Capital Works Management Framework Guidance Note Design Development Process



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Capital Works Management Framework
Guidance Note

Design Development Process

GN 2.1





Design Development Process

Document Reference GN 2.1. V.1.0. 28 July 2009

© 2009 Department of Finance

Published by: Department of Finance
Government Buildings
Upper Merrion Street
Dublin 2.

This document is not to be taken as a legal interpretation of the provisions governing public procurement. All parties must rely exclusively on their own skills and judgement or upon those of their advisors when making use of this document. The Government Construction Contracts Committee (GCCC), the National Public Procurement Policy Unit (NPPPU) and the Department of Finance and any other contributor to this guidance note do not assume any liability to anyone for any loss or damage caused by any error or omission, whether such error or omission is the result of negligence or any other cause. Any and all such liability is disclaimed.


Contents




Capital Works Management Framework
Guidance Note

Design Development Process 1

GN 2.1 1

Contents 3

Foreword 5

1: The Design Process: Concepts and Considerations 16

1.1 Overview 16

1.2 Design and Procurement Strategy 17

1.3 Design and Project Stages 19

1.4 General Design Considerations 26

1.5 Design – Roles and Responsibilities 29

1.6 Design and Safety, Health and Welfare 31

2: Design Management and Coordination 34

2.1 Overview 34

2.2 Client and Statutory Approvals 36

2.3 Ensuring Design Quality 37

2.4 Design Deliverables 39

2.5 Stakeholders and Design 40

3: Planning Initial – Building and Civil
Engineering Projects 41

3.1 Overview 41

3.2 Design Activities at the Planning Initial Stage 43

3.3 Project Reviews 1 and 2 and Sequence of Events on Building Projects 46

3.4 Project Reviews 1 and 2 and Sequence of Events on Civil Engineering Projects 52

4: Planning Developed – Building and


Civil Engineering Projects 58

4.1 Overview 58

4.2 Design Activities at the Planning Developed Stage, Building and Civil Engineering 59

4.3 Summary of Project Reviews 3 to 6 61

4.4 Planning Developed Stage A1 (Building): Outline Sketch Scheme 64

4.5 Planning Developed Stage A2 (Building): Developed Sketch Scheme 70

4.6 Building: Statutory Approval 74

4.7 Planning Developed Stage A3 (Building): Detailed Design 75

4.8 Planning Developed Stage B1 (Civil Engineering): Preliminary Planning (Design) 78

4.9 Civil Engineering: Statutory Approval 85

4.10 Planning Developed Stage B2 (Civil Engineering): Detailed Planning (Design) 86

5. Design at Tender Stage 90

5.1 Building and Civil Engineering 90



Foreword



Background

Design is the process by which information about a Client’s needs is translated into three dimensional physical solutions: such as buildings, roads, bridges, and so on. Design activities take place at all stages in the creation of a facility.

The Capital Works Management Framework (CWMF) is a structure within which design is allowed to evolve to the point where it is capable of being translated into a physical structure. The development of the CWMF was the response to the Government decision in May 2004 to reform construction procurement in the public sector. The strategic objectives of that decision are:



  • Greater cost certainty at contract award;

  • Value for money; and

  • More efficient delivery of projects.

These objectives can be delivered provided there is adequate pre-contract design, coupled with the use of the new public works contracts developed under the CWMF.


Terminology in this guidance note

The Sponsoring Agency becomes the Contracting Authority for a project once it becomes a party to any contract relating to the project. And from the time the Works Contract is signed, the Sponsoring Agency is referred to as the Employer. The term Client is used throughout this guidance note as a generic term to cover the Sponsoring Agency / Contracting Authority / Employer.


Scope of this guidance note

This guidance note is intended primarily for the assistance of Sanctioning Authorities and Sponsoring Agencies embarking on public sector building and civil engineering projects.
Building and civil engineering projects

Generally, the information presented in this guidance note applies to both building and civil engineering projects. Where necessary, specific reference is made to building or civil engineering activities. Throughout this guidance note, these separate activities are denoted by a coloured backgrounds as illustrated below:

Text with a blue background relates to building projects.

