Architectural Project Letters & Documents: Invites, Certificates, Reports, Appunti di Architettura

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Seventh Edition

RIBA Publications

Architect’s Job Book

Seventh Edition 2000

© RlBA Publications 2000

Published by RlBA Publications Construction House, 56- 64 Leonard Street, London, EC2A 4LT

ISBN 1 85946 080 1

Product Code: 21008

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, mech - anical, photocopying, recording or otherwise, without the prior permission of the copyright owner.

Editor: Sarah Lupton Publisher: Mark Lane Commissioning Editor: Matthew Thompson Project Manager: Ramona Lamport Design and typesetting by Hobbs the Printers, Hampshire Printed and bound by Hobbs the Printers, Hampshire

Whilst every effort has been made to check the accuracy of the information given in this book, readers should always make their own checks. Neither the Editor nor the Publisher accepts any responsibility for mis - statements made in it or misunderstandings arising from it.

Core Material D/CM D/CM2 Project Brief: Final checklist D/CM3 Detailed Proposals presentation

E Final Proposals 123 Description Key obligations from SFA/ Actions

Core Material E/CM E/CM E/CM

F Production Information 147 Description Key obligations from SFA/ Actions

Core Material F/CM1 Product Information: Drawings F/CM F/CM F/CM4 Building control approval checklist F/CM

G Tender Documentation 169 Description Key obligations from SFA/ Actions

Core Material G/CM1 Tender Documentation checklist

H Tender Action 181 Description Key obligations from SFA/ Actions

Core Material H/CM1 Selective tendering principals H/CM2 Selective tendering lists H/CM H/CM

Consultant team roles: Work Stage D

Design information: Implications of procurement method Procedures for the issue of drawings Consultant team roles: Work Stage E

Product Information: Specification and Schedules of Work Production Information: Bills of Quantities

Consultant team roles: Work Stage F

Selective tendering: Specialist sub- contractors and suppliers Selective tendering: Main contract - Traditional procurement

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~ ~ ~~

H/CM

H/CM

Selective tendering: Main contract - Design and build procurement Selective tendering: Main contract - Management procurement

J Mobi I i sation 209 Description Key obligations from SFA/ Actions

Core Material J/CM1 Dealing with contract documents J/CM J/CM3 Pre-contract meeting J/CM4 Insurances check

K-L Construction to Practical Completion and After Practical Completion 237 Description Key obligations from SFA/ Actions

Core Material K - L/CM1 Keeping the client informed K-L/CM K-L/CM3 Site inspections K- L/CM4 Issuing instructions K- L/CM5 Dealing with claims K- L/CM6 Issuing certificates K- L/CM7 Preparing for handover

Site inspectorate appointment and briefing

Site meetings

M Feedback 271 Description Actions

Core Material M/CM1 Keeping office records M/CM2 In - house appraisal M/CM3 Debriefing M/CM4 Post- project evaluation

Index 281

ARCHITECT’S JOB BOOK 5

Standard forms An entirely new suite of RIBA appointment documents was published in 1999, which takes account of the new legislation mentioned above, of changes in practice, and changes to the RlBA and ARB Codes of Conduct. In addition there have been major changes to all the JCT standard forms of contract to both take account of the new legislation and to implement many of the recommen - dations of the Latham report. Several new forms of contract have been published, and new forms are being generated to accommodate developments in procurement methods.

The new Plan of Work has adopted the terminology of the CIB Working Group reports, and the Job Book in turn reflects the terminology and structure of these documents. The Plan of Work now includes a separate section on Design and Build, and the Job Book refers to traditional pro - curement, design and build and management procurement. Although the Job Book refers through- out to the Standard Forms of Appointment published by the RIBA and the forms of contract prepared by JCT Ltd, it is intended to be of wider application, and much of the advice would be helpful whatever forms have been adopted.

In parallel with current thinking on exploring new processes with the aim of improving efficiency, other concerns are increasingly apparent - in particular, a growing awareness in the industry con - cerning environmental and social sustainability. Sandy Halliday’s Green Guide to the Architect’s Job Book was prepared in relation to the sixth edition of the Job Book, and would be equally appli- cable to this publication. Although some of her key points have been absorbed into this text, the Green Guide should always be consulted for a more detailed understanding of how sustainability issues can be incorporated in the Work Stages.

Terminology

Sustainability

Using the Job Book The checklists set out in the Job Book for each Work Stage are intended to be generic. Although they are founded in SFA/99, even when using this form of appointment the tasks that may be appropriate or necessary at each stage will vary considerably depending on the context and the nature of the project undertaken. It may well be that many actions listed are not necessary in a given situation, or that additional work may be essential. Furthermore, many architects may amend SFA/99, use a different form, or use entirely different terms of appointment. The actions lists should therefore always be reviewed at the beginning of each specific project and Work Stage.

