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Infrastructure

Programme
Management

[DISCUSSION]

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Document tracking

Version Date Name


Discussion 1 September 2014 Coralie van Reenen

INFORMATION Notes
Form Health facility guides
Status Development status

Infrastructure Programme
TITLE
Management

ORIGINAL TITLE
“Infrastructure Programme Management” contains guidance covering the
infrastructure norms and standards for infrastructure programme
management for healthcare facilities providing district, regional, tertiary,
central and national referral services. It builds on the current Infrastructure
Delivery Management system (IDMS) to specifically accommodate the
Description unique needs of infrastructure and asset management of healthcare
facilities, covering project phases from inception, through construction,
operation and maintenance, up to decommissioning.

Reference CSIR 59C1119 – D:02.1 - 001

Authors IUSS N and S task team D:02.1

Active stakeholders’
list
Endorsements The document is a draft for discussion
Endorsements
Not endorsed
pending
Supersedes N/A
Acknowledgement Principal Author Coralie van Reenen

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Accessing of these guides
This publication is received by the National Department of Health (NDoH), IUSS Steering Committee
Chairman, Dr Massoud Shaker and Acting Cluster Manager: Health Facilities and Infrastructure
Management, Mr Ndinannyi Mphaphuli. Feedback is welcome.
The CSIR and the NDoH retain the moral rights conferred upon them as author by section 20(1) of the
Copyright Act, No. 98 of 1978, as amended. Use of text, figures or illustrations from this report in any
future documentation, media reports, publications, competition entries and advertising or marketing
material is solely at the discretion of the Health Infrastructure Norms Advisory Committee and should
clearly reference the source. This publication may not be altered without the express permission of the
Health Infrastructure Norms Advisory Committee. This document (or its updates) is available freely at
www.iussonline.co.za or the forthcoming Department webportal.
Application and development process
These IUSS voluntary standard/ guidance documents have been prepared as national Guidelines,
Norms and Standards by the National Department of Health for the benefit of all South Africans. They are
for use by those involved in the procurement, design, management and commissioning of public
healthcare infrastructure. It may also be useful information and reference to private sector healthcare
providers.
Use of the guidance in this documentation does not dissolve professional responsibilities of the
implementing parties, and it remains incumbent on the relevant authorities and professionals to ensure
that these are applied with due diligence, and where appropriate, deviations processes are exercised.
The development process adopted by the IUSS team was to consolidate information from a range of
sources including local and international literature, expert opinion, practice and expert group
workshop/s into a first level discussion status document. This was then released for public comment
through the project website, as well as national and provincial channels. Feedback and further
development was consolidated into a second level development status document which again was
released for comment and rigorous technical review. Further feedback was incorporated into proposal
status documents and formally submitted to the National Department of Health. Once signed off, the
documents have been gazetted, at which stage documents reach approved status.
At all development stages documents may go through various drafts and will be assigned a version
number and date. The National Department of Health will establish a Health Infrastructure Norms
Advisory Committee, which will be responsible for the periodic review and formal update of documents
and tools. Documents and tools should therefore always be retrieved from the website repository
www.iussonline.co.za or Department webportal (forthcoming) to ensure that the latest version is being
used.
The guidelines are for public reference information and for application by Provincial Departments of
Health in the planning and implementation of public sector health facilities. The approved guidelines will
be applicable to the planning, design and implementation of all new public-sector building projects
(including additions and alterations to existing facilities). Any deviations from the voluntary
standards are to be motivated during the Infrastructure Delivery Management Systems (IDMS) gateway
approval process. The guidelines should not be seen as necessitating the alteration and upgrading
of any existing healthcare facilities.
Acknowledgements

This publication has been funded by the NDoH.


Principal author Coralie van Reenen
Hennie Cloete

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TABLE OF CONTENT
OVERVIEW ......................................................................................................................................... 8
PART A - CURRENT PROCUREMENT FRAMEWORK (IDMS) ........................................... 9
PART B - HEALTHCARE INFRASTRUCTURE PROGRAMME MANAGEMENT ............ 11
1. IDMS Portfolio Management ....................................................................................................................11
2. IDMS Project Management .......................................................................................................................14
3. IDMS Operations & Maintenance ...........................................................................................................26

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LIST OF FIGURES
Figure 1: Delivery process of IDMS .............................................................................................................................................. 10

