2Nd editiON

Small
ProjectS
Handbook
Nigel Ostime
© Nigel Ostime, 2021

Published by RiBA Publishing, 66 Portland Place, london, W1B 1Ad

isBN 978 1 85946 967 5

the right of Nigel Ostime to be identifed as the Author of this Work has
been asserted in accordance with the Copyright, designs and Patents Act
1988 sections 77 and 78.

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 permission of the copyright owner.

British library Cataloguing-in-Publication data

A catalogue record for this book is available from the British library.

Commissioning editor: elizabeth Webster

Assistant editor: Clare Holloway
Production: sarah-louise deazley
Project manager: Alex lazarou
designed and typeset by Alex lazarou
Printed and bound by W&g Baird, Antrim

While every effort has been made to check the accuracy and quality of the
information given in this publication, neither the Author nor the Publisher
accept any responsibility for the subsequent use of this information, for
any errors or omissions that it may contain, or for any misunderstandings
arising from it.

www.ribapublishing.com
Contents
Foreword by Alan Jones v
introduction vi
About the author and acknowledgements x
RiBA Plan of Work 2020 xi

Section I
develOPiNg tHe BRieF
Stage 0 strategic defnition 4
Stage 1 Preparation and briefng 47

Section II
desigN ANd COORdiNAtiON
Stage 2 Concept design 89
Stage 3 spatial coordination 117

Section III
PRePARiNg tO Build
Stage 4 technical design 147
Procurement 173

Section IV
CONstRuCtiON, HANdOveR ANd use
Stage 5 manufacturing and construction 201
Stage 6 Handover 229
Stage 7 use 255

Further reading 274

index 275
image credits 282
Foreword by alan jones
President, rIba 2019–2021

About half of architectural practices in the uK have between one and fve people and a further
quarter have fve to ten. this book is primarily aimed at those practices and covers the sort
of projects they typically work on. But it has advice that is applicable to a wider audience
including technologists, interior designers and Part 3 students.

For over 50 years architects seeking project management advice have been able to refer to
the RIBA Job Book, which contains guidance intended to cover all project sizes, up to multi-
million-pound, complex developments. small projects however have their own, particular
requirements that can be quite different in nature and process. With the introduction of the
frst edition of the Small Projects Handbook, the RiBA published advice specifcally targeted
towards that signifcant majority of practices who make a living from small- to medium-sized
projects. this second edition brings that advice right up to date and in line with the RiBA Plan
of Work 2020.

the elephant in the room for small practices has long been the diffculty they face trying to
make a reasonable income that refects the time it takes to qualify, let alone the years of
experience needed to practice with confdence. this book aims to help in this regard – to
make your practice and project management processes more effcient whilst maintaining the
quality that will help to bring in the next job.

i commend this book for its clarity and direct hands-on approach, and feel sure it will help you
to increase turnover and proft whilst providing value to your clients.

v
introduction
the purpose of this book is to provide a hands-on guide to running small projects aimed at
practising architects, Part 3 students, technologists and other building and interior designers.
A small project is defned here as usually being up to £500,000 construction value. this is
lower than the level set for the frst edition as a result of feedback from practitioners. the
effect has been some change in the project and practice management advice and the action
checklists. the advice given in this book is applicable though to a broad range of projects as
well as a range of practice sizes and building sectors.

the book has an accessible and friendly tone, broken up with case studies and quotes from
small practices to root it in real practice.

As a new addition, the book now includes contributions from experts on key topics, written
with small practices in mind:

Stage 0 – digital technology (Anna liu, tonkin liu)

Stage 1 – Practising environmentally rigorous architecture (Wilf meynell, studio Bark)

Stage 2 – First principles for offsite (Jamie Parr, Bd solutions)

Stage 3 – Planning matters for the smaller practice (Philip Waddy, West Waddy)

Stage 4 – Putting Bim workfow at the heart of small practice (david miller, dmA)

Stage 5 – dispute resolution (Bart Kavanagh, Probyn miers)

Stage 6 – growing your practice – a case study (luke tozer, Pitman tozer)

Stage 7 – Property development (tom Wimshurst, Wimshurst Pelleriti)

there are sample letters and forms covering key issues and web-based accompaniments
including the action checklists, standard letters, forms and spreadsheets that can be down-
loaded free of charge and adapted for a specifc project.

the book gives comprehensive but succinct step-by-step guidance on best practice in
managing small projects aligned to the RiBA Plan of Work 2020. it also includes advice on
project-related practice management, marketing and so on, but without any ‘fat’, focusing on
distinctly practical matters and effective, effcient working practices.

it can be diffcult to maintain a business based on small projects, and this book aims to help
practitioners tighten up their project processes whilst ensuring they perform well and get the
next commission or a referral.

vi
 iNtROduCtiON

it focuses on concerns such as making a proft from small-margin projects, as well as

effciency, outsourcing, collaboration, multi-skilling, self-management, cash fow and so on.

the book gives practical advice on how to manage the work, giving confdence to practi-
tioners that if they follow the advice, they will have done a good job, made a proft and get
repeat business.

Structure of tHe book

each stage is set out under the same headings, recognising the iterative nature of the
project process:

• introduction
• Plan of Work 2020
• inputs
• Activities
• sustainability checkpoints
• Outputs
• expert advice
• Project issues
• Case study
• Practice issues
• Case study
• stage summary

there is a list of references to other useful publications and websites at the end of the book.

While procurement of the contractor can happen before stage 4 is completed, it has been set
out as a stage following development of the technical design as this is frequently the case for
small projects. these activities can however take place from stage 3 onwards if appropriate.

the stage activities are presented as a series of checklists that cover the key actions to be
undertaken. these can be used as an editable project plan and can be downloaded for free at
www.architecture.com/SPH.

it should be noted that whilst the activities are broadly set out in chronological order, it is
important to assimilate all the advice in a single stage before commencing work, as some
activities will occur in a different order in different projects.

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smAll PROJeCts HANdBOOK

Following the activities is the expert advice on a range of key topics, one per stage. then
there are ‘project issues’, giving advice on a range of project-related topics and standard
letters, forms, spreadsheets and so on.

the case studies incorporate images, drawings and narrative from their designers and
demonstrate what can be achieved in a well-conceived and well-managed project.

Prior to the stage summary a range of practice-related issues are covered. Although not
necessarily related to a specifc project stage, these are set out where they are considered
to be most pertinent, with cross-referencing in other parts of the book to aid navigation. the
features covered include:

• Offce management
• Financial management
• Risk management
• People management
• it management, plus CAd and Bim
• Knowledge management
• marketing and business development.

termInology
this book follows the terminology used in the Plan of Work 2020, which can be found at
www.architecture.com by searching ‘Plan of Work’.

small practices are defned by the RiBA as:

micro practices: 1–5 people

small practices: 5–10 people
small–medium practices: 10–20 people

this book covers projects that all of the above are likely to deal with and uses the term ‘small
practice’ to cover all frms up to 20 people in size. indeed, it is likely that some medium-sized
practices (20–50 people) will also undertake the sort of work this book covers.

viii
 iNtROduCtiON

How to uSe tHIS book

the book has been designed to be followed iteratively, stage by stage, as the project pro-
gresses. When the action checklists are downloaded electronically to make a job-specifc
project plan, notes can be added both to plan future activities and as a record of when
specifc tasks have been completed.

the book can also be used as a reference source for the various pieces of advice it contains
on project and practice management and the sources of further reading.

the standard letters set out in this book are also downloadable from www.architecture.com/
SPH. Writing style can vary with the individual so you are of course free to adapt them as you
see ft, but take care not to eliminate any matters that are critical from a legal point of view.
Always take advice when you are not certain of the correct way to deal with a particular issue.
the letters are not intended to be comprehensive in their scope but cover key matters at each
stage of a project.

tHe cHallengeS aHead

At the time of writing the world has been rocked by COvid-19 and it is clear that the economic
and social impact will be signifcant and be felt for many years to come. Whilst this has not
directly affected much of the guidance in this book, it is evident that the advice on how to run
a tight ship will be all the more important as the construction and property industries suffer
from the anticipated economic storms ahead.

One consequence will be how and where we work with other designers and our clients. video
conferencing has emerged almost overnight as a means of providing social distancing. But
it has obvious limitations for the collaborative design process. there may also be changes in
building typologies addressing the increase in home working and the impact that may have
on town centres. Practices will need to be fexible and be prepared to bend with the winds of
change to maintain their turnover and proft.

We are also facing signifcant regulatory change through the Building safety Bill which will
come into full force over the next few years. in part as a refection of this, the ARB and RiBA
are reviewing how architects should be educated and how that education should continue
over the course of a career.

What will not change though is the requirement to act professionally, and we must all keep
this frmly in mind in our day-to-day activities. this book will help you do that.

ix
About the author

Nigel Ostime is an architect with over 30 years’ experience during which he has been
responsible for projects in a wide range of sectors including commercial, residential and
infrastructure. He has long been interested in how to produce high-quality architecture whilst
delivering value and working effciently and this is a core theme of this book.

Nigel is a partner at Hawkins\Brown Architects, an internationally renowned, award-winning

practice of architects, interior designers, urban designers and researchers. Prior to joining
Hawkins\Brown, Nigel established Whiteroom Architecture and was a director of modular
housing provider Rational House. these were both micro businesses that collaborated with
larger businesses to achieve scale, and this experience has fed into this book.

Nigel is an active member of the RiBA. He sits on the Practice and Profession Committee and
has chaired the Client liaison group since its inception in 2013. the group provides an inter-
face between the institute and client bodies and has published a number of infuential reports,
the fndings of which have fed into this second edition. He also set up the Future leaders initi-
ative in 2010, an education programme for business-focused, post-Part 3 skills for architects.

in addition to this book he has edited the last three editions of the RIBA Job Book and the
last two editions of the Handbook of Practice Management and is the author of A Commercial
Client’s Guide to Engaging an Architect and A Domestic Client’s Guide to Engaging an Architect.

acknowledgementS
the author would like to thank matthew thompson for use of his work on client feedback,
Peter godfrey for advice on the professional indemnity insurance market and Adrian dobson
and Neil smith for advice on RiBA chartered practice membership. He would also like to thank
colleagues from Hawkins\Brown: Jake Attwood-Harris for advice on environmental sustainabil-
ity, Jack stewart on digital technology and John Osei-Asiamah on it.

this book has been a collaborative venture and thanks go to all those individuals and prac-
tices who have made fantastic contributions that give the book immediacy and currency.

thanks to the authors of the expert pieces which have added important advice on critical
issues all practices need to get to grips with.

Particular thanks to the many small and medium-sized practices who have contributed some
brilliant and intricately conceived projects. they are a testament to what can be achieved
on a small budget by designers who care enough to deliver more than the client had thought
possible.

x
RiBA Plan of Work 2020
small projects play just as important a part as large, multi-million-pound developments in
creating a better built environment and building the uK economy and as with large projects
they beneft from the structure of the RiBA Plan of Work, around which this book is organised.

the Plan was originally created in 1963 and has gone through iterations and updates on
average around once every seven years. A major change occurred in 2013 and the Plan has
been updated again in 2020. the frst edition of this book followed the 2013 version and this
second edition has been updated to follow the current version.

the changes to the Plan are set out in ‘RiBA Plan of Work 2020 Overview’. it is free to
download (search the title) and you are encouraged to read it.

A facsimile of the Plan can be found overleaf.

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smAll PROJ
PROJeeCts HAN
HANddBOOK

The RIBA Plan of Work

organises the process of
briefing, designing, delivering,
maintaining, operating and
0 1 2 3 4
using a building into eight
stages. It is a framework for
all disciplines on construction
RIBA projects and should be Strategic Preparation Concept Spatial Te
used solely as guidance for Definition and Briefing Design Coordination De
Plan of Work the preparation of detailed
2020 professional services and
building contracts. Projects span from Stage 1 to Stage 6; the outcome of Stage 0 may be the dec

Stage Boundaries: Stage Outcome The best means of achieving Project Brief approved by the Architectural Concept Architectural and engineering All
Stages 0-4 will generally at the end of the stage the Client Requirements client and confirmed that it approved by the client and information Spatially req
be undertaken one after confirmed can be accommodated on aligned to the Project Brief Coordinated and
the other. the site com
If the outcome determines that The brief remains “live” during
Stages 4 and 5 will overlap a building is the best means of Stage 2 and is derogated in
in the Project Programme achieving the Client Requirements, response to the Architectural Sta
the client proceeds to Stage 1 Concept on
for most projects.
Stage 5 commences
when the contractor takes Core Tasks Prepare Client Requirements Prepare Project Brief Prepare Architectural Undertake Design Studies, De
possession of the site during the stage including Project Outcomes Concept incorporating Engineering Analysis and eng
Develop Business Case for
and finishes at Practical and Sustainability Outcomes, Strategic Engineering Cost Exercises to test
feasible options including Pre
Completion. Quality Aspirations and requirements and aligned to Architectural Concept
review of Project Risks and des
Stage 6 starts with the Spatial Requirements Cost Plan, Project Strategies resulting in Spatially
Project Budget Sy
handover of the building to and Outline Specification Coordinated Design aligned
Undertake Feasibility Studies
the client immediately after Ratify option that best delivers to updated Cost Plan, Project Pre
Agree Project Brief
Practical Completion and Project Strategies might include: Client Requirements Agree Project Budget Strategies and Outline spe
Derogations
finishes at the end of the – Conservation (if applicable) Specification Bu
– Cost Review Feedback from Source Site Information
Defects Liability Period. Undertake Design Reviews info
– Fire Safety previous projects including Site Surveys Initiate Change Control
Stage 7 starts concurrently – Health and Safety with client and Project
Procedures Pre
– Inclusive Design Undertake Site Appraisals Prepare Project Programme Stakeholders
with Stage 6 and lasts for – Planning Pro
the life of the building. Prepare Project Execution Prepare stage Design
– Plan for Use Prepare stage Design
– Procurement Plan Programme
– Sustainability
Programme
Planning Note: See RIBA Plan of Work 2020 No design team required for Stages 0 and 1. Client advisers may be appointed Sp
Overview for detailed guidance to the client team to provide strategic advice and design thinking before Stage are
Planning Applications on Project Strategies 2 commences. Sta
are generally submitted
at the end of Stage 3 and
should only be submitted Core Statutory Strategic appraisal of Source pre-application Obtain pre-application Review design against Su
earlier when the threshold Processes Planning considerations Planning Advice Planning Advice Building Regulations Ap
of information required has during the stage: Initiate collation of health Agree route to Building Prepare and submit Dis
been met. If a Planning and safety Pre-construction Regulations compliance Planning Application com
Application is made Planning Information Co
during Stage 3, a mid- Option: submit outline
Building Regulations
stage gateway should be Planning Application Pre
Health and Safety (CDM)
determined and it should Ph
See Planning Note for guidance on
be clear to the project team submitting a Planning Application Su
which tasks and deliverables earlier than at end of Stage 3
ap
will be required.
See Overview guidance. Procurement Traditional
Route
Procurement: Design & Build 1 Stage ER

The RIBA Plan of Work Appoint Appoint

is procurement neutral – Design & Build 2 Stage client team design team ER Pre-contract services agreement
See Overview guidance for Management Contract Appoint
a detailed description of Construction Management contractor
how each stage might be
adjusted to accommodate Contractor-led ER Preferred bidder
the requirements of the
Procurement Strategy. Information Client Requirements Project Brief Project Brief Derogations Signed off Stage Report Ma

ER
Employer’s Exchanges Business Case Feasibility Studies Signed off Stage Report Project Strategies Co
Requirements at the end of the stage
Site Information Project Strategies Updated Outline Fin
Contractor’s Specification
CP
Proposals Project Budget Outline Specification Re
Updated Cost Plan
Project Programme Cost Plan Bu
Planning Application Ap
Procurement Strategy
Responsibility Matrix
Information Requirements

Core RIBA Plan of Work terms are defined in the RIBA Plan of Work 2020 Overview glossary and set in Bold Type. Further guidance and detailed stage descri

xii
 RiBA PlAN OF WORK 2020

3 4 5 6 7

Spatial Technical Manufacturing

Coordination Design and Construction Handover Use

outcome of Stage 0 may be the decision to initiate a project and Stage 7 covers the ongoing use of the building.

Architectural and engineering All design information Manufacturing, construction Building handed over, Building used, operated and
information Spatially required to manufacture and commissioning Aftercare initiated and maintained efciently
Coordinated and construct the project completed Building Contract concluded
completed
There is no design work in Stage 5 Stage 7 starts concurrently with
Stage 4 will overlap with Stage 5 other than responding to Site Stage 6 and lasts for the life of the
on most projects Queries building

Undertake Design Studies, Develop architectural and Finalise Site Logistics Hand over building in line with Implement Facilities
Engineering Analysis and engineering technical design Plan for Use Strategy Management and
Manufacture Building
Cost Exercises to test Asset Management
Prepare and coordinate Systems and construct Undertake review of Project
Architectural Concept
design team Building building Performance Undertake Post Occupancy
resulting in Spatially
Systems information Evaluation of building
Coordinated Design aligned Monitor progress against Undertake seasonal
performance in use
to updated Cost Plan, Project Prepare and integrate Construction Programme commissioning
Strategies and Outline specialist subcontractor Verify Project Outcomes
Inspect Construction Quality Rectify defects
Specifcation Building Systems including Sustainability
information Resolve Site Queries as Complete initial Aftercare Outcomes
Initiate Change Control required tasks including light touch
Procedures Prepare stage Design
Post Occupancy Evaluation
Programme Commission building
Prepare stage Design
Programme Prepare Building Manual

Specialist subcontractor designs Adaptation of a building (at the

are prepared and reviewed during Building handover tasks bridge Stages 5 and 6 as set out in the Plan for Use end of its useful life) triggers a new
Stage 4 Strategy Stage 0

Review design against Submit Building Regulations Carry out Construction Comply with Planning Comply with Planning
Building Regulations Application Phase Plan Conditions as required Conditions as required
Prepare and submit Discharge pre- Comply with Planning
Planning Application commencement Planning Conditions related to
Conditions construction
Prepare Construction
Phase Plan
See Planning Note for guidance on
submitting a Planning Application Submit form F10 to HSE if
earlier than at end of Stage 3
applicable
Appoint
Tender contractor
Appoint
ER CP contractor

Appoint Appoint Facilities Management

Pre-contract services agreement CP contractor and Asset Management teams, and
strategic advisers as needed

Appoint
Preferred bidder CP contractor

Signed of Stage Report Manufacturing Information Building Manual including Feedback on Project Post Occupancy Evaluation
Health and Safety File and Performance feedback
Project Strategies Construction Information
Fire Safety Information
Final Certifcate Updated Building Manual
Updated Outline Final Specifcations
Practical Completion including Health and
Specifcation Light touch Post Occupancy
Residual Project Strategies certifcate including Safety File and Fire Safety
Evaluation feedback
Updated Cost Plan Defects List Information as necessary
Building Regulations
Planning Application Application Asset Information
If Verifed Construction
Information is required, verifcation
tasks must be defned

Further guidance and detailed stage descriptions are included in the RIBA Plan of Work 2020 Overview. © RIBA 2020

xiii
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xiv
section i
deVeloPIng
tHe brIef

stage 0
StrategIc defInItIon
p.4

stage 1
PreParatIon and brIefIng
p.47
 smAll PROJeCts HANdBOOK

Introduction

“Give me six hours to chop down a tree and I will spend

the frst four sharpening the axe.” / abraham lincoln

this book is laid out according to the RiBA Plan of Work 2020, which has been designed to be
fexible for all project types and all forms of procurement, including small projects.

the Plan of Work 2020 is cyclical in nature, recognising the importance of feedback. On
average two-ffths of a practice’s work comes from repeat business. this rises to three-
ffths for large-to-medium-sized practices, dropping to one-third for micro practices, but still
signifcant nonetheless. Providing the opportunity for feedback and maintaining the client
relationship after practical completion is therefore an important part of business development.

stage 0 follows on from stage 7 by way of learning from past experience on previous projects
to improve the next one. in order to drive effciency – a key theme of this book – it is critical
that this is optimised so that the designer is not reinventing the wheel each time a new
project is undertaken. stage 0 is the point at which the frst stage of the briefng process
commences – preparation of the strategic brief. strategic considerations might include con-
sidering different sites, and whether to extend, refurbish or build new. they might also include
the key project outcomes (a mixture of subjective and objective criteria), the likely composi-
tion of the project team and the overall project programme.

stage 1 includes developing the initial project brief and any related feasibility studies. it
should be emphasised though that this is not a design stage. A key theme of this book is
to prepare thoroughly before you commence any activity and that is the essence of stage 1
in particular. too often design work commences before the brief has been fully formed and
this can lead to ineffciency and the need to repeat work. this stage of the briefng process
involves discussions with the client to ascertain the project objectives, the client’s business
case (if applicable) and conclusions from the feasibility studies. it is critical that design
activities are not commenced before the necessary information has been gathered on the site
constraints (and the opportunities offered) and the designer has a full understanding of the
building type, best practice in relation to that building sector, benchmark projects, relevant
regulations and the planning context.

2
 seCtiON i deVeloPIng tHe brIef

the initial feasibility studies will be undertaken simultaneously with the brief development,
but these studies should not go into too much detail – they are strategic studies undertaken
to inform the brief and no more than that.

the necessary offce systems should be in place and implemented from the outset. see the
advice set out under stage 0: setting up an effcient practice.

Also of importance is having an appointment for the services to be delivered that is fully
understood and agreed by the client. this should include a detailed breakdown of activities
and deliverables, set out against the project programme.

stage 0 links to stage 7 from previous projects. All projects should build on knowledge gained
from previous experience which feeds into the briefng process.

stages 0 and 1 are where the project is set up and the necessary knowledge gathered to
ensure a comprehensive optioneering process.

if the project gets off to a good start it has every chance of being successful, proftable
and lead to subsequent commissions. the antithesis to this is a project started before the
necessary preparation has taken place, which will always be diffcult to bring back on track.
Preparation is everything.

• take time to get the project started properly, with a considered brief and knowledge of
the site and building type before design commences. it will be time well spent that adds
value to the end product.
• Programme the work and the project from the start and use the programme as a tool to
manage the project, not just something that is stuck in a drawer and forgotten.
• set up standard project processes and follow them.
• learn as much as you can from previous projects. Reuse what has worked well (designs,
construction details, project processes, other consultants, contractors and so on) and
where possible discard what has caused delay, proved to be a poor design decision or a
business relationship that hasn’t worked.

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smAll PROJeCts HANdBOOK

Stage 0
StrategIc defInItIon

IntroductIon p.5

Plan of work 2020 p.7

InPutS p.8

actIVItIeS p.9

SuStaInabIlIty cHeckPoIntS p.12

outPutS p.13

exPert adVIce p.14

Project ISSueS p.18

caSe Study p.26

PractIce ISSueS p.29

caSe Study p.43

Stage Summary p.46

4
 seCtiON i  stAge 0 StrategIc defInItIon

Introduction

stage 0 involves:

Client:

• identifying the client’s business case (as appropriate)

• developing the strategic brief
• Considering the project programme

Architect:

• Reviewing feedback from previous projects

• Preparing and agreeing the scope of work and the appointment

it is important to remember that stage 0 is the client’s stage. the architect’s involvement is
just in bidding for the work which starts in stage 1. the architect may act as client advisor for
the purposes of preparing the brief and advising on procurement and appointments, but that
would normally be a separate appointment. (see stage 6: Becoming an RiBA client advisor.)

it can be argued that even a house extension has a business case: a homeowner seeking
more space has the option of moving house as an alternative. (With current levels of stamp
duty this is unlikely to be a cheaper alternative but there may be other considerations such
as the quality of space attainable.) there are many reasons why an extension might be the
better option, but all options should be considered and this is the right time to do that.

sometimes the client’s needs may be best met not by building but by some other means.
An offce that needs additional space may be able to achieve it through different working
practices. You may or may not get a fee-paying commission from such advice, but you will
certainly get a reputation for honesty and integrity and this may well be more valuable in the
long term. You should always have the best interests of your client in mind and offer advice
accordingly.

Knowledge gained from previous projects (during stage 7) can be valuable to future ones, and
stage 0 is the time to assess what that might be.

Although not strictly part of a project stage, any projects not coming as the result of repeat
work or a referral will derive from marketing and business development, and these critical
activities are covered in this section of the book.

5
smAll PROJeCts HANdBOOK

value is always a key determinant of success and designers have a duty to understand what
represents value to their clients and then to deliver it through well-considered and executed
work. value can only be determined through dialogue with the client to understand their
needs, whether it is for a house extension or new dwelling, an offce or retail ft-out, or some
form of building enclosure or built intervention for other purposes.

making value judgements

When making a decision on behalf of your client, put yourself in their shoes to
determine the most appropriate way forward. this can be applied to many different
circumstances from broad design decisions to the level of specifcation of ft-out or
equipment to be installed.

ask yourself: if you were paying for it, what would you do?

6
 seCtiON i  stAge 0 StrategIc defInItIon

Plan of work 2020

outcome: the best means of achieving the client requirements confrmed.

the primary goal of stage 0 is strategic – to ratify that a construction project, or otherwise, is
the best means of achieving the client requirements. For example, a client wishing to expand
its workforce has a range of options for accommodating the additional staff, including imple-
menting new ways of working, adopting a more effcient space plan, subleasing premises or
desk spaces close by, carrying out a refurbishment, building an extension or commissioning
a new building.

stage 0 is not about design or the practical details. it focuses on making the right strategic
decisions and capturing them in a business case. the stage involves considering the pros
and cons, project risks and project budget for a range of options and, where necessary,
carrying out site surveys and corresponding planning appraisals, before undertaking a
comparative analysis and recommending and ratifying the best option for delivering the
client requirements.

the project risks consider any circumstances which would affect the delivery of the client
requirements for each option, considering that, beyond this stage, substantive costs could
be incurred. examples might include onerous stakeholder constraints that could delay the
delivery date, or a costly services diversion that could make an option unviable. the project
budget – the funds the client has available for all aspects necessary to achieve the client
requirements – will need to be considered for each option. this will include professional fees
and, where relevant, land acquisition costs. the high-level spatial requirements relevant to
any option may need to be determined as these can signifcantly infuence the estimated con-
struction cost, rents or other costs.

increasingly, stage 0 is about gleaning feedback from previous similar projects and gathering
insight from project stakeholders, making sure that lessons are learned. Knowledge gained
in this way can help the briefng process, improve design quality and make the building
perform better.

stage 0 should not be regarded only as a frst step – it is also the logical next step after
stage 7 in the circular RiBA Plan of Work process. When the end of a building’s life is reached,
it must be refurbished, repurposed for another use or deconstructed.

detailed tasks for stage 0 need to align with the complexity of the challenge and the diversity
and demands of the options being considered for the business case.

7
smAll PROJeCts HANdBOOK

Inputs

1. initial client enquiry/requirements, to be formed into the strategic brief.

2. Feedback from previous projects.

refer to Stage 6.

3. Building sector (e.g. residential, offce, retail, etc) knowledge – best practice data, bench-
mark projects, regulations, etc.

4. Basic site information.

At this stage it may be suffcient to use facilities like Google Earth to get site dimensions
(particularly if the work is speculative), but OS maps can be purchased cheaply and will
give more accurate information. If site dimensions are estimated, make this clear in any
design submissions and develop the design such that it will not be invalidated following
accurate measurement.

5. if in competition: practice profle, project data sheets, Cvs and other marketing material.

6. Offce resource schedule.

refer to Stage 0: fee proposals and appointments and Stage 1: Project programming.

advice on giving advice

Remember that even if you provide pro bono work on a project without a written agree-
ment, you may still be liable in tort for any errors in the advice you give.

Warn the client if you consider their aims unrealistic due to planning policy, site con-
straints, budgetary constraints, etc. Avoid the use of jargon and communicate in a
straightforward manner. try not to appear negative though and look for solutions to
overcome any problems you foresee.

Clients, particularly one-off, frst-time ones such as homeowners, need advisors who
are sympathetic, so develop a ‘bedside manner’ and make sure your advice is focused
on their needs rather than your individual design ambition. Where these are the same
thing you will have found a really great client – assuming they also pay the bills on time!

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 seCtiON i  stAge 0 StrategIc defInItIon

activities

1. Receive enquiry from potential client and review it carefully.

2. make checks on client as appropriate to ensure they are bona fde and have the means to
undertake the project. establish the client’s level of experience.

Note: Domestic clients are ‘consumers’ under the Unfair Terms in Consumer Contracts
Regulations 1999, which imposes a greater requirement on the architect to make sure
they fully understand the terms and conditions of the appointment. Refer to the advice in
Stage 1: RIBA standard forms of appointment.

3. undertake resource assessment including that required in terms of the health and safety
regulations and make decision to proceed accordingly.

If you don’t have the resources in-house consider collaborating with another practice
rather than just declining the opportunity. Your considerations as to whether to accept
the commission may include other matters such as whether it is likely to be a proft- or
loss-making exercise and whether it fts with your overall business plan and profle for the
practice. If you decide to decline, make a recommendation for another practice. In this
way you will have helped the client and be owed a favour from the other practice. Natu-
rally you will need to consider whether this course of action will give unwanted advantage
to the competition!

4. if possible, arrange a meeting with the client to discuss their needs, particularly if you
have not met them before, and arrange a preliminary inspection of the site.

Consider providing the client with a copy of A domestic Client’s guide to engaging an
Architect or A Commercial Client’s guide to engaging an Architect (RIBA Publishing,
2017) as appropriate to help them understand the project process and what to expect
along the way.

make them aware of any Cdm Regulations duties that they might have – dependent upon
the type of project (see also action 9 below).

5. Ascertain the individual (husband, wife, company director, etc) who will have authority to
make decisions and issue instructions.

6. look up the relevant town planning policies. Refer to the planning page of the local
authority’s website and the Planning Portal (www.planningportal.gov.uk). if the building
is in a conservation area or is listed, include the necessary activities/approvals in your
proposal to the client.

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7. Check with your professional indemnity insurers if the project calls for services outside
those covered by the policy. For example, if you are likely to engage other consultants
directly, be called upon to give advice on self-build operations, or act as manager for a
series of separate trades contracts. Cover could also be called into question because
of the nature or scale of operations, or because of stipulations by the client as to the
amount or duration of cover required.

if you engage subconsultants directly, check their competence and resources, par-
ticularly with regard to the Cdm Regulations. Consider the use of RiBA subconsultant
Professional services Contract 2018.

8. Prepare and submit a proposal.

refer to Stage 0: fee proposals and appointments and Stage 0: letter contracts.

9. Notify client of Cdm responsibilities (where applicable) and make sure they understand
their duties.

refer to Stage 0: cdm responsibilities (for clients).

10. if in competition prepare pitch to client.

refer to Stage 0: Perfect pitch – selling your ideas.

11. Negotiate terms and fee as necessary. On agreement of scope of work and fee, issue
appointment documents and arrange for signing by both parties. Alternatively, set out the
proposal letter with a space for the client to sign and date, acknowledging their agree-
ment and then returning a copy to you.

12. Assess whether the project will be undertaken using Bim and act accordingly.

refer to ‘bIm basics’ in Stage 3 and the expert advice in Stage 4.

13. determine whether any other architects have previously been involved and if so, check
their appointment has been properly terminated and notify them of your involvement.

14. visit the site and make a detailed site assessment.

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 seCtiON i  stAge 0 StrategIc defInItIon

15. Prepare site appraisal for the purpose of determining the strategic brief.

16. undertake viability assessment as required.

refer to Stage 1: design development appraisals.

17. Prepare and agree strategic brief with the client.

refer to Stage 1: developing the brief and Stage 1: Project brief proforma.

dealing with project enquiries

Respond at once to approaches from potential clients and submit a practice statement
if appropriate. if the project is of interest, ask for further particulars, including details of
the selection process to be adopted.

Avoid spending unnecessary time on ‘long shots’ or unsuitable commissions. in particu-

lar, avoid being drawn into giving free advice after the initial consultation.

it is important to stress test the project to check internally if the budget and client aspi-
rations are realistic before commencing a lot of work.

Assess carefully what the project will require in terms of practice resources before you
quote a fee. do you have the necessary skills and staff? Can they be made available
for the particular programme? if it looks as if you will be overstretched, can you buy in
skills or subcontract work? see stage 0: Fee proposals and appointments for advice on
project resource planning and a link to spreadsheets that can be used to help with this
activity. Whether prepared manually or as a spreadsheet, this could provide essential
information for a fee bid and be a useful tool for monitoring small jobs.

Refer to the RiBA and ARB codes of practice which can be found at www.architecture.
com and www.arb.co.uk.

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Sustainability checkpoints

if the sustainability aspirations are likely to impact on how the project is defned, then they
should be considered and included in the strategic brief.

SuStaInabIlIty aImS
establish the client’s sustainability aspirations so that these can be properly considered in
preparing your proposal.

actions from Plan of work 2020 overview

• develop high-level, measurable, ambitious and unambiguous project sustainabil-
ity outcomes to defne the client requirements, following initial consultation with
internal project stakeholders.
• undertake a site appraisal of sustainability opportunities and constraints of poten-
tial sites and building assets.
• identify relevant current and emerging global, european, national and local sustain-
ability-related policy and legislation.
• Review relevant post occupancy evaluation feedback from previous projects (e.g.
energy use).
• Review whether development is necessary to deliver the client requirements as one
of the business case options considered.

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 seCtiON i  stAge 0 StrategIc defInItIon

outputs

1. Appointment documentation.

refer to Stage 1: rIba standard forms of appointment.

2. strategic brief.

refer to Stage 1: developing the brief and Stage 1: Project brief pro forma.

3. initial site appraisal.

4. initial viability assessment/development appraisal.

refer to Stage 0: development appraisals.

This should be a high-level study, using benchmark fgures for land value, construction
cost and other costs to arrive at the appraisal. Always be transparent in how you commu-
nicate this sort of work and caveat it as appropriate. Many projects will not need this sort
of assessment, but it is good practice to do it anyway.

5. Relevant building sector information/benchmarking.

6. initial advice on consultant team.

Explain to the client what other input will be required and what consultants he/she will
need to appoint and at what stage in the project.

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expert advice

dIgItal tecHnology
anna liu
 

tonkin liu Architects

it is important in our profession that we imagine ourselves in the future, facing the challenges
our future generations might face. in doing so, we are able to create and build projects that
resonate and sustain for generations to come. We cannot afford to be nostalgic or back-
ward-looking but must wield all of the tools of our time.

digital technology is one of those tools and will continue to advance rapidly. With tremendous
speed and specifcity, it not only gives us astonishing insights into the workings of the envi-
ronment, but also facilitates cost-effective, innovative methods of construction. this could aid
us in making refned, bespoke and optimised buildings for the future, each rooted to its place,
people and time.

WHAt ARe tHe Best WAYs tO iNtegRAte digitAl teCHNOlOgY iNtO tHe PRACtiCe
OF ARCHiteCtuRe?
there is currently a divide between architects who embrace digital technology and those who
do not. the work that these two groups of architects create can be very different.

the process of design and construction requires intuition, and an eye for pursuing a holistic
entity, capable of evolving with the physical, three-dimensional reality of gravity, cost, time,
the brief and people.

Whilst digital technology can be emancipating, it can engender certain pitfalls that architects
should be wary of. Firstly, overreliance on digital technology can blind an architect to the
physical reality of the process of building. Architects who embrace the numerical and data-
driven side of digital technology can err on the side of creating work that is overly complex
and two-dimensional. the fundamentals of gravity and materiality can be forgotten, resulting
in gratuitous forms that have little structural logic and are potentially wasteful of materials.
the use of computation is maturing. Creating complex forms has been made easier as model-
ling is simplifed and there is a considerable amount of work where technology is being used
to solve complex challenges.

secondly, where there is an overreliance on digital technology, an architect’s instinct can be

numbed and underdeveloped. A myriad of fascinating data can automatically produce a myriad

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of design variations. But the designer must determine which is the ‘right one’. designers
may wish for the computer to give them the answer, but the computer can never do this. it is
our intuition as architects for spatial proportion, light, the relationship between rooms, and
the ability to look at different scales and perspectives that will help us home in on the right
solution. Our instincts are developed through our imagination, through grappling with multi-fac-
eted parameters including the elusive and the ephemeral, through using our hands and hearts
as well as the computer. Architects must develop their understanding of technology alongside
learning design skills and be able to use the digital tools as they would the analogue ones.

the tremendous potential of digital technology can be tapped into only if we use our instincts
alongside it, and through innovation.

What does the future look like? We are already facing a climate emergency, and where
two-thirds of the population will live in cities. through digital tools we will have many more
astounding discoveries about the workings of nature, the environment and materials. We will
no doubt develop more advanced digital tools to help us design responses to issues ranging
from providing care for the vulnerable, to monitoring biodiversity, to traffc jams, to weather
patterns, and to building in optimised ways. For cities, this means ‘smarter Cities’. For green
spaces, this means a diverse array of nature and of communities. For buildings, this means
optimised structures and spaces that minimise waste and use of energy. in order to achieve
this, architects must marry their intuition with digital technology.

Shell lace structure

tonkin liu created the architectural shell lace structure, following a decade of research,
as a sheet material that would perform as effciently as items in the natural world. the
sheets were designed through abstracting design principles from the physiological
makeup of molluscs and plants, in collaboration with scientists from the Natural History
museum.

shell lace is a single-surface structural and manufacturing technique pioneered by

tonkin liu in 2009, only possible and affordable today thanks to advanced digital tech-
nology. it is also an innovation that originated in the hands.

the design process began with making. using modelling clay, scissors and paper, the
design team tested forms in a responsive and interactive thought process. With the

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lily unrolled lily Shell lace

Since its invention, the shell lace structure technique has spawned 14 projects ranging from
pavilions to bridges to towers, such as the 40m-tall tower of light in manchester, completed in
2020, to the patent-pending medical stent.

physical model as a guide, the digital model was then built. the design team built the
digital model with Rhinoceros, a 3d modelling program. Complex geometries were
built in successive stages, beginning with simple setting-out grids and developing into
detailed one-to-one replicas of the fnal built form. Numerous iterations were produced,
compared and advanced in a process that yielded more than 50 versions, each one
stronger, more refned and easier to fabricate than the last. the computer-developed
design ultimately yielded a more economical architecture, where material can be mini-
mised and the fabrication processes streamlined.

Stent
tracheal stents are commonly used to support transplants of the trachea and to treat
collapsed airways in instances of throat cancer, trauma, and for the elderly. stents are
typically manufactured as a non-tailored tubular mesh, which due to poor ft makes
them prone to slippage, causing injuries and infection, and often requiring frequent
replacement. the innovative shell lace stent is C-shaped rather than tubular, so that its
geometry can better adapt to the unique physiology of the patient. it is designed to be
manufactured from medical grade silicon, with a perforated surface allowing breathabil-
ity and drug-delivery to the trachea tissues. the stent is inserted in its inverted position,
and then unfurled to provide a fexible and strong ft, with a natural outward pressure
that lessens the risk of migration – a feature designed after analysing the geometric
principles of calla lily petals.

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tonkin liu’s tower of light in manchester

Previously tonkin liu had only used the structure for architectural purposes, such as
ultra-lightweight pavilions, bridges and towers. Alerted to an unmet medical need by a
clinical researcher at a talk they took part in in 2014, the architects set about making
prototypes of possible stents using the structure as their starting point.

they worked with engineers Arup to develop the concept, and secured funding for a
year-long research and development project from innovate uK, the British government’s
innovation fund.

tower of light
the tower of light is the latest in the series of buildings designed by the practice fea-
turing shell lace structures.

developed for manchester City Council and won in competition, tonkin liu’s 40m-tall
biomimetic tower of light sits above the new manchester City Council and vital energi
CHP energy Centre and houses fve ducts serving manchester’s Civic Quarter Heat
Network project. its lightweight, single-surface vertical structure provides stiffness and
strength, with curved 8mm straight sheets at the base and thinner 6mm panels higher
up the tower.

Wind-responsive refectors direct sunlight into the tower’s chambers, creating moving
light.

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Project issues

deVeloPment aPPraISalS
Key to adding value to a design exercise is understanding how to ‘optimise the asset’. if you
are designing for a developer, he/she will probably have considered the cost drivers before
appointing the design team, but you should be able to talk with some understanding of their
business model. in setting up the project and developing the brief you should consider the
following matters:

• value (in £/ft2 or £/m2) of similar properties in the local area. this will give you an upper
level for the overall project budget (having deducted any developer’s proft required).
• typical construction costs for the building type in that location.
• Planning constraints on use class, size, parking/access, etc.
• if appropriate, the relative cost of refurbishment versus new build for this project.

in terms of the design:

• Carefully plan the layout to maximise ‘net to gross’, i.e. the amount of useable space
against circulation space and space that cannot be let.
• design the building so that it can be adapted in the future. Note however that this should
not be at the expense of optimising the current use.
• design buildings to minimise energy use and carbon content (i.e. embedded energy).

this way of thinking is just as relevant to a house extension as it is to a major town centre
development. By making value judgements you will be spending the project budget where it
has the most impact.

Of course, there are other considerations which are more qualitative than quantitative and are
key to producing good architecture, which itself brings value. Consideration of matters such
as public realm, wellbeing and ‘the masterly, correct and magnifcent play of masses brought
together in light’ are also issues that affect value, albeit in a less well-defned way.

fee ProPoSalS and aPPoIntmentS

Fees should be calculated following an assessment of the activities and deliverables required
for each stage and the time and personnel necessary to undertake them. You can use the
action checklists in this book as a starting point. in making this assessment you should
take into account the cost rates for each individual. Refer to Stage 1: Project programming.

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if assumptions are made, for example on the method of procurement, these must be stated.
it is recommended that you set out the proposal in as much detail as you are able and price
individual stages. You should also note the timescale for each stage.

there are two distinct benefts of following this method:

• You will scope (and undertake) no more work than you are being paid for. sometimes
there will be a need to undertake speculative work in order to land a commission, but
you should always be aware of how much work is involved from the outset. this should be
set out in writing and, ideally, a frm, written agreement should be obtained, confrming
that should the project proceed you will be commissioned without competition. Refer to
Stage 0: Letter contracts.
• You will have a means of demonstrating where additional work has been required, which
will be valuable in any negotiations for an uplift in fees.

