Capital Funding Schemes Voluntary and Co-Operative Housing

VOLUNTARY & CO-OPERATIVE HOUSING CAPITAL FUNDING SCHEMES

Templates for Application, Appraisal and Approval Stages

Capital Funding Schemes – Voluntary and Co-operative Housing

Revised arrangements for the Appraisal, Approval and Implementation of Voluntary and Co-operative Housing Projects.

Standard Templates

To be used in conjunction in the Application, Appraisal and Approval stages of Projects.

22nd January 2009

Dear Director of Housing,

I wish to refer to Circular VCH2/08 which set out revised arrangements for the appraisal, planning and procurement, and implementation stages of voluntary and co-operative housing projects being progressed under the Department’s Capital Funding Schemes (Capital Assistance and Capital Loan & Subsidy schemes). As advised in the circular standard templates, for completion by the Approved Housing Body in consultation with the Housing Authority, appropriate to the development of all stages of a project – Appraisal, Planning and Procurement, Implementation and Review are now enclosed.

The templates, to be completed in respect of all proposals, are designed to provide a consistent approach for both the Approved Housing Associations and Housing Authorities in complying with circular VCH2/ 08. At an initial stage the Appraisal Templates will assist the Housing Authority in undertaking both a preliminary and detailed appraisal in order to determine if a proposal meets with the strategic housing objectives for delivering on need and contributes to the achievement of the Housing Action Plans.

Planning and Procurement templates are designed to include all the necessary stages - from the detailed planning and design to tender evaluation stage. The housing authority is required to ensure that the procedures for the engagement of the design team, technical advisers and other professional service providers are in strict accordance with Public Procurement requirements and the New Forms of Contract. A Post Tender Funding Submission Checklist is included to aid completion of post tender funding applications. The template on stage 3 (Implementation) is required only in respect of Change Orders.

Finally, to facilitate in the undertaking of a post project review a template for completion by the Approved Housing Body is included.

Maureen Sheehan

Assistant Principal

Voluntary & Co-operative Housing Grants Section

Stage 1 - Appraisal / Page
1 (a) / Preliminary Appraisal / 6
1 (b) / Project Brief/Detailed Appraisal / 8
1 (c) / Sample Project Brief / 12
Stage 2 - Planning & Procurement / Page
2 (a) / Consultant Tender Evaluation Report / 25
2 (a) (i) / Pre-Statutory Planning & Design Submission to the Local Authority with reference to General Commentary and Design Brief Guidance / 27
2 (b) / Detailed Cost Plan / 29
2 (b)(i) / Project Cost Summary - Traditionally Procured Project / 31
2 (b)(ii) / Project Cost Summary - Design & Build Project / 34
2 (b)(iii) / Project Cost Summary - Part V Project / 37
2 (b)(iv) / Project Cost Summary - Turn Key Project / 40
2 (c) / Project Plan Checklist / 43
2 (d) / Post Planning Permission Cost Review / 46
2 (e) / Record of Tender Opening for Works Contracts / 47
2 (f) / Tender Evaluation Report / 49
2 (g) / Post Tender Funding Submission Checklist / 51
Stage 3 - Implementation / Page
3 (a) / Change Order Request Form / 54
Stage 4 - Review / Page
4 (a) / Post Project Review / 57

Stage 1 – Appraisal

(a) Preliminary Appraisal

Name of Approved Housing Body (AHB) ______

Brief Summary of Housing Project Proposal and location ______

______

Information required by Local Authority to undertake Preliminary Appraisal based on housing needs, action plans and capital appraisal guidelines:

REQUIREMENTS / COMMENT AND GUIDE
Proposed project to impact on relief of local authority assessed housing needs / Identify housing need to be met. What evidence has the Approved Housing Body (AHB) that there is a housing need? Has the Local Authority identified the housing need? How will the proposed project address need?
Site availability/suitability. What type of project is proposed e.g. new build, turnkey, Part V, renovation? Has a site been identified, where is it located, how will it be purchased, what funding options have been explored?
If there is a special needs element that needs revenue funding to meet running costs, for example if the project is to house people with disabilities, has the Health Service Executive (HSE) been consulted? Does it support the project in principle, based on need, priorities etc.?
Action Plans / Is the project in the Local Authority’s current Action Plan? If not what calendar year will it be in the Plan?
Capital Appraisal Guidelines / AHB to confirm that it is familiar with the terms of the Capital Appraisal guidelines- reference Department of Finance, Guidelines for the Appraisal and Management of Capital Expenditure Proposals in the Public Sector, February 2005 amended by Department of Finance VFM Circular of 25 January, 2006.