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LIST OF TABLES
Table 1: IUSS: GNS Reference documents .................................................................... Error! Bookmark not defined.
Table 2: Healthcare programme Control Points within IDMS Delivery Process 1 .................................................. 13
Table 3: Responsibilities and deliverables of professional service providers at Stage 1..................................... 14
Table 4: Responsibilities and deliverables of professional service providers at Stage 2..................................... 15
Table 5: Responsibilities and deliverables of professional service providers at Stage 3..................................... 17
Table 6: Responsibilities and deliverables of professional service providers at Stage 4..................................... 18
Table 7: Responsibilities and deliverables for professional service providers at Stage 5................................... 20
Table 8: Responsibilities and deliverables for professional service providers at Stage 6................................... 22
Table 9: Healthcare programme Control Points within IDMS Delivery Process 2 .................................................. 23
Table 10: Healthcare programme Control Points within IDMS Delivery Process 3 ............................................... 27

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OVERVIEW
This document is a manual to provide guidance for the development of a project brief for any
contemplated infrastructure project for new healthcare buildings (greenfield sites). It can also be applied
to situations where additions and alterations to existing facilities are required (brownfield site).
This document outlines briefing requirements which are to be used with reference to the entire IUSS set
of guidance documents (Table 1), as applicable to the particular project. This document cannot be viewed
in isolation.

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PART A - CURRENT PROCUREMENT FRAMEWORK (IDMS)
Currently the main framework in use for the procurement of infrastructure is the Infrastructure Delivery
Management System (IDMS). This is applicable for the development of new infrastructure and the
maintenance and upgrading of existing infrastructure.
The IDMS was developed under the Infrastructure Delivery Improvement Programme (IDIP), which is a
capacity building programme of the government to address planning and management of infrastructure
delivery in the public sector, for example, education and healthcare facilities.
The IDMS is set out in the Standard for Infrastructure Delivery Management System by the
Department of National Treasury (Nov. 2012), with reference to the Standard for a Construction
Procurement System, Department of National Treasury (Nov. 2012). The standard is supported by and
based upon the Standard for the Delivery and Maintenance of Infrastructure using a Gateway System
developed by the CIDB (Nov. 2011).
The gateway system is part of a broader project management system. It provides a way of channelling
work through specific control points to ensure that various stages of a project are successfully completed.
This makes is possible to easily audit projects, thereby improving transparency and enabling post-
implementation reviews.
The IDMS is a “model that describes the processes that make up public sector infrastructure management,
mainly applied to the construction industry” (idip.treasury.gov.za). It is “a government management
system for planning, budgeting, procurement, delivery, maintenance, operation, monitoring and
evaluation of infrastructure” (National Treasury, 2012).
Three major processes are identified, namely, Portfolio Management, Project Management and
Operations and Maintenance. Under these major processes are layers of sub-processes detailing the
stages of infrastructure delivery. The gateway system controls the progress from one stage to the next
with defined points of reference. In parallel to the gateways, there are procurement milestones,
performance management processes and action triggers.
Provincial or national infrastructure strategies are the main input into the system and are not part of the
system. The IDMS is a management system within which a procurement system must be implemented.
The Construction Procurement System (CPS) is also a gateway system that functions in parallel with the
Infrastructure Gateway System (IGS). The IGS controls progress regarding the delivery of infrastructure,
from planning to handover. The CPS controls the progression of procuring (or contracting) the work to be
done.
The CPS forms part of the Supply Chain Management System (SCM). “Procurement commences once a
need for goods, services, or engineering and construction works has been identified and ends when the
goods are received, the services or construction works are completed” (Department of National Treasury,
2012).
According to our Constitution, a procurement system is to be fair, equitable, transparent, competitive and
cost-effective, allowing for promotion of other objectives associated with secondary procurement
objectives.
The Standard for Construction Procurement (Department of National Treasury, 2012) and the CIDB
Standard for Uniformity in Construction Procurement (CIDB, 2006) describes the process of calling for
tenders and tender evaluation, over-seen by a Construction Procurement Committee. The Standard also
discusses procurement documents, including the various standard forms of contract available.
SANS 10403, Formatting and Compilation of Construction Procurement Documents establishes a
uniform format for the procurement documents for supplies, series and engineering or construction
works.

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If all procedures pertaining to the delivery of infrastructure in terms of the IDMS are adhered to, the
procurement of infrastructure should be smooth and transparent.