You should set out a cash fow forecast so that the client can budget his/her expenditure and
to prevent argument as to when fees become due. this forecast can be adjusted if necessary
during the course of the project should there be any delays. Where work stages are more than
six weeks’ duration, it is advisable to set interim (typically monthly) payments.

When following this method of fee calculation, it is advisable to check the total against
previous projects and your understanding of what is typical in the profession. if the total is
higher than you feel likely to achieve, you will need to adjust the scope of work or fnd effcien-
cies in the working method.

it is critical to set the fee at a level that is competitive but also allows you to undertake the
project without risk. You should in any case work effciently – refer to Stage 1: Lean thinking
and creating value – and aim to do the routine activities as systematically as possible.

it is important to assess your costs, principally the time/staff-related ones, and ensure that
you can make a sensible proft. even if you are taking on a project for reasons other than
fnancial ones (e.g. for publicity, competitions, etc), it is good practice to determine how much
time (and therefore cost) you plan to spend, and monitor it.

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rIba fee calculator

the RiBA Fee Calculator, launched in early 2021, is a new digital practice tool that will
help practices prepare resource-based fee calculations, specifcally tailored to their
practice, projects and clients.

Practices enter their full practice details, including company overheads and staff
salaries, and then have the ability to create a fee calculation based on the stages of the
RiBA Plan of Work. the RiBA Fee Calculator generates a cost-based fee calculation and
users have the ability to apply whatever project mark-up/proft they require, based on
their businesses’ commercial requirements.

Further details on RiBA Fee Calculator can be found at architecture.com/fee-calculator.

An alternative method of fee calculation can be found in the RIBA Handbook of Practice
Management, 9th edition.

For very small projects (below around £100,000) a letter contract may be appropriate. Refer
to How to Write Simple and Effective Consultant Appointments in Just 500 Words by sarah
Fox and see also https://500words.co.uk.

there will be occasions when you feel it appropriate to undertake work on a speculative basis.
in these circumstances it is important to record the terms on which the offer is made. the
RiBA Code of Professional Conduct requires members to defne the terms of engagement
before services are provided, and not to make an offer of services unless invited to do so.

demonstrate value
When preparing your proposal take care to present it to the client in a manner that
demonstrates the quantity of work required and the value you will be bringing to the
project. the fee can then be explained and agreed with the client and can form the
basis of a transparent and successful relationship.

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letter contractS and SPeculatIVe work

An offer will provide the basis for a contract and should therefore:

• Be as carefully considered as any other proposal.

• Be addressed to the client.
• state what the offer comprises, the conditions that would apply on acceptance of the
offer and to any subsequent appointment, and the liability for fees arising.
• Attempt to prevent exploitation of the architect by the client, particularly in respect of
copyright.

While a contract requires ‘offer and acceptance’ to be complete, it may be reasonable to

assume that a contract has come into force if, after receipt of an offer, the client actions
imply acceptance. if no response is received, it will be another matter for the architect’s com-
mercial judgement on whether to proceed with the services.

Note: if the response is ‘Please get on with the services and we can negotiate’, it could
make the architect’s position unclear, particularly over the terms of any future contract.

the letter should be written along these lines (see overleaf):

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Dear [Name],

PROJECT NAME

We are obliged to comply with the RIBA Code of Conduct which prevents us from undertaking
work without a written agreement as to the service offered and the fees to be charged. This
letter provides a basis to comply with these requirements to cover the period until a more
formal and explicit contract, as referred to below, can be executed.

We have agreed to undertake [note scope of speculative element of the work] on a specula-
tive basis, but should work proceed beyond this stage fees will be payable as set out below.

[Set out proposal for appointment should the project proceed further.]

If these terms are acceptable, please sign a copy of this letter and return it to us. We shall
then be in a position to start work. We are looking forward to working with you on this project.

Yours sincerely
[Your name]

I/We confrm that [practice name] is to proceed with the preliminary services as set out
above.

[Signed]

[Client’s name] [date]

rIba Standard formS of aPPoIntment

it is strongly recommended that you always use one of the standard forms of appointment
published by the RiBA:

• standard
• Concise
• domestic

exactly as recommended in the guidance notes set out in the contracts. if for whatever
reason this is not possible you should seek legal advice.

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 seCtiON i  stAge 0 StrategIc defInItIon

When setting out in writing the professional services to be carried out, make clear what is
not included, leaving no room for misunderstanding. With a consumer client (such as on a
domestic project) always arrange to meet and talk through the terms proposed in detail,
and make sure the client fully understands them. if you do not, under the unfair terms in
Consumer Contracts Regulations 1999 certain terms may not be considered to have been
‘individually negotiated’ and therefore become void. For domestic projects, use the RiBA
domestic Professional services Contract 2020.

See also Stage 0: Fee proposals and appointments and Stage 0: Letter contracts and
speculative work.

in preparing the 2020 versions of the contracts, largely to follow the nomenclature of the
2020 Plan of Work, the RiBA has made a number of minor amendments throughout the con-
tracts to tighten up on some of the clauses, following feedback from users and construction
lawyers, to make them clearer and easier to understand.

the main content changes in the new professional services contracts are as follows:

• more detailed guidance on the signing and witnessing of contracts.

• updated and more detailed guidance on the various forms of dispute resolution –
mediation, adjudication, arbitration and litigation.
• A feld for the architect/consultant to state who their internal complaints contact is (in
line with the requirements of the ARB and RiBA codes of conduct).
• Additional requirements for the architect/consultant to set out their professional indem-
nity insurance cover for cladding and fre-related issues and/or other material exclusions
or restrictions that might be relevant to the project.
• Revised clauses on novation to include a new defnition for ‘Contractor/New Client’, for
when the architect/consultant is being novated across to the contractor on a design and
build project.
• Removal of the clause stating that the architect/consultant had to obtain written consent
from the client to publish photographs and other information relating to the project
(subject to the standard confdentiality conditions).
• insertion of a new clause in the ‘Fees’ section stating that if the client instructs for a
reduction in the project brief, which in turn reduces the construction cost, the fgure to
which the percentage basic fee shall be applied, up to the date of instruction, shall be
the estimate of the construction cost, or the lowest acceptable tender, at the time of
the instruction.

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cdm regulatIonS 2015 – clIentS

dOmestiC ClieNts
Cdm 2015 makes a distinction between domestic clients and commercial clients who com-
mission construction work as part of their business. A domestic client is any individual who
has construction work carried out on their home, or the home of a family member, that is not
done as part of any business. While Cdm 2015 places client duties on commercial clients in
full, such duties for domestic clients normally pass to:

• the contractor, if it is a single contractor project, who must take on the legal duties of
the client in addition to their own as contractor. in practice, this should involve little more
than what they normally do in managing health and safety risks.
• the principal contractor, for projects with more than one contractor, who must take
on the legal duties of the client in addition to their own as principal contractor. if the
domestic client has not appointed a principal contractor, the client duties must be carried
out by the contractor in control of the construction work.

if a domestic client has appointed an architect or other designer on a project involving more
than one contractor, they can ask them to manage the project and take on the client duties
instead of the principal contractor. this should be a separate appointment to that of archi-
tect/designer. the designer then takes on the responsibilities of principal designer and must
have a written agreement with the client, confrming they have agreed (as principal designer)
to take on the client duties as well as their own responsibilities.

Any designer in charge of coordinating and managing a project is assumed to be the princi-
pal designer. However, if they do not have a written agreement with the domestic client to
confrm they are taking on the client duties, those duties automatically pass to the princi-
pal contractor.

OtHeR ClieNts
Other than domestic clients, all other clients have a duty to ensure that their construction
project is set up so that it is carried out in a way that adequately controls the risks to the
health and safety of those who may be affected. see checklist on page 25. You can also send
your client a copy of the Hse/CitB document ‘industry guidance for Clients’ which can be
downloaded free of charge (search the title to fnd a pdf copy). see also ‘industry guidance
for Principal designers’.

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 seCtiON i  stAge 0 StrategIc defInItIon

clIent cdm cHecklISt

this checklist can be sent to (non-domestic) clients to inform them of their duties.

cdm 2015 clIent dutIeS tIck

Are you clear about your responsibilities?

Have you made your formal appointments?

Have you checked that the principal designer or designer has the capability
and necessary skills, knowledge, training and experience to fulfl their duties?

Have you checked that the principal contractor or contractor has the
capability and necessary skills, knowledge, training and experience to fulfl
their duties?

Have you checked that the project team is adequately resourced?

Has a project or client brief been issued to the project team?

Has the project team been provided with information about the existing site
or structure (pre-construction information)?

Has project-specifc health and safety advice been sought?

Are there suitable arrangements to manage health and safety throughout

the project?

Has a schedule of the key activities for the project been produced?

Has suffcient time been allowed to complete the key activities?

Where required, has an online F10 notifcation form been submitted to Hse
to notify them of commencement of work?

Have you checked that a construction phase plan has been adequately
developed before work starts on site?

Are you satisfed that suitable welfare facilities have been provided before
work starts on site?

Have you agreed the format and content of the health and safety fle?

25
caSe Study
london
anImal
HoSPItal

arcHItect

alma -nac

clIe nt

the london Animal

Hospital

com Pl e tIon date

October 2017

con S tru ctIon co S t

£500,000

SIze

450m2
the london animal Hospital reuses an old ware- A key part of the client’s brief was wellbeing
house set in the back streets of Camberwell, and sustainability. the materials were speci-
highly constrained in terms of access and daylight, fed that provided ease of cleanliness or natural
and generally in a poor state of repair. Alma-nac antibacterial properties. Building materials were
were appointed shortly before construction began checked for latent health impacts, including
when the client was concerned that the design any off-gassing, leading to the use of ecological
and build contractors’ cost projections were too paints and varnishes, and the avoidance of any
high. the design was quickly revised by revisiting mdF, ensuring a space that was as focused on
the brief and negotiating a tender with a contrac- the holistic wellbeing of the patients as possible.
tor trusted by the client. Planning permission for sustainable features were introduced, including a
the change of use had already been achieved 6KW photovoltaic system, air source heat pump
and alma-nac submitted for amendments and to heat and cool the building, and a 2000 litre rain-
conditions during construction. the contracted water harvesting tank.
programme and overlapping of design and con- Bim software was used and all the furniture
struction caused some issues, but a strong was designed for fabrication via CNC. Bim was
relationship and communication between con- used in relation to quantities, schedules and
tractor, client and architect allowed these to be coordinating information.
resolved quickly.

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 seCtiON i  stAge 0 StrategIc defInItIon

Practice issues

Swot analySIS
in order to improve your ‘offer’ to clients it is important to know your strengths and weak-
nesses (‘internal’ matters) and what are the opportunities and threats to your business
(‘external’ matters). this is collectively known as a sWOt analysis, and for a start-up practice
adopting a collaborative approach to project work it might look like this:

Strengths

• good client contacts from previous work experience.

• good knowledge and relevant experience of residential, retail and offce sectors.
• low overheads through working from home and dealing with projects through collabora-
tion with other practices.
• Broad reach and scale through collaboration.
• Recognised ability to optimise a site’s potential.

weaknesses

• limited resources to react quickly to opportunities.

• unrecognised brand.
• limited sector spread.
• limited it skills, so heavy reliance on others for drawings, 3d modelling, etc.

opportunities

• gaining publicity through writing magazine articles and RiBA publications.

• Building a presence in residential market based on association with collaborators in the
sector.
• Ability to manage own time and get better work/life balance.

threats

• Competition from other small practices. Not being able to fnd a collaborator for a particu-
lar project.
• missing the buzz of working in a large practice on large projects.

Keep to the main points but be honest. this is a document only you will see – it is not for
external consumption. Review it at regular intervals and at least annually.

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smAll PROJeCts HANdBOOK

SettIng uP an effIcIent PractIce

Before you can start producing projects effectively you need the backbone of a well set-up
practice, and it is worth investing time in getting this right. Other than paying fnancial divi-
dends over the course of time it will also give you a more professional public face and help to
manage risk. successful practice is as much down to the working environment and business
structures you create around you as it is being a good designer. Key matters to address are:

• Having a well-considered set of QA procedures (whether you choose to be accredited

or not).
• maintaining a schedule of projects, income, cash fow and resource needs.
• setting up and maintaining a core group of collaborators who are trusted and with whom
you can work successfully.
• generating and managing a supply chain for design services (e.g. other consultants), con-
tractors and products suppliers that provide high-quality, good-value goods and services.
• Having a clear programme for marketing and business development that is time-bound
and well-managed and based on the skills and capabilities of the practice and its
collaborators.
• Having clear HR policies (for those employing staff) that enable you to attract and keep
the best candidates.
• developing appropriate Bim capabilities. (see Stage 4: Putting BIM workfow at the heart
of small practice.)
• developing and maintaining a thorough knowledge of the sectors the practice focuses on.
• Regularly reviewing the practice’s core aims and ambitions, and making adjustments
as necessary to refect any changes in the economic and construction industry climate.
Recognising what your strengths are and focusing on those areas.

Note RiBA chartered practices have access to a suite of information to assist on these
matters. See also Stage 6: Benefts of becoming a chartered practice.

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 seCtiON i  stAge 0 StrategIc defInItIon

fIndIng and keePIng clIentS

Marketing spend is lower for architectural practices than most other businesses and does not
change signifcantly with increasing size.

Practice Average marketing Marketing spend

size spend as a percentage of
median revenue

1 person £674 1.5%

2 people £1,071 1.3%
3–4 people £1,468 1.0%
5–9 people £4,425 1.3%
10–19 people £7,757 1.0%
20–49 people £23,813 1.1%
Source: rIba business benchmarking Survey 2019

marketing is key to a successful business and involves listening to what your clients want,
defning what you can offer to them to fulfl that need and selling that capability to them.

so frst you should ask ‘who are my potential clients?’ Concentrate on those most likely to
deliver paid work (measured in quality – e.g. paying on time – as well as quantity).

determine what your ‘dNA’ is and make sure it is visible in everything you do in your market-
ing initiatives.

elevAtOR PitCH
Prepare an ‘elevator pitch’ that summarises everything you want to say about you and your
practice in an interesting way in no more than 30 seconds. even if you don’t fnd many oppor-
tunities to actually put it to use it is a valuable exercise to help get your intended direction
clear in your own mind, and also to help communicate this to your colleagues, employees and
collaborators, as well as your clients.

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smAll PROJeCts HANdBOOK

an elevator pitch
Hawkins\Brown places people at the centre of everything we do.

After all, our buildings are used by people, commissioned by people, and designed by
people. therefore, to best realise the potential of a project, we approach every scheme
creatively, emotionally and playfully.

Our expertise encompasses numerous buildings, developments and regeneration

programmes, as well as interior design and urban planning. Our approach is to be open
and design-led, always rigorous and thoroughly researched.

Our cross-sector knowledge means we know how to get the most out of your site, and
this is increasingly vital in a world in which the way we work, live, learn, travel and
interact continues to change.

if someone asks what you do, cite examples where you have won planning permission,
optimised the value of a site or delivered the project on time and within budget, for
example.

the core aims of the practice that you might cite could include things like:

• Having an opinion but no preconceptions.

• initiating ideas and solving problems.
• structured, creative thinking and clear communication.
• A client focus – listening, not assuming or presuming. Being reliable and having
integrity.
• leadership and taking responsibility.
• Being approachable and open, and embracing collaboration. Commercial under-
standing and managing risk.
• Adopting lean processes and continuous improvement. sustainability and having
respect.
• understanding value and optimising the asset.
• seeing the wood for the trees.

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 seCtiON i  stAge 0 StrategIc defInItIon

clIent feedback
to understand what your clients think of you, consider undertaking a client perception study.
this not only gives you valuable insight but also tells your clients that you are focused on their
needs and prepared to adapt to improve the service you offer.

the sort of questions you ask might include:

• What do you look for in your architects?

• What do we do well?
• What could we do better?
• Where do you feel we have delivered value?
• Where, if anywhere, do you feel we have failed to provide what you had expected to
be delivered?

Create a list that looks into the sort of services you have provided or look to provide. Keep
it short so that people are not put off completing it. it should take them no more than ten
minutes – let them know this.

the RiBA Client liaison group initiated a client survey in 2016, ‘Working with Architects’,
and the results have some invaluable information to help you understand what clients
expect from their designers. the report, ‘What Clients think of Architects’ can be found at
www.architecture.com (go to ‘Professional support’, then ‘RiBA for Clients’).

Here are some common complaints that architects and clients have about each other that
have been learned through the work of the Client liaison group:

Architects about clients:

• until planning consent is secured, they expect us to bear risk in the form of low fees.
• they don’t appreciate the long hours we invest or the complexity of our work.
• they don’t understand the consequences of late changes.
• they agree to value engineering that damages quality.
• they don’t want to pay for quality, which damages our reputation and that of the industry.

Clients about architects:

• Far from sharing our risk, they expect us to cover theirs.

• they are poor time managers and bad team players.
• their poor grasp of business priorities saps our confdence in them.
• their working drawings are inaccurate, not buildable and delivered late.
• they can’t be trusted to stick to the budget.
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smAll PROJeCts HANdBOOK

so what does this all mean?

it is of course down to architects, as the service provider, to patch up the relationship but the
root problems fall into a handful of categories. Architects’ complaints about clients are almost
all to do with being undervalued, mistrusted or the client not appreciating the importance of
design quality. Clients’ complaints about architects are almost all about their attitude to cost
certainty and poor project management.

Asking for client feedback is critical to sorting this out and is a mature acknowledgement of
the tensions that can exist. Architects who actively acknowledge that there can be misunder-
standings and do all they can to head them off are unusual. Practices who can do it well will
steal a march on their competitors.

Feedback need not be something to just seek at the end of the project; it is better to seek it
iteratively during the course of the project to manage any issues as they arise.

the sort of questions you might ask (based on the fndings of the RiBA Client survey) are:

On a scale of 1–10, please indicate the extent to which you agree or disagree with these
statements about our practice:

1. they understand my reasons for starting the project.

2. they manage their work for me smoothly.

3. they are good team players and communicate well.

4. they pre-empt problems and respond quickly and effectively to issues as they arise.

5. their work is accurate and produced on time.

6. they have due respect for my budget and commercial risks.

7. they are good value for money.

8. i would use them again and/or recommend them to others.

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 seCtiON i  stAge 0 StrategIc defInItIon

matt thompson, founder of www.listenback.co.uk, the free client tool for architects,
gives 20 diffcult-to-ignore reasons why architects should get client feedback.

Seeking client feedback:

1. differentiates you from your competitors: not many architects seek client feedback
well or at all, and yet clients value it when you do. take advantage.

2. demonstrates you want to invest in your clients: clients come to the procurement
process with certain prior beliefs about architects. Committing to trying to make
their experience as good as it can be reassures them.

3. demonstrates that you understand clients’ concerns: clients usually feel they are
taking a huge risk in procuring a building when there is no money-back guarantee.
empathy for that risk convinces clients that you are on their side.

4. Improves communication: overtly making room for feedback demonstrates that you
want open constructive communication, known to be critically important in complex
project environments.

5. Improves client satisfaction: research seems to show that the mere act of seeking
feedback makes clients rate you more highly.

acting on feedback:

6. Pre-empts problems and smooths project management: anything that improves

the client’s journey with you and their overall experience of your service will leave a
good taste in the mouth.

7. encourages clients to come back with more work: when things went smoothly
and you attended to the client’s critical needs well, they are more likely to use you
again.

8. boosts your reputation: good experiences change prior beliefs, biasing your client
in your favour. they can’t help promoting you to their business contacts, building
your reputation.

9. attracts new clients and improves your win rate: your burgeoning reputation
gets you noticed. the feedback data you collect can be shared in bids as robust
evidence of what you are like to work with. Both put your business on a more
resilient footing.

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smAll PROJeCts HANdBOOK

feedback generates business intelligence and insights:

10. Informs business development strategy: analysing your benchmarking data for
correlations tells you where your strengths and weaknesses are, giving you clues
about where to target your business development efforts.

11. Informs service/workfow improvements: opportunities to improve how you deliver

your service will show up, allowing you to take advantage of them.

12. Informs strategic direction: trends in your feedback scores are sensitive to stra-
tegic changes you make in your business, allowing you the agility to tweak your
direction in response.

13. Improves morale, motivation and staff retention: good feedback scores, especially
if they are tracking upwards, can be used to motivate staff. this helps in the bid to
hold on to talent.

14. attracts talent: client feedback will attract talent keen to prove themselves
against real outcomes.

15. Informs training investment: drop-offs in feedback scores can signpost where
training investment is needed or how to focus your CPd efforts. since the factors
rated in the feedback are business-critical, you can be confdent that this is money
well spent.

16. guides marketing focus: shout about particularly good feedback on your website,
on social media, in press releases and so on.

17. can elicit quotable endorsements: complimentary comments captured during

feedback sessions can, with permission, be published as endorsements in market-
ing copy.

Importantly, client feedback benefts your clients by:

18. reassuring that you are focused on them: your clients will be reassured that you
understand their needs and speak their language.

19. Pre-empting problems: an overt, active client feedback strategy will catch
problems early and nip them in the bud, leading to fewer delays, errors and
misunderstandings.

20. building trust: points 1–19 all serve to counteract negative biases against
architects, which is refreshing and builds that most precious ingredient of
success: trust.

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 seCtiON i  stAge 0 StrategIc defInItIon

wInnIng work
Whilst the two are closely related, business development is a separate series of activities to
marketing. Whereas marketing is more broadly focused and deals with market research, brand
management and getting your core messages out into the marketplace, business develop-
ment is targeted at the important matter of landing the next job.

KeY CONtACts
the most successful businesses are often based on relatively few long-term key clients
and it is worth investing time in these individuals and developing a depth of understanding
about their business needs and plans. Bear in mind that clients could be contractors, other
construction professionals or indeed other architects in a collaborative or subconsultancy
agreement. in that case, make sure there is a clear understanding, set out in writing, about
the split of work and duties and the responsibilities of each party.

NetWORKiNg
the construction industry is built upon relationships and having a good personal network is
essential for long-term success. the key to successful networking is not to look for short-term
opportunities from a particular event (it doesn’t work that way!), but to meet as many people
as possible and look for ways you can help them – such as by giving advice, introducing them
to someone useful to them and so on. this will ultimately form strong relationships that may,
in the future, provide opportunities. using the CRm spreadsheet (see stage 7) you should
keep in touch with your key contacts, prioritising those most likely to give you work.

CONFeReNCes
Another way to meet people is by attending conferences and exhibitions within your target
sectors/spheres of interest. However, enrolment fees for conferences can be high, added
to which there is the time lost out of the offce earning fees; so, although they can be
an excellent way of meeting relevant new people and gleaning the latest thinking on a
particular subject, they must also return the value of investment, so choose which ones to
attend carefully.

speaking at conferences is always worthwhile and will reinforce your credentials in that
sector. if you are interested in this sort of activity get in touch with conference organisers and
let them know what you could contribute to future events. And entry is free!

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smAll PROJeCts HANdBOOK

R&d
As an alternative to a general practice brochure, consider identifying a potential project, for
example to prepare proposals for developing derelict or underused land, or fnding new uses
for redundant buildings and then to target specifc clients on the strength of the proposed
scheme. You must however consider how much time you can afford to spend on such an
exercise, and stick to it. make use of any specialisms you have and focus on these, e.g. sus-
tainability, retroft, restoration, specifc building sectors and so on.

COmPetitiONs
Competitions can provide opportunities that would not otherwise be open to small practices,
but be clear in your mind why you are doing them and what outcome you are hoping for. Plan
what resources will be required to do the job properly, and only go for projects you have a
reasonable chance of winning or will, at least, provide good marketing material from the
design output.

Social media
An instagram account can be a good way of sharing small glimpses of your practice and
its work, and the feed can be added to your website to provide fresh content for clients.
instagram is quick, mobile and easy to use, making it suitable for practices of all sizes,
especially those without a dedicated marketing or photography coordinator.

linkedin can also be a helpful way of connecting with your clients. Adding new projects
to your Cv ensures that any client who searches for you or your practice will see the full
breadth of your expertise.

twitter is also used widely by journalists and the media, and all practices should
consider having a twitter account. However, engagement is far lower than with insta-
gram. small practices should focus on using one or two social media channels well,
rather than risk using a lot of them badly.

Facebook is not useful for businesses.

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 seCtiON i  stAge 0 StrategIc defInItIon

Video
video can be another great way to market your projects. You can tell the complete
story of a project in a two- to three-minute video, which can be helpful in attracting new
clients. include short snippets of interviews with the project architect in the video, as
well as shots of the building. many architectural photographers are also expert flmmak-
ers. the video can be hosted on Youtube or vimeo and added to your website.

How much time do architects spend on winning work?

the average fee earner’s time spent developing new work is around 13% for small
practices, which equates to around fve hours/week/person. this is a signifcant
overhead so must be undertaken as effciently as possible.

in practice it can be diffcult to fnd time for these ‘off-line’ activities in between
pressing project deadlines. However, they are critical to running a successful business,
so set aside a particular part of the day (or week) to make the necessary preparations,
send emails and make phone calls, and do your utmost to stick to it.

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PERFECT PITCH – SELLING YOUR IDEAS

“As an architect you have got to be able to design, to speak convincingly
and to take instructions.” / Tim Bailey, xsite architecture

Allow time for prepArAtion

Don’t short-cut preparation time so that you have to ‘ad lib’ on the day. preparation is not just
knowing what you want to say but also being prepared to answer questions, so make sure you
know as much about the background to the project and the building type as the client does.

preconceptions count
By the time you stand up to speak you have already missed your greatest opportunities to
infuence the outcome. these include correspondence before the meeting, the way you walk
into the room and introduce yourself, and what you say while you set up for the presentation.
take care to remember people’s names and use them when you say goodbye at the end. Don’t
repeat them too often during the pitch however as this can appear patronising. research
shows that perceptions are enormously infuenced by tone of voice and appearance, as well
as visual imagery. in reality, only a small proportion of the words spoken are actually remem-
bered in detail.

show you cAre

the project must be as important to you as it is to your client and you must demonstrate to
them that you have the right attitude and care enough to deliver them value and creativity.
Ask questions and centre the pitch on their needs, keeping it relevant. Don’t focus too much
on you – other than the project itself, show them you know about their business, competitors,
history and goals and what is important to them.

Keep to the AllotteD time

Don’t just keep talking until the interviewer tells you your time has run out. take care to listen
closely to any questions and answer them carefully, but once you’ve fnished the pitch, don’t
continue trying to sell. Always follow up with a brief email or letter saying how much you
enjoyed meeting them and look forward to the opportunity of working with them. you can also
reiterate the key messages of the pitch, but don’t overdo it.

reinforce your BrAnD

you should always take the opportunity to reinforce your core messages so as to give con-
sistency and help potential customers understand where you sit in the industry and what your
key offer is.

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 seCtiON i  stAge 0 StrategIc defInItIon

web deSIgn adVIce

A well-designed website is the single most important weapon in your marketing arsenal. it
is the frst place a potential client will look for background on your experience and capabil-
ities. its design will need to refect your brand – are you a high-end, creative design studio,
a practice specialising in the production and construction stages or one that preaches the
importance of the same practice following the project from concept to completion? there is
no right or wrong way.

A simple website can be built using off-the-shelf packages such as Adobe dreamweaver
www.adobe.com/uk/products/dreamweaver.html or serif www.serif.com.

A space to host the website will also be needed, and a domain name registered (companies
such as www.names.co.uk offer packages incorporating both of the above as well as the
facility to check whether a chosen domain name is available). many architects need a faster
web host and a virtual private server (vPs) or managed hosting service will provide this.
Providers include guru (my.guru.co.uk) and Fasthosts (www.fasthosts.co.uk). they are a little
more expensive but offer the same domain name availability, registration and hosting.

Alternatively, free online tools such as google sites or blog platforms such as WordPress
(www.wordpress.org) provide quick and relatively easy methods of creating a web presence.

Without proper web design experience or knowledge of setting up a web space and domain, a
website can lack a professional feel and look amateurish in comparison to those of your com-
petitors. if budget allows, it is best to use a professional website designer to build a bespoke
site to a design brief.

using specifc keywords and additional tools such as google Analytics (www.google.com/
analytics) can also increase visits to a site. Once a website is up and running, depending
upon its functionality, this can be used as a tool for embedding email shots and other promo-
tional tools.

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CReAtiNg imPACt ON YOuR WeBsite

Your website is probably the most important means of communicating with your clients and
prospective clients, collaborators and so on. Remember the following points when design-
ing it.

look at the websites of architects you admire or who are providing a similar service to
yourself to get ideas.

the homepage should be memorable and say something about the practice. some websites
have little more than an intriguing image and a link to the site; others choose to present
critical information such as contact details and a summary note on what the practice does.
decide what sort of practice you aspire to be and select a suitable approach, but whatever
you do it should aim to differentiate you from the competition. the homepage must say at a
glance what your business is, what sort of work it aims to produce and the way it goes about
producing it (e.g. are you design-focused or process-focused, front-end or ‘executive’ archi-
tects – or all of these, and what geographic areas do you cover?).

make sure visitors to the website can navigate and fnd what they want easily and quickly.
draw a map of all the pages you want and how they are to be connected. make sure visitors
can get back to the homepage from any other page. make the page structure simple to under-
stand, and if your contact details are not on the homepage make them easy to locate. try to
follow the three-click rule: that a user of a website should be able to fnd any information with
no more than three mouse clicks.

Only show images (possibly including drawings) of your projects that reinforce your brand and
only use the best ones. set them out by sector and/or date. don’t write long descriptions;
people don’t generally spend more than a minute or two browsing a website, so rely on the
images to tell the story.

Adding share buttons is a simple way of optimising your design for social networks. Blogging
is another way of keeping in touch with your network, but make sure you update your blog
pages regularly.

42
caSe Study
HIdden
HouSe
LONDON

arcHItect

Coffey Architects

clIe nt

Private

com Ple tIon date

2017

con S tru ctIon co St

undisclosed

award S

2017 RiBA london

Awards – winner

2017 RiBA House of the

Year – shortlisted

2017 AJ House of the

Year – shortlisted

2017 Bd individual
House Architect of the
Year Award – shortlisted
Hidden House is a new one-storey dwelling in the its prominent neighbour, hidden from view – a
centre of Clerkenwell green Conservation Area, primary consideration for any development on this
london. it’s diffcult to fnd. the home sits above extremely sensitive site.
former prison vaults belonging to the Clerkenwell the interior of the home is defned also as a
House of detention, built in 1847, and next to a perimeter wall of oak panelling, upon which sits
former victorian school, Kingsway Place. Both a foating transparent punched roof, delineating
are grade ii listed buildings. Previously occupied living spaces below, bathed in light. Ocular roof
by a caretaker’s shed, the site is defned by a tall lights allow views to the sky and to the heavy
perimeter brick wall, in which the design carefully decoration of the adjacent elevation of the former
carves a space for the new residential dwelling, school building, whilst the vertical sliding doors
nestling itself respectfully next to and above in the front elevation reveal views into a large

44
 CAse studY HIdden HouSe

well-kept shared garden. the small home enjoys AXONOMETRIC DIAGRAM

two bedrooms, two bathrooms and a living/dining 1. Occular rooflights
kitchen area with its own small private external 2. Interior datum of Oak panelling
space. Hidden House successfully connects the
residents to the landscape and sky and borrows
the grandeur of the adjacent listed buildings to
create an internal spatial monumentality.
the home is undoubtedly demure, a spatial
delight hidden in the thickness of a listed building
curtilage wall.

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Stage summary

this stage is all about setting off on the right foot. to do that you need to understand your
client (where possible, spend time to get to know them), understand everything about the
site and the building type, have standard offce and project systems in place, and establish
an agreed, written appointment. if you do this you have every chance of developing a well-
conceived building, making a proft and developing a sound relationship with your client. Cut
corners and you will always be open to errors. As the adage goes, ‘a stitch in time saves nine’.

the strategic project brief and initial feasibility studies developed in stage 0 will be developed
into the initial project brief.

46
 seCtiON i  stAge 1 PreParatIon and brIefIng

Stage 1
PreParatIon and brIefIng

IntroductIon p.48

Plan of work 2020 p.48

InPutS p.49

actIVItIeS p.50

SuStaInabIlIty cHeckPoIntS p.56

outPutS p.58

exPert adVIce p.59

Project ISSueS p.65

caSe Study p.76

PractIce ISSueS p.79

caSe Study p.82

Stage Summary p.85

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Introduction

stage 1 can be considered as the fnal part of setting up the project for success. it involves:

• developing the strategic brief into the initial project brief.

• Considering the composition of the project team and appointing any members needed for
the initial stages of the project.
• Preparing the project programme and identifying the project deliverables.
• developing high-level options that refect the range of solutions that could meet the stra-
tegic brief and help to inform the initial project brief.

For all projects, but particularly small ones, it is essential that a clear scope of work is agreed
for optimum effciency and to ensure that precious time is not wasted on activities that don’t
add value. see Stage 1: Lean thinking and creating value.

getting the brief right is time well spent that will pay dividends further down the line.

rIba Plan of work 2020

outcome: Project brief approved by the client, and confrmed that it can be accommodated
on the site.

if stage 0 has determined that a building project is the best means of achieving the client
requirements, the client team begin the briefng process during stage 1. the client require-
ments for the project are considered in more detail, in connection with a specifc site or sites,
and the outcomes recorded in the project brief.

the project brief will contain guidance on the project outcomes, sustainability outcomes and
quality aspirations. these may infuence how the client, design and construction teams are
assembled to form the project team, as part of the procurement strategy, and may dictate the
core milestones in the project programme. some clients give detailed, prescriptive briefng
guidance, while others leave such considerations to the design team.

this stage is about developing the information that the design team will need to commence
the design process at stage 2. Feasibility studies might be required in order to tease out the
full range of briefng considerations and to demonstrate that the spatial requirements can be
accommodated on the site. in some instances, several options might be prepared, but these

48
 seCtiON i  stAge 1 PreParatIon and brIefIng

options should not be vetted and appraised at this stage. Feasibility studies are not part of
the design process. For example, illustrative masterplan visions might be prepared in order
to determine and shape the brief, and to tease out decisions that will be required on certain
topics, but they are not part of the design process itself. As there is a direct correlation
between cost and a building’s area, the spatial requirements do need to be tested against the
project budget. the design team, with appropriate knowledge, skills and experience to deliver
the project outcomes, needs to be selected, ready for stage 2 to commence. On smaller
projects, this team may already have been appointed to develop the project brief.

As the construction industry uses more digital tools and nudges towards greater uptake
of whole life considerations, the information landscape is becoming more complex. the
information requirements are therefore set at stage 1, including whether the design team
will deliver prescriptive information or descriptive information in stage 4. A responsibility
matrix also needs to be prepared so that it is clear what tasks will underpin the production
of information and who will undertake them. the matrix needs to focus on the boundaries
between stage 2 and stage 3 tasks, and between the design team and any specialist
subcontractors at stage 4. A project execution plan should be prepared, and a digital
execution plan will allow the design team to set out how they will produce the information.

A comprehensive set of site information needs to be sourced, including site surveys, ready for
stage 2 to commence.

Inputs

1. site data, including:

• Ordnance survey map, Z map (www.zmapping.com), vu.City (www.vu.city), etc.

• site and/or building survey drawings.
• Notes, sketches and photographs made during initial visits.

2. initial site appraisal.

3. strategic project brief.

This should include the client’s requirements, budget, project timetable and timetable for
services.
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4. Relevant building sector information, regulations, etc.

5. Relevant planning policy documents.

6. Bim protocol (if appropriate).

7. if available, health and safety fle for the existing building with information on site hazards
or references to work carried out previously.

activities

1. Open project fles and allocate a job number to the project in accordance with your offce
procedures.

2. Agree the schedule of services, design responsibility matrix (where there will be other
consultants) and information exchanges.

Check the scope of professional services agreed with other consultants as they are
appointed to ensure there are no gaps in the service provided to the client.

3. Prepare a high-level project programme.

refer to Stage 1: Project programming.

4. Obtain from the client the project requirements, budget and timetable and any other
project data being supplied by the client. Check these carefully, question incompatibili-
ties and agree priorities.

Alert the client straight away to key issues that may be missing from these requirements
and will need to be addressed in the project brief, such as strategy for accessibility,
security policy and environmental policy.

5. explain to the client the options for procurement and note any matters which could affect
the particular choice.

refer to ‘which contract?’ 6th edition (2019) for advice on this.

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6. develop the town planning strategy.

Check the planning situation with the local planning authority. For example:

• Whether there is any existing relevant permission, approval or consent which is still
current.
• Whether the proposed work requires planning permission and, if so, which applica-
tions would be relevant.
• Whether there are special circumstances that need to be considered (e.g. listed
building, conservation area, etc.).
• Whether an environmental impact assessment will be expected.
• Whether there is a known existence of hazardous substances or conditions due to
earlier uses, likelihood of archaeological remains, etc.
• Whether there are plans for compulsory purchase or any land take proposals (e.g. for
road improvements) which could affect use of the site.

refer to Stage 3: Planning matters for the smaller practice.

7. undertake or procure a measured survey as appropriate. if the client is procuring

the survey, ascertain the scope of it to make sure it encompasses everything that will
be needed.

Note: The survey should only be procured and undertaken once a built project has been
determined to be necessary, or likely to be necessary.

refer to Stage 1: Surveys.

it is also good practice to ascertain ground conditions early as this can substantially alter
the design and would be problematic after planning permission had been granted. An
initial idea of ground conditions can sometimes be found by consulting the local Building
Control department.

8. Obtain information on the existing mains services supplies.

9. Obtain information on the existing traffc/highways/access conditions.

10. Check whether there are restrictions on site development potential due to mains or
cables either below ground or overhead, and whether or not the site is subject to ease-
ments or wayleaves.

Check the position and capacity of mains drainage and services supplies from statutory
undertakers. Alert the client at an early stage if it appears that there may be issues

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concerning the development that may require approval/agreement of adjoining owners,

e.g. whether rights of light, boundaries, rights of way, such as for fre escapes or access,
will be affected.

Note: These will normally be dealt with by the client’s solicitors, but they may take a con-
siderable time to negotiate.

11. Check whether notices under the Party Wall etc Act 1996 may be needed.

refer to Stage 4: Party wall procedures.

12. Check whether third parties, e.g. landlord, estate surveyor, lessees, adjoining owners,
etc, will need to be consulted. initiate preliminary consultations (if this is part of your
agreed duties) when authorised by the client.

13. Review the site information and prepare feasibility studies.

14. develop the client’s requirements into an initial project brief, or assist the client in devel-
oping an initial project brief.

Preparation of the initial project brief is an important task and the time required to
prepare it will depend on the complexity of the project. See notes on brief preparation
below in this stage.

15. develop the project outcomes. refer to the rIba Plan of work 2020 overview.

16. Advise the client on the need to appoint a cost consultant and other consultants or
specialists. Confrm who will make the appointments, the basis of agreements and the
scope of such services. list the other consultants in the appointment agreement and any
project quality plan.

Be clear about the professional services needed. If other consultants and specialists are
needed, be prepared to explain their roles and responsibilities. The guidance to the RIBA
Plan of Work 2020 may be a useful tool at this stage for mapping out the tasks that must
be performed and identifying who will perform them, although it should be noted that it
may not list all appointments that are needed.

Try to secure the client’s consent that all professional appointments are on mutually inter-
locking agreements with similar, if not identical, contractual conditions.

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17. Advise the client on statutory and other legal obligations, including:

• the need for various approvals under national legislation concerned with planning
and building, and the additional requirements of any local legislation or legislation for
the particular building type which might apply.
• the fees payable to the relevant authority at the time of these applications.
• the obligations of a client under the Cdm Regulations, and other health and safety
legislation, as appropriate, including the need to appoint a principal designer, where
the law requires this (if not already done).
See pp. 24 and 75 for advice on the cdm regulations.
• the duties of the client as building owner under the Party Wall etc Act 1996, includ-
ing the possible need to appoint a party wall surveyor and the rights of adjoining
owners to appoint their own surveyors.
• Possible duties of the client under Part iiA of the environmental Protection Act 1990,
if the site may contain contaminated land.

18. establish procedures for the client to ‘sign off’ briefs, designs, etc at relevant stages. Be
strict about keeping to deadlines for reports and other submissions to the client. set frm
dates for approvals, instructions to proceed and the supply of information.

19. Where appropriate, assemble the project team and defne the members’ roles and respon-
sibilities and the information exchanges.

For Stage 2 to commence in earnest, it is essential that the team is properly assembled.
The RIBA Plan of Work 2020 advocates the defnition and establishment of the project
team during Stage 1. This ensures that the roles and responsibilities of each organisation
are clear before commencement of Stage 2: concept design.

20. Where appropriate, confrm the design team composition and identify a project lead and
lead designer (usually the architect).

21. For Bim-enabled projects, where appropriate appoint an information manager, whose role
should include the following:

• explaining to the client the benefts and implications of implementing Bim.

• Advising on the extent to which Bim should be used on the project.
• determining the roles and responsibilities of each member of the project team with
regard to the Bim process and the model.
• leading other consultants in preparing the Bim project plan.
• defning and communicating the Bim inputs and outputs.
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• in conjunction with the other consultants, reviewing and signing off the model at
agreed stages.
• issuing data from the model at the appropriate times.
• liaising with the contractor, subcontractors and suppliers to integrate their design
data into the model.
• Arranging for the model to be passed on to the client’s facilities manager at practical
completion (unless the architect is to maintain a role in this regard).

22. if appointed as information manager:

• Prepare Bim protocols and agree them with the other members of the design team.
• defne the responsibilities of the other members of the design team in this regard.
• defne long-term responsibilities, including ownership of the model.
• defne Bim inputs and outputs and scope of post occupancy evaluation (soft
landings).

refer to Stage 3: bIm basics.

23. establish or review project quality management procedures together with relevant proce-
dures for all design team members.