Quality Management The Job Book is not, of course, intended to constitute a quality management system in itself, and

reference should be made to other authoritative publications, for example Tim Jefferies’ Model for a Quality Management System. Nevertheless some parts of the Job Book, for example the check - lists, standard forms and charts, may be relevant to an office quality system. It should always be remembered, however, that the Job Book checklists are not comprehensive, and though they may form a useful starting point they must be adapted to the specific needs of a particular practice.

The Editor would like to thank Stanley Cox, Tim Jefferies, Roland Phillips, Keith Snook and Manos Stellakis for their helpful comments on drafts of this text.

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Specimen letter in reply to a contractor’s unsubstantiated claim

PRE-AGREEMENT

Professional services

Actions

Initial discussions

Bidding for the project

Negotiating terms

Finishing the appointment

Core Material

PRE/CM1 Practice statement

PRE/CM 2

PRE/CM 3

PRE/CM

PRE/CM 5

Selection processes

Outline of possible roles for the architect

Current legislation relevant to appointments and fee recovery

RlBA Forms of Appointment

ARCHITECT’S JOB BOOK Prev^13 is blank

ious page

Actions Reference To do

Prepare and activate strategy to target potential clients. This may PRE/CM include a practice statement.

Initial discussions

Respond at once to approaches from potential clients. PRE/CM If it is of interest, ask for further particulars, including details of the selection process to be adopted. Establish as much as possible by telephone or in writing.

Avoid spending unnecessary time on ‘long shots’ or unsuitable com - missions. The client should be able to explain enough of what they have in mind, particularly with regard to how they feel an architect may be able to help them, to establish whether a meeting would be worthwhile. In particular; avoid being drawn into giving free advice.

Arrange a preliminary meeting, if appropriate, to discuss requirements.

The initial meetings between client and architect will set the tone for the future working relationship. Clarify your respective roles and responsibilities.

Consider your reaction to the client and the project.

Are you in general sympathy with the client’s needs and aspirations

• if not, will this have an adverse effect on your work? Are the pros - pects good for building up a good understanding with the client? This is the stage at which key issues of a philosophical or political nature can be raised, such as the client’s level of concern regarding environmental issues, or their interest and involvement in new pro - curement approaches such as partnering.

Be properly equipped with information about your practice and its work.

Remember that a professional appointment is a process of mutual selection: have ready a practice brochure with details of the practi - ce’s track record, personnel and a truthful statement about its expertise, experience and resources.

Take care when offering professional advice gratuitously to friends and acquaintances. The duty of care that you owe is not related to the size of fee. Even if there is no fee, you might still have a duty in tort.

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Do not be casual in your dealings and inadvertently let yourself in for more than you intended. Under certain circumstances informal deal - ings can be construed as giving rise to contractual relationships. A contractual duty, if breached, could result in loss and an ensuing claim.

Warn the client at once if design requirements, timing and budget seem unrealistic. Remember that a failure to warn could leave you open to allegations of negligence. Explain fully what you advise should be done. Avoid jargon, and take care not to seem patronising or arrogant.

Identify the client, and the status and authority of any client represen - tative.

Note whether an individual is acting in a private capacity or repre - senting a charitable organisation, consortium or a company, etc. If a representative, then is he or she acting under what authority and with what power?

In the case of a commercial or industrial client, make certain pre - cisely where the ultimate authority resides. For example, the client’s company might exist within a parent body. If the company fails and is unable to pay your fees, the benefits of your work could still be avail - able to the parent body, which might have no legal obligation for the unpaid fees.

Where the client is a couple (married or unmarried), or a group of individuals who have formed some kind of association, be sure that you know who has authority to make decisions, give instructions and sign cheques.

Check whether the project is for direct occupation by the client or more in the nature of a speculative venture. Enquire about the poss - ible involvement of a user client who may expect to be consulted.

Bear in mind that working with a group of people on a community type project, or one which involves a user client, may entail a great deal of extra work, some of it outside normal working hours.

Check the experience of the client. Some clients know exactly what is needed and what they can realisti - cally expect from consultants, while some may never have built before - this may be a once in a lifetime experience.

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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 pro - gramme? If it looks as if you will be overstretched, can you buy in skills or sublet work? Fig. PRE-AG 2 is a project resource planning sheet. Whether prepared manually or as a spreadsheet this could provide essential information for a fee bid, and be a tool for monitor - ing small jobs.

Decide whether it is realistic to undertake the commission with confi - dence that the timetable, quality of services and the budget can be met. What are the risks, and can they be traded off against likely benefits to the practice if the commission is won?