FIGURE 1: DELIVERY PROCESS OF IDMS

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PART B - HEALTHCARE INFRASTRUCTURE PROGRAMME
MANAGEMENT
This document is intended to align the IDMS with the specific needs within the context of the
infrastructure development of healthcare facilities, including operation, maintenance and
decommissioning of infrastructure. Additional Control Points (CP’s) are identified, expanding on the IDMS
gateways, to facilitate programme management in the context of healthcare infrastructure delivery.
Programme management processes occur across a number of service areas, namely:
Clinical services
Health technology
Organisational design
Quality assurance
Building development
Building maintenance
Each control point requires a specific deliverable (document), which is to be approved by the appointed
official the project can progress to the following control point. This series of controls run in parallel to the
IDMS infrastructure gateways, procurement milestones and performance management processes.
The correspondence of healthcare infrastructure programme management control points with the IDMS
controls will be discussed in the following sections and should be read in conjunction with the IDMS
structure (Figure 1: Delivery process of IDMS) and the table of correspondence (see tablexxx).
The Health Infrastructure Programme plots the progression of a project from inception at strategic level,
through development of a brief, procurement (construction), operation and maintenance and ultimately
decommissioning of a facility.

1. IDMS Portfolio Management


The main outcome of the first IDMS Delivery Process, Portfolio Management (DP1), is the Clinical Brief.
This is a key point in the project programme as the further development of the project is based on the
Clinical Brief.
CP1: Strategic Positioning Statement (SPS)
The development of the Clinical Brief begins with strategic planning in the Clinical Services area. The
strategic planning phase begins with a Health Epidemiology Study (corresponding to PF1.1). This is a
direct process informing the first control point (CP1), a Strategic Positioning Statement (SPS). The
epidemiology study and SPS fall under the responsibility of the NDoH Senior Management.
A Needs Assessment of clinical services is conducted after the approval of CP1, concluding the strategic
planning phase of Clinical Services. This is the responsibility of the PDoH Senior Management Strategic
Service Delivery Manager. The Needs Assessment corresponds to Gate 1a (approved U-AMP).
CP2: Services Transformation Plan (STP)
The Needs Assessment informs the Service Transformation Plan (STP) (CP2), which marks the
beginning of the clinical briefing phase of Clinical Services. This is the responsibility of the PDoH Senior
Management Strategic Service Delivery Manager.

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CP3: Business Case
Under the responsibility of the PDoH Senior Management Strategic Service Delivery Manager, the District
Requirements are established (package of services), which informs the Business Case (CP3).
The Business Case is a written document which captures the reasoning for initiating a project in the
healthcare context and is approved by the PDoH and NDoH. The approved Business Case corresponds
with Gate 1b and to Procurement Milestone 1 (PC1) (procure Professional Service Provider (PSP)
consultant).
Up to Business Case approval, the programme is primarily concerned with Clinical Services. Once the
Business Case has been approved, other service areas of the healthcare infrastructure programme are
factored in as the Clinical Brief is developed.
CP4: Project Scope of Work
In the second phase of IDMS Portfolio Management (DP1.2 Programme Management), the Project Charter
is developed as a basis for the Project Scope of Work (CP4), corresponding to Gate 2. The project
Charter and Project Scope of Work are the responsibility of the JMC, PDoH & NDoH Programme Managers
and are relevant in the Health Technology, Organisational Design and Quality Assurance service areas.
CP5: Clinical Brief
The approval of the Project Scope of Work allows Clinical Brief Development to commence under the
responsibility of Clinicians of the PDoH and the NDoH Clinical Managers and Operational Planners. Input
from Clinical Services, Health Technology, Organisational Design and Quality Assurance service areas is
required to finalise the Clinical Brief (CP5), which corresponds to Gate 3a (Strategic Brief) and
Procurement Milestone PC2.
At the same time building development feasibility studies should be conducted and cost estimates for the
required healthcare technologies should be established.

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Table 1: Healthcare programme Control Points within IDMS Delivery Process 1
IDMS HEALTHECARE INFRASTRUCTURE DELIVERY PROCESS

Gate Clinical Services Health Technology Organisational Design Quality Assurance Building Development Building Maintenance

Direct Process

Control point

Health Epidemiology
Study

CP1: Strategic Positioning


Statement
DP1.1 Infrastructure Planning

Needs Assessment
Gate 1a

CP2: Services
Transformation Plan
DP1 Portfolio Management

District Requirements

CP3: Business Case

Gate 1b

Project Charter Project Charter Project Charter Project Charter


DP1.2 Programme Management

CP4: Project Scope of CP4: Project Scope of CP4: Project Scope of CP4: Project Scope of
Gate 2 Works Works Works Works

