stock condition surveys rics guidance note - j-almar introduction the rics stock condition survey...

Stock Condition Surveys

RICS guidance note

2nd edition

Published by RICS Business Services Limited

a wholly owned subsidiary of

The Royal Institution of Chartered Surveyors

under the RICS Books imprint

Surveyor Court

Westwood Business Park

Coventry CV4 8JE

UK

www.ricsbooks.com

No responsibility for loss occasioned to any person acting or refraining from action as a result of the materialincluded in this publication can be accepted by the author or publisher.

Produced by the Royal Institution of Chartered Surveyors Stock Condition Survey Working Group.

First edition published 1997

Reprinted 2002

ISBN 1 84219 227 2

© RICS Business Services Limited (RBS) 2005. Copyright in all or part of this publication rests with RBS, and save byprior consent of RBS, no part or parts shall be reproduced by any means electronic, mechanical, photocopying orotherwise, now known or to be devised.

Typeset in Great Britain by Columns Design Ltd, Reading, Berks

Printed in Great Britain by Q3 Print Project Management Ltd, Loughborough, Leics

Contents

RICS guidance notes vi

Introduction vii

Acknowledgements viii

Part 1 Detailed issues and definitions 11 Stock condition surveys – definitions

1.1 Overview1.2 Key issues1.3 Stock condition surveys1.4 Background to stock condition surveys1.5 Stock condition surveys today1.6 Terminology

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2 Organisations’ needs2.1 Overview2.2 Key issues2.3 The need for property condition surveys2.4 Asset management needs2.5 Compliance with statute2.6 Balancing costs and benefits of condition surveys

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3 The range of buildings or assets covered3.1 Overview3.2 Key issues3.3 The range of buildings or assets covered3.4 Specialist buildings

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4 Life spans4.1 Overview4.2 Key issues4.3 Using in-house data4.4 Published data sources4.5 Limiting life-time judgements to five years4.6 Condition and priority

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5 Coding, descriptions and links5.1 Overview5.2 Key issues5.3 Overview of data structures5.4 Managing coding issues5.5 Coding options5.6 Coding hierarchy5.7 Coding in practice

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6 Using existing information6.1 Overview6.2 Key issues6.3 General6.4 Mapping data from existing to current survey6.5 Data transfer as a separate exercise6.6 Using existing data for a stock condition survey6.7 Condition surveys as a continuous process6.8 Future stock condition surveys

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STOCK CONDITION SURVEYS | iii

7 Survey collection systems7.1 Overview7.2 Key issues7.3 Collecting survey data7.4 Paper versus electronic data collection7.5 Selection of electronic software and hardware7.6 Other survey collection processes

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8 Statistics – managing the risk8.1 Overview8.2 Key issues8.3 Statistics relating to the survey8.4 Sampling strategies8.5 Sampling options8.6 Sample surveys8.7 Statistical assumptions8.8 Surveyor variability8.9 Statistics relating to reporting

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9 Information technology9.1 Overview9.2 Key issues9.3 Information technology systems9.4 Choice of systems9.5 Procuring a system9.6 Data Protection Act 1988

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Part 2 The survey process 51

10 Briefing10.1 Overview10.2 Key issues10.3 The stock condition survey brief10.4 Information provided by the client10.5 Programming and managing the survey10.6 Post field survey

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11 Procurement11.1 Overview11.2 Key issues11.3 Procurement options11.4 Procurement of specialist consultants11.5 Competitive tendering11.6 Tender documentation11.7 Negotiated contracts11.8 Partnering arrangements11.9 Payments11.10 Evaluating bids

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12 Conditions of engagement12.1 Overview12.2 Key issues12.3 Commissioning12.4 Conditions of engagement

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13 Carrying out the survey13.1 Overview13.2 Key issues13.3 Background information13.4 The pilot survey13.5 Quality of the survey13.6 Arranging access13.7 Carrying out the survey

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14 Reporting14.1 Overview14.2 Key issues14.3 Reports14.4 Nature of the report14.5 Presentation and content

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15 What to do after the survey15.1 Overview15.2 Key issues15.3 From survey data to implementation works15.4 Updating survey data

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AppendicesAppendix 1 References

General referencesHousingEducationHealthcareInternationalInformation technologyStatisticsComponent lifespans and life cycle dataLegislation

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Appendix 2 Online (electronic) materialGovernment and government agenciesAccessibilityEducationHealthSocial housingConservation of the historic environmentTown planningGeneral

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STOCK CONDITION SURVEYS | v

RICS guidance notes

This is a guidance note. It provides advice to RICS members on aspects of theirpractice. Where procedures are recommended for specific professional tasks,these are intended to embody ‘best practice’, i.e. procedures which in theopinion of RICS meet a high standard of professional competence.

Members are not required to follow the advice and recommendationscontained in the note. They should, however, note the following points.

When an allegation of professional negligence is made against a surveyor, thecourt is likely to take account of the contents of any relevant guidance notespublished by RICS in deciding whether or not the surveyor had acted withreasonable competence.

In the opinion of RICS, a member conforming to the practices recommendedin this note should have at least a partial defence to an allegation of negligenceby virtue of having followed those practices. However, members have theresponsibility of deciding when it is appropriate to follow the guidance.

On the other hand, it does not follow that members will be adjudged negligentif they have not followed the practices recommended in this note. It is for eachsurveyor to decide on the appropriate procedure to follow in any professionaltask. However, where members depart from the practice recommended in thisnote, they should do so only for a good reason. In the event of litigation, thecourt may require them to explain why they decided not to adopt therecommended practice. Also, if you have not followed this guidance, and youractions are called into question in an RICS disciplinary case, you will be askedto justify the steps you did take and this may be taken into account.

In addition, guidance notes are relevant to professional competence in thateach surveyor should be up-to-date and should have informed him- or herselfof guidance notes within a reasonable time of their promulgation.

vi | STOCK CONDITION SURVEYS

Introduction

The RICS Stock Condition Survey Working Group was set up to review andupdate the 1997 guidance note. Early discussions established that significantchanges in the work of stock condition surveying had taken place in theintervening years which lead to a complete revision, in effect a new edition ofthe guidance note.

We have tried to reflect the reality of stock condition survey work whichpractitioners are engaged in to identify good practice. The nature of stockcondition surveys have changed profoundly.

+ Stock condition surveys are commissioned for a range of purposes; fromthe strategic level to inform high level asset policy and planning, to theoperational level where detailed information on component, location,condition and costs provides the basis for maintenance plans andimplementation.

+ Stock condition surveys are carried out on all building types; institutional,commercial as well as housing.

+ The range and breadth of data collected is constantly expanding;multifaceted surveys focus on legal compliance, energy and spaceutilisation, as well as condition.

+ Methods of data collection advanced with the computing revolution;surveys can now be carried out and analysed in real-time with internetbased technologies.

Stock condition surveys are about knowledge management. It is essential todetermine the questions which the client wants to address: one of the key issuesto get the best out of a condition survey is to define the purpose of the surveyclearly at the briefing stage. The stock condition survey can then be designed toensure relevant data is collected, processed and presented.

This guidance note is structured in two parts:

Part 1 covers key issues in detail;

Part 2 runs through the process of carrying out a stock condition survey frombriefing to completion.

The stock condition process and detail are related: decisions made aboutdetailed issues influence the process of carrying out a stock condition survey.Where there are clear links between detailed issues and processes these havebeen highlighted.

We are aware of the forces of globalisation; condition survey work is notrestricted geographically to the UK. While most of the references and contextof this guidance note is UK based the principles, processes and decisionmaking comprise a core set of techniques and methods which can be applied tomost building types anywhere in the world.

STOCK CONDITION SURVEYS | vii

Acknowledgements

The RICS Stock Condition Survey Working Group wrote this guidance notebetween 2003 and 2005. The Stock Condition Survey Working Groupcomprised the following members:

Peter Mayer BA BSc MRICS (Chairman): Building Performance Group (nowwith Building LifePlans)

Brian Golton BSc MRICS: Moat Housing Group

Lee Gower BSc MRICS: Wilks Head & Eve

Malcolm Thomas BSc FRICS: Property Tectonics

David Brindley FRICS: Institute of Public Finance

Richard Atkinson FRICS: Tuffin Ferraby & Taylor

Malcolm K Lytton DipBS MRICS: Valuation Office Agency

Robert Wootton MRICS: Shaftesbury Housing

Timothy Richardson TechRICS ACIOB: David Wilson Partnership

viii | STOCK CONDITION SURVEYS

Part 1: Detailed issues and definitions

1 Stock condition survey – definitions

1.1 Overview

This section provides a working definition of what a stock condition survey is,what may be covered by a stock condition survey and gives examples of whatmay comprise a stock condition survey.

Stock condition surveys have developed from being largely a housingmaintenance management tool to an all-inclusive and broad ranging asset andinformation management tool which can be used on any type of asset for awide range of needs.

1.2 Key issues

There is no simple definition of what a stock condition survey is.

A working definition is ‘A survey of property assets to collect informationabout the condition of stock for a defined purpose.’

Each aspect of the stock condition survey has to be carefully defined to meetthe needs of the client for a particular purpose.

1.3 Stock condition surveys

We have taken a broad view of the definition of a stock condition survey toreflect current practice and experience.

A stock condition survey may be described as ‘A survey of property assets tocollect information about the condition of stock for a defined purpose.’

This definition is best understood by looking at each of the key termsindividually and with examples.

Stock Stock can be any aspect of the built environment:+ assets – buildings or components these may be, for example,

domestic, commercial, industrial or institutional;+ spaces – for example: public spaces, parks, pavements; private

spaces, corridors, atria;+ facilities – for example: provision of lighting, accessibility;+ attributes – for example: material, measure, location.

STOCK CONDITION SURVEYS | 1

Condition Condition is the criteria by which the stock is to be judged. Conditionmay be interpreted broadly. Typical condition issues include:+ state of repair or disrepair;+ physical state and need for maintenance;+ existence of components;+ health and safety;+ fitness for purpose;+ capacity to meet regulatory requirements;+ capacity to meet performance requirements.

Survey Surveys are usually visual appraisals. However, increasingly surveysrequire more intensive surveying techniques, such as:+ accurate measurement, for example: updating floor plans, net

internal area (NIA);+ sampling of materials, for example: asbestos, water;+ photographic records.A representative sample (some proportion of the stock) or 100% of thestock may be surveyed.

Purpose The purpose of the survey needs to be a clearly defined. One or morereasons or expectations of the stock condition survey should be stated.The survey information and analysis must be able to answer thequestions posed when the survey was commissioned. For example:+ How can we prioritise and coordinate disparate demands, such as

repairs, provision for accessibility, upgrading energy efficiency orcomponent replacements within a limited budget?

+ What financial provision is needed to maintain the stock for thenext 20 years? How can we manage this most efficiently andeconomically?

+ To what extent is there a lack of statutory compliance in theportfolio. The stock condition survey can provide a measure of theextent to which the stock meets a defined standard.

+ Do we meet energy efficiency standards? And what are the mostefficient means of achieving a required standard of energyefficiency?

+ Which assets should we improve or dispose of?Where representative samples of stock have been surveyed a statisticalinterpretation of the data will be required.

These examples are illustrative and not intended to be comprehensive. Furtherinformation on the purpose and application of stock condition surveys followsin sections:

section 2 – Organisational needs;

section 3 – The range of buildings and assets covered; and

section 10 – Briefing.

1.4 Background to stock condition surveys

Traditionally stock condition surveys have been ‘housing stock conditionsurveys’. Commissioned by registered social landlords; housing associations,local authority housing departments and government. Stock condition surveystypically comprised visual inspection of a sample of stock to assess thecondition of components – their state of disrepair, when they needed repairing

2 | STOCK CONDITION SURVEYS

or replacing and the cost to bring them to an acceptable standard. Results wereextrapolated across the stock as a whole. The purpose was to inform financialand maintenance planning.

1.5 Stock condition surveys today

This picture of stock condition surveys may still be true. But it is only part ofthe picture.

Stock condition surveys are as much about information and knowledgemanagement as surveying; a stock condition survey is a complicated exercise inlogistics to collect the required information and data to a professional level ofaccuracy. Typically, a large quantity of data is collected which must beprocessed and presented in a comprehensive and meaningful way thereforeproviding the client with facts and information to make decisions about theirstock.

Stock condition survey data collection is not necessarily carried out by oneperson; on large or complex stock condition surveys several specialists may beinvolved, possibly requiring more than one visit to the stock. Stock conditionsurveys may be managed as an iterative process, drawing information fromother sources as well as the survey itself. Indeed, the planning of the surveymay be adjusted in response to the information flows and early analysis.

While the range and quantity of information on stock condition is effectivelyinfinite the processes for achieving a successful stock condition survey follow atypical pattern. The issues which underlie these processes are considered infurther detail in this guidance note.

1.6 Terminology

The term ‘stock condition survey’ has been typically associated with housingdue to the genesis of housing stock condition surveys.

The practice of stock condition surveying is ever-evolving and is now appliedto all building and property asset types.

The terms ‘condition survey’, ‘property condition survey’, ‘asset conditionsurvey’ may be more representative of current practice. We have kept with thetraditional terminology in this guidance with the understanding that bothstock and condition are broadly interpreted.


2 Organisations’ needs

2.1 Overview

This section answers the question ‘Why do organisations commission or needstock condition surveys?’

It considers the typical reasons for carrying out condition surveys and driversfor different sectors in the market. These include:

+ strategic asset planning;

+ detailed information for asset management;

+ assessment of compliance with regulations or functional requirements;

+ social information, for example, tenant satisfaction surveys;

+ other information, for example, location and attributes of items which aremanaged, such as trees.

2.2 Key issues

There are many reasons why organisations may commission a conditionsurvey. Often a condition survey will be used to address several issues.

The main purpose of condition surveys is to provide data or informationwhich is used to make decisions about the stock for planning, management,maintenance and financing purposes.

The costs of carrying out a condition survey should be balanced by the benefitsfrom the survey information which should lead to better decision-makingabout the stock.

It is important for all those taking part in a stock condition survey to be clearabout the purposes of the survey to ensure that the deliverables meet theclient’s needs.

This section also provides a framework for clients who are consideringcommissioning a stock condition survey.

2.3 The need for property condition surveys

Asset management planning is a business process with the underlying purposeof achieving the best use of property assets and of minimising the opportunitycosts of resources tied up in land and buildings. Condition surveys underpinthis asset management planning process, and because one measure ofcondition is compliance with current legislation, it has led to surveys beingcommissioned for an ever wider range of purposes as the range of statutes thathave to be complied with continually changes.

The drivers for stock condition surveys differ, reflecting the differing demandsput on organisations. For example, the government’s ‘Schools for the Future’initiative – an external driver – may result in a stock condition survey ofschools in order to access funding, make decisions about viability of buildingsand to estimate repair expenditure. The driver for stock condition surveys may


be internal, for example, an organisation such as a portfolio holder ofwarehouses may commission a stock condition survey to determine a plannedmaintenance programme and best value component replacement strategy.

Typical drivers for stock condition surveys

Drivers which prompt organisations to commission stock condition surveysmay include:

+ best value in planned maintenance;

+ decent homes and quality standards;

+ due diligence and forward planning in the UK context of Private FinanceInitiative (PFI) and Public Private Partnerships (PPP) projects;

+ energy efficiency and conservation;

+ sustainability issues;

+ housing stock transfers;

+ information to manage the demands of users or occupiers;

+ providing information for benchmarking both reference data andcomparative data.

Legislative drivers

+ Fire Safety;

+ Workplace Regulations;

+ Fitness standard and the Housing Health and Safety Rating System;

+ Disability Discrimination Act 1995;

+ Control of Asbestos at Work Regulations 2002.

2.4 Asset management needs

Typically stock condition surveys are commissioned to provide information tosupport both the strategic and operational aspects of asset management. Theboundary between strategic and operational is not always clear cut but there isa clear interrelationship; detailed operational information providesinformation to make decisions strategically, once these decisions are made theoperational aspect puts them into practice.

Generalised management needs

+ Collecting information on physical condition and current performance ofproperty.

+ Assisting property managers in appraising the condition of their stock.

+ Costing, prioritising and planning repairs, maintenance and improvementwork.

+ Minimising unexpected failure and disturbance to occupied buildings.

+ Targeting scarce resources.

+ Services asset register.

+ Inspection of services plant and equipment.

+ Fitness for purpose.

+ Energy performance.

+ Space utilisation.


+ Sufficiency and functional suitability.

+ Space management – improving space utilisation.

+ Drainage survey.

+ Security measures.

Strategic management needs

+ Assembling a property information database to support policy andstrategic decision-making.

+ Helping achieve value for money by providing data on which to basemaintenance strategies.

+ Ascertaining the cost of bringing property up to a required standard andsubsequently maintaining it in that condition.

+ Providing a basis for developing a long-term planned maintenanceprogramme.

+ Ensuring and demonstrating compliance with legislation, standards andgood practice.

+ Enabling rational budgeting based on need rather than historicexpenditure.

+ Budgeting for future repair liabilities – sinking funds.

+ Measuring performance – monitoring condition through time to measuresuccess of maintenance management policies.

+ Benchmarking performance against government targets, for example, LocalAuthority Property Performance Indicators (PPIs).

Operational asset management needs

+ Providing a full description with quantities of all elements of the property(not just those where work is identified) for operational maintenancepurposes.

+ Assisting property managers in determining priorities for the allocation ofresources.

+ Integrating repairs within a development or refurbishment programme.

+ Determining breaches of legislation and costing measures to resolve thebreaches.

+ Quantifying backlog maintenance, repairs or improvements for adilapidated estate.

+ Assessing repair liabilities to support due diligence or valuation.

