PP-12-RIBA 4 Checklist
PP-12-RIBA 4 Checklist
PP-12-RIBA 4 Checklist
The purpose of this document is to provide the UoL Project Manager with a guide to develop the design of a project through key pre-construction stages, in-line with the Royal Institute of British
Architects (RIBA) Stages; ultimately forming the basis of Design Information for tender or Technical Design (RIBA Stage 4) purposes. As a minimum, the tender documentation will include the
information identified within this document.
These “checklists” provide an indication of the design deliverables required by UoL to accurately deliver the outputs during the “Developing" Design stages, namely;
Considerations/Constraints;
Key Aims
The design should show 'coordinated design intentions, site layout, planning and spatial arrangements, elevational treatments, construction and environmental systems and buildability' and should be
'developed sufficiently to allow an application for full planning permission/ listed building consent/ conservation area consent, etc. as applicable'.
The design should be sufficiently developed for the Project Brief to be frozen, planning permission gained, and the Cost Plan prepared and agreed by "Client / End-User".
Planning (Conditions)
5 Construction (Delivery) Building Control Sign-Of
General
Have we (UoL) confirmed Concept Design (RIBA Stage 3) approved; permitting commencement of RIBA Stage 4 Technical Design (if applicable). YES NO Fail
Has the “Client / End-User" been advised and approved all consultant appointments & costs for Stage 4 and beyond. YES NO Fail
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Design Programme Tasks. YES NO Fail
Have we (UoL) confirmed Concept Design (RIBA Stage 3) approved; permitting commencement of RIBA Stage 4 Technical Design (if applicable). YES NO Fail
Has all necessary UoL information; drawings, as-built information, surveys, specifications, policy / process documents been issued to the design team prior to commencement
of RIBA Stage 4 Technical Design.
YES NO Fail
Has the outcome of a procurement strategy been shared with the design team; form of contract to be considered / pursued, expectation of full / sectional completion, phasing /
logistic constraints etc
YES NO Fail
Confirm procurement strategy in place; form of build contract to be used YES NO Fail
Has the design team been provided with all statutory information; wayleaves, easements, fire authority requirements etc. YES NO Fail
Review construction strategy, taking into account procurement strategy. Review Pre-Construction H&S Plan; amend if required. YES NO Fail
Establish if any “preliminary” tender action is required for enabling works YES NO Fail
Establish if any action is required at “risk”, e.g. work orders placed in advance of receiving planning approval etc YES NO Fail
Review / ‘test’ and agree the procurement strategy for construction tender, share with the design team. This needs to confirm as a minimum;
form of contract to be considered / pursued, expectation of full / sectional completion, phasing / logistic constraints etc;
Form of Contract to be used YES NO Fail
If Design & Build / CDP Portion, design development information to be produced appropriately YES NO Fail
Engage legal advisor to assist in production of suitable contract (inc amendments) YES NO Fail
Produce and agree any contract amendments for inclusion within tender and contract YES NO Fail
Identify need for Collateral Warranties YES NO Fail
Identify need for enabling works package (separate to main contract) YES NO Fail
Establish at what points official orders (via procurement system i.e. Agresso) need to be made YES NO Fail
Ensure Governance / Senior Level sign-off is arranged in advance to permit these orders to be in place in-line with programme requirements YES NO Fail
Has the design team been provided with all statutory information; wayleaves, easements, fire authority requirements etc. YES NO Fail
Has an Information Release Schedule been provided, considering all UoL and design team information. YES NO Fail
Check that all RIBA Stage 4 Technical Design outputs have been completed prior to progressing any further, including;
Design drawings YES NO Fail
Design specifications YES NO Fail
Updated Cost Plan YES NO Fail
Prototypes / mock-ups, models, sample boards/panels etc YES NO Fail
Approval of materials YES NO Fail
Check information produced satisfies planning requirements, building consent etc YES NO Fail
Identify what additional professional resource will be required during RIBA Stage 5 - Construction, informing client of reasoning and financial (cost) impact
Identify if there will be any imposed (by UoL) restrictions upon the site, contractor, comprising as a minimum;
Access YES NO Fail
Working Hours YES NO Fail
Noise YES NO Fail
Dust suppression YES NO Fail
PPE YES NO Fail
Welfare provision YES NO Fail
Car parking YES NO Fail
Over sailing (Crane usage) YES NO Fail
Service Isolations; electrical, medical gas, hot water, heating etc YES NO Fail
Fire evacuation YES NO Fail
Revise & Re-Issued our (UoL) Project Execution Plan (PEP) that communicates roles, responsibilities, contact details, methods of communication, reporting, drawing comment
procedure, change management, programme expectations etc.