Consider preparing a project execution plan and agree its format with the client and
design team.

Note: Whilst normally associated with larger projects, this need not be a complex or
lengthy document and is a useful reference to ensure all members of the project team
understand the scope and programme of the project and their responsibilities and the
communication procedures to be followed.

refer to Stage 2: Project plan pro forma.

24. Agree working methods and procedures with the design team members, including:

• means for integrating and coordinating work and inputs.

• Compatibility in systems, software, etc.

25. establish a programme and pattern for design team meetings.

Where applicable the principal designer should be included to provide advice and assis-
tance to both client and design team. The architect is generally the most suitable person
to perform the role of principal designer, particularly on small projects.

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26. monitor offce expenditure against fee income:

• set up offce procedures for recording time spent on the project, by whom and the
rates chargeable, and for noting expenses and disbursements incurred.
• set up procedures for regularly checking expenditure against the offce job
cost allocation.

27. Arrange for regular reports to be provided to the client on fees and expenses incurred,
and for accounts to be submitted at agreed intervals.

28. inspect information provided by the client, including the health and safety fle, if appli-
cable. it is important to identify at the earliest possible stage whether there are special
conditions which will affect the viability of the project, e.g. contaminated land, asbestos
in existing buildings.

29. Review the client’s budget fgures and identify the sums included for construction work.

Review the client’s requirements, programme and budget to assess compatibility. if they
are not in balance, report this to the client and seek clarifcation on priorities.

refer to the rIba briefng template and tracker.

30. Provide information for the construction cost estimate. the report on cost implications
should be structured under appropriate headings. it will normally be prepared by the
cost consultant, if appointed. On jobs where there is no cost consultant, construction
cost estimates may need to be prepared by the architect – the appointment must make
this clear.

31. Prepare stage 1 report which should contain the information from stage 0 plus:

• initial project brief (as an update to strategic brief).

• town planning appraisal.
• Feasibility report, to include development appraisal information as required.
• Preliminary cost information/appraisal.
• target project programme.
• environmental sustainability targets.
• Note on procurement options and preferred option.

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Sustainability checkpoints

SuStaInabIlIty aImS
during stage 1 the sustainability aspirations should be considered and included in the initial
project brief, defning criteria to be met as appropriate. A budget, procurement route and
design process should be established that will promote the realisation of those aspirations,
and a project team with the required resources, skills and commitment assembled.

actions from Plan of work 2020 overview

• use feedback from post occupancy evaluation, precedent review data, site surveys
and past experience of the client’s facilities management team (if applicable) to
state clear, deliverable and ambitious sustainability outcomes in the project brief.
• use feasibility studies to verify that the sustainability outcomes can be achieved on
the site within the project budget.
• verify local authority sustainability requirements (e.g. enhanced regulatory require-
ments or assessment methods to be used).
• defne certifcation requirements, including timetable for assessor appointments
and early stage client actions.
• identify sustainability expertise required, include it within the responsibility matrix
and appoint consultants.

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key SuStaInabIlIty actIonS

1. ensure that a strategic sustainability review of client needs and potential sites has been
carried out, including reuse of existing facilities, building components and materials.

2. if the client is a business, ask them to identify someone in a senior management position
to be a sustainability advocate and/or appoint a sustainability champion within the
project team.

3. initial consultation with stakeholders, identifcation of local planning authority sustain-

ability requirements and appraisal of existing building, social, transportation, water,
energy, ecological and renewable resources, including the need for pre-construction or
seasonal monitoring or surveys, should be undertaken.

4. Confrm that formal sustainability targets, environmental requirements, building lifespan

and future climate parameters are stated in the initial project brief.

5. Review options for formal assessment of aspects of sustainability and/or energy perfor-
mance (e.g. BReeAm, leed, Passivhaus). establish a timetable for associated assessor
appointment and early stage actions.

6. include a simple description in the initial project brief of the internal environmental condi-
tions that the client requires.

7. Agree how to measure performance in use, what incentives there will be to achieve
project outcomes and what action is appropriate if anything falls short.

8. develop potential energy strategies, including estimated energy demand calculations,

options for renewables and implications for building or site design.

9. develop water effciency strategies to establish similarly robust performance targets.

10. set out sustainable drainage systems (suds) and surface water retention requirements.

11. Consider climate change adaptation criteria and future performance standards.

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outputs

1. stage 1 report/feasibility study.

The feasibility study will establish the basis upon which the project should proceed. It
may be that the job is not feasible at all, or that the client’s requirements, programme
and cost limits cannot be reconciled. The report should analyse and appraise needs, give
an environmental assessment and offer possible options, together with recommendations
for the way forward. It will probably include conceptual drawings and diagrams. Make sure
the report is comprehensive, soundly researched and objective.

These need only have as much detail as is necessary to establish the range of options
that could meet the client’s aspirations. You should draw them in such a way that they
can be easily understood by the client, but take care not to get into too much detail as
this is likely to be wasteful of time and effort.

If you are in competition you will probably need to develop the option studies in greater
detail to win the work, but the extent to which you undertake speculative work must be
weighed against the anticipated overall beneft of winning the commission and the effect
on other fee-paying work you are already undertaking.

2. the initial project brief.

3. A construction cost estimate to assess or confrm viability.

4. Cdm design risk register noting any potential signifcant hazards that will need to be
considered.

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expert advice

PractISIng enVIronmentally rIgorouS arcHItecture

wilf meynell
 

studio Bark

Client attitudes to the environment vary from not caring at all, to fastidious. there are also
clients who think they want a low-energy building, until they realise that this puts limitations
on other aspects of the design such as the slim sight lines of their window profles or the
lovely texture of board-marked concrete – not to mention cost!

As practitioners, architects need to decide whether they will be bolder and stand up for the
planet, maybe turning away projects that don’t ft with their environmental manifesto. many
have signed up to ‘Architects declare’, but how many are now turning away work that doesn’t
ft with the declaration?

some architects will promote an environmental approach, but then not stand up to client chal-
lenges when asked to value engineer low energy and/or natural materials out of the building.
Clients sometimes need to be challenged on environmental topics and architects who want to
promote an environmental agenda will need to decide whether to walk away from a project if
the client’s aspirations do not meet those of the practice.

the environmental balancing act

Over the past six years studio Bark have become more accustomed at turning away
work that doesn’t align with our principles, but this has been a long and hard journey.
sometimes we have had to make tough decisions on certain projects where the fnan-
cial health of our business has taken precedent. On these occasions we have needed
to work extra hard to try to gently infuence our clients towards a greener way of
thinking. in general, this has worked to some degree and over a project’s duration it
can be very rewarding to see an attitude shift. it has always been a delicate balance.
On a few occasions the polarity between views has led to very tricky situations at key
points in the project. the most heartening thing about our short time in practice is that
our principled approach to environmentalism has helped defne our brand a little more
clearly and therefore we tend to get enquiries from clients who are already on the road
to environmental enlightenment.

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upskilling
there are many accredited CPds that are rife with greenwash, so being critical of
commercially driven information and instead being targeted about how you train for
the climate emergency is essential. it is very easy to learn bad science! Join a good
network or go to good events put on by organisations like Architects declare, Architects
Climate Action Network (ACAN) and london energy transformation initiative (leti).

the RiBA 2030 Challenge and sustainability Outcomes guide outlines ambitious
targets for the profession and the RiBA has a CPd programme that supports the
delivery of these. look on www.architecture.com.

the university of the West of england (uWe) delivers an introduction to Zero Carbon
Buildings through a fve-lecture series.

look at:

• uK green Building Council website: https://www.ukgbc.org/courses-and-events/.

• Anthropocene Architecture school: email info@anthropocenearchotectureschool.
co.uk.
• CiBse webinars: https://www.cibse.org/knowledge/growyourknowledge.
• ACAN Youtube channel:
https://www.youtube.com/channel/uc6-f-lor5kygaiHQo28PlwQ.
• think Resilience Course: https://education.resilience.org/course-options/.
• the RiBA Academy – the Core CPd programme includes two environmental sustain-
ability courses:
– the principles of building physics and energy-effcient strategies, and
– energy retroftting historic buildings.

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StePS to deSIgnIng a truly enVIronmentally SenSItIVe buIldIng

PROJeCt AmBitiON
defne your project ambition and discuss this with your client. You may consider using the
RiBA sustainability Outcomes guide (2019) to better steer your discussions. Ask yourself:

• Are you aiming for building regulations compliance or a more strenuous test such as
leed, BReeAm or Passivhaus?
• do you or your client have other ambitions, for example toxin-free healthy buildings using
natural materials?
• Are you aiming for net zero carbon or a whole life zero carbon approach?
• does the usP of your business represent the project that both you and your client want
to deliver?

it can be tough to trump design or cost issues with environmental considerations, so it may
require creative thinking to demonstrate other, tangible benefts, for example the healthy and
hygroscopic nature of wood fbre insulation over the more toxic hydrophobic nature of PiR.

tHe site
think very carefully about the site and make sure you understand both its physical and envi-
ronmental parameters.

• How does the sun move around the site?

• What physical manifestations shade it, such as buildings, or trees?
• Where does the prevailing wind come from and is the site exposed or sheltered?
• What fora and fauna do you already have on site and what might you be able to attract?
• What is under the ground and will it be energy intensive to dig into it?

On the wrong site, the wrong structural solution could have the greatest environmental
impact of any other decision you make. Once the site is understood, only then can a really
strong design concept be developed.

FORm ANd lAYOut

Following your understanding of the site, what of the above factors might start to steer the
design, noting also that you will most likely have a client brief to integrate?

• How do you encourage natural light into the key spaces, without exposing the building to
too much solar gain?

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• is the form of the building simple enough to reduce your surface to volume ratio?
• Have you avoided unnecessary accoutrements which will be hard to detail and may lead
to cold bridging?
• Have you carefully considered what your ventilation and cooling strategy is: will you use
mechanical systems or natural ventilation principles?

A signifcant number of environmental considerations need to be made in the initial concept

design stage. the natural environment has potential beneft itself. For example, solar gain
can be a problem, but when considered and incorporated carefully into a thermal mass and
natural ventilation strategy can contribute positively to a low-energy building. most seemingly
negative factors can actually be used to your advantage if the building science is carefully
considered. For example, an exposed passive ventilation stack should be exposed to solar
gain and overheat as this will make the stack more effective at pulling fresh cool air through
the building.

emBOdied eNeRgY
• Have you mapped local materials and can any of these become integral to the design
evolution from day one, reducing reliance on complex chains of custody and reducing your
embodied energy impact?
• How much have you assessed buildability (in the frst instance) and then adaptability for
a changing future?
• Have you incorporated circular design principles?
• Are your materials either recyclable or ideally reusable?
• Have you avoided composite materials that are hard to separate at end-of-life?
• Have you considered what fxings are used in the building, such as glues, nails or screws,
as this can have a substantial impact on the whole life carbon of the building?

there is a good deal of greenwash around material specifcations and their environmental
credential claims and it is often hard to sift through the good, the bad and the ugly. smaller
environmentally friendly start-ups fnd it hard to get BBA/Ce approvals for their materials,
which can make it challenging for them to enter the market. it is therefore sometimes neces-
sary for the architect to promote materials through design and take a measured risk, working
with building control and sensible detailing practices to press for innovation. For studio Bark
this is what makes architecture exciting: the ability to create beautifully detailed architecture
that is good for people and planet.

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PeRFORmANCe ANd OPeRAtiONAl eNeRgY

• With regard to project ambitions, how carefully are your design decisions aligning with
your targets?
• Have you designed an appropriately simple form which is suffciently affordable to ensure
plenty of well-detailed insulation and good air-tightness?
• is the building’s space heating demand kept to a minimum?
• if you’re going for Passivhaus (or even if you’re not), have you hit a benchmark of
15 kWh/m2/yr?
• Have you carefully considered the consumption rates of your sanitary ware ensuring you
are meeting sustainable Water Cycle targets?

Operational energy considerations must go hand in hand with embodied energy and the
industry must move towards a type of architecture where whole life carbon becomes a new
baseline. let’s have a shifting baseline syndrome going in the right direction for once!

u-build – a sustainable, modular solution

u-Build is a modular timber construction system developed by studio Bark to be easy
to build, enjoyable to inhabit and simple to deconstruct at the end of its useful life.
the system removes many of the diffculties associated with traditional construction,
empowering individuals and communities to construct their own homes and buildings.

the system uses precision CNC machining to create a kit of parts. the hybrid offsite
approach removes many of the diffculties associated with traditional construction,
harnessing the accuracy, speed and repeatability of offsite manufacture. the
components are simple enough to be produced in a small local CNC fabricator, rather
than a large framing factory. self-builders can assemble components on site without
heavy lifting gear, or specialist training, enabling the building shell to be assembled by
people with limited construction experience.

the offsite production process reduces errors and inaccuracy to a minimum. Any waste
timber that is produced is contained in a clean, central location, making it easy to
transfer to a specialist recycling facility (as opposed to timber waste on site, which is
easily contaminated).

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u-Build is designed for disassembly and the frame is based on a limited number of
standardised components. Projects can be disassembled, moved to a new site and
reassembled in the same or a different confguration, rather than ending up in landfll.

Whole life costs are reduced through a robust ‘fabric frst’ approach including high
levels of insulation and inherent airtightness.

mill lane (shown above) is the home of a retired couple situated on a quiet street in
essex. the georgian cottage has been extended multiple times during its long life. its
most recent addition uses the fat-pack u-Build system (frame cost £80,000), which
enabled the couple to take an active role in the construction.

see also Box House case study on p. 266.

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Project issues

SurVeyS
Along with the brief and relevant building sector knowledge, proper inspections and surveys of
sites and existing buildings are essential at an early stage; and poor site information can lead
to problems later. When considering the survey, you must establish:

• the kind of survey needed and precisely what is to be surveyed.

• Who will carry out the survey – the architect or a land or building surveyor.
• Who will pay for the survey and where liability will rest in the event of errors.
• the boundaries of the site to be surveyed or the limits of the building.
• that access/keys will be available.

refer to the rIba Health and Safety guide (2020).

visuAl suRveY CHeCKlist

• general context and character, outstanding visual features.
• Any construction work currently under way.
• traffc movement patterns, noise, pollution.
• derelict areas, nearby blackspots, visually detracting features.
• Aspect, orientation, shelter, overshadowing from adjacent buildings or trees.
• Properties adjoining the site, their condition, usage, evidence of subsidence, fre risks,
party walls, etc.
• Possible health and safety hazards.
• Adjacent waterways, railways, busy roads.
• Possible restrictions on site access, delivery or site working.
• Possible restrictions due to sensitive building uses adjacent, e.g. hospital, nursery
school, law court.

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site suRveY iNFORmAtiON

the information presented in the survey plans and reports might be expected to include the
following:

• site boundary.
• Outline of existing buildings.
• Boundary fences, access ways, garden and adjacent walls; their height, profle, material,
ownership and condition.
• ditches, ponds, waterways above or below ground.
• Rights of way/access (check with client’s solicitors, local authority).
• spot levels at appropriate intervals, plus:
– services covers, etc.
– Pavement kerbs and road crowns where they enter the site.
• indicate all services above and below ground adjacent to, connecting into or crossing the
site with relevant levels, falls, heights, access points, manholes (show cover levels and
inverts).
• Pylons, posts (show headroom). soil and surface water drains.
• Water mains.
• electricity cables.
• telecommunication cables.
• gas mains.
• Any other services.
• trees, hedges and large shrubs, their height and position, spread of branches and
diameter of trunk 1 metre above ground level.

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suRveYs OF existiNg BuildiNgs

the measured survey drawings might show:

• Plans, sections, elevations.

• elevational features, e.g. plinths, string courses, openings.
• Precise levels at foors, datum, thickness and construction.
• levels of external ground.

A written report might include information that cannot be shown graphically, such as:

• structural and other defects and their causes.

• dry rot, damp penetration, condensation.
• infestation by rodents, beetles and other insects.
• Recent repairs and decoration.
• settlement cracks, misshapen openings, gaps at skirtings and windows.
• Walls that are misaligned or have bulges.
• sagging roofs, defective roof coverings.
• defection of beams or lintels; cracks at beam bearings.

the survey should state whether or not it was possible to see inside the building and if so
what could be seen. it is important not to infer the state of the whole building from sight of
one part of it. Where appropriate, the client should be advised to call in specialists in particu-
lar areas, e.g. mechanical, electrical, timber treatment.

Statement on limitations
A statement on the following lines should appear at the end of the relevant part of the
report (as stipulated in most Pi insurance policies):

It has not been possible to make a detailed examination of the foor or roof construction
except at the positions described because material damage would have been caused in
gaining access. It is therefore impossible to make any statement about the condition of
the unexamined structure.

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deVeloPIng tHe brIef

the brief should be developed alongside the emerging design in three stages with increasing
levels of detail:

Stage 0 – strategic brief

Stage 1 – initial project brief
Stage 2 – Final project brief

stRAtegiC BRieF
the strategic brief should clearly state the client’s objectives and what they wish to achieve
with the project. it will refer to functional requirements, environmental standards, level of
quality, lifespan and maintenance, and should be seen as the basis for feasibility studies.
it should also outline the sort of decisions that need to be made and who will be the key
decision makers in the process.

iNitiAl PROJeCt BRieF

the initial project brief will cover the technical, managerial and design intentions, and shows
how these requirements are to be met. it will be based on a number of sources, including the
feasibility studies; site or building survey and studies; research into functional needs; environ-
mental considerations; statutory constraints and construction cost estimate.

FiNAl PROJeCt BRieF

the fnal project brief should further defne the design requirements and should be signed
off by the client after approval at the end of stage 2. Any subsequent changes should be
recorded, identifying their impact on the project and architect’s services, and formally agreed
with the client.

Client-led changes can be a key factor in reducing proft margin, and recording change is
therefore a critical activity. it may not be possible to agree additional fees for all changes but
if after a while they become signifcant, having a record of them will be invaluable in the nego-
tiation process. Beware of ‘commission creep’ and note that the RiBA appointments include
provisions for the charging of additional fees where additional work is instructed.

refer to Stage 2: managing project-related change.

Refer to the RiBA Briefng template and tracker which can be accessed by RiBA members
through www.architecture.com.

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Project brIef Pro forma

geNeRAl
this checklist can be used to develop the brief across all three stages:

• Project objectives – a ‘mission statement’ including the context of the project, overall
scope and purpose, client’s objectives, requirements and priorities, and what is expected
in response to the brief.
• How the success of the project will be measured.
• statement on image and quality.
• Client’s organisational structure and function (where appropriate) and spatial
relationships.
• target programme, including any phasing.
• statements on size and capacity requirements and functions to be accommodated.
• technology to be incorporated or accommodated, including equipment, services and it.
• Quality requirements for materials, construction and long-term maintenance.
• Key targets for quality, time and cost, including milestones for decisions.
• life expectancy of building and components, fexibility to accommodate future reorganisa-
tion, allowance for future expansion or extension.
• user’s considerations (where this is not the client).
• Health and safety policy.
• Functional requirements of direct client/user client.
• Preferred spatial relationships.
• Agreed project Bim protocols (if appropriate).
• Procurement process.
• method for assessing and managing risks and validating design proposals.
• Outline specifcations of general and specifc areas.
• servicing options and specifcation implications, e.g. security, deliveries, access,
workplace.

site
• likelihood of archaeological discoveries.
• Known development plans for surrounding area.
• leasehold/freehold interests and party walls, rights of light, access or other known
easements.
• site constraints (physical and legal), opportunities, etc.

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smAll PROJeCts HANdBOOK

• site history, topography and geology.

• exact location of boundaries.
• services below ground and known restrictions on development.
• Known problems with the site, e.g. geological conditions, hazardous substances, presence
of contaminated land.
• Known problems with existing building, e.g. presence of asbestos.

PlANNiNg ANd BuildiNg CONsideRAtiONs

• statutory requirements.
• Known constraints arising from previous consents or conditions.
• likelihood of planning gain or section 106 agreement.
• impact of the local development plan.
• statutory or agreed space standards.
• Other stakeholders, e.g. Historic england.
• likely parking requirements.
• Access requirements, including disabled access.

eNviRONmeNtAl
• Client’s environmental policy (if appropriate).
• internal and external environmental requirements.
• Operational and maintenance requirements.
• Options for environmental control.

FiNANCiAl
• Capital expenditure budget and cash fow constraints.
• Approximate cost per square metre.
• grants, subsidies or information relating to tax advantages, e.g. vAt.
• Budget for all elements.
• targets and constraints on operating expenditure and other whole life costs.

PROJeCt stRAtegies (tO Be develOPed FROm stAge 2 ONWARds)

• Conservation (if applicable).
• Cost.
• Fire safety.
• Health and safety.

70
 seCtiON i  stAge 1 PreParatIon and brIefIng

• inclusive design.
• Planning.
• Plan for use.
• Procurement.
• sustainability.

refer to the rIba Plan of work 2020 overview for advice on project strategies.

Project ProgrammIng
Project overruns are frequently the source of a reduced proft margin and it is essential that
you plan resource needs when preparing the fee proposal and then monitor them at least
weekly. it can be diffcult to assess progress on the initial stages where the design process
is iterative but regardless of the work stage you should set out all the activities into a simple
gantt chart that follows the timescales noted in your proposal. Follow the advice in ‘stage
1: lean thinking and creating value’ to help manage waste in the design process. A format
for resource planning and monitoring spreadsheets can be found in the RIBA Handbook of
Practice Management, 9th edition, and these are also available from www.architecture.com/
riba-books.

the programme is a key tool and should be referred to regularly throughout the project.

use the programme to assess in-house resource requirements and the overall duration of
each stage in the design process. it can then be used to measure progress, particularly if
activities are linked and a critical path set out as a result. it can also be linked to other
project team members’ programmes, and where the design team is working collaboratively, a
single, integrated project programme can be developed.

should the activities slip, the appropriate action should be taken to put it right, such as
increasing personnel. this will obviously have an effect on the project’s cash fow so make
sure this is managed as well. ultimately, however, if a project starts to slip you will need to
fnd out if the client will accept a slip in the programme and if not, you will need to agree
measures to bring it back on track. there will be occasions when slippage is due to matters
outside your control or variations to the brief, in which case you will need to agree an exten-
sion to the design programme and, if appropriate, additional fees.

the programme can start as a ‘high-level’ strategic tool with more detail added as the project
progresses. the contractor will of course be responsible for maintaining and managing the

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construction programme during stage 5. A simple programme can be created in ms excel or,
for more sophisticated programmes providing critical path analysis, ms Project can be used.
For more graphically sophisticated programmes use visio through microsoft 365. See also
Stage 3: IT management.

lean tHInkIng and creatIng Value

One of the key areas where time can be wasted is in the design process. Whilst it is important
to explore all the options at the beginning and determine the one that best meets the brief
and the client’s aspirations, developing options in detail that are later dropped does not add
value. instead the aim should be to progressively fx the design, obviating the need to revisit
decisions made in earlier design stages.

this can be achieved by following these guidelines:

• don’t start designing until you’re ready

Have the necessary information with respect to the brief, the site and all necessary
knowledge of the sector (e.g. residential, retail, etc) and the pertinent regulations,
planning constraints, etc before you put pen to paper.
• establish your design agenda
Know what you want to achieve in terms of quality, cost, marketing value (from the
practice’s point of view), etc and of course the client’s ambitions. For example, are you
prepared to spend more time (and generate less proft) because the building has high
marketing potential for the practice?
• undertake design activities collaboratively
see below for advice on optimising the value of design workshops.
• use your expertise
ensure that the people with the best knowledge on a given matter are involved in all key
design decisions.
• don’t change what you have fxed
use progressive fxity and avoid revisiting decisions made during a previous design stage.

desigN WORKsHOPs
Rather than auditing design output after it has been developed (and potentially having to take
corrective action), ensure that the design work is properly informed at the beginning through
collaborative design workshops. these can provide an environment in which all the knowledge
necessary for the specifc design activity can be located in one place. to derive the most

72
 seCtiON i  stAge 1 PreParatIon and brIefIng

beneft from the workshop, it is important that design is actually undertaken there rather than
it merely being a place to collate data to be used in the design. Having those with the best
knowledge sitting around the table will ensure that the best expertise available within the
practice is applied:

• to every project
• at the right times in the project cycle
• in the most effective way possible.

this can feel a somewhat counter-intuitive design methodology. Architects’ training involves
working largely on their own and evaluating their solutions through critical review by peers,
after the design stage has been completed. to work effectively the knowledge-led design
process needs to be part of the ethos of each individual and used consistently.

tiPs ON BRAiNstORmiNg
there are four basic rules in brainstorming. these are intended to reduce social inhibitions
among group numbers, stimulate idea generation and increase overall creativity of the group.

• focus on quantity
this is a means of enhancing divergent production, aiming to facilitate problem solving
through the maxim ‘quantity breeds quality’. the assumption is that the greater the
number of ideas generated, the greater the chance of producing a radical and effective
solution.
• withhold criticism
in brainstorming, criticism of ideas generated should be put on hold. instead participants
should focus on extending or adding to ideas, reserving criticism for a later ‘critical’ stage
of the process. By suspending judgement, participants will feel free to generate unusual
ideas.
• welcome unusual ideas
unusual ideas can be generated by looking from new perspectives and suspending
assumptions. these new ways of thinking may provide better solutions.
• combine and improve ideas
good ideas may be combined to form a single, better idea. this can stimulate the building
of ideas by a process of association (i.e. the experience of a stimulus leading to the
effects of another due to repeated pairing).

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smAll PROJeCts HANdBOOK

KNOWledge-leAdeRs
establish knowledge-leaders – individuals within the practice with recognised skills and
expertise in certain felds, which might include creative design, sustainable design, technical
design and the principal sectors you operate in, such as residential, retail, etc.

these individuals should have the responsibility of maintaining and developing knowledge
in their feld and injecting it into the project design process through the design workshops.
Once appointed to a project, a knowledge-leader should remain involved with it through to
completion.

For micro practices this goal might be achieved through knowledge-sharing and collaboration
with other practices or individuals who have complementary experience.

a brief note about ‘value’

Knowledge management facilitates continuous improvement, a cornerstone of the lean
design principles that originated in the motor industry. lean thinking is focused on
effciency and the elimination of waste, and is based on fve principles:

• specify what creates value from the customer’s perspective.

• identify all steps across the whole value stream.
• make the activities fow.
• Only produce what is pulled (needed) by the customer on a just-in-time basis.
• strive for perfection by continually removing successive layers of waste.

For an explanation of these points and more advice on lean design in the construction
industry you can refer to www.leanconstruction.org.

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 seCtiON i  stAge 1 PreParatIon and brIefIng

cdm regulatIonS 2015 – PrIncIPal deSIgner dutIeS

if appointed as principal designer, you must discharge the duties in compliance with the Cdm
Regulations 2015:

• Plan, manage, monitor and coordinate the pre-construction phase of the project, taking
into account the general Principles of Prevention to ensure that so far as is reasonably
practicable, the project is carried out without risks to health or safety.
• Provide assistance to the client in the preparation of the pre-construction information
required by Regulation 5(2).
• manage the design team to identify and then eliminate, or control, so far as is reasonably
practicable, foreseeable risks to the health and safety of any person carrying out or liable
to be affected by construction work; maintaining or cleaning a structure, or using a struc-
ture designed as a workplace.
• Facilitate cooperation of all persons working on the project.
• monitor designers’ compliance with their duties in Regulation 10.
• Provide pre-construction information in a convenient form to every person designing the
structure; and every contractor who has been or may be appointed by the client.
• liaise with the principal contractor as appropriate for the duration of the project and in
particular regarding any information which the principal contractor may need to prepare
the Construction Phase Plan or which may affect the planning and management of the
construction work.
• Prepare, and otherwise review and update the health and safety fle, containing infor-
mation relating to the project which is likely to be needed during any subsequent
construction work to ensure the health and safety of any person, including the informa-
tion provided in pursuance of Regulation 5(d) client’s duty in relation to the health and
safety fle; Regulation 10(3)(iii) designer’s duty in relation to the health and safety fle;
Regulation 12(i) & (j) principal contractor’s duty in relation to the health and safety fle.
• At the end of the construction phase, issue the health and safety fle to the client. if the
principal designer appointment ends before practical completion of the works, pass the
health and safety fle to the principal contractor to complete.

Refer to the Hse document l153, managing Health and safety in Construction, which is avail-
able to download free of charge, and which provides comprehensive guidance alongside the
wording of the regulations.

75
 caSe Study
dulwIcH
PaVIlIon
LONDON

arcHItect

iF_dO

clIe nt

dulwich Picture gallery,

london Festival of Archi-
tecture and Almacantar

com Pl e tIon date

may 2017

con S tru ctIon co S t

£110,000

award S

2018 Civic trust Pro -

tem Award – winner

2017 Blueprint Awards,

Best small Project
– winner

2017 AJ Architecture
Awards, Budget Project
of the Year – highly
commended

2018 d&Ad Awards,

spatial design/
installation design –
wood pencil

2017 Architectural
Review emerging
Architecture Award
– shortlisted

2018 Architizer A+
Awards, Pavilions
– shortlisted
the dulwich Pavilion was commissioned to the competition was won by iF_dO in January
celebrate the bicentenary of the dulwich Picture 2017, and had to be completed by the opening
gallery, and as the fagship for the london Festival of the lFA on 1 June that year. there were less
of Architecture 2017. than four months in which the project had to gain
A temporary public structure, it was designed planning permission, be technically designed,
to engage with the historic built context, procured and constructed. Planning permission
landscape and visitors alike. Conceptually, it was granted by Committee on 25 April, and it
responded to the solidity and monolithic nature of commenced on site the following day.
sir John soane’s gallery building, and the porous, the lightweight structure was developed
ever-changing nature of the landscape. structur- through close collaboration between architect,
ally, the pavilion was lightweight and minimal, engineer and fabricator, and demanded precision
comprising a timber truss roof suspended over a in both design and manufacture. Bespoke steel,
level timber deck supported on three fxed slender aluminium and timber components were fabri-
mirrored panels. All of the remaining mirrored cated off site, in advance of planning permission
panels were moveable or removable, creating a being granted. this allowed for rapid and effcient
fexible space enabling numerous confgurations construction with minimum disruption and environ-
for different events. A fxed bar/cafe pod opened mental impact to the historic grounds.
up when in use to reveal a serving area.
77
 0 1 2 3 4 5M

78
 seCtiON i  stAge 1 PreParatIon and brIefIng

Practice issues

fInancIal management
Whilst making money is not the primary reason most architects go into practice, poor fnan-
cial control is often the reason they go out of business. Proft is essential as it ensures that
the practice will continue to exist and grow in the future, and sound fnancial management,
particularly with respect to the collection of fees, is of fundamental importance.

A practice’s fnancial management system should include the following:

• A long-term plan setting out ambitions and targets.

• An annual business plan budget setting out anticipated income, expenditure and proft.
Once set, this should not be altered, but should be used as a benchmark to monitor
against during the year ahead.
• shorter-term, usually monthly but more frequently if circumstances demand, forecasts of
income, expenditure and proft.
• A project-based system for forecasting and monitoring resource needs and other project
costs.
• monthly management accounts reporting performance against the budget and forecasts.
• A system of ledgers and timesheets to record invoices issued, cash collected, time spent,
supplier invoices received, and other expenditure.

it is now more important than ever to run a tight ship and manage cash fow through the
business. these are some of the more important matters to bear in mind:

• Plan annual expenditure ‘bottom up’, by assessing needs and then checking affordabil-
ity against projected income and proft. if the sums don’t add up, assess priorities and
adjust the plan accordingly.
• distinguish between invoices that are 100% secure, have a signed appointment and an
agreed programme, and those that retain elements of risk. Assess the risk and allocate
a cost that refects that. For example, if a project is reckoned to have a 50% chance of
proceeding, put half of the fee income into the forecast.
• Produce a monthly management account to show performance against the annual budget
and the previous month’s forecast in terms of income, cost and proft. Keep it simple and
use it to spot trends and as an aid to plan additional/reduced spending as well as simply
monitoring and recording performance. to work properly, this activity requires regular
input of income, expenditure and time records.
• Closely monitor cash collection and deal with late payment as a top priority.

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smAll PROJeCts HANdBOOK

• make sure invoices are sent out as soon as possible in line with the appointment
and agreed cash fow. the invoice should clearly set out what it relates to, how much
has been paid previously, what is being invoiced at this time, and, if relevant, the vAt
payment (make sure to include the practice’s vAt number). either the invoice itself or the
covering letter should confrm any preferred payment methods and the timetable for set-
tlement. You should then send reminders for accounts that have not been settled on time.

A spreadsheet can be set up using fxed percentages to cover the prevailing rate of employer’s
National insurance contribution, overhead allowance and ‘productivity factor’ (the percentage
of the full potential working year that an individual is likely to spend on income-producing
work, excluding holiday and an allowance for sickness and working on administration or
other non-income-producing work). ‘Other employment costs’ (pension contribution, other
insurances, car allowances, etc) and proft percentages (to calculate charge-out rates) need
to be established on an individual basis. As noted above, this calculation can be done either
by individual or by grade of staff. in the latter case it will be necessary to establish average
fgures for the grade in question.

the practice will need to calculate its overhead cost allowing for all non-productive costs
(including such things as rent, rates, insurances, administrative staff, marketing, business
development, etc), and establish how to apportion these to the individual or grade rates. Once
this is done, a resource-based fee projection should be established by estimating the number
of staff that will be needed to provide the required services on the project, and the number
of person hours needed at each stage. this, multiplied by their hourly rates, will produce the
estimated cost to the practice of undertaking the project and thus inform the fee sought.

vAt ANd smAll PRACtiCes

most practices are limited companies, and it is sensible for small practices to incorporate
as well. For micro practices, particularly sole practitioners, you can decide whether or not
to register for vAt. strictly speaking it is only necessary to register if the company’s annual
earnings are over HmRC’s prescribed threshold (currently £85,000), although practitioners
may choose to register regardless of anticipated income to project the image of a larger
business. if the intention is to take on larger commercial projects, clients will generally expect
to pay vAt and not charging it may not necessarily be a beneft to them. this approach would
not suit a practice intending to work on house extensions and other similar-sized projects,
however, where the increase in cost might make them uncompetitive against other small
practices. the set-up can be changed relatively easily but this should be part of the initial

80
 seCtiON i  stAge 1 PreParatIon and brIefIng

business-planning process. if the business is vAt registered it can be set up on a fat rate. For
architects this means only paying 14.5% of the gross fgure (i.e. the fee + vAt amount). this
fgure is reduced to 13.5% in the frst year of trading. this reduces the administration required
but expenses cannot then be offset separately as they are considered to be subsumed within
the lower rate. You should check the current arrangement on www.gov.uk and search ‘vAt
fat rate scheme’.

Refer to the RIBA Handbook of Practice Management, 9th edition and the RIBA Fees
Calculator (see Stage 0: Fee proposals and appointments).

81
 caSe Study
water
tower
CASTLE ACRE
NORFOLK

arcHItect

tonkin liu

clIe nt

Private

com Pl e tIon date

February 2020

con S tru ctIon co S t

£570,000,
tower build only
(excluding fees,
landscape, road, shipping
container accommodation
ground foor)

SIze

160m2
the water tower that once provided water to the on the skills, labour and commitment from
village of Castle Acre was left in a state of disre- the community.
pair, only to be saved by a Water tower enthusiast the spatial quality of each space is celebrated
who bid against a scrap metal dealer at auction. as part of the overall composition. the rusty tank
the building is a landmark that has a resonance living room was cut to embrace the panorama of
in the personal history of the individuals of the the horizon, the double height bedrooms overlook
village. it marks the gateway to the village, and a feld of barley, the fully glazed bridge spaces
represents a sense of adventure for many who connect the journey to the trees, and the timber
grew up in Castle Acre and climbed the structure spiral stabilises the tower as it rises to the sky.
in their youth. the clients engaged the local in the stair tower a cantilevered Clt stair forms
community in the tower’s preservation, restoration the compression spiral that stabilises the historic
and conversion to a family home, drawing great steel frame structure by delivering wind loads
support from them during both planning and to the ground. like the centre of a seashell,
the self-build construction phase. to stay within the spiralling treads give stiffness to the entire
the budget and the ethos of the project, the structure, enabling the four-storey high shear walls
client became the project manager, drawing to be ultra-thin.

83
 seCtiON i  stAge 1 PreParatIon and brIefIng

Stage summary

A key theme of this book is making a reasonable proft out of small projects, something
that many small practices struggle to do. effciency is of course at the core of this aim and
depends on getting started and setting up the project in the right way. that means:

• Not starting until you are ready, i.e. having all the necessary information on the following:
– site.
– Building type.
– Relevant regulations.
– Planning context.
• Having a properly researched and considered, written brief.
• establishing the precise scope of work to be undertaken and the programme, with key
milestones identifed.
• setting this understanding out in an appointment and making sure the client is fully
aware of the implications of making changes to the brief.

Once stage 1 has been completed you should have agreed a preferred, single development
option and have the information necessary to develop the design in the usual, iterative
manner but with risk properly managed and the way open to a successful project.

85
section ii
deSIgn and
coordInatIon

stage 2
concePt deSIgn
p.89

stage 3
SPatIal coordInatIon
p.117
smAll PROJeCts HANdBOOK

Introduction

“Communicating the value of good design is the big challenge

for the architecture profession. What is it that makes a building
into architecture and why does that matter? We need to make
it clear that good design is afordable; it just takes a little time
and thought.” / Soraya kahn, theis + kahn

stages 2 and 3 will build on the foundations of work undertaken in stages 0 and 1 (learning
from stage 7 activities on previous projects). the design will become more tangible as it
takes shape. You will need to communicate clearly to the client, particularly one who is
inexperienced in reading architectural drawings, and ensure that the drawings and images you
produce properly refect the end product.

stages 2 and 3 represent the creative design stage of a project and for many are therefore
the most rewarding (along with seeing your creation become reality on site). However, it can
also be the stage at which wasted effort is at its highest. during stages 2 and 3 the design
process generally proceeds in a non-linear fashion, where it is hardest to use the principle
of ‘progressive fxity’. However, to make the process as effcient as possible – and therefore
keep proft level as high as possible – the aim should be to keep waste to a minimum, and this
section contains advice on how to achieve that.

stages 2 and 3 have been grouped together, refecting:

• the iterative nature of design during this phase of the project.

• the fact that for small projects, the planning process is generally (but not always) more
compact, with less supporting information required.

some clients will want the planning application processed at an early stage to keep costs
low. it is important to explain the potential pitfalls and ‘false economy’ of such an approach.

88
Stage 2
concePt deSIgn

IntroductIon p.90

Plan of work 2020 p.91

InPutS p.92

actIVItIeS p.92

SuStaInabIlIty cHeckPoIntS p.97

outPutS p.99

exPert adVIce p.100

Project ISSueS p.103

caSe Study p.108

PractIce ISSueS p.111

caSe Study p.113

Stage Summary p.116

smAll PROJeCts HANdBOOK

Introduction

the stage involves:

• Producing the concept design in line with the initial project brief.
• developing the project strategies, such as those for sustainability, cost, fre safety,
health and safety, and planning.
• developing the initial project brief into the fnal project brief.
• updating the project execution plan as necessary.
• developing the cost plan in tandem with the design. this may be undertaken by a cost
consultant, but on small projects where one has not been appointed, a less formal
process should still be undertaken. this section provides information to facilitate that
activity.

if a pre-application planning submission is to be made it is likely that it will be at this stage,

and there is advice on this below.

The client should be made aware that any changes after sign-off of the fnal project
brief will very likely have an impact on the cost and programme of the design process.

90
 seCtiON ii  stAge 2 concePt deSIgn

rIba Plan of work 2020

outcome: architectural concept approved by the client and aligned to the project brief.

stage 2 sets the architectural concept for a project. Proposals that align with the site infor-
mation and the project brief, including the spatial requirements, are prepared. Regular design
reviews are used to seek comments from the client and other project stakeholders and the
design is iterated in response. Any project brief derogations are agreed, or the project brief is
adjusted to align with the architectural concept.

the architectural concept proposals must also be iterated to accommodate inputs from the
design team and from specialist consultants, including the strategic engineering requirements
(building services, civil and structural engineering). the proposals must also be coordinated
with the project strategies, and everything captured in a stage report. the cost plan should
demonstrate that the proposals and outline specifcation are aligned to the project budget.

A core challenge is to determine what detailed tasks need to be undertaken at this stage.
Although stage 2 is more about rules of thumb than detailed analysis, calculations may be
required to progress specifc aspects, such as calculating stair or riser sizes. However, if
the architectural concept is not certain, or does not have suffcient buy-in from the client,
carrying out detailed supporting tasks now can result in abortive design work. there is no
right or wrong approach. A pragmatic review of what tasks should be undertaken to make the
architectural concept as robust as possible before stage 3 commences is required.

the proposals should demonstrate that the spatial requirements are being achieved, along
with any adjacency requirements. Any non-briefed areas, such as cores, must be developed
suffciently to coordinate with the architectural concept. externally, the building must meet
the vision of the client, as well as the demands of the local context and environment. the
client may seek pre-application planning advice on the suitability of the initial proposal from
a planning advisor or the relevant planning department. the architectural concept must also
be reviewed against the quality aspirations, and the route to Building Regulations compliance
needs to be clarifed and agreed.

A stage 2 design programme must be prepared, in line with the project programme and
responsibility matrix, to guide the design process and to ensure that the information require-
ments are included in the stage report signed off by the client.

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smAll PROJeCts HANdBOOK

Inputs

1. initial project brief.

2. stage 1 report, including output from the feasibility studies.

3. Construction cost estimate.

4. Relevant technical data, trade information, regulations, standards, planning policies, etc.

5. if relevant, Bim protocols.

activities

1. Check you have all the information you need from the client and request anything that
is missing.

2. Check that the initial project brief has been signed off by the client and develop it into the
fnal project brief by the end of the stage.

evaluate the content of the brief to establish that:

• it refects the client’s stated objectives.

