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- Herausgeber: John Wiley & Sons
- Kategorie: Wissenschaft und neue Technologien
- Sprache: Englisch
The first edition of the Code of Practice for Project Management for Construction and Development, published in 1992, was groundbreaking in many ways. Now in its fifth edition, prepared by a multi-institute task force coordinated by the CIOB and including representatives from RICS, RIBA, ICE, APM and CIC, it continues to be the authoritative guide and reference to the principles and practice of project management in construction and development.
Good project management in construction relies on balancing the key constraints of time, quality and cost in the context of building functionality and the requirements for sustainability within the built environment. Thoroughly updated and restructured to reflect the challenges that the industry faces today, this edition continues to drive forward the practice of construction project management. The principles of strategic planning, detailed programming and monitoring, resource allocation and effective risk management, widely used on projects of all sizes and complexity, are all fully covered. The integration of Building Information Modelling at each stage of the project life is a feature of this edition. In addition, the impact of trends and developments such as the internationalisation of construction projects and the drive for sustainability are discussed in context.
Code of Practice will be of particular value to clients, project management professionals and students of construction, as well as to the wider construction and development industries. Much of the information will also be relevant to project management professionals operating in other commercial spheres.
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CONTENTS
Cover
Title page
Copyright page
Foreword
Acknowledgements
Working group for the revision of the
Code of Practice for Project Management
– Fifth Edition
List of tables
List of figures
List of diagrams – Briefing Notes
0 Introduction
Project management
Definitions
Characteristics of construction projects
Characteristics of construction project management
Adding value
Scope of project management
Project lifecycle
1 Inception
Stage checklist
Stage process and outcomes
The client
Project manager
Project mandate
Environmental mandate
BIM mandate
2 Feasibility
Stage checklist
Stage process and outcomes
Client’s objectives
Outline project brief
Feasibility studies
Energy in a building environment
Lifecycle costing and sustainability
Sustainability in the built environment
Towards sustainable development
Site selection and acquisition
Project brief
Design brief
Funding and investment appraisal
Development planning and control
Stakeholder identification
Business case
Approval to proceed
BIM brief
3 Strategy
Stage process and outcomes
Client’s objectives
Project governance
Strategy outline and development
Project organisation and control
Project team structure
Selecting the project team
Project management procedures and systems
Information and communication technology
Project planning
Cost planning and controls
Cost control
Design management process (managing the design delivery)
Risk identification and management
Environmental management and controls
Stakeholder management
Quality management
Commissioning strategy
Selection and appointment of project team consultants
Collaborative arrangements
Framework arrangements
Private public partnership/private finance initiative (PPP/PFI)
Procurement strategy
Innovative form of procurement
Characteristics of procurement options
Procuring the supply chain
Responsible sourcing
Tender procedure
Procurement under EU directives
e-Procurement
Employer’s requirement document
Facility management strategy/considerations
Project execution plan
BIM strategy
4 Pre-construction
Stage checklist
Stage process and outcomes
Design process
Managing the design delivery
Project coordination and progress meetings
Design team meetings
Managing design team activities
Statutory consents
Planning approval
Building Regulations
Disability Discrimination Act (DDA)
Impact of utilities on project planning/scheduling
Technical design and production information
Value management
Contract award
Pre-start meeting
Dispute resolution
BIM strategy
5 Construction
Stage checklist
Stage process and outcomes
Project team duties and responsibilities
Performance monitoring
Health, safety and welfare systems
Environmental statements
Contractor’s environmental management systems
Compliance with site waste management plan regulations 2008
Monitoring of the works
Reporting
Public liaison and profile
Quality management systems
Commissioning and production of operation and maintenance manuals
6 Testing and commissioning
Stage checklist
Stage processes and outcomes
Project manager’s duties and responsibilities
Commissioning generally
Procurement of commissioning services
Role of the commissioning contractor
The testing and commissioning process and its programming
Differences between testing and commissioning
Main tasks to be undertaken
Seasonal commissioning
Commissioning documentation
BIM strategy
7 Completion, handover and operation
Stage checklist
Stage process and outcomes
Planning and scheduling handover
Procedures
Client commissioning and occupation
Operational commissioning
Client occupation
Structure for implementation
Scope and objectives
Methodology
Organisation and control
Soft landings
BIM strategy
8 Post-completion review and in use
Stage checklist
Stage process and outcomes
Post-occupancy evaluation
Project audit
Cost and time study
Human resources aspects
Performance study
Project feedback
Close-out report
Benefits realisation
Occupation/in-use strategy
Client’s BIM strategy
Bibliography
5th Edition Publications
4th Edition Publications
Glossary
Past working groups of
Code of Practice for Project Management
Index
End User License Agreement
List of Tables
Introduction
Table 0.1 Definitions of project management
Table 0.2 Specific key decisions
Chapter 01
Table 1.1 Duties of project manager
Chapter 02
Table 2.1 Contents for project brief
Table 2.2 Client’s decision prompt list
Chapter 03
Table 3.1 Mapping common causes of project failure
Table 3.2 Appointment of the project team consultants
Chapter 04
Table 4.1 Specimen agenda for pre-start meeting
Table 4.2 Value engineering job plan
Table 4.3 Result accelerators
Table 4.4 Changes in the client’s brief: checklist
List of Illustrations
Introduction
Figure 0.1 Key project constraints.
Figure 0.2 Project lifecycle.
Chapter 02
Figure 2.1 Outline project brief.
Figure 2.2 Development of project brief from objectives.
Figure 2.3 A summary of sustainable development. Adapted from CIRIA C571 ‘Sustainable construction procurement: a guide to delivering environmentally responsible projects’.
Figure 2.4 Site selection and acquisition.
Figure 2.5 Relationship between scope for change and cost of change.
Figure 2.6 Stakeholder mapping: the power/interest matrix. Adapted from Johnson et al. (2006).
Scoring system for the
Code for Sustainable Homes
.
Calculating the total points score.
Site investigation activities.
