISBN 0419 20450 4
• CIRIA Special Publication 98. Environmental Handbook,
construction phase. ISBN 086017 378X
• BSRIA. Environmental Code of Practice for Buildings and their
Services. ISBN 086022 3671
• HSE, Health and Safety for small construction sites.
ISBN 07176 11 434
• HSE, Essentials of Health and Safety at Work. 1994.
ISBN 07176 0716
• Wild, L. J. Commissioning of HVAC Systems Division of
Responsibilities. BSRIA Technical Memorandum TM1/88.
ISBN 086022 2071
• BSRIA. The Allocation of Design Responsibilities for Building
Engineering Services - a code of conduct to avoid conflict.
Technical Note TN21/97. ISBN 086022 4740
• BSRIA. Handover Information for Building Services.
Technical Note TNI5/95. ISBN 086022 4163
10.1.1 Contact list for referenced material

Extracts from each of the aforementioned publications are reproduced
with the kind permission of the following organisations from whom
copies can be obtained. (It should be noted that, apart from the CIBSE,
none of the named organisations have collaborated in the development
of this handbook).
CIRIA RIBA Publications

6 Storey's Gate Finsbury Mansion
Westminster 39 Moreland Street
LONDON LONDON
SW1P3AU EC1V8BB
Tel: 0171 222 8891 Tel: 0171 251 9910
CIB publications available from: BSRIA

The Book Sales Department Old Bracknell Lane West
Thomas Telford Services Ltd BRACKNELL
1 Heron Quay Berkshire
LONDON RG12 7AH
E14 4JD Tel: 01344 426511
Tel: 0171 665 2464
EPSRC IMI Generic Design and British Standards Institution

Construction Process Protocol 389 Chiswick High Road
available from: LONDON
R. Cooper/M. Keglioglon W4 4AL
Centenary Buildings Tel: 0181 996 9000
Salford University {Extracts from BS7000: Part 4:1996
Penn Street are reproduced with the permission of
Salford M3 6EQ BSI under licence n°- PDM998 0501).
Tel: 0161 295 6174

HSE Publications available from: CIBSE

Her Majesty's Stationery Office Delta House
St Clements House 222 Balham High Road
2-16 Colegate LONDON
NORWICH SW12 9BS
NR3 1BQ Tel: 0181 675 5211
Tel: 01603 723004
Site Management of Building Services Contractors by L J Wild

available from:
Routledge Customer Services
International Thomson
Publishing Services Ltd
Chesiton House
North Way
ANDOVER
Hampshire
SP10 5BE
Tel: 01264 342939
1 0 . 2 BACKGROUND The following material is recommended background information

MATERIAL relating to the subject matter covered.
Design team appointment
1. Banwell. The Wasted Years. Anon. Article, Building 29 January

1988
2. Construction Industry Council. Project Management Skills - in
the construction industry. 1996.
3. Construction Industry Standing Committee/Construction Project
Management Group. Construction Project Management N/SVQ
Level 5. December 1995.
4. Institute of Management. Successful Time Management - in a
week. Hodder Headline Plc, Suffolk. 1993.
5. Uher, Thomas E. Report on Partnering in Construction. The
University of New South Wales. November 1994.
6. Latham, Sir Michael. Interim report, Trust and Money. HMSO.
December 1993.
7. Treacey, Declan. Institute of Management, Successful Time
Management - in a week. Hodder Headline Plc, Suffolk. 1993.
8. Fryer, Barry and Marilyn. Article, The Human Side of
Construction Management, Building Technology and
Management. CIOB. May 1985.
9. Co-ordinating Committee for Project Information, Common
Arrangement of Work Sections (CAWS). Building Project
Information Committee. June 1987.
10. The Royal Institution of Chartered Surveyors/ The Building
Employers Confederation. Standard Method of Measurement
(SMM7). 1988.
11. The Association of Consulting Engineers. Conditions of
Engagement. 1995.
12. Hughes, Will and Murdoch, John. Building Contract Law.
Longman. 1992.

Inception to outline proposals
1. BS EN ISO 9000. Model for quality assurance in design

/development, production, installation and servicing.
2. Cornick T. Computer - Integrated Building Design.
E & F.N. Spon, London. 1996.
3. Construction Industry Standing Committee (CISC)/Construction
Project Management Group (CPMG). Construction Project
Management N/SVQ Level 5. December 1995.
4. Latham, Sir Michael. Final Report. Constructing the Team.
HMSO. 1994.
5. RIB A. Plan of Work for design team operation. RIB A
Handbook. 1973.
6. Construction Round Table. Process Benchmarking for
Continuous Improvement, Front-End Project Planning.
April 1995.
7. Construction Round Table, Thinking about Building, 1995. ©
The Business Round Table
8. Clamp H. The Shorter Forms of Building Contract. 3rd Edition,
Blackwell Scientific Publications.
9. CIRIA. Report 133. A Guide to the Management of Building
Refurbishment. 1994.
10. Bennett J., Gray C, Hughes W. The successful management of
design. University of Reading.
11. PSA. Costs-in-use tables. 3rd Edition. HMSO. 1991.
12. EEO. Best Practice Programme - Good Practice Guides -
various guides on energy targets, usage and efficient design
Energy Efficiency Office. The Building Research Energy
Conservation Support Unit (BRECSU) and Energy Technology
Support Unit (ETSU).
13. Pavey N. Rules of Thumb. BSRIA Technical Note TN 17/95.
ISBN 0866022 419 8
14. BS 7750:1992. Specification for Environmental Management
Systems.
15. CIRIA Special Publication 120. A Client's Guide to Greener
Construction. The Construction Industry Research and
Information Association. 1995.
16. Halliday S. Environmental Code of Practice for Buildings and
their Services. 1994. ISBN 0 86022 361 1
17. CIRIA Special Publication 97. Environmental Handbook for
Building and Civil Engineering Projects: Design and
Specification. The Construction Industry Research and
18. CIOB Occasional Paper No 49. Building a Greener Future -
Environmental Issues Facing the Construction Industry. The
Chartered Institute of Building. 1991.
19. DOE Environmental Action Guide. Advisory Notes, 1-A Guide
to Published Advice on Green Building and Estate Management.
Department of the Environment 1993.
20. BRE, BREEAM. Building Research Establishment
Environmental Assessment Method. Methods available for
various building types. The Building Research Establishment
21. BRESCU, SAP. The Government's Standard Assessment
Procedure for energy rating of dwellings. The Building Research
Energy Conservation Support Unit (BRECSU). 1994.

22. CIRIA. Special Publication 98. Environmental Handbook for

Building and Civil Engineering Projects: Construction Phase.
The Construction Industry Research and Information Association.
1994.
23. ACE. Conditions of Engagement. The Association of Consulting
Engineers. 1995.
Outline proposals to detailed design
1. RIB A. Plan of work for design team operation. RIB A

Handbook. 1973.
2. Latham, Sir Michael. Final Report. Constructing the Team.
HMSO. 1994.
3. Mottram R. Team Skills Management. Journal of Management
Development 1.1. 1982
4. BS8207:1985. Code of Practice for Energy Efficiency in
Buildings. 1985.
5. CIRIA. Special Publication 97. Environmental Handbook for
Building and Civil Engineering Projects: Design and
Specification. The Construction Industry Research and
6. Co-ordinating Committee for Project Information, Common
Arrangement for Works Sections (CAWS). Building Project
Information Committee. June 1987.
7. Wild L. J. Design Information Flow. BSRIA. Technical Note
TN 17/92. ISBN 0 86022 300 0
8. Parsloe C. Overengineering in Building Services. BSRIA
TR 21/95. ISBN 0 86022 423 6
9. Jones T. J., Potter I. N. Ventilation Heat Losses in Factories and
Warehouses. BSRIA Technical Note TN 7/92.
ISBN 0 86022 296 9
10. Hejab M., Parsloe C. Small Power Loads. BSRIA Technical
Note TN 8/92. ISBN 0 86022 340x
11. Parsloe C. Design for Maintainability. BSRIA Application Guide
AG 11/92. ISBN 0 86022 308 6
12. Hejab M., Parsloe C. Space Allowances for Building Services
Distribution Systems - detail design stage. BSRIA Technical
Note TN 10/92. ISBN 0 86226 350 7
13. Hejab M., Parsloe C. Space and Weight Allowances for Building
Services Plant - inception stage design. BSRIA Technical Note
TN9/92. ISBN 0 86022 345 0
14. PaveyN. Rules of Thumb. 2nd Edition. BSRIA Technical Note
TN 17/95. ISBN 0 86022 419 8
15. Co-ordinating Committee for Project Information, Project
Specification -a code of procedure for building works. Building
Project Information Committee. December 1987.
16. Standard Method of Measurement of Building Works. Seventh
Edition. Authorised by agreement between the Royal Institution
of Chartered Surveyors and the Building Employers
Confederation. 1988.
17. Co-ordinating Committee for Project Information, Production
Drawings. A code of procedure for building works. Building

Cost and value
1. RICS. Quantity Surveyor's Practice Pamphlet No.2, Pre-

contract Cost Control and Planning. The Royal Institution of
Chartered Surveyors. 1981/82.
2. Spons. Mechanical and Electrical Services Price Book.
E. & F. N. Spon.
3. Wessex Engineering Services Price Book.
4. Pasquire C, Swaffield L. A critique of M&E services cost
planning: existing methods and published information.
University of Loughborough. 1996.
5. de BONO Edward. Six Thinking Hats. Penguin. 1990.
6. Mottram R. Team Skills Management. Journal of Management
Development 1.1. 1982.
7. Institute of Management. Management Checklists. Burston
Distribution Services, Bristol.
Managing the design process
1. BRE Quality Control on Building Sites. Current Paper 7/81.

Building Research Establishment.
2. Bennett J., Gray C, Hughes W. The Successful Management of
Design. University of Reading.
3. Wild L J. Design Information Flow. BSRIA Technical Note
TN 17/92. ISBN 0 86022 300 0
4. LO, Elaine Yee Ling. Design Management Using Information
Technology. Thesis M5/95. University of Reading.
5. Cornick T. Computer Integrated Building Design.
E. & F. N. Spon, London. 1996.
6. BS 1192 : Part 1:1984. Construction drawing practice :
Recommendations for general use.
7. Co-ordinating Committee for Project Information. Project
Specification -a code of procedure for building works. Building
Tender process
1. Latham Sir Michael. Constructing the Team, Final Report.

HMSO. 1994.
Quality, safety and environmental plans
1. The Construction, Design and Management Regulations. 1994.

2. BS 5750: Quality Systems.
3. BS4778: Part 1: 1987. Quality Vocabulary Standard.
4. The National Association of Lift Makers. Principles of Planning
and Programming a Lift Installation. London 1994.
5. The Heating & Ventilating Joint Safety Committee. Site Safety -
A Guide to Legal Responsibilities for Health, Safety and Welfare.
London 1994.
6. CIBSE. Health, Safety & Welfare -Guidance for Building
Services Engineers. TM 20. London 1995.
7. The Health & Safety Commission. Approved Code of Practice
Managing Construction for Health and Safety. London 1995.

8. The Health and Safety Commission. Designing for Health and

Safety in Construction. London 1995.
9. Nanayakkara R. The CDM Regulations - The Health and Safety
File. BSRIA Application Guide AG7/97. ISBN 086022 459 7.
10. The Health & Safety Executive. Essentials of Health & Safety at
Work. The Stationery Office, London..
11. Waterman, Lawrence, What is 'Risk Assessment' anyway. Health
and Safety at Work. January 1993.
12. The Heating & Ventilating Contractors'Association. Risk
Assessment Manual. London 1994.
13. Hascom Network Ltd. The EC A Risk Assessment Manual.
Hascom, Southampton.
14. The National Association of Plumbers. Health and Safety
Sheets 1 & 2.
15. HVCA. TheHVCA COSHH Manual, Vols. 1 &2. London.
1990 & 1991.
16. The Control of Substances Hazardous to Health Regulations.
(COSHH). 1994.
17. The National Association of Lift Makers. Distance Learning
Course, Unit 9, Safety and Health - Managing Safely. London.
18. HVJSC. H & VSafety Guide. London 1994.
19. CIRIA. Environmental Handbook for Building and Civil
Engineering Projects, Design & Specification. Special
Publication 97. London. 1994.
20. CIRIA. Environmental Handbook for Building and Civil
Engineering Projects, Construction Phase.
Special Publication 98. London. 1994.
21. BSRIA. Environmental Code of Practice for Buildings and Their
Services. 1994.
22. The Environmental Protection Act. 1990.
Planning and programming
1. The Chartered Institute of Builders. Programmes in Construction

- a guide to good practice. CIOB.
Supervision and inspection
1. The Association of Consulting Engineers. Conditions of

Engagement. Agreement B [2], : London. 1995.
2. National Association of Lift Makers. Principles of Planning and
Programming a Lift Installation. London. 1994.
Assessing and reporting construction progress
1. Pinder G. J. Construction Management in Principle and

Practice. Longman. 1971.