YES NO Fail
Information Required
Check that all information required during RIBA Stage 4 Technical Design is available, which might include the following:
Developed Design as accepted by the Client/End-User in written confirmation, incorporating any agreed amendments YES NO Fail
cost plan prepared by the cost consultant (at commencement of RIBA Stage 4) YES NO Fail
published material and technical information, including samples relevant to the project YES NO Fail
results of surveys/tests/inspections etc conducted during Stage 3 YES NO Fail
any relevant legislation YES NO Fail
further contributions, information and recommendations from consultants and specialists, including possible subcontractors and suppliers YES NO Fail
technical information from manufacturers and recommendations or test results relevant to the particular use intended, context and location YES NO Fail
Any amendments recommended by local building control and fire authorities during consultations, particularly relating to construction details and fire prevention, including
finishes. I.e. in cases where period of time between completing RIBA Stage 3 and commencing RIBA Stage 4 is significant.
YES NO Fail
Any changes to the Final Project RIBA Stage 4 Brief at this stage are likely to have an effect on programme and cost. If changes are necessary they should be subject to the
Change Control Procedure and only undertaken once written agreement has been issued by the client’s representative.
YES NO Fail
Establish the scope, content and context for Stage 4 activities. YES NO Fail
Check that the client’s instruction to proceed has been given and confirmed in writing. YES NO Fail
Check that the client has settled all accounts submitted to date. YES NO Fail
Assess the office resources needed for Stage 4 and ensure that they are available and adequate. YES NO Fail
Carry out checks for compliance with in-house quality management procedures, including updated Project Execution Plan. YES NO Fail
Procurement
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Procurement Tasks. YES NO Fail
Confirm procurement strategy in place; form of build contract to be used YES NO Fail
Initiate tender action for quotations from specialist subcontractors and suppliers if appropriate pre-tender e.g. enabling works packages, de-cant/re-cant operations etc. YES NO Fail
Check tender invitation documents (produced either internally by Maintenance or Procurement) for sending to specialists. Invite further tenders as appropriate. YES NO Fail
Inspect tenders and information submitted by specialist subcontractors and suppliers using adopted processes i.e. quantitive and qualitative assessment.
Refer all tenders to the cost consultant for cost checking. YES NO Fail
Refer specialist tenders to the CDM coordinator and relevant consultants for comment. YES NO Fail
Approve specialist tenders and notify all tenderers of this decision. YES NO Fail
Review approved list of suppliers/contractors against UoL Procurement strategy; ensuring form of appointment, liabilities and level of information upon which to tender aligns to
that agreed procurement strategy.
YES NO Fail
Discuss the list of potential main contractors (or construction managers if appropriate) with the client and the design team. Check whether the client holds a general list of
approved contractors from which tenderers must be selected. Make preliminary enquiries with contractors if appropriate.
YES NO Fail
Discuss with the client and the CDM coordinator the tendering period and procedures to be followed in opening tenders, and notify the results. YES NO Fail
Continue discussion with the client on the inclusion of any special clauses or amendments to the Building Contract. Remind the client of the need to take legal advice before
amending standard forms of contract. Discuss with the client the implications of any advice obtained.
YES NO Fail
Review the position with respect to advance orders for design, materials and fabrication by specialist subcontractors and suppliers, including named subcontractors. If
authorised, take further necessary action.
YES NO Fail
Confirm with the client the details of any preliminary contracts for enabling works and, if authorised, take the necessary action. YES NO Fail
Programme
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Programme Tasks. YES NO Fail
Establish key Stage 4 tasks and incorporate within UoL master programme. YES NO Fail
Coordinate key stage tasks with UoL services; show critical points by which information from the UoL design team will be provided YES NO Fail
Establish an Information Release Schedule (IRS), to be produced by the UoL design team; incorporate those key deliverables within UoL master programme and key date
schedule
YES NO Fail
Confirm the stage timetable for services, and note its relationship to the project timetable as agreed with the client. YES NO Fail
Stage 4 Development
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Tasks. YES NO Fail
Share Client Team (UoL) comments on RIBA Stage 3 Developed Design information. YES NO Fail
An Information Release Schedule (IRS) has been issued, accommodating all information required to be issued by ALL PARTIES throughout stage. YES NO Fail
Establish a Technical Query (TQ) Procedure; to ensure all queries both from and to the Client / Design team are logged, answered and recorded. YES NO Fail
Prepare and develop the technical design in-line with the imposed Design Responsibility Matrix. YES NO Fail
Ensure a Lead Designer is identified, who controls the coordination of the RIBA Stage 4 – Technical Design Information. YES NO Fail
Drawings Management; Ensure the following is in place and maintained throughout RIBA Stage 4:
Prepare a schedule of drawings and other information needed. YES NO Fail
Draw up a programme for the preparation and delivery of the drawings and the other stage outputs and assess the resource required to complete it in line with the
programme.