During the course of conducting a condition survey it may be advantageousand cost-effective to collect supplementary information where this wouldaddress the requirements of the client. Potential benefits for operational andmaintenance management especially include:

+ detailed construction information and confirming ‘as built plans’;

+ property attributes, e.g. number of tenancies and leasehold terms;

+ identifying urgent day-to-day repairs;

+ quantities of materials and elements to assist specification;

+ photographic or video records to help plan maintenance access;

+ asset registers of mechanical and electrical plant and equipment for cyclicalservicing contracts;


+ floor plans for measuring cleaning contracts;

+ measuring gross internal area (GIA) for cost reinstatement (fire insurancefor commercial buildings;

+ measuring gross internal area (GIA) for Depreciated Replacement Cost(DRC) asset valuations for buildings with a specialised use where an openmarket valuation is not appropriate;

+ measuring gross external area (GEA) for cost reinstatement (fire insurance)for domestic buildings;

+ measuring net internal area (NIA) for rent reviews, rating appeals and openmarket valuations and comparisons of valuations.

2.5 Compliance with statute

Keeping abreast of changes in statute is onerous and the periodic reviews ofpremises to reassess compliance can be timed alongside the condition survey.This is particularly advantageous for the client given the overlapping nature ofregulations and the need to obtain value for money in expenditure on repairs,maintenance and alterations. For example, the cyclical need for redecorationcan incorporate colour schemes and signage to improve accessibility for thevisually impaired. Similarly, during a major refit, low to medium risk asbestosmaterials could be stripped out so avoiding the need for an annual inspections.

Some statutes which are influencing the need for stock condition surveys toprovide information to manage specific legislative duties in the UK currentlyinclude:

+ Control of Asbestos at Work Regulations 2002 – duty to manage asbestos.

+ Disability Discrimination Act 1995 (DDA) – duty to make reasonablephysical adjustments.

+ Workplace (Health, Safety and Welfare) Regulations 1992 – imposesrequirements with respect to the health, safety and welfare of persons in a‘workplace’.

+ Fire Precautions (Workplace) Regulations 1997 – require employers to carryout a comprehensive fire risk assessment of their workplace (Note: The FirePrecautions (Workplace) Regulations 1997 are due to be replaced by theRegulatory Reform (Fire Safety) Order on 1 April 2006);

+ HSE 2000 Approved Code of Practice, Legionnaires’ disease: the control oflegionella bacteria in water systems L8 – requires identification andassessment of the sources of water risk assessment. Further legislationrelated to water safely includes:

– Health and Safety at Work etc. Act 1974;

– Control of Substances Hazardous to Health Regulations 1999;

– Water Supply (Water Fittings) Regulations 1999.

+ National Building Regulations and Building Codes. For example, theBuilding Act 1984, applicable to England and Wales, has introduced recentamendments to Approved Document L: Conservation of Fuel and Powermaking the use of condensing boilers mandatory, in most cases, from April2005. This change to the building regulations may have impacts on theinformation collected on a survey where component condition,replacement or repairs are being assessed in the stock condition survey.


Information for organisational needs

Increasingly over recent years, the information collected from the stockcondition survey has not just been of use to the professions concerned withproperty maintenance. The databases which are populated as a result of thesesurveys are now of value to professions such as bankers, corporate planners,health and safety advisers and company directors. The information servesneeds such as:

+ comprehensive information system to inform corporate needs;

+ strategic planning;

+ providing a key element of a strategic analysis of property supply anddemand, for example, housing;

+ meeting the information needs for specific types of property;

+ operational management needs;

+ investment programmes; and

+ lenders’ due diligence.

Stock condition surveys may also collect economic, social and qualitativeinformation, for example:

+ socio-economic surveys of public and private sector housing occupants;

+ neighbourhood and street quality and perception studies.

2.6 Balancing costs and benefits of condition surveys

The benefits of comprehensive stock condition surveys should be balanced bythe costs of carrying out the survey and managing the data generated. Inmaking out the case for funding such an exercise, commercial and publicorganisations have to make a realistic assessment of the costs of not having inplace an information base upon which to plan for repairs and maintenance.Saving could accrue through better informed planning, prioritising, economiesof scale and supply chain management.


3 The range of buildings or assetscovered

3.1 Overview

This section answers the question, ‘What is the subject of a stock conditionsurvey?’

It considers key building types and assets typically appraised in conditionsurveys; effectively any building or asset may be the subject of a stock conditionsurvey, for example:

+ housing,

+ commercial buildings,

+ public buildings.

3.2 Key issues

Any physical or tangible asset of the built environment lends itself to conditionsurveys.

The type of buildings and assets will influence the content of the survey andpreparation required for the surveyors.

3.3 The range of buildings or assets covered

The type of building stock to be assessed for condition or state of repairinclude not only each and every building but also associated amenities, spacesand objects, for example:

+ Residential, e.g. houses, flats, gardens, hardstanding, parking, garages;

+ Public buildings, e.g. civic centres, cemeteries, car parks, monuments;

+ Government estate, e.g. offices, ministry of defence properties, policestations;

+ Education buildings, e.g. nurseries, primary and secondary school, higherand further education premises, grounds and ancillary buildings, sportsfacilities and grounds;

+ Offices;

+ Shops, retail outlets;

+ Healthcare buildings;

+ Entertainment buildings, e.g. theatres, leisure centres;

+ Agricultural buildings;

+ Commercial buildings, e.g. warehouses, factories, production facilities,industrial sheds;

+ Transport assets, e.g. stations, airport premises, highway pavements, roads,structures, street furniture;


JOBNAME: Buiding Surveys and PAGE: 18 SESS: 2 OUTPUT: Tue Jul 12 11:08:16 2005

+ Utility assets, e.g. substations, pylons, transmission masts, water towers,ancillary buildings.

Effectively any building or asset in a portfolio of properties may be the subjectof a stock condition survey.

Typically, when local authority stock is assessed assets may comprise publicbuildings, offices, theatres, leisure centres, depots and open spaces as well asresidential dwellings.

With varying types, age and complexity of construction, the requirements foreach condition survey may be different. The stock condition survey should bedesigned to address the issues associated with the assets being surveyed.

3.4 Specialist buildings

Certain types of building or services’ installations require knowledge beyondtypical traditional and modern construction methods and associated defects.In particular, historic properties and system buildings are likely to requirespecialist understanding of their fabric and structure in order to comment oncondition and future maintenance.

Large scale and commercial building services may also require input from aspecialist for condition surveys to be effective and serve the client’s needs.

Historic buildings

Condition surveys of historic buildings should be carried out by specialistswith training in historic buildings and conservation. Typically, conditionsurveys of historic buildings are governed by advice from amenity societies andorganisations such as Cadw, Historic Scotland, English Heritage or in the caseof churches, the Council of Care for Churches which gives guidance forquinquennial church inspections.

Non-traditional and system buildings

To meet the demand for housing in the post war period non-traditionalhousing was built by the thousand. Systems buildings are not always readilyidentifiable and their facades conceal a variety of structural constructions.Each system tends to have its typical failure modes and corresponding repairsor improvement options. Survey forms should be relevant to, and surveyorsshould be familiar with, systems buildings they are likely to encounter. TheBRE has published a series of reports which offer guidance on some systemsbuildings. A recent guide by the BRE Non-traditional houses (Harrison, H. et al,2004), covers more non-traditional housing types.


4 Life spans

4.1 Overview

This section considers one of the more difficult judgements which have to bemade on condition surveys; that is predicting when something has to be doneor when a component needs replacing.

Where a condition survey is being carried out to assess future repair andmaintenance requirements the ‘when question’ is a key issue.

When does the roof covering need replacing?

When do softwood windows need repainting?

When will the boiler fail and require renewal?

In other words ‘how do surveyors determine how long components will last, orwhen repairs and replacements should be carried out?’

There are a number of approaches to the issue of component longevity andmaintenance frequencies. Each with their merits and limitations. Fourapproaches are considered in this guidance:

+ Using in-house data; client data, negotiated lives;

+ Published data sources; expected service lives, component durabilityrankings;

+ Limiting life-time judgements to five years or less;

+ Condition and priority; not using lives directly but basing judgements oncondition and priority.

4.2 Key issues

Predicting future component repairs or replacements is largely a matter ofprofessional judgement. There are a number of approaches and data sourceswhich have proved useful.

It is important to confirm that the component service life figures reflect theclient’s experience of their stock and an acceptable degree of risk.

The process by which expected future component repairs and replacements arejudged should be transparent and agreed.

4.3 Using in-house data

Organisations may have their own data and experience of componentperformance. Where this data includes expected service lives and criteria bywhich to judge when components need replacing, this information can be usedas the basis for condition surveys.

A useful process is to confirm expected service lives with clients. This approachbenefits from incorporation of client experience of component longevity beingreflected in the survey. Expected lives should also reflect the client’s approachto risk. Where components are not critical to the key functions of the client, a


more generous expected service life may be proposed, whereas for criticalcomponents such as roof coverings or heating plant a more cautious approachmay be taken. Expected component service lives may be based on replacementpolicy rather than reflect performance, for example, a registered social landlordmay have a policy to replace kitchen units after 10 or 15 years even thoughcomponents may be expected to perform for 20 to 25 years.

Where there are differences between client and condition survey team over theexpected service lives for components, discussion should lead to explanation toenable a mutually satisfactory expected service life to be negotiated.

4.4 Published data sources

There is a small but growing literature resource which gives estimates ofcomponent service lives. One of the main uses of published service lives is todetermine expected service lives of components.

The service life data has to be viewed with caution as it does not always makeclear the quality of the components used, often there is no information aboutthe buildings, nor the use regimes, nor the environmental conditions whichhave resulted in the service lives stated.

Some readily available publications which include service life data include:

BMI Life Expectancy of Building Components, Building Maintenance Information,2001

This is a statistical appraisal based on the opinions of 80 surveyors whoregularly inspect buildings on the life expectancies of over 100 commonbuilding components.

Useful overview of the range of likely lives for common components. But, norecognition of different quality distinctions relating to durability.

Lifespans relate to existing components based on historic data. Not a reflectionof new components as they emerge.

Includes:

+ histograms of typical, minimum and maximum life expectancy;

+ factors to be considered when assessing life expectancy; and

+ reasons for early deterioration.

No attempt in the study is made to judge the responses nor is any accountgiven of why the components failed or lasted as long as indicated.

Life Cycle Costing for Design Professionals, Kirk, S. J., Dell’Isola, A. J., 1995

This covers several hundred components. A view of component longevity fromthe American perspective, so some caution should be taken in transferring livesdirectly to the United Kingdom.

Lives based on durability rankings

The Housing Corporation has sponsored research into an online resource TheBuilding LifePlans Construction Durability Database (The BLP CDD)accessible at www.componentlife.com which list durability rankings for some800 common building fabric and services components. The durability data isbased on a suite of component life manuals and recent research. Data includes


explicit criteria which determine durability, maintenance requirements,adjustment factors, critical design and installation assumptions andexplanatory notes.

The durability rankings have their origin in an insurance context and reflect arisk management approach which combines a review of key design andworkmanship issues. Minimum maintenance requirements are stipulated aspart of the insurance package. Insured lives are conservative estimates ofservice life.

Component durability rankings provide a basis on which to estimate servicelives. Expected service lives would be greater than durability rankings. Adetailed appraisal relating durability rankings to estimated service lives isincluded on the internet site.

Other references with service life data

NBA Construction Consultants, 1985, Maintenance Cycles and Life Expectanciesof Building Components and Materials, London, NBA CC. No longer published.Good bibliography and maintenance information, limited lifespan data.

PSA, 1991, Costs in Use Tables, London, HMSO. No longer published. Limitedlifespan data.

CIBSE 2000, Guide to ownership operation and maintenance of building services.Allocates a section on economic service lives for a broad range of mechanicaland electrical plant.

Lives based on official guidance

For some types of survey, guidance on expected service lives may be found inthe documents which are driving the surveys. For example, the Decent HomesStandard.

4.5 Limiting life-time judgements to five years

In practice judging when a component is likely to fail or require repairs isdifficult.

One approach is to limit judgements on replacement and maintenanceactivities to five years or less.

Components which do not need replacement or repairs in five years are giventheir ‘book’ or expected service life.

This approach may work well where there is a regular five-year cycle ofcondition surveys to confirm the condition of components which have beenallocated ‘book’ lives.

4.6 Condition and priority

An alternative approach is not to use expected service lives but basejudgements on condition and priority.

Each component has a ‘book’ or expected service life. The surveyor notes thecondition during the survey. The time to replacement is related to condition,where the condition is:

+ ‘as new’ – the component is allocated the full expected service life;


+ ‘showing some deterioration’ – the component is allocated a proportion ofthe expected service life;

+ ‘poor’ – the component is allocated a low proportion of expected servicelife;

+ ‘in need of replacement or repair’ – the component is not given a servicelife.

At the two extremes: ‘as new’ and ‘needs replacement’ the system works well.

It is in the grey area between where component condition ‘shows somedeterioration’ or is ‘poor’ where there may be some confusion. The degree ofdeterioration is related to the remaining service life, for example, a componentwhich shows some deterioration, say 50% would be given a remaining servicelife 50% of its expected service life. The advantage of this method is that itallows surveyors to make a judgement about condition of components, whichis integral to their training, rather than estimate future life.

There are any number of degrees of deterioration from 99% to 1%. Apragmatic view needs to be agreed with the client allowing for, say, two to fourstates of deteriorated condition to be identified which are associated with apercentage reduction of expected service life. For example, if there were threestates of condition, expected service lives may be reduced by 75%, 50% and25% respectively.

Priority

Where an organisation has limited funds for repairs or improvements somemeans of prioritising work may be required over and above a prediction ofwhen works need doing. Typically a range of three or five priority levels aresufficient. The priority levels should be based on agreed criteria. High priorityworks may be related to health and safety or issues of policy.


5 Coding, descriptions and links

5.1 Overview

Coding of information is a means to an end.

Coding is inevitable where the survey or survey data uses electronic systems.

However, coding is not a simple add-on. Well thought-out coding lies at theheart of a successful survey. The coding system should:

+ allow survey information to be structured logically for surveyors to captureinformation easily without ambiguity;

+ enable analysis of the collected data to address the questions required fromthe condition survey.

And if required from the client:

+ fit in with broader user specific coding requirements;

+ allow updating;

+ be adaptable to change;

+ serve as the basis for future surveys.

5.2 Key issues

The key issue with coding is to ensure that the data is structured:

+ to enable accurate and efficient data collection; and

+ to allow analysis of the data to address the requirements of the survey.

5.3 Overview of data structures

Stock condition surveys generally collect large amounts of information;descriptions of the assets and their component parts and descriptions orobservations about their condition. The condition data which is collected onthe survey has to be linked to the correct asset and may also need to be linkedto parts of the asset. A detailed data structure may be required to organise thisdata.

Assets

The essential starting point for data relating to stock is the asset under surveyand, associated with the asset, should be a unique property reference number(UPRN).

UPRNs should not be coded to reflect the nature or use of the building as thiscan change. Best practice is to keep different data items as separate entities ordata fields. For example, classroom block, CLS29, may be converted into staffaccommodation, STF02. Better practice would be to code the block, sayBLK003, and code the use as a separate item.

All observations about condition will refer back to an asset, and to manage thissuccessfully data condition data should relate to one UPRN.


Data structure – components and assets

For example, the stock condition survey may record information about awindow and its condition. The data should be structured to link the window tothe asset:

Asset A ⇔ Window Z

However there may be a number of intermediate links to parts of the assetwhich are important to determine, for example:

Asset A ⇔ Block B ⇔ Tower C ⇔ Level D ⇔ Room E ⇔ Window Z

Data structure – assets and geographical or administrative areas

The asset in turn may be linked to a number of geographical areas oradministrative functions. At its simplest the asset address:

Postal address ⇔ Asset A

More complex links may be required where assets form part of large buildingcomplexes or large stock. For example:

Region 3 ⇔ Local authority 2 ⇔ School 1 ⇔ Postal address ⇔ Asset A

BS 7666, Spatial data-sets for geographical referencing, provides guidance forcoding assets geographically.

Data structure – components and condition

Identifying a window is unlikely to be the end of the surveyor’s job. Otherinformation which may need to be collected could include:

+ the window type; steel, softwood, plastics;

+ window size; to determine replacement costs;

+ window opening details; to see if fire escape provisions can be met;

+ finish; to determine maintenance costs of recoating;

+ glazing details; to assess energy ratings;

+ repairs; description of repairs necessary.

This descriptive and condition data links to the window:

Window Z ⇔ Material ⇔ Opening ⇔ Size ⇔ Maintenance requirements ⇔Glazing ⇔ Repairs

Data structure – summary

These links and levels of detail are not based on any particular example but areillustrative of the process which should be considered in setting up the stockcondition survey.

How this data is presented and collected is critical for the effective operation ofthe stock condition survey.

The next subsection considers some options for managing the coding issues.

5.4 Managing coding issues

The more data collected the more the overall cost of the condition survey aseach bit of information costs time to collect. Where possible the descriptionsand links should be predetermined and the data collection form structured to


include the data in so far as it can be. The surveyor then has to confirm thepredetermined data and enter data which relies on surveyor observations.

Data may be predetermined from:

+ a desk exercise;

+ from the client;

+ from a previous survey;

+ from a pilot survey.

Predetermined data lists or surveyor entry

How surveyors record data is important to the consistency of the stockcondition survey.

Predetermined pick lists ensure that surveyors record information in aconsistent manner, the skill of the surveyor is in ensuring the correct item isselected.

Where surveyors have the option of free-form entry there will inevitably beduplication and confusion which will need to be resolved in the office.

For example, softwood windows become ‘sw win’, or ‘s window’ or ‘sw’; eachabbreviation perfectly clear and consistent to a surveyor but completelydifferent to the computer database.

The design of the pick lists is key to ensuring consistency of data requiringthoughtful management of data structure, coding and wording.

Good survey data collection design should:

+ order lists logically;

+ limit the length of lists;

+ limit the number of lists; and

+ ensure the lists are inclusive.

The skill involves a balance between preparing workable lists which are not toolong while being inclusive. Short lists invariably result in omissions. Long listscan protract survey times. Experience suggests lists of between six and eightitems offer an efficient data collection structure. When working with electronicdata capture a target of no more than eight steps to make a selection or enteran observation is a reasonable target which will maintain efficiency.