TOOLBOX
TOOLBOX
TOOLBOX
Toolbox Tl Weighted evaluations

Toolbox T2 Brainstorming
Toolbox T3 Gantt diagrams
Toolbox T4 PERT diagrams
Toolbox T5 Risk assessments for safety hazards

TOOLBOX T1
TOOLBOX T1 Weighted evaluations
This technique can be used as a method of choosing between different

options such as alternative tender returns or alternative design solutions.
The idea is to score each option against a set of weighted criteria which
TOOLBOX T1
reflect the project priorities.
Example 1 (based on the approach described in CIB publication

"Selecting Consultants for the Team: Balancing Quality and Price"):
It may be decided that tenders are to be assessed against a quality/price

ratio of 80/20, ie 80% on quality and 20% on cost.
Each tender return would be assessed against, say, four quality criteria,
each of which has a different level of importance as reflected by a
percentage score allocated to each criterion.
Tender prices would be scored on the basis that the lowest price scores
100 points and that one point is deducted from each of the other tenders
for each percentage point their price is above the lowest.
Table T. 1 shows a hypothetical example of a weighted assessment of a

tender return.
Tender Assessment Sheet

Quality weighting: 80%
Price weighting: 20%
Quality criteria: Project Marks awarded Weighted marks
weighting (out of 100)
Track record 25% 80 20
Technical ability 25% 80 20
Table T.1 Management ability 20% 50 10
Weighted evaluation Proposed method 30% 60 18
of tenders Total: 68
Price criterion:
Tender price £55,000
Price score 92 (ie 8% above lowest)
Overall assessment:
Quality weighting x quality score 80% x 68 = 54.4
Price weighting x price score 20% x 92 = 18.4
Overall score: 72.8
It may be that a minimum quality threshold is set. Unless this minimum

score is achieved, the price should be ignored and the tender discarded.
Previous page
is blank
TOOLBOX T2
TOOLBOX T2 Brainstorming
Brainstorming is a method of generating lots of alternative ideas,

strategies or solutions within a short period of time. A group is able to
generate alternative strategies far more quickly due to the cross-
fertilisation of ideas. An idea from one member of the group stimulates
TOOLBOX T2
ideas from others which in turn leads to more ideas from the one who
initiated the original idea.
The brainstorming session should be led by a facilitator and is likely to

follow the following stages:
Define the objectives: Ensure in advance that the problem or function

under consideration has a number of possible solutions, and that
imagination is required to think of them. It helps to keep the scope of
the subject matter as narrow and well defined as possible to ensure that
the discussion doesn't become too broad.
Review the problem: Re-analyse the problem to ensure that everyone

knows what they are trying to achieve. Try re-wording the problem in
different ways to see if this helps the understanding of it.
State the rules: The participants should know the rules of the
brainstorming session before it commences, ie
• success will be measured in terms of quantity of ideas, not

necessarily quality of ideas
• suspend judgement - no criticism or attempt to evaluate ideas is
permitted
• no idea is too outrageous - start with the obvious alternatives, then
consider wilder and wilder possibilities until all ideas are exhausted.
Brainstorm using the following techniques:
• set a target number of ideas which must be achieved.

• cross-fertilise - focus on one idea and see if any other ideas follow on
from it.
• call for occasional short breaks to allow participants to collect their
thoughts.
Once the brainstorming is complete the ideas must be evaluated.
The first step is to eliminate any ideas which are obviously unworkable
or which don't achieve the objectives and functions agreed at the outset.
Next, refine the list further by considering for each option in turn:
• how could this idea fail?

• what will it cost?
• what cost implications will it have for other parts of the project?
• will it be acceptable to the client, managers, end users etc?
• is it legal?
• is it practical?

TOOLBOX T2
Once each idea has been subjected to the above analysis the end result
should be a list of workable alternatives. These alternatives can be
given a category agreed by all the participants. These categories could
be as follows:
Category A Should be developed in the short term
TOOLBOX T2
Category B For possible development in the medium term
Category C Not to be pursued.
The alternatives in categories A and B could be carried forward for

detailed analysis.
Thinking hats approach:
The thinking hats approach was developed by Edward De Bono and is

described in greater detail in his book "Six Thinking Hats".
The approach requires role playing, something not everyone is

comfortable with. The benefit of this is in creating a better atmosphere
in which individuals cannot be accused of being negative or flippant,
even if those are their normal characteristics.
Each of the thinking hats has a colour: white, red, black, yellow, green,
blue. The colours provide names for the hats.
The colour of each hat is related to its function:
White Hat White is neutral and objective. The white hat is concerned
with objective facts and figures.
Red Hat Red suggests anger (seeing red), rage and emotions, The red
hat gives the emotional view.
Black Hat Black is gloomy and negative. The black hat covers the
negative aspects - why it cannot be done
Yellow Hat Yellow is sunny and positive. The yellow hat is optimistic
and covers hope and positive thinking.
Green Hat Green is grass, vegetation and abundant, fertile growth. The
green hat indicates creativity and new ideas.
Blue Hat Blue is cool, and it is also the colour of the sky, which is
above everything else. The blue hat is concerned with control and the
organisation of the thinking process. Also the use of the other hats.
Remembering the function of each hat is easy if you remember the

colour and the associations. The function of the hat will then follow.
You may also think of them as three pairs:
White and red
Black and yellow
Green and blue.

TOOLBOX T2
In practice the hats are always referred to by their colour and never by
their function. There is good reason for this. If you ask someone to
give their emotional reaction to something, you are unlikely to get an
honest answer because people think it wrong to be emotional. But the
term red hat is neutral. You can ask someone to "take off the black hat
for a moment" more easily than you can ask that person to stop being so
TOOLBOX T2
negative. The neutrality of the colours allows the hats to be used

without embarrassment. Thinking becomes a game with defined rules
rather than a matter of exhortation and condemnation.

TOOLBOX T3
TOOLBOX T3 Gantt diagrams
A Gantt chart is a horizontal bar chart which displays the time

relationship of the steps in a project. To complete a Gantt chart each of
the steps required to complete the project must be listed together with
TOOLBOX T3
an estimate of the time required for each step. A completed Gantt chart
will indicate the minimum total time for the project, the proper
sequence of events, and which activities can be under way at the same
time. When there is flexibility in the timing of a step this is indicated
by a broken bar indicating slack time into which the activity could
move without affecting the overall programme.
Figure T 3 . 1 Gantt diagram
Step Time (days):

5 10 15 20 25 30 35 40 45
1
2
3
4
5
6

TOOLBOX T4
TOOLBOX T4 PERT diagrams
Gantt diagrams are limited in their ability to show the interdependency

of activities. When there are many interdependent activities to be
managed, a PERT diagram may be a better choice. PERT stands for
Program Evaluation and Review Technique. There are three
TOOLBOX T4
components:
• events are represented by circles

• activities are represented by arrows connecting the circles
• non-activities are represented by dotted arrow lines
A non-activity between two events indicates that the two events are
dependent on one another although there is no specific activity linking
the two.
The most sophisticated PERT diagrams are drawn on a time scale, with
the horizontal projection of connecting arrows indicating the amount of
time required for each activity. As for Gantt charts, slack time is
indicated by a broken arrow.
Figure T4.1 Example of a PERT diagram
3 5
1 4 7 8
2 6
0 1 2 3 4 5 6 7 8 9 10 day

TOOLBOX T5
TOOLBOX T5 Risk assessments for safety hazards

Evaluate the likelihood of a particular hazard being realised:
TOOLBOX T5
The following rankings may be used
Certain (almost 100% certainty) - level 7

Very likely (near certainty) - level 6
Likely (above average) - level 5
Fifty/fifty chance - level 4
Unlikely (below average) - level 3
Extremely unlikely (near negligible) - level 2
None or negligible chance (almost 0%) - level 1
Identify the severity of the outcome if the hazard is realised:
The following ranking process may be used
Multiple death - level 5

Single death - level 4
Major injury or ill-health resulting in death, disablement
or long-term health consequence - level 3
Minor injury, illness or other short-term health effects -
level 2
No significant health and safety consequences -
level 1
(provided there is no domino effect)

TOOLBOX T5
Map out the level of risk on a grid of likelihood versus severity (see
Figure T5.1).
F i g u r e T 5 . 1 Map of likelihood versus severity, indicating acceptable, tolerable and as low as

reasonably practicable (ALARP) regions
TOOLBOX T5
RISK UNACCEPTABLE
4
ALARP
3
2 ALARP
1 RISK TOLERABLE
1 2 3 4 5 6 7
LIKELIHOOD
Recognise the level of risk as a combination of the likelihood and

potential harm
Identify those risks that:
• cannot be tolerated
• must be reduced as much as reasonably practicable
• may be safely left.
Note: It is conventional to use numerical scales to rank likelihood and

severity. However, there is no standard approach to a
numerical scale for this purpose. The above is one of the many
scales and risk evaluation techniques used by the industry. Note
that other BSRIA publications may use different scales for other
applications of risk evaluation.
Statistical probabilities can also be used as a measure of likelihood.

There are HSE-published figures for tolerable levels of risk for certain
industries: eg The Tolerability of Risks from Nuclear Power Stations
1988. However, statistical information about construction accidents and
dangerous occurrences is rarely available, and often the best course of
action is to carry out a subjective evaluation based on experience or
advice from safety experts.

PRO FORMA
PRO FORMA
PRO FORMA
Pro forma PI Check-lists for design responsibilities

Pro forma P2 Value analysis techniques
Pro forma P3 Design information matrix

PROFORMA
PRO FORMA P1 Check-lists for design responsibilities
The following pages contain lists of duties which need to be allocated to

one or other party involved in the design process.
PRO FORMA P1
Previous page
is blank
Project: | Design unit leader: l Date:
1. GENERAL DESIGN ACTIVITIES
Responsibility:
Ref Design Activity Des Inst Oth Additional explanation:
1.1 Production of Drawings
Sketch drawings
Schematic drawings
Detailed design drawings
Co-ordination drawing
Installation drawings
Installation wiring drawings
Shop drawings
Manufacturer's drawings
Manufacturer's certified drawings
Record drawings
Builders' work drawings
Specialist drawings
1.2 Spatial co-ordination

(ie overall responsibility for resolving difficult
spatial clashes)
1.3 Confirmation of plant or system sizing

Note: The designer is responsible for all
PRO FORMA P1
installed plant and system

sizes/capacities other than for those
items which are identified below.
These items require final confirmation
by the party indicated.
Plant items/systems:
(to be completed by designer)

Installer (Inst):
Other (oth):
© BSRIA
Project: | Design unit leader: | Date:
Responsibility:
2.1 Review the client brief and identify those

client priorities which will influence the choice
of plant. This may include consideration of
factors such as initial cost, life expectancy,
reliability maintainability and environmental
impact.
2.2 Identify project limitations which may

influence the choice of plant. This mav include
consideration of factors such as space and weigh
limitations and the need to comply with health and
safety legislation.
2.3 Where appropriate, consider the possible

application of packaged system solutions (ie
plant and systems designed and supplied as a
package).
2.4 Prepare a description of the main performance

requirements of plant items. This will involve
establishing provisional values for the nominal
capacities of plant, the range of operating duties
anticipated, diversities applicable on maximum
calculated loads and the requirements for stand-
by capacity.
2.5 Prepare descriptions of essential desiqn

features for plant items. This mav include
providing details of the expected quality of
construction and finishes, any essential energy
saving features, the acoustic performance, the
availability of spares and the compatibility of the
plant with other equipment.
2.6 Select on a provisional basis those

manufacturers' products which most closely
meet the project requirements of performance,
quality and budget as established from
previous duties 2.1 - 2.4.
2.7 Evaluate the impact of provisional plant

selections on the overall buildinq desiqn.
Advise on the need to amend the buildinq
layouts or structural details accordinqlv.
Confirm provisional plant selections.
2.8 Advise on the need for pr-selection of plant.