Clinical Brief Clinical Brief Clinical Brief Clinical Brief


Development Development Development Development

CP5: Clinical Brief CP5: Clinical Brief CP5: Clinical Brief CP5: Clinical Brief

Gate 3a

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2. IDMS Project Management
The second IDMS Delivery Process (DP2) is Project Management and develops the project from briefing
to close-out of the actual infrastructure development (construction).
CP6: Design Brief
Once the Clinical Brief has been approved, it is used as a basis to inform the development of the design
brief in the Building Development and Health Technology service areas.
The Design Brief (CP6) is a document containing detailed planning and design requirements for the
specific facility. This control point corresponds to Gate 3b and Procurement Milestone 4a, by which a
Professional Service Provider is contracted (Consultant procurement). This process falls under the
responsibility of the PDoH and NDoH Infrastructure Official.
CP7: Inception Report
Professional Service Providers are issued the Clinical and Design Brief for interpretation and are required
to submit an Inception Report (CP7). This control point is to be observed in both the Health Technology
and Building Development service areas.
The processes from CP7 to CP11 are under the responsibility of the Implementing Agent and Capacity
Support Consultants, Health Facility Planners and Managers.
The Inception Report coincides with Stage 1 (Inception) of the standard scope of professional services
agreement. The specific responsibilities and deliverables for each building professional are listed in Table
2: Responsibilities and deliverables of professional service providers at Stage 1
TABLE 2: RESPONSIBILITIES AND DELIVERABLES OF PROFESSIONAL SERVICE PROVIDERS AT STAGE 1

The inception stage may include the following responsibilities and deliverables for each profession:

Architect Responsibilities

1. Receive appraise and report on the clients requirements


2. Define the scope of services & scope of work required
3. Conclude the terms of the agreement with the client
4. Determine the availability of data, drawings & plans
5. Inspect the site and advise on necessary surveys, analysis, tests & site investigations
6. Chair project initiation meetings
7. Provide necessary information within the agreed scope to other consultants
8. Advise on criteria that could influence the project life cycle cost significantly
9. Advise the client on the most applicable contracting method
10. Liaise with other consultants in setting out a Project Program

Deliverables:

a) Signed PSP agreement


b) Agreed Project brief
c) Agreed scope of work
d) Predicted project program

Quantity Surveyor Responsibilities:

1. Assist in developing a clear project brief from clients requirements


2. Attend project initiation meetings
3. Advise on procurement policy for the project
4. Advising on other PSP required
5. Define the scope of services & scope of work required
6. Conclude the terms of the agreement with the client

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7. Advise on economic factors affecting the project
8. Advise on appropriate financial design criteria
9. Provide necessary information within the agreed scope to other consultants

Deliverables:

a) Agreed scope of services and scope of work


b) Signed service agreement
c) Agreed service and scope of work agreement

Engineer Responsibilities:

1. Assist in developing a clear project brief from clients requirements


2. Attend project initiation meetings
3. Advise on procurement policy for the project
4. Advise on rights, constraints, consents & approvals
5. Define the scope of services & scope of work required
6. Conclude the terms of the agreement with the client
7. Inspect the site and advise on necessary surveys, analysis, tests & other
investigations
8. Determine the availability of data, drawings & plans
9. Advise on criteria that could influence the project life cycle cost significantly
10. Provide necessary information within the agreed scope to other consultants

Deliverables:

a) Agreed scope of services and scope of work


b) Signed agreement
c) Report on project, site and functional requirements
d) Schedule of required surveys, tests, analyses, site and other investigations
e) Schedule of consents and approvals

CP8: Concept Design Report


Concept designs are to be developed after approval of the Inception Report and submitted for approval in
a Concept Design Report (CP8). This control point is to be observed in both the Health Technology and
Building Development categories.
This coincides with Stage 2 (Concept and viability) of the scope of professional services agreement for
architects.
TABLE 3: RESPONSIBILITIES AND DELIVERABLES OF PROFESSIONAL SERVICE PROVIDERS AT STAGE 2

The concept stage may include the following responsibilities and deliverables for each profession:

Architect Responsibilities

1. Agree documentation programme with other consultants


2. Audit space allocation against initial brief
3. Compile design concepts and advise on viability with reference to space provisions
and planning relationships
4. Chair design & consultant's meeting
5. Liaise, cooperate & provide necessary information to the client & other consultants
6. Review data & cost estimates from other PSP's
7. Review the anticipated project programme
8. Check conformity of the concepts with the rights of the use of the land