There is an infinite variety and combination of building components andcondition. Even with the best thought-out data structure there will beexceptions and omissions which will require free-form entry or notes from thesurveyor. This may be managed by allowing free-form entry in a data collectionsystem or a note which is entered separately in the office where appropriateprovision is made for the exception in the data structure.

5.5 Coding options

Coding options include:

+ using existing codes from client;

+ industry standards;

+ in-house codes.


In practice the coding used may be a combination of any three of these codingsources.

Using existing codes from client

Many organisations organise their asset data electronically.

Advantages:

This data and its coding can be a useful starting point for a condition survey,particularly where a previous survey has been carried out.

Disadvantages:

Unfortunately, all too often the existing data is incomplete, inaccurate or heldin different formats.

One approach is, as a separate exercise, to rationalise or normalise existingasset data. This is considered in more detail later in section 6.

Data on assets may be owned and managed by separate parts of theorganisation, for example, the renting and acquisition section may holdrelevant asset data which is separate from that held by the maintenance ordevelopment sections.

Industry standard codes

Industry standard codes have been developed for specific needs which may ormay not apply to the survey requirements. This subsection lists the mostcommon coding systems, including a brief definition of the code and itsprincipal use.

BCIS

The BCIS code is based on elements. The BCIS code is used for costing andcosts analysis for building projects in the United Kingdom.

‘An element for cost analysis purposes is defined as: a component that fulfils aspecific function or functions irrespective of its design, specification orconstruction. The list of elements, however, is a compromise between thisdefinition and what is considered practical.’

Quoted from Standard Form of Cost Analysis, BCIS.

Uniclass

Uniclass is the ‘unified classification for the construction industry’. It isintended for organising library materials and for structuring product literatureand project information.

Uniclass comprises 15 tables, each of which represents a different broad facet ofconstruction information. Each table can be used as a ‘stand alone’ table for theclassification of a particular type of information, but, in addition, terms fromdifferent tables can be combined to classify complex subjects.

The tables most likely to be used for stock condition surveys include:

+ D Facilities – This table classifies construction works according to the useractivity (or purpose) which they are intended to serve.


+ F Spaces – This table classifies spaces according to a number of differentcharacteristics including their location, scale, and degree of enclosure, butnot according to user activity.

+ G Elements for buildings – This table classifies major physical parts ofbuildings and can be used for organising both design and cost information.

+ J Work sections for buildings – This table is based on the Commonarrangement of work sections for building works (CAWS) and is used fororganising information in specifications and bills of quantities, and forclassifying information on particular types of construction operation.

+ L Construction products – This table is used for classifying trade literatureand design/technical information relating to construction products.

+ P Materials – This table is for classifying different kinds of material, andalso for adding as a qualifier to codes from other tables, especially Table L.

Information quoted from www.productioninformation.org/Uniclass.html,accessed March 2005.

In-house codes

Organisations which carry out stock condition surveys may have an in-housesurvey system which will have a structure. Clients who are responsible for largeportfolios may have their own coding requirements, for example, NHS estatesfor healthcare buildings and DfES for schools.

Advantages:

A structure has already been created so sparing the ‘reinvention of the wheel’issue.

Ideally the in-house coding structure will be adaptable to allow variations andadjustment to meet the requirements of specific condition surveys wherenecessary.

Where in-house surveyors are using in-house codes and structures, familiarityshould lead to improved accuracy and efficiencies while collecting data;surveyors do not have to learn and get to grips with a new system.

Associated technology such as hand-held data collection devices, datadownloading and uploading routines should be ‘tried and tested’, with thein-house data structures saving down-time and lost data.

Analysis routines associated with the codes and survey data structure are inplace which should reduce development time and allow efficient and timelyreporting.

Disadvantages:

The client may get what the system and codes offer rather than the informationthe client needs.

The in-house system may not be flexible enough to meet the exactrequirements of the client; compromises may be made at the survey designstage which may reduce the value of the survey.

Survey specific codes

Certain organisations which drive or commission stock condition surveys mayhave their own coding systems and may specify their own file formats. In thesecases a choice may have to be made to use a survey system based on the client


coding or to map the resident codes to the client codes. In the latter case extratesting may be required to confirm the mapping exercise is complete andfunctional.

5.6 Coding hierarchy

Coding needs to reflect the stock surveyed and allow analysis at variety oflevels. Typical outline:

+ Geographical – location, economic, administrative or political groups.

+ Asset – individual buildings, building archetypes, blocks, estates.

+ Buildings – linking internal spaces, external spaces, common areas,elements, components.

+ Other – information which may need to be collected on the survey such aseconomic or social data.

Some information can be included in the coding hierarchy as pick lists – that ispredetermined items – whereas other information can only be enteredmanually. It is good practice to control the free form inputs to exclude grossmiskeyed entries. For example, where quantities are being recorded onlynumbers are allowed to be entered.

Coding may also have to be capable of adopting future and planned changes,for example, rooms being divided or combined.

5.7 Coding in practice

A consistent and standard coding system has many benefits for organisations:

+ realistic comparisons can be made over time as well as between stockprofiles;

+ comparisons between organisations can be made.

Existing data structures

Using existing data structures has the potential to save time and money.However, cost savings are only realised where the integrity of the data is good.Confirming the integrity of existing data and its suitability may need to beconsidered as a separate exercise to the condition survey. All too often existingdata structures are incomplete, hold outdated records, corrupt data andincorrect data. The opportunity may be taken to normalise existing datastructures before embarking or commissioning a survey.

Issues relating to existing data are considered in more detail in the followingsection.


6 Using existing information

6.1 Overview

This section considers the benefits and problems associated with using existinginformation and data.

6.2 Key issues

Use of existing data can enhance a condition survey and bring cost efficiencies.

However, using existing data is rarely straightforward, the quality,compatibility and relevance of existing data should be confirmed. This mayentail a separate exercise of data cleaning, updating and rationalisation.

Treating condition surveys as a continuous process rather than a series ofone-off exercises may resolve incompatibility issues with existing data.

6.3 General

It is generally cost-effective to use and build on an information base establishedfrom a previous survey. This section considers the types of information whichmay be available and the issues to be addressed using this information for acondition survey.

It is useful to distinguish between ‘data’ – a collection of facts – andinformation, which is data that has been processed into a meaningful form.

When using existing data or information regard should be made to dataprotection legislation.

Information from past surveys is important to organisations to determineprogress on policy implementation such as meeting the Decent HomesStandard or improving energy efficiency.

6.4 Mapping data from existing to current survey

It is possible that existing data can be imported directly into the survey system.Wonderful when it happens but it happens all too rarely!

In practice, existing data has to be mapped into the structure of the conditionsurvey system. There are time and resource implications for this work whichshould be clearly identified. Typical issues which arise during mappingexercises include:

+ compatibility of information, for example, a previous survey may havemeasured windows by square meters and the current survey is to measurewindows by number;

+ how errors and omissions in the original information can be corrected;

+ how liability for accuracy in the updated database is to be managed;

+ what data checking and validation procedures are to be used;

+ distinguishing between old and new survey information for the purposes ofthe audit trail.


Problems with transferring existing information

Past stock condition survey data may be held in a variety of formats, typicallyon paper and electronically, either in spreadsheets or databases andoccasionally in word processing software.

The cost of converting existing data into a format which is usable for the stockcondition survey and analysis should be weighed up against its relevance andthe accuracy of the original data. Using some existing data on a survey may bemore efficient than starting with a clean slate, as it is often quicker for asurveyor to confirm or amend an existing item of data than to have to define anew item.

Where existing survey data is in paper format, conversion may be carried outby scanning or data entry. In both cases quality controls and checks should beincluded in the process to ensure an acceptable degree of accuracy in thetransfer. The level of accuracy should be stipulated by the client. Statisticalchecks should be carried out to confirm the level of accuracy achieved.

Existing electronic survey data may be un-useable where it lacks quality ordepth, or because file formats are not readily interchangeable.

There are risks associated with using past survey data; records becomeoutdated. For example, an organisation may have disposed of assets, datawhich would therefore be superfluous to the current survey. Time andprocedures should be put in place to remove inapplicable data.

Existing data may be contaminated. This may be manifest in a variety of waysdepending on how data has been input, edited and managed. The mostcommon problems found during transfer are simple issues relating to incorrectfield entries. For example, a date entered as 01.04.04 may not transfer as thesystem will not recognise it as a date without the full year provided, so01.04.2004 would be acceptable. Address details collected in a different form toBS 7666 may not be readily transferred into a BS 7666 compliant datastructure.

To achieve a sensible transfer of data one of several approaches may berequired. In decreasing efficiency, the data may be transferred using databasequeries, macros, and as a last resort, manual operation.

For most proprietary systems data is held at various levels, with the actualcondition data at attribute level. Check whether the attributes within the newsystem match those within the old. Where attributes match, the transferprocess can again be carried out electronically. If not, options for transferringthe data are as above. Similar issues may arise with other data categories suchas priority and category coding.

In instances where significant checks are necessary it may be possible totransfer the data into a spreadsheet or word processing format making dataeasier to view, edit and manipulate before transfer.

6.5 Data transfer as a separate exercise

Indeed, there may be a case to procure a separate project to assess andrationalise existing data and date structures prior to carrying out a survey. Datacleansing and data rationalisation exercises offer benefits both to theorganisation – its data quality is improved – and to the condition surveyingpractice which has a data set of known quality to form the basis of the survey.


The decision to transfer data is largely dependent on the nature of the dataalready held and the confidence staff have in its validity. In some cases the costof transferring data can outweigh the cost of simply starting from scratch. Thisis not, however, always the case and must be looked at very carefully.

6.6 Using existing data for a stock condition survey

The survey brief should be specific about how existing data is to be used in thecondition survey. Where this is not the case a survey project manager mayexplore the options for using existing data in the condition survey.

Typical scenarios include:

+ sample and survey a proportion of properties and re-clone the existingdatabase records;

+ carry out a sample survey or 100% survey incorporating the results of aprevious partial survey. The new survey confirms or corrects the existingdata as well as collecting additional data which may be required.

Detailed guidance on updating databases, including cloned records and dealingwith old survey information can be found in Collecting, Managing and UsingStock Information, Volume 2, ODPM (2002).

Typical types of data from existing surveys include:

+ Address lists;

+ definitions of properties, sites, blocks;

+ unique property reference numbers;

+ property attributes and construction details;

+ maintenance information;

+ element and component structure;

+ condition coding and priority system;

+ locations of repair or replacement items;

+ repair and replacement descriptions;

+ year to repair, replace or improve;

+ schedules of rates;

+ units of measurement;

+ life expectancies of elements and components;

+ energy rating values and underlying data;

+ Decent Homes.

Records of property attributes and as-built maintenance details of surveyedproperties should rarely need to change, provided they have been recordedaccurately. Cost information, repairs required and remaining life expectancieswill, however, change over time to reflect condition.

6.7 Condition surveys as a continuous process

Treating condition surveys as a continuous process rather than a series ofone-off exercises may resolve incompatibility issues with existing data.

Increasingly, tender documents are built around specifications for re-surveys,for example, a rolling programme of five-year surveys. This will take the form


of downloading records from a database, re-inspecting condition and currentstatutory compliance, and updating floor plans. This new information willthen replace existing records in the database.

The information needs of organisations change and evolve over time inresponse to external demands (e.g. government requirements) or internalorganisational requirements (e.g. changes in business practice). Conditionsurveys may be commissioned to supply the data and information to managethese demands. The asset database should be able to expand to incorporateadditional information in relation to existing information. Data difficultiesoccur where each survey type is treated as a one-off exercise.

Where building condition surveys are treated as part of a continuous process ofinspection, appraisal and recording it is less likely that data will get lost orirredeemably separated. Past survey information should be useable forsubsequent surveys.

Investing wisely in database software which can be easily updated and flexibleto accommodate change to make full use of existing survey information,coupled with a strategy to keep the survey information up to date, can bringeconomic and management benefits to an organisation.

6.8 Future stock condition surveys

Where there is a clear intention to use stock condition survey information inthe future, thought should be given to future information transfers andelectronic file compatibility. It is important that electronic information isportable and capable of being migrated across packages. This is particularlyimportant where the condition survey data and data analysis are to beperformed in different software applications.

Common standards should be adopted and the means of ensuringcompatibility of information, for example, transmission in XML, softwarewritten in an independent platform language.

Web-based database management offers the possibility of facilitating the betteruse of existing data, where individuals and organisations can obtain remoteassistance and support with ease.


7 Survey collection systems

7.1 Overview

This section considers the advantages and disadvantages of paper and variouselectronic methods of data collection.

The key issues associated with using hardware and software for electronic datacollection are reviewed as well as using photographs, digital and film, andbar-code readers.

7.2 Key issues

Electronic-based collection systems are increasingly being used on conditionsurveys. However, their use does not completely supersede paper-basedcollection systems. There are advantages and disadvantages for each methodwhich should be thoroughly appraised before deciding on one option for aparticular survey.

7.3 Collecting survey data

The judgements and decisions surveyors make when inspecting buildings needto be recorded at the time of the inspection.

The method of recording information should be efficient, accurate andflexible.

Efficiency and accuracy may be achieved by using a previously prepared list ofstandard questions. However, standard questions do not, necessarily offerflexibility. Flexibility is particularly important for property portfolios which arenot homogenous in nature, perhaps covering a range of building types, ages oruses. For successful condition surveys, efficiency, accuracy and flexibilityshould be achieved by the data collection method.

Data can either be recorded using paper forms or electronic data collectiondevices. Both options have advantages and disadvantages.

Electronic data collection can also be used alongside paper forms. For example,the answer to questions may be recorded using a hand-held electronic devicesupported by additional handwritten notes, sketches, etc. recorded on a paperform. These can be scanned and incorporated into the survey database ifrequired.

It is important that consideration is given to both forms of recording data andthe type of data that will be collected before selecting the most appropriatemethod.

7.4 Paper versus electronic data collection

In this subsection the advantages and disadvantages of paper versus electronicdata collection are considered as well as selection issues associated withelectronic data collection devices.


a) Producing questionnaires

Paper-based form:

+ Quick. Can be produced using either standard office or proprietarysoftware.

+ Does not require a high level of IT literacy.

Electronic data collection:

+ Often requires proprietary software that suits particular hardware.

+ Extensive testing must be undertaken to ensure that the questionnaireworks as intended. Once used by surveyors in the field any mistakes arelikely to be expensive and possibly difficult to identify, resulting ininaccurate data or a need to revisit buildings to collect missing data.

+ Some software packages can be difficult to master althoughWindows-based software is often easier to use.

b) Question alterations

Paper-based form:

+ Quick and easy if undertaken before fieldwork starts.

+ If changes are required after printing reprinting can be expensive.


+ Can be easily changed prior to the testing phase.

+ Given the need for extensive re-testing, question changes should be avoidedclose to the start of fieldwork.

c) Question layout

Paper-based form:

+ Extremely flexible. Notes, diagrams, etc. can be printed beside the questionsto assist the correct interpretation.


+ Cheaper systems require the layout of questions to fit in with rigid softwarerequirements. The more expensive graphic systems allow more flexibilityalthough they are likely to require more programming.

d) Ease of use

Paper-based form:

+ Paper forms can be quicker to use than electronic media. This may beparticularly important where there is a need to carry out inspectionsrapidly, such as in schools or factories, to minimise disruption to thebuilding’s occupants. Speed of use on site needs to be balanced against theextra time taken to transfer the data into an electronic format for analysis ifrequired.

+ Very flexible. Surveyors can easily skip sections of the form if required.

+ Paper forms enable questions to be completed in the order surveyors wishto inspect the building.

+ There is no resistance to using information technology by surveyors.



+ Cheaper hand-held devices that are capable of displaying only a few lines oftext on the screen are difficult to use. Although the questions might begrouped under different headings or subheadings it is not easy to navigatethrough the questions and time-consuming to change a previouslyinputted answer.

+ Software routing that skips certain questions based on the answer toanother question can assist ease of use to a certain extent.

+ Solutions that display several questions at a time are definitely preferable.

+ Surveyors are likely to require training in using hardware and requireinformation on the layout of the questionnaire prior to starting fieldwork.

e) Recording of verbatim data (notes, sketches, comments, etc.)

Paper-based form:

+ Very flexible. Space can be left at specific places on the form for comments,or notes can be made at the side that refer to specific questions. Sketches ofcracks, measured floor plans, etc. are straightforward.

+ Since some handwriting is difficult to read surveyors should use blockcapitals.


+ With some software it is difficult or impossible to record verbatiminformation. Some smaller hardware devices lack a full keyboard, generallyhaving only numbers and arrow keys making text entry slow. The recordingof free text uses up a large amount of memory on some cheaper hardwaresystems reducing the number of surveys that can be stored. Memory is usedregardless of whether any information is actually recorded.

+ Sketches are impossible on all but the most expensive equipment, and eventhen difficult.

f) Accuracy of recording

Paper-based form:

+ Handwritten numbers can be open to interpretation if not clearly written.The circling of question options or numbers is more accurate.


+ Software can often ensure that only valid numerical answers for aparticular question are entered.

g) Completeness checking

Paper based form:

+ Ensuring that all questions that should be completed are answered requiresthe surveyor to manually check their own work before finishing theinspection. Inevitably some omissions occur.


+ Software can often check to ensure that all questions are completed beforea surveyor is allowed to save an inspection. Where an omission occurssurveyors can be prompted with a message.


h) Hardware issues

Paper-based form:

+ Virtually no cost requirements, a stiff clipboard is helpful, preferably with afront cover to assist with keeping the form dry.


+ Battery life on tablet computers is limited. All day use is likely to require atleast two batteries. Some hand-held units use either common alkalinebatteries or rechargeable battery packs which are much more convenient.

+ Some systems have limited memory storage. Although this is not normallya problem if data is downloaded daily.

+ Transfer of survey data from hand-held machines to a personal computergenerally either involves a dial-up connection, the use of a proprietarycradle or the posting of memory packs back to the office. Operational fielddifficulties can normally be overcome.