Where appropriate, invite quotations, report upon
offers received and select equipment.
2.9 Incorporate provisional and ore-selected plant

makes, models and duties in the specification.
In the case of provisional selections include the
names of alternative products which comply with
the selection criteria.
© BSRIA
Responsibility:
2.10 Prepare a report in consideration of any
alternative plant selections proposed
subsequent to the issue of the tender
documents. Advise whether the alternative
complies with the selection criteria established
from duties 2.1-2.4.
2.11 Advise whether the alternative suggested is

acceptable.
2.12 Fully re-evaluate all parts of the services and

building desiqn which mav be affected by
acceptance of alternative plant selections.
2.13 If accepted, amend the desiqn to incorporate

the alternative item of plant.

nstaller (Inst):
PRO FORMA P1
Other (oth):
© BSRIA
3. SELECTION AND APPOINTMENT OF SPECIALIST DESIGNERS
Responsibility:
3.1 Review the client brief and identifv those

client requirements which will necessitate
design input from a specialist designer.
sub contractors or supplier, and the timing
of their appointment.
3.2 Define the essential performance

requirements of systems to be designed by
a specialist. This may involve established
numerical criteria for the nominal capacities of
plant, the range of operating duties anticipated
and consideration of the requirements for
submitting samples and prototypes.
Option 1 - Appointment Before Main Tender
3.3 Define the selection criteria with which

specialist companies must comply.
PRO FORMA P1
Prepare tender documentation defining the
design work required from the specialist.
Carry out pre-qualification. Invite and
obtain tenders, report on tenders received
and arrange appointment of specialist.
3.4 Exchange information with the selected

specialist to incorporate their design into
overall design.
3.5 Arrange the preparation of a programme for

the specialist's construction activity for
incorporation into the main contract tender
documentation.
3.6 Make appropriate arrangements for the

specialist's ore-determined costs to be
incorporated within the main tender
documentation.
Option 2 - Appointment After Main Tender
3.7 Contribute to the design of the building.

agreeing provisional allowances for the
services installations to be designed later
by a specialist.
3.8 Define the selection criteria with which

specialist companies must comply. Identify
companies which meet these criteria and
arrange for names to be included within the
main tender documents as appropriate.
3.9 Prepare a description of the design.

fabrication and installation Input required
from the specialist company and arrange
for inclusion within the main tender
documentation.
© BSRIA
3. SELECTION AND APPOINTMENT OF SPECIALIST DESIGNERS
Responsibility:
3.10 Advise the contractor within the main
tender documents of the time required to
review submissions from specialist
companies in order to fulfil dutv 3.13.
3.11 Advise tenderers of siqnificant allowances

or constraints incorporated in the main
desiqn that mav affect the specialist
design.
3.12 Advise tenderers and report upon the

specialist designer's proposals within the
main contract tender.
3.13 Prepare a report in consideration of anv

alternative plant selections or
arranqements proposed subsequent to the
issue of the tender documents. Advise
whether the alternative complies with the
performance criteria established from duties
3.1-3.2. Identify the estimated cost and
programme for carrying out a detailed re-
evaluation of the design to incorporate the
alternative proposals.
3.14 Monitor the specialist design input for

compliance with the design intent.
3.15 Evaluate the impact of the specialist design

on those parts of the overall design left
provisional. Amend and complete the design
as appropriate.
3.16 Review the contractor's programme to

ensure that appropriate time allowance has
been made for the main designer to fulfil
his obligations as laid out above.

nstaller (Inst):
(Other (oth):
© BSRIA
4. SPECIFYING SYSTEM COMMISSIONING ACTIVITIES
Responsibility:
DESIGN
4.1 Ensure that the selected systems will meet
the client's brief and that their
commissioning requirements are
compatible with any project restraint
concerning sectional handover/ phasing
4.2 Identify and incorporate into system

designs the essential components and
features necessary to enable the proper
preparation and commissioning of building
services.
4.3 Review all designs to ensure that systems

can be properly prepared, and are
commissionable.
4.4 Prepare the commissioning specification.
MANAGEMENT
4.5 Produce a commissioning method
statement and logic diagram for integration
into the building contractor's construction
and finishes programmes.
4.6 Produce a flushing. chemical cleaning and

water treatment method statement, logic
diagram and programme for integration
into the building contractor's construction,
commissioning and finishes programmes.
4.7 Attend commissioning meetings as

necessary OR arrange and chair
commissioning meetings as necessary.
4.8 Comment on the adequacy of systems for

commissioning as detailed on specialists'
drawings and manufacturers' shop
drawings prior to actual manufacture at
works. Ensure comments are incorporated
into finished products.
4.9 Carry out site inspections, to ensure that

the commissioning facilities are being
installed. Check compliance with specified
guides and standards.
4.10 Monitor the on-going progress of the

procurement, manufacture, installation and
commissioning of all plant items.
4.11 Assess the effects of any anticipated delays

to the services installation and the
completion of interfaces with the building
works critical to the commissioning
programme. Formulate strategies to
overcome potential delays.
© BSRIA
Responsibility:
4.12 Establish an aqreed set of pro forma
documentation relating to the
commissioning and testing of plant and
svstems.
4.13 Approve the proposed set of instruments

for the commissioning and testing works.
4.14 Ensure that the instrumentation is

periodically calibrated as necessary and
records retained.
4.15 Witness the flushing, cleaning and

treatment of svstems in accordance with
the commissioning specification.
4.16 Witness pre-commissioning activities in

accordance with the commissioning
specification.
PRO FORMA P1
4.17 a. Commission all systems to method, logic

and programme (see 4.5) and record
results.
b. Witness specified demonstration of system
commissioning results
4.18 Witness and record the specified

demonstration and testing of plant items
and svstems in accordance with the
commissioning specification.
4.19 Establish with the building contractor

procedures to allow the demonstration of
normal emerqency. shutdown and standby
mode operation of plant and systems.
4.20 Witness demonstration of same to

specified requirements.
4.21 Witness the partial load testing of plant to

the client and desiqner in accordance with
the commissioning specification.
4.22 Witness the operation of the BMS on site to

the specified requirements.
4.23 Witness the functional testing of all safety

interlocks in accordance with the
4.24 Witness the demonstration of acoustic

tests In accordance with the
4.25 Witness the operation of plant and systems

for specified periods of time to prove plant
reliability.
© BSRIA
Responsibility:
4.26 Produce commissioning report detailing
the results of the commissioning and
commenting on the performance of
systems.
4.27 Ensure that all plant settings are recorded,
including appropriate reference to plant
items. The records should be incorporated
within the operating and maintenance
manuals.
4.28
Accept completed systems.

Installer (Inst):
Other (oth):
© BSRIA
Project: I Design unit leader: I Date:
5. PRODUCTION OF HANDOVER INFORMATION
Responsibility:
5.1 Assist the client in developing an operating
and maintenance strategy. Advise on an
appropriate method of procuring maintenance
expertise and recommend the required
technical capabilities of operating and
maintenance staff.
5.2 Define the scope and content of operating

and maintenance manuals appropriate to
the size of project, the client's operating
and maintenance strategy and the technical
capability of the maintenance staff.
5.3 Define the requirement of record drawings

appropriate to the client's operating and
maintenance strategy.
5.4 Advise on the need for a specialist author

for production of operating and
maintenance manuals.
PRO FORMA P1
5.5 Advise on the need for a separate survey of

installed systems to facilitate production of
record drawings.
5.6 Prepare a specification for operating and

maintenance manuals. Specify the section
headings and required technical content of the
manuals.
5.7 Prepare a specification for record

drawings. Specify content, form of delivery
and the method of production of the drawings
to be produced.
5.8 Define what level of documentation,

commissioning results and other
information must be available prior to
practical completion and handover. Take
into account possible implications of phased
handover and partial possession.
5.9 Produce operating and maintenance

manuals in accordance with the specified
requirements.
5.10 Ensure that information needed for

inclusion in the operating and maintenance
manuals is obtained as the works progress.
Identify individual sources of information.
5.11 Establish target dates for when information

must be available to the author of the
operating and maintenance manuals.
Advise on timescales for production of
maintenance information relative to key dates
ie installation start date, setting to work, start
dates for testing and commissioning and
handover dates. © BSRIA
5. PRODUCTION OF HANDOVER INFORMATION
Responsibility:
5.12 Monitor the programme for production of
operating and maintenance manuals and
adjust dates to allow for progress of the
report.
5.13 Receive, inspect and comment on the

contents of the operating and maintenance
manuals in order to ensure compliance
with the specified requirements.
5.14 Modify and update operating details to

reflect commissioning results.
5.15 Accept the completed operating and

maintenance manuals on behalf of the
client.
5.16 Identify key dates and intervals at which

draft record drawings will be inspected.
PRO FORMA PI
5.17 Modify the record drawings as the works
progress so that all alterations from the
installation drawings are recorded as work
proceeds.
5.18 Inspect draft record drawings at agreed

intervals and comment on their content
with respect to the size and positions of
installed systems and plant.
5.19 Accept the completed record drawings on

behalf of the client.
5.20
Prior to handover, make recommendations
for the commencement and carrying out of
operation and maintenance during and
after the Defects Liability Period.

Installer (Inst):
Other (oth):
© BSRIA
PRO FORMA P2 Value analysis tools
PRO FORMA P2

B1 VALUE ENGINEERING REPORT ING FORM
Client: Project:
Value Management Stage: Reporting Author: Date:
No. of VE Proposals Under Consideration: Time Period Covered:
Value Engineering Proposal Estimated Estimated Proposal Evaluating Proposals Cost savings Cost
Item System/component Age of approved implemented achieved
(if available please show sketch. cost cost of cost savings
FAST Diagram and Decision Matrix) savings evaluation incurred to date to go
Agreed Action
Tick Participants:
Client Architect
Structural Building Project Cost
Facilitator Contractor
Sub- Sub- Specify Others:
PRO FORMA P2
PRO FORMA P2
B2 VALUE HIERARCHY FORM

Client: Project:
Value Management Stage: Facilitator: Date:
Mission Statement:
Primary Objective Second Order Objectives Third Order Objectives
Constraints Identified:
Tick Participants:
Structural Building Project Cost Sub- Sub- Specify Others:
B3 PRIORITY MATRIX/IMPORTANCE WEIGHTING FORM
Client: Project:
Please tick objectives being weighted Second Order Third Order
If third order objectives are being weighted state branch they come from (i.e. second order objective):
Objectives:
a) b) c)
d) e) f)
g) h) i)
a b c d e f g h i TOTAL SCORE Weighting
Scores: 1 = Equal or not as important. 2 = Slightly more important. 3 = Moderately more important. 4 = Considerably more important
Comments:
Tick Participants:
Engineer Services Eng. Manager Consultant Contractor contractor
PRO FORMA P2
PRO FORMA P2
B4 OVERALL WEIGHTING FORM

Client: Project:
Second Order Objectives Weighting Third Order Objectives Weighting Overall Weighting
Comments:
Tick Participants:
B5 DECISION MATRIX AND COST/WEIGHTED COMPARISON FORM
Client: Project:
DECISION MATRIX COST/WEIGHTED COMPARISON
Total Options Capital and Total Value for

Objectives a b c d e f g h i j k I m Weighted Ranking Lifestyle Costs Weighted Money
Factor (Estimate) Factor/Cost Ranking
Overall
Weighting %
Design Option 1
Design Option 2
Design Option 3
Design Option 4
Design Option 5
Design Option 6
Agreed Action:
Key: Objectives Options

a) g) 1.
b) h) 2.
c) i) 3.
d) i) 4.
e) k) 5.
f) l) 6.
Tick Participants: m)
PRO FORMA P2
PRO FORMA P2
B6 FUNCTIONAL ANALYSIS SYSTEM TECHNIQUE (FAST DIAGRAM) FORM

Client: Project:
Component or System under Consideration:
How Why
Ultimate Function Basic Functions Sub-Functions
List of most viable alternatives:

1. 2. 3.
4. 5. 6.
7. 8. 9
Tick Participants:
PRO FORMA P3
PRO FORMA P3 Design information matrix

Project: Design unit leader: Date:

R Disposal Systems
R1 Drainage
-rainwater pipework and gutters
-foul drainage above ground
-drainage below ground
-land drainage
-laboratory/industrial waste drainage
R2 Sewerage
-sewage pumping
-sewage treatment/sterilisation
R3 Refuse disposal
-centralised vacuum cleaning
-refuse chutes
-compactors/macerators
-incineration plant
S Piped Supply Systems
S1 Water supply
-cold water
-hot water
-hot and cold water (small scale)
-pressurised water
-irrigation
-fountains/water features
S2 Treated water supply
-treated/deionised/distilled water
-swimming pool water treatment
S3 Gas supply
-compressed air
-instrument air
-natural gas
-liquid petroleum gas
-medical/laboratory gas
S4 Petrol/oil storage
-petrol/oil - lubrication
-fuel oil storage/distribution
S5 Other supply systems
-vacuum
-steam
S6 Fire fighting, water
-fire hose reels
-dry risers
-wet risers
-sprinklers
-deluge
fire hydrants
Key: û = required, ü = issued