Chapter 03
Figure 3.1 Stages of the project development.
Figure 3.2 Typical project team structure.
Figure 3.3 Elements of the strategy stage.
Figure 3.4 Examples of (a) construction expenditure graph and (b) cash flow histogram.
Figure 3.5 Tender procedure.
Stages of VM study.
Project planning.
Selecting a procurement route.
Framework agreements.
Call-off stage.
Pre-tender process
Pre-qualification interview agenda
Tender document checklist
Returned tender review process
Post-tender interview agenda
Approval to place contract order
Final general checklist
Essential actions of project partnering.
Generic risk transfer model in PPP/PFI projects.
CIPS e-procurement lifecycle.
DMTCQ – a framework for design management.
Chapter 04
Figure 4.1 Design team activities.
Figure 4.2 Development of design proposals.
Figure 4.3 Coordination of design work up to design freeze.
Figure 4.4 Changes in the client’s brief.
Chapter 06
Figure 6.1 Small project installation testing and commissioning process and sign off.
Figure 6.2 Large project installation testing and commissioning process and sign off.
Figure 6.3 Project drawing issue flowchart.
Figure 6.4 Services installation, testing and commissioning data sheets flowchart.
Figure 6.5 Specialist maintenance contracts flowchart.
Chapter 07
Figure 7.1 Occupation: structure for implementation.
Figure 7.2 Occupation: scope and objectives.
Figure 7.3 Occupation: review and methodology.
Figure 7.4 Occupation: organisation and control.
Guide
Cover
Table of Contents
Begin Reading
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Code of Practice for Project Management for Construction and Development
Fifth Edition
This edition first published 2014© 2014 by The Chartered Institute of Building
Registered OfficeJohn Wiley & Sons, Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United Kingdom.
Editorial Offices9600 Garsington Road, Oxford, OX4 2DQ, United Kingdom.The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, United Kingdom.
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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, except as permitted by the UK Copyright, Designs and Patents Act 1988, without the prior permission of the publisher.
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Limit of Liability/Disclaimer of Warranty: While the publisher and author(s) have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. It is sold on the understanding that the publisher is not engaged in rendering professional services and neither the publisher nor the author shall be liable for damages arising herefrom. If professional advice or other expert assistance is required, the services of a competent professional should be sought.
Library of Congress Cataloging-in-Publication Data
Code of practice for project management for construction and development. -- Fifth edition. pages cm Coordinated by CIOB. Includes bibliographical references and index. ISBN 978-1-118-37808-3 (paperback)1. Building--Superintendence. 2. Project management. I. Chartered Institute of Building (Great Britain) TH438.C626 2014 690.068′4--dc23
2014017295
A catalogue record for this book is available from the British Library.
Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books.
Cover photo courtesy of iStock PhotoCover design by Steve Flemming at Workhaus
Foreword
The first edition of this Code of Practice, published in 1992, set out a job specification for a project manager and provided guidance on the project manager’s role. Since then project management has become an integral part of the construction industry and been responsible for its increased reliability and quality of product.
The next few decades experienced some significant changes within the industry with much focus towards changing our culture and communication. The interaction between the key participants in this industry, which produces many spectacular projects with increasing levels of complexity and technological prowess, continue to evolve around the necessity to deliver projects within an agreed budget, to a level of acceptable quality and within an agreed time scale.
The fourth edition, published in 2010, captured a range of themes across the industry. In this fifth edition, prepared in collaboration with a number of key professional bodies, the entire document has been overhauled to make it more contemporary while maintaining the integrity and rationale of the role of a project manager and project management in context of the construction industry.
Following the spectacularly successful delivery of the Olympics (London 2012) and continuing with the UK Crossrail project, construction is at the forefront of successful project management. This fifth edition, although developed specifically for the UK construction industry, will continue to satisfy the ever increasing demand for an authoritative document on this subject in other parts of the world.
I strongly commend this valuable multi-institutional code of practice to all the industry’s clients, to practising project managers and indeed to all students of the subject and their mentors.
Jack Pringle, PPRIBA Hon AIA FRSA DipArch BA (Hons)
Principal, Managing Director
Pringle Brandon Perkins+Will
Acknowledgements
The fifth edition of the Code of Practice, under the stewardship of David Woolven FCIOB, has strived to keep pace, and in places perhaps steer the directions ahead, in the construction industry which has been at the centre of economic regeneration and development across the globe.
In keeping with the fourth edition, the fifth edition has also been prepared by a broad representation of the industry, with contributions from built environment specialists and interdisciplinary cooperation between professionals within the built environment. I would like to take this opportunity to thank the many people who have helped with the fifth edition. A list of participants and the organisations represented is included in this book.
Specific note of thanks must go to Piotr Nowak, who has been ably and patiently assisted by Una Mair throughout the delivery process, for coordinating all the disparate elements of the review of the Code of Practice by maintaining the information flow and also for managing the digitalisation of all the figures and diagrams.
I would also like to thank Arnab Mukherjee, FCIOB, who led the editorial and drafting team, for the successful delivery of this document.
Chris Blythe
Chief Executive
Chartered Institute of Building
Working group for the revision of the Code of Practice for Project Management – Fifth Edition
Saleem Akram
, BEng (Civil) MSc (CM) PE FIE MAPM FIoD EurBE FCIOB
Director, Construction Innovation and Development, CIOB
Colin Bearne
Gardiner & Theobald
Sarah Beck MRICS MAPM
Royal Institute of British Architects
Andrew Boyle
Tesco
Shaun Darley
Voice of Reason Ltd/MB PLC
John Eynon
Open Water Consulting
Dr Chung-Chin Kao
Innovation & Research Manager, CIOB
Una Mair
Scholarships & Faculties Officer, CIOB - Group’s Secretary
Gavin Maxwell-Hart
BSc CEng FICE FIHT MCIArb FCIOB
CIOB Trustee
Institution of Civil Engineers
Alan Midgley
ARUP
Arnab Mukherjee
BEng(Hons) MSc (CM) MBA MAPM FCIOB
Technical Editor
Paul Nash
MSc FCIOB
Turner & Townsend
Piotr Nowak
MSc Eng.