Text with a yellow background relates to civil engineering projects.
Traditional and design-and-build projects

This guidance note deals with the role of design in both traditional (Employer-designed) projects and in design-and-build (Contractor-designed) projects. In the case of the latter, however, much or all of the design is carried out by the Contractor; so for that reason, this guidance note is less specific about design once it transfers to contractors on design-and-build projects.

Continued on next page

Foreword, Continued




Scope of this guidance note, (continued)
Cost Planning and Cost Control

This guidance note does not refer in detail to cost control activities relating to design. For details of these, please refer to the guidance note, Planning and Control of Capital Costs (GN 2.2).


Applying the process

This document presents the design process in a linear manner for ease of understanding for the traditional, Employer-designed project. The document also covers design-and-build projects up to the point where design risk is transferred from the Employer to the Contractor. While the process is expressed in linear terms, it may be necessary in some instances for one or more of the design activities to be carried out at different stages of the project or in parallel with each other. This might arise in the case of very complex projects where some initial design work may have been required at Appraisal stage.

Design work at Appraisal Stage (in the form of design studies) may be needed to help reach a decision as to whether to grant Approval-in-Principle. If it is granted, the design studies carried out should feed into the Planning Initial stage. Early design work should be reviewed in the context of the Definitive Project Brief to see if the facts and assumptions made at Appraisal stage continue to hold true. If they do, the process is moved on to the appointment of design consultants, if appropriate.



It is not unusual on small/medium or uncomplicated projects to run different design activities in parallel with each other, particularly where such activities can be rolled into one.

Note: Depending on the project, certain design stages can be streamlined or omitted provided the principle of cost control is not compromised. Such waivers must be agreed in advance with the Sanctioning Authority.

Continued on next page

Foreword, Continued



What is the Capital Works Framework

The Capital Works Management Framework (CWMF) is a structure that has been developed to deliver the Government’s objectives in relation to public sector construction procurement reform. It consists of a suite of best practice guidance, standard contracts and generic template documents that form four pillars that support the Framework; the pillars are:

  1. A suite of standard forms of construction contracts and associated model forms, dispute resolution rules, model invitations to tender, forms of tender and schedules;

  2. The standard conditions of engagement for consultants, dispute resolution rules, model invitations to tender, forms of tender and schedules;

  3. Standard templates to record cost planning and control information; and for suitability assessment; and

  4. Extensive guidance notes covering the various activities in a project delivery process.








Continued on next page

Foreword, Continued




What is the Capital Works Framework (continued)

The content of the four pillars is outlined below. The constituent documents are coded according to the following scheme:

Code

Description

Code

Description

PW-CF

Public Works Contract Form

COE

Standard Conditions of Engagement

MF

Model Form

GN

Guidance Note

AR

Arbitration Rules

CO

Cost Planning / Control Form

ITTS

Invitation To Tender, Services

ITTW

Invitation To Tender, Works

QC

Questionnaire: Suitability Assessment for Service Provider

QW

Questionnaire: Suitability Assessment for Works Contractor

FTS

Form of Tender and Schedule

GL

Glossary

WE

Data on Weather Events










CWMF Pillar 1
Public Works Contracts

Contracts, Model Forms, Arbitration Rules, Invitations to Tender (works), and Forms of Tender & Schedules (works)

Contracts

PW-CF1

Public Works Contract for Building Works designed by the Employer

PW-CF2

Public Works Contract for Building Works designed by the Contractor

PW-CF3

Public Works Contract for Civil Engineering Works designed by the Employer

PW-CF4

Public Works Contract for Civil Engineering Works designed by the Contractor

PW-CF5

Public Works Contract for Minor Building and Civil Engineering works designed by the Employer

PW-CF6

Public Works Short Form of Contract

PW-CF7

Public Works Investigation Contract

PW-CF8

Public Works Short Form of Investigation Contract

PW-CF9

Public Works Framework Agreement

Weather Event

WE 1.0

Met Éireann’s calculations of Weather Events



Continued on next page

Foreword, Continued




CWMF Pillar 1 (continued)

Model Forms

MF 1.0

Model Forms (compendium of all model forms)