PRO FORMA P3

S7 Fire fighting - gas/foam
-gas fire fighting
-foam fire fighting
T Mechanical heating/cooling/refrigeration
systems
T1 Heat source
-gas/oil fired boilers
-coal fired boilers
-electrode/direct electric boilers
-packaged steam generators
-heat pumps
-solar collectors
-alternative fuel boilers
T2 Primary heat distributions
-primary heat distribution
T3 Heat distribution/utilisation-water
-medium temperature hot water heating
-low temperature hot water heating
-low temperature hot water heating
(small scale)
-steam heating
T4 Heat distribution/utilisation-
air" ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ " -warm air
heating" ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ " -warm
air heating (small
scale)" ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ ¨ " -local
heating units" ¨ ¨ ¨ ¨ ¨ ¨ ¨
T5 Heat recovery
-heat recovery
T6 Central refrigeration/distribution
-central refrigeration plan
-primary/secondary cooling distribution
T7 Local cooling/Refrigeration
-local cooling units
-cold rooms
-ice pads
U Ventilation/Air conditioning systems
U1 Ventilation/Fume extract
-general supply/extract
-toilet extract
-kitchen extract
-car parking extract
-smoke extract/smoke control
-safety cabinet/fume cupboard extract
-fume extract
-anaesthetic gas extract
U2 Industrial extract
-dust collection
Key: = required, = issued

PRO FORMA P3

U3 Air conditioning - all air
-low velocity air conditioning
-VAV air conditioning
-dula duct air conditioning
-multi zone air conditioning
U4 Air conditiioning - air/water
-induction air conditioning
-fan coil air conditioning
-terminal re-heat air conditioning
-terminal heat pump air conditioning
U5 air conditioning - hybrid
-hybrid system air conditioning
U6 Air conditioning - local
-free standing air conditioning units
-window/wall air conditioning units
U7 Other air systems
-air curtains
V Electrical supply/power/lighting systems
V1 Generation/Supply/HV distribution
-electricity generation plant
-HV supply/distribution/public utility supply
-LV supply/public utility supply
V2 General LV distribution/lighting power
-LV distribution
-general lighting
-general LV power
V3 Special types of supply/distribution
-extra low voltage supply
-DC supply
-uninterrupted power supply
V4 Special types of supply/distribution
-emergency lighting
- street/area/flood lighting
-studio/auditorium/arena lighting
V5 Electric heating
-electric underfloor heating
•local electric heating units
V9 General/Other electrical work
-general lighting and power (small scale)
W Communications/Security/Control systems
W1 Communications-speech/audio
-telecommunications
-staff paging/location
-public address/sound amplification
-centralised dictation

PRO FORMA P3

W2 Communication-audio-visual
-radio/TV/CCTV
-projection
-advertising display
-clocks
W3 Communications - data
-data transmission
W4 Security
-access control
-security detection and alarm
W5 Protection
-fire detection and alarm
-earthing and bonding
-lighting protection
-electromagnetic screening
W6 Control
-monitoring
-central control
-building automation
X Transport Systems
X1 People/Goods
-lifts
-escalators
-moving pavements
X2 Goods/Maintenance
-hoists
-cranes
-travelling cradles
-goods distribution/mechanised warehousing
X3 Documents
-mechanical document conveying
-pneumatic document conveying
-automatic document filing and retrieval

APPENDICES
APPENDICES
Appendix A1 Drawing definitions

Appendix A2 Briefing check-lists
Appendix A3 Common Procedures check-list for CAD operators
Appendix A4 Example design programme
Appendix A5 Two-stage tendering watchpoints
Appendix A6 Declaration of management strategy provisions for a
building services contract
Appendix A7 Example pre-construction programme
Appendix A8 Commissioning terminology
Appendix A9 Content of designer's and installer's close out reports

APPENDIX A1
APPENDIX A1 Drawing definitions

The following suggested definitions may be used to clarify the design
responsibilities incumbent on those required to produce each drawing or
document. These definitions are supported by drawn examples included
in BSRIA Technical Note TN22/97 "The Allocation of Design
Responsibilities - Example Drawings".
Line diagrams and layouts indicating basic proposals, location of main

items of plant, routes of main pipes, air ducts and cable runs in such
detail as to illustrate the incorporation of the engineering services
within the project as a whole.
Previous page
is blank
APPENDIX A1
A line diagram describing the interconnection of components in a

complex system. The main features of a schematic drawing should be
as follows:
The drawing may be a two-dimensional layout with divisions to

show the distribution of the system between building levels. It may
also be an isometric style layout indicating the distribution of
systems across individual floor levels. The drawing would not
necessarily be constructed to scale.
The drawing should include all functional components which make

up the system, ie plant items, pumps, fans, valves, strainers,
terminals, electrical switchgear, distribution and components.
Symbols and line conventions should be in accordance with a

recognised source of standard symbols, such as BS1192:Part 3:1987
"Recommendations for symbols and other graphic conventions".
The drawing should be labelled with appropriate pipe, duct and

cable sizes where these are not shown elsewhere.
The drawing should indicate components which have a sensing and

control function and should indicate the links between them, eg
building management systems, fire alarms and HV controls.
The major components indicated on the schematic drawing should

be identified so that their whereabouts in specifications and on other
drawings can be easily determined.
If required to form part of a commissioning specification, the

drawing should include all data essential to testing and
commissioning including volumetric flow rates, design total pressure
losses at equipment, locations of dampers, valves and flow
measuring stations, electrical fault levels, current ratings, short
circuit capacities and tripping times.
NB: Where a design consultant is appointed to produce a scheme

design for completion by a design and build contractor, only the first
three of these requirements are likely to be appropriate.

APPENDIX A1
Detailed design drawing
A drawing showing the intended locations of plant items and service

routes in such detail as to indicate the design intent. The main
features of detailed design drawings should be as follows:
Plan layouts should be to a scale of at least 1:100. Plant areas

should be to a scale of at least 1:50, and should be accompanied by
cross-sections.
The drawing will not indicate the precise position of services, but
it should nevertheless be feasible to install the services within the
general routes indicated. It should be possible to produce co-
ordination drawings or installation drawings without major re-
routing of the services.
Pipework should be represented by single line layouts. Ductwork

should be represented by either double line or single line layouts as
required to ensure that the routes indicated are feasible. Symbols
and line conventions should be in accordance with a recognised
source of standard symbols such as BS 1192:Part 3:1987
'Recommendations for symbols and other graphic conventions'.
The drawing should indicate the space available for major service
routing in both horizontal and vertical planes.

APPENDIX A1
A drawing showing the inter-relationship of two or more engineering

services and their relation to the structure and building fabric. The
main features of a co-ordination drawing should be as follows:
Plan layouts should be to a scale of at least 1:50 and be accompanied

by cross-sections to a scale of at least 1:20 for all congested areas.
The drawing should be spatially co-ordinated, ie there should be no

physical clashes between the system components when installed at
the scaled-off positions shown on the drawing. In areas where
tolerances are minimal, dimensions should be provided.
The spaces between pipe and duct runs shown on the drawing should
make allowance for the service at its widest point. Insulation,
standard fitting dimensions and joint widths should therefore have
been allowed for on the drawing.
The drawing should make allowance for those plant items specified
by the designer and identified in the design specification.
The drawing should make allowance for installation working space

and space to facilitate commissioning and maintenance.
The drawing should indicate positions of main fixing points and

supports where they have significance for the structural design.
The services should be arranged in such a way that it is possible to

demonstrate a feasible sequence of installation.
The drawing should be supported by "individual services drawings"

where these are desirable for clarity.
Plant room layouts should be to a scale of at least 1:20 and be

accompanied by cross-sections and elevations to a scale of at least
1:20.

APPENDIX A1
Installation drawing
A drawing based on the detailed design drawing or co-ordination

drawing with the primary purpose of defining that information needed
by the tradesmen on-site to install the works.
NB Where co-ordination drawings have not been prepared in advance,

responsibility for spatial co-ordination should be allocated to the
"lead" installing contractor who should be named in the tender
documents. All installation requirements should then be produced
taking into account the needs of co-ordination.
The main features of installation drawings should be as follows:
• Plan layouts should be to a scale of at least 1:50 and be

accompanied by cross-sections to a scale of at least 1:20 for all
congested areas.
• The drawing should be spatially co-ordinated, ie there should be no

physical clashes between the system components when installed at
the scaled-off positions shown on the drawing.
• Allowances should be made for inclusion of all supports and fixings

necessary to install the works.
• The spaces between pipe and duct runs shown on the drawing
should make allowance for the service at its widest point.
Insulation, standard fitting dimensions and joint widths should
therefore have been allowed for on the drawing.
• The drawing should make allowances for installation details

provided from shop drawings.
The drawing should make allowances for installation working

space, space to facilitate commissioning and space to allow on-
going operation and maintenance in accordance with the relevant APPENDIX A1
health and safety requirements.
• Allowances should be made for plant and equipment including those

which are chosen as alternatives to the designer's specified option.
• Dimensions should be provided where the positioning of the

services is considered to be important enough not to leave to the
tradesmen on site.
• Plant room layouts should be to a scale of at least 1:20 and be

accompanied by cross-sections and elevations to a scale of at least
1:20.

APPENDIX A1
Installation wiring diagram
Drawing showing the interconnection of electric components, panels etc

in accordance with the design intent indicated on the schematic
drawings and incorporating the details provided on manufacturers'
certified drawings.
Shop drawing
Drawing prepared by a fabricator or supplier for a particular project,

and which is unique to that project. Examples include suppliers'
drawings for ductwork, pre-fabricated pipework, sprinkler systems,
control and switchgear panels and associated internal wiring.
Manufacturer's drawing
Drawing provided by a manufacturer or supplier to indicate a typical

representation of the product, components or plant items to be supplied
for a particular project.
Manufacturer's certified drawing
Drawing provided by a manufacturer or supplier to indicate details of

the product, components or plant items and which the manufacturer or
supplier guarantees the supplied equipment will comply with.
Record drawing
Drawing showing the building and services installations as installed at

the date of practical completion. The main features of the record
APPENDIX A1
drawings should be as follows:
The drawings should provide a record of the locations of all the systems
and components installed including pumps, fans, valves, strainers,
terminals, electrical switchgear, distribution and components.
• The drawings should be to a scale not less than that of the

installation drawings.
• The drawings should have marked on them positions of access

points for operating and maintenance purposes.
• The drawings should not be dimensioned unless the inclusion of a

dimension is considered necessary for location.

APPENDIX A1
Builders' work drawing
Design stage definition:
A drawing to show the provisions required to accommodate the

services which significantly affect the design of the building structure,
fabric and external works. Also drawings (and schedules) of work to
be carried out by building trade, and required to be costed at the
design stage,
eg plant bases.
Installation stage definition:
Drawing to show requirements for building works necessary to

facilitate the installation of the engineering services (other than where
it is appropriate to mark out on-site).
Specialist drawing
A generic term for those drawings which may be supplied by a

specialist supplier or sub-contractor appointed to undertake design
duties in relation to a specific aspect of the project.
Tender drawing
Drawing produced for the purpose of obtaining competitive tenders.

The tender drawings will comprise an agreed set of drawings to suit
the complexity of the project, and which comply with the specific
drawing definitions included in this section.
APPENDIX A1

APPENDIX A2
APPENDIX A2 Briefing check-lists

The following information should be agreed between the client and
building services designer. In the absence of a detailed brief from the
client, it is likely that the designer will take the lead role in advising the
client on appropriate values for many of the information items asked for.
Building occupancy details
Taking into account future requirements of the building, give details of

the following:
• numbers of occupants in each part of the building

• anticipated maximum number of building occupants
• approximate proportion of male to female occupants
• typical patterns of occupancy in each part of the building, eg office
hours, continuous, intermittent or with a specified usage diversity.
Building plant performance details
• Does the client have a preference for any particular fuel?
• Taking into account future requirements of the building give the

following:
- list of gas burning equipment including kW loads, eg process
machinery, kitchen equipment etc
- list of electrical equipment including voltages and kW loads, eg
permanent plant items and portable equipment such as computers,
printers etc
- typical patterns of usage for equipment, eg continuous,
intermittent or with a specified usage diversity.
• Is there any machinery or equipment which requires supply from

other building services systems, eg water supply, compressed air,
vacuum, oxygen, nitrogen, steam, softened water etc?
• Is there any machinery, equipment or process which necessitates the

incorporation of special equipment, eg fume extract, dust extract etc?
• What noise levels are generated by the plant items?
Give details of any trade effluent from the plant or building as a

whole, and any requirements for treatment.
• Are there any activities within the building which require special
security arrangements?
Environmental performance criteria

• Give a room by room list of acceptable criteria (and tolerances where
appropriate) for:
dry bulb temperature
humidity
lighting level
noise rating
minimum fresh air requirement

APPENDIX A2
• Define summer and winter peak conditions

• Do you anticipate installing shading blinds to windows?
Building structure
• Do U-values comply with Building Regulations?