+ Tablet PCs can be heavy. Constant carrying all day will lead to musclefatigue and distract the surveyor from their inspections.

+ Daily downloading of data is recommended to avoid losing work due to ITfailure or stolen machines.

i) Surveyor safety

Paper-based form:

+ Paper forms are unlikely to be of any monetary value to the general public.


+ In some environments there can be a increased risk of assaults on surveyorswho carry IT equipment or digital cameras.

j) Transfer of collected information into a PC

Paper-based form:

+ It is necessary for someone to look at the survey form and type therecorded information into a computer. This is a relatively slow, and henceexpensive, process; there is also the possibility of typing errors.

+ Both the input speed and accuracy disadvantages can be at least partiallyovercome through special software and techniques such as double datapunching and comparison although this increases both cost and time.

+ Electronic scanning and question recognition works best with a speciallydesigned form and the circling or otherwise marking of specific questionoptions by the surveyor. Handwriting recognition is not 100% accurate.Since this is a specialist area it is recommended that appropriate advicefrom a specialist company is obtained.


+ This is the main advantage of electronic data capture. The transfer ofinformation from a hand-held machine into a PC is both quick andstraightforward. Since the transfer is often automated there is no risk ofhuman error misinterpreting the recorded data in the transfer process.With the transfer process quicker than with paper-based forms,information can be checked, analysed and reported sooner than wouldotherwise be the case.


k) Updating previous surveys

Paper-based form:

+ Results from a previous condition survey would require printing and theresults checked on site. Handwritten amendments require manualcorrection in the survey database which can be time-consuming and hencecostly for a large number of corrections.


+ Information from a previous survey can be transferred directly into ahand-held machine. The surveyor can then either confirm previousanswers or make corrections and save.

+ Hand-held machines make updating previous condition surveys easier andquicker than using paper.

l) Cost

Paper-based form:

+ Paper based forms are cost effective for small numbers of surveys. Forlarger surveys printing costs increase, possibly making electronic datacapture more cost effective.

+ If there is a need to scan or otherwise store completed survey forms thiswill increase the cost associated with paper-based forms.


+ Electronic data capture becomes increasingly cost effective the moresurveys are required.

Summary paper versus electronic

In summary, paper-based forms are better for the recording of complexinformation or where a large investment in information technology cannot bejustified. Paper-based forms may offer faster data collection on site andtherefore a higher rate of surveys or inspections; the trade-off is additionaltime in the office transferring the data into an electronic format for analysis.Electronic data capture machines have an advantage on large surveys withrelatively straightforward data collection requirements.

7.5 Selection of electronic software and hardware

Given the rapid development in both hardware and software, this subsection isnot intended as a review of the different products available, which wouldquickly render any review obsolete. Rather, it reviews key issues which shouldbe considered before purchasing hardware and associated software if electronicdata capture is considered appropriate.

The selection of hardware devices needs to take into account the way thesurveyor undertakes inspections. Surveyors walk around the interior andexterior of buildings and record information as they make their observations.

Hardware therefore needs to be light, portable and preferably have sufficientbattery life to enable a full days inspections without having to change orrecharge batteries.

A laptop computer is unlikely to be appropriate.


Smaller hand-held devices tend to have smaller screens, reduced processingpower and memory capabilities compared with modern personal computers.Cheaper machines are often only capable of displaying one or two lines of textat a time. They may also use proprietary operating systems and software.

Portable windows PCs are available in the form of pen tablet computers whichtend to have large screens, but these rely on the operator using a stylus (pen) toselect different options as displayed on the screen. Text input is often slowrelying on a pop-up on-screen keyboard. These machines tend to be heavy,which makes their prolonged use difficult.

7.6 Other survey collection processes

Bar codes

Bar codes are a well established method of identifying objects, indexing andreferencing. Some hand-held data capture machines have a bar code readingfacility as either an integral part of their design or as a proprietary add-on.

Commercial buildings are increasingly using bar codes on individualmechanical and electrical equipment to assist with regular maintenanceroutines. Surveys recording the bar code of individual items of plant ensurethat the survey information collected is assigned to the correct item.

Photographs

Whatever the choice of collection method photographs can assist withvalidating data and provides a useful memory prompt in case of queries. Theyare also invaluable for recording specific defects such as cracks. Photographscan also be taken of difficult to access parts of buildings, such as roofs, forfuture reference.

Photographs are most useful when undertaking stock surveys of diverseproperty portfolios. If considered useful, a minimum of one externalphotograph of the front of the building should be taken. Internal photographsof houses may meet resistance from occupants and any including peoples’ facesshould be avoided since they can be prohibited by the Data Protection Act 1998.Certain organisations have specific policies on photographs which mightprohibit or restrict their use.

Digital cameras are preferable to older film types since they enable easierstorage and retrieval of photographs. Whichever type is used it is advisable thatthe camera records the date on the image for historical reference. Images can bedirectly linked to databases to enable the display of both information andphotographs.

Digital and film cameras contrasted

The text below examines the advantages and disadvantages of digital and filmcameras.

a) Referencing photos to the building, room, elevation or other area

+ The same problem occurs for both film and digital cameras, namelyensuring that a specific photo refers to the correct building or part ofbuilding. Surveyors should keep a manual log of photos taken and use thisto ensure the referencing of photos.


Film cameras:

+ Prompt processing of used films ensures that surveyors can easilyremember recently surveyed building to ensure accurate referencing ofphotographs.

Digital cameras:

+ The same issues occur for digital cameras. Digital cameras have theadvantage of being able to be downloaded to a computer and referencedquicker than developing films.

b) Transferring photographs to a PC

Film cameras:

+ Scanning of photographs is required along with renaming and storingimage files. This is a labour intensive process and hence costly where largenumbers of photos have to be processed.

+ Alternatively many companies that develop films are able to provide animage file on CD ROM for an additional charge. Such image files wouldhave to be renamed and stored but should be of a high quality sinceexpensive scanning equipment is used.

Digital cameras:

+ Most digital cameras require a cable link to a computer or the insertion ofthe camera’s memory card into a proprietary computer card reader. Bothrequire surveyors to have frequent access to a computer or laptop. Somedifficulties can be experienced where strict computer securityimplementation prevents the use of USB or ‘fire wire’ ports required fortransferring images. For surveyors in the field e-mailing photographs intothe office can be time-consuming, although broadband connections willreduce time requirements.

+ Floppy disk cameras record directly onto floppy disks which negates thedifficulty of transferring images onto a PC. Floppies can be posted to theoffice where they can be copied onto a PC. The address or referencenumber of the property can be written on the floppy disk label andseparate floppy disks used to easily distinguish between properties. Thedisadvantages of these cameras is their size and the limited number ofphotos that can be stored on each floppy, however there is no limit to thenumber of floppies that can be used.

c) Labelling photographs

Film cameras:

+ The address and appropriate reference number should be written on theback of the photograph. Alternatively, self adhesive labels could be used, or,for larger surveys, self adhesive bar codes could be advantageous where thephotographs have to be scanned or filed.

+ It is recommended that the surveyor who took the photograph should alsolabel the prints.

+ Storing large number of image files may require an IT system to have itsstorage capacity upgraded.


Digital cameras:

+ It is imperative to set up a strict naming procedure for the image files andan appropriate directory structure within which they are placed.

+ It is recommended that the surveyor who took the photographs alsoreferences the photographs.

d) Memory and disk space

Film cameras:

+ The end use of the photo images should be considered. Scanning at 640 x480 resolution is suitable for screen display. Higher resolutions producemuch larger file sizes. Higher scanning qualities are only required ifprinting or enlarging parts of the photos is necessary.

+ It is recommended that testing of different scanning resolutions isundertaken to determine an appropriate balance between quality and filesize before scanning large numbers of photographs.

+ The viewing of large image files will slow down computer systems. Possiblyto an unacceptable extent.

Digital cameras:

+ The same issue exists with digital cameras as for scanning photos. Digitalcameras should be set to use an appropriate resolution that balances qualityagainst file sizes.

+ Depending on the number of photographs required it may be necessary topurchase additional memory cards to enable sufficient photographs to betaken before downloading to a PC.

e) Cost

Film cameras:

+ Relatively cheap for small numbers of photos. Disposable cameras can beused. However, their cost advantage reduces the more photographs that arerequired.

Digital cameras:

+ Hardware costs are reducing as digital cameras become a consumer item.Initial costs are quickly offset by the savings in film processing andscanning.


8 Statistics – managing the risk

8.1 Overview

This section answers the questions:

‘What is the most effective survey method?’ and ‘How to interpret the data?What do the results mean?’

8.2 Key issues

Data from a past survey or a pilot survey is important to maximise theefficiency and effectiveness of the current survey.

The number of assets which need to be surveyed will depend in part on thepurpose of the survey. There are a number of sampling options where a samplesurvey will provide adequate data. Careful consideration should be given toselection of the most effective sampling strategy to enable the best accuracy forthe smallest sample size.

Strategies to manage surveyor error should be established.

Where sample survey data is analysed it should be in the framework ofapplicable statistics.

Obtaining a statistician’s input on the design of the sample as well as assistancewith reporting results is often beneficial.

8.3 Statistics relating to the survey

Statistics are generally necessary for a survey where a proportion of the assetsare being surveyed. This is typically the case for housing stock conditionsurveys where greater accuracy is not necessarily associated with more surveysafter a critical point. On commercial or non-housing stock condition surveys itis more common to carry out a 100% survey so the statistics related tosampling strategy, optimisation of sample size and extrapolating the data fromthe sample to the stock do not apply.

However, whether carrying out a sample survey or 100% survey the issue ofsurveyor error and consistency should be addressed; this may be achieved byuse of statistics.

Statistics have a role to play in two important aspects of condition surveyswhere a sample survey is carried out:

+ establishing an optimum sampling strategy; and

+ interpreting the data collected from a survey.

An optimum sampling strategy aims to balance the information needs of theclient with the cost, time and accuracy of the survey. The optimum samplingstrategy involves surveying the least number of assets for a given level ofaccuracy to provide best value. A pilot survey may be crucial to achieving anoptimum sampling strategy.


The interpretation and presentation of survey data is rarely straightforward.The accuracy of the data, especially extrapolated data, should be expressed interms of degrees of certainty. For example, the survey data may show that wecan be 95% certain that the average cost of heating repairs is £2,000 plus orminus £400, in other words £1,600–£2,400. The degree of accuracy will varywith the level of data analysis.

Obtaining a statistician’s input on the design of the sample as well as assistancewith reporting results is often beneficial.

8.4 Sampling strategies

There is no simple formula to determine the optimum sampling strategy.

Indeed a physical survey may not be necessary. Depending on the requirementsof the survey, suitable information may be held by an organisation. In thesecases a desk study could produce results every bit as accurate as a physicalsurvey.

For example, a registered social landlord wishes to determine the condition ofproperties with respect to energy efficiency. The organisation has as built plans,a record of major window and insulation improvements and maintenance staffwho are familiar with the properties. It would be perfectly possible to make anassessment of energy efficiency of dwellings based on this information withoutcarrying out a condition survey. There may be a benefit in carrying out visits toconfirm the in-house data.

In any event, when determining the survey sampling strategy considerationshould be given to utilising existing data to minimise duplication.

8.5 Sampling options

Where a decision is made to carry out a physical survey the most commonsampling options include:

+ 100% survey;

+ random sample;

+ stratified random sample;

+ selective stratified sampling; and

+ data cloning.

In a nutshell either all assets may be surveyed or some assets may be surveyed.

In some situations there may be no choice as to the sampling method. Forexample, an organisation wishing to assess the condition of its stock todetermine physical access barriers for the disabled, then a 100% survey may bethe only effective way of achieving an accurate assessment.

In general the more surveys that are carried out the greater the accuracy of theinformation; the trade-off being a higher survey cost.

However, the converse is not necessarily true; carrying out fewer surveys maynot result in less accurate information. Furthermore carrying out fewer surveysreduces the survey cost.


Sampling options in detail

The advantages and disadvantages of the common sampling strategies aredescribed in the following subsection.

a) 100% survey

Advantages:

+ A 100% survey should give a comprehensive and accurate picture of thecondition of the stock.

+ Suitable where there are few assets or the condition of assets is veryvariable.

Disadvantages:

+ High cost, time, resource and organisational demands.

+ May not be possible to achieve 100% due to access problems.

b) Random sample

Most sample methods rely on random sampling to select properties to survey.Each property is chosen completely independently and has an equal chance ofselection. This is important to avoid bias.

Random sampling can be achieved using random number tables or bycomputer with a random number generating program.

Advantages:

+ An established method of sampling.

+ Suitable for large stock.

Disadvantages:

+ Construction types with few representative samples may be missed. Finalanalysis will be incomplete.

c) Stratified random sample

Stratified sampling is a variation of the random sampling method which avoidsthe risk of dwelling types being missed out from the survey. Each house type orbuilding type is surveyed, the number of surveys is in proportion to thecomplete stock.

If, say, systems built housing makes up 40% of the total stock, then 40% ofsurveys would be of systems built housing.

The properties surveyed are chosen at random.

Criteria by which to group strata include: construction type, age, location orlength of ownership.

Advantages:

+ Sampling errors can be reduced.

+ All construction types are included in the survey.

Disadvantages:

+ A minimum sample size for each construction type is required to attainaccuracy requirements. So a larger survey sample may be necessary.

+ A random stratified sample may not improve the accuracy of the surveyanalysis. For example, a strata of relatively uniform buildings making up a


high percentage of the stock will attract a high proportion of surveys whichmay not improve the accuracy of the data. Whereas another strata ofdiverse buildings comprising a small percentage of the stock will have asmall number of surveys resulting in a low level of confidence in theanalysis.

d) Selective stratified sampling

A variation of the random stratified sampling method depends on knowledgeof the condition of assets to improve accuracy of the analysis.

Where assets are known to be practically identical, and therefore have a lowmargin of error, only a small number need be surveyed to achieve a high levelof accuracy in the analysis. It is quite possible to conceive of an estate which iswell maintained where only one or two surveys need be carried out which arerepresentative of the whole stock for that estate.

On the other hand, assets which are dissimilar or have had individualmaintenance or use regimes may need to be surveyed individually to obtainreliable survey information.

The degree of variability can be assessed from the pilot survey or fromin-house knowledge of the assets.

Assets are selected randomly for survey.

e) Data cloning

Cloning involves taking data from a surveyed property or asset and copying thedata to another property or asset which is known to be similar. Typically,cloning is used for flats or dwellings of a similar construction, age andmaintenance history.

Data sets with cloned data can be analysed statistically. The ODPM (2002)guidance on Collecting, Managing and Using Housing Stock Information,Volume 2, provides further information.

Advantages:

+ Simple and quick, especially when carried out in a database usingstructured query language.

+ Properties which have cloned data may be used as the basis for samplingfor a follow up survey or the next quinquennial survey.

Disadvantages:

+ The main disadvantage of cloning data is that data from one property maynot be the same as another. For example, the floor plan and componentsmay be altered where a dwelling has been adapted to be fully accessible,including a ground floor bathroom and toilet where the source data had autility room.

+ Cloned data should be used with caution.

+ It is important to flag cloned records to indicate the data has been cloned,for until the asset has been surveyed the data is at best a guess of contentand condition.


8.6 Sample surveys

Surveying a proportion or sample of assets is usually the most cost-effectivemethod of carrying out a condition survey. The key to maximising accuracy forthe minimum of cost is to ensure the sample is representative, the datacollected can then be extrapolated to make statements about the condition ofthe whole stock.

The factors which influence accuracy of information from a sample surveysinclude:

+ the base unit of the sample, typically this is by construction type wheredwellings are surveyed;

+ sample size; and

+ sampling method; random sample or stratified sample.

Reference unit

Sampling should be considered at the lowest level of analysis. In a housingsurvey this would usually be at the level of individual house types rather thanestates or streets. The reference unit is determined by criteria from which it isreasonable to extrapolate surveyed values.

Establishing the reference unit of analysis for the survey is key to determiningsample sizes and influences the sampling strategy. For example, where it isknown that older dwellings have variable conditions, a greater proportion ofthese may be surveyed.

The pilot survey should confirm the existence and range of reference units.

Sample size

The type of data collected determines the criteria which influence the samplesize.

The two data types are quantitative and qualitative.

Quantitative data, or measured data, is represented by continuous values suchas cost.

Qualitative data, or counted data, is represented by yes or no values.

The sample size influences the standard error in the final analysis. For example,where a small sample is surveyed the analysis may indicate that we are 68%certain that 10%–15% of gutters need replacing. A larger sample size mayprovide a similar analysis but to a higher degree of confidence; for example, wemay be 95% certain that 10%–15% of gutters need replacing.

The larger the sample size the greater the accuracy of the survey. Therelationship is not direct; it is not true to say that if you double sample size youdouble the accuracy. Doubling the sample size produces a less than doubleincrease in accuracy.

The following subsection sets out the criteria which influence sample size. Theformula and manipulation of formula to determine optimum sample size canbe found from standard statistics text books. References on statisticaltechniques can be found in Appendix 1.


a) Sample size for quantitative data

The factors which influence sample size for quantitative data are:

+ standard deviation;

+ margin of error;

+ confidence level.

These are considered in more detail.

Standard deviation

The variation of the criteria being surveyed. Where variation is small a smallersample size is required than where there are wide variations. The degree ofvariation is measured by the standard deviation.

For example, the range of repair costs. A small or low range of repair costs maybe between £2,000–£2,500 as opposed to a wide range of £2,000–£20,000 for,say, two different house types. A smaller sample size would be required wherethere is low variation to achieve a given degree of confidence.

The standard deviation can only be determined, ironically, once the surveyresults are analysed. However, estimates may be made from the pilot survey orprevious surveys of similar properties. In this way an appropriate sample sizemay be determined for the condition survey.

Margin of error

The data from a sample is unlikely to reflect exactly the data from the overallpopulation. The margin of error is a measure of the closeness of the samplemean to the population mean for a given statistic.