MF 1.1

Bid Bond

MF 1.2

Letter to Apparently Unsuccessful Tenderer

MF 1.3

Letter of Intent

MF 1.4

Letter of Acceptance

MF 1.5

Letter to Tenderers Notifying Award

MF 1.6

Performance Bond

MF 1.7

Parent Company Guarantee

MF 1.8

Novation and Guarantee Agreement

MF 1.9

Novation Agreement

MF 1.10

Appointment of Project Supervisor

MF 1.11

Professional Indemnity Insurance Certificate

MF 1.12

Collateral Warranty

MF 1.13

Rates of Pay and Conditions of Employment Certificate

MF 1.14

Bond – Unfixed Works Items

MF 1.15

Retention Bond

MF 1.16

Appointment of Conciliator

MF 1.17

Bond – Conciliator’s Recommendation

Arbitration Rules

AR 1.0

Arbitration Rules

Invitations to Tender (works)

ITTW 1

Invitation to Tender for Works, Restricted Procedure

ITTW 2

Invitation to Tender for Works, Open Procedure

ITTW 3

Invitation to Tender, Investigation Contract under an Open Procedure

Forms of Tender and Schedules

FTS 1

Form of Tender and Schedule: Public Works Contract for Building Works designed by the Employer

FTS 2

Form of Tender and Schedule: Public Works Contract for Building Works designed by the Contractor

FTS 3

Form of Tender and Schedule: Public Works Contract for Civil Engineering Works designed by the Employer

FTS 4

Form of Tender and Schedule: Public Works Contract for Civil Engineering Works designed by the Contractor

FTS 5

Form of Tender and Schedule: Public Works Contract for Minor Building and Civil Engineering Works designed by the Employer

FTS 6

Form of Tender and Schedule: Public Works Short Form of Contract

FTS 7

Form of Tender and Schedule: Public Works Investigation Contract

FTS 8

Form of Tender and Schedule: Public Works Short Form of Investigation Contract



Continued on next page

Foreword, Continued



CWMF Pillar 2
Standard Conditions

Standard Conditions of Engagement, Arbitration Rules, Invitations to Tender (services), and Forms of Tender & Schedules (services).

Standard Conditions

COE 1

Standard Conditions of Engagement for Consultancy Services (Technical)

COE 2

Standard Conditions of Engagement for Archaeology Services

Arbitration Rules

AR 1.0

Arbitration Rules

Invitations to Tender (services)

ITTS 1

Invitation to Tender for Services, Restricted Procedure

ITTS 2

Invitation to Tender for Services, Open Procedure

Forms of Tender & Schedule (services)

FTS 9

Form of Tender and Schedule, Consultancy Services (Technical)

FTS 10

Form of Tender and Schedule, Archaeology Services



Continued on next page

Foreword, Continued



CWMF Pillar 3
Cost Planning & Control/ Suitability Assessment

Cost Control & Planning Forms; and Suitability Assessment Forms for works and services.

Cost Planning & Control Forms

CO 1

How to Use the Costing Document (Building Works) Template

CO 1.1

Costing Document (Building Works)

CO 2

How to Use the Costing Document (Civil Engineering Works) Template

CO 2.1

Costing Document (Civil Engineering Works, Roads)

CO 2.2

Costing Document (Civil Engineering Works, Water Sector)

CO 2.3

Costing Document (Civil Engineering Works, Marine)

Suitability Questionnaires (works)

QW 1

Questionnaire: Suitability Assessment for Works Contractor, Restricted Procedure

QW 2

Questionnaire: Suitability Assessment for Works Contractor, Open Procedure

QW 3

Questionnaire: Suitability Assessment for Works Specialist for specialist area

Suitability Questionnaires (services)

QC 1

Questionnaire: Suitability Assessment for Service Provider, Restricted Procedure

QC 2

Questionnaire: Suitability Assessment for Service Provider, Open Procedure

QC 3

Questionnaire: Suitability Assessment for Service Provider, Independent PSDP

QC 4

Questionnaire: Suitability Assessment for Service Provider, Independent PSCS



Continued on next page

Foreword, Continued



CWMF Pillar 4



Guidance Notes

Guidance Notes

GN 1.0

Introduction to the Capital Works Management Framework

GN 1.1

Project Management

GN 1.2

Project Definition and Development of the Definitive Project Brief

GN 1.3

Budget Development

GN 1.4

Procurement and Contract Strategy for Public Works Contracts

GN 1.5

Public Works Contracts

GN 1.6

Procurement Strategy for Consultancy Services (Technical)