• it provides an adequate basis for design.
• the time and cost parameters are reasonable.
• All the information the client should provide before design commences is provided.

if changes to the brief are necessary, make sure that these are subject to the change
control procedures established in the project execution plan.

refer to Stage 2: Project plan pro forma.

3. Advise the client on the need to appoint further consultants and specialists.

Decisions may be needed for the concept design which require specialist advice on struc-
ture, services, environmental and other matters.

4. Advise the client on health and safety matters.

refer to Stage 0: cdm regulations 2015 – clients.

92
 seCtiON ii  stAge 2 concePt deSIgn

5. Advise the client if the project requires listed building or conservation area consent, and
action accordingly. You should be able to identify listed and ‘locally listed’ buildings and
conservation areas on the local authority’s website.

refer to the Historic england website for advice on how to make a listed building
consent application: www.historicengland.org.uk.

refer also to the Planning Portal: https://www.planningportal.co.uk and search ‘other

permissions you may require’.

6. Prepare the project strategies.

With regard to the procurement and construction strategies, review the options for
procurement with the client and note any matters which could affect the choice of
procurement route. in particular it is important to identify who will be carrying out any
specialist areas of design, for example whether they will be handled by the design team
or by specialist subcontractors. this has implications for the consultant’s terms of
appointment, liability and warranty arrangements as well as affecting the procurement
route to be adopted.

7. Agree input to the stage by design team members.

Remind design team members to identify current legislation (e.g. Building Regulations,
health and safety legislation) with which the project must conform.

Discuss with design team members the performance standards, environmental provisions
and budget allocation required to comply with the brief.

8. Check the scope of professional services agreed between the client and other consult-
ants to ensure there are no gaps in the services.

refer to Stage 2: risk management.

9. Check the stage 2/3 timetable against the agreed project timetable. the timetable
should show critical points by which information from the client and design team
members will be required. it should also show key milestones for review of design health
and safety issues.

10. Confrm the programme and pattern for design team meetings.

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smAll PROJeCts HANdBOOK

11. if a Bim protocol is to be followed and you have been appointed as information manager:

• Organise a Bim pre-start meeting.

• Organise initial model sharing with the design team for strategic analysis and
options appraisal.
• identify key model elements such as prefabricated components, and create concept-
level parametric objects for all major elements.
• enable design team access to Bim data.
• Agree extent of performance specifed work.
• Assist members of the design team to develop the design using the Bim model,
ensuring that data-sharing protocols are followed.
• Check and sign off the model at agreed stages.
• issue or assist in the issue of design data at agreed times throughout the develop-
ment of the design.
• Assist in the development of data relative to the agreed levels of detail.
• Assist in the integration of contractor’s, subcontractors’ and suppliers’ data into the
Bim model.

12. if it is part of your scope of work, check with relevant authorities concerning highways,
drainage, water, gas and electricity, etc and requirements for plant and meter housings,
substations, etc.

Check whether bodies such as the environment Agency will have an interest in the devel-
opment and, if so, consult with them as appropriate.

13. it may be appropriate to view similar projects elsewhere with the client. Check they are
happy with any expenditure associated with this exercise before making arrangements.
Appraise and analyse the schemes.

14. Prepare the concept design, including outline proposals for structural design, services
systems, landscape, outline specifcations and preliminary cost information along with
relevant project strategies.

15. Advise the client about any proposals to introduce innovative design or construction
ideas or the specifying of relatively new materials, and ask the client to confrm aware-
ness of these in writing.

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 seCtiON ii  stAge 2 concePt deSIgn

16. explain to the client the benefts of submitting a pre-application submission and, if this
strategy is agreed, prepare and submit the necessary drawings and other information.

refer to Stage 2: Standard layout for pre-application submissions.

refer to the uk government website www.planningportal.gov.uk.

It is advisable to seek the opinion of the local authority planning offcer at an early stage
in design development. Many authorities charge for this pre-application service, but it will
give valuable feedback before the greater cost of developing the design and making a full
application, and will help to manage risk in the planning process.

The offcer will give advice on planning policy and the likely outcome of an application.
They may make recommendations to improve the chances of success if this is thought
necessary. The process usually requires a set of drawings and other supporting infor-
mation to be sent, with the fee (if one is required), following which a meeting will be
arranged. A formal response will usually be issued shortly after the meeting, although
it should be noted that the planning committee will not always follow the offcer’s
recommendation.

The more information that is submitted, the greater the detail of advice you will receive
in response; however, it is important not to present the proposals as a fnished design
but rather as design options, exploring a range of solutions that could meet the client’s
brief. This will tend to elicit the most benefcial response and demonstrate a willingness
to involve the authority as a stakeholder. Matters such as planning policy, the local built
environment, access and egress, bulk and massing of the proposal, building materials
and sustainability targets should all be explained.

It may be more appropriate to make the pre-application during Stage 2.

A useful source of advice is www.planningportal.gov.uk for all matters related to planning

and making planning applications.

Besides obtaining pre-application advice, it is important to ensure that the concept

design is crosschecked for compliance with relevant planning policies to avoid abortive
work.

17. establish whether notices under the Party Wall etc Act 1996 will be needed.

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18. if a principal designer has been appointed, work with him/her and all other designers in
carrying out design reviews (following the principles of prevention) and in drafting the
pre-construction information.

refer to Stage 1: cdm regulations 2015 – principal designer duties.

19. Review the cost information.

if one has been appointed, provide information to the cost consultant for the initial
cost plan and cash fow projection (or prepare an approximation of construction cost if
appointed to do so).

20. Prepare a stage 2 report which should include drawings, decisions reached, the fnal
project brief, project programme, project objectives and strategies, and any response
received from the local authority planning offcer on a pre-application submission.

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 seCtiON ii  stAge 2 concePt deSIgn

Sustainability checkpoints

SuStaInabIlIty aImS
to develop a concept design that embodies the sustainability aspirations of the project with
suffcient detail and analysis to be confdent that key strategies can be delivered in practice.

actions from Plan of work 2020 overview

• Consider benchmarking and quality assurance requirements in initial design work.
• incorporate lessons learned from pre and post occupancy evaluation feedback and
the review of precedents in developing the architectural concept.
• Carry out suffcient energy and other modelling to test and refne the architectural
concept, sustainability strategy and delivery of sustainability outcomes.
• Review the architectural concept against the intended sustainability outcomes and
report and mitigate any deviations.
• include a record of key design decisions to deliver the sustainable outcomes in the
stage report.

key SuStaInabIlIty actIonS

1. undertake formal sustainability pre-assessment and identifcation of key areas of design
focus (e.g. BReeAm, Passivhaus, etc) if required.

2. Report on deviation from aspirations.

3. undertake initial Approved document l assessment.

4. Prepare a ‘plain english’ description of internal environmental conditions, seasonal

control strategy and systems.

5. Check the environmental impact of key materials and the construction strategy.

6. set out the site-scale environmental design criteria (e.g. solar orientation, overshadow-
ing, suds, waste).

7. establish maximum plan depths to achieve desired levels of natural ventilation, daylight
and view.

8. Reduce complexity of form to minimise impact on thermal performance, airtightness and

ineffcient or wasteful use of materials.

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9. establish an appropriate glazing proportion and shading strategy for each orientation to
provide good levels of daylight whilst avoiding excessive glare, solar gain or heat loss.

10. establish appropriate element thicknesses to achieve the u-values required by the energy
strategy.

11. Refne and review design decisions to minimise the quantity of materials used and to
minimise construction waste (for guidance, see www.wrap.org.uk/designingoutwaste).

12. take particular care to avoid short- and long-term damage to traditional building fabric
from ill-considered upgrade interventions.

13. ensure that the design implications of any components essential to the success of the
sustainability strategy (e.g. space for fuel deliveries and waste handling, roof collector
area and orientation, location and size of rainwater harvesting tanks, suds attenuation,
etc) are understood by all members of the project team.

14. Carry out suffcient compliance or advanced modelling to prove the design concept
before freezing the design (e.g. sBem/sAP/PHPP (Passivhaus Planning Package) or
dynamic modelling).

whole life carbon design

this is an appropriate stage in the building cycle to carry out initial lifecycle analysis
modelling to determine the full impact of the building from material extraction to demo-
lition in line with the guidelines in the RiBA publication ‘embodied and whole life carbon
assessment for architects’.

• Review the embodied impacts of the materials and the construction approach in
the context of the building’s lifespan.
• Refne the energy and servicing strategy, incorporating energy-effcient services
design and design techniques.
• Avoid design solutions that inhibit adaptation and alternative use of the building or
its components and materials.

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 seCtiON ii  stAge 2 concePt deSIgn

outputs

1. Final project brief.

2. Concept design.

This should show the design suffciently developed for the client to understand, comment
on and approve the proposals. It may be appropriate to make simple models or produce
3D sketch views to assist with this.

The design should include outline structural and mechanical services design (usually
prepared by the engineers).

It should also include the construction and environmental methods proposed.

3. Project strategies.

refer to Stage 2: Project plan pro-forma for possible contents.

4. Preliminary cost information.

5. Preliminary design hazard identifcation and management register to be issued to design

team, client and principal designer and initial pre-construction information content to be
passed to principal designer.

6. Potentially a pre-application planning submission.

7. stage 2 report.

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expert advice

fIrSt PrIncIPleS for offSIte

jamie Parr
 

Bd solutions

Offsite Construction, modern methods of Construction (mmC) and design for manufacture
and Assembly (dfmA) are terms that many practitioners will be familiar with but may not
necessarily utilise to full effect on their projects, particularly smaller schemes. this may be
due to the manufacturing industry’s mantra around the requirement for volume and scale; or
it may be a lack of awareness of the benefts and how to unlock them.

to successfully implement offsite, architects must consider their strategy from the outset of
the project. it cannot be an afterthought.

mmC has become the standard industry umbrella term that incorporates offsite methods and
site-based process improvement. in 2019 the government defned mmC under seven catego-
ries. these categories should be used to inform your choices and approach to a project.

uk government mmc categories

For details go to https://www.gov.uk/government/publications/modern-methods-of-

construction-working-group-developing-a-defnition-framework.

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 seCtiON ii  stAge 2 concePt deSIgn

wikihouse pods at Hawkins\brown’s Here east development

constructed from cnc cut plywood and assembled on site

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smAll PROJeCts HANdBOOK

imPlemeNtiNg mmC ON A smAll PROJeCt

start by clearly defning the brief and the desired outcomes. Work with your client to establish
what it is they actually want: a cost-effective solution; a high-quality, eco-friendly building;
Passivhaus standard; etc. this will begin to inform the types of solution on the table.

Next assess the physical site constraints of the scheme, ideally at RiBA stage 1. this will rule
in or out some mmC options. For example, a site at the end of a narrow country lane is less
likely to be suited to Category 1 as delivering large room-sized modules may not be possible.

A key consideration is topography: generally speaking, the fatter the site the better for
offsite. logistics: is there access for a lorry or crane to the site? larger items such as
Category 1 and 2 need a larger crane.

the next considerations are tenure type, mass and form, and budget aspirations. Key issues
such as whether the project is a one-off or part of a batch of smaller projects over a portfolio
– say, for example, a series of infll sites – should also be considered here. Once this has been
established, optioneering should take place during RiBA stage 2. You should work with your
client and the contractor, and ideally bring in a manufacturer to explore the art of the possible
and begin to apply the principles of the system to your design.

it is worth highlighting that the nature of ‘small projects’ will infuence the mmC options.
One-off small projects will most likely not be appropriate for Category 1, volumetric as these
need scale to be economical. However, if there are multiple projects, identifying repetition
and standardisation will certainly alter the approach. ten £1m projects should be considered
as a £10m ‘project’ during these considerations, as the commonality, standardisation and
purchasing benefts are considerable.

mmC is a very broad topic but if you want to give yourself the best chance of fnding a
solution that improves project outcomes remember that, in order to successfully utilise
products manufactured offsite, you must consider it from the outset.

You can fnd further advice on these websites:

• Buildoffsite www.buildoffsite.com
• supply Chain school www.supplychainschool.co.uk/topics/offsite
• mOBie www.mobie.org.uk
• Offsite Ready www.offsiteready.com
• Offsite Hub www.offsitehub.co.uk
• RiBA Plan of Work dfmA overlay (search title on www.architecture.com)

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 seCtiON ii  stAge 2 concePt deSIgn

Project issues

effIcIent deSIgn ProceSSeS

One of the core messages of this book is that cutting corners generally leads to increased
time and cost in the long run. this extends not just to practice management procedures but
to project design development. if you use Bim protocols and the collaborative project team
is brought together early in the design process (say from the start of stage 2) it is likely that
you will develop a well-considered and coordinated design. For small projects, input from
other consultants (e.g. cost and engineering) does not have to be signifcant in the early
stages, but as the saying goes ‘a stitch in time saves nine’. the client will need to balance
the planning risk against the level of involvement of the consultant team that they consider
appropriate, and this is an area the architect can advise on. As with many such decisions,
think: ‘what would i do if i was the client and it was my money being invested’?

Provide a spread of high-level design proposals in stage 1 that cover the principal options
so that other ideas don’t arise later on once the design has been further developed. When a
single preferred option has been identifed, progressively develop the design in such a way
that – as far as possible – you do not need to revisit decisions made earlier and therefore
have to discard work previously carried out. Refer to the advice in Stage 1: Lean thinking and
creating value.

One factor in maintaining an effcient design process (and thereby turning a proft)
is to give the client the means to make informed decisions about the design and stick
to them.

managIng Project-related cHange

Change can be (and often is) a signifcant factor in reducing proft from fees. it, and the
client’s expectations regarding your scope of work, should therefore be carefully managed.

• Follow the guidance set out under stage 0: Fee proposals and appointments.
• Report regularly to the client on fees and expenses incurred, and submit accounts at
agreed intervals.
• Check that the client settles all accounts promptly. Refer to the Handbook of Practice
Management, 9th edition, Chapter 7 Financial management. see also stage 1: Financial
management.

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• Keep careful records of all conversations, consultations and design team meetings. File
all notes and sketches prepared during the design process.
• Report to the client on project cost matters at agreed intervals.
• Alert the client to any matters raised during discussions with statutory or other bodies
which might affect the proposals. explain the implications and discuss what actions
should be taken.
• Alert the client to the design implications arising out of health and safety legislation (e.g.
circulation, design of workstations, environmental comfort) and implications for future
maintenance, repair and replacement.
• Check that all information requested from the client concerning the site or existing build-
ings has been supplied.
• use the ‘design change notice and record’ which can be downloaded from
www.architecture.com/SPH.

Standard layout for Pre-aPPlIcatIon SubmISSIonS

Planning pre-application has become more or less standard for most projects but there is no
frm predetermined requirement for what is to be submitted. the more information you can
provide, the more detailed feedback the planning offcer will be able to give, but if you are
uncertain of the outcome you may wish to provide less detailed information frst time round
and keep the submission at a higher level, but perhaps encompassing a range of design
options. this must be tempered to some extent by whether there is a fee to be paid to the
local authority, the amount of which can vary from one to another. increasingly though,
planning authorities do require payment before they will give you feedback.

Pre-application advice will provide you with the planning offcer’s considered view but cannot
of course give certainty as to the outcome of a planning application, which may be subject to
other considerations not covered in the pre-application and potentially to a different view held
by the planning committee.

some authorities have a standard form to complete but a sensible format for most submis-
sions is an A3 brochure (which can accompany the form) containing the following information
(as appropriate):

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 seCtiON ii  stAge 2 concePt deSIgn

iNtROduCtiON
• scope of the project.
• Project team members and principal contact.
• summary of feedback requested from the planning offcer.

lOCAtiON ANAlYsis
• location plan, annotated to show relevant site issues.
• Planning policy context.
• surrounding building uses.
• Public transport.

site ANAlYsis
• site plan as existing, annotated with relevant matters.
• street views (photos) of site as existing.
• existing building plans, sections, elevations.
• existing underground and overground services.
• Public rights of way.

desigN PROPOsAls
• Client brief.
• Options (if appropriate); with the following information for each one:
– Proposed plans, sections, elevations.
– Precedent images (if appropriate).
– environmental sustainability considerations.
– Affordable housing (if relevant).
– transport and servicing issues.
– Noise issues.
– Air quality issues.
– daylight/sunlight issues (if relevant).
– Area schedule (existing and proposed).
– 3d visualisations (if appropriate).

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smAll PROJeCts HANdBOOK

Project Plan Pro forma

the project plan (or quality plan or project execution plan) is a vital tool in managing the
project and keeping a record of progress, and is at the core of most quality assurance pro-
grammes. it should have a summary page with information on the project and project team:

• Job no:
• Job title:
• Building type:
• estimated value:
• Client:
• Project director:
• Project leader:
• Revision/date/notes/date of next review:

it should also set out contact details for companies and key members of the whole project
team and the project stakeholders, e.g. local authority personnel, etc.

it should set out the project strategies for:

• Conservation
• Cost
• Fire safety
• Health and safety
• inclusive design
• Planning
• Plan for use
• Procurement
• sustainability.

these matters should be outlined at stage 2 and prepared in detail at stage 3. For advice
on what the strategies should contain, refer to guide to using the RiBA Plan of Work 2020
Overview.

the project plan should also cover:

• Client brief including any schedules of accommodation, cost plan parameters, target
programme, any key constraints, agreed level of specifcation/cost/durability.
• scope of services to be provided by the architect (under RiBA Plan of Work 2020 stages).

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 seCtiON ii  stAge 2 concePt deSIgn

• scope of services to be provided by other consultants.

• Change control procedures (see Stage 2: Managing project-related change).
• Change control records (to be added as project progresses as appropriate).
• Project objectives.
• Project programme.
• Record of any client complaints and the resulting corrective action.

For more advice on project outcomes refer to the RiBA Plan of Work 2020 Overview.

For advice on programming refer to stage 1: Project programming.

All these matters should be communicated to the whole project team and agreed and signed
off by everyone.

the plan itself should be set out chronologically by RiBA work stage. the downloadable
version of this book can form the action checklist, edited as necessary. there is an abridged
version that can be downloaded by searching ‘RiBA Job Book downloads’.

if the plan is updated regularly it will provide a snapshot of, and a look ahead to, the project at
any given time. it provides a record that enables anyone to pick up work on it and have a full
understanding of the history and aspirations in the event that the project leader is unable to.

the above requirements may seem onerous when applied, for example, to a job that is to be
completed by one person in a couple of weeks, but the quality plan may be just a few notes
in the front of the project fle.

coSt PlannIng
if a cost consultant has not been appointed you should identify project costs as far as you
are able to, making sure you set out any caveats to the information provided. One way you
can establish preliminary costs is through a preliminary tender process using the information
you have to hand (drawings, outline specifcation, etc). Be clear with the contractors what
you are doing but agree to include them on the actual tender list if they are prepared to help.

107
 caSe Study
eaSt
Street
excHange
LONDON

arcHItect

We made that
(AJ100 disruptor 2020)

clIe nt

london Borough of
southwark, greater
london Authority

com Pl e tIon date

August 2018

con S tru ctIon co S t

£235,780 (east
street exchange) +
£72,700 existing library
refurbishments

award S

2019 Blueprint Awards,

Best small Project
– winner

2019 AJ small Projects

– shortlisted
east Street library – located at a signifcant civic Bright anodised cladding and a perforate ‘turret’
corner in southwark – is a well-used public library make the extension a characterful and distinctive
that was facing underinvestment ahead of long- contribution to the neighbourhood.
term relocation proposals. it was identifed that the interiors of the extension are built to
much more could be achieved at the library with prioritise fexibility of use within the space.
just a little more space. Bespoke furniture has been designed with the
A newly opened extension – east street potential to be ‘fat packed’ and stowed away on
exchange – now allows the library to host a pegboard walls, clearing the space for alternative
fexible range of new uses. it offers an afforda- set-ups and functions. Refurbishment of the
ble space for local businesses, entrepreneurs ‘back of house’ facilities in the library now
and community groups; provides a much-needed beneft all library users and out-of-hours users
fexible meeting space for groups in the area to of the exchange.
meet (bookable even outside of normal library this extension demonstrates a willingness
opening hours) and makes space for homework by the local authority to reinvigorate community
club and peer-to-peer language assistance. spaces through intelligent interventions. the
the proportions and footprint of the new exten- east street exchange unlocks a new lease of life
sion at the rear of the library create a distinct form for this vital community asset, especially in the
change in comparison to the existing building. context of wide-scale change planned in the area.

109
 Axonometric View 4

1. Main library
2. Study space
3. Extension 3
2 1
4. Upgraded facilities

3
2

110
 seCtiON ii  stAge 2 concePt deSIgn

Practice issues

rISk management
Risk management is a subject usually associated with large projects and large practices but
it is a matter that should be addressed for all projects and practices, no matter what the size.
indeed, it could be argued that certain risks are more acute for the sole practitioner than they
are for a larger business.

Risks should be assessed according to the likelihood of them occurring and the potential
severity of their impact. A simple matrix can be developed to show these two variables
and help determine the most signifcant issues. Having identifed and assessed the risks, a
strategy should be devised to mitigate them and communicated to relevant people throughout
the practice.

Refer to https://architectspi.ajginternational.com/ for general advice on risk management

and Pi.

included below are some of the key risks that a practice should factor into their plans:

rISk: ClieNt gOes iNtO liQuidAtiON OR dOes NOt PAY Fees OWed,
CAusiNg liQuiditY PROBlems FOR tHe PRACtiCe
• Agree a regular (ideally monthly) invoice and cash fow in your appointment.
• As far as possible make sure you are satisfed that your client is able to pay your fees.
• ensure that you do not extend credit further than you can afford to lose. Assuming you
have undertaken your work diligently, it is recommended that you do not continue if fees
are outstanding more than 30 days later than the stipulated payment period (i.e. typically
60 days from the date of the invoice).
• issue invoices promptly.

if you have carried out the work in accordance with the contract you should be paid for it on
time. in such circumstances you must ensure you follow the provisions of your contract of
appointment to the letter, including issuing any notices required. You are strongly advised not
to take legal action unless as an absolute last resort. the outcome can be unpredictable, very
time-consuming and lead to a counter-claim, however unwarranted this may be.

rISk: KeY memBeR leAves At A CRitiCAl time

• As far as possible consider what measures you would have to take should someone leave.
Prevention is of course the best form of insurance, so try to keep your employees happy!
maintain regular dialogue with them about the ‘soft’ issues and perform personal reviews
every 6–12 months.

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rISk: suBlettiNg WORK

Practices may sometimes sublet a part of their services – having frst obtained the client’s
agreement. in these instances, the architect should check that the person(s) or practice(s)
they will subcontract the work to:

• Have the necessary resources to perform the role.

• Have the necessary skills and expertise to perform the role.
• Have an appropriate level of Pi insurance (and make annual checks that they maintain it
for the 6- or 12-year liability period).

A formal subcontract should be entered with the appropriate party on terms and conditions
that are compatible with the architect’s appointment with their client. it is particularly impor-
tant to defne fully and clearly the role that the subconsultant is to perform, the deliverables
that are their responsibility, and the timescale for performance of their part of the services.

rISk: deteRiORAtiNg WORKlOAd leAves tHe PRACtiCe WitH iNsuFFiCieNt iNCOme

• maintain a programme setting out your resourcing needs as far ahead as you are
able to forecast and review it weekly. if you have to make diffcult decisions about the
size of your workforce, you must do this as early as possible to mitigate the impact on
the practice.

rISk: disAsteR suCH As A FiRe OR FlOOdiNg OCCuRRiNg tO tHe PRACtiCe OR its

PRemises, ReNdeRiNg it diFFiCult/imPOssiBle tO FulFil its OBligAtiONs
• Prepare a plan to deal with such matters such as cloud back-up systems and options for
remote working.

rISk: eRRORs OCCuRRiNg ON A PROJeCt leAdiNg tO A ClAim AgAiNst

tHe PRACtiCe
• ensure that the right person is doing the task.
• maintain a register of employee skills, qualifcations, experience and in-house training.

112
caSe Study
deck
HouSe
barn
EAST SUSSEX

arcHItect

theis + Khan

clIe nt

Private

com Ple tIon date

2017

con S tru ctIon co St

£165,000
located in the High Weald AONB, the original natural rough sawn larch boarding, typical of the
deck House and new barn, replacing an old High Weald AONB, with vertical fns that create
1950s garage, are set at right angles to address a strong visual texture. the form of the barn is
the courtyard. this initial phase of the project deliberately simple, with the pitch and size of the
provides extra living, working, guest and garage gable exactly matching the house but set a storey
accommodation within the barn, while a new higher. the two gable windows are full height fush
extension to the main house incorporates a shower glazing with inset solid opening vents echoing barn
room, coat storage and verandah with boot and loft doors.
log stores creating a clear, welcoming entrance. the new structures are highly insulated timber-
local Crowborough bricks are used for the zigzag framed construction with steel framework to
path across the planted ‘moat’ to the verandah manage the long spans and cantilevered canopy.
entrance. in addition, a new glazed north wall in internally, terracotta porcelain tiles are used for
the family kitchen within the main house opens it the entrances and shower rooms, referencing
up to the extensive views over the water. traditional Kent and sussex clay tiles. economic
to develop a conversation between the barn Wisa spruce ply is used for the barn stair, fooring
and house both are clad in white-painted and and balustrade units with expressed edges.

114
 kitchen

entrance
hall

garage store

entrance
shower hall
room

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smAll PROJeCts HANdBOOK

Stage summary

stage 2 is where the creative design aspects of a project are focused and where architects
can bring particular value through the development of effcient, effective and elegant design
solutions that meet the client’s brief. it also marks the conclusion of the briefng process.

in stage 3, the conceptual design is developed into a fully coordinated one and usually sub-
mitted for planning approval.

116
Stage 3
SPatIal coordInatIon

IntroductIon p.118

Plan of work 2020 p.118

InPutS p.119

actIVItIeS p.120

SuStaInabIlIty cHeckPoIntS p.124

outPutS p.125

exPert adVIce p.126

Project ISSueS p.129

caSe Study p.134

PractIce ISSueS p.137

caSe Study p.140

Stage Summary p.143

smAll PROJeCts HANdBOOK

Introduction

the stage involves:

• development of the concept design, typically in collaboration with other consultants such
as structural and meP services engineers and other specialist designers as appropriate.
• typically, at this stage the planning application will be submitted.
• By the end of stage 3 the architectural, building services and structural engineering
designs will have been developed and coordinated, along with the cost information, and
aligned to the project budget.

Change control procedures should be established early in the project but at the latest
by Stage 3. See Stage 2: Managing project-related change.

rIba Plan of work 2020

outcome: architectural and engineering information Spatially coordinated.

stage 3 is fundamentally about testing and validating the architectural concept, to make
sure that the architectural and engineering information prepared at stage 2 is spatially
coordinated before the detailed information required to manufacture and construct the
building is produced at stage 4.

detailed design studies and engineering analysis are undertaken to ratify the assumptions
made during stage 2 and to layer more detail onto the design. stage 3 is not about adjusting
the architectural concept, which should remain substantially unaltered, although detailed
design or engineering tasks may require adjustments to make sure that the building is spa-
tially coordinated. Changes to the architectural concept, for whatever reason, should be
agreed via the change control procedure.

design studies should be aligned to cost exercises and the development of the outline spec-
ifcation – iterations of the design may be required to ensure the cost plan aligns with the
project budget. Product suppliers and specialist subcontractors might be consulted to test or
conclude specifc aspects of the design. A spatially coordinated design allows each designer,

118
 seCtiON ii  stAge 3 SPatIal coordInatIon

including specialist subcontractors, to fnalise their information at stage 4 (except for minor
tweaks at interfaces) without further major iterations of the design.

the project strategies need to be updated and additional detail added, and a Building Regula-
tions review undertaken. A stage 3 design programme is created to make sure that the right
tasks are undertaken at the right time. At the end of stage 3, once the client has signed off
a stage report that captures all the design development work undertaken during the stage, a
planning application can be submitted.

Note: When a planning application before the end of stage 3 is being considered, it is
important to set a mid-stage gateway and focus on the tasks necessary to ensure that the
threshold of information required for an application is achieved, and that the design is robust
enough for development once planning consent has been obtained.

Note: On some projects, employer’s requirements might be issued at the end of stage 3
rather than in stage 4. this documentation may require some elements of the design to
be drawn to a higher level of detail, or require schedules or detailed specifcations to be
produced, to help remove risk from the procurement process and set the quality aspirations.
this is a drawdown from stage 4 activity, and might be undertaken at the end of stage 3,
after the stage report has been signed off.

Inputs
1. stage 2 report.

2. Final project brief.

3. stage 2 concept design, including design by other consultants and as accepted by the
client in writing.

4. initial cost plan prepared by the cost consultant where appointed. Alternatively, prelimi-
nary quotations might be sought from selected contractors and/or suppliers.

5. Relevant technical data, regulations, planning policies, standards, etc.

6. Project-specifc information from potential subcontractors and suppliers.

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activities

1. Review and update the project execution plan, including the change control procedures,
construction strategy, and health and safety strategy.

2. Confrm in writing with the client the proposed procurement method and the form of
contract to be adopted.

3. Advise the client on the need to appoint further consultants and specialists, which might
include:

• Party wall surveyor.

• daylight/sunlight/rights to light consultant.
• landscape architect.

If you know suitable companies be sure to recommend them. This can in itself be a
good marketing or business development activity for future projects for your practice,
and will help to engender collaborative working practices.

4. Assess what input will be required from specialist frms, including potential subcontrac-
tors and suppliers.

discuss with the client and the design team:

• Whether any preliminary tender action for specialist subcontractors and suppliers will
be required.
• Whether any action will be needed on advance orders (noting the risk involved in
placing orders in advance of planning permission being granted).

5. Confrm the programme and pattern for design team meetings.

Note: For small projects it may not be necessary to hold formal design team meetings
but if they are required, you must ensure that everyone in the team is aware of the
design programme and when they need to provide information to others. You must also
ensure the design outputs are properly reviewed and coordinated. The lead designer is
responsible for facilitating the coordination of all information and its integration into the
general scheme.

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6. Prepare the coordinated design, including coordinated and updated proposals for struc-
tural design, services systems, landscape, outline specifcations, cost information and
project strategies.

7. draft preliminary specifcation notes.

8. monitor, coordinate and integrate input from design team members and specialists.

Maintain close collaboration with consultants and specialists. The architect might not be
responsible for their individual performance, but will be responsible for the coordination
and integration of their work into the overall design.

9. Check the designers’ cooperation with the principal designer with respect to the
pre-construction information. As project lead or lead designer, the architect has an
obligation (but not a legal duty) to check that every designer pays due regard to the
Cdm Regulations and avoids foreseeable risks, or takes steps to combat them at source
when designing.

the principal designer must take all reasonable steps to ensure that designers comply
with their duties.

10. Once the client has approved the stage 3 design, prepare and submit the planning, listed
building and conservation area applications as relevant.

Ensure that all applications are accompanied by relevant documents, including payment
by the client of the appropriate fee.

Note: Effective monitoring of the planning application can take up considerable resource
and this should be accounted for in the fee and cash fow and be explained to the client.

11. if instructed, issue party wall notices as soon as the proposals are suffciently fnalised,
on behalf of the client.

Note: Consultations with users or third parties, and party wall matters, do not form part of
the services under the RIBA Domestic Professional Services Contract 2018 and Concise
Professional Services Contract 2018, unless identifed under ‘Additional Services’.

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12. Provide the cost consultant with information for the cost plan and cash fow projection (or
prepare a construction cost estimate if appointed to do so).

discuss with the design team and the client the effect of major design decisions on the
allocations within the cost plan before they are taken. there must be a regular two-way
exchange of information if designers are to keep within cost targets or limits.

The cost consultant should collaborate with the architect and other consultants to
develop and refne the full cost plan as the design is developed and outline specifca-
tion notes are prepared. During this stage the cost consultant will prepare an elemental
cost plan followed by a frm cost plan and cash fow forecast, relying on input from other
design team members. They will then advise on the cost implications of compliance with
statutory requirements. The cost consultant should contribute information and advice for
inclusion in the Stage 3 report to the client.

13. if a Bim protocol is to be followed and you have been appointed as information manager:

• Assist members of the design team to develop the design using the Bim model,
ensuring that data-sharing protocols are followed.
• Check and sign off the Bim model at agreed stages.
• issue or assist in the issue of design data at agreed times throughout the develop-
ment of the design.
• Assist in the development of data relative to the agreed levels of detail.
• Assist in the integration of contractors’, subcontractors’ and suppliers’ data into the
Bim model.

14. Prepare a stage 3 report which should include:

• the developed design.

• the planning submission drawings, reports and application forms.
• Cost plan.
• target programme.
• sustainability assessment.

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If planning permission is refused

If planning permission is refused you will need to discuss the reasons why with the
client and agree upon a way forward. There are a number of matters to bear in mind:

• Make a note of the date of the planning decision/refusal, as appeal decisions are
time-bound.
• Note that the period for appeals is 12 weeks in some instances, or up to six
months in others. Domestic projects generally have a shorter period.
• All supporting information must be submitted with the application, not afterwards
(this is a change to the previous procedure). You must therefore allow time for this
when setting out a programme for appeal activities.
• There are three options open:
– appeal
– if you think the chances of a successful appeal are limited, make any
amendments requested by the local authority and resubmit (you have one free
go at this)
– do both, i.e. resubmit and make a concurrent appeal. Note that the local
authority might ask you to withdraw the appeal while they consider your
proposal.
• Ensure that the information submitted is the latest submitted version as the appeal
will be invalidated if it is not.
• For further information on the appeal process refer to www.planningportal.gov.uk/
planning/appeals/guidance on the appeal process.
• If there are technical reasons for the refusal, the client may need to appoint spe-
cialists, e.g. daylight/sunlight consultant, etc.
• It is worth noting that around one-third of appeals are allowed.

You should also discuss with the client the potential benefts of engaging a specialist
planning consultant. Determining whether or not to appeal requires skill and knowledge
which small practices may not have.

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Sustainability checkpoints

SuStaInabIlIty aImS
to ensure that the spatially coordinated design refects the sustainability strategy.

actions from Plan of work 2020 overview

• undertake design studies and engineering analysis to test the sustainability
outcomes, including carrying out a building performance assessment following
plan for use protocol, and develop the design in more detail.
• submit a Building Regulations application and any interim certifcation applications
(e.g. BReeAm).
• integrate sustainability outcomes into a spatially coordinated design aligned to
project stakeholder consultation feedback, incorporating lessons learned from
post occupancy evaluation feedback and the review of precedents, and record new
lessons learned.
• identify and update record of performance risks to inform stage 4 tasks and deliv-
erables, and mitigate any deviation from the sustainability outcomes.
• embed the requirements for post occupancy evaluation in the procurement
strategy.
• include a record of key design decisions to deliver the sustainable outcomes in the
stage report.

key SuStaInabIlIty actIonS

1. Review the sustainability strategy and ensure that the level of detail for any supporting
strategies is developed, including those that impact on any statutory legislation.

2. Produce an interim Approved document l assessment and design stage carbon/energy

declaration.

3. Review the design to identify opportunities to reduce resource use and waste, and record
this in the site waste management plan.

4. Refne and distil the project’s sustainability strategy, checking against brief and targets.

5. update energy modelling as the design develops, and check against targets.

6. Refne the climate adaptation strategy and make provision for future adaptation interventions.

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7. incorporate environmental and sustainability issues in the planning application design

and access statement, including a development of the stage 2 ‘plain english’ description
of internal environmental conditions, seasonal control strategy and systems. Provide a
supplementary detailed report if appropriate.

8. instigate initial involvement of contractors and specialist subcontractors where specialist

products or systems are proposed; begin the process of obtaining their advice.

outputs

1. the spatially coordinated design, including the coordinated architectural, structural and
mechanical services design.

drawings showing coordinated design, site layout, planning and spatial arrangements,
elevational treatment, construction and environmental systems and buildability.

2. updated construction cost estimate.

3. Where applicable, information for inclusion in pre-construction health and safety informa-
tion to be passed to the principal designer.

4. Proposals developed suffciently to allow an application for full planning permission, listed
building consent, conservation area consent, etc as applicable.

5. stage 3 report.

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expert advice

PlannIng matterS for tHe Smaller PractIce

Philip waddy
  RIBA FRSA
West Waddy AdP, Chair RiBA National Planning group

the RiBA receives more calls from practitioners relating to town planning than any other
topic. Why is that? there is no doubt that national and local planning policy has become ever
more complex in recent decades to the point where over half of Royal town Planning institute
members now work in the private sector as independent planning consultants. How can the
average architect be expected to cope? Here are some tips to help you navigate the maze
that is today’s planning system.

Firstly, it is important to know your planning limitations. many smaller practices work within
a relatively small geographical area and accordingly become familiar with their local council’s
policies and planning documents, but when working in an unfamiliar district do thoroughly
research planning policy before you commence design work.

tip – Identify your planning strategy and always have a Plan b.

Check the planning history of the site, list all relevant policies relevant to the project – espe-
cially design policies and the Community infrastructure levy – before commencing work.
this will save you and your client time, money and frustration later on in the design process.
Planning policies are tools to help you and if you can demonstrate compliance with both
national and local policies, the planning authority are duty bound to approve your scheme.

tip – Project manage your planning application from start to fnish.

You can do this by following the RiBA Plan of Work. there are helpful guidance notes to
prompt you at every stage of the process and remember, planning costs money. does your fee
offer cover the time necessary to manage the planning process? Be analytical from start to
fnish and try to spot planning problems before others do.

Just as you would advise a client to engage specialist engineering or quantity surveying
support, do not hesitate to recommend appointing a planning consultant if the complexity
of the project demands it or if you consider your client is being over optimistic in what they
expect you to achieve on the site. even if the client refuses to take your advice, having
recorded you’ve given it could prove vital later on in the process – especially if your client
decides not to pay you after a planning refusal!

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tip – recommend a planning consultant you can trust who is familiar with the local area if
the project demands it.

Consider the pros and cons of pre-application advice. there is no simple answer to this. some
local planning authorities are brilliant, fast and thorough and give meaningful, practical advice
to guide you. Others take forever and simply recite the policies you already know without
forming any opinion as to the merits of your scheme. Here local knowledge is important. if
working in unfamiliar territory contact an RiBA member who works in the lPA area concerned
and ask for their opinion as to the quality and speed of their local council’s pre-application
service.

tip – contact other architects for advice as to the performance of lPas you might be unfa-
miliar with.

One of the biggest bugbears for an architect is the client who demands a quick concept
sketch up front to determine what might be achievable on site – just like a client will ask
‘what will the build cost be?’ before you have even fxed the brief! Be wary of over promising
before you have researched local planning policy, history and precedents. if there are trees on
site will these need to be retained and/or protected? is the site at risk of fooding? Are there
likely to be ecological issues?

tip – get to know your site and the surrounding context before commencing design work.

Contrary to what you might think, local authority planners are committed to improving the
quality of the built environment but have to work under strict protocols and time limitations.
Well-presented and well-designed schemes make a planner’s life much more enjoyable and
straightforward, so be sure to present your work in the best possible light and concentrate on
what matters to the planners when you submit your scheme for approval. Cut out the fuff and
focus on demonstrating how your scheme positively addresses every relevant planning policy.
Remember also the ‘planning balance’. sometimes you cannot meet every policy requirement
and in these cases the case offcer must exercise planning judgement. How can you help that
judgement fall in your favour? it is important that you record your design decisions at every
stage and demonstrate the process you have gone through that results in the fnal design
submission. the storyboard is as important as the fnal scheme.

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tip – focus on the content and quality of design and access Statements and include a
Planning Statement with the application as well to show compliance with local and national
policy. If the scheme cannot meet all objectives, state why in your opinion the planning
balance should fall in your favour.

Once your application is submitted it’s very important to keep abreast of developments as
it is being processed. With online access you can track every third-party response as well
as the statutory consultees. some lPAs let you contact the case offcer directly; others are
diffcult to communicate with. After a month or so you should have a clear idea of how the
application is shaping up. Be sure to respond to any negative comments recorded and send a
supplementary report to the case offcer in good time addressing (and amending where appro-
priate) the scheme proposals. Always volunteer an extension to the period for determination if
you consider the application might be refused but obtain your client’s consent frst.

tip – don’t sit back and relax once the application is submitted – this is where the hard work
begins! regularly monitor the application and always keep your client informed. ask the case
offcer what you can do to help them determine the application favourably.

Finally, remember the RiBA has a network of advisory groups including a National Planning
group that regularly engages with central government on matters relating to planning and the
built environment. the group helps shape RiBA policy on town planning but it can only practi-
cally respond to national planning issues. With over 350 local planning authorities in england
alone, each with their bespoke planning documents, local knowledge is essential. some RiBA
Regions and Branches have their own local planning groups who meet with their counterparts
in local government or the private planning profession, sharing best practice and advice. do
contact your regional RiBA offce to enquire if such a group exists where you are based. if
not, then the RiBA National Planning group has a guidance note on how to set up a regional
planning network.

matters for discussion at Regional Planning group meetings might include, for example:

• discussing responses to local planning policy consultations.

• Forming a better working relationship between RiBA members and local planners.
• encouraging lPAs without design review to consider setting up a design review panel.
• inviting speakers to attend covering relevant planning topics of local interest.
• encouraging and facilitating cooperation with planners in local government – i.e. joint
meetings.
• self-help and assistance when members face planning diffculties.

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Project issues

StrategIeS for PlannIng SucceSS

it is good practice to:

• Confrm by letter or email all meetings, phone calls, etc with the planning authority.
• make sure that the client or their representative attends all critical meetings with the
planning authority.
• At an early stage consider project presentations to attract the interest and support of
neighbourhood groups, etc.

Check the following:

• dates and procedures of planning meetings.

• Probable date by which a decision is to be given.
• Number and types of drawings required.
• Procedures, e.g. notices in the press, site notices.
• Processes for public consultation and response to any objections.