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Deliverables:

a) A design concept, in broad outline showing space provisions, planning


relationships, services and materials
b) Anticipated project program
c) Site development documentation

Quantity Surveyor Responsibilities:

1. Agree documentation programme with other consultants


2. Attend design & consultant's meeting
3. Review & evaluate design concepts & advise on viability
4. Review data & cost estimates from other PSP's
5. Prepare prelim & elemental or equivalent estimates of construction cost
6. Assist client in preparing financial viability report
7. Audit space allocation against initial brief
8. Liaise, cooperate & provide necessary information to the client & other consultants

Deliverables:

a) Prelim estimate of construction cost


b) Elemental or equivalent estimate of construction cost
c) Space allocation audit

Engineer Responsibilities:

1. Agree documentation programme with other consultants


2. Attend design & consultant's meeting
3. Establish the concept design criteria
4. Prepare initial concept design & related documentation
5. Advise the client regarding further surveys, analysis, tests & investigations
6. Establish regulatory authorities' requirements & incorporate in design
7. Refine & assess the concept design to ensure conformance with regulatory
requirements
8. Establish access, utilities, services & connections required for design
9. Coordinate design interfaces with other consultants
10. Prepare process designs (where required), preliminary designs & related
documentation for approval by authorities & client
11. Provide cost estimates & life cycle costs as required
12. Liaise, cooperate & provide necessary information to the client & other consultants

Deliverables:

a) Concept Design
b) Schedule of required surveys, tests, other investigations and related reports
c) Process design
d) Preliminary design
e) Cost estimates as required

The commencement of clinical commissioning is scheduled to coincide with Infrastructure Programme


Implementation Plan (IPIP) and continue until administrative close-out. This implies that clinical
commissioning is to take place throughout the project until the infrastructure is operational.
CP9: Design Development Report
Once the Concept Design Report has been approved the design is further developed in both the Building
Development and Health Technology service areas. This development gives rise to the Design

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Development Report (CP9). This design development and report equate to Stage 3 (Design
Development) of the scope of services agreement for architects and as a control point corresponds to
Gate 5.
TABLE 4: RESPONSIBILITIES AND DELIVERABLES OF PROFESSIONAL SERVICE PROVIDERS AT STAGE 3

The design development stage may include the following responsibilities and deliverables for each profession:

Architect Responsibilities

1. Confirm the scope and complexity


2. Review the design and consult with local and statutory authorities
3. Develop the design construction system, materials and components
4. Incorporate all services and the work of consultants
5. Review the design, costing and program with the consultants

Deliverables:

a) Design development drawings


b) Outline specifications
c) Local and other statutory submission drawings and reports
d) Detailed estimates of construction cost

Quantity Surveyor Responsibilities:

1. Review documentation programme


2. Attend design & consultants' meetings
3. Review & evaluate design & outline specifications & exercise cost control
4. Review relevant data & cost estimates form other PSP's
5. Prepare detailed estimates of construction cost
6. Assist client in reviewing financial viability report
7. Comment on space & accommodation allowances & prepare area schedule
8. Liaise, cooperate & provide necessary information to the client & other consultants

Deliverables:

a) Detailed estimate(s) of construction cost


b) Area schedule

Engineer Responsibilities:

1. Review documentation programme


2. Attend design & consultants' meetings
3. Incorporate client's & authorities' detailed requirements into design
4. Incorporate other consultants' designs & requirements into design
5. Prepare design development drawings including draft technical details &
specification
6. Review & evaluate design & outline specification & exercise cost control
7. Prepare detailed estimates of construction cost
8. Liaise, cooperate & provide necessary information to the client & other consultants
9. Submit the necessary design documentation to authorities for approval

Deliverables:

a) Design development drawings


b) Outline specifications
c) Local and other statutory submission drawings and reports
d) Detailed estimates of construction cost

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CP10: Technical Documents
After approval of the Design Development Report, technical documentation of the design can start, giving
rise to the Technical Documents (CP10) with reference to the Building Development and Health
Technology service areas. This corresponds to IDMS Gate 6a.
CP11: Tender Documents
Once the Technical Documents are approved the Tender Documents (CP11) are prepared and
submitted for approval for both Health Technology and Building Development.
CP12: Tender Advertisement
Following approval of the Tender Documents, a tender advertisement is prepared. The Tender Advert
(CP12) must be submitted for approval prior to publishing.
CP13: Awarding of Contract
When tenders are received they are adjudicated and recommendations are made following which there is
an Awarding of Contract (CP13), which equates to IDMS Gate 6b.
The process of developing the technical drawings up to the awarding of the contract are relevant in both
the Building Development and Health Technology service areas and corresponding with Stage 4
(Documentation and Procurement) of the scope of professional services agreement for architects.
TABLE 5: RESPONSIBILITIES AND DELIVERABLES OF PROFESSIONAL SERVICE PROVIDERS AT STAGE 4