Development Manager, CIOB
Dr Milan Radosavljevic
UDIG MIZS-CEng ICIOB
University of the West of Scotland
Eric Stokes
MCIOB FHEA MRIN
Salford University
David Woolven
MSc FCIOB
Chair Working Group
University College London
Roger Waterhouse
MSc FRICS FCIOB FAPM
College of Estate Management, Royal Institution of Chartered Surveyors, Association for Project Management
The following also contributed in development of the fifth edition of the Code of Practice for Project Management
Andrew Barr
Davis Langdon
Richard Biggs MSc FCIOB MAPM MCMI
Construction Industry Council
Richard Humphrey
FCIOB FRSA FCMI FIoD MAPM PGCert FHEA EurBE
Northumbria University at Newcastle
Vaughan Burnand
Chair, Health & Safety Advisory Committee
Professor Farzad Khosrowshahi
FCIOB
Head of School of the Built Environment & Engineering Faculty of Arts, Environment & Technology, Leeds Metropolitan University
Dean Hyndman
URS
Dr Sarah Peace
BA (Hons) MSc
Consultant, CIOB
Dr Aeli Roberts
MSc GDL BVC ICIOB
University College London
Dr Paul Sayer
Publisher, Wiley-Blackwell, John Wiley & Sons Ltd, Oxford
List of tables
0.1 Definitions of project management
0.2 Specific key decisions
1.1 Duties of project manager
2.1 Contents for project brief
2.2 Client’s decision prompt list
3.1 Mapping common causes of project failure
3.2 Appointment of the project team consultants
4.1 Specimen agenda for pre-start meeting
4.2 Value engineering job plan
4.3 Result accelerators
4.4 Changes in the client’s brief: checklist
List of figures
0.1 Key project constraints
0.2 Project lifecycle
2.1 Outline project brief
2.2 Development of project brief from objectives
2.3 A summary of sustainable development
2.4 Site selection and acquisition
2.5 Relationship between scope for change and cost of change
2.6 Stakeholder mapping: the power/interest matrix
3.1 Stages of the project development
3.2 Typical project team structure
3.3 Elements of the strategy stage
3.4 Examples of (a) construction expenditure graph and (b) cash flow histogram
3.5 Tender procedure
4.1 Design team activities
4.2 Development of design proposals
4.3 Coordination of design work up to design freeze
4.4 Changes in the client’s brief
6.1 Small project installation testing and commissioning process and sign off
6.2 Large project installation testing and commissioning process and sign off
6.3 Project drawing issue flowchart
6.4 Services installation, testing and commissioning data sheets flowchart
6.5 Specialist maintenance contracts flowchart
7.1 Occupation: structure for implementation
7.2 Occupation: scope and objectives
7.3 Occupation: review and methodology
7.4 Occupation: organisation and control
List of diagrams – Briefing Notes
Scoring system for the Code for Sustainable Homes
Calculating the total points score
Site investigation activities
Stages of VM study
Mitigation action plan
Project risk assessment checklist
Project planning
Selecting a procurement route
Framework agreements
Call-off stage
Pre-tender process
Selection questionnaire
Pre-qualification interview agenda
Tendering process checklist
Tender document checklist
Mid-tender interview agenda
Returned tender review process
Returned tender bids record sheet
Post-tender interview agenda
Final tender evaluation report
Approval to place contract order
Final general checklist
Design development control sheet
Change order request form
Essential actions of project partnering
Generic risk transfer model in PPP/PFI projects
CIPS e-procurement lifecycle
DMTCQ – a framework for design management
0Introduction
Project management
Project management has come a long way since its modern introduction to construction projects in the late 1950s. Now, it is an established discipline which executively manages the full development process, from the client’s idea to funding coordination and acquirement of planning and statutory controls approval, sustainability, design delivery, through to the selection and procurement of the project team, construction, commissioning, handover, review, to facilities management coordination.
This Code of Practice positions the project manager as the client’s representative, although the responsibilities may vary from project to project; consequently, project management may be defined as ‘the overall planning, co-ordination and control of a project from inception to completion aimed at meeting a client’s requirements in order to produce a functionally and financially viable project that will be completed safely, on time, within authorised cost and to the required quality standards’.
The fifth edition of this Code of Practice is the authoritative guide and reference to the principles and practice of project management in construction and development. It will be of value to clients, project management practices and educational establishments and students, and to the construction and development industries. Much of the information contained in the Code of Practice will also be relevant to project management practitioners operating in other commercial spheres.
Definitions
There are many definitions in existence for the term ‘Project Management’. The CIOB, in this Code of Practice, and in all other publications, uses the following definition:
Project management
The overall planning, coordination and control of a project from inception to completion aimed at meeting a client’s requirements in order to produce a functionally viable and sustainable project that will be completed safely, on time, within authorised cost and to the required quality standards.
Table 0.1 summarises a number of definitions of project management, as practiced by a selection of leading organisations involved in project management within the construction and building industry in UK.
Table 0.1 Definitions of project management
Organisation
Definition of project management
Chartered Institute of Building
The overall planning, coordination and control of a project from inception to completion aimed at meeting a client’s requirements in order to produce a functionally viable project that will be completed safely, on time, within authorised cost and to the required quality standards.
Association for Project Management
The application of processes, methods, knowledge, skills and experience to achieve the project objectives.
1
British Standards 6079:2010
A unique set of coordinated activities, with definite starting and finishing points, undertaken by an individual or organisation to meet specific objectives within defined schedule, cost and performance parameters.
Office of Government Commerce (Department of Business, Innovation, and skills)
The planning, monitoring and control of all aspects of the project and the motivation of all those involved in it to achieve the project objectives on time and to the specified cost, quality and performance.
2
International Organization for Standardization 21500:2012
Project management is the application of methods, tools, techniques and competencies to a project. Project management includes the integration of the various phases of the project lifecycle.