For example, if the mean cost of repairs for the complete population is £5,000a low margin of error would expect the survey mean to be within plus orminus £200 of the population mean. A high margin of error would accept asurvey mean to be within plus or minus £1,000 of the population mean.

Unfortunately it is rare that mean data about the population is known. Indeed,if it was known there would be no need to carry out the survey! Of necessity, toestablish a working figure for the margin of error, data from the pilot surveymay be used.

The larger the sample size the less the margin of error is likely to be.

The acceptable margin of error should be determined by the client.

The margin of error is closely linked to confidence levels. It is not enough tosay what the margin of error required is, but to determine the level ofconfidence at the margin of error.

Confidence level

The confidence level is a figure indicating the accuracy to which we want thegiven margin of error. Typically a 90% or 95% confidence level is specified.

The larger the sample size the higher the level of confidence is likely to be.

The acceptable confidence level should be determined by the client.


b) Sample size for qualitative data

The factors which influence sample size for quantitative data are the margin oferror, confidence level, the percentage of observations belonging to thespecified category and the percentage of observations not belonging to thespecified category.

Comments on the margin of error and confidence level are as for quantitativedata and may be determined by the client.

The key unknown information which determines sample is the percentage ofobservations belonging to a specified category. This information may bedetermined from the pilot study, related surveys or past surveys, or anestimation of the percentage of observations belonging to a specified category.

Sample size in practice

In practice a condition survey will collect a large amount of data bothqualitative and quantitative. Each item will have a different optimum samplesize to achieve the required margins of error at a given confidence level.

Data may be analysed at a variety of levels or subgroups; by house type, age,estate, by component, element or building. For a given population the marginof error and confidence level will vary with the size of the subgroup. Thesmallest sample sizes in terms of proportion can be achieved when consideringthe stock as a whole. As the analysis focuses on subgroups of the completestock the sample size may have to increase proportionately for a given marginof error and confidence level.

If a rigorous statistical approach is going to be used to determine optimumsample size, then the client needs to be clear what aspect of the survey is goingto be used to determine the sample size.

In practice, budgets may influence the number of surveys which can be carriedout rather than desired levels of accuracy. In this case a strategy for the surveyteam is to achieve the best degree of accuracy by a stratified sampling method.Sampling proportionately more stock which is diverse in nature. The margin oferror and level of confidence should accompany reports which analyse the datafor each and every subgroup.

Over-sampling for anticipated non-response

When conducting housing surveys that require an internal inspection it iscommon to over-sample to allow for not being able to gain access to all of thehouses selected in the drawn sample. Experience and knowledge of thesocio-economic profile of the occupants of the dwellings from which thesample is drawn is required to determine an appropriate allowance for oversampling for non-response. Flats with a common entrance ‘buzzer’ system areharder to gain access to than houses or main door flats. Additionally, somegeographical areas are likely to have higher non-response than others owing tothe occupants’ fear of answering doors or being out working and socialising.

It is important, particularly where a survey collects household socio-economicdata, that non-response bias is minimised as far as possible by adoption of arange of measures designed to improve response rates.


8.7 Statistical assumptions

It is important to include the assumptions underlying the statistics used in theanalysis.

8.8 Surveyor variability

Assessing the condition of buildings is subjective, especially assessing thenature and extent of required repairs and the anticipated remaining lives ofcomponents; surveyors may have different opinions.

Research on surveyor variability has been undertaken by the English HouseCondition Survey. Findings based on 200 surveyors inspecting a single houseare presented in the 1986 English House Condition Survey (EHCS) Report(DETR, 1988, ISBN 0 11752 153 1). The majority of surveyors producedestimates around the mean, a third of surveyors produced results whichdiffered from the mean value by 30% or more.

The effect of surveyor variability is greatest for properties which have largeamounts of disrepair or where surveyors are asked to provide an opinion, on,for example, the aesthetic quality of an area.

Managing surveyor variability

To minimise the effect of surveyor variability the issue needs to be managedbefore, during and after the survey. Typical strategies include:

+ Thorough briefing before the survey, with guidance on issues where thereare commonly variations of opinion.

+ Shadowing while on site by the survey manager to confirm or moderatejudgements.

+ Regular coordination of meetings with the survey team during the surveywhere decision-making is discussed in order to achieve a consensus view.

+ Inclusion of a reference property which all surveyors are required to surveyprovides information to assist the management of the surveyorsundertaking the surveys. For example, if one surveyor is deviatingsignificantly from the mean surveyors’ results, the reason should beestablished before the surveyor undertakes large numbers of surveys. Thisinformation can be published alongside the survey results, together with acommentary to provide some qualitative information on the accuracy ofthe survey results.

Approaches to surveyor variability

There are two approaches used to minimise the effects of surveyor variability,these are:

+ Adjustment of the final survey results based upon the results of thereference property. For example, if one surveyor tends to allocate undulyshort lifespans compared with the other surveyors it may be appropriate toincrease lifespans assessed by this surveyor to reflect the ‘norm’ as definedby the other surveyors. However, any adjustment should only beundertaken in exceptional circumstances, after the checking of a sample ofthe surveyor’s work, since there is the possibility that the results from thereference property are not reflective of the surveyor’s later work.

+ An alternative and more common approach is to assume that in any group


of surveyors some will tend to overestimate whereas others willunderestimate in their assessments, and in the final analysis the highs willbe balanced by the lows to provide a fair representation of the condition ofthe stock.

For both approaches to be effective there must be a reasonable number ofsurveyors undertaking the surveys and each surveyor must be allocated arandom mix of properties to assess. Ideally each surveyor would be allocated arandom list of addresses, probably generated by computer or manually usingrandom number tables. In some circumstances, such as remote rural areas, itmay be sensible for financial reasons to modify the random allocation eachsurveyor receives to reduce travel costs.

What is important is that a single surveyor does not survey all of the sameproperty type, for example, all of a local authority’s high rise flats, to ensurethat the survey’s results of a particular property type or other key reportingattribute are not adversely affected by the opinion of a single surveyor.

Further details, methods and strategies to minimise surveyor variability areconsidered in section 13, Carrying out the survey.

8.9 Statistics relating to reporting

Where a sample survey has been carried out, notwithstanding surveyorvariability, we can be reasonably sure that the data relating to the surveyedproperties is 100% accurate.

However, when extrapolating data from the sample to apply to the completestock, some form of qualification needs to be made saying how accurate thedata is. Typically, information is presented in terms of a range of values to agiven degree of confidence.

For example, from a sample survey the average cost of kitchen replacements isdetermined as £3,000. The sample may represent 10% of the population. Thenwhen making the extrapolation from the sample data to the complete stock,the statement is qualified along the lines of being 90% confident that theaverage cost of kitchen replacement is £3,000 plus or minus £500. In otherwords £2,500–£3,500.

The degree of certainty is a measure of the standard error. The standard error isthe difference between the survey statistics and the stock characteristics.

There are different processes to extrapolate survey data to arrive at informationabout the whole stock. Which process to use depends on:

+ the nature of the data; quantitative or qualitative data;

+ the sample size;

+ the sampling methodology.

Extrapolating quantitative data requires:

+ sample size (achieved on survey, determined by client);

+ surveyed quantitative values, for example, repair cost (determined fromsurvey);

+ the population size (given);

+ the confidence limit (set by client).


Extrapolating qualitative data requires:

+ sample size (achieved on survey, determined by client);

+ proportion of occurrences (determined from survey);

+ the population size (given);

+ the confidence limit (set by client).

The influence of sample size

In general, a larger sample size improves the accuracy of the final information.

The statistical tables from which standard error figures are taken aredetermined by the sample size. For example, where sample sizes are small, sayless than 30 observations, ‘the Student’s t-tables’ may be used.

Sampling methodology

Different formula are used to determine the standard errors depending on thesampling method. For example, where stratified random sampling is used,different formula are used for the standard error of:

+ the stratum sample mean;

+ the overall sample mean;

+ the stratum population total; and

+ the overall population total.


9 Information technology

9.1 Overview

This section runs through the advantages and disadvantages of computersystem options which may be used to manage and operate condition surveys.

The process of procuring a computer system is laid out including issuesrelating to transferring data from an old system to the new.

The implications of the Data Protection Act 1998 are considered.

9.2 Key issues

The type of computer system used for surveys will depend on the size of theorganisation conducting the survey, the size of stock being surveyed and thesoftware used.

Three types of computer system are considered: stand alone, networkedsystems and internet or intranet systems.

Procuring a computer system for condition surveys is a complex task for whichadequate time and resources should be allocated.

Transferring data from an existing system to a new system needs carefulmapping to avoid contamination of data.

Unless the condition survey includes data about individuals it is unlikely thatthe provisions of the Data Protection Act apply.

9.3 Information technology systems

Condition surveys are not new. Traditionally, surveys have been conducted bycollecting information in a paper format and then producing the reports, againin hard copy. This is an extremely time-consuming process, and it is nowinconceivable that some form of computer programme would not be used toprocess and analyse data and to produce reports in a variety of formats to suituser need.

The type of system which should be used is dependent on two main factors:

+ the size of the organisation conducting the surveys;

+ the complexity and extent of information collected about the stock beingsurveyed.

A small company carrying out surveys on one or two properties for a particularclient will not require the same IT resource as a large organisation conductingsurveys on large property portfolios.

Before selecting a suitable IT system, a clear indication of the software to beused is required, and there are several types currently available which fall intotwo broad categories; generic programmes and proprietary systems.


a) Generic programmes

Generic programmes such as Microsoft or the equivalent packages in eitherspreadsheet or database format. These are ideal for smaller applications andlimited property stock. However, data manipulation can be difficult withoutexperienced knowledge of the software.

Some organisations have taken generic programmes and developed themmuch further, to enable data on large property portfolios to be managed onthese systems. This does, however, require a significant amount of knowledgeabout the software and some degree of programming skills. This is not,however, beyond the capability of surveyors with such skills.

Advantages:

+ Packages available off the shelf, indeed some are packaged with the price ofa PC.

+ Courses are readily available from a wide range of training providers in thebasics of using these packages.

+ Ideal for small offices with limited property portfolio.

Disadvantages:

+ Will not handle complex data structure.

+ Limited in their ability to manipulate and report on data.

+ Cannot often be easily linked to other sources of data.

b) Proprietary systems

Proprietary systems, which are now increasingly available and varyconsiderably in their application, covering a wide property remit such asgeneral asset management, stock condition surveys, asbestos management,access audit information and general property management issues. Theseapplications can be utilised by stand alone, networked and now internet basedsolutions.

Advantages:

+ Complex database design enables linking of many of the propertyfunctions across a property portfolio.

+ Standard reports can be prepared to allow for interrogation by users withbasic computer skills.

+ All data in respect of the portfolio can be stored in a single database.

Disadvantages:

+ Systems often require a ‘database manager’.

+ Specialist training required.

+ Often designed to cope with a specific market and so difficult to customiseto individual client’s requirements.


9.4 Choice of systems

There are now three types of IT system available for stock condition surveys:

+ stand alone; a single PC;

+ networked on a server and accessed by a number of PCs; and

+ internet-intranet systems accessed from a single server but over a network,by many individual PCs.

The advantages and disadvantages of each of these systems are considered inmore detail.

a) Stand alone

Possibly the simplest system. The selected software is loaded onto a single PC.The data can be managed by the individual responsible for that PC.

Advantages:

+ Can be inexpensive for small organisations. The cost of both the hardwareand software can be reduced to a single unit and single user licence.

+ An individual may retain overall responsibility for the data, and forimportant functions such as ensuring that the data is backed up on a dailybasis to avoid loss of information.

Disadvantages:

+ If more than one user is downloading data there are resource problems,particularly if data needs to be edited.

+ If the computer is used communally, no one may have overall responsibilityfor the data, and data may not be backed up on a regular basis, which isdangerous.

+ One surveyor could inadvertently delete or change another surveyor’s datawithout realising.

+ The system may crash due to failure of another programme on the PC,having catastrophic effects on the data stored on the hard drive.

Single computer systems are not recommended, other than for the smallestportfolio, and even then a comprehensive data management procedure shouldbe in place, including a back-up process.

b) Networked system

A networked system will allow data to be stored on a central file server, andthen accessed via individual PCs. Whilst the data is located centrally, eachcomputer will have to have a copy of the software required to access the data.


Key: DB = database, WS = server

Advantages:

+ The data is held centrally and can be accessed by several users at the sametime.

+ Users can be given differing access rights, so the information can beprotected by a database manager.

+ Can be maintained centrally, although software packages do have to beloaded onto each PC.

Disadvantages:

+ Can be expensive, not only from a hardware perspective, but each user willhave to have a software licence to access the data, including any third partydata relevant to the surveys such as GIS or CAD.

+ The data manager will require a knowledge of networking and softwareuse, if not maintained by an organisation’s IT department.

+ Software version control can be a problem as not everyone on the networkmay be kept up to date with software releases.

+ A data manager will have to be designated to ensure the system ismaintained and backed up regularly.

c) Internet or intranet systems

An internet or intranet system will allow data to be stored on a central fileserver, and then accessed via individual PCs over the intranet/internet.Individual PCs do not have to have any specific software installed other than abrowser.

This type of system is suited to a large organisation with partneringarrangements and other external users who may wish to use the system. Accessis security controlled in order to restrict access.


Key: DB = database, WS = server, ISP = Internet Service Provider, FW =firewall

Advantages:

+ The data is held centrally and can be accessed by many users at the sametime.

+ Users can be given differing access rights, so the information can beprotected by a database manager.

+ Access is available from anywhere in the world so access can be given tohome workers, contractors, building managers, in fact anyone for whomthe data is relevant.

+ Can be maintained centrally.

+ Additional software not required on the local computer other than aninternet browser.

+ All users are guaranteed to have the same version of the software.

+ To some degree future-proof as new technology can be applied as andwhen it becomes available – mobile phones, PDA technology, etc.

Disadvantages:

+ Can be very expensive depending on the installation set up and whether thedatabase is located in-house or on ‘hosting’ equipment. Broadband orother leased line access is required which adds to the cost. However, thiscost is reducing over time and the costs do have to be compared with thecost of user licences for the number of people who could have access.


+ Speed – the system is very much dependent on the speed ofcommunication and whether it is over broadband or analogue connectionsat either end of the communication.

+ The data manager will require a knowledge of networking and softwareuse, if not maintained by an organisation’s IT department.

+ A data manager will have to be designated to ensure the system ismaintained and backed up regularly.

9.5 Procuring a system

Define the objectives of the condition survey system

+ Define the reasons for requiring a condition survey system.

+ Identify the resources required.

+ Set the broad priorities of the survey.

+ Quantify the resources required to implement the survey.

+ Designate a data manager who will have overall responsibility for thesystem and thereafter for making sure that it is updated.

+ Define the reporting requirements within the project team.

Review existing systems

+ Identify all existing manual records which contain details of properties tobe surveyed.

+ Identify any existing computer systems which hold survey details, theinformation held and whether or not it is accurate.

+ If information is held on more than one system, check for discrepanciesparticularly in respect of the details of property stock.

+ Identify any systems which need to be interfaced with the stock conditionsurvey system, for example, asbestos information and access auditinformation, CAD and GIS.

+ Identify the software that existing systems are run on.

+ Identify information that will be required for each survey, includingproperty identification numbers, descriptions, location, ownership, etc.

Evaluate requirements

+ Determine the information requirements that will need to be met by anynew system, taking into account any existing systems and procedures.

+ Determine the functional requirements of the system.

+ Define the reporting and management information requirements.

+ Determine the quantity of data that is likely to be held, and the numberand location of potential users.

+ Ascertain whether there are any preferred software solutions.

+ Determine the interface requirements, taking into account the data to betransferred, the physical interface requirements with data collectionsystems. Document all requirements, and distinguish between essential anddesirable features.

+ Agree the specification of requirements.


Acquire a system

+ Establish the evaluation which will be applied.

+ Produce an invitation to tender and specification, which contains thefollowing:

– specification and requirements;

– timetable for implementation;

– details of performance requirements.

+ Evaluate the responses received.

+ Prepare a shortlist of suppliers.

+ Arrange for demonstrations and informal discussions.

+ Select a product.

Implement the system

+ Establish a data management system.

+ Collect, prepare and convert existing data for the new system.

+ Implement and integrate the system.

+ Test the system.

+ Train staff on the system.

+ Develop staff procedures.

9.6 Data Protection Act 1988

The use of computers to store data brings with it responsibility under the DataProtection Act 1998. However, it is important to note that the Act only appliesto personal data that relates to individuals who are identifiable and living. Indeciding whether the Act applies it must be decided whether the data relatesdirectly to an individual and is something that ‘affects his privacy, whether inhis personal or family life, business or professional capacity’.

In reality therefore, if your computer system is holding personal data of anykind you are covered by the Act, for example, housing surveys where theoccupants are asked for their opinions or information about their age, numberof people living in the house, etc. would have to comply.

However, survey data as far as buildings are concerned does not, as a rule,include personal data and cannot therefore be used to identify individuals andwould be exempt from the Act.


Part 2: The survey process

10 Briefing

10.1 Overview

Consideration and a checklist of the key issues which should be addressed in abriefing document for a condition survey is presented in this section.

A clear briefing document will help make the best of a stock condition surveyand determine the information which is collected on a survey within a givenframework of quality, time and cost.

10.2 Key issues

More competitive tenders can be expected where briefing documents are‘feasible, clear, informative and fair’.

There are cost and time implications relating to:

+ scope of the survey and buildings to be surveyed;

+ the accuracy and availability of client information;

+ detailed issues of programming;

+ processing condition survey data after it is collected.

Where briefing information is unambiguous it is more likely that tenders willbe based on an equal footing with opportunities for improved competition.

10.3 The stock condition survey brief

A poor brief may deter good quality consultants and a vague brief will make itdifficult to compare tenders. The ODPM’s guidance for housing stockcondition surveys may be applied to all types of stock condition survey:

‘… a survey brief should be feasible, clear, informative and fair’.