The documentation and procurement stage may include the following responsibilities and deliverables for
each profession:

Architect Responsibilities

1. Prepare documentation sufficient for local authority submission


2. Co-ordinate tech. Docs. with consultants and complete primary co-ordination
3. Prepare specifications for the works
4. review the costing and program with the consultants
5. Obtain the clients authority and submit relevant documentation to the local
authority
6. Complete construction documentation and proceed to call for tenders
7. Obtain the clients authority, prepare documentation, procure offer to execute works
8. Obtain offers for the execution of the works
9. Evaluate offers and recommend on the award of the building contract
10. Prepare the contract documentation and arrange for the signing of the building
contract

Deliverables:

a) Submission drawings to local authority


b) Construction Drawings
c) Tender documentation
d) Approval from local authority
e) Contract documentation

Quantity Surveyor Responsibilities:

1. Attend design & consultant's meeting


2. Assist the Principal Agent in the formulation of the procurement strategy for
disciplines
3. Reviewing working drawings for compliance with the approved budget of
construction cost
4. Preparing documentation for both principal and sub-contract procurement

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5. Assisting the Principal agent with both calling for tenders and negotiating prices
6. Assisting with the financial evaluation of tenderers
7. Assisting with preparation of contract documentation for signature

Deliverables:

a) Budget of construction cost


b) Tender documentation
c) Financial evaluation of tenders
d) Priced contract documentation

Engineer Responsibilities:

1. Attend design & consultant's meeting


2. Prepare specifications & preambles for the works
3. Accommodate services design
4. Check cost estimates & adjust designs & documentation to remain within budget
5. Formulate the procurement strategy for contractors
6. Prepare documentation for contractor procurement
7. Review designs, drawings & schedules for compliance with approved budget
8. Assist in calling for tenders and/or negotiation of prices
9. Liaise, cooperate & provide necessary information to the client & other consultants
10. Assist in the evaluation of tenders
11. Assist in the preparation of contract documentation for signature
12. Assess samples & products for compliance and design intent

Deliverables:

a) Specifications
b) Service co-ordination
c) Working drawings
d) Budget construction cost
e) Tender documentation
f) Tender evaluation report
g) Tender recommendations
h) Priced contract documentation

CP14: Practical Completion Certificate


Once the contract has been awarded, the project moves into the phase of physical construction during
which contract management is carried out by the professional service provider, managing cost, quality
and time and preparing a defects list.
This culminates in the next control point document, the Practical Completion Certificate (CP14),
corresponding to Gate 7. This is relevant in both the Building Development and Health technology
categories.
CP15: Occupation Certificate
After the issue of the Practical Completion Certificate the building is finalised for occupation and
commissioning (including procurement, commissioning and asset registration of health technology) and
the Occupation Certificate (CP15) is issued to the custodian, corresponding to Gate 8.
CP16: Final Package completion Certificate
Following the issue of the Occupation Certificate, the final contractual account is reconciled, operational
manuals are prepared and as-built documentation is prepared. This is done before the issue of the Final

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Package Completion Certificate (CP16), the last control point in this stage of the project, corresponding to
Gate 9a.

This is relevant in the Building Development and Health Technology service areas and is the first phase of
handing over the facility in the Building Maintenance service area.
The activities and control points from contract management to final completion under Building
Development constitute Stage 5 (Contract Administration and Inspection) of the scope of services
agreement for architects.
TABLE 6: RESPONSIBILITIES AND DELIVERABLES FOR PROFESSIONAL SERVICE PROVIDERS AT STAGE 5

The contract administration and inspection stage may include the following responsibilities and deliverables
for each profession:

Architect Responsibilities

1. Hand over the site to the contractor


2. Issue construction documentation
3. Initiate and check sub-contract design and documentation as appropriate
4. Inspect the works for conformity to the contract documents
5. Administer and perform the duties of the principal Agent / fulfil contractual
obligations
6. Issue the certificate of practical completion
7. Assist the client to obtain the occupation certificate
8. Adjudicate & resolve financial claims by contractor
9. Assist in the resolution of contractual claims by the contractor
10. Clarify details & descriptions during construction as required
11. Prepare valuations for payment certificates
12. Update & issue drawings register
13. Issue contract instructions as & when required
14. Review & comment on operation & maintenance manuals, guarantee certificates &
warranties
15. Inspect the works and issue practical completion & defects lists
16. Arrange for handover of all test certificates to the client before handover

Deliverables:

a) Certificate of practical completion


b) Drawing register
c) Contract instructions
d) Final contract reports
e) Valuation for payment certificates
f) Assist in compilation of progressive and draft final account(s)
g) Practical completion and defects list

Quantity Surveyor Responsibilities:

1. Attend the site handover


2. Preparing schedule of predicted cash flow
3. Preparing pro-active estimates for proposed variations for client decision making
4. Attend regular site, technical and process meetings
5. Adjudicating and resolving financial claims by the contractors
6. Assisting in the resolution of contractual claims by the contractors
7. Assisting in the resolution of contractual claims by the contractor(s)
8. Enabling and maintaining a financial control system
9. Preparing valuations for payment certificates to be issued by the principal agent
10. Prepare final accounts for the works on a progressive basis

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Deliverables:

a) Schedule(s) of predicted cash flow


b) Estimates for proposed variations
c) Financial control reports
d) Valuations for payment certificates
e) Progressive and draft final account(s)

Engineer Responsibilities:

1. Attend site hand over


2. Issue construction documentation
3. Carry out contract administration procedures in terms of the contract
4. Prepare schedules of predicted cash flow
5. Prepare pro-active estimates of proposed variation for client decision making
6. Attend regular site, technical & progress meetings
7. Inspect the work for conformity to contract documentation
8. Adjudicate & resolve financial claims by contractor
9. Assist in the resolution of contractual claims by the contractor
10. Establish & maintain a financial control system
11. Clarify details & descriptions during construction as required
12. Prepare valuations for payment certificates
13. Witness & review of all tests & mock ups carried out on & off site
14. Check & approve contractor drawings for design intent
15. Update & issue drawings register
16. Issue contract instructions as & when required
17. Review & comment on operation & maintenance manuals, guarantee certificates &
warranties
18. Inspect the works and issue practical completion & defects lists
19. Arranging for the delivery of all test certificates, including Electrical Certificate of
Compliance, statutory & other approvals, as-built drawings * operating manuals

Deliverables:

a) Schedule of predicted cash flow


b) Construction documentation
c) Drawing register
d) Estimate for proposed variations
e) Contract instructions
f) Financial control reports
g) Valuations for payment certificates
h) Progressive and draft final account(s)
i) Practical completion and defects list
j) Electrical Certificate of Compliance

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After the issuing of the Final Completion Certificate, the asset is registered constituting Stage 6 (Close-
out) of the scope of services agreement for architects.
TABLE 7: RESPONSIBILITIES AND DELIVERABLES FOR PROFESSIONAL SERVICE PROVIDERS AT STAGE 6

The close-out stage may include the following responsibilities and deliverables for each profession:

Architect Responsibilities

1. Fulfil and complete the project close-out process incl. all documentation
2. Issue the certificate relating to contract completion
3. Prepare and/or procure as-built drawings & documentation
4. Provide the client with as-built documentation
5. Prepare and adjudicate handover certificates
6. Conclude the final accounts where relevant
7. Issue a certificate of final completion, together with all relevant documentation
pertinent to the operating and maintenance of the facility

Deliverables:

a) Certificate of final completion


b) Certificates of compliance
c) Guarantees, operating manuals
d) As-built documentation

Quantity Surveyor Responsibilities:

1. Preparing valuations for payment certificates to be issued by the principal agent


2. Concluding final accounts

Deliverables:

a) Valuations for payment certificates


b) Final accounts

Engineer Responsibilities:

1. Inspect & verify the rectification of defects


2. Receive, comment & approve relevant payment valuations & completion
certificates
3. Prepare and/or procure O&M manuals, guarantees & warranties
4. Prepare and/or procure as-built drawings & documentation
5. Conclude the final accounts where relevant

Deliverables:

a) Valuations for payment certificates


b) Works and final completion lists
c) Operations and maintenance manuals, guarantees and warranties
d) As-built drawings and documentation
e) Final accounts

