Episode 99 - RIBA Plan of Work Stages 0-3 in Conservation

This week we will be talking about how the RIBA Work Stages can be used by the project team as a guide to assist and map out what needs to be considered when working on historic buildings and building conservation. This week is Part 1 covering RIBA Stages 0-3. This episode content meets PC2 - Clients, Users & Delivery of Services & PC3 - Legal Framework & Processes of the Part 3 Criteria.

Resources from today's episode:

Books:
RIBA Conservation Guide

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Transcript

Episode 99:

Hello and Welcome to the Part3 with me podcast. 

The show that helps part 3 students jump-start into their careers as qualified architects and also provides refresher episodes for practicing architects. I am your host Maria Skoutari and this week we will be talking about how the RIBA Work Stages can be used by the project team as a guide to assist and map out what needs to be considered when working on historic buildings and building conservation. Today’s episode meets PC2&3  of the Part 3 Criteria.

Today I will be covering the process at RIBA Stage 0 to 3 and next week I will cover Stages 4-7. 

Listed buildings in England account for approximately 2% of the building stock, with approximately 92% of those being Grade II listed, 5.5% being Grade II* listed and 2.5% being Grade I listed.

While legislation and guidance recognise that the essence of conserving a building is to keep it in use, many people don’t realise that simply being unoccupied can be enough to put a designated building at risk. Great care should therefore be considered when working on historic buildings, which is where different key tasks and considerations at each RIBA Work Stage can assist and what I will be outlining in todays episode. 

So let’s jump straight into it. Starting with RIBA Stage 0:

The initial key steps to undertake at Stage 0 if the building is listed or within a conservation area, is to first: 

• identify the existence of any heritage assets and establish if they are designated in order to gain an overview of their quality or significance 
• In the case of buildings or built sites, it should also be identified if they are at a point of challenge or major change 
• And identify the opportunities for sustaining and enhancing the heritage elements on the Strategic Brief, and determining whether or not any harm may arise from the proposals that can be balanced by a greater public good

At Stage 0, once the initial assessment has been carried out of the elements that I just mentioned, it is a very important stage in alerting the client and other members of the team of the presence of heritage assets and provides a good opportunity to set sensible timescales and budgets in the outline Business Case, allowing for investigative work and discussions with the Local Authority and Historic England to take place. 

Therefore, the core objective at this RIBA Stage is to identify the client’s Business Case and Strategic Brief and other core project requirements. Identifying the presence of heritage assets on or even near the site at this stage can have great impact on the client’s Business Case and Strategic brief, project programme, the cost and risk. 

The key advice to give a client at this stage will be the significance of the identified heritage assets and their sensitivity so that any changes or development can be directed to locations where they will have the least impact. Heritage assets are part of a historic environment that is valued because of its historic, archaeological, architectural, artistic or social interest. They may not necessarily be buildings but conservation areas, parks and gardens, battlefields or archaeological finds. 

One way to identify heritage assets is by referring to the Heritage Gateway website which shows all designated assets on or near the site. Or to find out if a particular building is listed, Historic Englands website can be used or by searching the local county council historic environment record also known as HER which can also be used to show all designated assets. For conservation areas, the local planning authority can be used.  

It is also advisable to advise the client of the possibility of the existence of undesignated assets which may have heritage significance which might affect the project brief and Business Case, especially if they are unlisted buildings with the capability of being listed. This could have a major impact on progressing through the planning system as once it comes up on the system they may choose to list the building bringing great risk to the progress and viability of the project. This could potentially be avoided, however, by applying for a Certificate of Immunity from Listing, which is valid for 5 years and can delay the listing of a building.

One thing to bear in mind in terms of listings and the listing entry noted for such buildings is that the description is a simple identifier, no listing description will provide a complete catalogue of every aspect of interest and value and the definition of what is of interest and value can change over time. However, the legal effect of listing covers every part of the building, this can include all fittings attached to it and curtilage structures, if they pre-date 1948, as well as the setting of the buildings. The purpose of the analysis in a heritage statement or conservation plan is to assign relative value to different parts of the site/building so that any intervention can be directed to less sensitive areas. 

As architects, therefore, we should advise clients on the need to appoint other specialists, such as archaeologists or heritage consultants to report on assets outside the architects knowledge and experience. One of the key tasks at Stage 0 is to identify what will be required to be written in a statement of significance for each listed building or other heritage asset, even though the project is only just starting. 

A statement of significance considers factors usually used by Historic England when determining a building’s eligibility for listing, these include architectural significance, historic significance, technical significance and social significance. It should also include an analysis of curtilage and setting and a relative sensitivity analysis to show which parts of the building are most to least significant. These can be in both written form and also expressed graphically as marked-up plans, sections and elevations demonstrating direct visual comparison between existing and proposed drawings. To better inform a statement of significance, a site visit should be carried out in the first instance and put together a Risk Assessment in order to identify any relevant health and safety concerns.