When making a planning application, check that:

• Forms are carefully completed – identify or list submitted drawings on forms or in a

covering letter.
• An accurate site plan identifes the land concerned, clearly defned in red.
• A covering letter accompanies the application, explaining features of the scheme.
• An Ownership Certifcate A (or B, C, d as appropriate) is served.
• Payment from the client for the appropriate sum is submitted at the same time (having
checked the correct amount with the planning authority).
• the application is acknowledged by the planning authority, defning the start of the period
for determination.
• A copy of the written report by the planning offcer to the planning committee is obtained.
if permitted and appropriate, oral representation is made to the planning committee.

if the application is made online through www.planningportal.gov.uk the system will automat-
ically check you have provided the necessary documentation.

the planning meeting:

• Keep a written note of what is discussed at any meeting.

• if planning permission is refused and an appeal is contemplated, send your account of
proceedings to the chief executive of the authority. if not contested, your account may
have the status of ‘agreed notes’. examine the agenda and record of the meeting; these
may constitute the basis for an appeal.
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Processing the application:

• it should be remembered that signifcant resource may be required during the planning
application process, to manage clarifcations and comments from the local authority and
for the actual planning committee meeting itself, and this should be built into the fee and
cash fow forecasts, and explained to the client. this can be an area where architects
underestimate the time required, to the detriment of client satisfaction. the fee proposal
should be very clear about what is required, and what is not included in the professional
services, for this stage of the project.

deSIgn and acceSS Statement

A design and Access statement (dAs) is a short report accompanying and supporting a
planning application which must be submitted:

• For a development which is a major development (both full and outline).

• Where any part of the development is in a designated area, with the development con-
sisting of:
– the provision of one or more dwelling houses.
– the provision of a building or buildings where the foor space created by the develop-
ment is 100m2 or more.

A ‘designated area’ is:

• A conservation area.
• A property in a world heritage site.

the dAs is a means of explaining how a proposed development is a suitable response to

the site and its setting, and of demonstrating that it can be adequately accessed by prospec-
tive users.

lower thresholds apply in conservation areas and world heritage sites, where some smaller
applications must also be accompanied by a dAs. listed building consent applications must
also include a dAs.

the dAs should set out:

• the design principles and concepts that have been applied to the development.
• How issues relating to access to the development have been dealt with.

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A dAs must:

• demonstrate the steps taken to appraise the context of the development and how the
design of the development takes that context into account.
• explain the design principles and concepts that have been applied to the development.
• explain the applicant’s approach to access and how relevant local planning policies have
been considered, any consultation undertaken in relation to access issues, and how the
outcome of this consultation has informed the proposed development.
• explain how any specifc issues that may affect access to the proposed development
have been addressed.

A dAs is not required for an application which is for a material change in use of the land or
buildings.

The level of detail in a DAS should be proportionate to the complexity of the application.
For straightforward planning applications, the DAS may only need to be a page long.

bIm baSIcS
Building information management (Bim) is increasingly important in the construction industry
and although its impact is greater on larger projects, small projects can beneft from the
implementation of Bim protocols and small practices can choose to establish themselves as
being Bim-enabled, giving access to more complex projects and specialist workfows.

there are new roles open to anyone prepared to develop the skills, including information
manager. the architect is arguably in the best position to act as information manager, respon-
sible for developing, implementing and updating the Bim execution Plan (see below); taking a
lead in the planning, set-up and maintenance of the model, and leading the design team with
regard to the development of the design model and the protocols used.

there are a number of basic matters that need to be understood when undertaking Bim-
enabled projects:

Bim exeCutiON PlAN (BeP)

the BeP, which might be a contract document and part of the architect’s appointment, should
set out: the parameters of the project; project team members; the Bim standards to be used;

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the deliverables from the model; the software to be used; the data exchange method; the fle
naming convention; a schedule of quality control checks and a schedule of dates for review of
the model by the design team.

A pro forma Bim execution plan can be found at www.architecture.com/SPH.

level OF detAil (lOd)

Although the information is produced ‘full size’, consideration must be given to the stage the
project is at and the purpose for which it will be used. For each model, a spreadsheet should
be prepared setting out, by building element, the level of detail at each stage (1–4/5 and 6),
alongside the author of that design. members of the design team should consult the informa-
tion manager for advice on Bim protocols and procedures.

the standard defnitions for a lOd system are outlined below, although some clients may
operate their own defnition system. A lOd agreement form should be completed and agreed
by the relevant parties. A pro forma agreement can be found at www.architecture.com/SPH.

the level of detail expected at each stage might be as follows:

stage 1 lOd 100

stage 2 lOd 100–200
stage 3 lOd 200–300
stage 4 lOd 300–400
stage 5 lOd 400–500

For further information look at the Centre for digital Built Britain website: www.cdbb.cam.
ac.uk.

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level of detail (lod)

lOd 100:

• Overall building massing indicative of area, height, volume, location and orientation.

Potential deliverables/output:

• Area analysis studies based on net/gross areas, basic environmental analysis,

basic construction cost estimates based on foor areas.

lOd 200:

• information modelled as generalised systems or assemblies with approximate quan-

tities, size, shape, location and orientation. Other non-geometric information may
be attached to the model elements.

Potential deliverables/output:

• Basic output of gA plans, elevations, gA sections etc, improvement of accuracy of

construction cost estimates from lOd 100, increased cost certainty, basic door/
window schedules – quantities and approximate sizes, more detailed environmental
analysis from lOd 100, initial estimates of material quantities, increased accuracy
of area analysis.

lOd 300:

• information modelled as specifc assemblies, accurate in terms of quantity, size,

shape, location and orientation. Other non-geometric information may be attached
to the model elements.

lOd 400:

• information modelled as specifc assemblies that are accurate in terms of quantity,

size, shape, location and orientation with complete fabrication, assembly and
detailing information. Other non-geometric information may be attached to the
model elements.

lOd 500:

• model elements modelled as constructed assemblies, accurate in terms of

quantity, size, shape, location and orientation. Other non-geometric information
may be attached to the model elements.

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 caSe Study
aPartment
block
LONDON

arcHItect

Coffey Architects

clIe nt

Private

com Pl e tIon date

2019

award S

2020 RiBA Regional

Awards – shortlisted
‘apartment block’ is an impeccably hand-crafted exposed to retain the drama and history of the
refurbishment of an apartment, designed by Coffey space. References are made to the history of the
Architects as a solid piece of joinery ‘inserted’ into building, original green tiles were revealed around
an existing building. the home has been carved the perimeter of the apartment and the use of
out of over 30,000 individually hand-cut and laid the timber blocks themselves are a playful nod
cross-section blocks made of european Oak. to the woodblock fooring often found in victo-
the existing fat was dark and cramped with a rian school classrooms. the 3m tall original sash
convoluted foorplan and there was no celebration windows are adorned with ornately crafted opening
of the space’s historic features. located within shutters fltering the light casting an orchestra of
Kingsway Place, a grade ii former school building shadows on the walls of the double height space,
which was built in 1892 and converted to residen- ever changing and moving throughout the day, all
tial in 2000. working together to create a granular richness of
Coffey Architects began by stripping away all delicate light.
non-original features leaving the original envelope

135
Ground Floor Plan First Floor Plan

3. 4.
5. 3 4
6 5

4.

4
3.

2. 2.
3 2

1 1.
1

2
1.

VOID

KEY
1. STUDY
1. LIVING 2. MASTER BEDROOM
ROOM KEY 2. KITCHEN ROOM KEY 3. DRESSING ROOM
3. DINING/ BEDROOM 02 4. ENSUITE
1. Entrance 4. UTILIT 1. Study
2. Living 5. BATHROOM 2. Bedroom
3. Kitchen 3. Dressing Room
4. Dining/ Guest Bedroom 4. En-suite
5. Bathroom
6. Grade II Listed Kingsway Place

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Practice issues

It management
the following are some key issues for consideration in relation to running a small practice.
Refer also to Stage 3: BIM Basics.

BACKiNg uP
Backing up data is important for obvious reasons, but many practices either neglect to or
do it with insuffcient regularity. Once a week should be considered the absolute minimum,
but daily is appropriate and you should consider what quantity of information you could really
afford to lose if something did go wrong.

the ‘3-2-1’ back-up rule of best practice recommends maintaining three copies of data, across
two different media types, with at least one copy held off site.

Adherence to this rule ensures:

• Fast recovery is possible in the event of localised events; for example, user error or
hardware failure on production infrastructure.
• data is stored away from the organisation’s core it environment as a means of securing
in the event of catastrophic disaster; for example, fre, food or other denial of facilities.

Cloud-based systems will effectively give you continuous back-up but can be expensive and
slow. As an alternative you can just store essential data online (accounts, payroll, quality
systems, etc). For further advice go to www.cloudwards.net.

For larger fles (e.g. CAd, Bim and images) use a portable hard drive coupled with back-up
software – a 1tB drive is relatively cheap, meaning two can be purchased to ensure back-ups
alternate and can be stored off site.

if you want to use a cloud service to store and transport fles then the free services of
dropbox, google drive and microsoft Box can provide a fair amount of online storage which
can be increased if you opt for the paid-for service.

OFFiCe 365
One of the many apps included in the microsoft Offce 365 pack is Onedrive. this app is
great for small practices who have minimal infrastructure in place. it gives start-up busi-
nesses the capacity to store, share and synchronise fles. At the time of writing, microsoft
365 (which is a bundle of services including Offce 365, plus several other services) starts at
£3.80/month/user for the Business Basic package and £9.40/month/user for the Business

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standard package which includes Outlook, Word, excel, PowerPoint, Publisher and Access, as
well as teams and secure cloud storage.

it is not necessary to purchase antivirus software if you have the Windows 10 operating
system as this now includes microsoft defender antivirus as standard. Windows 10 licences
can be purchased via the microsoft 365 Business standard package.

sOFtWARe ANd iNFORmAtiON mANAgemeNt

small practices may beneft from sharing software licences between individuals (as opposed
to having network versions). software is generally licensed per number of users, but if
different people are working on different applications at different stages of a project they
will require one only when actually using the software. if there is a small server-controlled
network, then installing the licence and applications to the server and allocating the rights to
the software as it is opened on a terminal means that the number required will be less than
100% of the workstations.

Following this method means that users must make sure they close an application once they
have completed a piece of work. licences can be assigned per user or per application, or
alternatively, developers can offer some form of annual membership or licence that enables
each upgrade of the software that year to be received free of charge, based on a fee per user
over and above the licence costs (which may be discounted in this instance).

it is important to ensure that software will be compatible before deciding on a mainstream

application. interoperability will avoid the more time-consuming and costly process of redraw-
ing the design, and the potential loss of data each time impacts are assessed in different
applications, as opposed to simply transferring a design from one to the other.

Adobe software is increasingly expensive and some practices are using Affnity as an
alternative: www.affnity.serif.com.

mainstream 2d and 3d packages may also offer ‘light’ versions with reduced functional-
ity, which may suit both budget and aspirations, but it is worth researching what the likely
upgrade costs and what the potential development of the software will be in the future.
Furthermore, given the signifcant development and investment towards the production of a
single project model, utilising intelligent components, it is important to understand whether
the software chosen, if not a Bim application, can be upgraded to offer a Bim solution.

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 seCtiON ii  stAge 3 SPatIal coordInatIon

Although special hardware is not required for 2d drafting and some 3d modelling (except
perhaps a high-quality graphics card), if Bim is ultimately the preferred route then the
software may be much more memory intensive and require faster, larger processors and
graphics cards, which in turn will impact on the workstations used. in addition to CAd
packages, it is likely that the practice will be investing in desktop publishing software,
database and scheduling software, programming and graphic/image manipulation, fnancial
management and project management applications, and many others. As with hardware, it
is important to take into account compatibility, durability, fexibility and adaptability to the
business and the future of the business, when assessing which software package is the
most appropriate.

Bim 360 is good for collaborating but can also be used to allow people to work on a central
model from anywhere. this service is often used if the infrastructure (server and network) is
not fully in place.

For reference, the cost of Revit software is currently (2020): single user monthly £225, single
user annual £1780. multi-user annual £2425.

OtHeR CONsideRAtiONs
since the advent of COvid-19, the need to be able to work remotely from the studio has
become increasingly important and you should consider this when deciding which software
solutions to adopt.

Printing can be expensive. One solution is to adopt a ‘green offce’ strategy and tell clients
you aim to reduce waste by sending or sharing fles and drawings electronically.

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 caSe Study
fIjal HouSe
ELY

arcHItect

mole Architects

clIe nt

Private

com Pl e tIon date

October 2017

con S tru ctIon co S t

£434,368

SIze

150m²
fijal House is built within ely’s central conserva-
tion area, set between two edwardian detached
houses. the architectural expression of the brick
clad house is a contemporary interpretation of the
edwardian differentiation between the plain fank
walls and the decorative fronts. the vertical saw-
tooth rhythm of the front elevation is derived from
the engaged stone columns at the entrance to ely
Cathedral, and created with a fully bonded brick
set at 90-degree angles, with specials at the
two sides.
the house is constructed from a prefabri-
cated timber frame, with internal ground foor
and internal walls in concrete screed and dense
concrete blockwork for additional thermal mass.
sunlight is brought into the house throughout the
day by the roof lights on the south side, set above
the dining area and stairs. the upper foor sits
under a steep pitched roof with exposed rafters.
the pitch is taken from the nave of the cathedral;
the standing seam roof reminiscent of the cathe-
dral’s lead roof. this gives the modest bedrooms
a sense of scale and character unusual in a
suburban house.
the internal layout is designed for a degree of
fexibility. the clients wanted a house that could
open up for large parties but have acoustic sep-
aration between rooms when in daily family use.
the materials are simple; dark stone foor, pale
ash wall linings, with the upstairs carpeted. Curved
details internally are a contrast to the angular
external forms.

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 seCtiON ii  stAge 3 SPatIal coordInatIon

Stage summary

moving from stage 3 to stage 4 marks the transition from the iterative design stages to
the more ‘linear’ ones. stage 4 design should develop within the clear physical and fnancial
parameters established at the end of stage 3 and should therefore be predictable – a matter
of flling in the gaps. there are of course important design decisions to be made with regard to
specifcation and detail – the latter often being more open to scrutiny on small projects than
large ones.

stage 3 usually ends with a planning decision but in the Plan of Work 2020 the design is fully
coordinated and integrated with the cost plan.

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section iii
PreParIng
to buIld

stage 4
tecHnIcal deSIgn
p.147

stage 3
Procurement
p.172
smAll PROJeCts HANdBOOK

Introduction

“If the only thing you have to ofer is design vision then in
reality you are just a kind of building decorator. You need to be
interested in the fundamentals of constructing and making, to
be able to work in a team with the contractor, and to lead the
whole process.” / Simon allford, aHmm

stage 4: technical design and procurement (of the contractor) have been grouped together
in this section as activities lying between the iterative design stages and the construction
stage.

technical design activities should be entirely linear and predictable, adding detail within
the agreed spatial zoning and pricing structure of the coordinated stage 3 spatially Coordi-
nated design. that is not to say that it is not a creative stage, as clearly there are important
matters to be established about the quality and appearance of the building, but that the
parameters should be predetermined by the end of stage 3.

stage 4 is where the architectural and engineering designs are fully developed, along
with input from any specialist subcontractors or suppliers. Where the architect is the lead
designer, he/she will have a responsibility to review this information and ensure that it is
integrated into the coordinated design. stage 4 activities can overlap with stage 5, depend-
ing on the form of procurement. under traditional procurement, where tendering occurs after
completion of the technical design, there may be technical queries raised by the contractor
and these are a stage 5 activity.

Procurement for small projects will typically occur after stage 4, when suffcient information
has been prepared. this will minimise the risk of variations due to missing information and
reduced quality due to unresolved specifcation information.

the form of procurement and the information provided for tendering can have a signifcant
impact on the quality and cost of a project, and it is important therefore to ensure that the
documentation provided to tenderers is complete and coordinated.

It is critical to allow suffcient resources (i.e. fees) to develop all the information to an
appropriate level of detail, to ensure the constructor has suffcient data to construct the
building. The single largest factor in claims and subsequent legal costs is insuffcient,
uncoordinated or inaccurate production information.

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Stage 4
tecHnIcal deSIgn

IntroductIon p.148

Plan of work 2020 p.149

InPutS p.150

actIVItIeS p.150

SuStaInabIlIty cHeckPoIntS p.153

outPutS p.155

exPert adVIce p.156

Project ISSueS p.159

caSe Study p.164

PractIce ISSueS p.167

caSe Study p.168

Stage Summary p.171

smAll PROJeCts HANdBOOK

Introduction

the stage involves:

• Preparing the technical design for use in the tender documents (for traditional procure-
ment) and to inform construction activities on site.

Work should be allocated between design team members and specialist suppliers and subcon-
tractors in accordance with the design responsibility matrix and project strategies.

under traditional procurement, preliminary considerations regarding the tender list or initial
discussions with a preferred contractor should also take place at this stage in readiness for
the tender process. if the contractor or specialists have already been engaged, the designers
will be able to work collaboratively with them to improve effciency and value.

The skill set required for technical design is of course somewhat different to that
required for the previous, concept and spatially coordinated design, stages. Some fnd
this stage rewarding and enjoy the rigour required; others prefer the more contempla-
tive, open design activities of the initial stages of the process. Some bring different
skills altogether such as business development, legal aptitude or offce management
but all are required for a rounded practice. In a micro practice one person may need
to have a range of skills, but it is increasingly diffcult to practise as a generalist,
and micro-scale practitioners (and others) should consider forming collaborations to
broaden their offering.

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rIba Plan of work 2020

outcome: all design information required to manufacture and construct the project completed.

stage 4 involves the preparation of all information required to manufacture and construct a
building. the core documents at the start of stage 4 are the responsibility matrix, the infor-
mation requirements and the stage 4 design programme, which is heavily infuenced by the
procurement strategy.

the responsibility matrix, produced in stage 1, defnes whether the design team will deliver pre-
scriptive information or descriptive information (including fnal specifcations) for each building
system. Prescriptive information can be used for construction purposes, with descriptive infor-
mation issued where a specialist subcontractor will design a building system for manufacturing
and/or construction. While the procurement strategy infuences who takes ultimate responsibil-
ity for manufacturing information and construction information, it is a common misconception
that it also determines who is to produce it. However, a client on a design and build project
may wish the design team’s information to be as prescriptive as possible, keeping the need for
specialist subcontractor design of building systems to a minimum. Conversely, a client using tra-
ditional procurement may require several specialist subcontractors to design building systems.

the procurement strategy does, however, infuence when the building systems will be designed,
dictating how the stage 4 design programme will be structured. the procurement strategy might
require stage 4 to be undertaken in two parts. For example, on a traditional project, specialist
subcontractors will design building systems after the building contract has been awarded.

the procurement strategy may also infuence the structure of the project team. For example,
the design team may be novated to the construction team. With this is mind, it is important
that the procurement strategy is clear about project roles, including who will direct the work
of the design team and who will review the design work of specialist subcontractors.

A building regulations application should be made during stage 4, before work commences
on site. it will also be necessary to discharge any pre-commencement planning conditions.

Cost control measures applied during this stage will vary from project to project. these might
include the preparation of an updated cost plan, bills of quantities or pricing schedules, as
defned by the procurement strategy. the building contract needs to be agreed and signed at
some point during the stage, to allow stage 5 to commence. the majority of project strate-
gies developed by the design team will be embedded in the manufacturing information and/or
construction information, but some will continue into this stage and beyond. it is not usually
necessary to produce a stage report for stage 4.

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Inputs

1. stage 3 report.

2. Planning application information including the spatially coordinated design, the planning
approval notice and planning conditions.

3. Construction cost estimate from stage 3.

4. Relevant technical data and samples from potential suppliers.

activities

1. establish the scope of the activities to be carried out during this stage and produce a
design programme that meets the overall project programme. Check that available staff
resources are both suffcient and appropriate. Progress should be monitored regularly
(say once a week) and if found to be slipping, the necessary actions should be taken to
bring the work back on track.

Development of production information should be a ‘linear’ process and therefore

easily programmable. You should have a change control process in place. See Stage 2:
Managing project-related change.

make sure the client is aware of this and that any changes to the approved spatially
coordinated design which are client-originated might mean abortive work, additional fees
and expenses and delays.

2. Obtain the client’s approval of materials and fnishes. Obtain samples and submit to the
client for approval.

3. discuss with the client whether interviews with potential contractors should take place at
this stage. under certain circumstances contractors’ views on operational methods and
health and safety during construction could be valuable.

Note: On some projects it may be appropriate to commence dialogue with the contrac-
tor/s earlier during Stage 3.

4. Review the implications of any conditions attached to the planning permission with the
design team and discuss these with the planning offcer as necessary.

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5. Prepare the technical design and coordinate it with design output developed by other
consultants and subcontractors. see ‘Outputs’ below for a list of information that might
be required.

6. As the technical design develops, review and update the project strategies.

7. Continue discussions with the building control and fre authorities and prepare a building
notice for submission under the Building Regulations, or an application for approval by
deposit of full plans.

See Stage 4: building control applications.

8. Continue discussions with relevant authorities for highways, drainage, water, gas, elec-
tricity supplies, etc.

The local authority’s website will usually have contact details of the various bodies.

9. if they have not yet been served (in stage 3) and if instructed, issue party wall and/or
foundation notices on behalf of the client. if notices are being issued by others, check
that all notices have been served.

See Stage 4: Party wall procedures.

10. On Bim-enabled projects, if you have been appointed as information manager:

• Assist members of the design team to develop the design using the Bim model,
ensuring that data-sharing protocols are followed.
• Check and sign off the model at agreed stages.
• issue or assist in the issue of design data at agreed times throughout the develop-
ment of the design.
• Assist in the development of data relative to the agreed levels of detail.
• Assist in the integration of contractors’, subcontractors’ and suppliers’ data into the
Bim model.

11. On Bim-enabled projects:

• Carry out detailed modelling, integration and analysis using the Bim model.
• Create technical design level parametric objects for all major elements (where appro-
priate information exists this may be based on tier 2 suppliers’ information).
• undertake a fnal review and sign-off of the Bim model.
• share data for conclusion of design coordination and detailed analysis with
subcontractors.

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12. Provide information for the cost consultant to prepare a pre-tender construction cost
estimate (or prepare a pre-tender construction cost estimate if appointed to do so) where
using traditional procurement.

The pre-tender construction cost estimate is an essential check prior to inviting tenders.
At this point the estimate should be an accurate prediction of the tender fgures. The
design and tender documents may need to be amended if the estimate does not match
the project brief.

Review with the client the implications of the pre-tender estimate.

discuss possible options with the client. explain implications for timetable and consult-
ants’ fees if amendments are required to change (or comply with) the brief.

13. Amend the technical design if necessary following cost checks.

14. if the programme for tendering needs to be maintained, establish whether changes are
to be refected in the building contract documents (which will then differ from the tender
documents) or whether amendments are to be the subject of immediate variations
under instruction by the contract administrator when the building contract has been
entered into.

15. Check the effects of any amendments on specialist subcontract work and arrange for
adjusted tenders if necessary.

16. Prepare the stage 4 report, which should include:

• Final cost plan.

• estimated construction contract programme.
• Copies of all technical design information.
• A note of any planning conditions.
• Building Regulations approval (if undertaken through the ‘Full Plans’ route).

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Sustainability checkpoints

SuStaInabIlIty aImS
ensure that the fnal design prepared by both the design team and any specialist subcontrac-
tors refects the requirements of the sustainability strategy.

actions from Plan of work 2020 overview

• undertake technical design, including fnal specifcations and material sourcing,
to manufacture and construct the building to achieve the target sustainability
outcomes.
• Coordinate design team and specialist subcontractors’ manufacturing information,
construction information and fnal specifcations, embedding the target sustainabil-
ity outcomes and the plan for use strategy.
• update any target commitments (e.g. to reduce carbon, energy or water use, and
improve health and wellbeing).
• include the sustainability strategy in tender information or employer’s requirements
and review tender returns or contractors proposals – including any alternatives –
against sustainability outcomes.
• mitigate or control as many building performance and climate change impact
project risks as possible and identify strategies for managing those that remain.
• Address the sustainable outcomes targets – and Part F, g and l Building Regula-
tions requirements – and submit a Building Regulations application.

key SuStaInabIlIty actIonS

1. Check that the formal sustainability assessment is substantially complete.

2. Check that details have been audited for airtightness and continuity of insulation.

3. Check that the implications of changes to the specifcation or design have been reviewed
against agreed sustainability criteria.

4. make Approved document l submission, design stage carbon/energy declaration update

and future climate impact assessment.

5. draft the non-technical user guide and agree the format and content of the Approved
document l log book.

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6. submit all outstanding design stage sustainability assessment information.

7. specify the building handover process and monitoring technologies.

8. ensure that artifcial lighting and daylighting strategies and controls are mutually support-
ive in delivering low-energy consumption.

9. lnvolve building users in reviewing the environmental control systems and manual and
automatic controls to ensure that they are appropriately simple and intuitive, and that
there is a match between expectations and the design.

10. make sure that the project team is aware of the technical consequences of strategic
sustainability decisions.

11. specify sustainable materials and products, limiting life-cycle impacts, considering main-
tenance regime, durability and cost.

12. Complete consultation with subcontractors and suppliers with regard to technical design
issues and review information packages to check that they are coordinated, complemen-
tary and support all components of the sustainability strategy.

13. Agree responsibilities and routines for data recording to monitor performance.

14. Review the potential knock-on implications of any value engineering on performance and
sustainability targets.

15. Review the fnal details, including subcontractors’ packages, for airtightness and conti-
nuity of insulation.

16. Review the information required to demonstrate compliance with sustainability require-
ments (e.g. materials certifcation).

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outputs

1. technical design coordinated documents – probably including location, component and

assembly drawings, schedules, specifcations and schedules of work.

2. specifcation notes (prescriptive and performance) on materials and workmanship,

systems, products, execution, etc.

3. information for preparation of full plans submission for approval under the Building
Regulations.

4. Non-technical information for use in dealings with third parties, landlords, tenants,
funders, etc (e.g. in connection with leases, boundaries, party walls).

5. information for inclusion in pre-construction health and safety information to be passed

to the principal designer.

It is good practice to drip-feed this to the principal designer throughout the design phase
as it becomes available.

6. updated construction cost estimate.

7. stage 4 report.

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expert advice

PuttIng bIm workflow at tHe Heart of Small PractIce

david miller
 

dmA

if we think of Building information management (Bim), not as a technology but as a stream-

lined design process, it is possible to speculate what could be achieved by the smaller
practices that make up the majority of the profession in the uK.

the biggest challenge with adopting Bim is the idea of changing the way we work and the
management of that change within practice. this is diffcult, especially for larger businesses
with long-established ways of working. smaller organisations tend to be more agile and have
the potential to adapt more quickly. so, in a diffcult trading environment with fast evolving
new technology, there is an opportunity for smaller practices to change the odds and punch
above their weight.

there is an increased polarisation between smaller practices, working on boutique, often

one-off projects, while larger organisations sweep up most of the available work through
frameworks and partnering agreements with experienced and knowledgeable clients. Con-
sequently, the dream of growing a small practice incrementally has become increasingly
diffcult. if small practices are to get the opportunity to work on larger and more interesting
projects, they need to fnd a place in the larger, more sophisticated supply chains. Bim offers
this potential by not only improving effciency, but also by offering additional services that can
help differentiate a practice in a crowded marketplace.

in recent years, the usual motivation for adopting Bim has been the desire to access the
publicly funded projects that fell under the uK government’s Bim level 2 mandate that
came into place in 2016. Arguably, this has led to a tick box approach to Bim – ‘we have a
Bim manager, job done’. However, this misses the big opportunity Bim presents, which is to
redefne the architect’s role and reset the profession. A more positive approach is to consider
the effciency, quality and cultural benefts of aligning your practice’s systems with a Bim
workfow and taking more control of the information fow within a project.

in terms of effciency, the beneft is that Bim automates and standardises many of the more
day-to-day tasks required to deliver a building. this gives more time to design and think, or it
can simply be used as a competitive advantage. Furthermore, Bim is by defnition a method

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of quality control, so it enables practitioners to produce better coordinated, more consistent

and confdent information. this is particularly important for small practices who are trying
to establish themselves, as it reassures clients and engenders repeat business. in addition,
considering the current commercial environment where projects are increasingly being
‘salami-sliced’ and re-procured at different stages, the production of high-quality information
increases the chances of a practice staying with the project throughout. We can add to this
the opportunity to drive effciencies from project to project by developing libraries of quality-
controlled, virtual components, specifc to a client or building type, which become richer and
more refned over time. these are the sort of additional services that can help differentiate a
practice in a crowded marketplace and bring genuine quantifable value to a client.

Culturally, these new processes encourage or even demand collaboration, both internally
within the practice, and externally within the wider team. the model focuses the team on the
shared endeavour rather than just their individual contributions to it. the outcome is a more
collaborative, less adversarial way of working. For the clients and stakeholders, it provides
the advantage of being able to see what they are getting as it develops, which manages their
expectations and smooths the project through the review and approval process.

For designers wanting to put Bim at the heart of their practice you can start by creating an
energetic offce environment that is structured around a Bim workfow. think about the way
you will work both physically within the offce and virtually with the systems and processes
you will need to put in place. there is a great opportunity to create a collaborative and inter-
active environment that supports and encourages creative digital working. You will need to
ensure that your team has access to the appropriate levels of technology, tools and training,
but also remember that younger members of the team will have grown up with, and been
shaped by, technology, and will often fnd ways to refne the process through their natural
inquisitiveness and peer-to-peer knowledge sharing. this informal innovation is fantastic, but
it does require the senior team to put a clear framework in place in order to ensure appropri-
ate compliance. You could think about appointing a Bim champion to drive the initial adoption
and this is common. However, consider that they may become a block to Bim maturing within
an organisation if your aim is for the entire team to be Bim-literate. it is important to avoid
silos, so blow the role apart as soon as is practical and share out the responsibilities – that
way, the overall knowledge within the team grows. this is the way that Bim can become
‘business as usual’ for uK architecture practices.

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if you want to explore Bim in more detail and integrate it into your business there are many
great resources. three good starting points are:

tHe B1m
• For inspiration look at the video channel ‘the B1m’ which covers the wider construction
industry, but at its heart is a knowledge-sharing platform for Building information man-
agement. there are lots of case studies and inspiring projects, as well as tutorials such
as their ‘Bim for beginners’ series.

www.theb1m.com/

uK Bim AlliANCe
• Your next stop should be the uK Bim Alliance website. the Alliance’s mission is to help
frms move towards making Bim business as usual in a robust and structured way. it is
run by people from within the wider industry and includes practical advice on implemen-
tation. they also run the Bim regions and the Bim 4 groups which bring people together
by locality or sector.

www.ukbimalliance.org/

CeNtRe FOR digitAl Built BRitAiN

• For an insight into the future direction and where we could be going with the digitisation
of the uK construction industry, you should explore the Centre for digital Built Britain
website. CdBB is a partnership between uK government and the university of Cambridge
which is tasked and funded to explore the future of digital construction. Whilst smart
cities and digital twins may seem to be in the future, it demonstrates that Bim is very
much where we are now.

www.cdbb.cam.ac.uk/

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Project issues

tecHnIcal deSIgn adVIce

in developing the technical design consider the following:

• Prepare the technical design in accordance with the design responsibility matrix and
project strategies.
• drawings:
– Prepare a schedule of drawings and other information needed.
– draw up a programme for the preparation and delivery of the drawings and the
other stage outputs and assess the resource required to complete it in line with
the programme.
– Confrm a system for recording and distributing information and revisions.
– use standard title panels for all drawings and try to limit the number of different
sizes of drawings; A1 and A3 are generally the preferred sizes for hard-copy drawing
output.
– Compile specifcation notes as relevant during the production of drawn information.
• specifcations and schedules:
– Agree a strategy and programme for the production of appropriate documents with
the design team.
– Assemble specifcation notes made during stage 3.
– Prepare a checklist to show which headings or subheadings might be relevant for the
particular project.
– select specifcation sections and clauses from a standard specifcation library (NBs
Create is recommended).
– establish which parts will be by prescription and which by performance requirements.
Review the selection of materials, descriptions of workmanship, etc and check with
the cost plan.
– Check the fnal copy for errors, omissions and possible inconsistencies, either within
parts of the document or between the specifcation and other technical design
information.
• to assist the cost consultant during preparation of the information for tendering, the
architect might be expected to supply the following:
– specifcation or specifcation notes for incorporation in work sections.
– information for inclusion in preliminaries such as:
– Form of contract, supplements, option clauses, amended clauses, etc.
– Content and use of contract documentation.

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– method statements required.

– Pre-tender health and safety information.
– Work to be done by the employer direct.
– Requirements concerning sequence, time limitations, etc.
– Provisional sums to be included.
– Provision for named subcontractors/suppliers.
– Any explanatory diagrams that are required.
– Overall dimensions and internal dimensions of all rooms and spaces.

For advice on the scope, format and content of production information refer to the
Construction Project Information Committee (CPIC) website www.cpic.org.uk which
contains advice and a number of useful, industry-standard publications.

SPecIfIcatIonS
the specifcation is of course a critical tool in delivering the appropriate level of quality and
ensuring proper building performance. many established practices have a standard format for
specifcation and project preliminaries, but for those starting afresh it is important to head off
in the right direction. And for those using standard formats it is essential that the clauses are
reviewed for each project to ensure they meet current regulations and standards.

NBs is the industry standard, and general advice on best practice and information on their
products can be found at www.thenbs.com.

NBs Create will guide you through the specifcation process and can be used from the outset,
starting with an initial outline specifcation which can be developed into a performance and
then fully detailed specifcation. it also contains project management sections that deal with
non-technical items such as description of the site, project participants and the contract.
Contents are arranged using the uniclass classifcation system, including linked contract,
outline, performance, product, execution and completion clauses. All of the clauses contain
drop-down values linked to guidance and product information. it is regularly and automatically
updated online, providing technically robust pre-written system, performance, product, execu-
tion and completion clauses.

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The specifcation process should start from the earliest design stages, with notes
kept on fle in preparation for assembling the fnal, full version. This is important from
a project cost management point of view and will help the cost consultant to make a
meaningful assessment at each stage.

It is helpful to maintain a practice outline specifcation manual with high-level speci-

fcation items, allowing easy reference to past projects. Similarly, maintain a project
details manual. This can become a prelims summary sheet. Then use NBS prelims for
the fnal prelim document. Note, small contractors are less likely to make good use of
the longer document.

buIldIng control aPPlIcatIonS

Building control submissions can be dealt with either as a ‘full plans’ submission or using the
‘building notice’ procedure.

Full PlANs
under this method, drawings, calculations and so on are submitted for approval prior to work
on site commencing. this is usual for anything more than a small house extension. there is a
statutory timescale for the response from a local authority inspector.

BuildiNg NOtiCe
under this method, work can commence 48 hours after submission of the notice and the
work is monitored by the inspector as it progresses. You must be certain that the works will
comply, otherwise there is a risk that non-compliant work will have to be taken down and
rebuilt in accordance with the regulations. it can only be used for extensions to dwelling
houses and not for new builds, or other building uses.

APPROved iNsPeCtORs
Compliance can be certifed either by the local authority or by an approved inspector.
A list of approved inspectors can be obtained from the Construction industry Council:
www.cic.org.uk. Approved inspectors use an ‘initial notice’ procedure which takes the place
of a ‘full plans’ application. You will need to agree upon what information is provided to the
approved inspector, who will advise you on what is required.

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site iNsPeCtiON
Whichever method is followed, site inspection will be a part of the process and notice must
be given before works such as foundations, drainage, steelwork erection and construc-
tion of walls or foors commence. Notifcation should also be given upon completion, prior
to occupation.

sCOtlANd
the method in scotland is similar but is undertaken through a ‘Building Warrant’.

further advice
Further advice including free downloadable copies of all the Approved documents and
an explanation of the approval process can all be found at www.gov.uk/government/
collections/approved-documents and www.gov.uk/building-regulations-approval.

Party wall ProcedureS

the government has published helpful advice which can be found at www.gov.uk and then
searching ‘party walls’. this has a link to an explanatory booklet which provides straight-
forward explanations of the conditions requiring party wall or foundation notices and sample
letters for issuing to adjoining owners and responses that can be sent to them to reply with.

there are three different forms of notice that relate to:

• Work on an existing party wall.

• Building up against or astride the boundary line.
• excavation near neighbouring buildings (i.e. for foundations).

if a party wall surveyor is to be appointed he/she will manage this process but will need
copies of the relevant architectural and structural drawings to submit.

if the adjoining owners have agreed that no surveyor will be required they can exchange
letters, using the standard forms in the guidebook.

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 seCtiON iii  stAge 4 tecHnIcal deSIgn

coSt PlannIng
An essential part of good design is managing cost, both of your own resources (people,
materials, services, etc) and of the project. You should discuss the project budget with the
client at the outset and monitor the estimated construction cost at regular intervals and at
least at every design stage (1/2/3/4).

if a cost consultant is not appointed you can either make an assessment by benchmarking
similar, recent projects or approach a contractor to give you advice. in exchange you can
agree to include them on the tender list.

if neither of these options is available you must make sure the client is aware that the
design proposals may need to be amended to take account of tender prices that exceed the
budget, and that this is likely to attract additional design consultancy cost and could delay
the project.

Assuming you have cost advice during the design stages:

• discuss with the design team and the client the effect of detailed design decisions on the
allocations within the cost plan before implementation.
• Provide information to the cost consultant for revision of the construction cost estimate
and cash fow projection (or revise the construction cost estimate if appointed to do so).
• Report to the client on cost matters at agreed intervals.
• Review quotations received from specialist frms and check against provisional sums or
budget fgures.
• Adopt a formal approach to ‘question and answer’ procedures with the cost consultant
at an early stage.
• establish a cut-off point for information to be passed to the cost consultant prior to ten-
dering. Any subsequent changes will then need to be treated as contract variations at the
appropriate time.

At small project level it is likely a cost consultant will not be involved full time, but it is
benefcial to have light-touch cost advice at specifc stages and this should be discussed with
the client.

Note that refurbishment work will attract vAt at the standard rate.

it is sensible to recommend a contingency, particularly in early stage budgets.

163
 caSe Study
boatHouSe
DEVON

arcHItect

Wimshurst Pelleriti

clIe nt

Private

com Pl e tIon date

2018

SIze

65m2
wimshurst Pelleriti’s boathouse lifts a 14-foot in untreated siberian larch. externally, the larch
speedboat out of the water, and stores it ready for will silver over time creating a material dialogue
a quick launch. unusually, perhaps uniquely, the with the structure. internally, the timber will retain
boat is stored high into the eaves from where it is some of the warmth of its un-weathered state.
mechanically lowered into the water, releasing the A full-length roof light allows diffused light into the
area below the boat for storage. main space and onto the mezzanine deck, while
the challenging brief required a modern and a series of sliding doors enable access from both
sophisticated piece of infrastructure to be sen- land and water.
sitively inserted into the steep-sided estuary of to facilitate the launch of the heavy speedboat
the River Yealm in devon. located in an Area of positioned high in the eaves, Wimshurst Pelleriti
Outstanding Natural Beauty, the location is highly worked with a specialist in handling solutions for
protected and nothing can be built adjacent to dockyards – Wise. the result is a truly innovative
the water without permission from a large variety design which will have a positive impact on a
of stakeholders. historic estuary, and perhaps on the development
the primary structure of the boathouse is gal- of boathouses for this kind of riverbank scenario in
vanised steel with the skin of the building dressed the future.

165
166
 seCtiON iii  stAge 4 tecHnIcal deSIgn

Practice issues

managIng tHe offIce team

the RIBA Handbook of Practice Management 9th edition contains a chapter on people man-
agement, which offers comprehensive information on the legal as well as the ‘soft’ issues of
management, but the following are some other key issues to be considered.

if your workload is of a size that means you are unable to undertake it all yourself there are a
number of ways of engaging with others to assist you:

• Collaboration with another practitioner or practice through subconsultancy.

• temporary engagement of individual(s) for a specifc piece of work.
• employing full-time staff.

Regardless of how you engage them, people are the most important asset of any practice.
Keeping them motivated is important to maintain the quality of work produced. Communi-
cation is crucial, and keeping staff well-briefed and informed of projects and practice aims,
ambitions and developments is key to keeping them motivated and productive, whatever the
size of the business.

the RiBA Code of Professional Conduct (available from www.architecture.com) places

various requirements on members in relation to employment of staff. RiBA chartered practices
are also required to comply with various criteria, including the establishment and following
of a model RiBA employment Policy that sets out the roles and rights of the RiBA, the
chartered practice and the employee (for details, go to www.architecture.com and search
for ‘employment policy’). the RiBA publishes a model employment contract for students
undertaking practical training. Note also the requirement for RiBA chartered practices on
remuneration of students.

there are a number of useful guidance notes/updates on employment law, including:

• the RiBA employment Policy (see above).

• Workplace law Network (www.internationalworkplace.com).
• the employment section of the government website (www.gov.uk and search
‘employment’).
• labour Relations Agency (www.lra.org.uk/index/employment_legislation).

the RiBA operates an HR and employment law service for RiBA chartered practices in the
‘members only’ area of its website (www.architecture.com) which covers a comprehensive
range of topics, offers a ‘help page’ and includes telephone contact details for other queries.