Date completed by AHB: Day______Month______Year______

AHB may wish to take a note of the initial meeting and send a copy of it to the local authority.

ACTION

Local Authority to recommend that AHB can proceed to the next stage of preparing a Project Brief for the detailed appraisal or advise otherwise (preferably in writing)

Stage 1 – Appraisal

(b) Project Brief/detailed appraisal-Introduction

Information required by Local Authority to undertake Detailed Appraisal in order to approve or reject a project in principle or to revise/amend it.

Technical Consultants for planning/design will not have been appointed at this stage but the Approved Housing Body should complete this as fully as possible.

REQUIREMENTS / COMMENT AND GUIDE
Name and address of approved housing body (AHB) together with confirmation of approved status. / Details of contact person in AHB required as well as date approved status granted by the Department of Environment, Heritage & Local Government.
Description of housing needs to be met (including special needs if appropriate) as agreed with the local authority at the preliminary appraisal stage. / Type of housing need and how it relates to the local authority housing action plan and housing strategy. How does the project address need? Identify options considered by AHB to meet need, including preferred option.
Attach Preliminary Appraisal template for information.
Brief outline of the project, including number and type of housing units proposed & if there is to be a communal facility. / As well as proposed number of units, indicate unit types e.g. 1 or bed houses or apartments, group home, hostel accommodation. Detail proposed use of communal facility.
Site information – availability, selection, location, ordnance survey map, local area characteristics, existing communities and density exercise – number of units. / Legal ownership. How the site is to be obtained / acquired, e.g. via local authority, Part V, private market. Current planning status of the site. Is it serviced and zoned for residential use? How is it to be purchased? What funding options have been explored?
Resources available. Funding options as well as a note on the capacity of the AHB – has it the appropriate skill base internally or will it procure services externally?
A statement of intent setting out what the AHB is going to do and how it is going to commission consultants; the procurement method/strategy. Confirmation of compliance with EU and or national procurement guidelines. / What type of capital funding scheme is to be used? If there is a capital funding shortfall how this is to be addressed? Who will be responsible for the different phases of the proposed project e.g. housing association development staff, consultants, employer’s agents or contractors? Outline the procurement strategy and method to be used, confirming compliance with the relevant guidelines or legislation.
Timescale for development of project, Project management arrangements- programme outline, indicative timescales from start to completion. / Can be used to track progress of development.
Initial all-in indicative cost estimate. Align costs with Department of Environment capital funding limits. Value for Money (VFM) assessment. / Estimate total cost based on the number of units, the site cost(s) and professional fees. How much of the overall project cost will be met by the capital funding limits?
All in cost estimate & how the project will deliver VFM. As a reference use the Local Authority benchmark unit costs current market values, any experience of previous recent schemes tendered for, cost of similar Local Authority projects, estimate cost per square meter of overall floor area and use of re-build values or on turnkey indicate discount of value of property.
Funding sources and co-funding agencies, if appropriate-Funding schemes / Indicate clearly the capital funding schemes to be used as well as revenue funding from agencies such as the HSE. Note relevant contact persons who are responsible especially in HSE.
Consider local context in relation to the project contributing towards sustainable and balanced communities with an adequate range of housing to meet identified needs. / Indicate how the project contributes to a socially inclusive and sustainable community.
Describe housing mix envisaged in project both tenure and house type-and access to local services / Indicate how the project contributes towards a balanced housing supply by improving tenure choice and housing solutions in the area, including special needs
Consider the extent of existing social rental housing and other housing tenures in the area / Indicate how the proposed project contributes to balanced housing provision and avoids increasing a mono-tenure neighbourhood.
Sample Project Brief / Please see separate sample ‘Project brief’ outline.

Date completed by AHB: Day______Month______Year______

AHB may wish to take a note of the meeting to discuss the project brief and send a copy of it to the local authority.

ACTION

Date approved in principle by Local Authority for AHB to proceed to detailed planning/design stage or date rejected or recommendations made to revise/amend project

Day______Month______Year______

Appraisal – Stage 1 (c) Sample Project Brief

TEMPLATE DOCUMENT

Name of AHB

(Approved Housing Body)

Project Brief

submitted to

(Local Authority name)

In Relation To

CAS or CLSS Funding Scheme

Project Location______

Project Brief

Section 1.General Details

Name of Approved Housing Body:………………………………………………….…………

Date Approved Status Granted by Department:……………………………………………

Charitable Recognition No. ………………………………………………………..……………

Tax Reference No. of Approved Body …………………………………………………………

Tax Clearance (C2) of Approved Body to expire: ………………………………...…………

Contact Person within Approved Housing Body: ……………………………………………

Contact Details:

Address:……………………………………..