Identify the likely role and nature of professional services needed. PRE/CM3, Will you be acting as lead consultant, as design leader, as a consult - CM4, CM5, ant team member, as consultant to the Employer Client in design and CM6, CM build, as provider of information to the Contractor Client in design and build, or even as coordinator or manager for separate trades contracts? Make an appraisal and consider carefully the implications.

Examine carefully any terms or conditions proposed by the client.

Be wary of conditions which might imply a level of services beyond what can be reasonably provided for the fee.

Check there is no conflict with professional Codes.

Consider whether the terms and conditions follow normal practice or whether there is specially drafted wording which shows considerable client bias.

Check what the client has asked for concerning indemnities, third party warranties, liability period, levels of professional indemnity cover, etc and consider whether these are reasonable or acceptable. If being considered for the commission depends on evidence of PII cover well in excess of that presently arranged, discuss with insurers the possibility of providing such cover as an interim measure, with the certainty of extending it if and when the commission is secured.

Take expert advice from a construction lawyer and insurers if the client seeks to impose onerous conditions.

ARCHITECT’S JOB BOOK 19

Design and build When acting for Contractor Clients in design and build, establish who carries the liability for design and to what extent. The contractor might not be insured against failures of design, and the liability might extend beyond the normal professional duty to exercise reasonable skill and care.

Design and build When acting for Employer Clients in design and build, be wary if asked to check the Contractor’s Proposals against the Employer’s Requirements, and avoid ‘approving’ drawings submitted by contrac - tor or sub-contractors.

Take expert advice on whether terms proposed by the client comply with current legislation, unless it is clear that they follow those cur - rently recommended by the RIBA. It is particularly important to check that terms regarding payment, notices and dispute resolution comply with the Housing Grants, Reconstruction and Development Act, and that a provision to deal with the Contracts (Rights of Third Parties) Act has been incorporated.

Remember that the law requires a professional to exercise reason - able skill and care. Resist any attempt to get you to guarantee what might not be attainable, e.g. that a building will be ‘fit for the purpose intended’.

Do not enter into collateral agreements with third parties or give indemnities which impose greater liabilities than those which arise out of the agreement already entered into with your client.

If no terms are stipulated, draw up terms of appointment that could be proposed.

Consider the minimum and maximum level of services which might be appropriate for the project, but in order to remain competitive keep strictly within the stated requirements when compiling the proposal.

Use a Standard Form of Appointment prepared by the RIBA, exactly as recommended in the guidance notes. If for some reason this is not possible, take expert advice on the terms to be proposed.

When setting out in writing the professional services you agree to carry out, make absolutely clear what is not included. Leave no room for misunderstandings, particularly when dealing with new or inexper - ienced clients.

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With a consumer client, always arrange to meet and talk through the terms proposed in detail, and make sure your client fully understands them, otherwise under the Unfair Terms in Consumer Contracts Regulations 1994 certain terms may not be considered ‘individually negotiated’ and therefore become void.

Negotiating terms

Respond to the client with the fee proposal, be prepared to negotiate if appropriate.

Price the client‘s stated requirements at the outset, no more and no less. You will need to be competitive but if you quote a fee that is unrealistically low it might mean that you have to cut corners and the quality of service you are able to provide will suffer accordingly. There are obvious risks in putting yourself under this kind of pressure.

Take the time and trouble to explain fully to a client what you are pro- posing and why. For example, statutory obligations and necessary consents, production information, procedures for appointing contrac -

tor and sub - contractors may well seem daunting to the uninitiated. It

is also sometimes wise to spell out the obvious - for example, that there is no such thing as a maintenance - free building and that reg- ular and adequate maintenance is assumed when designing.

Be realistic when negotiating. A successful negotiator knows how far to go and when to stop. The aim should never be to secure a com - mission at any price.

Finalising the appointment

Decide whether to accept the commission if offered and confirm it in writing.

Submit appointment documents for signature before commencing work. Ensure that future review of the appointment is covered in case it is required. Where a standard form is used, follow the guidance notes exactly.

Should it prove premature to enter into a formal Memorandum at this point, when for example the extent of professional involvement can - not yet be determined, then enter into a preliminary agreement as an interim measure, clearly identified as such (see Fig. PRE - AG 3).

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Keep adequate and appropriate records of all dealings connected with the project. Never sacrifice proper paperwork for the sake of assumed goodwill. File everything systematically so that items can be easily found and retrieved. Never rely completely on material held on computer: it is essential to have fail- safe back - up arrangements to protect both work in progress and records which may be needed for future reference.

Never assume that the commission is won until you have received written confirmation of acceptance.

ARCHITECT’S JOB BOOK 23