Feasible in that it should allow adequate time to do the project professionally,and to recognise the limitations of the type of inspection (usually visual only)that has been asked for.

Clear in terms of being as specific as possible about tasks. The phrase‘tenderers may be expected to undertake ...’ will make costing (and hencecomparing) tenders difficult.

Informative by providing as much relevant data as possible about the stockprofile, e.g. the number and types of blocks of flats. More often than not theaddress list does not differentiate between one block and another, so how canconsultants price for internal and external surveys accurately.

A fair brief will provide a realistic balance between the level of detail to becollected, and the cost implications in terms of performance bonds andprofessional indemnity insurance requested from consultants. Where there are


likely to be requests for related additional information, which will increasesurvey time and, therefore, data collection and inputting costs, rates foradditional works should be included.

Where a brief is performance-based rather than prescriptive, tenderers have theopportunity to come forward with different and possibly innovative ways ofdelivering the required output.

Where there is ambiguity in the brief or lack of clearly defined objectivesclarification should be sought from the client at the onset of the brief. This mayinclude confirmation of the aims, content of the survey, information from theclient and format of the report.

Example of a housing stock condition survey scope

‘The stock condition survey comprises a 15% sample of RSL’s housing stock.The survey aims to determine the condition of the housing stock. Theinformation gathered will be used as the basis for the development of a 20-yearasset management strategy to:

+ carry out replacement repairs at optimum times and develop an integratedrepairs and improvement strategy;

+ optimise the proportion of repairs spending on both planned andprogrammed maintenance;

+ ensure funds are available for future repairs and improvements;

+ plan a Decent Homes strategy to meet government targets;

+ provide benchmarking data as required by ODPM.’

10.4 Information provided by the client

The information provided by the client will vary from survey to survey andclient to client. The scope of the stock condition survey should reflect theinformation the client holds. The nature of clients’ information, its range,accuracy and how easily it can be shared has a strong influence on theefficiency, programming and cost of a stock condition survey. Some of theinformation which should be made clear in the client brief and briefing processincludes the following:

a) Programme dates and priorities

It is essential to establish when work needs to be completed in order that thesurvey results can be incorporated into the client’s business and managementprocesses. For example, key decision making meetings, programming ofbuilding works, property appraisals, annual accounts, budgets, maintenanceplans, etc. The client should also make the survey team aware of major workswhich may be undertaken during the surveying program. This may have accessimplications. Where a major refurbishment is planned during the survey thestock condition survey inspection should be planned after the refurbishmentworks.

b) Property details to be supplied by client

Large property portfolios need to be properly referenced with unique propertyreference numbers (UPRNs). This is essential where an electronic datahandling system is to be utilised.


Related property information includes: the full name(s) of the property, postaladdresses, telephone number and other information which would be helpfulidentifying and locating the property and enabling the surveyors to make aninspection.

It might be prudent for this information to be provided electronically in aspreadsheet or database format to facilitate direct import into a stockcondition survey management database. The property information can be usedto send out letters notifying occupiers of intending inspections as well asproviding the survey schedule for surveyors.

c) Room and space referencing

Many stock condition surveys are carried out room-by-room, particularly fornon-housing surveys. Rooms should be referenced or coded so that there is noambiguity which room is being referred to. It is important that only one set ofroom references are used.

d) Location

For some types of stock condition survey, such as a survey of a school to costand carry out repair work, it is imperative to be precise about the location ofidentified works. Clarity may be achieved by use of compass bearings notationcombined with coded elevations and roof plans to identify locations externally.A room and storey numbering or referencing system would locate internalworks. The system for referencing location should be agreed at the briefingstage.

e) Availability and nature of plans

Building plans and elevations can be a great benefit to carrying out a stockcondition survey, indeed plans may be essential for certain types of stockcondition survey. Drawings may come in a variety of formats and accuracy. Forexample, in scaled or not-to-scale format, as in computer aided drawing(CAD), electronic files or copies of hand drawn plans. The availability andquality of drawings should be established as a vital part of stock informationfor condition surveys.

The buildings, room schedules and space referencing should be checked andconfirmed for consistency.

Drawing and location references should be stored centrally, be readily availableto all who need them and, importantly, need to be kept up-to-date. A protocolmay need to be established to ensure that for multi-faceted surveys a consistentreferencing system is used.

It may be advantageous to programme measured surveys before the stockcondition survey where both are requested.

Floor and roof plans enable the survey team to:

+ plan their inspection;

+ provide a room numbering system;

+ consistently locate remedial work;

+ check measurements;

+ record non-access.


f) Information about the stock

Existing information about the building stock may benefit the inspections.Generally, it is simpler and quicker to check and confirm information than it isto determine or establish the information in the first instance. Assetinformation which may be available could include:

+ construction information: size, type, construction, components and theirquantities;

+ location, address;

+ use;

+ public access.

g) Photographs

Photographs are easily and inexpensively produced in digital format. The stockcondition survey may include a photographic record of the surveyed stock aspart of the client brief.

In any case, photographs provide a means of quality assurance for the surveyteam. Questions of accuracy or doubt may be resolved from photographs; amore cost effective option than a re-survey.

A referencing system or photo album software should be provided to enablephotographs to be accessed at a later date. Photographic files can take up aconsiderable amount of computer memory so adequate storage allowanceshould be made. Regular transfer of project data to back-up systems orelectronic storage should be allowed for.

It is vital therefore that a clear line of communication is agreed in order to passthis information between the relevant bodies as soon as possible.

h) Priorities

Where a system of prioritising defects or works is required the prioritystructure should be agreed. It is good practice to document the priorities withexamples. Details in respect of priorities are dealt with in subsection 4.6.

i) Benchmark standards for condition

To ensure consistency, some form of guidance on condition standards shouldbe established. Looking at a softwood timber window with some evidence ofwet rot may be interpreted by one surveyor as requiring patch repairs and byanother surveyor as needing replacement. Both may well be correct in thecontext of an organisation’s maintenance and replacement strategies. In thisexample there may be a number of acceptable options: the window may berepaired as part of the cyclical decorations cycle, or treated as a one-off repair,or if the organisation has a policy of window replacement the condition mayprovide information for earlier replacement than later.

During the set up of the survey the benchmark standards of condition andrecording of condition should be determined in discussion with the client.

Where there are statutory requirements these may form the basis of conditionstandards.


j) Schedule of rates for building and engineering elements

The basis for costings used should be agreed prior to the survey. A mechanismfor costing new items which only become apparent during the survey shouldbe established.

Where surveyors are expected to cost items on site while carrying out theirsurveys there is the greatest risk of variation in pricing. The basis for costingsshould be clearly established before the surveys with guidance and examples,and ideally with a guide to costs for typical items to ensure consistency.

Costings may be based on standard reference documents such as the BuildingMaintenance Cost Information Service (BCIS) price guide or similar price booksor in-house schedules based upon local experience. The basis for costingshould be agreed with the client.

The currency of costs themselves may need considering, particularly wheresurvey projects are long term; for a year or more. Costs will change over thesesorts of periods. Agreement should be reached to establish a base date for costsand what indices or factor is used to update costs to reflect current values.

Simplified methods of costing may be employed which nevertheless provideaccurate and consistent estimates of the works needed. When evaluating themethods for costing repair and replacement works, the following issues shouldbe considered:

+ how to measure and estimate quantities;

+ do you price in the field or as a later desktop exercise;

+ advantages and disadvantages of using composite and spot pricing;

+ which schedule of rates to apply;

+ make assumptions about type of work and contract size;

+ how to deal with non-standard costs;

+ what de minimus rule applies;

+ how will preliminaries, contingency and fees be dealt with;

+ after the survey how will costs be updated;

+ will annual updating site surveys be put in place;

+ do not automatically roll items forward from a desktop exercise, inspectand check according to need first;

+ put mechanisms in place at the outset for updating;

+ exclude routine maintenance items.

Clients need to be mindful that during a five year condition assessment, whererepair and replacements are not necessary, then surveyors may not recordconstruction attributes and quantities. It is recommended that thisinformation and the condition of the element are recorded in all cases forfuture use.

k) Reports

The content of the report, and possibly the formatting, should be agreed at theoutset of the survey. Where reports are largely the production of data tablesthis may be governed by the output from the software system being utilised.The client must determine exactly what information is required from thesurveys so it can be presented in a suitable format.


l) Non-condition survey issues

During the course of the survey it is likely that issues should be brought to theattention of the client, even though they may not be directly related to thestock condition survey. Typical issues include health and safety matters, accessdifficulties and evidence of illegal activities. A protocol for reportingnon-condition survey issues should be established between the surveyors,survey manager and the client side.

10.5 Programming and managing the survey

There are many details, protocols and issues which need to be determined toprogramme and manage the survey. As there are many variations for each issuethere will be cost and resource implications depending on the level of detailrequired for the survey. The less ambiguity about what the client expects, themore competitive survey tenders are likely to be.

Key issues which affect the survey programme include:

a) Property information

General principle: the more accurate the existing information a client hasabout their stock the more efficient the stock condition survey.

+ Correct addresses, defining site boundaries and blocks, UPRNs.

+ Leasehold interests, historic buildings and conservation areas.

+ Defining locations for recording information and defining the hierarchy ofbuildings and spaces, e.g. room by room or floor by floor, by individualelevation.

+ Contact details for occupiers and users.

+ Existing data to build on, maintenance plans and known defects.

b) Extent of the survey – information collected on the survey

General principle: the more that has to be surveyed the longer the stockcondition survey will take.

+ What is included in the survey, for example, there may be limitations,occupiers’ fixed and not-fixed equipment may not be included.

+ Property attributes, life expectancies, elements and components.

+ Level of detail to be collected, e.g. room by room.

+ Agree time span of forecasting, e.g. a five-year plan may require moredetailed repair scheduling.

+ Provisional sum for access equipment, drainage company in attendance.

+ Assessment of condition and state of repair made against current use ofspace.

+ Quantifying repairs and replacements.

+ Statutory non-compliance and relation with condition.

c) Survey framework – details and issues to be established in the planning period

General principle: the more thorough and worked out the information anddata framework of the survey the more efficient and consistent the stock


condition survey is likely to be. Provision and programming allowance for apilot survey should confirm the survey framework is suited to the aims of thestock condition survey.

+ Preferred data collection format.

+ Condition coding and prioritising method.

+ Benchmark standards, maintenance policies; to repair, replace or improve.

+ Pricing – clarity about what is to be included; schedule of rates, access, oncosts.

+ Agree survey form and sample design where appropriate.

+ Training of surveyors and engineers.

+ Preferred data storage and output format.

+ Pilot survey, confirmation of acceptance.

+ Quality control – re-surveys.

+ Timing of the survey; there may be optimum times, such as school holidaysfor educational establishments.

d) Carrying out the survey

General principle: Stock condition surveys are more likely to be successfulwhere the survey is based on a documented methodology, including interimreporting and quality checking. Achieving high levels of access may be an issuein housing surveys and strategies to maximise successful access should bedetermined with the client.

Key issues which should be determined include:

+ methodology for carrying out the survey;

+ quality assurance procedures for setting and maintaining accurate andconsistent standards;

+ progress monitoring, interim reports and client reports;

+ response rates;

+ access provision, security, e.g. permits to work;

+ arranging access and revisits;

+ protocols when visiting premises, working around occupants;

+ health and safety policy and procedures;

+ fees and payment schedule.

10.6 Post field survey

There is a world of difference in presenting a client with a database orspreadsheet and saying ‘here’s your condition survey data’ and preparing adetailed report with graphs, tables and analysis of the collected data. Again,there are cost and time implications for processing the condition survey dataafter it is collected.

Issues which should be clarified include:

+ processing and validation of data;

+ preparing a database;

+ inputting to a database;

+ quality assurance (QA) checks for omissions and errors;


+ interim and final reports;

+ output formats;

+ updating the survey.


11 Procurement

11.1 Overview

This section deals with the advantages and disadvantages of alternativeprocurement routes, and provides pointers for evaluating competitively soughtbids.

11.2 Key issues

Stock condition surveys may be carried out in-house or by specialistconsultants or a combination of both in-house staff and consultants.

Consultants could be appointed on the basis of open or selective tendering by:

+ lump sum or schedule of rates;

+ a negotiated contract;

+ a partnering agreement.

The procurement route selected may depend on organisational rules governingtenders as well as time and information constraints.

Lowest price tenders do not necessarily offer best value. Clear and transparentevaluation criteria should be used to assess tenders. Feedback to all tenderers isnot only courteous but can improve competitiveness, in the longer term.

11.3 Procurement options

A stock condition survey may be undertaken in-house, either using existingstaff or by recruiting temporary surveyors. This may be by an ad hoc team or insome cases local authorities and registered social landlords have createdpermanent posts dedicated to undertaking stock condition surveys andkeeping the stock condition data up-to-date. Using in-house staff to manageand undertake stock condition surveys keeps the survey knowledge in-house,not withstanding staff changes.

Alternatively, specialist consultants are engaged to carry out stock conditionsurveys. The consultants in this field have dedicated staff who undertake suchsurveys continuously, and have systems and processes in place to manage stockcondition surveys efficiently and effectively. Using specialist consultants maysuit the needs of public and commercial clients who seek to procure surveysperiodically, for example, every five years. Outsourcing is arguably becoming amore attractive proposition as surveys increasingly become morecomprehensive in their scope and content. In some circumstances the publicsector requires an independent assessment of the condition of the property.

It is not uncommon for a stock condition survey to be procured jointly by ateam comprising in-house staff and consultants, where both parties bring theirexpertise, skills and knowledge to the project. For example, the former will befamiliar with the maintenance history of the property, whilst the consultantmay have data collection and analysis software, management systems andspecialist training in asbestos sampling or accessibility audits.


There may be benefits in using an independent project manager to assist in theprocurement process.

11.4 Procurement of specialist consultants

Where consultants are being considered to undertake a survey, there is a choiceof procurement routes to take. Appointment could be on the basis of open orselective tendering by:

+ lump sum or schedule of rates;

+ a negotiated contract;

+ a partnering agreement which may be on an open book basis, or they maybe appointed within the terms of a framework agreement.

There are advantages and disadvantages in the different procurement routes.

Industry codes of practice on the selection process for contractors has beenavailable for some considerable time, but no such guidance exists explicitly forthe procurement of consultants for stock condition surveys. However, ingeneral the selection processes for stock condition survey consultants wouldfollow a similar route to that for contracting.

Whilst all clients seek value for money and to appoint the best expertiseavailable within a given budget, it should be borne in mind that tendering is atime-consuming and costly process for both the client and the consultant.Public bodies have to abide by the Official Journal of the EuropeanCommunities (OJEC) rules but often invite too many consultants to tender.

Open tendering

Open tender by advertising is arguably a wasteful option for all parties and oneto be avoided for a stock condition survey. Through open competition,prospective tenderers are invited to request a copy of the brief and supportingdocumentation with a deadline for tender submissions. It may elicit a largenumber of tenders which may result in an arbitrary and costly selectionprocess by the client, even where they devise a scoring system as part of theevaluation process.

Two-stage competitive tendering

Two-stage competitive tendering whereby consultants submit an expression ofinterest and then a shortlist is drawn up for tendering, is the most popularprocurement route. The process must provide a level playing field, where alleligible consultants can pitch for work fairly, equally and openly.

Fee tendering

Provided competent and experienced consultants or contractors are shortlistedand a sufficiently detailed brief is provided, then the market should ensure thatvalue for money is achieved. Fee tendering has the added advantage ofensuring independence in public sector procurement. It is extremely importantto ensure that each tenderer is pricing on the same basis, and the key to this isin providing a sufficiently detailed and thorough brief whilst still allowing forinnovative solutions.


Interviews may be held for shortlisted firms either before or after thesubmission of tenders. The unethical practice of inviting tenders fromconsultants just to make up the numbers should be outlawed.

The number of consultants invited to tender should be restricted to betweenfour and six, dependent on the probable cost of the project.

11.5 Competitive tendering

The administration of tenders in the public sector is often undertaken by acentral procurement department, and there may be no direct communicationwith the client or commissioning department. This can make for a more timeconsuming process and can result in unnecessary paperwork.

Tenders should be judged on price and value for money, as demonstrated bythe quality of the submission and the experience and expertise offered.

The results of the tender process should be communicated to all participatingfirms within a reasonable time. The Freedom of Information Act 2000 mayimpact on the information detail and content issued after tendering. Forexample, the tender names, tender prices and breakdown of scoring used in atender assessment may be released with the tender results.

After the effort and expense incurred in submitting bids, it is important toconsultants that they are provided with feedback on their pricing, strengthsand weaknesses, to enable them to fine tune future bids, which will in turnreinforce the aim of achieving best value.

The process of evaluation and selection of consultants should be completelyopen, transparent and fair. Current guidance from central government in thepublic sector revolves around principles of Best Value. If selection is to be onthe basis purely of lowest tender then that needs to be made explicit.

A select list can be compiled from the responses received from advertising inthe OJEC, appropriate technical journals or recommendations from similarclients. The RICS can provide a list of suitable consultants. Clients can searchthe internet or ask for recommendations from other organisations.

11.6 Tender documentation

Tendering firms receive documentation of variable quality when puttingtogether bids. Many tender documents are poorly compiled and lack basicinformation to facilitate the level playing field referred to above.

A common omission in housing tender documents for example, is the numberand size of blocks of flats. In these cases firms may have to resort to using theirjudgement to determine the sample size required for external block andinternal flat surveys when tendering.

Very often tender documents for municipal buildings lack information onfloor areas, ages and type of construction, which is crucially important inpricing for labour intensive inspections, audits and assessments of a mixedportfolio of buildings.

Consultants have to assess the length of time it is likely to take to undertakesurveys and then translate that into cost. Most use formulae based on a £m2

rate or £/unit surveyed.


Completed pre-qualification questionnaires are commonly required in thepublic sector.