……………………………………..

Telephone:……………………………………..

Fax:……………………………………..

Mobile:……………………………………………..

Email:…………………………………….

Section 2.Outline of Project

The description of the projects, size and location etc. must be stated clearly with purpose of project identified (e.g. housing needs to be met)together with proposed design brief where applicable.

Section 3. Housing Needs to be met

The following section addresses how the project outlined in Section 2 relates to the needs of the Local Authority as indicated on pages 2 and 3.

………………………………………………………………………………………………

Section 4. Site Information

Location of Site (OS Map attached): …………………………..……………………..

Approximate Area of Site: …………………………………………………………….

Current Ownership of Site: …………………………………………………………...

How is Site to be Acquired: ......

Acquisition Cost of Site: ………………………………………………………………

Market Value of Site (if known): …………………….………………………………...

Current Planning Status or Zoning of Site: ………………………………………..

Details of Adjoining Land Uses: ……………………………………………………..

Details of land in area owned by LA: ……………………………………………….

………………………………………………………………………………………………

Plans for other social housing schemes in area: ………………………………...

………………………………………………………………………………………………

Existing social housing projects in area: ………………………………..…………

………………………………………………………………………………………………

Section 5. Project Management Arrangements

5.1Details of Consultants to be procured as part of the Project Design Team.

Consultant / In House / External
Project Supervisor Design Process
Architect
Quantity Surveyor
Civil and Structural Engineer
Mechanical and Electrical Engineer
Landscape Architect
Project Manager
Employer’s Agent
Environmental Consultant
Clerk of Works
Other:

5.2Procurement Strategy for Technical Service Consultants

Requirements / Procedures to be used for project
Consultants to be appointed in line with public procurement requirements / Approved Housing Body will advertise for framework
Or
Invite tenders from technical consultants in line with national or E.U. threshold levels

Will Consultant Appointments be made from a framework panel?

If YES,

Details of procurement of framework panel to be provided.
Scheme will be tendered to consultants under restricted procedures.
Number of tenderers to be invited to tender for each discipline will be:

………………………………………………………………………………………

If NO,

Is anticipated aggregate value of service contracts is in excess of €206,000 exclusive of VAT (EU threshold for period 1st January 2008 to31st December 2009)?

If YES,

It is confirmed that the scheme will be tendered in accordance with EU Procurement Directives
The selection will be based on OPEN / RESTRICTED Tender procedures
Number of tenderers to be invited to tender for each discipline will be:

………………………………………………………………………………………

If NO,

It is confirmed that the scheme will be tendered in accordance with National public procurement requirements
The selection will be based on OPEN / RESTRICTED Tender procedures
Number of tenderers to be invited to tender for each discipline will be:

………………………………………………………………………………………

5.3Procurement Strategy for Building Works Contract

Requirements / Procedures to be used for project
Competitive process for inviting tender prices in line with public procurement requirements and taking account of procedures relating to national or E.U. threshold levels for value of works (excl VAT) / Approved Housing Body will arrange for either a pre-selection procedure for suitable contractors to be included in tender invitation list in accordance with procedural guidelines
Or
Adopt an open tender submission process

Is the estimated value of the works contract outlined in Section 5 in excess of EU threshold of €5,150,000 exclusive of VAT (EU threshold for period 1st January 2008 to31st December 2009)

If YES,

It is confirmed that the scheme will be tendered in accordance with EU Procurement Directives
The selection will be based on OPEN / RESTRICTED Tender procedures
Number of contractors invited to tender will be:

If NO,

It is confirmed that the scheme will be tendered in accordance with National public procurement requirements
The selection will be based on OPEN / RESTRICTED Tender procedures
Number of contractors invited to tender will be:

5.4Anticipated Programme for Completion of Project

Stages / Time Scales
Appraisal Stage
Planning/Design Phase (selection & appointment of consultants and planning
& design work)
Application for Planning Permission / 2 months (without appeals)
Preparation of Tender Documentation/
Modifications
Competitive process for Tender Documents
Selection for Tenders and Report
Construction Stage

Section 6. Cost Estimates

6.1Initial Estimate of Costs (based on Form SHIP 01)

No. of Dwellings:Social Rental (AHB); ………………

Affordable Purchase: ………………

Other:…………………….…

Estimated Housing Construction Costs (Incl VAT) €………….

Estimated Cost of Communal Facilities (Incl VAT)€………….