International Project Management Association
3
IPMA
Project management (PM) is the planning, organising, monitoring and controlling of all aspects of a project and the management and leadership of all involved to achieve the project objectives safely and within agreed criteria for time, cost, scope and performance/quality. It is the totality of coordination and leadership tasks, organisation, techniques and measures for a project. It is crucial to optimise the parameters of time, cost and risk with other requirements and to organise the project accordingly
Project Management Institute
4
PMI
Project management is the application of knowledge, skills and techniques to execute projects effectively and efficiently. It is a strategic competency for organisations, enabling them to tie project results to business goals – and thus, better compete in their markets.
1 Definition as available at http://www.apm.org.uk/content/project-management (accessed November 2012).
2 Definition obtained from OGC Glossary of Terms & Definitions v06 March 2008 – at the time of publication the document is available at www.gov.uk through publications of the Department of Business, Innovation & Skills.
3 Definition obtained from ICB 3.0 – page 127.
4 Definition as available at http://www.pmi.org/About-Us/About-Us-What-is-Project-Management.aspx (accessed February 2013).
Characteristics of construction projects
Construction projects have inherent features that make them highly complicated enterprises. These features are characterised by high levels of complexity, uncertainty and uniqueness and include
Complexity created by the fragmentation of the organisational mechanism by which most projects are delivered. Usually the project delivery team is external to the client organisation, there is a separation between the designers and the constructors and the requirement for a wide range of specialist knowledge and skills demands the involvement of a large number of consultants, contractors, suppliers and statutory bodies.
Complexity of the technology involved in the construction of modern buildings.
Logistical complexity created by the locational aspects of projects – the site being a fixed location means that everything else must be taken to it. It is likely logistical complexity will be increased in a highly urbanised country where the pressure on land means the building footprint is likely to be the same as the site area, leaving minimal working space.
Uncertainty created by exposure to the extremes of the weather.
Uniqueness of each project; the project organisation and the participants vary, site conditions are different, technology adopted for the building varies, external influences on the project will be different and client constraints will be different.
Uncertainty caused by the time necessary for the project life cycle. The longer the period of time, the greater the opportunity for the project to be impacted by changing external circumstances, such as economic conditions, or by changing client requirements.
Further pressures are created by a client needing to commit to key criteria such as the project duration and cost budget at an early stage, often before the full implications of what the project actually is about and how it is to be implemented have been developed in detail.
Most participants to the project are involved because they are offering a service or product as part of their business activity. It is usual practice for this involvement to be a formal contractual agreement with an agreed fixed, lump sum price based on a definition of the service or product required. Throughout their contribution to the project, participants are therefore balancing protecting their commercial position with working towards helping to achieve the overall project objectives. This relationship is not without difficulties and does not always work to the best advantage of the client or the project.
Characteristics of construction project management
Construction projects are intricate, resource consuming and often complex activities. The development and delivery of a project typically consists of several phases, sometimes over lapped but always linked, requiring a wide variety of skills and specialised services to balance the key project constraints (Figure 0.1). In progressing from initial feasibility to completion and occupation, a typical construction project passes through successive somewhat distinct stages that necessitate input from such asynchronous areas such as financial institutions, regulatory and statutory organisations, members of the public, engineers, planners, architects, specialist designers, cost engineers, building surveyors, lawyers, insurance companies, constructors, suppliers, tradesmen and cost managers.
During the construction stage itself, a project of relatively simple design and methodology involves a wide range of skills, materials and a plethora of different but often sequential activities and tasks that must follow a predetermined order that constitutes a complicated and sensitive pattern of individual criteria and restrictive sequential relationships.
The Construction Industry Council (CIC) suggests that the primary purpose of project management is to add significant and specific value to the process of delivering construction projects.1 This is achieved by the systematic application of a set of generic project-orientated management principles throughout the life of a project. Some of these techniques have been tailored to the sector requirements unique to the construction industry.
The function of project management is applicable to all projects. However, on smaller or less complex projects, the role may well be combined with another discipline, for example, leader of the design team. The value added to the project by project management is unique: no other process or method can add similar value, either qualitatively or quantitatively.
Figure 0.1 Key project constraints.
Adding value
The raising of standards should lead significantly to the adding of value. Greater awareness can result in better design, improved methods and processes, new material choices, less waste, decreases in transportation costs and ultimately more efficient buildings, all of which can bring added value to the whole development process.
Scope of project management
Construction and development projects involve the coordinated actions of many different professionals and specialists to achieve defined objectives. The task of project management is to bring the professionals and specialists into the project team at the right time to enable them to make their best possible contribution, efficiently.
Professionals and specialists bring knowledge and experience that contributes to decisions, which are embodied in the project information. The different bodies of knowledge and experience all have the potential to make important contributions to decisions at every stage of projects. In construction and development projects, there are far too many professionals and specialists involved for it to be practical to bring them all together at every stage. This creates a dilemma because ignoring key bodies of knowledge and experience at any stage may lead to major problems and additional costs for everyone.
The practical way to resolve this dilemma is to carefully structure the way the professionals and specialists bring their knowledge and experience into the project team. The most effective general structure is formed by the eight project stages used in this Code of Practice’s description of project management.
Project lifecycle
The different stages of the project lifecycle as identified across the industry have been summarised and compared in Figure 0.2.
Figure 0.2 Project lifecycle.
In many projects, there will be a body of knowledge and experience in the client organisation which has to be tapped into at the right time and combined with the professional and specialists’ expertise.
Each stage in the project process is dominated by the broad body of knowledge and experience that is reflected in the stage name. As described earlier, essential features of that knowledge and experience need to be taken into account in earlier stages if the best overall outcome should be achieved. The way the professionals and specialists who own that knowledge and experience are brought into the project team at these earlier stages is one issue that needs to be decided during the strategy stage.
The results of each stage influence later stages, and it may be necessary to involve the professionals and specialists who undertook earlier stages to explain or review their decisions. Again, the way the professionals and specialists are employed should be decided in principle during the strategy stage.