Some other key considerations that should be made during Stage 0, includes initial considerations of the preferred procurement route which will as a result inform the assembly of the project team. The Project Programme also needs to be established at Stage 0 taking into consideration the additional time required when working on heritage assets. Pre-application discussion may not be likely at this stage, but it may be important to consider as part of the Business Case risk management to get the local planning authority to confirm the assessment of which buildings are designated, the extent of the impact and whether or not there are undesignated assets which have the potential to be designated. For larger schemes, both the local authority and Historic England will need to be engaged. Checks should also be carried out at this stage to establish which consents are likely to be needed, such as listed building consent. If uncertain, you can seek the advice of the local planning authority to confirm which consents will be required. If the works do not alter the character or appearance of the listed buildings, they may not require consent but its best to consult the local authority to confirm this. 

Failure to have listed building consent in place for works to a listed building is a criminal offence and such consent can’t be granted retrospectively and in such instances, if the work has been carried out without consent, the owner will be liable to rectify the work carried out without consent and put it back to its original condition. 

Now let’s move on to RIBA Stage 1:

So once it’s been established that there are historic buildings and/or other designated heritage assets on or near the site, the design team should, at this stage gather further information about the site and buildings to start to differentiate the relative values for the various elements found. 

The core objectives at Stage 1 are to develop the project objectives, including quality objectives and project outcomes, sustainability aspirations, and project budget that will inform the initial project brief. Feasibilities studies should also be undertaken at this stage informed by the site information. 

The key tasks involved at this stage include:

• Preparing a Draft Handover Strategy and Risk Assessments
• Identifying opportunities for the enhancement of the heritage assets
• Reviewing opportunities for the inclusion of explanation and interpretation of the heritage assets identified in the heritage statement
• Establishing a strategy for improving inclusive public access to key elements or key areas identified in the statement of significance
• Carrying out a health and safety risk analysis and plans for visiting site and buildings where structural integrity is uncertain 
• Checking if asbestos is present and the requirements and timescales for its removal

So following the findings from Stage 0, the main task for Stage 1 is to put together and draft the statement of significance for all heritage assets that may be affected by the project. This statement will be the conclusion of the heritage statement and written using the terms and vocabulary found in the NPPF. 

The heritage statement and statement of significance are key for pre-application discussions and its expected to guide and inform the client’s brief and the design team in their early thinking. Putting together the draft will highlight areas that need further investigation or research and will also help inform the choice of procurement route. Traditional construction contracts tend to be the most suited to conservation work as they are more flexible and capable of dealing with unknown circumstances that may arise when working on historic buildings.

The draft heritage statement will review the current site information and include recommendations for further research and investigations. It’s important at this stage to advise the client on the need for specialist input and the range of investigations and surveys that will be necessary as these can affect the project budget. As well as the time needed to specify, tender and undertake preliminary survey work. Α properly measured survey is a key tool in analysing and understanding a historic building of any complexity. 

Another task which may be useful at this stage is a review of the retention of the embedded energy in any existing building which assists in reinforcing the sustainability objectives, this could be done through site testing and occasional commission research work in order to establish the likely performance of the historic construction. 

In terms of the design team, an accredited conservation architect should be considered to take on the lead role when working on designated buildings, sometimes some funding bodies insist on an accredited conservation architect to be appointed on such projects. The team should then put together a conservation plan which needs to consider the different contributors that feed into the process and sufficient time must be allowed for interested parties to read, absorb and comment on the plan, such as the local planning authority and Historic England. If this is not done, the plan will have much less credibility when its submitted to funding bodies or as part of a planning/listed building consent application. If an intrusive survey is required, this may require listed building consent which will take 2-3 months for an application to be processed. This is why teams often produce a heritage statement rather than a full conservation plan at this stage. 

A key objective of the statement is to get early agreement and definition and to establish any areas where there is a lack of consensus or where further work is needed to reach an agreement. Curtilage buildings should also be considered when analysing and reviewing the site as it may be included in the general designation and can potentially be affected by any proposals. The client should be advised if there are undesignated buildings on or near the site which may be spot-listed. This can cause significant delay and requests for spot listing can be used as a means of delaying or obstructing schemes. It’s also important to check existing consent and take a view on whether any works have been carried out without consent and advise the client accordingly. 

So the key documents to be produced for a conservation building project are:

• Initially a Heritage Statement
• Then a Statement of significance
• Followed by a Conservation Plan
• And then a Conservation Management Plan

If it’s for a conservation area, the documents required include:

• A Conservation Area Assessment
• And a Conservation Area Management Plan 

Then at RIBA Stage 2:

Work options are tested to establish the likely extent and location of interventions, removals from and additions to the building. These studies will be informed by the work carried out for the conservation plan or heritage statement and will form the core of discussions with stakeholders and also form the basis of the design and access statement and preparation for the submission of applications for planning and listed building consent. 