167
 caSe Study
oak tree
PaSSIVHauS
TYNESIDE

arcHItect

mawsonKerr

clIe nt

Private

com Pl e tIon date

2020

SIze

213m2

award S

2020 RiBA Regional

Awards – shortlisted
oak tree Passivhaus is innovative in both the
process and the fnished building which, in the
words of the client, is ‘a delight to live in’. it is
also the frst Certifed Passivhaus in tyneside,
combining ‘delight’ with robustness in design
and delivery.
sited on a steep slope with mine workings
beneath, bedrock, ground gas and tree preser-
vation order trees, the scheme overcame these
diffcult constraints with a layout that captures
long views across the derwent valley and framed
views of the nearby protected oak tree.
High ceilings and large format windows allow
for a great quality of daylight and a sense of
airiness. An upstairs bedroom and shower room
allow the client to live solely on the upper foor,
future-proofng for any eventuality.
A twin timber frame was chosen for the main
structure, flled with a large thickness of insulation
with minimal thermal bridging. insulation and lining
materials were chosen to ensure a breathable
construction, promoting longevity and a healthy
environment. Procurement of the frame was all

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smAll PROJeCts HANdBOOK

Store Plant
Ensuite

Bathroom
Utility

Master
Bedroom

Bedroom 3

Bedroom 2

Terrace

Store

Kitchen
Bedroom 4/
Library Study Garage

Hallway Store

Dining

Living

Sitting

Terrace

in-house, with fabrication drawings by the archi- the balcony from the overhanging roof whilst also
tect and manufacturing by the main contractor. supporting the timber solar shading. this accu-
local and low embodied carbon materials were mulates in the total embodied carbon being lower
chosen, such as larch cladding from the scottish than the RiBA Climate Challenge target for 2030.
Borders and stone gabions from the site bedrock.
steel was only used in the slender fns that hang

170
 seCtiON iii  stAge 4 tecHnIcal deSIgn

Stage summary

the technical design stage is perhaps the most critical in terms of risk management.
Research shows that most construction litigation arises from poor or missing technical
design information, so it is essential that enough time and resources (i.e. fees) are allocated
to do the job properly. if you do not feel comfortable with producing the information to a suff-
cient standard, seek advice from peers or more experienced practitioners, either within your
practice or outside it.

under the RiBA Plan of Work 2020, procurement (of the contractor) can take place anywhere
from the end of stage 1 onwards. For most small projects, however, it will occur either after
the development of the technical design or, as can be the case with domestic extensions,
after stage 3 when planning permission has been obtained, and using the planning appli-
cation drawings. this is not recommended for situations where the client wants to maintain
control of quality. Where an architect has been appointed it is usual for tendering to take
place with a full set of technical design information.

171
Procurement

IntroductIon p.174

InPutS p.174

actIVItIeS p.175

outPutS p.179

Project ISSueS p.180

caSe Study p.190

PractIce ISSueS p.193

caSe Study p.194

Stage Summary p.197

smAll PROJeCts HANdBOOK

Introduction

Whilst procurement is not a stage in the Plan of Work 2020, it has been given a separate
section in this book to explain the important activities that take place when appointing the
contractor.

the work involves:

• Collating all the technical design information.

• Preparing tender documentation.
• either:
– seeking competitive tenders or
– negotiating a price with one contractor.
• Assessing the tender proposal and making a recommendation to the employer (client).
• Notifying unsuccessful tenderers and giving them feedback.

tendering is generally managed by either the architect, the cost consultant or the project
manager if one has been appointed.

With small projects it is usual for it to take place once all the technical design information
has been completed but this will not always be the case. Refer to ‘Construction contracts’
on p. 185.

Inputs

1. information for tendering:

• technical design information.

• Pre-construction health and safety information.
• Completed tender documents from any named subcontractors and suppliers, with all
sections properly completed.
• Completed particulars for the building contract and any supplements for the form of
contract selected.
• Any conditions imposed by the local building control and fre authorities, particularly
relating to construction details and fre prevention, including fnishes.

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 seCtiON iii  Procurement

activities

Note: these activities can take place simultaneously with stage 4 or potentially stage 3,
or be carried out once stage 4 work has been completed. the decision will depend on the
relative importance of time, cost and quality.

1. Collate the fnal technical design information and prepare, coordinate, collate and check
the tender documents. these should include:

• technical design information.

• Form of contract with completed particulars.
• Pre-construction health and safety information.
• the form of tender (see ‘Pro-forma letter of invitation to tender’ and ‘Pro-forma form
of tender’ below).
• Address to which tenders should be returned.
• Accompanying letter noting for example when the site can be inspected, confrm-
ing the tendering procedure (e.g. single-stage) and any other matters that need
highlighting.

2. Check that all necessary statutory and other consents have been obtained and that party
wall awards are in place. if any permissions, consents or awards are still under negotia-
tion during the tendering process this could mean that alterations will be required to the
tender negotiations or that start on site will be delayed.

3. discuss the list of potential contractors with the client and the design team.

4. if appropriate, arrange for interviews for selection of contractors by negotiation.

5. Confrm with the client:

• the details of any phasing, restrictions and implications.

This activity might be carried out earlier in the process if it is fundamental to the
design that construction is phased for fnancial or health and safety reasons – i.e. fre
risk management on a refurbishment site.
• the details of any proposal for work not forming part of the building contract to be
carried out by other persons.
• that arrangements for insurance for works, etc are being made.
• that he/she is aware of the requirements of insurance provisions in the building
contract and that they appreciate the advisability of seeking specialist advice from
their insurers or brokers.
It is very important that the client should be fully aware of the insurance require-
ments well in advance of the tender process.
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smAll PROJeCts HANdBOOK

• that the site will be available to the contractor on the date stated in the documents,
and that there is nothing likely to prevent possession or commencement.
• Any intention to impose restrictions on the contractor’s working methods (e.g.
sequence, access, limitation on hours, noise). this could have an effect on the tech-
nical design and would be essential information for tenderers.
• the form of contract to be used.
• the tendering period and procedures to be followed in opening tenders and notifying
results.
Allow adequate time for tendering, and for the assessment of tenders. The most
acceptable tender must be thoroughly checked for errors, and this takes time. Allow
time for checking by the principal designer.
• the appropriate choice for any optional provisions in the building contract. Advise
on the particulars which need to be entered in the appendix to the building contract
and referred to in the tender documents (e.g. dates, insurances, liquidated damages,
option clauses).
• Any arrangements to employ persons direct to carry out work not forming part of the
building contract during the contractor’s occupation.
• the fnal tender list.
• that he/she has fnalised all insurance arrangements.
• that the instruction to proceed has been given and confrmed in writing.

6. Provide fnal information for pre-construction health and safety information and pass to
the principal designer if applicable.

This should cover signifcant issues that a competent contractor would not normally be
expected to be aware of through the design information.

7. Check design team members’ input to main contract tender documents for any inconsist-
encies or omissions.

8. if specialist subcontractors or suppliers are to be involved:

• Check that you have written confrmation from the client for inclusion of the frms
proposed. Check willingness and availability of these frms and, if necessary, decide
on additional names.
• initiate tender action for quotations from specialist subcontractors and suppliers.
When inviting tenders for specialist subcontract work that includes a design element,
make certain that the client consents in writing, and that their interests are properly
protected by warranty.
176
 seCtiON iii  Procurement

• Refer all tenders to the cost consultant for cost checking. Approve specialist tenders
and notify all tenderers of this decision. Refer all tenders to the cost consultant for
cost checking. Approve specialist tenders and notify all tenderers of this decision.
• ensure any CdP work is in the construction contract.

Follow the procedures stated in the main contract to be used for the appointment of
specialist subcontractors. Only place advance orders with specialist subcontractors or
suppliers as provided for in the subcontract documentation, and only if authorised in
writing by the client.

Review the position with respect to advance orders for design, materials and fabrication
by specialist subcontractors and suppliers, including named subcontractors. If author-
ised, take further necessary action. Always obtain authorisation before taking action on
advance orders.

9. invite tenders for main contract works from contractors on the fnal tender list.

• Follow the relevant codes of procedure for tendering to ensure fairness and reliable
pricing.
• supply all tenderers with identical information.
• if queries are raised during the tendering period, deal with them promptly, and notify
all other tenderers in identical terms.
• do not accept late tenders.

10. Arrange for tenderers to have the opportunity to inspect the site and/or existing buildings
during the tender period.

11. Appraise the tenders received with the cost consultant and prepare a report (or assist in
preparing a report) with recommendations for the client:

• Check with the cost consultant for arithmetical errors in the most acceptable tender;
if any are found, use the appropriate stated procedures.
• inspect draft programmes submitted by tenderers, if required.
• if applicable arrange for the principal designer to inspect material submitted by ten-
derers relating to health and safety requirements, and to appraise the construction
phase plan submitted in the most acceptable tender.
• Check that the tender includes information regarding the contractor’s competency.
deal with tender errors, or the need for a reduction, strictly in accordance with rec-
ommended procedures.

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smAll PROJeCts HANdBOOK

12. Prepare the tender report, review it with the client and discuss recommendations about
acceptance.

Be wary of a very low tender and explain to the client the possible risks in accepting it.

13. if the lowest fgure is greater than the amount allowed for in the cost plan, discuss the
most appropriate measures for reducing it with the cost consultant and/or the client
(such as making alterations to the design), agree the action to be taken with the client
and initiate it through negotiation or re-tendering.

If the design needs to be amended negotiate additional fees to cover that, unless the fee
has already included for such situations.

14. Assist as necessary with any negotiations following consideration by the client of the
most acceptable tender.

15. Check with the client that a construction phase plan has been produced by the principal
contractor and that it is relevant and meets the requirements of the job. the plan should
be project-specifc, take into account the pre-construction information provided and its
contents should be proportionate to the site risks.

16. Notify the successful tenderer and arrange for signing of the contract documents.

17. Notify unsuccessful tenderers of the result when the building contract is signed, and
provide fgures when appropriate.

178
 seCtiON iii  Procurement

outputs

1. Finalised tender documents, which might include:

• drawings.
• schedules.
• Bills of quantities/specifcations/schedules of work.
• Pre-construction health and safety information.
• subcontractor information and tenders.

When sending out for tender, any of the following documents and information may be relevant:

• A list of all tender documents so that the tenderers can check they have received the
complete package.
• tender forms and details of procedure to be followed, e.g. type of tender required,
submittals required, how the tender should be packaged and identifed, to whom it
should be sent.
• site information and surveys.
• drawn schedules, e.g. for doors.
• schedule of rates.
• Programmed dates for proposed work.
• details of any phased commencement or completion.
• details of the building contract terms and conditions, including insurance provisions.
• details of advance payment arrangements.
• details of any warranties to be provided.
• information prepared specially for use in self-build or semi-skilled operations.
• information for issue to specialist subcontractors and suppliers in connection with
tender invitations.
• information which is not necessarily part of the tender package for use in dealings
with third parties, landlords, tenants, funders, etc (e.g. in connection with leases,
boundaries, party walls, etc).

Outputs required after tenders have been received might include the following:

• main contract tenders and report with recommendations.

• tenders received from specialists with appropriate forms and numbered documents
where appropriate.
• signed contract.

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smAll PROJeCts HANdBOOK

Project issues

contractor Procurement oPtIonS

there are a number of methods of contractor procurement that can be followed, depending
on which of the three criteria of time, quality and cost are the more important. the principal
options are as follows:

tRAditiONAl PROCuRemeNt
tendering involves the assembly and coordination of the technical design information into the
tender package. this is the most prevalent form for small projects. this can be with some
elements designed by the contractor where they are distinct, discrete elements or parts.
For this the RiBA Concise and domestic building contracts can be used, or the JCt minor
Works or intermediate forms with contractor’s design. Refer to the advice on p. 185 under
Construction Contracts.

desigN ANd Build PROCuRemeNt

in design and build procurement, tendering activities may occur at different points in the Plan
of Work. in cases where the client wishes to tender on detailed information, the stages may
follow something close to the normal sequence, but in others, where the design and build
contract is entered into on minimal information, tendering may follow stage 2, with stages 3
and 4 occurring after the building contract is let.

design and build is unusual in small projects but may be appropriate in certain cases.

mANAgemeNt PROCuRemeNt
With management procurement, the amount of technical design information available at
the commencement of the project will be limited to the extent that much of the detailed
information will be supplied by the works contractors in the form of installation drawings.
Nevertheless, the general technical design information will originate from the design team,
and the process of coordinating and integrating information will continue throughout the con-
struction of the project.

management procurement can be appropriate for certain small projects where price is not a
key criterion.

in construction management, the client takes responsibility for directing the project and
enters into contracts with specialist trade contractors. the construction manager is an
advisor to the client, arranging the tendering of the packages and coordinating the works. As
the trade contractors are contractually responsible to the client, the client takes on most of
the risk and pays the trade contractors directly.
180
 seCtiON iii  Procurement

desigN-mANAge PROCuRemeNt
this is similar to construction management, but the construction manager will also manage
the design team as well as the packages, so the architect might take over the project lead
role and could handle overall management of the works. it demands signifcant understanding
of setting up and managing site operations and any architects taking on this role should be
certain they have the necessary knowledge and experience and insurance cover. it is often
used for self-build.

tenderIng Procedure
tenders for small projects will generally include three to fve pre-selected parties. Where price
is not the main criterion they may be negotiated.

it is important to ensure that tendering is always carried out on a fair basis. Competition
should only be between frms which have the necessary skills, integrity, responsibility and
reputation to enable them to deliver work of the nature and standard required. Competitive
tendering should involve only a realistic number of bids from frms that have been given the
same information and the same realistic period in which to formulate offers.

if you are using an NBs specifcation there are preliminary clauses that can be used to set out
matters related to the tendering process.

estABlisHiNg A teNdeR list

many practices maintain a list of contractors with a note of size/turnover, sectors covered,
location, previous performance and so on for use in preparing a preliminary tender list, and
this can be a useful, time-saving device. it is important to keep it up to date and to keep an
eye out for appropriate new additions.

AssessiNg teNdeRs ANd NOtiFiCAtiON

it is important to follow a clear and open procedure throughout the process. determine what
the criteria will be before tender invitations are sent out and always include quality criteria as
well as cost and programme.

tenders should be dealt with in a timely manner and opened as soon as possible after the
date of receipt, and it is good practice to notify unsuccessful tenderers what the other bids
were (without disclosing which contractor submitted which price).

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smAll PROJeCts HANdBOOK

You should decide before going to tender how pricing errors will be dealt with – either the
tenderer will be given the opportunity to confrm or withdraw, or amend the price for it then to
be re-compared to the other offers received.

if the lowest tender is above the client’s budget or they are all unacceptable for other
reasons, the client will have to do one of the following:

• increase the budget.

• Negotiate a reduction in the tender by amending the design or specifcation.
• Re-tender with an amended design or specifcation.

Clearly, if redesign is required this will attract additional design/consultancy fees which will
need to be negotiated. this should not occur if the cost consultant has maintained a cost plan
leading up to tender.

key principles of good practice to be adopted when appointing contractors

are as follows:
• Clear procedures should be followed that ensure fair and transparent competition in
a single round of tendering consisting of one or more stages.
• The tender process should ensure compliant, competitive tenders.
• Tender lists should be compiled systematically from a number of qualifed
contractors.
• Tender lists should be as short as possible.
• Conditions should be the same for all tenderers.
• Confdentiality should be respected by all parties.
• Suffcient time should be given for the preparation and evaluation of tenders.
• Suffcient information should be given for the preparation of tenders.
• Tenders should be assessed and accepted on quality as well as price.
• Working practices that avoid or discourage collusion should be followed.
• Suites of contracts and standard unamended forms of contract from recognised
bodies should be used where they are available to set out matters related to the
tendering process.

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 seCtiON iii  Procurement

Standard letterS for tenderIng

PRelimiNARY iNvitAtiON tO teNdeR
We are preparing a preliminary list of tenderers for construction of the works described
below. Please confrm whether you wish to be invited to submit a tender for these works.
Your acceptance will confrm your agreement to submit a bona fde tender and not divulge
your tender price to any person or body before the time for submission of tenders. Once
the contract has been let, we aim to supply all tenderers with a list of the tender prices.

Please reply by [date]. Your inclusion in the preliminary list at this stage will not guaran-
tee that you will receive a formal invitation to tender for these works.

a. Job:
b. employer:
c. Architect/contract administrator:
d. Cost consultant:
e. Other consultants:
f. location of site (site plan enclosed):
g. general description of work:
h. Approximate cost range £ to £
i. Form of contract:
j. Anticipated date for possession:
k. Period for completion of the works:
l. Approximate date for issue of tender documents:
m. tender period weeks
n. tender to remain open for weeks
o. liquidated damages (if any), anticipated value £ per
p. Particular conditions applying to the contract:

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smAll PROJeCts HANdBOOK

iNvitAtiON tO teNdeR
Following your acceptance to the invitation to tender for the above we are pleased to
enclose the following:

• technical information as set out on the accompanying drawing issue sheet [to
include all plans, sections, elevations, details, diagrams, specifcations, schedules
and so on (send 2 copies if posted)]
• the form of tender (send 2 copies if posted)
• Copies of the relevant advance orders [if applicable]

the completed form of tender is to be returned to the above address/emailed to [add

email address]* by [date]

Please acknowledge receipt of this email/letter* and enclosed information and confrm
that you are able to submit a tender in accordance with these instructions.

* delete as applicable

ResPONse
We have read the conditions of contract and have examined the technical design informa-
tion issued to us. We offer to execute and complete, in accordance with the conditions of
contract, the whole of the works described for the sum of:

£ (and in words)

Within weeks from the date of possession of the site.

this tender remains open for days from the date set for submitting tenders.

letteR tO suCCessFul teNdeReR

We are pleased to inform you that your tender for these works is acceptable and we will
be in touch shortly to make arrangements for you to sign the contract.

184
 seCtiON iii  Procurement

letteR tO uNsuCCessFul teNdeReR

tenders were opened on [date]. We regret to inform you that your tender was not suc-
cessful. this will not affect your opportunity to tender for work through us in the future.

the full list of tenderers and prices is below:

tenderers (in alphabetical order):

…….

…….

Prices (in descending order):

…….

…….

conStructIon contractS
the RiBA has developed two contracts to cover matters not properly covered by existing con-
tracts. the forms are:

• domestic Building Contract 2018.

• Concise Building Contract 2018.

RiBA dOmestiC BuildiNg CONtRACt

the RiBA domestic Building Contract has been developed to provide a simple yet compre-
hensive contract solution for building works at a client’s home. it is suitable for all types of
domestic works including simple renovations and also more complex extensions and new
buildings. the contract uses optional clauses to cover more advanced contractual terms
therefore retaining its simplicity.

the trend has been to use a commercial construction contract (because of its more compre-
hensive terms) for works at a client’s home. this practice requires that some of the terms
of such contracts are individually negotiated with the consumer client; failure to keep to this
requirement could lead to misunderstanding and expensive disputes. the RiBA domestic
Building Contract is comprehensive, covering issues not provided for by other domestic con-
tracts including programme, liquidated damages, testing and rejection of defective works
among others and it is written in plain english for the consumer to understand and therefore
it should not require individual negotiation of its terms.

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smAll PROJeCts HANdBOOK

Also, some of the terms in commercial construction contracts may distract rather than facil-
itate the successful completion of works at the client’s home, an example of such a term is
the detailed payment procedure required under the law for commercial construction projects.
the RiBA domestic Contract provides terms that are suitable and aid the successful com-
pletion of works at the client’s home and cover recurrent issues that arise in such projects,
these include:

• Flexible payment terms covering payment on completion, periodic payment and payment
on achieving set milestones.
• An option for insurance backed guarantee to cover the customer in the event the contrac-
tor ceases to trade.
• Collaboration that is not complicated but allows the parties to work together effectively,
including over events that may delay completion or add costs to the works.
• emphasis on timely completion of the works including specifying time limits for the con-
tractor to make applications for extension of time and additional payment.
• gives the contractor the right to apply for payment protecting the contractor against
late payment.

the publishers of the contract have advised that other benefts of the contract include:

• Provides an effective but not onerous clause for the contractor to provide a programme
showing the sequence it intends to carry out the works and to update the programme
regularly.
• Provision for the client to specify suppliers or subcontractors of its choice without
changing the balance of liabilities between the parties.
• Provision for the contractor to design parts of the building works with comprehensive
terms covering insurance and contractor’s intellectual property rights.
• Completion in sections.
• straightforward method for dealing with changes in a project within agreed timescales.
• Comprehensive insurance provisions to offer the client peace of mind.

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 seCtiON iii  Procurement

RiBA CONCise BuildiNg CONtRACt

the RiBA Concise Building Contract is the commercial version of the RiBA contracts. it is
suitable for all types of small and minor commercial building work. it is written in plain english
for easy understanding.

the contract is concise and relatively shorter than other commercial forms. the contract uses
optional clauses to offer more advanced contractual terms whilst retaining its simplicity.

the publishers of the contract advise that the contract improves on existing contracts, such
improvements include:

• Provides for effective collaboration between the parties focusing on areas that have his-
torically created disputes.
• gives parties better mechanism to ensure the timely completion of the building project
by setting out a straightforward process for dealing with changes to the project within
specifed timescales.
• gives the contract administrator comprehensive powers to administer the contract includ-
ing the power to visit offsite locations in relation to the works, instruct that works that
have been covered up, be uncovered, power to reject defective work and also power to
accept a defect and amend the contract price accordingly.
• it does not contain unnecessary administrative procedures, for instance, a Certifcate
of Non-Completion; it is developed to aid the effective administration of the project
and provides a clear process for dealing with defects that are identifed after practical
completion.
• the contract payment provisions comply with the Housing grants, Regeneration and Con-
struction Act as amended by local democracy economic development and Construction
Act 2009 (Construction Act as amended). However, the contract also provides payment
options for projects lasting for less than 45 days and therefore not required to comply
with the stringent provisions of the Construction Act as amended.

the publishers have advised that other benefts include:

• Provides an effective but not onerous provision for the contractor to submit a programme
showing the sequence it intends to carry out the works and to update the programme
regularly.
• Allows for completion in sections.

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• Provides for the contractor to design parts of the works with comprehensive terms
covering insurance and contractor’s intellectual property rights.
• Allows the employer to specify suppliers or subcontractors of their choice without
changing the balance of liability between the parties.
• Provides a mechanism for advanced payment and repayment of the advanced payment
sum.
• Provides a collateral warranty/third party agreement clause to secure the rights of
funders and future purchasers or tenants.
• Allows the parties the option to set out rules to govern applications for revision of time or
extra payments.

RiBA CONstRuCtiON CONtRACts ONliNe

RiBA have also developed an easy-to-use online version of the contracts. the online RiBA
contracts allow parties to alter, manage and view the contracts online before printing the
fnal contract. Being an internet-based service with adequate security, it represents forward
thinking in the contract management and negotiation process.

OtHeR CONtRACts
the other standard forms of contract that can be used on small projects are:

• JCt intermediate iC 2016 (in two forms: with and without contractor’s design).
• JCt minor Works (in two forms: with contractor’s design (mWd 2016) and without con-
tractor’s design (mW 2016)).
• JCt Building Contract for a Homeowner/Occupier (in two forms: with and without an asso-
ciated consultancy agreement).

iNteRmediAte CONtRACts
iC 2016 can be used where subcontractors are to be named (i.e. the contractor required to
subcontract to a specifc contractor or supplier) and where sectional completion is required.
it is suitable for contract periods of up to 12 months (although this is a rough guide only) and
a contract sum of £1m would be acceptable provided the work is ‘of a simple content’ and
‘without any building service installations of a complex nature’.

Care should be taken where the client is a homeowner (consumer) as individual negotiation
may be required prior to the contract being entered into.

188
 seCtiON iii  Procurement

miNOR WORKs CONtRACts

the mW contracts are by some margin the most commonly used and are appropriate for
projects:

• up to around £250,000 and no more than six months’ duration.

• Where the work involved is simple in character.
• Where the work is designed by or on behalf of the employer.
• Where the employer is to provide drawings and/or a specifcation and/or work schedules
to defne adequately the quantity and quality of the work.
• Where a contract administrator is to administer the conditions.

Where the contractor is to design discrete part(s) of the works, even though all the other
criteria are met, you should use the contractor’s design (mWd) version.

As with the intermediate form, care should be taken where the client is a homeowner
(consumer) as individual negotiation may be required prior to the contract being entered into.

HOmeOWNeR CONtRACts
the homeowner form is a consumer contract for residential occupiers, written in plain english
to comply with the unfair terms in Consumer Contracts Regulations 1999. it is only ten-pages
long, comprising a page for the customer’s (client’s) and the contractor’s contact details,
four pages for the ‘arrangements’ for the works and fve pages for the conditions. there are
two versions: one for use where the homeowner/occupier has not appointed a consultant to
oversee the work and the other where a consultant has been appointed to oversee the work.
the latter includes a consultancy agreement as well as the building contract.

A construction contract with a residential occupier or someone who intends to occupy the
dwelling as his/her residence is excluded from the provisions of the Housing grants, Con-
struction and Regeneration Act 1996; nevertheless, this contract provides for adjudication in
the event of a dispute between the homeowner/occupier and the consultant.

Neither version is suitable for use in scotland. separate versions are published and issued by
the scottish Building Contract Committee limited (sBCC) for use in scotland.

For detailed advice on contracts refer to the RiBA guides available through www.architecture.
com/riba-books.

189
 caSe Study
tHe coacH-
workS
ASHFORD

arcHItect

turner Works

clIe nt

Ashford Borough Council

com Pl e tIon date

2019 (and ongoing)

con S tru ctIon co S t

undisclosed
the coachworks is a collection of old buildings etc. the project is about creating a social and
located directly opposite Ashford international fnancial level of sustainability for local people with
station owned by the local council. the buildings affordable rents and space free for use by locals.
were empty for a number of years and in poor A social platform has been established in the
condition, creating an air of neglect for anyone Hot House.
stepping off a train to visit Ashford. After winning the competition and essentially
the council ran an open competition to select taking the competition scheme through planning,
an architect and, although the brief was vague, given the almost impossible budget (which was
they wanted to create an incubator project to eventually increased) a conversation developed
establish the start of a new ‘creative quarter’ and about who would deliver the scheme, how and who
to use the project to begin to change perceptions would run it. the project champion had left the
of Ashford. the main challenge was to be able regeneration team at the council, making things
to work out what the council wanted (as it was even trickier. in the end, turner Works stepped
a competition) but – underlying that – the initial forward and proposed they build the project and
budget was approximately £650,000 which was then set up a local company to run the space for
very low, especially when dealing with neglected fve years, which they have duly done. Relation-
historic buildings. ships have been tense at times, but there has
the project is a meanwhile (fve-year) project been high level support from the council which has
which may be extended, so investment in renewa- been crucial. After a diffcult and worrying start,
bles, for instance, was not an option and would be the site is now almost full and with continued
wasteful. the project demonstrates a light-touch support the scheme should be a success. A great
approach where the least possible is done to make community is forming.
it viable in terms of heating, cooling, insulation,
191
192
 seCtiON iii  Procurement

Practice issues

buIldIng and maIntaInIng a SuPPly cHaIn

many small practices maintain lists of contractors and other consultants with whom they reg-
ularly work and have a good understanding. For new practices it is sensible to start keeping
such a list. Ask other practices to tell you about their preferred contractors and suppliers
and be prepared to share your ideas with them. use a spreadsheet similar to the one set out
under CRm in stage 7.

All practices, but particularly micro practices, can beneft from collaborating with others and
outsourcing work they either do not have the skills, time or resources to undertake. meet
with other practices in your area and get an understanding of what they can do, and discern
whether you feel you could form a working relationship with them. Consider what you could
offer them, and look to fll gaps in your expertise. this exercise is also one that will beneft
from maintaining a record in spreadsheet format.

You can also consider forming more formal relationships to address new markets and to allow
you to pitch to clients with a broader portfolio. make sure there is a clear memorandum of
understanding between you and your collaborators, so that when projects do arise there is no
misunderstanding about who will be doing what and how fees will be allocated. make sure the
arrangement brings benefts for both parties, so that the investment you make in getting it
going is repaid. Collaboration on a series of projects will help improve working practices and
drive effciency.

193
 caSe Study
black
barn
SUFFOLK

arcHItect

studio Bark
(AJ100 disruptor 2020)

clIe nt

Private

com Pl e tIon date

October 2018

con S tru ctIon co S t

House: £932,000
(off- grid £75,000,
landscaping £93,000)

SIze

322m2
(giA including plant)
the black barn is a rigorously environmental A simple yet effective structural logic was
‘Paragraph 79’ family home inspired by the ver- developed in partnership with engineers structure
nacular architecture of rural suffolk. the striking Workshop, resulting in an honest and effcient
form evolved from environmental considerations solution. uK-sourced douglas Fir scissor trusses
including solar heat gain, shading and passive ven- taper upwards towards the large southern gable,
tilation, establishing a dialogue with the seasonal and create a dramatic elevated roofine and
and diurnal rhythms of the site. frame views to the surrounding countryside. the
the scheme was granted planning permission southern glazing at the gable end is set back,
in November 2015 under Paragraph 55 (now enabling the building form to self-shade in the hot
Paragraph 79) of the National Planning Policy summer sun, while benefting from passive solar
Framework (NPPF). heating in winter.
the design is a modern yet sensitive the landscaping was carefully considered to
interpretation of the black agricultural barn – a avoid visual impact of domestic clutter with a
typology that has scattered the east Anglian sunken pocket garden hidden by a curved fint
countryside for centuries, and references the wall. the softness of the surrounding meadow
site’s historic context as a poultry farm. shou sugi juxtaposes the drama of the bold form, whilst
Ban timber cladding to the exterior and exposed respecting the defning character of the rural
structural timbers within are a reference to this environment.
vernacular language.
195
 seCtiON iii  Procurement

Stage summary

getting the right contractor – rather than just the cheapest – requires a well-managed tender
process but is time well spent. the alternative is having a poor or inexperienced contractor,
which is likely to lead to poor-quality execution of the project and wasted time and resources.

set up procedures that can be followed on other projects, but make sure that each one is
reviewed on its merits and a suitable procurement route followed that suits its particular
needs.

Allow enough time for contractor mobilisation in the overall programme and be prepared to
wait for the right contractor if time is not the most critical factor.

197
section iv
conStructIon,
HandoVer and uSe

stage 5
manufacturIng and conStructIon
p.201

stage 6
HandoVer
p.229

stage 7
uSe
p.255
smAll PROJeCts HANdBOOK

Introduction

“Architects are going to increasingly be bidding and competing

for work as members of teams: developers, contractors,
designers, all coming together to deliver.” / david Partridge, argent

stage 5 can be the most rewarding part of the project – to see the design realised – but
it can also be the most risky. the construction stage will generally run smoothly if the
technical design information produced during stage 4 is sound. However, pressure on fees
and a lack of technical design experience can lead to insuffcient time being spent on stage
4 with consequent issues arising. One of the most important messages in this book is to
allow enough time and resources to complete the technical design work to the very best of
your ability. do not cut corners as this will almost inevitably lead to additional work during
construction, the possibility of contractor-led variations and the potential for consequent legal
action from the client.

For some, the technical side of building design is the most interesting and rewarding. For
others it can be a challenge and practices should consider carefully whether they would prefer
to undertake work only up to stage 3 and planning determination, with others taking on the
work from there. this approach has the signifcant disadvantage of losing control over the
all-important detail and consequently the quality of the end product.

One solution for those who are daunted by the technical and contractual end of projects is to
collaborate with other practices who specialise in this but are less able to deliver the earlier,
more creative work during stages 1–3. Our profession operates in a time where there is
arguably more to know than one person can alone, and for the many micro practices and sole
practitioners who undertake small projects some form of collaboration is worth considering.

200
Stage 5
manufacturIng
and conStructIon
IntroductIon p.202

Plan of work 2020 p.203

InPutS p.204

actIVItIeS p.204

SuStaInabIlIty cHeckPoIntS p.209

outPutS p.211

exPert adVIce p.212

Project ISSueS p.215

caSe Study p.218

PractIce ISSueS p.221

caSe Study p.224

Stage Summary p.227

smAll PROJeCts HANdBOOK

Introduction

subject to the form of construction contract and terms of the appointment, this stage can
involve:

• Administration of the building contract.

• making regular inspections of the work on site.
• Certifying stage payments.

Along with stage 4, the activities during this stage are the ones associated with the highest
level of risk, both in terms of the amount of work in relation to the fee and in terms of things
going wrong. it is generally an area that practitioners must undertake both to ensure the
quality of the end product and because it is generally expected by clients. it is, however,
something that should only be undertaken by those who feel they have the core technical and
managerial experience and necessary skills.

this section of the book provides some key advice to help keep you out of trouble during this
stage of a project. A thorough and well-considered set of tender and construction information
prepared during stage 4 will have gone a long way to achieving that.

it is not unusual for further technical information to be developed after stage 5 has com-
menced but this should be considered a stage 4 activity where stages 4 and 5 overlap.
However, information produced in response to site queries is a stage 5 activity.

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 seCtiON iv  stAge 5 manufacturIng and conStructIon

rIba Plan of work 2020

outcome: manufacturing, construction and commissioning completed.

stage 5 comprises the manufacturing and construction of the building systems in accordance
with the construction programme agreed in the building contract. increasingly, digital tech-
nologies are being used to rehearse different construction activities, allowing stage 5 to be
faster and safer. As the construction industry moves towards greater uptake of offsite manu-
facturing, greater emphasis is also placed on the logistics of getting materials and large-scale
components to site on time, and on the management of supply chain partners.

it should be clear from the outset who is responsible for responding to site queries, for regu-
larly reporting on construction quality, for inspecting the works and monitoring progress, and
for producing the defects list prior to practical completion being certifed. this may be the
design team, who have produced the stage 2, 3 and 4 information, or it may be a separate
standalone role or client team. A separate team may have delivered the stage 4 information,
and the design team members might be allocated different roles at stage 5. there is no right
or wrong way to assemble the project team at this stage. However, which options have been
chosen and who is responsible for what require clarifcation in the responsibility matrix.

stage 5 concludes with the issue of a practical completion certifcate, which allows a building
to be handed over. the plan for use strategy requires several tasks and activities to be
undertaken before and after practical completion. Approaching practical completion, the con-
struction team are focused on completing the manufacturing and construction of the project,
so it is important that a project team member is allocated the role of planning for handover
at stage 6. On larger projects, a team might be formed to focus on the tasks that will deliver
effective performance and operation of the building in use, rather than on completing the
construction works.

Preparations for handover will include compilation of the building manual and the completion
of verifed construction information, and maybe the delivery of asset information. even the
simplest of projects requires a building manual. For example, on a residential project, informa-
tion on how to use appliances or set thermostats to operate effectively needs to be provided.
What information will be required to use and operate the building needs to be considered at
the outset, so that it can be collated at each project stage. the requirements can, however,
be reviewed closer to completion, to make sure the client team receive the best possible
information for the effective performance and management of their asset.

Note: it is likely that stages 4 and 5 will overlap. the extent of overlap will be dictated by the
procurement strategy and the project programme.

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smAll PROJeCts HANdBOOK

Inputs

1. Building contract, with all necessary entries and supplements, ready for completion by
the parties.

2. Contract documents, including drawings and specifcations/schedules of work.

3. Completed tender documents from the successful tenderer.

4. Written records of any post-tender changes to the contracted project.

5. Administration forms suitable for the form of building contract to be used.

6. Contractor’s rates or contract sum analysis if appropriate, and/or specifcations/sched-

ules of work.

7. specialists’ tenders and documents ready for nomination instructions to be issued.

8. Contractor’s master programme.

9. Construction phase plan developed by the contractor.

10. Copies of any method statements prepared by the contractor as required in the building
contract conditions.

11. information release schedule, or schedule agreed with the contractor indicating what
further information is needed from the architect (and by when), or verifcation by the
contractor, if applicable, that all necessary information has been supplied, and accepting
that any further drawings will be their own responsibility.

activities

1. in the event of an omission or a substitution necessitating revisions to detail design, take

appropriate action if authorised by the client. Alert the client to any additional costs, fees
or alterations to the project programme.

2. Check that all unsuccessful tenderers have been properly notifed.

3. Remind the client of their responsibility for the building in terms of insurance, security
and maintenance.

204
 seCtiON iv  stAge 5 manufacturIng and conStructIon

4. Compile a directory of all parties involved in the construction stage.

5. if applicable, remind the client of relevant statutory obligations under the Cdm Regula-
tions relating to the role of the principal designer and the competence of the principal
contractor and other contractors’ performance in health and safety matters.

if applicable, remind the client of the requirement for a health and safety fle to be depos-
ited in a safe place at the completion of the project.

6. Check that any necessary approvals and consents have been obtained and are on fle. if
any are still outstanding, explain to the client the consequences of starting on site pre-
maturely. it is wise to draw up an approvals and conditions tracker that identifes when
and how each is discharged.

7. Check with the client that all necessary party wall awards are in place.

8. Convene and chair site progress meetings or attend progress meetings chaired by the
contractor. Keep accurate minutes of meetings, and record discussions, progress state-
ments and decisions.

9. Review implementation of the handover strategy, including agreement of information

required for commissioning, training, handover, asset management, future monitoring and
maintenance and ongoing compilation of ‘As-constructed’ information.

10. Confrm the programme and procedures for site visits.

visit the site as provided for in your agreement with the client.

Keep methodical records of all site visits and results of all tests witnessed or reported.
Allow adequate time on site to carry out checks properly. make careful notes and compile
a systematic record of visits. it helps to prepare checklists relating to the stage of the
work. Check that work is being executed generally in accordance with the provisions of
the building contract, in a proper and workmanlike manner and in accordance with the
health and safety plan.

11. Check that information relating to the health and safety fle and operating and mainte-
nance manual is complete. the principal designer will complete the health and safety fle
and issue it to the client on completion of the project. if the principal designer’s appoint-
ment concludes before practical completion, then the principal contractor will issue the
health and safety fle.

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smAll PROJeCts HANdBOOK

If aPPoInted aS contract admInIStrator

1. explain the conditions of the contract to the client/employer and in particular the require-
ment to make stage payments in accordance with any valuations made or certifcates
issued.

2. Prepare building contract documents for signature. it is customary to send these frst to
the contractor and then to the employer. When preparing building contract documents for
signature or completion as a deed, check that entries are correct and relate to the tender
documents. two original, identical contracts should be made, one for each signatory.

3. Check:

• that both parties have properly signed the building contract documents and that any
agreed alterations are initialled.
• that additional copies of drawings and other documents are handed to the main con-
tractor as required by the building contract.
• Quality management proposals and procedures with the contractor.
• With the client that the building contract documents have been completed and
signed as a simple contract or a deed as applicable.
• the contractor’s insurance policies and pass on to the employer for checking by
their brokers or insurance advisors. Check original documents carefully for cover and
renewal dates.
• the contractor’s programmes and confrm information schedules.

Note: Under the CDM Regulations 2015, for commercial projects it is the client’s duty
to ensure that construction does not start until the principal contractor has prepared
an appropriate construction phase plan and arranged for suitable welfare facilities to be
present from the start of the work.

4. if possible, named subcontractors should be appointed at the commencement of the

building contract, always strictly in accordance with stipulated procedures. Note the sub-
contract dates for compatibility with the main contractor’s programme.

5. Provide the contractor with copies of contract documents as required under the building
contract.

6. Hold a pre-contract meeting with the project team and issue minutes as appropriate.

206
 seCtiON iv  stAge 5 manufacturIng and conStructIon

7. Check that the contractor is working according to the construction programme and report
to the employer on this. the contractor will be expected to review progress against the
construction programme and annotate the programme accordingly.

8. monitor the contractor’s compliance with planning conditions.

9. Remind the client that instructions to the contractor can only be issued by way of a
contract administrator’s instruction, and advise the client of the employer’s obligations
under the building contract, and of the role and duties of the architect in administering
the building contract.

10. Confrm that all instructions concerning specialist subcontractors or suppliers are to be
channelled through the contract administrator, to be included under a contract adminis-
trator’s instruction issued to the main contractor.

11. Confrm with the client and cost consultant the procedures for valuation and certifcation.

Report to the client on cost matters at agreed intervals.

12. Confrm dates for commencement and completion.

13. Clarify any queries from the contractor.

14. Arrange for the handover of site and/or existing buildings, allowing the contractor exclu-
sive possession or to the extent previously agreed.

15. meet the contractor on site to note setting out, including boundaries, fencing and
hoardings, amenities and welfare arrangements, protective measures, etc to estab-
lish compliance with the contractor’s method statements and the requirements of the
building contract.

16. Administer the building contract in accordance with the procedural rules and the condi-
tions, acting fairly and impartially between the parties.

issue contract administrator’s instructions, discretionary or obligatory, as empowered

under the building contract and in accordance with the contract provisions.

Note that any design changes may have health and safety implications, and the designer
should involve the principal designer in any decisions where the variation has such an
impact. It is good practice to keep the principal designer in the loop on instructions and
variations as it helps him/her to keep track of information that could be useful for the
health and safety fle.

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smAll PROJeCts HANdBOOK

The principal contractor can take on the duties of principal designer if they have the nec-
essary skills, knowledge and experience.

Provide the client with estimates of costs arising from the contract administrator’s
instructions, including variations.

Note:

• All instructions to the contractor should be in writing: it is good practice to issue

them on a contract administrator’s instruction form (not via correspondence or site
meeting minutes).
• Only empowered instructions should be issued: keep the wording concise and
unambiguous.
• Confrm oral instructions as soon as necessary to avoid diffculties and to ensure that
construction cost estimates are realistic.

17. Provide information as set out in the information release schedule or provide additional
necessary information to the contractor as required under the provisions of the building
contract.

18. inspect the contractor’s progress measured against the construction programme, and
generally inspect goods and materials delivered to the site.

19. deal with claims as empowered under the terms of the building contract.

Variations should be pre-priced if possible, otherwise the likely full implications should be
estimated and agreed before action is taken. It may be that negotiation is the best way
forward, but do not exceed your authority.

Beware of claims regarding matters not dealt with under the express terms of the building
contract because the contract administrator has no power to settle these; they must be
dealt with between the parties. issue instructions with respect to provisional sums and
the appointment of specialist subcontractors, etc.

refer to Stage 5: contract administrator’s powers and duties.

20. issue certifcates as authorised and required in accordance with the building contract
procedures.

Be punctilious about valuations and certifcates for payment.

Notify the cost consultant in writing of any work not properly carried out, so that such
work is not included in any valuation.
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 seCtiON iv  stAge 5 manufacturIng and conStructIon

Notify the cost consultant of any work against which monies must be withheld or where
‘an appropriate deduction’ is to be made from the contract sum.

Alert the client to any rights to make a deduction from the amount certifed, and the pro-
cedures involved.

21. initiate pre-completion checks on the works and make records of outstanding items.

Note: Any lists are for the beneft of the design team and the client, and not normally for
issue to the contractor. Under JCT traditional forms, quality control on site, snagging, etc
are entirely the responsibility of the contractor.