YES NO Fail
Confirm a system for recording and distributing information and revisions. YES NO Fail
Agree with the design team a strategy, including a programme, for the production of appropriate documents (e.g. specifications/schedules/bills of quantities). YES NO Fail
Assemble specification notes made during Stage 3. YES NO Fail
Check whether existing UoL Specifications are comprehensive, accurately reflect requirements and are suitable for inclusion within RIBA Stage 4 information. YES NO Fail
Prepare a checklist to show which headings or subheadings might be relevant for the particular project. YES NO Fail
RIBA Work Stage Stage 4: Technical Design Report
Design Deliverables
Allocate responsibilities for writing particular parts of the existing and/or ‘NEW’ specification(s). YES NO Fail
Select specification sections and clauses from a standard specification library (NBS Create is recommended). YES NO Fail
Mark up a library of clauses and produce a draft copy of the specification. YES NO Fail
Identify sections or items that are not covered adequately for the particular project and which will require supplementary information. Establish which parts will be by
prescription and which by performance requirements.
YES NO Fail
If specifying by reference to documents, e.g. British Standards, obtain the documents and carefully read the relevant parts. YES NO Fail
Review the selection of materials, descriptions of workmanship, etc. and check with the cost plan. YES NO Fail
Decide on the presentation of the specification. YES NO Fail
Check the final copy for errors, omissions and possible inconsistencies, either within parts of the document or between the specification and other Technical Design. YES NO Fail
Establish the number of copies required and distribute as appropriate. YES NO Fail
Has the Lead Designer reviewed and “signed off” each element of design information (drawings, specification, surveys, sub-section reports). YES NO Fail
Complete the information with respect to prescriptive/performance items in bills, etc. YES NO Fail
Draft preliminaries (or project management sections) together with work sections – specifications for materials and workmanship (or systems, products and execution). YES NO Fail
Prepare and submit the Building Regulations submission and any other third party submissions requiring consent. YES NO Fail
Provide information as agreed to the cost consultant for preparation of tender pricing documents (or prepare pricing documents if appointed to do so). YES NO Fail
Review construction sequencing (4D if provided/requested) with the contractor (if appointed). YES NO Fail
Share data for conclusion of design coordination and detailed analysis with subcontractors (where required/able pre-tender – dependent upon procurement route). YES NO Fail
Consider the requirements for the commissioning of engineering services by subcontractors and the main contractor, and provisions for testing & Commissioning. Ensure any
specific requirements of the Contractor are explicitly entered in to the in tender documents (Employers Requirements, Preliminaries, H&S and O&M requirements, Contractors YES NO Fail
CoP etc).
Make necessary visits to supply sources (e.g. quarries, brickyards, stoneyards) and manufacturing sources (e.g. foundries, factories, workshops) before making final design
choices that will be specified within the tender documentation. Ensure “Alternative and or similar by approval with Client” is recorded as necessary.
YES NO Fail
Arrange for further tests to be conducted on components, panels and finishes, if appropriate and authorised by the client pre-contract. YES NO Fail
Decide on the provisions for testing to be included in the bills of quantities/specifications/schedules of work, including the contractor’s testing and commissioning of building
services before completion. Ensure the requirements are specified within the tender documents.
YES NO Fail
Determine provisions for the client to witness testing, if required, and whether this is to be part of the contract period.
Establish the contractor’s obligations for attendance and rectification if necessary. Ensure the requirements are specified within the tender documents. YES NO Fail
Review quality management of potential suppliers and subcontractors and their general compliance in health and safety matters. Pass relevant information to the CDM
coordinator.
YES NO Fail
Continue discussions with the building control and fire authorities. Prepare a building notice for submission under the Building Regulations, or prepare an application for
approval by deposit of full plans. Prepare a submission to an approved inspector for issue of an initial notice for acceptance by the local authority, if this is the chosen option.
YES NO Fail
Review the adequacy of information on building services from statutory undertakers for detail design; conduct final coordination checks with design team to ensure
service/infrastructure provision is accommodated.