• Do you anticipate need for flexibility in room partitions?
• Will floors be carpeted?
• Will there be a need to move desks and computer terminals at regular
intervals?
• Is there a need for flexibility in the positioning of desks?
Environmental control
• Are there areas of the building which require close control, and if
so within what limits?
• Are there areas of the building which require direct control by the
occupants?
• Will there be vegetation/plants in the building which require
particular temperature control?
Water services supplies
• Is there an particular requirement for mains water supplies other than

for drinking water purposes?
• Is a chilled drinking water service required?
• Is there a need for water supplies to gardens for watering points,
fountains, car washing points etc?
• Is there to be a vehicle washing point?
• Is it proposed to install drinks vending machines?
Are there kitchens and catering areas to be serviced?
Is softened water required?
Drainage
• Will floor gullies be required in each toilet area to facilitate floor

washing?
Special areas
• Will there be any of the following special areas:
- kitchens
- conference facilities
- computer rooms
- clean rooms?

APPENDIX A2
Electrical Services
• Does the client have any preference in light fitting selection?

• Which items of equipment require a three-phase supply?
• Will each work place require its own power point?
• Will each work place need a telephone?
• Is there a need for external lighting in car parks, access roads,
security areas, etc?
• Are clocks to be installed?
• Is there a requirement for a public address system?
• Are there any special requirements for socket outlets?
• Are there any illuminated signs?
• Are there any electrically operated doors?
• Are there areas requiring flame proof electrical services?
Data cabling
• Taking into account future requirements, details are required for the
extent of data cabling to each work place, and the space allowances
necessary for trunking and cable management.
Stand-by Power
• Items of equipment which are essential to the operation of the

building will require stand-by power, eg lifts, part lighting, etc.
However, are there any other particular areas which require 24 hour
stand-by power?
Fire Services
• Fire prevention services will be in accordance with local authority

requirements. Are details of the requirements available?
• Where should the fire alarm control panel be installed?
Maintenance
• Would the client prefer the selection of low-maintenance equipment

wherever possible?
• Does the client wish to consider automated condition monitoring?
• What level of disruption to working areas is the client prepared to
accept for maintenance purposes?
• Does the client want the installing contractor to be responsible for
maintenance during the defects liability period?
• Would the client like to standardise component selection for main
items of equipment, eg light fittings, radiators, pumps, etc?
• Would the client like a labelling system for equipment and plant?
Miscellaneous
• Are there any special design standards to conform to?
• Is there a limit on the maximum chimney height for boiler flues?

APPENDIX A3
APPENDIX A3 Common procedures check-list for CAD

operators
Before you start work on the project:
Make-up a CAD Drawing Project Manual.
Complete this "CAD Operators Checklist" and include it in your CAD

Drawing Project Manual.
INTERFACES, ROLES AND RESPONSIBILITIES
Identify project personnel

Identify and record:
project participants to whom you will be sending design

information
project participants who will be sending you design information
context and purpose of all drawings sent and received
=> Record the system, platform and version number used by each
project participant noting any upgrades in the course of the project.
Essential Preparation
Set-up a working directory for the project on your hard disk.
Write a READ.ME to the project directory explaining the directory

structure and contents for the project.
Confirm that all project participants have the same understanding of

"drawing", "file" and "model" as you.
List all operating procedures which relate to the project.
Record the contact details of the quality manager.
Format and use of CAD data

Identify the different types of data exchange necessary on the
project.
Record all CAD system native file formats that will be used.
FILE AND DRAWING STRUCTURES
General file management
Check document management procedures.
Check that all drawing files are correctly structured.
Confirm use of revision status.

APPENDIX A3
Naming conventions
Agree a "file naming convention" for the project.
Record the "file naming convention" in the CAD Drawing Project

Manual.
Agree a common "layering convention" for the project.
Record all "layering conventions" in the CAD Drawing Project

Manual.
Do you intend to exchange CAD data with a system using a different

layering convention to your own?
Produce a "map" cross-referencing layer names.
Record the layer cross reference in the CAD Drawing Project

Manual.
General drawing management

Check:
the number of drawings that will be required
who will produce them and when
where they are to be located.
Do you have access to all the procedures to cover drawing

management from initiation to archiving?
Drawing conventions
Is there a definitive datum point?
Record the datum point in the CAD Drawing Project Manual.
Record the significance of the thickness of lines, line styles, and text
fonts used on the project in the CAD Drawing Project Manual.
Record the significance of the use of colour in the CAD Drawing

Project Manual.
Prepare a sample control block and drawing border.
Agree the sample control block and drawing border with the project
manager.
DATA AND INFORMATION EXCHANGE

General considerations
Check that the details of all project participants concerned with the
data exchange are properly recorded.
Clarify the responsibilities of all participants involved in the data

exchange.

APPENDIX A3
Identify who is responsible for ensuring that the data exchange

objectives of the project are met.
Has a conformance tested neutral file format been agreed?
Are compression utilities to be used?
Are the compression utilities used self-expanding?
Are media used for data exchange adequately labelled and write
protected?
List the files recorded on the media indicating time, date, and file
size.
Copy this list as a READ.ME file onto the media used for the data
exchange.
Send a copy of this list along with the hard-copy drawings to all
recipients of the digital media.
Keep a copy of this list in the CAD Drawing Project Manual.
Record acknowledgement of safe receipt of all data sent.
Quality considerations
Ensure that all CAD files exchanged are supplied as:
"native CAD system format" used to originate the drawing
conformance tested neutral file format specified
hard-copy.
=> Are only conformance tested neutral file format translators being
used?
Can you perform virus checks on self-expanding compressed files?
Commercial and legal considerations

Is there a formal exchange agreement governing the data exchange
process?
Record the data exchange agreement in the CAD Drawing Project

Manual.
Discuss copyright and liability of modified drawings with the project

manager.

APPENDIX A3
RECORDS
Data back-up procedures

Are there formal back-up procedures agreed with the project
manager?
Are these already recorded in the CAD Drawing Project Manual?
Is there a formal Disaster Recovery Procedure?
Has the Disaster Recovery Procedure been tested?
Record the tested Disaster Recovery Procedure in the CAD Drawing

Project Manual.
Archiving project data

Is there a general archiving procedure?
Is there a specific archiving procedure for "as-built" information?
Record all archiving procedures in the CAD Drawing Project Manual.

APPENDIX A3

APPENDIX A4
APPENDIX A4 Example design programme

MECHANICAL DETAIL
MODEL DESIGN PROGRAMME
Week Number
HVAC DESIGN
1 COMMENCE DESIGN (ARCH DESIGN ISSUE)
2 ISSUE DESIGN BRIEF FOR HVAC PRINCIPLES
3 ZONAL DRAWING
4 DEFINE DESIGN PARAMETERS
5 FABRIC ANALYSIS THIS MODEL PROGRAMME HAS
6 AGREE ISSUE PDN BEEN DRAWN ESSENTIALLY FOR
DETAILED DESIGN BUT CAN
CHEMISTRY - ZONE A APPLY TO ANY STAGE
7 INITIAL SCHEMATIC DESIGN OF PROJECT
8 INITIAL SCHEMATIC DRAWING
9 FINAL SCHEMATIC DESIGN
10 FINAL SCHEMATIC DRAWING
11 PART 1 SPECIFICATION TWO TYPICAL ZONES
REPEAT FOR EACH
12 EQUIPMENT SIZING/SELECTION/SCHEDULES ZONE
BIOLOGY - ZONE B
13 INITIAL SCHEMATIC DESIGN
15 FINAL SCHEMATIC DESIGN EACH LINE REPRESENTS
ONLY ONE PERSON AND
16 FINAL SCHEMATIC DRAWING NO MORE THAN 2 WEEKS WORK
17 PART I SPECIFICATION (IDEALLY LESS THAN 1)
THE INTENT MUST BE
18 EQUIPMENT SIZING/SELECTION/SCHEDULES THAT ALL SCHEMATICS ARE
SIGNED OFF PRIOR TO
BSL MODELLING
19 CLIENT SIGN OFF HVAC SCHEMATICS
20 BLOCK PLAN OF PLANTROOM
21 COORDINATE STRATEGY LAYOUT
PIPED SERVICES DESIGN

22 DEFINE PLAN OF PLANTROOM
23 AGREE ISSUE DESIGN BRIEF
DRAINAGE
26 FINAL SCHEMATIC DESIGN AGREE WITH CLIENT
27 FINAL SCHEMATIC DRAWING SYSTEM PARAMETER
BEFORE WORK
28 PART 1 SPECIFICATION COMMENCES
DESIGN DRAINAGE EARLY
29 EQUIPMENT SIZING/SELECTION/SCHEDULES AS LESS SCOPE FOR
CHILLED WATER RE-ROUTING TO
AVOID CLASHING
34 PART 1 SPECIFICATION
35 EQUIPMENT SIZING/SELECTION/SCHEDULES
LPHW.
EXTERNAL SERVICES
48 CLIENT SIGN OFF PIPEWORK SCHEMATICS
49
Prepared by: On: Printed:

MECHANICAL SHEET 1
Revision Dared
MECHANICAL DETAIL
Week Number
3d CAD MODEL
1 CO-ORDINATION STRATEGY
2 INITIAL MECHANICAL DESIGN
3 INPUT FROM ELECT ENG (INITIAL DESIGN) BSL MODELLING
ONLY IF PRUDENT
4 INPUT FROM PROCESS ENG FOR THE PROJECT
5 COMPLETE 3d CAD MODEL
6 DESIGN ISSUE TO ELECT/PROCESS/MECH
DRAWINGS
7 PRODUCE PLANS
8 PRODUCE SECTIONS
9 PRODUCE DETAILS
SPECIFICATION
10 COLLATE PART IS
11 PRODUCE PART 2 & 3 S IDEALLY, ONE DRAWING PER LINE,
BUT IF THIS IS IMPRACTICAL THEN
12 FINALISE SCHEDULES KEEP TO A SMALL NUMBER THAT
CAN BE EASILY MONITORED FOR
PROGRESS I.E. 2 - 4
INFO TO OTHER DISCIPLINES
ARCHITECT
13 PLANTROOM SIZE
14 CONDENSATION CHECKS
15 VOID/RISER SIZES DATES TO BE MUTUALLY AGREED
BY BOTH DISCIPLINES. TO DO THIS
16 DISTRIBUTION ZONES IT MAYBE NECESSARY TO ISSUE
17 BOILERHOUSE REQUIREMENTS PRELIMINARY THEN FINAL
INFORMATION AT A LATER DATE
18 LOUVRE SIZES
19 STRUCTURAL PENETRATIONS
20 SPRINKLER HEADS
21 FIRE WATER MAIN
22 SMOKE EXTRACT
23 PIPED GASES
CIVILS
24 PLANT LOADINGS
25 WATER TANK LOCATIONS
26 BUILDERS WORK DETAILS
27 DUCT ROUTES/SERVICE HOLES
APPENDIX A4
28 UNDERGROUND DRAINAGE OUTLETS
29 DRAINAGE OUTLETS
30 STEAM ANCHOR POINTS
ELECTRICAL
31 ELECTRICAL LOADINGS
32 MOTOR DETAILS
33 ELECTRICAL SOURCES
34 PIPED SERVICE ROUTES
35 ANTICIPATED DIVERSITY
36 PLANT LAYOUT
37 TRACE HEATING REQUIREMENTS
38 POWER ENTRY LOCATIONS
39 CONTROL SENSOR LOCATIONS
PROCESS
40 SERVICES AVAILABLE
CONTROLS
41 DUCT ROUTES
42 PIPED SERVICES
43 PLANT ROOM LAYOUT
44 INTERFACE WITH BMS

MECHANICAL SHEET 2
Revision Dated
MECHANICAL DETAIL
Week Number
INFO FROM OTHER DISCIPLINES