Each stage relates to specific key decisions (see Table 0.2) Consequently, many project teams hold a key decision meeting at the end of each stage to confirm that the necessary actions and decisions have been taken and the project can therefore begin the next stage. There is a virtue in producing a consolidated document at the end of each stage that is approved by the client before proceeding to the next stage. This acts as a reference mark as well as acting as a vehicle for widespread ownership of the steps that have been taken.
Table 0.2 Specific key decisions
Project stages
Key high-level processes
Key high-level objective
Key high-level deliverables
Key high-level resources (key driver)
Stage 1: Inception
Project need
‘What is the need?’
Project initiation document (PID)
Client team
Project manager selection (optional)
Project manager
Project mandate
Environmental mandate
Stage 2: Feasibility
Project brief
‘Is the need feasible?’
Project brief
Client team
Project manager selection
Signing off business case
Project manager
Feasibility studies
Specialist consultants
Business case
Funding options
Delivery parameters
Stage 3: Strategy
Project governance
‘How will the need be realised?’
Project execution plan
Client team
Parameters
Project manager
Project strategy
Specialist consultants
Project organisation and control
Accountability and responsibility
Procurement strategy
Selection and appointment of project team
Tender procedure
Project execution plan
Stage 4: Pre-construction
Design delivery processTechnical design and production informationValue managementProcurement of supply chainContractual arrangements
‘What do we need to build? How would it look like and function? How would we deliver it and manage it?’
Design outputsContractual arrangements
Client teamProject managerDesign teamCDM coordinator
Stage 5: Construction
Performance monitoring and controlHealth, safety and welfare systemsQuality management and control
‘Are we constructing what has been designed?’
Performance management plan
Client teamProject managerDesign teamCDM coordinatorConstructor team
Stage 6: Testing and commissioning
Commissioning servicesCommissioning documentation
‘Is the building working as designed?’
Commissioningdocumentation
Client teamProject managerDesign teamCDM coordinatorConstructor teamCommissioning team
Stage 7: Completion, hand over and operation
Planning and scheduling handoverHandover proceduresOperational commissioningClient occupation
‘How do we use the building?’
Handover documentationHealth and safety file
Client teamProject managerDesign teamCDM coordinatorConstruction teamCommissioning teamOccupation and maintenance team
Stage 8: Postcompletion review and in use
Post-occupancy evaluationProject auditProject feedbackClose-out reportBenefits realisation
‘Has the project satisfied the need?’
Project close-out reportPost-occupancyEvaluationOccupation strategy
Client teamProject managerOccupation and maintenanceteam
Having considered the social, economic and environmental issues, projects begin with the inception stage which starts with the business decisions by the client that suggest a new construction or development project may be required. Essentially, the inception stage consists of commissioning a project manager to undertake the next stage which is to test the feasibility of the project. The feasibility stage is a crucial stage in which all kinds of professionals and specialists may be required to bring many kinds of knowledge and experience into a broad ranging evaluation of feasibility. It establishes the broad objectives and an approach to sustainability for the project, and so exerts an influence throughout subsequent stages.
The next stage is the strategy stage which begins when the project manager is commissioned to lead the project team to undertake the project. This stage requires the project’s objectives, an overall strategy and procedures in place to manage the sustainability and environmental issues, and the selection of key team members to be considered in a highly interactive manner. It draws on many different bodies of knowledge and experience and is crucial in determining the success of the project. In addition to selecting an overall strategy and key team members to achieve the project’s objectives, it determines the overall procurement approach and sets up the control systems that guide the project through to the final post-completion review and project close-out report stage. In particular, the strategy stage establishes the objectives for the control systems. These deal with much more than quality, time and cost. They provide agreed means of controlling value from the client’s point of view, monitoring time and financial models that influence the project’s success, managing risk, making decisions, holding meetings, maintaining the project’s information systems and all the other control systems necessary for the project to be undertaken efficiently.
At the completion of the strategy stage, everything is in place for the pre-construction stage. This is when the design is developed and the principal decisions are made concerning time, quality and cost management. This stage also includes statutory approvals and consents, considering utility provisions such as water and electricity, monitoring of the environmental performance targets, and bringing manufacturers, contractors and their supply chains into the project team. Like the earlier stages, the pre-construction stage often requires many different professionals and specialists working in creative and highly interactive ways. It is therefore important that this stage is carefully managed using the control systems established during the strategy stage to provide everyone involved with relevant, timely and accurate feedback about their decisions. Completion of this stage provides all the information needed for construction to begin.
The construction stage is when the actual building or other facility that the client needs is produced. In modern practice, this is a rapid and efficient assembly process delivering high-quality facilities. It makes considerable demands on the control systems, especially those concerned with time and quality. The complex nature of modern buildings and other facilities and their unique interaction with a specific site means that problems will arise and have to be resolved rapidly. Information systems are tested to the full, design changes have to be managed, construction and fitting out teams have to be brought into the team and empowered to work efficiently. Costs and time have to be controlled within the parameters of project objectives and the product delivered to the quality and specification as set previously.
The construction stage leads seamlessly into a key stage in modern construction and development projects: the commissioning stage. The complexity and sophistication of modern engineering services makes it essential that time is set aside to test and fine-tune each system. Any environmental performance targets such as Building Research Establishment Environmental Assessment Method (BREEAM) certification can be used as a measure of the project’s performance. Therefore, these activities form a distinct and separate stage which should predominantly be complete before beginning the completion, handover and operation stage which is when the client takes over the practically completed building or other facility. In some instances, there may also be some post-occupation commissioning and testing.
The client’s occupational commissioning needs to be managed as carefully as all the other stages because it can have a decisive influence on the project’s overall success and environmental performance. New users always have much to learn about what a new building or other facility provides. They need training and help in making best use of their new building or other facility. It is good practice for their interests and concerns to be considered during the earlier stages and preparation for their move into the new facility at the right time so that there are no surprises when the client’s organisation takes occupation.