Discussion draft only Page 22


TABLE 8: HEALTHCARE PROGRAMME CONTROL POINTS WITHIN IDMS DELIVERY PROCESS 2

IDMS HEALTHECARE INFRASTRUCTURE DELIVERY PROCESS

Gate Clinical Services Health Technology Organisational Design Quality Assurance Building Development Building Maintenance

Direct Process

Control point

Develop Design Brief Develop Design Brief

CP6: Design Brief CP6: Design Brief

Gate 3b
DP2.1 Implementation Planning

Interpretation Interpretation
DP2 Project Management

CP7: Inception Report CP7: Inception Report

Develop concept design Develop concept design


options options

CP8: Concept Design CP8: Concept Design


Gate 4 Report Report

Develop Design Develop Design

CP9: Design CP9: Design


DP2.2 Design

Gate 5 Development Report Development Report

Develop Technical & Develop Technical &


Gate 6a Tender documents Tender documents

Discussion draft only Page 23


CP10: Technical CP10: Technical
Documentation Documentation

CP11: Tender CP11: Tender


Documentation Documentation

Prepare Tender Prepare Tender


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CP12: Tender CP12: Tender


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Tender Adjudication & Tender Adjudication &


Recommendation Recommendation

CP13: Contract CP13: Contract


Gate 6b Awarded Awarded

IDMS HEALTHECARE INFRASTRUCTURE DELIVERY PROCESS

Gate Clinical Services Health Technology Organisational Design Quality Assurance Building Development Building Maintenance

Direct Process

Control point

Contract Management Contract Management


Management (cont)

CP14: Practical CP14: Practical


DP2.3 Works
DP2 Project

Gate 7 Completion Certificate Completion Certificate

Finalise for occupation Finalise for occupation


& commissioning & commissioning
Gate 8
CP15: Occupation CP15: Occupation

Discussion draft only Page 24


Certificate Certificate

Reconcile Contract Reconcile Contract Reconcile Contract


Account Account Account
DP2.4 Close out

CP16: Final Completion CP16: Final Completion CP16: Final Completion


Gate 9a Certificate Certificate Certificate

Register Asset Register Asset Register Asset

TABLE 8 CONTINUED….

Discussion draft only Page 25


3. IDMS Operations & Maintenance
The third IDMS Delivery Process (DP3) is Operations and Maintenance and develops the project from
asset registration to decommissioning.
CP17: Asset Registration
Once the asset is registered and the Asset Register (CP17) is updated, which corresponds to IDMS Gate
9b.
At this stage of the delivery process, in terms of Clinical Services, the operational phase commences, and,
in terms of Health Technology, Building Development and Building Maintenance, the maintenance and
maintenance management phase commences.
CP18: Maintenance Plan
A maintenance strategy must be established and developed into a Maintenance Plan (CP18) that relates
to the Health Technology, Building Development and Building Maintenance service areas.
CP19: Inspection Certificates
The maintenance plan is implemented and carried out on an on-going basis with Inspection Certificates
(CP19) issued as pre-determined times in accordance with the Maintenance Plan.
CP20: Demobilisation Certificate
At the end-of-life of the infrastructure, asset removal must be motivated, planned and implemented after-
which a Demobilisation Certificate (CP20) is issued.

Discussion draft only Page 26


TABLE 9: HEALTHCARE PROGRAMME CONTROL POINTS WITHIN IDMS DELIVERY PROCESS 3

IDMS HEALTHECARE INFRASTRUCTURE DELIVERY PROCESS

Gate Clinical Services Health Technology Organisational Design Quality Assurance Building Development Building Maintenance

Direct Process

Control point

CP17: Asset Register CP17: Asset Register CP17: Asset Register


(Gate 8) Updated Updated Updated
DP3.1 Recognise &
Accept Assets

Maintenance Strategy Maintenance Strategy Maintenance Strategy

CP18: Maintenance CP18: Maintenance CP18: Maintenance


DP3 Operations and Maintenance

Gate 9b Plan Plan Plan


DP3.2 Mobilis. facilities
management

Implement Maintenance Implement Maintenance Implement Maintenance


Operations

Plan Plan Plan


DP3.3

Discussion draft only Page 27


CP19: Inspection CP19: Inspection CP19: Inspection
Certificates Certificates Certificates
DP3.4 Maintenance

Motivate Asset Motivate Asset Motivate Asset


Removal Removal Removal
DP3.5 Demobilis. Facilities
Management

CP20: Demobilisation CP20: Demobilisation CP20: Demobilisation


Certificate Certificate Certificate

Discussion draft only Page 28


Discussion draft only Page 29