ARCHITECT
l ARCH PLAN DESIGN ISSUE (FROZEN LAYOUT)
2 ROOM DATA SHEETS
3 SITE PLAN
4 BUILDING SECTIONS
5 ROOF PLAN
6 FABRIC CONSTRUCTION
7 REFLECTED CEILING PLAN
8 CONFIRM PLANT ROOM SIZES
9 FIRE PHILOSOPHY
10 FIRE HOSE POINTS
11 CONFIRM LOUVRE TYPE
12 FURNITURE LAYOUTS
CIVILS
13 STRUCTURAL FLOOR GAS
14 STRUCTURAL SECTIONS
15 SERVICES SUPPORT REGIME
16 CO-ORDINATED U/G SERVICES
ELECTRICAL
17 LIGHTING PHILOSOPHY
18 PROPOSED CABLE ROUTES
19 SERVICE SPACE REQUIREMENTS
20 ELEC PLANT ROOM LAYOUTS
21 CONFIRM CONTROL LAYOUTS
PROCESS
22 SERVICE TYPES
23 SERVICE LOADS
24 PROCESS P/W DISTRIBUTION ZONES
25 ACCESS REQUIREMENTS
26 VESSEL & EQUIPMENT LAYOUTS
CONTROLS
APPENDIX A4
KEY MILESTONES
27 DESIGN REVIEWS
28 DESIGN FREEZE DATES
29 DESIGN ISSUE DATES
DESIGN REVIEWS ARE CRUCIAL &
30 PACKAGE REVIEWS DATES MUST BE PLANNED ALONG THE
DESIGN PERIOD. THE SUBJECTS BEING
31 CDM REVIEW APPROPRIATE TO THE STAGE OF
32 RISK ASSESSMENT REVIEW THE PROJECT
33 HAZOP REVIEW DATES

34 TENDER ISSUE DATE
35 CONSTRUCTION ISSUE DATE
36 INTERNAL COORDINATION

MECHANICAL SHEET 3
Revision Dated
APPENDIX A6
APPENDIX A5 Two stage tendering watch points

Two stage tendering can be applied to all forms of contract and is
particularly suitable for construction management, management
contracting and design and build. When used on traditional general
contracts, before appointment of a lead contractor, it requires that either
the services contractor is nominated, or that the lead contractor accepts
and appoints them as a domestic sub-contractor.
Watchpoints:
• To ensure equable tendering clear definitions must be issued with the

Stage 1 enquiry for materials, labour, preliminaries and overheads.
• Tenderers should be informed of the services cost plan or budget.

This should be qualified so that no loss of profit claim will be
allowed should the final cost be below the budget.
• The stage 1 enquiry documentation should clearly state the role of

the services designer contractor in the management of design and its
development within the project team. Critical early team activities
and requirements should be stated. This will cover activities such as
confirmation of plant room and distribution route spaces, structural
loadings and penetrations.
• The stage 1 enquiry should include a simple notional bill of

quantities covering a range of items expected to be included in the
final design. These items should be those which will generate the
greatest amount of labour. This is to ensure that when extended
during tender analysis, the tenderer with the lowest labour total
emerges. Percentages for overheads, design and profit can then be
applied to the nett cost to give the clearest picture of who will be the
lowest tenderer.
• The tenderers should be asked at the return of the stage 1 tender to

indicate the source as a basis for labour time constants, and to be
applied to materials, eg Luckins, Spons, Wessex or the company's
own pricing book. In the case of the latter the tenderer should be
required to state that the basis is that normally used by the company
for pricing competitive tenders.
• Working with the design team leader the services designer and
installer will develop the designs and prepare an "open book" stage 2
tender. This can be prepared sequentially for groups of services or
systems.
• Each stage 2 "open book" tender or estimate should be supported by

three quotations for all major items of plant and equipment. In
addition it should be checked for the correct application and
extension of material prices, labour time constants, labour rates, and
the percentages quoted at stage 1.
* The stage 2 estimates should be spot checked by either the lead

services designer, quantity surveyor, or, in the case of management
contracting or construction management, the commercial manager.

APPENDIX A6
APPENDIX A6 Declaration of management strategy

Provisions for a building services contract
PROJECT
CONTRACT FOR
BUILDING SERVICES CONTRACTOR
The objective in setting out these provisions is to inform you of

the manner in which we will manage the works and document our
performance. The documentation provided will be evidence of
our good management and progress in:
1. The preparation of Quality, Safety and Environmental Plans

2. Planning and programming the delivery of information
3. The planning and programming of on and off-site construction
4. The procurement and production and approval of samples, mock-
ups, trial site assemblies etc
5. The control of work through supervision and inspection
6. The confirmation of construction progress
7. The management and progress of commissioning
8. The management and recording of final inspections
9. The planning and programming of the production of manuals and
drawings for handover
10. The planning and programming, and progress recording of
instruction and training of End Users in the operation and
maintenance of the BS installations
11. The setting up and management of any post-contract maintenance
arrangements
12. Confirmation of the understanding of specified post-contract
responsibilities associated with fine tuning and system proving.
This is a framework setting out the scope and content of the

documentation that will be provided. Sample documentation can be
provided on request. This declaration is our commitment to the proper
documentation of the building services works. In principle we expect to
manage our works and present them to the specified standards. We
require your co-operation to plan, organise, co-ordinate and control our
works at the interfaces with other elements not forming part of your
contract with us.
The following is an expansion of the framework outlining the type of

documentation we will provide. The degree of detail to be provided
will be agreed with you in advance of its requirement to be used on-site.
The outline below is not exhaustive but indicative of the range of

information we will be producing:
202 Project Management Handbook lor Building Services © BSRIA AG 11/98

APPENDIX A6
1. PREPARATION OF QUALITY, SAFETY AND ENVIRONMENTAL PLANS
We will identify from the documents referred to in your order to us the

requirements for the preparation, submission and approval of Quality,
Safety and Environmental Plans.
In the absence of any specified requirements our Safety Plan will

include details of our risk assessment and management procedures
together with proposals for compliance with the Construction (Design &
Management) Regulations 1994.
2. PLANNING AND PROGRAMMING DELIVERY OF INFORMATION
Comprising but not limited to:
2.1 Design/development design drawings

2.2 Working drawings (including completion of design
drawings)
2.3 Builders' work drawings
2.4 Method statements
2.5 Approval of samples
2.6 Test and inspection plans (may be included with method
statements)
2.7 Procurement schedules
2.8 Inspection and testing of off-site manufacture.
3. PLANNING AND PROGRAMMING OF ON AND OFF-SITE

CONSTRUCTION
Preparing stand alone master programmes or sectional programmes

integrated into the construction programmes. If necessary, and by
agreement, these will contain detailed activity sequences.
4. PROGRAMMING THE PROCUREMENT, PRODUCTION AND APPROVAL

OF SAMPLES, MOCK-UPS AND TRIAL SITE ASSEMBLIES ETC
We will summarise all specified requirements for the above and produce
programmes showing dates, including those for approval.
APPENDIX A6
5. THE CONTROL OF WORK THROUGH CONTRACT SUPERVISION AND
INSPECTION
We will produce an organisation diagram for the on-site control of the

work which will be supported by work inspection check lists, defects
logging and clearance procedures.
We will attend your site progress meetings at intervals to be agreed. We

will advise you of suggested change to the agendas as the project
develops and the need to cover commissioning and handover
approaches.
We will agree a suitable format for reporting to you prior to each site
progress/commissioning meeting.

APPENDIX A 6
6. THE CONFIRMATION OF CONSTRUCTION PROGRESS
We will issue to you copies of our progress status schedules, including
records of installation integrity testing.
7. THE MANAGEMENT AND PROGRESS OF COMMISSIONING

We will provide a commissioning programme for the works of our
contract which will be adjusted as necessary with your agreement, to
integrate with the commissioning of other building services and building
works which are expected to be primarily finishing trades.
For the discharge of our assigned commissioning management role we

will prepare co-ordinated programmes for all building services.
We will chair/attend commissioning meetings which will be at a

frequency to be agreed.
In addition to the specified requirements of recording commissioning

results and obtaining witness approvals, we will submit commissioning
progress reports covering the status of system preparation (flushing,
chemical cleaning and water treatment etc), system regulation, controls
and BMS commissioning, witnessing and approving etc.
8. THE MANAGEMENT AND RECORDING OF FINAL INSPECTION

We will agree with you proposals for finally inspecting our own work,
recording and clearing defects and providing progress status
information.
9. THE PLANNING AND PROGRAMMING OF MANUALS AND DRAWINGS

FOR HANDOVER
We will plan "backwards" from the date specified for their handover for
the preparation of the operating and maintenance manuals and record
drawings etc and all related specified requirements. We will allow in
our programming for 2 four week approval cycles of the documentation.
Within four weeks of our appointment we will submit to you a summary

of the tender requirements for handover documentation.
APPENDIX A6
Throughout the period of producing documentation we will provide you

with status schedules showing the progress of preparation and approval.
10. THE PLANNING AND PRODUCTION AND PROGRESS RECORDING OF

INSTRUCTION AND TRAINING OF END USERS IN THE OPERATION
AND MAINTENANCE OF THE INSTALLATIONS
Within six weeks of receipt of the order we will provide a summarised
abstract from the specified requirements covering the obligations to
provide instruction and training.
Six weeks prior to the implementation of any specified instruction and

training we will submit our proposals, organisation and programming
for discharging these responsibilities.
At weekly intervals during the instruction and training programme we

will provide a report/status schedule.

APPENDIX A6
11. SETTING UP AND MANAGEMENT OF ANY POST-CONTRACT

MAINTENANCE ARRANGEMENTS
Eight weeks after receipt of your order we will submit a statement

confirming the specified maintenance requirements that we are
responsible for meeting. Eight weeks before handover we will remind
you of any obligations you may have under our contract with you for the
discharge of these post-contract maintenance arrangements.
12. CONFIRMATION OF THE UNDERSTANDING OF SPECIFIED POST-

CONTRACT RESPONSIBILITIES ASSOCIATED WITH FINE TUNING AND
SYSTEM PROVING
Six weeks prior to handover we will advise you of our specified

involvement with the end user and designer in making fine tuning and
system proving arrangements post-contract.
DECLARATION OF COMMITMENT
We offer to develop and implement a management strategy that meets

the above provisions.
BS CONTRACTOR. ...
SIGNED BY
ST ATUS.
DATE.
APPENDIX A6
© BSRIA AG 11/98 Project Management Handbook (or Building Services 205

APPENDIX A7
APPENDIX A7 Example M&E contractor's pre-construction

programme
APPENDIX A7
206 Project Management Handbook for Building Services © BS RIA AG 11/98

Page1 of 5
CODEM for Heery BSRIA SAMPLE PRE-CONSTRUCTION PROGRAMME DETAIL
ary March April May June July August
ID Task Name Dur Start Finish 16 23 02 09 16 23 30 06 13 20 27 04 11 18 25 01 08 15 22 29 06 13 20 27 03 10 17 24 31
1 Commissioning Management tender period 5d 22/02/98 27/02/98
1.1 Commissioning Manager Tender Return date 0d 22/02/98 22/02/98
1.2 CM Tender 1 st stage evaluation 3d 23/02/98 25/02/98
1.3 CM Tender Mid Bid Interviews 1d 26/02/98 26/02/98
1.4 CM Tender 2nd stage evaluation 1d 27/02/98 27/02/98
2 Commissioning Manager appointed 0d 27/02/98 27/02/98
3 M & E TENDER PROCESS 10d 20/03/98 03/04/98
3.1 M & E Tender Return 0d 20/03/98 20/03/98
3.2 M & E Tender 1 st stage evaluation 5d 23/03/98 27/03/98
3.3 M & E Tender Mid Bid Interviews 2d 30/03/98 31/03/98
3.4 M & E Tender 2nd stage evaluation 3d 01/04/98 03/04/98
4 M & E Contractor appointed 0d 03/04/98 03/04/98
5 Post bid clarification 15d 06/04/98 28/04/98
5.1 M & E design clarification 10d 06/04/98 21/04/98
5.2 CDM, Risk assessments & Health & Safety 10d 06/04/98 21/04/98
5.3 M & E final bid contract adjustments 5d 22/04/98 28/04/98
6 M & E Quality plan & Safety policy issued 0d 28/04/98 28/04/98
7 PROJECT PROGRAMMING SCHEDULE 21d 22/04/98 21/05/98
7.1 Revised Construction Programme issued 1d 22/04/98 22/04/98
7.2 Commissioning & M&E Programme 20d 23/04/98 21/05/98
8 Installation & Commission programmes issued 0d 21/05/98 21/05/98
Project: BSRIA SAMPLE PRE-CONSTRUCTION PROGRAMME