The final stage is the post-completion review and in-use stage. This provides the opportunity for the project team to consider how well the project’s objectives have been met and what lessons should be taken from the project. A formal report describing these matters provides a potentially important contribution to knowledge. For clients who have regular programmes of projects and for project teams that stay together over several projects, such reports provide directly relevant feedback. Even where this is not the case, everyone involved in a project team, including the client, is likely to learn from looking back at their joint performance in a careful objective review. Projects where a BIM protocol had been established, then information exchange between the delivery team and the operations team will form a key highlight of this stage. In some projects, the client may wish to extend the services of the project manager (and may be the BIM manager) to facilitate the transition from delivery to operation, including assessment of project benefits and updating the controls and procedures as necessary.
Notes
1
Construction project management skills.pdf, at
http://www.cic.org.uk
(accessed April 2014).
1Inception
Stage checklist
Key processes:
Project needProject manager selectionProject mandateEnvironmental mandateBIM mandate
Key objective:
‘What is the need?’
Key deliverables:
Project mandate (project initiation document)
Key resources:
Client teamProject manager
Stage process and outcomes
Inception is the initial stage of the development process; it is a transition between the client’s strategic business decision making and the implementation of a project. The stage confirms a need, either business or social, that requires some form of capital development and concludes with the client making a decision to proceed with a detailed appraisal of the viability of the development.
Principally this is a client-led process, but depending on the nature of the client and the complexity of determining the client’s requirements it may involve the services of management consultants or a professional adviser and these may be in-house or external to the client’s organisation.
Outcomes:
Statement of the key business objectives, project mandate and constraints
Statement of an environmental mandate
Outline of BIM strategy
Definition of the project management structure
Approval to proceed to the feasibility stage
Appointment of the project manager
The client
Client obligations and responsibilities
The client organisation will need to ascertain what the needs and objectives are that the project is aiming to satisfy and how the project fits in with their strategic objectives.
The client organisation will also need to establish that it has the resources to develop and deliver the project, including articulating ‘vision’ and the ‘need’ into tangible strategies and objectives as well as understanding and delivering its responsibilities and obligations as a client. Having determined the degree of their involvement in the development of the project the client will need to review the extent of external support required.
Client project objectives
The main objective at this stage for the client is to make the decision to invest in a construction or development project. The client should have prepared a project mandate (capital expenditure programme) which will evolve into a business case for the project involving careful analysis of its business, organisation, present facilities and future needs. Experienced clients may have the necessary expertise to prepare their project mandate themselves. Less experienced clients may need help. Many project managers are able to contribute to this process. This process will result in a project-specific statement of need. The client’s objective will be to obtain a totally functional facility, which satisfies this need and must not be confused with the project objectives, which will be developed later from the statement of need.
A sound project mandate will:
be driven by needs
be based on sound information and reasonable estimation
contain rational processes
be aware of the risks associated
contain flexibility
maximise the scope of obtaining best value from resources
utilise previous experience
incorporate sustainability cost-effectively
Client engagement: Internal team
Investment decision maker: This is typically a corporate team of senior managers and/or directors who review the potential project and monitors the progress. However, the team seldom is involved directly in the project process.
Project sponsor: Typically a senior person in the client’s organisation, acting as the focal point for key decisions about progress and variations. The project sponsor has to possess the skills to lead and manage the client role, have the authority to take day-to-day decisions and have access to people who are making key decisions.
Client’s advisor: The project sponsor can appoint an independent client advisor (also referred to as construction advisor or project advisor or independent client advisor) who will provide professional advice in determining the necessity of construction and means or procurement, if necessary. If advice is taken from a consultant or a contractor, those organisations have a vested interest not only in confirming the client’s need, but also in selling their services and products.
The client advisor can assist with:
project mandate and business case development (see ‘Feasibility’ stage)
investment appraisal
designing and planning for sustainability
understanding the need for a project
deciding the type of project that meets the need
generating and appraising options (when appropriate)
selecting an appropriate option (when available)
risk assessment (when appropriate)
advising the client on the choice of procurement route
selecting and appointing the project team
measuring and monitoring performance (when appropriate)
The client advisor should understand the objectives and requirements of the client but should remain independent and objective in providing advice directly to the client. Other areas where the client may have sought independent advice include chartered accounting, tax and legal aspects, market research, town planning, chartered surveying and investment banking.
Project manager
Project managers can come from a variety of backgrounds, but all will need to have the necessary skills and competencies to manage all aspects of a project from inception to occupation. This role may be fulfilled by a member of the client’s organisation or be an external appointment.
Project manager’s objectives
The project manager, both acting on behalf of, and representing the client, has the duty of ‘providing a cost-effective and independent service, selecting, correlating, integrating and managing different disciplines and expertise, to satisfy the objectives and provisions of the project brief from inception to completion. The service provided must be to the client’s satisfaction, safeguard his interests at all times, and, where possible, give consideration to the needs of the eventual user of the facility’.
The key role of the project manager is to motivate, manage, coordinate and maintain the morale of the whole project team. This leadership function is essentially about managing people and its importance cannot be overstated. A familiarity with all the other tools and techniques of project management will not compensate for shortcomings in this vital area. Further guidance on the leadership aspect of the project manager’s role has been provided in Briefing Note 1.01 at the end of this section.
In dealing with the project team, the project manager has an obligation to recognise and respect the professional codes of the other disciplines and, in particular, the responsibilities of all disciplines to society, the environment and each other. There are differences in the levels of responsibility, authority and job title of the individual responsible for the project, and the terms project manager, project coordinator and project administrator are all widely used.
It is essential, in order to ensure an effective and cost-effective service, that the project should be under the direction and control of a competent practitioner with a proven project management track record developed from a construction industry-related professional discipline. This person is designated the project manager and is to be appointed by the client with full responsibility for the project. Having delegated powers at inception, the project manager may exercise, in the closest association with the project team, an executive role throughout the project with appropriate input from the client.