YES NO Fail
Continue discussions with relevant authorities for highways, drainage, water, gas, electricity supplies, etc. on matters concerning detail design. Check adequacy of information
on building services from statutory undertakers for detail design.
YES NO Fail
Ensure infrastructure requirements of the University (load levels) have been re-reviewed and approved by UoL Maintenance e.g. HV/LV, HPHW, IT, BT etc. YES NO Fail
Consult insurers as appropriate regarding the application of codes of practice or design guides relating to construction, materials, standards and finishes in detail design, and
their requirements for fire prevention during site operations which might have design implications.
YES NO Fail
Check whether minor amendments to the Technical Design at this stage go beyond the scope of the planning permission granted. If so, it may be necessary to deposit
amended drawings.
YES NO Fail
Prepare material for submission to the client’s insurers if necessary and if instructed by the client. YES NO Fail
Check that all necessary information has been obtained with respect to building control approval. Hold further discussions with authorities as necessary to resolve outstanding
points.
YES NO Fail
If appropriate, continue discussions with the highways authority on matters such as access to site, waiting or off-loading restrictions, siting and design of temporary fencing,
hoardings, etc.
YES NO Fail
Submit the building notice or application for approval by deposit of full plans, if not already submitted, together with relevant documents, including payment from the client for
the appropriate fee.
YES NO Fail
Cost Planning
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Cost Planning Tasks. YES NO Fail
Ensure a Cost Plan is being developed and regularly updated in-line with the developing technical design. YES NO Fail
Ensure an expenditure profile ‘v’ budget is established, regularly populated and forecasts communicated internally (as required) to UoL Finance. YES NO Fail
Discuss with the design team and the key client stakeholders (“Client/End-User”) the effect of detailed design decisions on the allocations within the cost plan before
implementation.
YES NO Fail
Provide information to the cost consultant for revision of the cost estimate and cash flow projection (or revise the cost estimate if appointed to do so). YES NO Fail
Cost consultant (or architect if appointed to do so) to review quotations received from specialist firms and check against provisional sums or budget figures. YES NO Fail
Ensure a “Pre-Tender Estimate” (PTE) is requested early in the RIBA Stage 4 Technical Design Stage and received prior to Tender Issue (if appropriate i.e. consult with
QS/Cost Manager to identify if the PTE can be ready pre-tender and not when out to market).
YES NO Fail
Escalate budget pressures to UoL Client/End-User and Finance Dept as necessary. YES NO Fail
Establish if “Value Engineering” review/workshop(s) are required pre-tender and pre-contract to mitigate any budget pressures before proceeding in to formal contract. YES NO Fail
Sustainability
(Only appropriate if a Sustainability Strategy (or similar) is to be implemented over and above UoL University Sustainability Directive / Agenda.)
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Sustainability Tasks. YES NO Fail
Only appropriate if a Sustainability Strategy (or similar) is to be implemented over and above UoL University Sustainability Directive / Agenda. YES NO Fail
During this stage the crucial activity is checking the constituent parts of the Sustainability Strategy against the developing Technical Design and that the work of specialist
subcontractors does not impact on the Sustainability Strategy.
YES NO Fail
Check Points;
Is the formal sustainability assessment substantially complete? YES NO Fail
Have details been audited for airtightness and continuity of insulation? YES NO Fail
Has the Building Regulations Part L submission been made and the design stage carbon/energy declaration been updated and the future climate impact assessment
prepared?
YES NO Fail
Has a non-technical user guide been drafted and have the format and content of the Part L log book been agreed? YES NO Fail
Has all outstanding design stage sustainability assessment information been submitted? YES NO Fail
Are building Handover Strategy and monitoring technologies specified? YES NO Fail
Have the implications of changes to the specification or design been reviewed against agreed sustainability criteria? YES NO Fail
Has compliance of agreed sustainability criteria for contributions by specialist subcontractors been demonstrated? YES NO Fail
Key Actions;
Make Approved Document L submission, design stage carbon/energy declaration update and future climate impact assessment. YES NO Fail
Draft the non-technical user guide and agree the format and content of the Approved Document L log book. YES NO Fail
Submit all outstanding design stage sustainability assessment information. YES NO Fail
Assess the compliance of contributions by specialist consultants and contractors with agreed sustainability criteria demonstrated. YES NO Fail
Specify the building handover process and monitoring technologies. YES NO Fail
Agree technical requirements to support the monitoring strategy. YES NO Fail
Ensure that artificial lighting and daylighting strategies and controls are mutually supportive in delivering low energy consumption. YES NO Fail
Involve facilities management and users in reviewing the environmental control systems and manual and automatic controls to ensure that they are appropriately
simple and intuitive, and that there is a match between expectations and the design.