Task Milestone
Date: 24/04/98 Rev: A
Critical Task System Summary
APPENDIX A7
APPENDIX A7
Page2 of 5
9 METHOD STATEMENT SCHEDULE 15d 22/05/98 12/06/98
9.1 M & E Installation method statement 5d 22/05/98 29/05/98
9.2 Electrical plant Testing & Commissioning - Works & S 10d 01/06/98 12/06/98
9.3 Mechanical plant Testing & Commissioning - Works & 10d 01/06/98 12/06/98
10 Draft O & M's Issued 0d 19/06/98 19/06/98
11 SCHEMATIC DRAWINGS 27d 22/04/98 01/06/98
11.1 Drawing symbols M & E 1d 22/04/98 22/04/98
11.2 M & E standard details 5d 22/04/98 28/04/98
11.3 Mechanical Supply Air & Extract schematic 10d 22/04/98 06/05/98
11.4 Mechanical CHW & LTHW schematic 10d 28/04/98 12/05/98
11.5 Public Health water & drainage schematic 5d 13/05/98 19/05/98
11.6 Earthing & Lightning Protection schematic 3d 29/04/98 01/05/98
11.7 Electrical L.V. Distribution schematic 7d 05/05/98 13/05/98
11.8 Fire Alarm detection & Cause & Effect schematic 5d 14/05/98 20/05/98
11.9 Lighting Control schematic 2d 21/05/98 22/05/98
11.10 BMS Controls schematic 5d 26/05/98 01/06/98
12 MECHANICAL DRAWINGS 36d 07/05/98 26/06/98
12.1 Roof level ductwork layout 5d 07/05/98 13/05/98
12.2 1st floor ductwork layout 7d 14/05/98 22/05/98
12.3 Ground floor ductwork layout 7d 26/05/98 03/06/98
12.4 AHU Fabrication drawings 10d 04/06/98 17/06/98

Task Milestone
Date: 24/04/98 Rev: A
Page3 of 5
12.5 Roof level pipework layout 5d 13/05/98 19/05/98
12.6 1 st floor pipework layout 7d 20/05/98 29/05/98
12.7 Ground floor pipework layout 7d 01/06/98 09/06/98
12.8 VALVE Chart 10/06/98 12/06/98

3d
12.9 Roof level Public Health pipework layout 2d 20/05/98 21/05/98
12.10 1st floor Public Health pipework layout 5d 22/05/96 29/05/98
12.11 Ground floor Public Health pipework layout 5d 01/06/98 05/06/98
12.12 Roof plant layout section & Plan 5d 20/05/98 27/05/98
12.13 Plantroom layout section & Plan 10d 28/05/98 10/06/98
12.14 MCC Panel G.A. & wiring drawings 5d 11/06798 17/06/98
12.15 BMS & Controls wiring drawings 7d 18/06/98 26/06/98
13 ELECTRICAL DRAWINGS 44d 07/05/98 08/07/98
13.1 Ground level Earthing & Lightning protection 7d 07/05/98 15/05/98
13.2 Roof level lightning protection layout 3d 18/05/98 20/05/98
13.3 L.V. Switchboard G.A. & Wiring drawings 7d 18/05/98 27/05/98
13.4 Generator G.A. & Wiring drawings 5d 28/05/98 03/06798
13.5 U.P.S G.A. & Wiring drawings 5d 04/06/98 10/06798
13.6 Roof level electrical services power & lighting 5d 28/05/98 03/06/98
13.7 1 st floor high level electrical services (lighting) 7d 01/06/98 09/06798
13.8 1 st floor under floor electrical services (small pwr) 7d 10/06/98 18/06/98
13.9 Ground floor high level electrical services (lighting) 7d 10/06/98 18/06/98

Task Milestone
Date: 24/04/98 Rev: A
APPENDIX A7
APPENDIX A7
Page4 of 5
13.10 Ground floor underfloor electrical services (small pwr) 7d 19/06/98 29/06/98
13.11 Roof Fire Alarm layout 3d 04/06/98 08/06/98
13.12 1st Floor Fire Alarm layout 5d 09/06/98 15/06/98
13.13 Ground Floor Fire Alarm layout 16/06/98 22/06/98

5d
13.14 Toilets & stairs electrical services layout 5d 30/06/98 06/07/98
13.15 Plant room power & lighting layout 2d 07/07/98 08/07/98
14 CO-ORDINATED SERVICES DRAWINGS 33d 28/05/98 13/07/98
14.1 Architects reflected coiling plan 0d 28/05/98 28/05/98
14.2 Architects typical furniture layout 0d 28/05/98 28/05/98
14.3 Roof level Builders work 5d 11/06/98 17/06/98
14.4 1st floor Builders work 3d 18/06/98 22/06/98
14.6 Ground floor Builders work 3d 23/06/98 25/06/98
14.6 Roof level co-ordinated services 10d 18/06/98 01/07/98
14.7 1 st floor co-ordinated services 10d 19/06/98 02/07/98
14.8 Ground floor co-ordinated services 10d 30/06/98 13/07/98
15 SAMPLES FOR APPROVAL 23d 02/06/98 02/07/98
15.1 Smoke detectors, Sounders, Break glass 1d 05/06/98 05/06/98
15.2 BMS Sensors 1d 04/06/98 04/06/98
15.3 Lights 8 switch plates 1d 02/06/98 02/06/98
15.4 Floor Boxes & Socket outlets 1d 19/06/98 19/06/98
15.5 Grilles & Radiators 1d 02/07/98 02/07/98

Task Milestone
Date: 24/04/98 Rev: A
Page5 of 5
16 Design reports & approvals 50d 07/05/98 16/07/98
17 ESTIMATED PLANT / EQUIPMENT PROCUREMENT 40d 12/06/98 08/07/98
17.1 Chillers 0d 12,05/98 12/05/98
17.2 Close control ACU's 0d 19/05/98 19/05/98
17.3 Boilers & Flue 0d 27/06/98 27/05/98
17.4 appointed
Pumps & Valves & Radiators 0d 09/06/98 09/06/98
17.5 Pressurisation units 0d 16/06/98 16/06/98
17.6 AHU's 0d 17/06/98 17/06/98
17.7 Ductwork & Attenuators 0d 01/07/98 01/07/98
17.8 Fans & Grilles 0d 08/07/98 08/07/98
17.9 L.V. Switchboard 0d 13/05/98 13/05/98
17.10 Generator 0d 28/05/98 2805/98
17.11 MCC's 0d 03/06/98 03/06/98
17.12 U.P.S 0d 04/06/98 04/06/98
17.13 Rising & underfloor Busbar 0d 04/06/98 04/06/98
17.14 Lights & Control system 0d 08/06/98 08/06/98
17.15 BMS Outstations 0d 10/06/98 10/06/98
17.16 Fire Alarm Panel, Heads, Sounders & Breakglass 0d 11/06/98 11/06/98
17.17 Distboards 0d 25/06/98 25/06/98
17.18 Floor Boxes & socket outlets 0d 25/06/98 25/06/98
18 M & E Contractors Start On Site 0d 30/07/98 30/07/98

Task Milestone
Date: 24/04/98 Rev: A
APPENDIX A7
APPENDIX A8
APPENDIX A8 Commissioning terminology
DEFINITIONS
Commissioning The advancement of an installation from the
stage of static completion to working order to
specified requirements.
Commissioning Specialist The firm or person appointed to carry out

specified duties in connection with
commissioning the engineering services.
Designer The firm or person appointed to design the

HVAC systems.
Commissioning Management The planning, organisation, co-ordination and
control of commissioning.
Commissioning Manager The firm or person appointed for the

integrated management of individual installers
and specialists' commissioning activities with
those of the lead contractor.
Commissioning Specification The document that prescribes in detail the
requirements with which the commissioning
service has to comply.
Note: Specification must refer to drawings,
schedules and the relevant parts of Codes,
Manuals, guides and other standards.
Commissionaire Systems Systems designed, installed and prepared to

specified requirements in such a manner as to
enable commissioning to be carried out.
System A heating, ventilation or air conditioning

concept of equipment, distribution ducts, pipes
and terminals, associated or independent,
forming a complex unit.
APPENDIX A8
Installation A system placed in position.
Environmental Performance Criteria The specified, numerically quantifiable,

characteristics and tolerances of an internal
environment to be achieved by the HVAC
system.
Design Criteria Those measurements and quantities selected as

the basis for the design of a system.
Testing The measurement and recording of specified
quantifiable characteristics of an installation
or parts thereof.
Note: This also includes off-site testing.

APPENDIX A8
Pressure and Leakage Testing The measurement and recording of pressure

retention, and fluid losses or gains in the plant,
equipment, distribution ways and terminals.
Flushing . The washing out of an installation with water

to a specified procedure in order to remove
manufacturing and construction detritus.
Chemical Cleaning The internal treatment of a pipework

installation with chemical fluids to specified
requirements.
Static Completion The state of the system, installed in

accordance with the specification, clean and
ready for setting to work. In the case of water
systems this includes flushing, cleaning, filling
and venting.
Pre-Commissioning Checks Specified systematic checking of a completed

installation establish its suitability for
commissioning.
Setting to work The process of setting a static system into

motion.
Regulation The process of adjusting the rates of fluid flow

in a distribution system to achieve specified
values.
Environmental Testing Measurement and recording of internal

environmental conditions.
System Proving Measuring, recording, evaluating and

reporting on the seasonal performance of the
systems against their design values.
Fine Tuning The adjustment of a system where usage and

system proving has shown such need. This
may also include the re-assessment of design
APPENDIX A8
values and control set points to achieve the
required system performance.

APPENDIX A9
APPENDIX A9 Content for designer's and

installer's close out reports
Designer's close out report

1. Project details
• Project name and address
• Client name and address, Principal Contact
• Professional/Design Teams, names, addresses and Principal
Contacts
• Contractual arrangement - construction management,
management contracting, design and build or traditional
2. Brief description of the project objectives/requirements
3. Summary of original services brief compared to final design brief,

with reasons for change.
4. Does the Client consider the final services brief was met? If not,
why not?
5. Organisation structures for:-

•. Client/Project Manager
• Design Team
• Principal Contractor (showing Building Services Installer
/Specialist relationship)
6. Master Programme - project milestones and key activities showing
variance of planned versus actual
7. Building Services design management programme for all disciplines

- showing variance of planned to actual
8. Summary of Terms of Engagement Responsibilities for:-

• Design development
— eg performance specification and drawings
APPENDIX A9
— summarise outputs delivered

• Budget control and Cost Planning
• Energy and Environment issues
• Work inspection - eg visit and/or Clerk of Works
• Commissioning Management
• Preparation of O&Ms and Record Drawings etc
• Instruction and Training - End Users
9. Unusual developments and difficulties encountered in discharging

the responsibilities and their solutions
10. Summary of strengths, weaknesses and lessons in discharging the

assigned responsibilities for each design discipline with respect to:-
• Design cost - compare staff hours with planned
• Installation cost - compare with cost plan
• Quality of deliverables - summarise corrective actions - own/others
• Compliance with CDM - summarise corrective actions - own/others

APPENDIX A9
11. Summarise communication and reporting relationships (bottlenecks

and causes) with:-
• Client
• Project Manager
• Design Team Leader
• Planning Supervisor
• Principal Contractor
• Building services Installer/Specialist
12. Summarise internal relationships
13. Overall summary of lessons learned with recommendations for

their dissemination, eg debrief, workshops, individual performance
review
14. Recommendation for changes to Quality Management System
15. Internal distribution of Report, ie open, restricted or partial to:-

• partners
• associates
• design facility manager
• design unit leader (if not author of report)
• quality manager
• others.
Installer's close out report

1. Project details
• Project name and address
• Client/End User name and address
• Project Manager name and address
• Principal Contractor (Installer's Employer)
• Design Team names and addresses
• Building function/type and construction
• Contractual arrangement
• Environmental Policy
APPENDIX A9
• Commencement date and duration - original and final
• Original and final services contract values
2. Scope of the works - list of generic and specialist systems and

locations
3. Organisation structure for:-
• Design team
• Principal Contractor (Installer's employer)
• Own organisation - on/off site (on site to show specialists and
subtraders)
4. Summarise design development carried out from designer's
baseline of:-
• Performance
• Specification and drawings
• Full
© BSRIAA G11/98 Project Management Handbook for Building Services 215

APPENDIX A9
Compare promised design and co-ordination with details received,

and required development.
5. Summarise budget/cost planning responsibilities for design

development:-
Compare planned to actual (tender)

Compare design development costs planned to actual
6. Planning and Programming - Compare Planned to actual:-

• BWIC
• Working drawings
• Construction
• Commissioning
• O&M's and Record Drawings
Summarise performance
7. Unusual developments and difficulties encountered in:-

• Installation
• Commissioning
• Handover
and how they were overcome
8. Summarise communication, reporting and work interface

relationships with:-
• Principal Contractor (Employer) - including report on
attendances
• Other contractors
• Own specialists and sub traders
• Building Services designer
• Design Team Leader
• Client/Project Manager
APPENDIX A9
9. Summarise performance of own company (including own