Project manager’s duties
The duties of a project manager will vary depending on the client’s expertise and requirements, the nature of the project, the timing of the appointment and similar factors. If the client is inexperienced in construction, the project manager may be required to develop his own brief. Whatever the project manager’s specific duties in relation to the various stages of a project, there is the continuous duty of exercising control of project time, cost and performance. Such control is achieved through forward thinking and the provision of good information as the basis for decisions for both the project manager and the client. A matrix correlating suggested project management duties and client’s requirements is given in Table 1.1.
Table 1.1 Duties of project manager
Duties
a
Client’s requirements
In-house project management
Independent project management
Project management
Project coordination
Project management
Project coordination
Be named in the contract
+
Assist in preparing the project brief
Develop project manager’s brief
Advise on budget/funding/programme/risk management arrangements
+
Advise on site acquisition, grants and planning
Arrange feasibility study and report
+
+
Develop project strategy
+
+
Prepare project handbook
+
+
Develop consultant’s briefs
+
+
Devise project programme
+
+
+
Select project team members
+
+
Establish management structure
+
+
Coordinate design processes
+
+
Appoint consultants
+
Arrange insurance and warranties
+
Select procurement system
+
Arrange tender documentation
+
Organise contractor prequalification
+
Evaluate tenders
+
Participate in contractor selection
+
Participate in contractor appointment
+
Organise control systems including reporting procedures
Monitor progress
Manage and monitor meetings
Authorise payments
+
Organise communication/reporting systems
Provide project coordination
Issue health and safety procedures
Address environmental aspects
Coordinate statutory authorities
Monitor budget and changes
Develop final account
Arrange pre-commissioning/commissioning
Organise handover/occupation
Advise on marketing/disposal
+
+
Organise maintenance manuals
+
Plan for maintenance period
Develop maintenance programme/staff training
+
Plan facilities management and coordinate BIM
+
Arrange for feedback monitoring and post-completion review
+
Investigate BIM implementation
Liaise with funding institutions
+
Liaise with ground landlord
+
+
Liaise on acquisition, valuation, disposal of land
+
+
Liaise with agents over leasing tenants queries, etc.
+
+
Liaise with client over move to new premises
+
+
Liaise coordination with legal agents
+
+
Advise and manage client’s changes
Symbols: , suggested duties; +, possible additional duties.
aDuties vary by project, and relevant responsibility and authority.
An example of typical terms of engagement for a project manager is outlined in Briefing Note 1.02. It will be subject to modifications to reflect the client’s objectives, the nature of the project and contractual requirements.
The term ‘project coordinator’ is applied where the responsibility and authority embrace only part of the project, for example, pre-construction, construction and handover/migration stages. (For professional indemnity insurance purposes a distinction is made between project management and project coordination. When the project manager appoints other consultants the service is defined as project management and when the client appoints other consultants the service is defined as project coordination.)
Project manager’s appointment
It is advisable to appoint the project manager at the inception stage so that the project manager can advise and become involved in the option appraisal process. This should ensure professional, competent management coordination, monitoring and controlling of the project to its satisfactory completion, in accordance with the client’s brief. However, depending on the nature and type of the project and the client’s in-house expertise, the project manager could be appointed as late as the start of the strategy stage, but this could deprive them of important background information and is therefore not generally recommended.
Project mandate
The project mandate could be defined as the authority given to the project team to develop and progress the project within given and agreed boundaries, set by the client.
These will include requirements on programme for delivery of the project, the budget and also the requirements for the finished building in terms of function, quality and any particular requirements on performance, such as environmental performances.
Understanding the client need as clearly as possible at the start of the project is fundamental to project success.
The project mandate (also referred to as initial project inquiry (IPI) or project initiation document (PID)) is usually the first document produced to trigger a project. It is not seen as a project documentation but as a pre-project document. However, often the trigger to a project is poor and it is advisable to put together a document, which encapsulated the ideas and any basic information that can be identified at this point. Some key questions that may be considered while preparing the project mandate include:
Is the level of authority commensurate with the anticipated size, risk and cost of the project?
Is there sufficient detail to allow the appointment of key team members including the project manager?
Are all the known (internal) stakeholders identified?
Does the project mandate identify what is necessary for the project to be a success (key success criteria)?
An indicative template for project mandate is outlined in Briefing Note 1.03.
Environmental mandate
Environmental performance and impact may be particularly important to the client. Corporate Social Responsibility plays an important role in the delivery of built environment projects.
Environmental mandate includes requirements for the environmental performance of the building. It may also include requirements on carbon emissions and energy consumption.
In addition, it may also prescribe requirements for environmental impact on the local topography or adjacent area. Lastly it may determine outcomes in terms of the local community, such as providing employment and training opportunities or the use of local supply chain.
An environmental mandate for the project will provide the management framework for the planning and implementation of construction activities in accordance with the environmental commitments of the organisation, the project context, funders, project end users or any other stakeholders.
The environmental mandate will influence key design parameters relating to sustainability, performance and operational technologies.
The environmental mandate should also outline the overall environmental management criteria for the project including what are the key success factors for the projects in terms of environmental management.
BIM mandate
BIM (building information modelling) enables the sharing of information and data between all stakeholders and participants around the whole asset lifecycle. It provides a platform for consistent, structured, perfect data, to enable informed smart decision making at all stages of the project process.
If BIM is to be used on a project, then this should be implemented right from the start. As industry adopts BIM as the normal way of working, this will become standard practice. However for the moment, migrating the project to BIM might occur at any stage. Naturally this has consequences in terms of cost, time, resources required and scale of difficulty.
When BIM is being used, then it is important to establish the drivers for this. If it is client driven, what does the client require of the project BIM?
Is it simply for efficiency of process or will outputs be required at various stages in accordance with COBie (Construction Operations Building Information Exchange) advise, and at handover the model and data sets used for FM/operations and integration with their building management systems?
A Project BIM Execution Protocol (see BIM Protocol – Standard Protocol for use in projects using Building Information Models – CIC/BIM Pro – first edition 2013) must be established to ensure BIM is used to maximum advantage and that the whole team is working together in a consistent manner.