At Stage 2, surveys and further research identified and scoped at Stage 1 should be instructed to inform both the Concept Design and heritage analysis. The key supporting tasks at this stage include:

• Preparing a sustainability strategy
• Preparing the maintenance and operational strategy
• Reviewing the handover strategy
• Reviewing the risk assessment
• And undertaking third party consultations as required 

The core objectives involved at this stage include the preparation of the concept design, including outline proposals for structural design, building services systems, outline specifications and preliminary cost information. Project strategies should also be reviewed at this stage in accordance with the Design Programme and a final project brief agreed and issued. 

Following from the draft heritage statement developed at Stage 1, at Stage 2 this should be further developed into a conservation plan, whereby:

• Existing information gaps should be identified and filled
• Historical maps should be collected to show the sites history 
• An archaeological desktop study should be carried out 
• A worked up measured survey should be undertaken
• A catalogue search of local and national records should be undertaken
• If a BIM model is being used, it should be linked to produced photogazetter information of the site
• Non-intrusive surveys and investigations should be specified, procured and managed
• A condition survey of the fabric should be undertaken
• Undesignated heritage assets should be assessed and identified
• Any site and fabric related issues of the building should be identified 
• And general policies for the long-term conservation of the building should have been developed 

This statement will be key for planning and listed building consent. 

Once this information has been compiled into a conservation plan, this can then be developed into a conservation management plan which will include a section for each issue that details, how that issued will be dealt with, which policies will affect it, who should deal with it and what the timeframe will be. The conservation management plan can also include a section on maintenance, giving guidance on how to deal with routine matters informing the O&M manual that will be produced at the end of any major programme of work. Professionals and supply chain members can feed into the production and development of the conservation management plan which could include from architects to tradespeople with specialist knowledge of the history and dating of construction techniques. It will also incorporate third party consultations on heritage issues and identify areas of future research. 

This work will lead to a drawn analysis of:

• The development and morphology of the site and buildings
• Definition of views, setting and curtilage
• First-pass dating of the historic fabric
• sensitivity, concentrating on spaces, fittings and finishes
• any site-specific furniture or collections.

This work will then in return inform the design studies, the project execution plan and starting to inform the construction and health and safety strategy which will start to identify any potential clashes between modern good practices and the need to conserve the historic building fabric. A sensitivity and vulnerability analysis should also be developed at this stage to inform the design work, this could include a room by room analysis particularly where notable features are present such as fireplaces, decorative plasterwork and so on. This work essentially analyses the historic fabric, the physical aspect of the building as it currently stands and starts to define what can be done and where in the building. Alongside this, relevant planning policies should be considered which would inform how the significance of the site and buildings will be sustained and enhanced. 

In some instances, particularly for larger sites, the design studies may be expressed as a drawn masterplan which allows direct comparison with the option studies and emerging proposals. And this work will feed into the Cost Information and option studies directly informing the Project Strategies and project brief.

This process then feeds into a clearer view on the best procurement route, as previously mentioned, traditional procurement tends to be most approrpiate with such projects, design and built can be used if the initial project brief and employer’s requirements have been sufficiently well defined. Forms of contract like cost plans and construction management may also be suitable for work on existing buildings. At this stage, as mentioned, specialist craftspeople and suppliers should be consulted on their capabilities, capacity and lead times to determine their suitability for the project. 

In terms of the project programme, any impact to it depends on the amount of information already available and its quality and the complexity of the works. The Project Programme can then be updated to reflect the timings for the specification, procurement, site work and reporting on non-intrusive investigations, intrusive surveys, any pre-application advice received as well as the anticipated length for the development of the planning submission documentation and subsequently the planning application and listed building consent decision timeframes from the local authority.

If the proposals are relatively simple and uncontroversial, it may be accepted to submit planning and listed building applications at this stage, however, many local authorities expect a design to be submitted during stage 3. Some local authorities don’t have in-house conservation expertise and they may seek advice from an external adviser, ideally this process should form part of the pre-application discussions. Although sometimes, it may be quicker and cheaper to submit a listed building application straight away, because even if its refused the applicant will get a full written statement of the reasons for refusal and the applicant may wish to go back in with a new application addressing any concerns.  

And, then at RIBA Stage 3:

It is at this stage typically that the planning application and listed building consent would be submitted. This is mainly due to the fact that listed building consent is specific to the design and detail submitted as more detail is required to consider the implications of a proposal if its a listed building. Therefore, more supporting documentation and explanation is required for such applications and are therefore best placed to be submitted at Stage 3.

The analytical, descriptive and theoretical work undertaken during the earlier stages by the design team will at this stage be moved on to the practical strategy of technical solutions and their coordination. 