22. When completion is near, make sure that the contractor is fully aware that commissioning
must be completed and operating manuals available before the building is handed over.

Note: The principal designer must pass the health and saftey fle to the principal con-
tractor to complete and then hand to the client. However, if the principal designer’s
appointment continues up to practical completion then the principal designer will pass
the completed health and saftey fle directly to the client.

23. issue the certifcate of practical completion in accordance with the provisions of the
building contract. Certify practical completion only when, in your opinion, this state has
been attained.

Be wary of pressure from the contractor or client to certify practical completion early – the
consequences can be serious for all concerned.

Sustainability checkpoints

SuStaInabIlIty aImS
the main aim is to ensure that the sustainability strategy underpinning the design is carried
through into construction, and to manage the handover in a way that will ensure that the
client can operate the building as intended on occupation.

With the design work complete the majority of activities at this stage are in relation to
ensuring that the commissioning and handover activities agreed during stage 1 are properly
implemented.
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smAll PROJeCts HANdBOOK

actions from Plan of work 2020 overview

• manufacture, construct and commission the building to meet the target sustain-
ability outcomes (e.g. to reduce carbon, energy or water use, and improve health
and wellbeing).
• Commission all the equipment required for monitoring the sustainable outcomes.
• Review any construction stage changes, and report and mitigate any deviation from
the sustainability outcomes.
• Compile construction stage information required for certifcation and demonstrate
compliance with the sustainability outcomes.
• submit fnal information for statutory approval and certifcation, and performance
in use verifcation.
• Review and update the record of performance risks on site, and use it to identify
and avoid any defects.
• implement handover and aftercare procedures, as outlined in the plan for use strategy.
• Compile the asset information required for the effective performance and manage-
ment of the building for the building manual.

key SuStaInabIlIty actIonS

1. Review and observe the contractor’s interim testing and monitoring of construction, par-
ticularly airtightness and continuity of insulation.

2. visit the site to review the implications of changes to the specifcation or design against
agreed sustainability criteria.

3. Complete the non-technical user guide and aftercare service set-up.

4. Assist with collating as-built information for post-construction sustainability certifcation.

5. submit fnal information for statutory approval and certifcation, including Building Regu-
lations Part l submission and energy performance certifcates (ePC).

6. Check that adequate maintenance contracts are in place and that they will commence
immediately after handover.

7. Confrm responsibilities and routines for data recording to monitor performance and
assist in fne-tuning.

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 seCtiON iv  stAge 5 manufacturIng and conStructIon

outputs

outPutS after mobIlISatIon

1. documentation setting out agreed adjustments to the tender fgure, if relevant, to arrive
at an acceptable contract fgure.

2. Building contract documents duly signed and initialled as appropriate by the employer
and contractor as parties to the contract.

3. Requisite sets of drawings, schedules and other documents for issue to the main
contractor.

4. Approved tenders and documents in respect of specialist subcontractors for issue to the
main contractor.

5. Construction phase plan and Hse notifcation.

Note: If the client is:

• a commercial client, then they must notify HSE (form F10)

• a domestic client – notifcation must be carried out by the:
– contractor (or principal contractor if there is more than one contractor)
– principal designer where there is a written agreement that they will carry out the
client’s duties.

refer to www.hse.gov.uk.

outPutS PrIor to PractIcal comPletIon

1. ‘As-constructed’ information from the contractor.

2. Record copies of correspondence, information, decisions and instructions, valuations

and certifcates, as necessary for the contractor to perform their obligations under the
building contract, issued during the progress of the works.

3. manuals or other maintenance information required under the building contract.

4. Health and safety fle information, as required under the Cdm Regulations, if applicable.

5. Programmes for maintenance, if required.

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smAll PROJeCts HANdBOOK

expert advice

dISPute reSolutIon
  bart kavanagh
Probyn miers – author of Avoiding and Resolving Disputes (RiBA Publishing, 2017)

designing and constructing buildings is a complex business and often causes disputes
between those involved. this section considers the main types of dispute that you might
encounter as an architect and discusses how to avoid them or mitigate their effects.

RisKY RelAtiONsHiPs
there are two broad categories of dispute: those arising from an alleged breach of an agree-
ment, and those where there is no prior agreement. the former will be dealt with under
contract law. the latter, generally, under the law of tort, although there are other mechanisms
by which certain types of party can take action.

An architect is most likely to have direct agreements with the employer, whether a private
client or a design and build contractor, and with design consultants where these are appointed
as subconsultants.

Others who may be affected by, or affect, the work of an architect include insurers, specialist
subcontractors or suppliers, neighbours, subsequent owners and tenants. None of these rela-
tionships are likely to be governed by contractual agreements.

AvOidANCe ANd mitigAtiON

Employer
disputes between architect and employer are most commonly the result of:

• lack of clarity in the appointment agreement

• the agreed obligations being extended or varied informally
• the architect assuming responsibilities without any instruction.

Your appointment should set out clearly the extent of the responsibilities you are undertaking.
this is especially important where others may also have some responsibility for aspects of the
work such as specialist design or site inspections. the appointment should refer not only to
the work stages to be undertaken, but also the work to be done within each stage. Respon-
sibility for, and the nature of, site inspection is a common area for misunderstanding and the
timing and nature of site visits should be clearly set out. in addition, the appointment should
explicitly identify any services that are excluded.

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the scope of the work often expands during the course of the project. it is important that
any additional work should be identifed and recorded with as much care as the original
appointment.

Architects are frequently asked informally for advice or assistance by family, friends or other
acquaintances. this type of arrangement is rarely documented, yet the work undertaken can
end up being extensive. despite a lack of formal agreement, an architect may be liable for
losses resulting from errors in work done in this manner where the recipient of the advice has
relied on it.

Subconsultants
Any additional design consultants should be appointed directly by the employer. Occa-
sionally, however, a client may require them to be appointed as subconsultants. in these
circumstances, the architect will be liable for any losses caused by a failure of the subcon-
sultant to carry out its work adequately; even where the architect has not breached any of
its own obligations.

Your frst priority, therefore, should be to select a consultant with the expertise, experience
and availability that the project will demand. this will minimise the risk of problems arising.
Next, you must ensure that the terms of the subconsultancy agreement are compatible with
those of your own appointment. if the consultant’s Pi insurance, standard of care, scope of
works and extent of obligations do not mirror those set out in your own appointment, you risk
facing losses that you will be unable to recover.

Specialist subcontractors
Where elements of the design are to be developed or completed by specialist subcontractors,
their design responsibility, and that of all the design consultants, must be clearly set out in a
design responsibility matrix or similar document. it is equally important that an appropriate
form of construction contract is selected and that the necessary contractual mechanisms are
activated to ensure that responsibility is properly allocated.

Insurers
insurance policies usually provide the insurer with the right of subrogation. this enables the
insurer to take action under the contract between the party suffering the loss and the party
whose actions caused the loss, in order to recover any monies the insurer has paid out in
response to a claim. thus, where an employer makes a successful insurance claim related to
project works, the architect may face a subsequent claim from the insurer.

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unfortunately, there is no specifc way to avoid this. it is important, therefore, that your
appointment terms limit your liability as far as possible and that the terms of any subcon-
sultancy agreements enable you to seek to recover monies from any subconsultant that
caused, or contributed to, the loss suffered.

Other third parties

Your work may have an adverse effect on neighbouring properties and their occupants. it is
important to understand what these effects might be, obtain and comply with all necessary
consents, and take steps to minimise any impact.

Also, others may rely on your work, unknown to you. For example, advice on the development
potential of a site may be passed to a subsequent purchaser of the property. if, in relying
upon your advice, that purchaser makes a loss it may seek to recover that loss from you.

limitiNg liABilitY
Wherever possible, your appointments should include a term capping the amount to be paid
in damages in the event of a successful claim against you. this should be no more than the
extent of your Pi insurance cover.

A Net Contribution Clause (NCC) will limit your liability to a share that is proportionate to your
contribution to the loss. this is useful where the contractor or specialist subcontractors share
design responsibility for parts of the works. An NCC will make it more diffcult for an employer
to recover the full amount of any loss it suffers because it will have to pursue each contributor
to its loss separately. in order to be sure that it will be enforceable, therefore, it is important
that its implications are discussed with, and fully understood by, the employer.

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Project issues

InSuranceS
RiBA dOmestiC ANd CONCise BuildiNg CONtRACts
the contract sets out the liabilities of the parties, but allows them to decide the types and
levels of insurance required.

in clause 6, it states that the contractor’s liabilities include:

• loss or damage to the works.

• loss or damage to the property.
• loss of or damage to products and equipment.
• death or bodily harm to any person working for the contractor in connection with the works.
• loss or damage to property caused by contractor’s negligence in carrying out the works.
• death or bodily harm to a third party caused by the works.
• Any other loss or damage that is not the liability of the client.

the client’s liabilities are listed as including:

• damage to existing structures and fxtures.

• damage to neighbouring property caused by the carrying out the works (insofar as not
caused by the contractor).

the contract states that each party is responsible for arranging the insurance that is stated
to be its responsibility in item J insurance of the contract details.

the guidance notes examples of insurances that typically should be included in a contract for
building works:

• All risks insurance in joint names (client and contractor) to cover liability for damage to
the works, products or equipment.
• Public liability insurance to cover the contractor’s liability for damage to third parties
and property.
• employer’s liability insurance, covering the contractor’s liability for personal injury to or
death of its employees.
• Professional indemnity insurance (if item P is selected).
• Other insurance, such as buildings and/or contents insurance.

the contract also provides an option for the customer to require that the contractor take out
an insurance backed guarantee, this protects the customer if the contractor ceases to trade,
and may also cover the costs of replacing defective materials and putting right poor workman-
ship. some trade associations provide such guarantees on behalf of their members and it is a
cost-effective way of dealing with the risk of insolvencies in this segment of the market.

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JCt iNteRmediAte BuildiNg CONtRACt 2016 (iC2016) ANd JCt iNteRmediAte

BuildiNg CONtRACt WitH CONtRACtOR’s desigN 2016 (iCd2016)
the contractor indemnifes the employer for injury to persons (for employees by an employer’s
liability policy and for third parties by a public liability policy) and damage to neighbouring
property (also by a public liability policy) and must provide insurance for this. the minimum
cover is £250,000 but insurers recommend £2,000,000 for any one occurrence. the liability
is however unlimited in common law. the contractor is not liable for injury caused through an
act of the employer, or a person for whom the employer is responsible. For damage to property
the contractor is only liable due to his/her own negligence or breach of statutory duty.

damage to adjoining buildings where there has been no negligence by the contractor (i.e.
where the contractor has taken reasonable care) is not covered but a special policy can
be taken out for the beneft of the employer. the amount of cover must be entered in the
contract particulars and the contact administrator must instruct the contractor to take out
this insurance. the cost is added to the contract sum and the policy taken out in joint names
and placed with insurers approved by the employer. this can be expensive but must be in
place from the start of work on site.

there are three alternative provisions for insurance of the works:

• Option A – insurance taken out by the contractor.

• Option B – insurance taken out by the employer.
• Option C – applicable where work is being carried out to existing buildings which includes
two insurances, both taken out by the employer. the existing structure and contents
must be insured against ‘specifed Perils’ as defned in clause 6.8 and new works in or
extensions to existing buildings must be covered by an ‘All Risks’ insurance policy.

there are also optional provisions requiring the contractor to take out insurance for non-
negligent damage to property other than the works under clause 6.5.

the contractor must provide evidence of the insurance taken out and if this is not provided
the employer can take out insurance and deduct the cost from the contract sum.

Compliance with the Joint Fire Code, to be complied with by both contractor and employer,
may reduce the cost of some insurance policies.

Where iCd2016 (with Contractor’s design) is being used the contractor is required to carry Pi
cover. the level and amount must be inserted in the contract particulars and the contractor
must provide evidence of cover.

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the contract administrator must explain the provisions of the contract to the employer and
monitor the activities involved. the employer should be advised to take advice from their own
insurance experts concerning suitability of wording and policies. the contract administrator
should review the wording for unnecessary exceptions or restrictions but responsibility will
rest with the employer and their insurance advisors.

For further information refer to Guide to the JCT Intermediate Building Contract 2016 by sarah
lupton (2016).

JCt miNOR WORKs BuildiNg CONtRACt (mW2016) ANd JCt miNOR WORKs
BuildiNg CONtRACt WitH CONtRACtOR’s desigN (mWd2016)
As with iC11 the contractor indemnifes the employer for injury to persons and damage to
neighbouring property caused by negligence and must demonstrate insurance for this. there
are three options for insurance of the works:

• Option A – insurance taken out by the contractor (for new buildings).

• Option B – insurance taken out by the employer (for existing buildings and associated
new works).
• Option C – applicable where work is being carried out to existing buildings which includes
two insurances, one taken out by the employer for the existing building and the other by
the contractor for the works.

there is no provision for the Joint Fire Code. there is also no provision for insurance against
damage to property which is not the result of negligence by the contractor. it may be appro-
priate to take out a special policy to cover this.

For further information refer to Guide to the JCT Minor Works Building Contract MW2016 by
sarah lupton (2016).

JCt BuildiNg CONtRACt FOR A HOme OWNeR/OCCuPieR (HO/B ANd HO/C)

under the JCt Homeowner contract (both with and without a consultant to oversee the work),
the ‘customer’ must tell their household insurers about the work taking place. the contractor
must have an ‘all risks’ insurance policy to cover himself/herself and the customer for the
full costs of damage to the works and to unfxed materials which are on the premises before
being used in the work. the contractor must also have an up-to-date public liability policy for
death or injury to people and damage to property. the amount of insurance is to be noted in
the contract to cover any one claim arising from one event.

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caSe Study
tHe
Sekforde
armS
LONDON

arcHItect

Chris dyson
Architects llP

clIe nt

Private

com Pl e tIon date

december 2017

con S tru ctIon co S t

£1,100,000

Inte rnal are a

480m2

award S

2018 RiBA london

Awards – winner
the brief for the works at the sekforde centred unsympathetic cement-based render. this was
around two elements: meticulously removed by hand, and then repointed
• the restoration of the historic pub building. using a lime-based mortar. Rounded and gauged
• the creation of a new build which would brick arches were pointed with a lime putty, and
occupy the disused service yard. badly shot bricks replaced with reclaimed london
it was clear from the outset that the client had stock bricks.
a passion for sensitively restoring the historic the cellar of the pub was restored to become
building where he would become the live-in part of the new restaurant. As part of this, the
landlord to the restored pub. the initial Consent internal brickwork walls were stripped of paint, and
allowed for minimal works to the facade of the repointed with lime-based mortar. A silver sand
historic building. during a visit to site, while was used, giving the mortar a pleasant contrast to
repair work was underway, CdA discovered that the red bricks.
the original bricks beneath a covering of render situated between the historic and new build is
appeared of decent quality. a glazed link, forming a clear separation between
the restoration work to the pub saw the old and new. this creates a fascinating juxta-
cement-based render removed to expose the position of restored brickwork and newly built
historic bricks below. these bricks had been reclaimed brickwork, with a bespoke staircase
adversely affected with the application of located within.
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Practice issues

ProfeSSIonal IndemnIty InSurance

All practices must carry at least £250,000 of professional indemnity (Pi) insurance, which
can be obtained through the RiBA insurance Agency (go to www.architectspi.com), currently
costing from around £550pa plus insurance premium tax. However, whilst necessary, Pi is a
last resort and it is important to manage risks, especially those related to projects.

dealing with a claim from a client for breach of professional duty is extremely time-consuming
and can be depressing and morale-sapping. it is important to establish procedures to identify
and manage risks so that claims are, at worst, infrequent, and preferably non-existent.

the potential risks to the practice should be considered and assessed according to the
likelihood of them occurring and the severity of the impact should they do so. A simple matrix
can be developed to show these two variables, which will show clearly the most signifcant
potential issues. Risk management plans should be reviewed regularly (at least annually) and
updated as necessary.

refer also to Stage 2: risk management.

tHe COst OF Pi iNsuRANCe

in late 1980s the minimum premium for Pi insurance was about £2,000 for £250,000 of
cover, so whilst the current market is considered to be ‘hard’ it has clearly not impacted on
the smallest practices anything like it did back then. However, there are more questions being
asked of small practices in terms of aspects like basement work and combustibility, with a
result that fewer practices qualify for the minimum premiums and those with a more risky
profle are being placed ‘open market’.

the open market position depends on many factors but costs are around £750–£1,000 or
more, depending on exactly the work being undertaken.

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Placing insurance – what is going on in the background

generally, brokers have three methods of dealing with insurers:

1. binding authorities and ‘closed’ schemes

this is generally the way low premium, high volume business is handled, for
example when using a website for car insurance. Whilst it may compare the
market, each individual insurer that provides a quote is doing so using an auto-
mated calculation to provide it.

2. the open market

When brokers refer to the ‘open market’ they mean speaking to the individual
underwriter to negotiate the placement of the risk. individual insurers still have
their own criteria but there is far more fexibility. Premiums tend to be higher in
part because the costs involved in underwriting are higher and take longer to
place. situations where there are multiple layers of insurance to create the limit of
indemnity required, often with multiple insurers taking a share of each policy layer,
are the extreme cases.

3. managing general agencies (mgas)

these are a way that insurers effectively outsource their underwriting of elements
of business to an external team. this type of arrangement is really a hybrid of 1 and
2. generally, the mgA will have specifc schemes to cover each area they operate
in. there will still be limits on the authority of the individuals at the mgA but they
will have more fexibility in setting premiums and wider scope of the risks that can
be covered compared to 1.

An mgA underwriting architects will probably have a target market and there
may be certain points at which referrals have to be made to the insurer as they
go beyond the authority of the mgA. For example, most mgAs would be able
to insure work outside the uK with up to 25% of the work being overseas, but
beyond that would have to get sign-off by the insurer backing them – except for
work in the usA/Canada which they probably will not be able to insure under any
circumstances.

the wider the authority the closer the mgA is to being in the open market category.

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in the Pi context the agreement with the insurers behind an electronic platform sets the rates
and the broker has no ability to change them, so it is a binding authority. similar arrange-
ments exist that are paper-based rather than electronic, and in such cases individuals at the
brokers will apply the rates and criteria set by insurers to the risk. the premium rates are
generally lower than for open market business but there is limited fexibility.

A typical agreement would say, for example, that the scheme:

• only applies to architects who are members of the RiBA

• with a fee income under £100,000
• with all work in the uK
• no claim payments
• no contracts over say £5m contract value
• and may then have categories of projects that cannot be insured under the scheme, such
as swimming pools.

in the current market it is likely for architects that:

• Category 1 above will have a blanket fre safety exclusion with no exceptions
• Category 2 may have some ability to provide an element of cover for some combustibility
related risks if the premium is suffcient to warrant it and the architect has a robust risk
management process in place and
• Category 3 will generally have a fre safety exclusion but there may be limited scope for
agreement with the backing insurer’s agreement.

From the perspective of small practices as soon as you move away from insuring through
Category 1 the minimum premium starting point will be higher.

sOuRCes OF iNFORmAtiON ON ideNtiFYiNg ANd mANAgiNg RisK

there are several sources of sound advice on identifying and managing risk, including
Avoiding and Resolving Disputes (RiBA Publishing, 2017).

Pi insurers can often provide good risk management advice: for example, the RiBA insurance
Agency undertakes regular risk management audits of member practices to help improve pro-
cesses and thus minimise the risk of a claim.

the RiBA, in association with the RiBA insurance Agency, has produced a short ‘guide to
understanding Risk management’, which has been designed to assist architects in under-
standing and managing risk within their business. (search ‘RiBA guide to understanding risk
management’.)

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caSe Study
lane end
HouSe
EAST SUSSEX

arcHItect

PAd studio

clIe nt

Private

com Pl e tIon date

November 2018

con S tru ctIon co S t

£450,000

SIze

185m2
lane end House sits within a rural idyll in the months. A feature freplace crafted from local
heart of the south downs. the sloping site is sur- handmade bricks rises through the home’s double
rounded by mature woodland which offers stunning height space and robustly anchors the house to its
views over tranquil parkland beyond. the project’s site. A full-length balcony at frst foor is extruded
aim was to create a low energy, low carbon and from the main volume of the house, providing
compact building, designed to sit sensitively in essential solar shading to ground-foor glazing.
the landscape. the highly insulated timber frame structure
the architecture draws upon local vernacular reduces the embodied carbon and with the high
forms and materiality for inspiration, adopting performing windows contributes to the low u
an asymmetric pitched shingle roof which wraps values. the mvHR system redistributes warm and
down the northern face. the timber shingles are a fresh air throughout the airtight envelope and the
reference to the extensive use of the red clay tiles concrete slab has been left exposed and polished,
on the Arts and Crafts buildings nearby. its thermal mass evens out diurnal tempera-
Once inside, the house reveals itself dramati- ture fuctuations. externally, a trellis of espalier
cally; double height spaces are lined with douglas Hornbeam further mitigates solar gain in a way
Fir. materials within are layered and large windows that exemplifes the intimate nature between the
frame signifcant views, creating a fuid relation- manmade and natural environment.
ship between the house and its setting.
the ground foor is largely open plan with a
separate more intimate living room for colder

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Stage summary

the extent of the architect’s duties during stage 5 will depend largely on the form of contract,
and whether or not the role of contract administrator is part of the remit. For small projects it
is likely that it will be, although some domestic clients will look to deal directly with the con-
tractor to save the cost of fees. explain to the client the important issues that will need to be
addressed and the need to make sure they have a proper contract in place. (in that instance
the JCt HO/B would be the most appropriate.) the new RiBA domestic and Concise building
contracts will fll many gaps that exist within the suite of documents currently available and
have the potential to be transformative for small projects, giving the ability to use contractor
and subcontractor design on domestic projects, amongst a number of other features.

if you are not involved in stage 5 activities it is unlikely you will be involved in stage 6 but
remember to keep in touch with the client periodically and show an interest in how the project
proceeds. When it is complete you may want to take photographs for your records and for
marketing/business development purposes (make sure you get permission for this). You will
then be in a good position to help out should any help be needed or to pick up further work at
a later stage.

if you have been involved in the construction stage, stage 6 is an opportunity to see how the
building is performing as well as making sure it is properly completed by the contractor and
the post-completion administration is properly executed.

Keep in touch with your clients after the building work has been completed and ask occupants
how they are fnding living or working in the building. it is better to ask than let any problems
rankle. schedule time to speak to them periodically. Assuming the project went well you are
likely to work with the client again or get a referral to another client.

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Stage 6
HandoVer

IntroductIon p.230

Plan of work 2020 p.231

InPutS p.232

actIVItIeS p.232

SuStaInabIlIty cHeckPoIntS p.234

outPutS p.235

exPert adVIce p.236

Project ISSueS p.239

caSe Study p.244

PractIce ISSueS p.247

caSe Study p.250

Stage Summary p.253

smAll PROJeCts HANdBOOK

Introduction

the stage involves:

• the defects liability period (dlP).

• Post occupancy evaluation (POe).

the extent and nature of the activities undertaken during stage 6 will very much depend
upon what you have been contracted to do under the client appointment. there is enormous
potential beneft and value to clients in the activities stage 6 brings but for some the cost
will be perceived as being too great, particularly if the budget has been stretched during the
construction activities in stage 5. A well-managed project will have made allowance for stage
6 activities at the outset however and must be properly considered during stage 0. For small
projects the level of input can be trimmed to suit any fnancial constraints, but some allow-
ance should be made.

dlP activities will be more straightforward if construction has been managed and monitored
regularly. in theory, there should be no ‘snags’ at practical completion. this is diffcult to
achieve in practice but should be the aim and this should be made clear to the contractor in
the tender documents and as work on site progresses.

despite this, there are likely to be some defects at the conclusion of the six- or 12-month dlP
and these must be dealt in accordance with the contract conditions.

POe can be:

• in-house, primarily for the beneft of the designer, including a debriefng for those involved.
• A full post-project evaluation, involving monitoring of the building’s performance. it is
usual for such work to be commissioned separately from the original appointment. such
exercises are generally considered to be of greater use to clients and project teams with
multiple project programmes.

stage 6, like stage 7, can be an opportunity:

• to keep in touch with the client and/or building user with a view to future commissions
(on that building or other ones).
• to get recommendations to other clients.

According to RIBA Business Benchmarking data, between one-third and three-ffths of

most practices’ workload derives from repeat business, so this is an important area to
focus on.

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 seCtiON iv  stAge 6 HandoVer

rIba Plan of work 2020

outcome: building handed over, aftercare initiated and building contract concluded.

stage 6 starts with the building being handed over to the client, with aftercare initiated and
the building contract concluded.

After the building has been handed over, the construction team rectify any residual defects as
promptly as possible. usually 12 months after practical completion, the fnal certifcate will be
issued, which concludes the contractual involvement of the design and construction teams.
Although stage 6 commences after the building has been handed over, several tasks may
need to commence during stage 5 to ensure that the handover of the building is as effcient
and effective as possible, such as training the users on how to use the building systems.

in addition to the core contractual obligations to rectify defects, certify practical completion
and close out the building contract, other tasks need to be undertaken. A project perfor-
mance session needs be facilitated, so that the project team can share their experiences for
the beneft of future projects.

initial aftercare tasks need to be initiated and completed. the project team will be interested
in the feedback from a light-touch post occupancy evaluation, conducted once any seasonal
commissioning has been completed, so they can understand how the building is performing
and whether the building and its systems are being used as planned. Client, design and con-
struction teams undertaking repeat building types can gain enormously from this process, by
identifying trends across several projects.

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Inputs

dlP actIVItIeS
1. sets of administration forms appropriate for the form of contract being used.

2. energy performance certifcate.

Poe actIVItIeS
Note: the brief for POe activities must be agreed at an early stage in the project, ideally at
stage 1.

1. energy use data, e.g. utility bills.

2. As-installed information for services, construction detailing, etc (if responsible for produc-
ing the energy performance certifcate).

It is important to ensure that health and safety fle information is collected and provided
to the principal designer and not lost within any other as-installed information.

3. Brief from the occupier on their operational requirements.

4. Part l log book.

activities

dlP actIVItIeS
1. Conclude administration of the building contract, including the three-, six- or 12-month
defects inspection as applicable.

2. there will be a prescribed programme for dlP activities after practical completion,
usually for six or 12 months. A programme for activities for soft landings and POe will
need to be agreed with the client during an earlier stage, ideally in stage 1.

3. On practical completion remind the client that responsibility for insurance reverts to
them.

4. Conduct in-house appraisal of offce performance on the project.

5. Consider holding a debriefng exercise with the client and other consultants.

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 seCtiON iv  stAge 6 HandoVer

6. Check if the building log book for the building operator – required by Part l of the Building
Regulations – has been issued. the building log book should be in accordance with the
requirements of CiBse tm31 (refer to www.cibse.org).

7. Participate in the creation of operating manuals for the building. see ‘Handover infor-
mation and O&m manuals’ (Bg 79/2020) for recommended contents of these manuals
(refer to www.bsria.com).

Poe actIVItIeS
1. Advise the client of the need to employ other consultants and the contractor.

2. if a full feedback study is planned, agree with the client what access will be available,
what the timescale should be and in what form the fndings should be presented.

3. explain to the client the purpose of a debriefng exercise or full post-project evaluation
and that their feedback might be a key part of this activity. discuss to what extent key
persons in the organisation could be expected to contribute opinions at a meeting chaired
by the architect.

4. Arrange a meeting with key personnel from the client organisation (the building users and
maintenance staff). ensure that you have considered your objectives and what informa-
tion you want to get from this exercise and have a clear agenda for the meeting.

5. discuss with the client to what extent the managers and users of the project could be
expected to cooperate in completing a questionnaire.

6. discuss with the client whether authorised photographers would be allowed access after
fnal completion, for feedback purposes.

7. discuss with the client whether it would be permissible for the architect to carry out a
survey of the building in use sometime after completion.

8. Check with your Pi insurers that you have cover for feedback activities.

9. Consider the desirability of a full feedback study or a post-project evaluation.

10. Year 1:

• Recalculate capital and revenue target costs at current rates.

• identify the actual capital costs.

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Year 2 (and 3):

• identify/provide data required for the review.

• Agree a programme of meetings.
• identify the issues, establish causes and consider remedies.
• Contribute to the output reports and recommendations.
• if instructed, implement the recommendations.

11. Participate in the BReeAm in-use assessment process if required.

12. seek approvals as required by the building occupier to undertake post-occupancy tests.

13. Keep records of time costs for POe activities.

Sustainability checkpoints

SuStaInabIlIty aImS
to support the client in the early stages of occupation and to provide aftercare services as
agreed.

actions from Plan of work 2020 overview

• Hold a project performance session with the project team to gather their views on
the process of embedding the sustainability outcomes in briefng, design and con-
struction and handover for the beneft of future projects.
• Provide induction and training of building users and facilities managers, with refer-
ence to the sustainability strategy.
• Begin gathering feedback through light-touch post occupancy evaluation of the
sustainable outcomes in use.

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 seCtiON iv  stAge 6 HandoVer

key SuStaInabIlIty actIonS

1. Assist with collation of post-completion information for fnal sustainability certifcation.

2. Observe building operation in use and assist with fne-tuning and guidance for occupants.

3. Review the project sustainability features and operation methods with the client, facilities
managers and occupants.

4. Assist with the fne-tuning of building services and operational systems to check that
they meet user requirements.

outputs

dlP actIVItIeS
1. Certifcate of making good defects.

This is issued when defects listed at the end of the defects liability period have been
remedied.

2. Final certifcate.

The issue of the fnal certifcate brings the authority of the contract administrator, under
the terms of the building contract, to a close. The contractor’s liability continues until the
end of the limitation period. There might, in addition or alternatively, be contract provi-
sions which refer to statements issued by the contract administrator or by the employer
(e.g. in the case of design and build contracts). These should be regarded as requiring the
same care and consideration as certifcates before being issued. Case law has confrmed
that there is no immunity from negligence in certifying.

Poe actIVItIeS
1. Record of conclusions reached at debriefng meetings, distributed to participants.

2. Results of full feedback study conducted with the client or user client, or everyday users
of the building, perhaps several years post completion. it is essential that the benefts
and lessons learned from appraisals are passed to all members of staff. the offce quality
plan, manuals and procedures might need amendment or revision as a result.

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expert advice

growIng your PractIce – a caSe Study

luke tozer
 

Pitman tozer Architects

ORigiNs
tim Pitman and i studied together at Cambridge and the mackintosh, cycled together and
worked and lived together, before setting up Pitman tozer in 2002. Our frst projects were a
refurbishment and extension of a terraced house in West london and a ft-out of a new build
apartment in southwark. For the next eight years we worked day to day on houses in central
london, all the while entering competitions that looked interesting, hoping for our big break
but without a clear target of what sort of practice we wanted to be. As we had both worked
at larger frms, we wanted to apply that rigour to our own practice, whilst allowing ourselves
the fexibility and freedom to design the way we wanted. therefore, we always had a business
plan and we wanted to run a tight ship, being organised and operating effciently so that each
project was proftable, no matter what the size or budget. We have kept digital records of our
time from day one.

selF-Build
my wife was expecting our frst child and we unexpectedly found a site for a project while
looking for a ‘fxer upper’ in West london. the brief was to turn the unpromising site into a
comfortable, low energy family home. the result was gap House, which went on to win the
manser medal for RiBA House of the Year in 2009. On the back of this we were introduced
to Claire Curtice, who became our publicist and enabled us to get the project known more
widely. this produced a few enquiries, some more private houses and helped raise our profle
more generally. We continued to bid for other types of work.

PeABOdY
Partly on the back of the publicity from gap House we were asked to look at a refurbishment
project for a pub on the Old Kent Road, for housing association Peabody. it was speculative,
with no fee and although they liked what we came up with, it went nowhere. A few months
later Peabody commissioned us to look at a car park next to the railway in Bethnal green.
though the fee was smaller than we would have wished, we put a lot of work into it, and came
up with a scheme they liked. We also received the support of Claire Bennie, then development
director at Peabody, an accomplished architect who had transitioned to client side and who

236
gap House (right)
and mint Street (below)

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i had got to know during our Part iiis. As the scheme went through each stage, Claire was a
supporter who, in the background, provided us with good counsel and helped us to navigate
the journey. most critically she also helped convince galliford try Partnerships (now vistry),
the winning contractor, that we were capable of delivering construction information on a
challenging 67 home project. this, despite only being a team of four and never having done
it before. A great project architect, Nikki Cutler, was recruited who had more experience of
larger housing projects.

the four years we worked on mint street (2010–2014) was a happy and successful collabo-
ration with the contractor and the client, and we won RiBA, Housing design and NlA Awards.
this was our big break.

PReseNt dAY
On the back of mint street we built two further buildings for Peabody: monier Road at Fish
island, a collaboration with Haworth tompkins and lyndon goode Architects, and the Reach
in thamesmead, completed in 2019. these are projects with a value of approximately £15m
and £18m respectively.

Pitman tozer is now established in the urban regeneration and affordable housing scene, and
we work for local authorities either directly, as at southwark, or through housing companies
as with Brick By Brick and Be First. in August 2020 Pitman tozer were appointed as one of 18
practices on the Peabody architects’ framework.

Our work is mostly mixed-use, housing-led regeneration projects in london and the south
east, although we have one current project in the early stages in singapore. many of our
projects are now part of larger masterplans and collaborations with other architects.

We are now a studio of 24, with two directors, one Associate director, four Associates, eight
Architects, fve Assistants, a model maker and Cgi artist and three admin staff.

OuR lessONs leARNt

• decide what type of practice you want to be from the start.
• Build a reputation through hard work and professionalism.
• Keep in touch with your peers – they may become clients.
• understand the importance of marketing and awards to raise your profle to a wider
audience.

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 seCtiON iv  stAge 6 HandoVer

Project issues

monItorIng buIldIng Performance/Poe

POe is a separate activity and will only occur where the appointment includes it and this is
frequently not the case with small projects.

that aside, the investigations for feedback, which might not be practicable until a year or
more after completion of the project, could include structured interviews with the building
users, access to the buildings, and access to information and records held by various team
members. None of these activities should be attempted if there is a risk of inviting acrimony
and dispute, although there is signifcant potential value in terms of continued client relations,
learning from feedback and aiding continuous improvement.

the purpose of a post-project evaluation is to analyse the management, construction and

performance of a project and could entail:

• An analysis of the project records.

• An inspection of the fabric of the completed building.
• studies of the building in use.
• meetings and workshops with the client, consultants and users.

A post-project evaluation should cover:

• the purpose of the study.

• the description of the need.
• Performance against cost, quality and timescale targets.
• Client satisfaction with the project and the facility.
• user satisfaction with the facility.
• Performance and communication between project participants:
– Project sponsor.
– Client project manager.
– Where relevant, client advisor.
– Project team.
• Overview and recommendations:
– lessons learned.
– major points of action.
– Costs.
• technical appendices:
– user survey data.
– monitoring data.

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Performance aSSeSSment and feedback

debriefng after completion is always a value-adding and worthwhile exercise, but it is often
diffcult to make the time for it with the pressures of managing the workload of current
projects. it need not take up much time though, and flling out a standard form will help in this
regard. You can adapt the contents to suit your particular needs, but headings might include:

Subject noteS

Financial performance

Offce costs against planned expenditure

(and therefore proft achieved)

Project cost planning and fnal costs against budget

Project issues

did the project meet/exceed the brief?

Project quality control

meeting completion date

Quality of building, both functionally and (as objectively

as possible) aesthetically

Project team

Working relationship with client, design team members,

principal designer, contractor

Quality of work across the design team

Quality of your own drawings, specifcations, etc

success of project strategies (measured against the brief)

technology (i.e. it and Bim)

Communication

Building control

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 seCtiON iv  stAge 6 HandoVer

Subject noteS

Procurement

Construction

Handover

maintenance and operation

sustainability

Contractor’s performance in terms of:

Project management, quality of staff

site management, quality of staff

Health and safety compliance

Continuity of personnel

Quality of work

effectiveness of programming

Cooperation in settling claims

Cooperation over material for the health and safety fle

early identifcation of problems relating to progress,

information and quality

disputes/potential disputes

Financial arrangements, certifcates, dayworks and

measurement evaluation

Prepare reports as appropriate, including a timetable for further reviews. distribute the report
and fle as appropriate. decide which drawings and documents should be kept. No offce
has the space to keep all project records indefnitely, but a set of project records, properly
maintained and completed, should be a useful condensed history of the project – a point of
reference for quick comparison of working methods, timescales and costs. Photographs of
the work in progress and completed, presentation drawings and models should also be kept

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available for prospective clients and for general publicity purposes. However, it is essential to
keep proper records of the kind of information that will be required in the event of disputes,
in particular:

• the client brief and related correspondence.

• the contract documents.
• Contract administrator’s instructions.
• minutes of project meetings.
• Certifcates issued.
• Notes of inspections and surveys.
• Any crucial ‘state of the art’ information (manufacturers’ key information, current British
standards, codes, etc).
• Progress charts, etc.
• selected working drawings.
• Risk register for the project.

it is important to remember that the personnel involved with the project may not be available
to give evidence if litigation occurs some years later.

arcHIVIng

Archiving of material produced by the offce needs to be managed and organised to

allow easy retrieval, and forward thinking will save much time when a practice is asked
to provide information to resolve a query about past work.

decisions need to be made as to how archives are to be stored, how long they are to be kept
and who has the authority to destroy records. Although contracts and Pi insurances will differ,
for many project documents there is a legal obligation to retain information relating to the
contract, and it is in the interest of the offce to retain drawings permanently as an archive
of the work of the practice and as a design resource. the RiBA recommends that key project
documents are retained for 17–20 years, because of the laws relating to the periods within
which claims may be brought. in the event of a claim being made against the frm, or the frm
wishing to make a claim, relevant documents will need to be readily accessible. this will be
of utmost importance where, for example, a claim is made via the speedier dispute resolution

242
 seCtiON iv  stAge 6 HandoVer

procedures such as adjudication. Here the adjudicator will expect to see all relevant docu-
mentation to enable them to reach a decision within the 28-day period.

With Bim projects the protocols should highlight how electronic data will be recorded and
stored throughout a project, and this data should be archived accordingly with the project
documentation and data. Any information shared via a project website should be recorded,
stored and archived locally as a record of information shared.

it would be good practice to record and appropriately archive other consultants’ information
and models issued to form part of a federated model at an agreed review stage. this informa-
tion represents the level of coordination and completion of the design and contributes to the
context of the architectural model.

All current records, information and other live data should be reviewed from time to time, at
least annually. Files that are no longer current and regularly referenced should be archived. A
register of archived fles should be set up in each offce to record all hard copy fles archived.
this should list details of each fle (e.g. project number, fle reference) and should also state
the disposal date. the register of archived fles should be reviewed annually by the person
responsible for archiving who should, when disposal dates occur, ensure that the expired
records are destroyed in a confdential manner. All archives, whether within the offce or
offsite, should be kept securely with access restricted to the person responsible for archives
and persons specifcally authorised by a senior member of staff.

Archiving is the fnal process in the life of a job, and setting up fling and naming conventions
correctly at the beginning of a project will ensure that the archiving process will be simpler
to organise.

the storage of archived electronic data, and its security, should be considered as part of the
general requirements of an it section in the offce or quality manual. Any policy for storing,
archiving and where appropriate disposing of electronic data should follow that for hard copy
documents.

243
 caSe Study
alma
grange
CARDIGAN

arcHItect

Rural Offce for

Architecture
(AJ100 disruptor 2020)

clIe nt

Private

com Pl e tIon date

september 2017

con S tru ctIon co S t

undisclosed
the battle of the alma in 1854 is usually house but creates new connections to the
considered to be the frst battle of the Crimean surrounding gardens.
War, taking place just south of the River Alma in split over three levels, the interior diminishes
the Crimea; a returning offcer from the war built the scale of the proposed spaces, from the large
this house near Cardigan, West Wales. victorian rooms at the front to smaller more
this victorian dwelling has stood for the past domestic scale spaces at the rear; from semi-
150 years, resisting the coastal winds that public to private. the intention is that the house
bombard its front facade. the new owners required can be closed down and occupied by a small family
an original pavilion to replace some outbuildings unit, or opened up and occupied by family and
to the rear of the property and to provide accom- friends visiting for the summer or Christmas.
modation for their extended family when returning the whole dwelling contains fve bedrooms and
from abroad for the holiday season. three bathrooms with the potential for a further
maximising light and views of the coast ground foor room. the original house retains two
and adjoining farmland, the new pavilion building formal reception rooms and dining room with a
contrasts in scale to the bulk of the main basement entertainment space.

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smAll PROJeCts HANdBOOK

the new extension is predominantly a single

open plan kitchen and scullery, with dining room,
playroom, snug and study, but acts as the hub
of the house, connecting to the east and west
gardens, and being the centre of activity in
summer and winter.
Working in West Wales is probably different
from other parts of the uK. Beyond the normal
challenges of weather, the selection and installa-
tion of materials needs careful consideration due
to distance and available expertise. Rural Offce
for Architecture selected a palette of materials
that complimented the language of the existing
home and reference the language of the region.

246
 seCtiON iv  stAge 6 HandoVer

Practice issues

becomIng an rIba clIent adVISor

RiBA client advisors are architects who have been selected from the RiBA membership,
having met a set of criteria that give them the skills to give advice on the composition and
selection of the project team and provide independent advice to help the client run the project
effciently and achieve best value and quality. they are evaluated and accredited on an annual
basis, and the RiBA maintains a register and provides shortlists of client advisors to potential
clients. Client advisors are independent from the project team.

go to www.architecture.com for further advice and information on how to become a client

advisor. to apply you will need to write a short personal statement. this will comprise a brief
statement to demonstrate your knowledge, skills and experience in each of the fve core com-
petencies (vision and aspiration, stakeholder engagement, setting and safeguarding design
quality, design value management and use) and your relevant project experience with three
examples (maximum three images per project) and three references (the RiBA will write to
your referees).

benefts of becoming an rIba client advisor

• Provides an additional, alternative source of income.
• An activity that can enhance your reputation and lead to further potential commis-
sions for a standard architectural appointment.
• Helps develop your knowledge of specialist project activities.

benefItS of becomIng an rIba cHartered PractIce

Becoming a chartered practice is inexpensive (currently £100 + vAt pa for sole practitioners
and £187–350 + vAt pa for practices of 2–10 people) and brings a number of benefts:

• Provides access to Find an Architect which attracts 60,000 visitors per month and the
client referrals service, which matches practices with new opportunities and produces
shortlists of practices for clients to choose from.
• Networking across 70 local, member-run branches and connect with other RiBA members
via meet-ups, building tours, talks and social events.