Land/building site cost€………….

Professional Fees (incl VAT)€………….

AHB Development Allowance€………….

AHB Legal Fees (incl VAT)€………….

Site Supervision / Clerk of Works (incl VAT)€………….

Other (to be listed):€………….

Total Value of Project€………….

6.2Sources of Funding

Capital Funding: It is anticipated that the above scheme will be funded as follows:

Funding Source / % of costs or / maximum value
Capital Loan Subsidy Scheme
Capital Assistance Scheme
Communal Facilities Grant
Funding from AHB
HSE
SEI
Other:

Revenue Running cost Funding: In addition, it is proposed that revenue funding will be received as follows:

………………………………………………………………………………………………………………

……………………………………………………………...………………………………………………

………………………………………………………………………………………………………………

Section 7. Sustainable Community Proofing

In accordance with Delivering Homes, Sustaining Communities, the proposal has considered the issues of large mono-tenure estates and the provision of additional housing in areas where there is already a predominance of social or low cost private rental accommodation.

The following confirms how the scheme fits in with the surrounding area and how the development will socially inclusive, balanced and sustainable communities

………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

Section 8. Authorization of Approved Body

Submission of the Project Brief to be signed by two authorized officials of the Approved Housing Body.

…………………………………..………………………………………

SignatureName in Block Capitals

…………………………………..………………………………………

SignatureName in Block Capitals

Date:

ACTION

Local authority to issue notification to AHB of Project Brief Appraisal Stage: Approval to Proceed to Planning and Procurement or advise otherwise (preferably in writing)

This follows agreement by the DoEHLG to include the project for funding or for projects which are valued at over €5m agreement by the DoEHLG to provide funding for project planning and design stage (fees).

Stage 2 – Planning & Procurement

Stage 2 - Planning & Procurement

(a)Evaluation of Fee Tender Submissions by Technical Consultants

Consultant Tender Evaluation Report / Comment
Tender chosen or invited. Refer to tendering procedures in Department of Finance guidelines. / Name of consultants invited to tender and who actually tendered. Also include name of successful tender and the organisational structure.
Contract for fees
Indicative programme / Schedule A & B of the Consultants Contract detailing scope of services
Procurement/tender process / Procurement process whether open, selective or negotiated. EU or National. Call for a specific project or restricted to an existing framework.
Ranking of submitted and valid tenders; include copy of successful tenderer opening page and recommendation for award of contract with VFM explanation / In terms of criteria ranking in ascending order of submitted tenders.
Please note: The information provided here may be commercially sensitive.
Tender Award Criteria used (MEAT) / For Most Economically Advantageous Tender (MEAT) indicate the quality to price ratio as well as ranking of quality criteria.
Other comments about successful tender

Stage 2- Planning & Procurement

(a) (i) Pre- Statutory Planning and Design Submission to Local Authority

Having received appraisal approval in principle for the project from the local authority, the following planning/design and cost plan information is required for the detailed planning & design stage. The Approved Housing Body (AHB) will appoint a Design Team in accordance with public procurement requirements and New Forms of Contracts to carry out this work.

Planning/Design Submission to local authority prior to statutory planning application

REQUIREMENTS / COMMENTS AND GUIDE
Ordnance survey map showing location of site. / Also provide information on the wider site context. And confirmation that the site is satisfactory for the proposed housing project.
1:500 site plan indicating boundary and adjoining lands.
1:200 site layout identifying external works, boundary treatments, site contours, paving, hard and soft landscaping.
1:100 floor plans of all dwelling types, room areas and dimensions.
1:100 section and elevation drawings of individual units.
1:200 apartment block or street elevations showing context of proposed buildings to surrounding buildings.
General commentary / The commentary should demonstrate how the proposed project relates to the local context as well as how the project itself will operate. This information is required to support the designs/ plans listed above. It should include housing management aspects, future maintenance e.g. implications for window cleaning and painting, layout, any demolitions, access to buildings, public and open space, boundaries, security measures and environmental aspects e.g. solar panels, insulation and have regard to DoEHLG Delivering Homes-Sustaining Communities.
Design Brief as issued to technical consultants / Design brief to be prepared in accordance with Best Practice Guidelines with reference to DoEHLG Delivering Homes Sustaining Communities.
Schedule of House Types having regard to DoEHLG Guidelines for dwelling designs and room sizes / Supply list of house/apartment types (one, two, three bedroom) and floor area sizes etc. for compliance purposes.

Stage 2 - Planning and Procurement

Capital Funding Schemes Voluntary and Co-Operative Housing

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