YES NO Fail
Make sure that the project team is aware of the technical consequences of strategic sustainability decisions. YES NO Fail
Specify sustainable materials and products, balancing life-cycle assessment, maintenance regime, durability and cost. YES NO Fail
Complete consultation with subcontractors and suppliers with regard to Technical Design issues and review information packages to check that they are coordinated,
complementary and support all components of the Sustainability Strategy.
YES NO Fail
Agree responsibilities and routines for data recording to monitor performance. YES NO Fail
Review the potential knock-on implications of value engineering on performance and sustainability targets. YES NO Fail
Review the final details, including subcontractors’ packages, for airtightness and continuity of insulation. YES NO Fail
Review the information required to demonstrate compliance with sustainability requirements (e.g. materials certification). YES NO Fail
Ensure the outcome of a Sustainability Review (various reports, D&A etc) are used when consulting with specialist service providers/contractors either prior, during or post
RIBA Stage 4 – Technical Design Stage & RIBA Stage 5 -Construction.
YES NO Fail
Town Planning
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Town Planning Tasks. YES NO Fail
Review with the design team implications of any conditions attached to full planning permission, if applied for on RIBA Stage 3 information. YES NO Fail
Discuss with the planning officer the implications arising from any planning permission conditions. If permission was refused, discuss the reasons for the refusal and prepare,
for the client, recommendations as to the best course of action.
YES NO Fail
In the event of a refusal of planning permission, amend the scheme and re-submit the application as appropriate. YES NO Fail
Ensure planning conditions are reviewed and any particular requirements that may affect development of construction information is included appropriately within the tender
information.
YES NO Fail
Information Management
If commencing work at RIBA Stage 4 Technical Design, review/implement/ undertake applicable RIBA Stage 3 Developed Tasks. YES NO Fail
Check that all the agreed outputs have been produced before the conclusion of Stage 4. These outputs will comprise the Technical Design for consultant elements of the
design and must be in sufficient detail to enable Fabrication Design or Construction to commence. The outputs may include;
updated Cost Information YES NO Fail
detail design drawings YES NO Fail
specification notes (prescriptive and performance) on materials and workmanship (or systems, products and execution), etc. YES NO Fail
notes for draft preliminaries (or project management sections) for specifications or schedules of work YES NO Fail
further detailed information on proposals for existing, perhaps historic, buildings YES NO Fail
information for preparation of full plans submission for approval under the Building Regulations YES NO Fail
non-technical information for use in dealings with third parties, landlords, tenants, funders, etc. (e.g. in connection with leases, boundaries, party walls) YES NO Fail
Technical Design coordinated documents – probably including location, component and assembly drawings, drawn schedules, bills of
quantities/specifications/schedules of work
YES NO Fail
information prepared specially for use in self-build or semi-skilled operations YES NO Fail
information for issue to specialist subcontractors and suppliers in connection with tender invitations YES NO Fail
information for inclusion in pre-construction health and safety information to be passed to the CDM coordinator YES NO Fail
information which is not necessarily part of the tender package for use in dealings with third parties, landlords, tenants, funders, etc. (e.g. in connection with leases,
boundaries, party walls).
YES NO Fail
If procurement is through design and build: YES NO Fail
for an employer client: detail design information for incorporation into Employer’s Requirements YES NO Fail
for a contractor client: further design development drawings and design team members’ work on scheme submitted in the Contractor’s Proposals and general
arrangement drawings, interface details, performance.
YES NO Fail
Ensure the RIBA Stage 4 Technical Design Stage Report is submitted in-line with any UoL requirements (i.e. timeline, business case production/submission, review period etc). YES NO Fail
197 0
Pass % 0%
RIBA Work Stage Stage 4: Technical Design Report
Design Deliverables
This Design Stage shall be signed off, by the following, as completed and accepted PRIOR to proceeding to the next stage.
Note:
A Design Stage cannot be signed-off as complete unless ALL APPROVING PARTIES HAVE REVIEWED THE DESIGN AND SIGNED BELOW, or an ACTION PLAN has been
agreed by the same approving parties (listed below) prior to proceeding to next stage.
Tasks for outstanding items MUST be establsihed within the works contract e.g. Contractor Design Portion, project budget and project delivery programme.
Not
This Design Stage is:
Completed