The Key Supporting Tasks at this stage include:

• Reviewing and updating the Sustainability, maintenance and operational, handover strategies and risk assessments
• Undertaking third party consultations as required
• Reviewing and updating the Project Execution Plans
• Reviewing and updating the construction and health and safety strategies
• Reviewing all the project strategies previously generated
• Determine if a full sustainability assessment is to be carried out and if so, to be integrated with conservation and heritage concerns relevant to the existing historic fabric

The core objective, therefore, at this stage include preparing the developed design, which involves the coordinated and updated proposals for structural design, building services systems, outline specifications, cost information and project strategies in accordance with the design programme. 

So development of a coordinated design is key at this stage, apart from the structure and mechanical and electrical systems, the fire strategy will also need to be considered and integrated into the design of the building. Such as the inclusion of fire compartmentation and fire detection where required in order to achieve safe means of escape. 

Inclusive access will also be a key element to consider and develop the argument in support of the proposed solution, especially where inclusive access can’t be achieved for the entire building. An access audit will initially be required to identify which areas of the building can’t be accessed and then identify suitable measures to overcome certain obstacles to make the building as accessible as possible without compromising its character and significance. Ramps may be installed for example or lifts to enable unobstructed access throughout the building. Other considerations will include singage and way-finding. Generally inclusive access should be seen as a significant enhancement of a historic building and a key element of sustaining its future. 

Another item that should be considered at this stage is specialist work packages that should be identified as some details or materials may not be readily available so should be considered early to be able to be sourced in time for mobilisation to avoid long lead times. If salvaged materials are going to be used, they might need to be bought and stored early in order to secure the supply. Before doing so, however, the local planning authority or any other relevant authority should be consulted to ensure they are happy with the selection which will probably form part of a planning condition.

The conservation plan should also be finalised at this stage so that it can be submitted as part of the planning and listed building consent application, but it should remain a live document to be updated during later work stages and when the building is in use. A heritage impact analysis should also be undertaken at this stage which would form part of the design and access statement and should respond to the relevant section of the NPPF. The design and access statement should outline the options explored and summarise the reasoning behind the decisions made with a section detailing how the proposals comply with the NPPF.

So once all the documentation has been completed and ready for planning and listed building consent, there will be a clearer view of the most suitable procurement route. If design and build was to be chosen, the clients design team should have developed the design before being released to the contractor team and the clients team should also ideally deal with any conditions. Its also important at this stage to discuss with the client the possibility of refusal of the application and if they are prepared to go to appeal. Before submitting the planning and listed building consent its also worth considering if the proposal should undergo a Design Review Panel process that will provide a clearer view to the client and design team of how favourably the proposal is being looked upon and its likelihood of success. 

Further surveys may then need to be undertaken which are intrusive and may need parts of the building to be vacated if there is suspicion of hazardous materials being present. Depending on the nature of the building, the local authority may require some intrusive survey work before validating a listed building consent application. 

Once planning and listed building consent has been granted its important to check the planning conditions associated with the two approvals and if the conditions are the same or if they vary in any way. Then they should be broken down to the conditions which must be cleared first before any work starts in site, then those which must be cleared before a specific item of work starts, and then those which have to be cleared before the building is occupied. Failing to clear a condition before undertaking the work involved will be a potentially criminal act. The detail required for clearing a listed building consent condition is often much greater than that required for planning permission and can necessitate design beyond that needed for Building regulations approval and agreement of samples of materials. The overall message is that the clearance of the conditions attached to a listed building consent needs preparation, adequate time and resources and careful management.

To sum up what I discussed today:

• The aim of todays episode is to show how the project team can work sensitively and effectively with a variety of heritage assets and historic buildings using the RIBA Plan of Work as a guidance map of what is required at each RIBA Stage 
• So at Stage 0, the spirit of the place should be identified, alongside the scope of the heritage assets on and around the site which as a result will inform the project programme and any risk implications. 
• At Stage 1, the heritage receptors should be identified and a general understanding of the project should be determined based on the site and buildings and any information sources available. Likely required surveys should also be identified at this stage as well as providing initial advice to the client regarding the procurement route
• At Stage 2, a heritage statement should drafted and it should be determined if it will be developed into a conservation plan. An impact assessment should also be drafted at this stage together with non-intrusive surveys to determine the condition of the building/s and identifying the presence of any hazardous materials. The architect should also advise the client on any specialist involvement and input required and if a BIM model will be a suitable tool to be used for the project. 
• And at Stage 3, the heritage statement or conservation plan should be completed, as well as the heritage impact assessment required for planning and listed building or scheduled ancient monument consents. A design and access statement is also required at this stage to accompany the planning and listed building applications that are to be made at the end of this stage, together with any relevant specialist reports and inputs.