Briefing Note 1.01 Leadership in project management
What is leadership?
Leadership, as a management attribute, has been subjected to a significant amount of attention. Defining simplistically, ‘it is the process in which an individual influences other group members towards the attainment of group or organisational goals’ (Shackleton1). Inevitably, there are a wide range of theories and schools of thoughts encompassing this subject (a number of reference documents are listed in the bibliography). The latest discussions tend to focus on transactional and transformational natures of leadership.
Leadership and project manager
The very definition of construction project management implies that within a defined timescale, the project is expected to achieve an agreed set of targets utilising specific resources. This requires not only a very efficient project manager but also an effective project leader who can lead the project team spontaneously, mainly focusing towards the project and motivating the project team members to achieve the targets within the agreed project framework. The key aspects or traits that a successful project manager would require to excel in are motivation, performance appraisal, resource allocation and management, and planning and communication.
What are the traits of effective leaders?
There are a range of theories outlining leadership styles and traits. Broadly, successful leadership traits are characterised in six styles as detailed in the following table.
Leadership styles
Style
Result
Coercive
Leader demands immediate compliance
Authoritative
Leader mobilises people towards a vision
Affiliative
Leader creates emotional bonds and harmony
Democratic
Leaders use participation to create consensus
Pace-setting
Leader expects excellence and self direction from the group
Coaching
Leader develops people for the future
The general suggestion2 is that the leaders need to understand how the styles relate to their individual competencies and situational requirements so as to identify the most suitable approach.
There are some differences of views on effectiveness of training of leadership skills (are leaders born or made?). However, it is advisable to stress the need for flexibility of the leader – to learn to lead differently depending on the situational and contextual needs; hence, the leaders should learn many styles and learn to diagnose the needs of the context and situation.
Are there any quick wins?
Although different styles and tactics would suit different contexts and situations, the adaptation of the following should enhance effective project management:
acknowledging positive contribution
ensuring open communication
‘touching base’ with the team members on a regular basis
sharing praise
1 Shackleton, V. (1995) Business Leadership. Routledge, London.
2 Goleman, D. (2000) Leadership that gets results. Harvard Business Review, March–April.
Briefing Note 1.02 Typical terms of engagement: Project manager
Job title: Project manager.
Date effective:
General objective
Acting as the client’s representative within the contractual terms applicable, to lead, direct, coordinate and supervise the project in association with the project team.
The project manager will ensure that the client’s brief, all designs, specifications and relevant information are made available to, and are executed as specified with due regard to cost by, the design team, consultants and contractors (i.e. the project team) so that the client’s objectives are fully met.
Relationships
Responsible and reporting to
The client.
Subordinates
Practice support staff and secretarial/clerical staff.
Functional
Fully integrated working with any project support staff who are not line subordinates:
liaison, as required/expedient with relevant client’s staff, for example, legal, insurance, taxation
full interdependent cooperation with
design team and consultants
contractors
client and other key stakeholders
External
Liaison with local or other relevant authority on matters concerning the project. Contact with suppliers of construction materials/equipment, in order to be aware of the most efficient and cost-effective application, and working methods.
Contact with
Client’s information and communication technology (ICT) team or other higher technology sources, able to provide expertise on the application of advanced technology in the design and/or construction processes of the project (e.g. communications, environment, security and fire prevention/protection systems).
And preferably, membership of appropriate professional bodies/societies.
Authority
The definition of the authority of the project manager is a key requirement in enabling him to manage the successful achievement of the client’s objectives. The extent must be clearly defined. A distinction should be drawn between the responsibility that the project manager may have which concerns his accountability for different aspects of the project and the authority which will determine the ability of the project manager to control, command and determine the commitment of resources to the project. The full extent of the responsibility and authority vested in the project manager will depend on the terms and duties included in the project management agreement.
The extent of the project manager’s responsibility and authority may be balanced, but the two may be unequal. Frequently, the project manager may have extensive responsibility in an area that does not carry commensurate authority, or vice versa.
The authority of the project manager should be defined regarding his obligations to issue instructions, approve limits of expenditure and when to notify the client and seek the instructions of the client in matters relating to
the schedule and time taken to complete the project
expenditure and costs, including development budget, project cost plan, and financial rewards and viability
designs, specifications and quality
function
contractors’ contracts
consultants’ appointments
assignment of contracts or appointments
administrative procedures, including issuing or signing of correspondence, certification and other project documentation
The client and the project manager should give careful consideration to the authority that will be necessary to ensure the successful achievement of the client’s objectives and, if necessary, establish appropriate lines of authority and communication within the client organisation to facilitate the implementation of agreed procedures.
Detailed responsibilities and duties
Analysis of the client’s objectives and requirements, assessment of their feasibility and assistance in the completion of project brief and establishment of the capital budget.
Formulation, for the client’s approval, of the strategic plan for achieving the stated objectives within the budget, including, where applicable, the quality assurance scheme.
Generally keeping the client informed, throughout the project, on progress and problems, design/budgeting/construction variations and such other matters considered to be relevant.
Participation in making recommendations to the client, if required, in the following areas:
The selection of the consultants as well as in the negotiation of their terms and conditions of engagement.
The appointment of contractors/subcontractors, including the giving of advice on the most suitable forms of tender and contract.
Preparation for the client’s approval of the following items:
The overall project schedule embracing site acquisition, relevant investigations, planning, pre-design, design, construction and handover/occupation stages.
Proposals for architectural and engineering services. The project manager will monitor progress and initiate appropriate action on all submissions concerned with planning approvals and statutory requirements (timely submission, alternative proposals and necessary waivers).
The project budget and relevant cash flows, giving due consideration to matters likely to affect the viability of the project development.
Finalisation of the client’s brief and its confirmation to the consultants. Providing the client with all existing and, if necessary, any supplementary data on surveys, site investigations, adjoining owners, adverse rights or restrictions and site accessibility/traffic constraints.