‘Construction line’, the register of local and national construction andconstruction-related contractors and consultants, pre-qualified to work withinthe public sector, does not appear to have been as successful as was hoped.Consultants have to send extensive supporting documentation with eachtender. However, electronic tendering (e-tendering) is likely to grow inimportance in the future, which will require significant cultural changes for allparties and emphasis the importance of well thought out tenderdocumentation.

11.7 Negotiated contracts

Negotiating contracts can provide the following advantages over tendering:

+ it is a simpler and speedier process;

+ the supplier can participate in finalising the brief;

+ it allows the client to work with a consultant who is known to them.

The client has to be able to demonstrate, however, that they are getting bestvalue and a good standard of expertise. This is particularly relevant in thepresent culture of audits and inspections in the public sector.

Frequently the client’s timetable dictates that a speedy start has to be made onthe site survey following appointment of a consultant, leaving insufficient timeto prepare and plan effectively. The client has to take responsibility forproviding complete and accurate address lists, floor plans and other details,and be prepared to share the risks involved in pressing for too hasty a start.

11.8 Partnering arrangements

Procuring work by means of a partnering arrangement or within the terms of aframework agreement has grown in popularity following the Egan Report(1998) on improving performance in the construction industry. This is anoption where the survey is spread over a longer term. Agreement is sought withone consultant to provide continuity and the benefits that this can provide,subject to meeting cost, quality and programme targets.

11.9 Payments

Cash flow is the lifeblood of any business. Tender and contract documentsmust make provision for stage payments during the course of a project, withinvoices submitted upon satisfactory completion of specified stages includingthe fieldwork. Any retention should be fully released within the agreed period,provided the work is carried out satisfactorily. There should be specificreference in the tender document that retentions are a condition of thecontract.

11.10 Evaluating bids

In evaluating bids clients should compile a list of criteria from the followingsuggestions:

+ overall cost and unit cost;


+ cost of add-ons, e.g. photographs;

+ daily fee rates;

+ staff availability, experience and skills;

+ timetable;

+ quality control procedures;

+ methodology in planning, preparation and fieldwork;

+ quality of report and output;

+ IT and particularly database expertise;

+ presentation skills.

Clients often devise a scoring system to assist in undertaking an objectiveevaluation of bids and presentations. Assessing each tender using the sameevaluation process ensures fairness, easier evaluation and provides a record, ifrequired for later assessment by a company’s or public body’s internal auditors.Commonly a scoring system adopts a spilt of 40% based on price and 60% onquality and other factors in this evaluation. Evaluations can also be weightedaccording to the importance of different elements and the strengths andweaknesses of the internal resources the client can employ to monitor differentparts of the contract, i.e. a client who has weak database management skillsshould ensure that the appointed contractor has adequate expertise in thisarea.

Asking the right probing questions in an interview calls for preparation inevaluating the weaknesses of each tender submission and the application ofsome skill to elicit satisfactory responses to the main issues. It is advisable toask open-ended questions that allow consultants to give a full answer. Askingtwo or three questions which are the same to each consultant interviewed onan important topic, e.g. risk management, allows the direct comparison ofresponses.

There now exists some guidance documents in many sectors of the economyfor procuring surveys, together with forums for the exchange of views andideas. Carrying out comprehensive condition and compliance surveys is aspecialist function and the right survey team has to be put in place to achieve asuccessful outcome.


12 Conditions of engagement

12.1 Overview

There is no standard agreement or form of contract for condition survey work.The RICS guidance note, Appointing a Building Surveyor, is recommended.

12.2 Key issues

Over and above the typical clauses included in conditions of engagement forprofessional services, there are several issues specifically relating to conditionsurveys which should be addressed, in particular:

+ use of subcontractors for specialist aspects of the survey;

+ dealing with variations;

+ warranties and performance bonds relating to the condition survey;

+ resolving non-access;

+ level of accuracy of the surveyed data.

Additional clauses dealing with these issues may be included in the conditionsof engagement.

12.3 Commissioning

There is no standard agreement or form of contract for procuring a stockcondition survey. In the absence of such documentation we recommend usingthe guidance note, Appointing a Building Surveyor, published by RICS Books.Additional clauses dealing with issues which specifically relate to stockcondition surveys may be included in the conditions of engagement.

The basis of the agreement between the client and the surveyor in the guidancenote, Appointing a Building Surveyor, comprises the following fourcomponents:

+ Conditions of Engagement;

+ Project Brief;

+ Scope of Service; and

+ Appointment Agreement.

Clients increasingly require tenderers to acknowledge the full scope of servicesto be provided and to demonstrate their understanding. This is often achievedby ensuring that tenderers provide a detailed method statement includinginformation about the size and experience of the survey team, resourceplanning and timetabling of the proposed works, together with a robust qualitymanagement system to ensure consistency in survey methodology,communication protocols, report format and budget costings.


12.4 Conditions of engagement

The basis of appointment should be clear and unambiguous. In most cases, thestandard terms and conditions published by the major professionalinstitutions, linked with appropriate schedules of services and fees will besuitable. For example, Conditions of Engagement for Building Surveying Services,published by RICS Books, covers the following 15 issues:

1 The surveyor’s obligations

2 Payment for the surveyor’s services

3 Professional Indemnity Insurance (PII)

4 Communications between the client and the surveyor

5 Suspension and termination

6 Consequences of suspension and termination

7 Complaints

8 Copyright

9 Assignment (England and Wales or Scotland)

10 Waiver

11 Disputes

12 Arbitration

13 Liability

14 Notice

15 Surveyors and legal advice – Client guide

Typical issues that may arise when agreeing the terms of the engagementinclude the following:

a) Professional Indemnity Insurance (PII)

Typically PII cover in the range of £5–£10m is provided for surveys of largeportfolios. Whilst most surveyors who undertake stock condition surveys willhave adequate PII cover, increasingly clients are requiring additional services toform part of the surveys, e.g. asbestos inspections and disability access audits. Itis essential, prior to agreeing the extent of the service, for the surveyor toconfirm whether additional insurance may be required in this regard.

b) Use of subcontractors

With the increasing need to also provide some specialist advice, for example,with regard to complex building services, energy efficiency and space planning,such services may be out of the general scope of the surveyor employed andsubconsultants may be required. Occasionally extra surveying staff arerecruited to assist with the inspections, particularly if time is of the essence anda tight deadlight is imposed. Issues concerning liability and PII cover will needto be addressed with all consultants. In certain instances it is possible, withprior consent, to have a consultant appointed directly by the client, therebyreducing the risk to the surveyor of a claim in the unlikely event of a dispute.


c) Warranties and performance bonds

In some instances warranties or performance bonds may be requested by theclient in an attempt to safeguard them against costs incurred should thesurveyor fail to perform as agreed and within the chosen timescales. For themost part, the provision of these safeguards can be a significant expense to thesurveyor and if required they should be calculated as part of any tendersubmission.

d) Variations to the scope of service

It is not uncommon during the course of a contract to find that additions oromissions to the stock are made by the client. In some instances, particularlywith very large portfolios, it can transpire that a property listed to be inspectedno longer exists or has been sold. Sometimes the client also asks for subsequentamendments to the presentation of the survey data and reports; lengthyalterations or changes may be required. In these circumstances, the surveyorshould have a pre-agreed fee arrangement. It is also helpful to have agreedhourly rates for work that may be outside the original scope of service.

e) Achieving reasonable access

Gaining access to each property to be surveyed is, of course, essential. Fromtime to time problems can arise, particularly when the respective contact at thepremises is not available or needs to be identified. As part of the conditions ofcarrying out the surveys a list of contacts is required. To minimise wasted timeby surveyors it is helpful if specific appointments do not have to be made togain access to properties. This is especially true for domestic properties whereoccupants frequently forget or break appointments.

Provision, and a protocol, for access should be included in the contract.

Letters sent out prior to surveyor visits giving an approximate week orduration for the survey frequently suffice when accompanied with thesurveyor’s photo identification and a letter of introduction by the client.Occasionally, clients are wary about providing a list of occupiers or residentsbecause of concerns with, for instance, the Data Protection Act and this shouldbe addressed from the outset.

f) Fees

Some condition surveys can take several months to complete, requiringsignificant outlay of expenditure and resources prior to completion of thesurvey and subsequent payment of the agreed fee. In these circumstances, thesurveyor should take into account the ongoing costs incurred and considerwhether either monthly or proportionate fees, reflective of the workundertaken each month, are agreeable to the client as opposed to a lump sumpayment.

g) Complaints procedure

In accordance with recent amendments to the RICS Rules of Conduct, all firmsof surveyors must confirm in their conditions of engagement the proceduresfor complaints and the timescales for dealing with them.


h) Levels of accuracy

Agreeing in advance the degree of accuracy required is an important part ofthe client’s brief and agreeing the scope of service.

i) Costs and pricing

For most clients indicative assessments and cost estimates are required butsome do specify the need for more detailed information and pricing,particularly when budgets will be set on the survey information that iseventually provided.


13 Carrying out the survey

13.1 Overview

This section covers the main issues in carrying out the field survey.

13.2 Key issues

Background information: the reasons for the survey, existing information,information to be collected, the data collection and analysis systems should allbe clearly understood and in place.

A pilot survey is strongly recommended.

Surveyor training and briefing is essential to the success of the survey.

Protocols for arranging access and dealing with non-access should beestablished.

A successful survey relies on systematic methodology when observing assets,underpinned by clear protocols for the inspection, identifying locations,measuring and costing works and noting further investigations.

Data validation and checking should be carried out through out the survey.

13.3 Background information

Before the stock condition survey can be carried out background information,systems and protocols should be in place and tested. Preparing the survey maytake considerable time and should involve the client to ensure that the surveywill achieve its aims. Before surveying starts, a confirmation meeting with theclient is essential.

The key logistical, information and systems which should be in place, at least inprinciple if not detail, before the stock condition survey starts include:

+ clear statement of the scope and content of the survey at the level of detailthe surveyors will collect the information;

+ assimilation of client’s information in a format which can be used for thestock condition survey;

+ list of properties and assets to be surveyed, including locations and meansof identifying the parts which will be surveyed;

+ a survey collection form for all the properties to be surveyed;

+ the survey team selected;

+ timetable and allocation of surveyors to survey properties;

+ arrangements made to access properties;

+ provision for briefing and training with survey staff to clarify issues ofdetail, methodology and confirm the purpose of the survey;

+ process for collecting, validating and analysing the data collected on survey.

It is recommended that the field survey itself takes place in at least two phases:


+ a pilot survey followed by a review process, which may amend themethodology; and then

+ the main survey.

13.4 The pilot survey

A pilot survey of representative types of property is beneficial to client andconsultant, and should be planned, executed and reviewed with care. Sufficienttime must be allowed in the project programme for this to take place. The pilotsurvey is beneficial to the consultant in establishing a benchmark against whichto judge quality and progress. The following aspects of the survey can be testedand checked by the client:

+ the survey team’s skills and competencies;

+ refining the brief;

+ programme assumptions;

+ appreciating access difficulties;

+ the survey form or template and the performance of any new software;

+ evaluating the methods of cost estimating;

+ agreeing level of detail to collect and the standard of condition to beachieved;

+ assessing condition and priority coding system;

+ testing data collection and inputting methods;

+ format for reporting output for condition and compliance.

Following a successful pilot survey, preparations can begin for the main survey.Alterations may have to be made to the survey form, the pricing methods, orthe back end software. The team of surveyors and engineers will need to beassembled, briefed and trained for the project. No matter how experienced theteam, there will always be some element of the brief that is different from thelast survey.

13.5 Quality of the survey

This subsection considers the key quality issues associated with surveyors. Agood quality survey is characterised by accurate and consistent observationsand judgements which reflect the requirements of the client.

Surveyor selection, training and briefing

Suitable and experienced surveyors and specialist professionals such as servicesengineers, are of great benefit in achieving a high quality stock conditionsurvey. Where graduates or relatively inexperienced surveyors are employed toreduce costs they should preferably be part of a team that includes experiencedsurveyors and they should be carefully managed and supported.

The training session for the survey team should be based around a manualprepared for the project and should cover:

+ the scope and content of the brief;

+ the survey methodology;


+ access arrangements;

+ quality assurance procedures;

+ health and safety;

+ data collection;

+ update on legislation and surveying good practice.

Improving the survey quality

To ensure the survey provides high quality and accurate results the followingpoints should be carefully considered.

+ The training should be tailored to suit the skills and experience of thesurveyors undertaking the fieldwork.

+ One or two properties should be surveyed by all the surveyors with a viewto them gaining familiarity with the survey collection system and surveyquestions. Time should be allowed to discuss issues arising, which mayneed to be resolved and standardised.

+ As part of the quality assurance procedures there should be adequatemanagement and supervision of surveyors. This should include technicalsupport as well as monitoring performance. Surveyors should beencouraged to ask questions.

+ Consideration should be given to a senior surveyor accompanying eachsurveyor individually for half a day at a time to check their work. Checkingshould be timed early on in the survey, just after the start of fieldwork andhalf way through to ensure standards are maintained.

Clear, unambiguous briefing of surveyors

All surveyors should receive the same briefing prior to the start of fieldwork.The briefing should include the following:

+ Information as to why the survey is being conducted.

+ The likely uses of the information collected.

+ A review of all the questions to be answered together with a definition ofany ambiguous question open to interpretation. Sufficient time should beallowed for surveyors to ask questions.

+ A ‘Survey Manual’ setting down the definitions of key questions is usefulsince surveyors can refer to it as required during the fieldwork period.

+ Explanation of the administrative procedures and protocols.

+ One or two properties should then be surveyed by all the surveyors with aview to them gaining familiarity with the survey questions and discussingany issues arising. This fieldwork exercise is recommended as invariablydifferent types of question arise when surveying.

Minimising surveyor variability

It is a fact that individual surveyors differ in their assessment of issues such asthe extent of disrepair and the remaining life of materials. Whilst thesedifferences are unlikely to be great, their effect on the accuracy of results can beimportant. There is also the possibility that a surveyor may be incorrectlyinterpreting a question.


To ensure confidence that the survey results accurately reflect the condition ofthe stock and are not adversely affected by the opinion of a single surveyormethods to minimise surveyor variability must be considered.

A clear briefing and effective supervision of surveyors during fieldwork areimportant. Additionally, an individual surveyor should not be allowed toundertake all surveys of a particular type of property, for example, all the towerblocks in the sample. Every surveyor should be given a mix of property typesand ages consistent with their skills and experience. Ideally this would mean arandom allocation of the sample addresses to surveyors, however, to reduce thecosts associated with travelling, other allocation methods may be acceptable.

13.6 Arranging access

Arrangements need to be made for access to all properties. It is good practicefor the client or the surveying team on behalf of the client to write to occupiersexplaining the purpose of the survey, how long it will take and how it will beundertaken. With a multi-faceted condition and compliance survey it mayinvolve a team of different professionals visiting for up to a day or more in thecase of larger buildings. Surveyors and engineers will also work at a differentpace and as a consequence may not visit properties at the same time.

Arranging access may be straight forward in the case of a small building orwhere there is a building manager who can notify all occupants. In the case ofhospital, university or college premises there may be many differentdepartments or faculties in the one building and access will need to becoordinated.

Where property is vacant the survey team needs to know where keys can beobtained or key holders can be found, whether buildings are alarmed andwhether power is available. There may be special arrangements that need to beput in hand, such as permits to work on roofs or accompanied access torestricted and sensitive areas.

Access arrangements for housing stock condition surveys

For housing surveys involving internal inspections, surveying a highpercentage of the selected sample is important in providing confidence that theresults accurately reflect the whole stock. This is especially important if thesurvey includes an occupants’ questionnaire. Receiving opinions from peoplewho are mainly in during the day, such as older people, the unemployed andparents with young children is unlikely to give an accurate reflection of theviews of the overall sample since many people who work or socialise are likelyto be missed.

The following points are good practice for any survey of housing.

+ The occupants should be sent a letter, preferably from the organisationrequiring the information that asks for the occupants cooperation, statesthe reason the survey is being conducted and gives the period during whichfieldwork is being conducted. A telephone number should be provided toenable occupants to ask further questions, arrange an appointment anddecline to take part if the survey is voluntary. The letter should be signed bythe head of the organisation to reinforce the importance of the survey.

+ Surveyors must be prepared to work evenings, weekends and bank holidaysas necessary in order to survey houses where the occupants are in full-time


employment. During winter when there are short daylight hours, ifrequired, internal inspections can be done when dark with externalinspections conducted during the day, although this may require a secondvisit to the property. Surveyors should stop working at a reasonable time inthe evening. During the dark winter months surveyors are unlikely to beable to call on occupants as late as during the summer.

+ Surveyors should be issued with a photo identity card that, when worn, isclearly visible. The card should preferably include the logo of theinstructing organisation as well as the names or logos of any surveying firmcommissioned. The surveyor’s name should be printed on the cardtogether with a telephone number an occupant can phone to confirm theauthenticity of the surveyor.

+ Surveyors should be issued with calling cards which can be left at houseswhen no one is at home. By informing occupants that a surveyor has beentrying to survey their house, it is more likely that an occupant will take partin the survey on a subsequent occasion. Calling cards should allow spacefor surveyors to write their name and mobile telephone number on thecard to enable an occupier to arrange an appointment directly with thesurveyor.

+ For larger surveys publicity by the instructing organisation is useful inraising the profile of the survey. This does not need to include advertisingsince many local newspapers and radio stations run stories that are ofgeneral interest to the public. However, publicity should be balancedagainst the risk that bogus surveyors may attempt to gain access tobuildings.

+ Once the survey has been completed it is good practice to write on behalfof the instructing organisation to thank the people who took part for theirassistance. General information about the usefulness of the informationcan also be included. The thank you letter helps to ensure the occupantscooperation for future surveys.

13.7 Carrying out the survey

When arriving at a building, it is advisable to establish protocols to be followedby all site staff. The overall objective is to collect reliable and consistentlyaccurate data, by carrying out the survey economically and efficiently.Standardisation and the use of fixed checklists and guidelines are critical to thesuccess of the project. This applies whether the brief is limited to conditionassessment or whether it also encompasses compliance, such as disability accessaudits or health and safety risk assessments. These protocols are listed below,not all will apply to each survey.