Specialists/Sub Traders) in following areas:-
• Commercial - procurement, valuations, variations, claims
• Construction - supervision, inspection, testing, defect clearance
• Commissioning management
• O&M and Record Drawing production
• Instruction and Training of Client/End User
• Post Handover - defect clearance and performance problem
resolution On/off site administration
• Health and Safety
• Quality
• Environmental Issues

APPENDIX A9
10. Create performance marking matrix for specialists and sub traders
in the areas of item 9 above.
11. Overall summary of lessons learned with recommendations for

their dissemination at debrief, workshops, individual performance
reviews.
12. Recommendations for changes to quality management system.
13. Recommendations for changes to ratings of sub traders and

specialists on Vendor Database
14. Internal Distribution or Report, ie open, restricted or partial, eg to:-

• Company Directorate
• Project Manager (if not originator of report)
• Functional Heads
• Quality Manager.
APPENDIX A9

INDEX
INDEX
Design change control 62, 63

A
design costs 45, 65
activity lists 100 design drawing 19, 27, 46, 78, 94, 118
approval of samples 95 design facility 17, 18, 48, 49, 57
design facility manager 17, 18, 48, 49, 57
B design information matrix 59
brainstorming 25, 31,40, 71, 72 design input control 50, 58
design management 44, 45, 46, 47, 48, 51, 57
briefing 2,5,9, 12, 15, 17, 18,24,25,
design management plan 51
28, 29, 30, 34, 48, 49, 61, 62, 105
briefing check-lists 29 design output control 50
budget 67 design programme 27, 47, 48, 49, 50,
builder's work 93 62, 64, 65, 66, 74
building services programme 101 design responsibilities 19
design review 50, 51, 58. 63
C
design team inspections 125
CAD systems 51 design team leader 18, 26, 27, 30, 44, 48,
capacity testing 121 49, 50, 57, 65, 68, 69, 80, 81, 104
CAWS 59,60 design team outputs 48
CDM regulations 47, 52 design team selection 9
client brief 24 design unit 18, 27, 47, 48,49, 50, 57, 63, 64, 65
client objectives 30, 70, 81 design unit leader 18, 48, 49, 50, 65
client's requirements 2, 24, 27, 29 design warranty 17, 80
close out report 138 designer led procurement 34, 36
commissioning 1, 3, 5, 10, 17, 19, 21, designer's brief 12
52, 56, 67, 78, 84, 85, 87, 91, designer's scope of work 10
95, 96, 98, 102, 107, 111, 112, 115, detailed design 5, 18, 19, 27, 43, 45, 46,
116, 117, 118, 119, 120, 121, 47, 48, 54, 71, 78, 79, 118
122, 125, 126, 127, 129, 133 detailed design brief 27
commissioning management 120 detailed project brief 26
commissioning management specification ...21, 120 double envelope bidding 14
commissioning manager 21, 115, 120, 122 drawings schedule 61
commissioning specification 21, 118
E
common arrangement work sections 59, 100
complexity 33 earned value 65, 66
concept design 27, 54, 127 employer's requirements 43
consolidated brief 27 engineering reports 25, 64, 75
constraints 12, 21, 25, 26, 27, 30, 44, 58, 70 environmental managers 88
construction cost plan 27 environmental plan 84, 86, 87, 88, 89,
construction management 34 104, 107, 122
contract claims 114 environmental policy 75, 88, 89
contractor's handover plan 127 evaluation of tenders 73, 78
contractor's quality plan 50, 87, 94, 103
F
contractors' final inspections 123
contractual route 33, 98 facilitator 30,39
co-ordination drawings 19, 45, 118 feasibility studies 2, 12, 25, 26, 28, 29, 31, 75
cost control 33 fee bids 14, 15
cost budget 12, 25, 27 fee tender appointment 10
cost planning 67 feedback 137
fine tuning 122
D
finishes programme 98
debrief 138 flexibility 33
decision matrix 70 flushing and cleaning method statements 117
defect clearance 126, 136 functional analysis 69, 71, 72
defects 108 funding 2,33,36
design and build 34
G
Design brief 27
Design brief changes 62 Gantt chart 65,97

INDEX
H phased handover 126

plan of work 2, 5, 50
handover 1, 3, 5, 10, 19, 21, 44, 52,
planning supervisor 26, 48, 54, 55, 56, 82,
55, 56, 78, 84, 85, 87, 98, 102,
90,91,92
112, 115, 121, 122, 123, 124, 126, 127,
plant and equipment 10, 19, 20, 78, 93, 95,
128, 129, 131, 133
96, 100, 107, 112, 113, 128
handover information 21, 127
plant and equipment procurement schedules 96
health and safety 2, 26, 27,48, 52, 53,
plant performance 20
54, 55, 56, 57, 75, 80, 82, 83, 84, 85,
post handover variations 137
89, 90, 91, 92, 93, 112, 122, 129, 130, 133
post occupancy evaluation 139
health and safety file 55, 130
practical completion 133
health and safety plan 26, 48, 54, 55, 56, 75, 82,
pre-handover 126
.89, 90, 91, 92, 93, 112
pre-qualification 80, 81
I pre-qualification interview 81
pre-qualification of tenderers 17
importance weightings 70
pre-qualification stages .....83
information exchange interfaces 48
pre-selection criteria 13
in-house appraisals 138
pre-tender health and safety plan 55
initial brief 25
principal contractor 89
inspections 106
problem resolution 40, 41
installation drawings 18, 19,79, 93, 130
problem resolution methods 38
instruction and training 128
process manager 7
instructions 105
process protocol map 7
interfaces with building work 100
procurement strategy 2, 12, 25, 26, 27, 32,
K 33,35,81
professional project management 2
keys 128
progress reports 113
L project brief 12, 26
project execution plan 2, 26
life cycle costing 26
project handbook 51
life expectancy 33, 36 project information, retention of 134
logic sequences 101 project management 1
look ahead/weekly 98 project master programme 35, 43, 48, 128
M project planning 35
project team 2, 5, 12, 13, 26, 35, 48, 49, 51,
management contracting 34
59, 68, 75, 78, 81, 84, 86, 97, 99, 106,
management strategy 24, 83, 84, 92, 106 I l l , 113, 114, 127
managing programme 98
means end analysis 31 Q
method of tendering 73, 78, 82 quality 33
method statements 94, 122
quality management 83
mission statement 25, 30, 39
quality manager 50
O quality plan 18, 26, 44, 45, 46, 50, 58, 62,
86, 87, 88, 94, 103
operating and maintenance manuals 21, 56,
quality/price ratio 16
116, 129, 133
organograms 84, 85 R
outline design 27, 28, 34, 43, 45, 65, 70 record drawings 21, 102, 126, 127, 129,
outline planning permission 43 130, 131, 133
outline project brief 24 reliability 27, 33, 36, 71
outline proposals 43, 69 replacements 129
P resource analysis 102
responsibility 33
partnering 38 RIBA Plan of Work 5
project specific 38 risk 33
strategic 38 risk analysis 17, 68
partnering arrangement 38, 39, 42, 80, 82, 83 risk assessment. 26, 91
partnering charter 39, 40 risk management plan 26
partnering workshops 39 rules of thumb 58
performance specification 43 running costs 33, 36
PERT diagram 65,97

INDEX
s tender procedure 14, 74

tender process 20, 38, 45, 64, 73, 75, 78, 82, 83
S curve 66
test and inspection plans 95
sectional programmes 98
timescale 33
selective tendering 73, 79
tools 128
sensitivity analysis 70 two stage tendering 79
short term/stage programme 98
site progress meetings 112 V
spares 128
value criteria 30, 70
spatial co-ordination 19, 111
value engineering 26, 62, 69, 71, 75, 105
specialist designers 19, 78, 86
value for money 24, 25, 58, 69, 70, 71
standard conditions of engagement 16
value hierarchy 30, 32, 70
statement of need 24
value management 12, 25, 26, 28, 29, 30,
strategic brief 25
34, 39, 59, 64, 69, 70, 71, 105
supervision and inspection 84, 87, 103, 104, 113
value management workshop 30
system proving 10,84, 119, 121, 122
variations 105
T
W
technical bids 15
weighted evaluation 14, 35, 81
tender documentation 14, 74
work breakdown structure 100
tender information control matrix 76
working drawings 93

BSRIA is the UK's leading centre for building services research. We
offer independent and authoritative research, information, testing and
consultancy and market intelligence.
Among our clients are consulting engineers, contractors,

manufacturers, building operators, government bodies and utilities.
We work closely with these clients, taking full account of individual
priorities and needs, and maintaining individual confidentiality at all
times. Our specialist skills, knowledge and facilities will complement
your expertise at every stage of the building process.
Founded over 40 years ago, BSRIA now has a staff of 120 and
operates from two well equipped laboratories and office premises in
Bracknell and Crowthorne. As a member-based organisation we also
provide a focus for cooperative research, offering a partnership
between industry and government.
The Association offers:

u A wide range of member services
u A collaborative research programme focused on industry needs
u Confidential contract research facilities, tailored to your
requirements
u Independent equipment and systems testing, investigation and
consultancy
u Market research consultancy, publications and information for
the UK and overseas markets
u Instrument hire and calibration services.
Our technology centres offer research and consultancy on:

u Do mestic, commercial and industrial heating
u Mechanical and natural ventilation, air infiltration
u Air conditioning and refrigeration
u Plumbing and drainage systems
u Water quality
u Electrical services
u Lighting
u Building management systems and controls
u Fire and security systems
u Environmental issues.
For further details contact Marketing Services at BSRIA
The Building Services Research and Information Association

Old Bracknell Lane West, Bracknell, Berkshire RG12 7AH UK
Tel: +44 (0) 1344 426511 Fax: +44 (0) 1344 487575
e-mail: bsria@bsria.co.uk web: www.bsria.co.uk

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Application Guide AG 11/98

The Building Services Research

Department of the Environment, Transport and the Regions

M Murray Amec Design and Management

Every opportunity has been taken to incorporate the views of the

© BSRIA AG 11/98 Project Management Handbook for Building Services

The techniques of project management have been practised for many

For building services engineers the success of their input to a project is

Recognising the need for engineers to be good managers as well as good

• develop and promote project management methodologies applicable

The longer term objective is to encourage engineers to realise that being

This handbook has been produced to help forward the Project

Project Management Handbook for Building Services © BSRIA AG 11/98

ACE Association of Consulting Engineers

© BSRIA AG 11/98 Project Management Handbook for Building Services

Project Management Handbook for Building Services ©BSRIAAG 11/98

Toolbox Tl Weighted evaluations 149

Pro forma PI Check-lists for design responsibilities 159

Appendix Al Drawing definitions 183

©BSRIA AG 11/98 Project Management Handbook for Building Services

Table 3.1 Quality/price ratios for projects 16

Figure 2.1 Example plan of work based on RIBA Plan of Work 6

Project Management Handbook for Building Services © BSRIA AG 11/98

This handbook sets out a number of check-lists, tools and techniques

The information is drawn from a variety of sources. The basic

the planning and management of building services design

On any on construction project there may be a number of participants

© BSRIA AG 11/98 Project Management Handbook for Building Services 1

This handbook is therefore aimed at this wide audience. It is hoped that

1.2.1 Construction project managers

The main aim of construction project management is to separate the

Assist in preparing the project manager's brief

2 Project Management Handbook for Building Services © BSRIA AG 11/98

Monitor budget and variation orders

A model form of agreement for use between clients and project

A full index is included to facilitate usage of the handbook.

Guidance has, wherever possible, been presented as groupings of related

1.3.1 Targeted sections

To minimise confusion the following icons indicate for which party or

Building services designer (or design team leader)

Building services installing contractor or specialist

Construction project manager.

© BSRIAAG 11/98 Project Management Handbook for Building Services 3

1.3.2 Reference material

The list of named references has been kept as short as possible to

4 Project Management Handbook for Building Services ©BSRIA AG 11/98

Figure 2.1 provides an example of how the building services

©BSRIA AG 11/98 Project Management Handbook for Building Services 5

Pre-RIBA Plan of Work

Revise Revise Select method of

Select design Final selection of designer

Prepare quality and

Commissioning (see 8.0)

Details of the Process Protocol are given in:

EPSRC, IMI. Generic Design and Construction Process Protocol.

The design and construction process is broken down into 10 distinct

2.2.1 Key features

activities should be grouped into activity zones which identify the

© BSRIA AG 11/98 Project Management Handbook for Building Services 7

Revise Revise Revise Finalise

Final selection of designer

Prepare pre-tender h&s plan

3 DESIGN TEAM APPOINTMENT