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smAll PROJeCts HANdBOOK

• Becoming an RiBA chartered practice gives you access to a range of professional

services and products to help you run your business. You can:
– streamline your workload with the exclusive RiBA chartered practice toolbox contain-
ing guidance on quality management, environmental management, health and safety,
employment and equality.
– get support making the best decisions for your practice with a 24/7 business
helpline to connect you with independent HR, health and safety and tax advisors.
– Beneft from expert advice on matters like legal issues, implementing a quality man-
agement system and ensuring compliance with policies such as gdPR.
– get high-quality business intelligence to see how your practice is performing against
criteria such as proft, turnover, marketing spend, hourly rates and salaries.
• RiBA chartered practices enjoy exclusive discounts on a range of products and services
including:
– RiBA pension solution.
– RiBA vehicle programme.
– Offce equipment leasing.
– Cyber security and training.
– CPd Club and in-practice CPd.
– RiBA design service.
– RiBA site signboards service.
– 35% recruiter discount at RiBA Jobs.
– discounted venue hire in london and liverpool.
– An introductory offer to NBs Chorus – RiBA chartered practices receive an introduc-
tory discount on new NBs Chorus subscriptions.

to join you must meet a number of criteria, including having:

• At least one director or partner who is an RiBA chartered member and 1:8 staff being
chartered members of the RiBA.
• An appropriate level of Pi insurance.
• A quality assurance system relevant to the size of practice (see below).
• An appropriate health and safety policy.
• An appropriate employment policy which addresses the requirements of the RiBA Char-
tered Practice employment Policy guide.

248
 seCtiON iv  stAge 6 HandoVer

• An appropriate equality, diversity and inclusion (edi) policy.

• A written environmental policy.
• A CPd framework.

You must participate in the annual business benchmarking survey and you must also pay at
least the national minimum wage to staff, including students.

QuAlitY mANAgemeNt sYstem ReQuiRemeNts

small practices (up to 10 staff) are required to prepare a project quality plan (PQP) for each
project. RiBA chartered practices can access a PQP within the RiBA Chartered Practice Quality
management system via the RiBA Chartered Practice toolbox at www.architecture.com.

maximise your opportunities

to maximise your chances of winning work, make sure your practice details are kept
up-to-date at www.architecture.com where you can upload projects and add, edit and
delete information and images in your practice profle.

keep records
maintain records throughout the year of the benchmark data required for the annual
survey to make the process more straightforward when you come to fll out the forms.

249
caSe Study
tIte
Street
LONDON

arcHItect

stiff + trevillion

clIe nt

Private

com Pl e tIon date

may 2019

con S tru ctIon co S t

£150,000
this property is a grade ii listed mid-terrace intentionally as minimal as possible, and the mate-
townhouse, 150m north of the River thames which riality and simple contemporary detailing serves to
was once the former home of Oscar Wilde and is avoid ambiguity between what is original and what
located in the london Borough of Kensington is not.
and Chelsea. the project was done through traditional
the brief was to create a lightweight extension procurement and carried out under the JCt minor
to sit as a pavilion in the garden to accommodate Works contract. One of the key aspects to the
a kitchen and informal dining space, the detail- success of the fnished structure and fulflment of
ing between the old and new had to be carefully the conservation brief was a series detail work-
considered and was realised through close shops with the specialist glazing and metalwork
collaboration with the RBKC (Royal Borough of subcontractors.
Kensington and Chelsea) conservation team. the client had a clear idea of what they wanted
the new addition is visually lightweight with the space to be and stiff + trevillion developed
full-height glazed sides and a slender ‘foating’ the architectural solution through a continuing
zinc roof. the solidity of the construction is dialogue of working physical and Cgi models.

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 smAll PROJeCts HANdBOOK

ROOF PLAN
C

no.32 G06 G05 G01

BEDROOM 2 ENSUITE 2 BEDROOM 1

C
EXISTING OPENING

GW03

1102 804 S.O. SITE DIM

GW07

GD05
DOUBLE BED
B B
GW
02

211
GD07 DOUBLE BED

GD06
392
222

255 804 S.O.

06

GW01
GW

no.34 VAULT NOT

PART OF
198

DEMISE
GD08

804 S.O.

GD03
SITE DIM

GW04
A A
486

GD01
GD04
GW

GD02
05

EXISTING OPENING
77 854 S.O. 77

BOILER

443 392 2399 1720

4953

G08 G07 G04 G02 G03

no.36 KITCHEN / RECEPTION
WC / UTILITY ENSUITE 1 HALLWAY
DINING ROOM ROOM
LOWER GROUND FLOOR
C

0 1 2 3 4 5m

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 seCtiON iv  stAge 6 HandoVer

Stage summary

stage 6 marks the end of the project, but you should keep in touch with the client and
consider monitoring the building’s performance with a view to getting further commissions or
referrals to other clients.

the Plan of Work is cyclical: where one project fnishes, the following ones can learn from it in
a virtuous circle of continuous improvement.

253
Stage 7
uSe

IntroductIon p.256

Plan of work 2020 p.257

InPutS p.258

actIVItIeS p.258

SuStaInabIlIty cHeckPoIntS p.259

outPutS p.260

exPert adVIce p.261

Project ISSueS p.265

caSe Study p.266

PractIce ISSueS p.269

caSe Study p.270

Stage Summary p.273

smAll PROJeCts HANdBOOK

Introduction

the stage involves:

• Activities associated with the maintenance of a building throughout its life, leading
to potential alteration or refurbishment, bringing the Plan of Work 2020 cycle back to
stage 0.
• the opportunity to maintain a relationship with the client (or building user if these are
different people) with a view to studying the building’s performance for use on future
projects and recognising the potential for further work or referrals from that client.

For most small projects it is unlikely that further fees will be attainable during stage 7.
However, all buildings need maintenance and this work could attract consultancy fees. many
buildings are altered and/or extended during their life and this will certainly attract consul-
tancy fees.

stage 7 can be considered the period – during the life of the building – where a relationship
with the client can be maintained. Remember that between one-third and three-ffths of com-
missions result from repeat business (depending on practice size). Add to this the potential
for referrals by recommendation and it can represent a critical percentage of a practice’s
income.

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 seCtiON iv  stAge 7 uSe

rIba Plan of work 2020

outcome: building used, operated and maintained effciently.

On the majority of projects, the design team and construction team will have no stage 7
duties to undertake. However, both teams will be interested in receiving ongoing feedback to
help them understand how they might improve the performance of future buildings.

Post occupancy evaluation services are commissioned to determine how the building is per-
forming in use to help fne-tune the building and inform future projects.

some client teams will continue to be closely involved during the life of a building, implement-
ing facilities management or asset management strategies over the course of the building’s
lifetime. Asset information, the building manual and these strategies may be updated on a
regular basis. in the future, a digital twin might be used to optimise the operation and mainte-
nance of the building and to compare predicted performance with actual performance.

in some building contracts, maintenance obligations might extend beyond stage 6. Where this
is not the case, a new standalone maintenance contract might be set up. this would require
continuity of knowledge about how the building operates, therefore the asset information
would need to be kept live and relevant throughout the life of the building.

At the end of a building’s life, stage 0 commences again. in line with circular economy prin-
ciples, a refurbishment might prolong the life of the building or facilitate a new use. Where
neither is possible, the deconstruction of the building will be undertaken after a new use for
the site, and perhaps a new building, has been commissioned. Regardless of the outcome,
the circular process of the RiBA Plan of Work moves the site towards its next meaningful use.

Note: stage 7 starts concurrently with stage 6.

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smAll PROJeCts HANdBOOK

Inputs

1. ‘As-constructed’ information.

2. Health and safety fle.

3. Programme of maintenance.

4. terms of appointment for services to be undertaken, if any.

activities

1. Periodically contact the building occupier and/or owner (if a different person or company)
to ascertain any matters that need attention.

2. Where possible agree fees for any work required.

3. Where it is felt appropriate and of beneft, keep a record of the building’s performance,
both in environmental terms and with regard to the durability of materials and the perfor-
mance of construction detailing.

making time for your clients

You will need to set time aside for these activities, but once they are standardised
(perhaps within your quality assurance system) they need not take up much time and
will defnitely add value. set up reminders in your electronic diary and keep a note on
your CRm spreadsheet; see advice on setting up a CRm programme in stage 7: Client
relationship management (CRm).

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 seCtiON iv  stAge 7 uSe

Sustainability checkpoints

SuStaInabIlIty aImS
to provide any services relevant to the operation or use of the building as agreed.

actions from Plan of work 2020 overlay

• Comply with in use planning conditions in relation to sustainability (e.g. meeting
ongoing renewable energy use requirements).
• use observations from the light-touch post occupancy evaluation to fne-tune
and improve the sustainable outcomes performance against the sustainability
outcomes targets, and keep the building manual up to date.
• undertake more detailed post occupancy evaluation as required, after putting
in place separate professional services contracts, to test delivery of the in-use
sustainability outcomes.
• Report and mitigate any deviation from the sustainability outcomes.
• share feedback from lessons learned with the client, users, design and construc-
tion team members and with project stakeholders.

key SuStaInabIlIty actIonS

1. Observe the building operation in use and assist with fne-tuning and guidance for
occupants.

2. Check that the energy/carbon performance has been declared.

3. Review controls and performance in each season, and update manuals and records to
refect any changes.

4. Feed lessons learned from the post occupancy evaluation back to the client and project
team.

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smAll PROJeCts HANdBOOK

Post occupancy evaluation (Poe) on small projects

As noted above, many small projects will not have provision for the full scope of post-
occupancy activities. However, there are multiple benefts to the client and design team
from carrying out even the most minimal evaluation. With rising energy prices clients
are increasingly interested in improving their building’s environmental performance, and
being able to offer these services will be helpful in these circumstances. studies have
shown a large performance gap on most projects between designed energy use and
measured values.

Consider proposing a fee for such activities that is a percentage of the energy saving
generated through your input.

outputs

1. ‘As-constructed’ information updated in response to ongoing client feedback and mainte-

nance or operational developments.

2. A record of client comments and feedback, both objective and subjective.

Poe actIVItIeS
1. Record of conclusions reached at debriefng meetings, distributed to participants.

2. Results of full feedback study conducted with the client or user client, or everyday users
of the building, perhaps several years post-completion. it is essential that the benefts
and lessons learned from appraisals are passed to all members of staff. the offce quality
plan, manuals and procedures might need amendment or revision as a result.

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 seCtiON iv  stAge 7 uSe

expert advice

ProPerty deVeloPment
thomas wimshurst
 

director, Wimshurst Pelleriti

in the mind of many architects, the word ‘developer’ brings negative connotations. the
perception is that developers sacrifce good design in the pursuit of proft. All too often, archi-
tects perceive that they have delivered a beautifully crafted design only to see developers
value engineer it away until there is nothing left. they don’t care about design – do they?
Clearly some developers do and some don’t, but what is certain is that architects often do not
see the fnancial juggling act that developers need to go through. this is an aspect of the con-
struction process that architects often do not have an appreciation of; arguably it is the one
aspect of the process that holds them back from being a developer themselves. Architects
know how to appraise the potential massing of a site, they know how to navigate the planning
process, they know how to tender the project, how to value engineer to hit a budget and how
to manage the construction process – so what is stopping them developing themselves?

the main concern architects have is fnance – how does one gain an understanding of how
developments are funded? the cold hard reality is that developers must have an understand-
ing of how to raise money, how to manage it and how to make it. developments have to make
a proft; if you want to be a developer this is the frst and most important rule that you need
to accept. investors will not invest if they won’t get a return and banks will not lend if the
fnancial return of a project is uncertain. developers have to take on and manage fnancial risk
and the proft margin is the principal way in which to manage this risk.

Arguably, it is risk that sets developers and architects apart. developers take on risk in return
for the potential of fnancial returns. Architects earn a fee from their client and normally
their only fnancial risk is whether the fee is enough and whether or not the client pays, and
this can be clear fairly quickly. However, a developer potentially works on a project for years
before generating a return and in that period markets may change dramatically – for good or
bad – and the latter in particular is why developers must price in and aim for a minimum proft
margin in order that they can absorb problems if they arise.

Wimshurst Pelleriti is frst and foremost a design-led architecture practice, but one that also
undertakes its own multi-unit, mixed-use developments. We do this partly because it is nice
being your own client but also because we truly believe that we deliver more value to our
clients than our fees typically generate and by taking the fnancial risk ourselves, we are able

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to generate both fees for our architecture practice and development proft for ourselves and
our investors.

it sounds simple – though it rarely is. developers need to constantly readjust their develop-
ment appraisals all the way through projects in order to make sure the margin is maintained
– and this brings diffcult decisions for architect developers in particular when you must
wrestle between the design you want to deliver and the viability of delivering it. As architect
developers with staff who we wish to motivate via good design – we must strike a balance
between aiming for proft and delivering something we are proud of.

ultimately, it is the developer’s need to plan for this proft margin that can frustrate
architects, resulting as it does so often in cost cutting, but to understand this it’s nec-
essary to see the problem from the developer’s perspective. When they go to a bank
to borrow money for the project, that bank will analyse the project, looking at the land
cost, the build cost, the gross development value and the resulting forecast proft.
independent ‘red book’ valuers will need to be convinced of these metrics in order to
stamp the project with their professional opinion. then the bank’s quantity surveyor will
monitor the project all the way through to completion and will question decisions devel-
opers are making at each monthly valuation. the pressure from this process is all the
more intense when developers are asked to stand behind the borrowing with personal
guarantees, as is often the case at the smaller end where developers lack large portfo-
lios to put up as collateral.

this is the context that architects do not see unless they stand in the shoes of the
developer. it is also why we recommend it so wholeheartedly. Architects will be desper-
ate to deliver good design in their own developments and whilst it’s clear that this is
possible, it is likely to come with the requirement to make sacrifces in order to deliver
on the metrics demanded by banks, investors and other parties watching from the side-
lines. We are convinced that this process makes us better architects – doing more with
less would be a good mantra; the learning we take forward from each project benefts
both our developments and those of our clients.

Our development journey has been one of slowly increasing the size and complexity of
projects, and it started with buying individual fats on buy-to-let mortgages and refurbish-
ing them ourselves in order to save money and build our cash deposit. Our frst multi-unit

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 seCtiON iv  stAge 7 uSe

development came about when we purchased two fats in one block and saw an opportunity
to reconfgure the block from two units into three – which became six units after we estab-
lished a joint venture with the landlord next door. As architects we had the credibility to take
control of the development on behalf of both landowners and thereby negotiate a proft share
in return for our services and it was as part of this negotiation that we gained an understand-
ing of the development appraisal. Appraisals are not simple to grasp but are crucial if fnancial
stakeholders are to be convinced to lend or invest. Our learning process involved taking
advice from friends and business contacts who helped us to refne an initially basic excel
spreadsheet into something that looked professional and robust. it helped us to convince the
neighbouring landlords to put both their property and cash into the development – which ulti-
mately meant no bank debt needed to be procured. this was an important factor as banks do
not typically lend to inexperienced developers; we were able to complete our frst multi-unit
development without bank debt.

the successful progress of this project led the way to us seeking fnance for our next devel-
opment – a small new build apartment block. However, what has really helped us is that
the same investors in our initial six-fat scheme have all kept their money with us which has
allowed us to move forward with an expanded investment pot after each development is
completed.

it is perhaps the work we have done to fnd, secure and maintain our investors that has been
the most critical element in allowing us to become architect developers. development is a
cash-hungry business – and relying on banks to act quickly does not necessarily allow one
to take opportunities as they arise. We have always purchased sites for cash then brought in
banks for the construction stage once planning permission has been secured.

Finding investors requires talking to a lot of people – not just when you have an opportunity
but whenever you meet someone who you think maybe is a good partner. this way you have
a good range of people to contact when an opportunity does present itself. We met our most
recent investor through an introduction by our mutual accountant. He was aware that his
client was looking to invest in uK property and as soon as we let him know we were looking
for someone like this he was able to make the connection. He is now our anchor investor in an
£8m project we are delivering in Fulham and, subject to the success of this one, plans to roll
his investment into multiple further projects.

Of course, the other question everyone wants to know is how to fnd sites and this in
many ways simply requires architects to look at sites with a new set of eyes. many of our

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opportunities have come through clients of the architecture practice; either landowners
looking to understand what they can do with a site or projects where we have been able to
propose a Jv rather than a typical architect–client relationship. None of these would have
come to us without us seeking to challenge our traditional model, but architects should take
note that if they are prepared to adapt their thinking – there will almost certainly be a range
of opportunities that they already know about.

One key lesson in site fnding is not to pay too much for the site in the frst place; it is very
easy to get carried away with a site you love and not pay enough attention to the commer-
cial realities, and we have been guilty of this. this scenario led us to break even on one
project after three years’ work – and while the project taught us a lot – it is not the return
we promised our investors and we had to do a lot of work in order to keep them on board for
the next scheme. it only took a small increase in build costs and a small reduction in sales
revenues to wipe out our proft margin and the lesson this taught us was to be far more disci-
plined and patient in site selection.

the practice is now preparing to start its ffth and sixth multi-unit schemes; mixed-use
projects in streatham and Fulham. We have a much greater understanding of the risks
involved and the fnancial game that needs to be played. We have given ourselves the chance
to make development proft – but in doing so we believe we are also better architects as we
are better able to empathise with our developer clients and deliver what we consider to be
well-designed but proftable developments.

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 seCtiON iv  stAge 7 uSe

Project issues

keePIng In toucH
dear [client name],

PROJeCt NAme

it has been x months* since we last spoke/corresponded* so this is just a quick note to
check if you have any questions we might be able to answer on the operation or mainte-
nance of the building, or if you have any comments – objective or subjective – on how you
are fnding living in/working in/using it*.

We use all the feedback we get from our clients on previous projects to guide our work on
future projects, with the aim of continuously improving our work and delivering value to
our clients, so any thoughts you can share will be very much appreciated.

And of course, if you have any other projects under consideration, please do bear us in
mind!

i’m pleased to say we have recently [add note on recent project completions, planning
wins, awards, new members of staff, etc].

i look forward to hearing from you.

Kind regards,
[Your name]

* Amend as applicable

265
 caSe Study
box HouSe
BICESTER

arcHItect

studio Bark
(AJ100 disruptor 2020)

clIe nt

Private

com Pl e tIon date

February 2018

con S tru ctIon co S t

£201,000

SIze

95m2 (giA)

266
box House is one of 10 pioneering self-built client, but complex enough to perform the many
houses, built at graven Hill in Bicester. the graven requirements of a building envelope, and meet the
Hill development is of national signifcance, a stringent tests of the structural warranty provider.
‘vanguard’ project helping to meet the govern- the two-bedroom, 95m2 house took around 100
ment’s commitment to doubling the number of cutting hours in total. the project was constructed
custom and self-build (CsB) homes by 2020. solely using manual handling techniques by the
CsB housing is a spectrum, from true ‘self- client with the assistance of studio Bark and a
build’, where the client physically builds the house small team of architecture students.
themselves, to ‘custom build’, where the client has in order to deliver the unusual brief, studio Bark
design input to an externally procured construc- conceived of their role during construction as part
tion. the young clients for this site were stuck in of an ‘assisted self-build’ procurement. the design
the middle. they did not have the budget to pay for team provided construction support through the
an external contractor, nor the specialist skills to build phase, facilitated by studio Bark’s associ-
lead the build process themselves. ated contracting company. this innovative way of
in response, studio Bark developed an inno- working reimagines the traditional role of the archi-
vative system of fat-pack timber building boxes, tect, and could offer a solution to client-managed
known as u-Build (see also stage 1). the box project delivery on future self-build projects.
modules are simple enough to be built by the

267
 seCtiON iv  stAge 7 uSe

Practice issues

clIent relatIonSHIP management

Keeping in touch with your old clients and developing new ones is critical to business devel-
opment and maintaining a pipeline of projects. this is generally termed ‘client relationship
management’ (CRm) and is best managed with a simple spreadsheet so that you can reorder
the information, for example by company name, or contact name or by activity, sector or ‘next
contact due’. this may help with sending out targeted marketing information.

under ‘activity’ note whether they are a client, consultant (e.g. engineer, planning consultant,
interior designer, etc) or other. Always use the same terminology so that you can sort the
information into categories.

under ‘building sectors’ note the principal sectors they are involved in (e.g. residential,
offces, retail, etc).

the ‘notes on last meeting/conversation’ should contain enough detail for you to recall the
contact’s key business interests (e.g. building sectors), the key issues discussed and any
actions arising, e.g. ‘send details of previous projects’; ‘put in touch with another contact’;
‘undertake speculative design’; ‘given go-ahead for project’; etc.

make a note of when the next contact is due and put a reminder in your electronic diary
(e.g. ms Outlook or google Calendar).

this spreadsheet is a vital tool in your business development activities and must be kept up
to date and monitored regularly. And make sure it is properly backed up by your it system!

the spreadsheet should have the following headings:

• Company.
• Contact name.
• Job title.
• Activity.
• Building sectors.
• Address.
• email.
• telephone.
• Notes on last meeting/conversation.
• Next contact due.

269
caSe Study
lexden
road
COLCHESTER

arcHItect

Chris dyson
Architects llP

clIe nt

Private

com Pl e tIon date

October 2017

con S tru ctIon co S t

£350,000
cda were approached to take part in series 2 of light within the family centred space. the roof is
‘ugly House to lovely House’ hosted by george fnished with sedum grass.
Clarke for Channel 4. the client wanted to also adapt the front
the project featured a 1960s detached family elevation. CdA created a symmetrical facade by
house with a disjointed layout, making it hard for centralising the main entrance through a new
the clients to enjoy the house appropriately. there porch which is accessed via a grand fight of stairs
was also little connection with the rear garden. with elegant metal balustrades. Both front and
the proposal sought to unify all the living spaces rear extensions are clad in blackened millboard to
by creating a large double height extension to create the effect of charred wood. this material is
the rear. the kitchen, dining room and lounge are usually used as a decking, but it was chosen here
arranged within this new space with large sliding as a cost-effective solution providing the con-
doors creating a direct connection to the rear temporary fnish the client wanted with very low
garden. double-height glazing and a large strip maintenance benefts.
roof light provide generous amounts of natural

271
smAll PROJeCts HANdBOOK
BB AA
1200 1200

NEW ALUMINIUM FOLDING

DOORS
(6 SINGLE GLASS PANEL)

BATHROOM
GARDEN SHED
KITCHEN
DINING ROOM

NEW SINGLE
PANEL DOOR
WC
LIVING ROOM
UTILITY

NEW GATE

BEDROOM
GARAGE

NEW SINGLE STOREY

FRONT BRICK EXTENSION
NEW SMALLER GARAGE
DOOR

NEW BLACK ALUMINIUM

SLIDING DOORS

FUEL STORE

BB AA
1200 1200

0 1 2 3 4 5 6 7 8 9 10

SCALE IN METRES @ 1:100

BB AA
1200 1200

NEW BLACK ALUMINIUM

WINDOWS

NEW REAR EXTENSION

WITH BURNT CEDAR
CLADDING AND ZINC ROOF

NEW BLACK ALUMINIUM

WINDOWS BETWEEN
EXISTING BUILDING AND
PROPOSE REAR
EXTENSION

BALCONY

STUDY
WC

MUSIC
ROOM
NEW ROOF LIVING ROOM

LIGHT

NEW SINGLE STOREY

FRONT BRICK EXTENSION
ENTRANCE
PORCH

NEW FRONT EXTENSION

WITH BURNT CEDAR
NEW BLACK ALUMINIUM CLADDING AND ZINC ROOF
SLIDING DOORS WITH
GLASS JULIETE BALCONY

NEW CONCRETE STAIRCASE

WITH NEW BALUSTRADE

BB AA
1200 1200

0 1 2 3 4 5 6 7 8 9 10

SCALE IN METRES @ 1:100

272
 seCtiON iv  stAge 7 uSe

Stage summary

it is not usual – traditionally – for the design team to continue involvement with a building
after its completion (that is after the defects liability period) but stage 7 provides a frame-
work for this to happen. For small projects it is likely to be just keeping in touch (and therefore
with no fee associated), with a view to picking up the next job, and it is more likely that only
larger projects will provide a role for maintenance where a fee can be agreed.

However, information gained from feedback can and should be fed into stage 0 activities
for future projects which could include further construction work associated with the same
building.

273
Further reading
Baeli, m., Residential Retro Fit, london, RiBA Publishing, 2013.
Bussey, P., CDM 2015: A Practical Guide for Architects and Designers, london, RiBA Publishing,
2015.
Construction Products Association, Loft Conversion Handbook, london, RiBA Publishing, 2018.
davys, m., Small Practice and the Sole Practitioner, london, RiBA Publishing, 2017.
dollard, t., Designed to Perform: An Illustrated Guide to Delivering Energy Effcient Homes, london,
RiBA Publishing, 2017.
ePR Architects ltd, RIBA Health and Safety Guide, london, RiBA Publishing, 2020.
Fox, s., How to Write Simple and Effective Consultant Appointments in Just 500 Words, Wilmslow,
500 Words ltd, 2017.
Kavanagh, B., Avoiding & Resolving Disputes: A Short Guide for Architects, london, RiBA
Publishing, 2017.
lewis, s., PHPP Illustrated: A Designer’s Companion to the Passivhaus Planning Package, london,
RiBA Publishing, 2017.
lupton s., Which Contract?, 6th edition, london, RiBA Publishing, 2019.
lupton, s., Guide to the JCT Intermediate Building Contract 2016, london, RiBA Publishing, 2017.
lupton, s., Guide to the JCT Minor Works Building Contract 2016, london, RiBA Publishing, 2017.
lupton, s., Guide to RIBA Domestic and Concise Building Contracts 2018, london, RiBA Publishing,
2018.
marks, K., HR for Creative Companies, london, RiBA Publishing, 2016.
Ostime, N., A Commercial Client’s Guide to Engaging an Architect, london, RiBA Publishing, 2017.
Ostime, N., A Domestic Client’s Guide to Engaging an Architect, london, RiBA Publishing, 2017.
Ostime, N., Handbook of Practice Management, 9th edition, london, RiBA Publishing, 2013.
Owen, J., Home Extension Design, 2nd edition, london, RiBA Publishing, 2019.
Pelsmakers, s., The Environmental Design Pocketbook, 2nd edition, london, RiBA Publishing,
2015.
Pinder-Ayers, B., Financial Management, london, RiBA Publishing, 2016.
Prasad, s., Retroft for Purpose, london, RiBA Publishing, 2014.
the Association for Project safety, Principal Designer’s Handbook, london, RiBA Publishing, 2015.
Wevill, J., Law in Practice, 3rd edition, london, RiBA Publishing, 2018.

web resources:
Bim: https://www.cdbb.cam.ac.uk/.
Planning permission: www.planningportal.gov.uk.
Building regulations: www.gov.uk/building-regulations-approval.
specifcations: www.thenbs.com.
Appointments: https://500words.co.uk.

274
index
a at stage 1 53–4
accounting procedures 55, 79–81 at stage 2 94
additional work 19, 68, 71, 79, 150, 156, 157, at stage 3 122
163, 213 at stage 4 151
adjoining buildings 214, 215, 216, 217 uK Bim Alliance 158
adjoining owners 52 building log book 153, 233
see also party wall procedures building manual 203
administrative costs 80 building notice 161
advance orders 120, 177 building performance
airtightness 63, 154 assessment 57, 97, 124
alternatives to building 5, 7 monitoring 231, 234, 239, 258
appointments 5, 10, 13, 18–23, 52 building regulations applications 151, 161–2
approvals and consents 53, 175, 205 Building Regulations, Approved document l
see also planning applications assessment 97, 124, 153, 210
Approved document l assessment 97, 124, 153, building user guide 153, 210
210 business case 5, 7
approved inspectors 161 business development 37–8
architectural concept 91
archiving 242–3 c
‘as-constructed’ information 205, 211, 260 carbon, whole life 63, 98
asset management 257 carbon/energy declaration 124, 153
cash fow monitoring 79, 111
b cash fow projection 19, 96, 122, 163
benchmarks Cdm Regulations 2015 75, 121, 205
building performance 63 Cdm responsibilities (for clients) 24–5
cost 13, 163 Centre for digital Built Britain (CdBB) 158
practice 31, 230, 249 certifcate of making good defects 235
Bim see building information modelling (Bim) certifcation 207, 208, 209, 235
brainstorming 73 certifcation of materials 154
brand 40 change control procedures 103–4, 118, 150, 152
building contract 185–9 changes 68
administration 206–9 affecting health and safety 207
optional provisions 176 affecting sustainability 210
signing 178, 206 omissions and substitutions 204
standard forms 185–9 see also variations
work not forming part of 176 Chartered Practice 247–9
Building Contract for a Home Owner/Occupier claims (contractors) 208
(HO/B and HO/C) 189, 217 claims against the practice 112, 214
building control applications 151, 161–2 Client Advisors 247
building information modelling (Bim) 131–3, 156–8 client perception study 33
archiving of data 242–3 client relationship management (CRm) 269
the B1m 158 clients
Bim execution plan 131–2 advising 8
level of detail (lOd) 132–3 budget 55
software 139 checks on potential 9
at stage 0 10 client-led changes 68

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smAll PROJeCts HANdBOOK

feedback 33–6 progress monitoring 208

fnding and keeping 31–2 restrictions on working methods 176
keeping in touch with 37, 265 tender list 175, 177, 181
liabilities 215 see also subcontractors
liquidation risk 111 cost consultant 52
potential 9, 11, 31 at procurement stage 177
relationship management 269 at stage 1 55
reporting to 55, 104 at stage 2 96
requirements 50 at stage 3 122
responsibilities 204 at stage 4 159–60, 163
surveys 33, 34 at stage 5 207
climate change adaptation 57 cost control 149
cloud-based systems 137 cost estimates 55, 107, 152, 208
Code of Professional Conduct (RiBA) 159 cost information 96, 122, 177
collaborative design 72, 103, 157 cost plan 107, 122, 163
competitions 38
competitive tendering 181 d
concept design 99 damage to adjoining buildings 215, 216, 217
concept design stage 89–99 dAs (design and access statement) 128,
Concise Building Contract 187–8, 215 130–1
conferences 37 data backups 137
consents see approvals and consents daylighting strategy 154
conservation area consent 93, 121, 130 debriefng 233, 240
Construction (design & management) Regulations see also feedback
2015 see Cdm Regulations 2015 deductions from contract sum 209
construction contract see building contract defective work 208–9
construction cost estimate 55, 107, 152, 208 defects liability period (dlP) 230, 232–3
construction management procurement 180 design and access statement (dAs) 128, 130–1
construction phase plan (CPP) 75 design and build 180
Construction Phase Plan (CPP) 178, 206 design changes see changes; variations
construction programme 71–2, 207 design coordination 118–19, 121, 151, 154
construction strategy 93 design for manufacture and assembly (dfmA)
consultant appointments see appointments; 100
subconsultants design hazards 99
consumer clients see domestic clients design information 149, 155, 159, 175
contaminated land 53 design integration 94, 121, 122, 151
contract see building contract design liability 214
contract administration 206–9 design process 72, 103
contract administrators 187 design programme 150
contract sum adjustments 209 design queries 203
contractors design responsibility matrix 49, 149
appointment 182 design reviews 96
instructions to 207, 208 design risk register 58
interviews with potential 150, 175 design team 53
liabilities 215 briefng 93
possession of site 207 coordination 118–19, 121, 151, 154

276
 iNdex

management 75, 121, 167 f

meetings 54, 120 facilities management (Fm) 257
roles 53, 149 feasibility studies 48–9, 58
working methods and procedures 54 fee calculation 19–20
design workshops 72–3 fee negotiations 10
design-manage procurement 181 fee proposal 10, 18–19
developer-led projects 261–4 feedback 33–6, 231, 233, 239, 240–2
development appraisals 13, 18 fnal certifcate 235
digital technology 14–17 fnal project brief 68, 90, 92
disasters 112 fnancial considerations 70
dispute resolution 211–14 see also cost plan; project budget
documentation fnancial management 79–81
archiving 242–3 fre authorities 151, 174
project records 104, 211, 241–2 full plans 161
site visits 205
domestic Building Contract 185–6, 215 g
domestic clients 9, 23, 24, 211 ground conditions 51
domestic Professional services Contract 2020 23 guarantees 186, 215
drainage 51, 57
drawings 125, 159, 206, 211 H
Handbook of Practice Management (RiBA) 71, 167
e handover stage 229–35
‘elevator pitch’ 31–2 handover strategy 205
embodied carbon 98 health and safety fle 50, 75, 205, 211, 232
embodied energy 62 homeowner contracts see domestic clients
employer’s requirements 119 Hse notifcation 211
employment law 167
energy performance 63 I
see also carbon/energy declaration; indoor environmental conditions 57, 97, 125
environmental performance assessment information management 94, 122, 138–9
energy performance certifcates (ePC) 210, 232 information manager 54
energy strategies 57 information release schedule 204, 208
enquiries from potential clients 11 initial project brief 48, 52, 68, 92
environmental considerations 59–62, 70 innovative design or construction 94
see also internal environmental conditions; inspection of work 205, 209, 212
sustainability checkpoints instructions to the contractor 207, 208
environmental controls 154 insulation 63, 154
environmental performance assessment 57, 97, insurances 175, 215–17
124, 234 insurers 213–14
see also energy performance interim payments 19
ePC (energy performance certifcates) 210, 232 intermediate Building Contract (iC11) 188, 216
existing buildings internal environmental conditions 57, 97, 125
health and safety fle 50, 55 invitation to tender 183–4
surveys 65, 67 invoices 79, 80, 111
it management 137–9

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smAll PROJeCts HANdBOOK

j model letters
Joint Contracts tribunal (JtC) keeping in touch with previous clients 265
Building Contract for a Home Owner/Occupier letter contracts 22
(HO/B and HO/C) 189, 217 for tendering 183–5
intermediate Building Contract (iC11) 188, 216 modern methods of construction (mmC) 100–2
minor Works Building Contract (mW11) 189,
217 n
named subcontractors and suppliers 174, 177,
k 186, 188, 206
knowledge management 74 NBs Create 160
neighbouring property see adjoining buildings; party
l wall procedures
lead designer 53, 120, 121, 146 net contribution clause (NCC) 214
lean thinking 72, 74 networking 37
letter contracts 21–2 novation 23
lighting strategies 154
limiting liability 214 o
liquidation risk 111 O&m (operating and maintenance) manuals 205,
listed building consent 93, 121, 130 211
local planning authority (lPA) occupants guidance 235, 259
policies 51 see also building user guide
pre-application discussions 127–8 occupants’ views 227, 235
pre-application submissions 95, 104–5 offce expenditure 55
sustainability requirements 56, 57 offce management see practice management
offce overheads 80
m offce resource schedule 8
mains services 51 offsite construction 100–2
see also utilities omission of work 204
maintenance contracts 210 operating and maintenance manuals 205, 211
maintenance manuals see operating and overhead costs 80
maintenance manuals
management accounts 79 P
management procurement 180 party wall procedures 52, 53, 95, 121, 151, 162
managing general agencies (mgAs) 222 Passivhaus 168–70
manufacturing and construction stage 201–27 payments
marketing 31 interim 19
see also business development non-payment 111
materials 150, 154 stage 202, 206
materials certifcation 154 people management 111, 167
measured surveys 51, 67 performance in use 57, 154, 210
meetings performance monitoring 231, 234, 239, 258
design team 54, 120 phased delivery 175
site progress 205 planning appeals 123
method statements 160, 204, 207 planning applications
minor Works Building Contract (mW11) 189, pre-application discussions 127
217 pre-application submissions 95, 104–5

278
 iNdex

refused permission 123 project outcomes 48, 52

at stage 1 51 project performance 240–2
at stage 2 95 project plan see project execution plan
at stage 3 119, 121 project programme 3, 48, 50, 71–2
strategies for successful application 129–31 project progress meetings 205
planning conditions 150 project strategies 70–1, 93
planning considerations 9, 70 project team 53
planning consultant 126–7 roles and responsibilities 52, 53, 149
planning policies 126, 128 see also design team
planning statement 128 project timetable 93
possession of site 207 property development 261–4
post-occupancy evaluation (POe) 230, 232,
233–4, 235, 239, 260 Q
see also feedback quality management 54, 206
practical completion 203, 209 quality plan see project execution plan
practice development 236–8 quality requirements 69
practice management 30, 167
accounting procedures 55, 79–80 r
fnancial management 79–81, 111 records 104, 211, 241–2
it management 137–9 relationship management/development 37, 269
pre-application submissions 95, 104–5 research and development 38
pre-construction information 75, 121, 155, 176 residential occupiers 189
preparation & brief stage 46–58 see also domestic clients
presentations 40 resource assessment 9, 11
pre-tender cost estimate 152 resource schedule 8
pricing errors 182 RiBA
principal contractor 24, 75, 178, 205, 208 2030 Challenge and sustainability Outcomes
principal designer (Pd) 24, 75 guide 60
at procurement stage 176, 177 Business Benchmarking survey 31, 249
at stage 2 96 chartered practice 247–9
at stage 3 121 client advisors 247
at stage 5 205, 207–8, 209 client survey 33, 34
procurement options 180–1 Code of Professional Conduct 159
procurement stage 173–97 Concise Building Contract 187–8, 215
procurement strategy 93, 146, 149 domestic Building Contract 185–6, 215
professional appointments see appointments domestic Professional services Contract 2020
professional indemnity insurance (Pi) 10, 23, 221–3 23
progress meetings 205 Fee Calculator 20
progress monitoring 208 Handbook of Practice Management 71, 167
project brief pro forma 69–71 HR and employment law service 167
see also fnal project brief; initial project brief insurance Agency 221
project budget 7, 18, 55, 163 model employment Policy 167
project enquiries 11 Plan of Work 2020
project execution plan 54, 106–7, 120 stage 0: strategic defnition 4–13
project lead 53 stage 1: Preparation & Brief 47–58
project objectives 69 stage 2: Concept design 89–99

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stage 3: spatial Coordination 117–25 stakeholder consultation 57

stage 4: technical design 147–71 see also third party consultations
stage 5: manufacturing & Construction standard forms of appointment 22–3
201–27 standard forms of building contract 185–9
stage 6: Handover 229–35 standard letters see model letters
stage 7: use 255–60 statutory approvals and consents 53, 175, 205
standard forms of appointment 22–3 statutory undertakers see utilities
Sustainability Outcomes Guide 61 strategic brief 11, 13, 49, 68
risk management 111–12 strategic defnition stage 4–13
risk register 58 subconsultants 10, 52, 120, 213
roles and responsibilities 52, 53, 149 subcontractors
advance orders 177
S consultation with 125, 154
samples 150 design 54, 93, 94, 118–19, 148, 149, 151, 213
scotland, building control 162 see also named subcontractors and suppliers;
seasonal control strategy 97, 125 specialist subcontractors
sectional completion 188 sub-letting work 112
see also phased delivery substitutions 204
shell lace structure 15–17 suppliers
site access 176 advance orders 120, 177
see also possession of site consultation with 118, 119, 154
site appraisal 11, 61 see also named subcontractors and suppliers;
site information 8, 49, 69–70 specialist suppliers
site inspection (Bldg Regs) 162 supply chain management 193
site management 207 surveys 49, 51, 65–7
site progress meetings 205 clients 33, 34
site restrictions 51, 65 see also site appraisal
site surveys 49, 51, 66 sustainability advocate/champion 57
site visits 10, 205, 207 sustainability aspirations 12, 56
site waste management plan 124 sustainability assessment see environmental
social media 38 performance assessment
software 138–9 sustainability certifcation 124, 210, 235
spatial coordination stage 117–23 sustainability checkpoints
specialist consultants 92, 120 stage 0 12
specialist subcontractors 213 stage 1 56–7
at procurement stage 176–7 stage 2 97–8
at stage 2 93 stage 3 124–5
at stage 3 118–19, 120, 125 stage 4 153–4
at stage 4 149, 152 stage 5 209–10
at stage 5 207 stage 6 234–5
specialist suppliers 120, 146, 176, 207 stage 7 259–60
specifcation notes 155 Sustainability Outcomes Guide (RiBA) 61
specifcations and schedules 159, 160–1 sustainability policies and legislation 57
speculative work 19, 21, 58 sustainability strategy 98, 124, 153
staff management 111, 167 sustainable materials and products 154
stage payments 202, 206 sWOt analysis 29

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technical design stage 147–71 valuations 207
tendering procedure 152, 176–9, 180–2 value added tax (vAt) 80–1
testing 205 value creation 74
thermal performance 63, 97 value to the client 5, 20
see also energy performance variations 152, 207, 208
third parties 214 see also changes
third party consultations 52, 121, 155 viability assessment 11, 13
timescales 19 video (for marketing) 39
town planning policies 126, 128
see also planning considerations w
town planning strategy 51 waste management plan 124
traditional procurement 180 website design 41–2
whole life carbon 63, 98
u
u-Build 63–4 z
unfair terms in Consumer Contracts Regulations zero carbon 60
1999 9, 23
user guide 153, 210
utilities 51, 94, 151

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iv mole Architects
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18–19 tonkin liu
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43–45 Coffey Architects
64 studio Bark
76–78 iF_dO
82–84 tonkin liu
86 Coffey Architects
100 mHClg
101 Hawkins\Brown / Rory gardiner
108–110 We made that
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172 Wimshurst Pelleriti
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237, top Pitman tozer / Nick Kane
237, bottom Pitman tozer / Kilian O’sullivan
244–246 Rural Offce for Architecture
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254 Coffey Architects
266–268 studio Bark / lenny Codd
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