Protocols prior to survey

+ Setting up a base to work from;

+ locating the property in advance and arranging parking;

+ procedure for obtaining access or keys to empty properties;

+ obtaining assistance in opening up from a caretaker or keyholder;

+ establishing the order in which tasks are to be carried out, e.g. a measuredsurvey before the condition survey;

+ coordinating access to properties by surveyor and engineer to minimisedisruption;


+ taking notes and completing survey forms or inputting to PDAs;

+ measuring and quantifying techniques and conventions;

+ a system for keeping field staff briefed on changes to the brief.

The survey

Each surveyor may have a preferred method of carrying out the survey, whichwill depend on the building and the information to be collected. In generalterms to ensure consistency a similar approach should be taken for eachbuildings. A typical approach to surveys which is found to work well comprisesthe following stages:

+ familiarisation site walk around, with someone who knows the buildingwell, if available, such as a building manager;

+ enquire about known defects;

+ start externally with accessible roofs;

+ continue external inspection of walls and work clockwise around thebuilding – inspect systematically top to bottom in vertical sections of eachfaçade;

+ inspect internally room by room, noting inaccessible spaces;

+ within each room inspect ceilings, walls, windows and doors, floors, fittingsand fixtures;

+ finish with external areas, for example, roads, car parks, boundaries;

+ making assumptions where sections of walls and roofs are inaccessible;

+ relating signs and symptoms to root causes of disrepair and defects, inparticular relating internal signs of damage to external condition ifapplicable;

+ sketching layouts as an aid to recording condition and state of repair;

+ taking appropriate and clear photographs as an aide memoire or toillustrate;

+ flagging up urgent items to report to client.

Issues for further investigation

Some clients consider it worthwhile to flag up the need to investigate an issuefurther or to cross refer information being collected. Survey forms can includea tick box to identify these issues or the software reporting system can bestructured to pick up these issues.

Typical issues which may be identified for further investigation include:

+ health and safety – structural risks to occupiers or the public;

+ identifying legislative breaches, e.g. failure to meet aspects of the workplaceregulations;

+ comfort – work that will improve comfort levels;

+ security – where there are potential weaknesses in the building;

+ consequential – where the impact of recommended work not being done islikely to cause further damage;

+ investigation – more detailed inspection required by a specialist.


Data validation

Data validation and checking for accuracy, completeness and quality will takeplace as a continuous process during the site survey. Software for datacollection on PDAs should be programmed to include in-built validationroutines. Ensure that an effective filing and referencing system is put in place totrack progress and to avoid duplication.

It is good practice to include provision for re-inspection of a sample ofproperties as part of quality assurance procedures. These are particularlyimportant during the early stages of a survey of a large portfolio, and arenormally conducted by a site survey team leader. This policy should be anintegral part of a consultant’s quality control procedures.


14 Reporting

14.1 Overview

This section reviews the reporting requirements from a condition survey.

14.2 Key issues

The client report from a condition survey is a measure of the success or failurein meeting the brief.

There is no standard reporting format. Reports should be structured to presentdata and information flexibly.

Reports will be different for different users; the finance department may onlybe interested in summary figures whereas the maintenance department maydemand detailed component and repair schedules.

14.3 Reports

The first edition of Stock Condition Guidance note published in 1997 made thefollowing comment which is still relevant today:

‘The Stock Condition Survey data will only fulfil its purpose if thecontents reflect the brief, are clearly presented and are understood bysubsequent users. The presentation and format of the survey reportshould, therefore, be discussed and outlined at briefing stage.’

The reporting element of the survey is by far the most important. It is what theclient has paid for and is used to judge success or failure in meeting the brief.

Surveys are now carried out for a vast range of uses. Stock condition surveyscan be used to produce maintenance programmes as well as to meet reportingrequirements of government so it is important the report mechanism isflexible.

Proprietary software packages include standard reports for submission togovernment or public bodies in specified formats. Updates to their systemscope with changes in reporting requirements.

Reports are nevertheless required for other purposes with varying degrees ofinformation.

The chief executive or managing director of an organisation may require abroad brush overview of information in respect of the whole stock, whilstmaintenance teams will require specific details at component by componentand room by room levels.

14.4 Nature of the report

The report format will vary depending on the information required and itsgeneral purpose.


Interim reports will, by their nature, provide partial information but areessential for monitoring progress and giving the client an indication of thesurvey outcomes.

The final report may comprise many sections and appendices or separatereports depending on the original brief.

Typical reports resulting from a stock condition survey include:

+ Interim reports indicating survey progress, proportion of achieved surveys,indicative costs and condition trends.

+ Final reports, including executive summaries, overview of data and analysisin response to the survey aims, assessment of the surveys achieved.

+ Analysis reports: where the survey data is analysed to provide informationto address the survey aims, for example, providing a 30-year maintenanceand replacement cost profile for a school or energy ratings for houses, orcosts to make accessibility provisions for a hospital complex.

+ Survey data reports: the raw data from the survey may be required.

Reports may be paper based or provided in electronic formats. The later ismore useful for large reports, particularly where data is being reported on.

Most software packages produce a range of reports from Portfolio, Building,Block and down to room level as well as by Element, Subelement and Attribute,which is one of the major advantages of such systems.

Government departments may require specific formats whereas clientdepartments may require a different format for internal use.

When taking instructions the surveyor must identify the client’s requirementfor reporting to ensure the report(s) produced can meet the terms of the brief.

14.5 Presentation and content

It is impossible therefore to provide a format which suits all. The surveyorshould ensure that the needs of the client are met and that the format of thereport presents information in a readily accessible manner.

Some basic formatting rules should be applied including contents pages,executive summary, confirmation of instructions, scope of survey and basedates for costs.

Clients may require the output in the form of spreadsheets, CAD files anddatabases as well as a hard copy report. In these cases the formats and contentsshould complement one another. Reports typically comprise a mix ofnarrative, photographic, drawn and numerical data.


15 What to do after the survey

15.1 Overview

The data from a condition survey is a snapshot of condition in time.

Building surveying practices may be involved after the survey in the process ofimplementing the works as a result of the survey and updating the survey data.

15.2 Key issues

Condition survey data is often just the starting point for an organisation toestablish a maintenance and improvements plan before carrying out the works.Building surveying practices may have the expertise and skills to contribute tothese tasks.

Condition survey data becomes out of data as components deteriorate, theassets makeup changes and works are carried out. Where survey information isused as an asset register and log, a procedure should be in place to ensureinformation is keep up to date.

15.3 From survey data to implementation works

The final report from a condition survey may be all that an organisationrequires to provide a snapshot of the condition of its portfolio.

In practice the data from the condition survey may drive further work. Thiscan include:

+ detailed analysis and manipulation of survey data for strategic andoperational planning;

+ establishing repair and maintenance plans and carrying out the associatedworks;

+ scheduling and specifying specialist works or improvements such asasbestos removal or meeting the requirements of the DisabilityDiscrimination Act.

Building surveying practices which carry out condition surveys are well placedto advise and act as consultants for this work.

15.4 Updating survey data

Condition survey data invariably becomes out of data due to changes:

+ in the condition of building components;

+ to the assets comprising the organisation’s portfolio;

+ resulting from maintenance and improvement works.

Where condition survey data is used as the basis of an asset register the dataneeds to be updated. This may be best carried out by in-house staff as and


when in-house inspections and works are carried out. This requires adisciplined approach and systems to be put in place covering the departmentsand personnel responsible.

An alternative approach is to employ others to update the data. This may bedone by additional surveys or under instructions from staff who are familiarwith the properties and the changes that have been carried out between the lastsurvey and the update.

Where updating of stock condition survey information is required there will beimplications when specifying database software, especially proprietarysoftware. The software system should be capable of being updated easily eitherelectronically or manually.


Appendix 1: References

General referencesBS 3811:1993, Glossary terms used in terotechnology, British StandardsInstitution, London, 1993

BS 7666:2000, Spatial data-sets for geographical referencing, British StandardsInstitution, London, 2000

Part 1:2000, Specification for a street gazetteer

Part 2:2000, Specification for a land and property gazetteer

Part 3:2000, Specification for addresses

CIOB, Maintenance management: A guide to good practice, The CharteredInstitute of Building, Ascot, 1990

Egan, J., Rethinking construction: The report of the Construstion Task Force,ODPM, London, 1998

Holmes, R., A coding system for building maintenance, Technical informationservice No. 47, The Chartered Institute of Building, Ascot, 1985

Holmes, R., Property condition assessment – a cost effective approach, Technicalinformation service No. 122, The Chartered Institute of Building, Ascot, 1990

Latham, M., Constructing the team – the final report of the government/industryreview of procurement and contractual arrangements in the UK constructionindustry, HMSO, London, 1994

Sustainability Action Group of the Government Construction Client’s Panel,Achieving sustainability in construction procurement (Sustainability ActionPlan), Office of Government Commerce, London, 2000

HousingChapman, K., Not what they’re cracked up to be, article in Housing Today, (89)25 June 1998, 17(1)

Chartered Institute of Housing, Planned maintenance and improvements, GoodPractice Briefing, No. 9, 1997

Communities Scotland, Scottish house condition survey 2002: Survey report,Communities Scotland, Edinburgh, 2002 (ISBN 1 874170 54 1)

Department of the Environment, The local house condition survey: guidancemanual, Part 3, Briefing Notes for Surveyors, HMSO, London, 1993

Department of the Environment, Refurbishment contracts: guidelines for themore effective involvement of tenants in the repair and improvement of theirhomes, HMSO, London, 1993

DETR 2000, Collecting managing and using housing stock information: A GoodPractice Guide

Volume 1, An overview of the Key Principles (ISBN 1 85112 423 3)

Volume 2, Key Principles and methodological issues (ISBN 1 85112 424 1)

Volume 3, Specifying Stock Surveys (ISBN 1 85112 425 X)


DETR Housing Health and Safety Rating System: rating system: guidance(version 2) Office of the Deputy Prime Minister, London, 2004

Harrison, H. et al, Non-traditional houses, BRE, Watford, 2004 (ISBN 1 86081697 5)

Higham, J. and Gray, A., Keeping up appearances: a guide to commissioning stockcondition surveys, National Housing Federation, London, 1998 (ISBN 0 86297378 1)

Holmes, R., Property condition assessment: a cost effective approach, TechnicalInformation Service, No. 122, Chartered Institute of Building, 1990

Holmes, R., Property profiling and data collection for housing repairs andimprovements, Part 1, An overview, Construction Papers, No. 61, CharteredInstitute of Building, 1996

Holmes, R., Property profiling and data collection for housing repairs andimprovements, Part 2, Applications Construction Papers, No. 62, CharteredInstitute of Building, 1996

Marshall, D., Condition survey package for housing associations, ConstructionPapers, No. 98, Chartered Institute of Building, 1998

Marshall, D., Condition surveys for housing associations: some potential pitfallsand a survey of client experience, Construction Papers, No. 68, CharteredInstitute of Building, 1996

Mayer, P. and Hellyer, B., Stock condition surveys – A guide for registered sociallandlords (2nd edition), National Housing Federation, London, 2003 (ISBN 086297 477 1)

NFHA, Maintenance planning: basic methods in assessing future requirements,Research Report No. 7, National Federation of Housing Associations, London,1989

NHF, State of Stock – Developing Effective Stock Condition Surveys, NationalHousing Federation, London, 1996

Pitt, T., Happy Medium, Inside Housing, 16(9), 24(1), 5 March 1999, 24(1)

EducationBox, B., School condition surveys – a five year plan CS Monthly, The BuildingSurveyor 1(3), November 1991, 6–7 (2)

Hunter and Partners, Building condition survey of polytechnics and colleges(Commissioned by the Polytechnics and Colleges Funding Council) COBRA1995: proceedings of the first RICS Construction and Building ResearchConference, held at Heriot-Watt University 8–9 September 1995, Volume 2

Turrell, P., School maintenance management: meeting the client’s need with acondition survey, Volume 1, RICS, London, 1996 (ISBN 0 85406 742 6)

HealthcareDepartment of Health, Estatecode: property appraisal, London, HMSO, 1989(ISBN 0 11321 168 6)


InternationalDouglas, J., Building condition assessment in the USA, Research Papers SeriesNo. 10, Royal Institution of Chartered Surveyors, London, 1992

Treanor, D., Maintenance planning in Holland and Denmark: a report on twostudy visits, National Federation of Housing Associations Research, ReportNo. 8, 1989

Information technologyDefoe, P., Time to act on IT together, Chartered Surveyor Monthly, 5(2), p. 34,October 1995

Kirkwood, J., Help is at hand for surveyors, Estates Gazette, 1 February 1997,pp. 88–90

Pitt, T., Technology shows the way for condition surveys, Chartered SurveyorMonthly, 8(10) June 1999, pp. 44–45

Scottish Office Computer Services, Local house condition surveys: a manual ofguidance: operating instructions for computer software Scottish HousingHandbook: Part 2, 1988

StatisticsDaly, F. et al, Elements of Statistics, The Open University, Pearson EducationLimited, Harlow, 1995

Griffiths, D., Stirling, W. D. and Weldon, K. L., Understanding Data Principlesand Practice of Statistics, John Wiley and Sons, Australia, 1998

Hammond, R. and McCullagh, P. S., Quantitative techniques in geography: anintroduction, Oxford University Press, Oxford, 1978 (ISBN 0 19874 067 0)

Tufte, E. R., The Visual Display of Quantitative Information, Graphics Press,Cheshire, Conneticut, 1983

Component lifespans and life cycle dataBuilding LifePlans 2005 BLP Construction Durability Database(www.componentlife.com). This web-based publication is an updated andextended version of the following three component life manuals which are stillin print:

Building Performance Group, BPG Building Fabric Component Life Manual,Spon Press, 1999

Building Performance Group, BLP Building Services component life manual,Oxford, Blackwell Science, 2000

HAPM, HAPM Component Life Manual, Spon Press, 1999–2002

BMI, Occupancy cost planning: A life cycle approach to planning and budgetingfor property occupancy, BMI Special Report serial 209, Building MaintenanceInformation, London, 1992

BMI, Life expectancy of building components – surveyors’ experiences of buildingsin use: a practical guide, BCIS Limited, London, 2001


BRE, Whole life costing and life-cycle assessment for sustainable building design,BRE Digest 452, Building Research Establishment, Garston, 2000 (ISBN 186081 441 7)

BS 7543: 2003, Guide to durability of buildings and building elements, productsand components, British Standards Institution, London, 2003

BS ISO 15686, Buildings and constructed assets. Service life planning, BritishStandards Institution, London

Part 1: 2000, General principles

Part 2: 2001, Service life prediction procedures

Building Surveying Division Research Group, Life expectancies of buildingcomponents, Royal Institution of Chartered Surveyors, London, 1992

CIBSE Guide to ownership operation and maintenance of building services,Chartered Institution of Building Services Engineers, London, 2000

Flanagan, R., Life cycle costing: theory and practice, BSP Professional Books,Oxford, 1989 (ISBN 0 63202 578 6)

PSA, Costs-in-use tables, HMSO, London, 1991

LegislationControl of Asbestos at Work Regulations 2002 (CAWR) (SI 2002/2675)

Control of Substances Hazardous to Health Regulations 1999 (COSHH)(SI 1999/437)

Data Protection Act 1998

Disability Discrimination Act 1995 (DDA)

HSE 2000 Approved Code of Practice, Legionnaires’ disease: the control oflegionella bacteria in water systems, L8 (3rd edition)

The Fire Precautions (Workplace) Regulations 1997 (SI 1997/1840)

The Health and Safety at Work etc. Act 1974

The Water Supply (Water Fittings) Regulations 1999 (SI 1999/1148)

The Workplace (Health, Safety and Welfare) Regulations 1992 (SI 1992/3004)


Appendix 2: Online (electronic) material

Government and government agencieswww.odpm.gov.uk – Office of the Deputy Prime Minister

www.shcs.gov.uk – Communities Scotland The Local House Condition SurveyGuidance

www.wales.gov.uk – Welsh Assembly

www.local-pi-library.gov.uk – Library of Local performance Indicators

www.idea.gov.uk – Improvement and Development Agency (I&DeA)

www.rethinkingconstruction.org.uk – Constructing Excellence

www.m4i.org.uk – Movement for Innovation (M4I) for improvement andsharing of knowledge in key market sectors other than housing M4I is a part ofConstructing excellence

www.actnow.org.uk – Data protection issues

Accessibilitywww.drc.org.uk/open4all – Disability Rights Commission

www.cae.org.uk – Centre for Accessible Environments

Educationwww.teachernet.gov.uk – Teacher Net includes ‘school buildings informationcentre’ and links to the ‘schools for the future’ initiatives

www.schools.audit-commission.gov.uk – Audit commission

www.hefce.ac.uk – Higher education organisations

www.heestates.ac.uk – Higher education estates website

Healthwww.primarycare.nhsestates.gov.uk – NHS Estates, Primary and Social Care

www.nhsestates.gov.uk – NHS Estates

Social housingwww.thehousingforum.org.uk – Constructing Excellence, the Housing Forum

www.housingcorp.gov.uk – The Housing Corporation

www.housing.org.uk – National Housing Federation

Conservation of the historic environmentwww.historic-scotland.gov.uk/ – Historic Scotland

www.english-heritage.org.uk – English Heritage

www.cadw.wales.gov.uk/ – Cadw

www.churchcare.co.uk – Council of Care for Churches


Town planningwww.planningresource.co.uk – The Planning Resource

Generalwww.rics.org – Royal Institution of Chartered Surveyors (RICS)

www.r icsbooks.com – RICS Books

www.isurv.co.uk – isurv surveyors’ information centre (subscription service)

www.construction-clients.org.uk – Construction Clients Forum – Whole LifeCosting – A Clients’ Guide

www.bre.co.uk – The Buiding Research Establishment

www.wlcf.org.uk – The Whole Life Cost Forum

www.ciria.org.uk – Construction Industry Research and InformationAssociation


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