GN 1.6.1

Assessment of Construction Service Providers, Restricted Procedure

GN 1.6.2

Assessment of Construction Service Providers, Open Procedure

GN 1.7

Standard Conditions of Engagement, Guidance Note and Sample Schedules

GN 2.1

Design Development Process 1

GN 2.2

Planning and Control of Capital Costs

GN 2.3

Procurement of Works Contractors

GN 2.3.1

Assessment of Works Contractors, Restricted Procedure

GN 2.3.2

Assessment of Works Contractors, Open Procedure

GN 2.4

Tender Process

GN 3.1

Implementation Process

GN 4.1

Project Review

Glossary

GL 1.0

Glossary



Continued on next page

Foreword, Continued



Strategic Objectives of the CWMF

The strategic objectives of the Government’s Capital Works Management Framework are to ensure:

  • Greater cost certainty at contract award stage;

  • Better value for money at all stages during project delivery, particularly at hand-over stage; and

  • More efficient end-user delivery.

Provided there is a comprehensive definition of client’s requirements in terms of output specifications, and (in the case of traditional contracts) adequate pre-tender detailed design input, the new public works contracts will enable the key objectives outlined above be achieved. The degree to which output specifications and the pre-tender detailed design input is developed is determined by the following guiding principles which underpin the new contracts:

  • To ensure as far as practicable that the accepted tender prices and the final outturn costs are the same; and

  • To allocate risk so that there is optimal transfer of risk to the Contractor.

The public sector client is called ‘the Employer’ in the new public works contracts. The achievement of optimal risk transfer is dependent on the Employer providing the following detailed information in the tender documentation:

  • In design-and-build (Contractor-design) projects: detailed output specifications

  • In traditional (Employer-design) projects: comprehensive input designs and specifications in the tender documentation;

In responding to an invitation to tender, prospective contractors can then assess the impact of the risks being transferred and build the costs of such risk into their tender price.

Continued on next page

Foreword, Continued



Structure of this document

This document is divided into four chapters as follows:




Section

See Page







1: The Design Process: Concepts and Considerations
Outlines the concepts related to the design of a project.

16







2: Design Management and Coordination
Details how the design of a project is managed.

34







3: Planning Initial – Building and Civil Engineering Projects
Describes design activities that take place during this stage

41







4: Planning Developed – Building and Civil Engineering Projects
Describes design activities that take place in this stage

58







Project Stages

Capital Works Management Framework

Appraisal




Main Project Processes

Approval in
Principle





Project
Management


Design Activities
(Building)


Design Activities
(Civil Eng.)


Cost Control
Activities


Risk and Value
Management


Documents for
Approval


Stage 1
Planning
Initial


Stage (i)

Feasibility
Study /
Preliminary
Report



Manage outputs: Project Definition
(through 16 No overall parameters)


Manage technical experts’ appointment
(if required)

Conduct Feasibility Studies


Develop Definitive Project Brief
Appoint technical experts (if required)

Appoint PSDP (if required)



Conduct Preliminary Report

Conduct design studies

Develop Definitive Project Brief


Appoint technical experts (if required)

Appoint PSDP (if required)



Conduct cost assessment of Feasibility Studies / Preliminary Report (capital and maintenance costs)



VM: Confirm strategic functional performance

Review Feasibility Studies / Preliminary Report options

Identify VM strategies

Develop functional performance model



Project Management Structure

Preliminary Project Brief

Preliminary Output Specification

Feasibility Study and Cost Plan

Design Brief

Final Output Specification

Definitive Project Brief

Project Execution Plan

Risk Management Plan

RM: Identify and assess risk relating to the Project Execution Plan

Develop high-level Risk Management Plan



Stage (ii)
Design


Project Review 1: Confirm approval for design expenditure (Report to Sanctioning Authority and await approval prior to proceeding)

Manage procurement strategy

Manage design consultant appointment

Manage assessment of output requirements

Appoint Design Team / Design Team Leader

Assess output requirements

Appoint Design Team / Lead Consultant

Develop design standards

Assess output requirements



Check / assess budget



VM: Consider VM in relation to procurement strategy

Definitive Procurement Strategy

Contract Type Proposal

Project Team Selection Report

RM: Identify risk in relation to procurement

Agree risk allocation






Stage 2
Planning
Developed



Project Review 2: Confirm requirements; review procurement strategy ( C ertify compliance to Sanctioning Authority; and proceed after agreed period provided no queries / hold from Sanctioning Authority)

Manage Outline Design process

Develop Outline Sketch Scheme

Appoint PSDP (if not appointed earlier)



Develop Preliminary Planning

Appoint PSDP (if not appointed earlier)


Develop Outline Cost Plan



VM: Consider VM in relation to Outline Sketch Scheme / Preliminary Planning

Outline Sketch Scheme (Building)

Preliminary Planning drawings (C. Eng.)

Outline Cost Plan

RM: Consider RM in relation to Outline Sketch Scheme

Project Review 3: Assess project design and Outline Cost Plan ( Certify compliance to Sanctioning Authority; and proceed after agreed period provided no queries / hold from Sanctioning Authority)

Manage Developed Design process

Manage procurement process

Develop Developed Sketch Scheme

Prepare submission for statutory approval



Continue Preliminary Planning

Prepare submission for statutory approval



Develop Developed Cost Plan

Develop Whole Life Cost Appraisal



VM: Carry out value engineering

Assess buildability of the design

Consider VM in relation to Detailed Sketch Scheme


Developed Sketch Scheme

Developed Cost Plan

Statutory Approval Submission

RM: Identify residual risks

Consider RM in relation to Detailed Sketch Scheme

Suitability assessment of contractors


Project Review 4: Assess project prior to statutory approval (Report to Sanctioning Authority and await approval prior to proceeding)

Manage statutory submission process

Submit for statutory approval

Review statutory approval outcome



Submit for statutory approval

Review statutory approval outcome



Review Developed Cost Plan

VM: Review any planning conditions for value management impact.

Developed Cost Plan (reviewed)

RM: Review any planning conditions for risk impact.

Project Review 5: Assess outcome from statutory approval ( Certify compliance to Sanctioning Authority; and proceed after agreed period provided no queries / hold from Sanctioning Authority)

Stage (iii)
Tender


Manage the Detailed Design Process

Develop Detailed Design (not design-and-build)

Prepare tender documents



Develop Detailed Planning (Design) (not design-and-build)

Prepare tender documents



Conduct Detailed and Pre-Tender Cost Checks and Whole Life Cost Update in advance of preparing tender documents

VM: Review suitability assessment of contractors for VM potential

Tender Documentation

Detailed Pre-tender Cost Check

Whole Life Cost Update

Contractor List Selection

RM: Review suitability assessment of contractors for risk impact

Project Review 6: Approve detailed design solution; review pre-tender cost check; review risk (Report to Sanctioning Authority and await approval prior to proceeding)

Manage the Tender Process

Issue tender documents

Assess tender returns

Recommend successful tenderer


Issue tender documents

Assess tender returns

Recommend successful tenderer


Develop Tender Cost Analysis

Develop Tender Report



VM: Assess tender returns for VM potential

Tender Assessment Criteria

Tender Analysis And Report

Contractor Recommendation

RM: Assess tender returns for risk impact

Project Review 7: Review tender returns in advance of awarding the contract (Report to Sanctioning Authority and await approval prior to proceeding)

Stage 3
Implementation


Stages (iv)
Construction & (v) (v) Handover


Manage the implementation / construction process

Manage change control

Manage contract

Develop Detailed Design (Design and
Build)

Implement design




Develop Detailed Planning (Design and Build)

Implement design




Manage change control for costs

Prepare final account



VM: Carry out value engineering (for design and build projects only)

Various contract management reports

RM: Manage residual risk
Manage construction risk

Stage 4
Review


Manage the Project Review

Conduct design review

Conduct design review

Develop Analysis of Outturn Cost

VM: Evaluate value achieved

Project Outturn Review

RM: Evaluate the risk management and risk mitigation process

Consider operational risk reviews







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