Developing a Process Protocol for Facilities

Management

Hamid, M.Y.
School of the Built Environment, University of Salford.
(email: Yusof344@perak.uitm.edu.my)
Alexander, K.
Centre for Facilities Management, One Central Park, United Kingdom
(email: Keithalexander47@gmail.com)
Fleming, A.
School of Built Environment, University of Salford
(email: a.j.fleming@salford.ac.uk)

Abstract

This paper describes the development and methodology used to develop the process protocol for
facilities management and explains the need of process protocol for facilities management. During the
development of the process protocol for facilities management a number of research methods have
been used such as literature review, review and analysis of contemporary facilities management
processes and practices, consultation with FM experts, workshop session, process modelling and
iterative development including feedbacks from several CFM industrial partners. The paper
introduces a process protocol for facilities management that provides a framework to help
organisations and improved facilities management processes. Essentially, the framework breaks down
the facilities management process into ten distinct phases. These ten phases are grouped into six
broad stages of FM processes. It provides a high level overview of the identified activity zones for
facilities management. The process protocol for facilities management is limited to a top-down
approach for facilities management processes. It does not consider a very detailed or technical issues
perspective. This research has gained an insight into a better understanding of the facilities
management processes protocol. The research has introduced a process protocol for facilities
management. It also explores opportunities for improving the understanding of facilities management
processes and strategic facilities management.

Keywords – facilities, facilities management processes, process protocol

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 1. Introduction

Facilities Management is defined in EN15221: Part 1, 2006, ‘Facility Management: terms and
definitions’ as the ‘integration of processes within an organisation to maintain and develop the agreed
services which support and improve the effectiveness of primary activities’(BSI 2007). Underlying
this definition is a process-based, management systems approach, as defined in the ISO 9000 series.
Organisations with a well defined management processes can potentially improve decision making,
stakeholder management, and consistency in delivery, organisational coordination and continuous
improvement (Davenport and Prusak 1998; Hegedus 2008; Jeston and Nelis 2008).

The term process modelling and business process management has been adopted across many
industries. However, its application within the facilities management sector has been modest to date
(Redlein and Fleischmann 2006; Atkin and Bjork 2008). Atkin and Bjork (2008) identify several
reasons for this including a lack of awareness of what process modelling does and can achieve for
client organisations, misconception and immaturity of the facilities management discipline when
compared with others. They believed the combined impact of lack of awareness, misconception and
immaturity lead to little progress has been made to understand the interrelationships and dynamics of
the facilities management processes and, in particular, the scope for continuous improvement and
difficulty for adoption of best practices from the industry. This paper presents the development of
process protocol for facilities management in order to promote a more strategic approach to facilities
management to support the strategic objectives of organisations.

2. Facilities Management Processes

In recent years, there has been an increasing interest in understanding the facilities management
processes to support the aims and objectives of the organisation. The work started in 2006, when a
working group on FM processes made proposals for a EuroFM co-ordinated research project, as a
contribution to CEN work, to provide research support for the exploratory phase of the development
of the standard for CEN/TC 348 FM processes (Alexander 2008). The aim of this new European
standard on FM processes is to provide guidance to facilities management organisations on the
development and improvement of their processes to support the primary activities. This will support
organisational development, innovation and improvement that will form a foundation for the further
professionalisation of facilities management and its advancement in Europe (Alexander and Fleming
2008). The standard aligns to ISO 9000: 2000 Quality Management Systems and applies guidance on
the concepts and use of a process-based approach to management systems to the field of facilities
management. The standard also builds on widely accepted management principles, in particular value
chain (Porter 1985) and quality control (Deming 1986) which underlie process-based management
systems. The standard being develop considered the existing model in the previous standard (EN
15221-1:2006), be generic, and not to prescriptive and enable companies and organisations easily to
adapts it. Research into FM processes can be classified into six main categories such as FM processes
development including modelling and mapping exercises, optimisation, innovation, methodology,
implementation and FM processes applications. Several studies had revealed in FM process models
that the strategic importance of facilities management, the need for increased awareness of the need to

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improve processes and for a framework for organisation and decision making (Weisinger 2006; Atkin
and Bjork 2008; Sigg 2008). Previous work on reference process modelling within facilities
management also can be found in the literature (Redlein and Fleischmann 2006). In the FM
optimisation process, Redlein and Fleischmann (2006) analysed the methods of modelling reference
processes within facilities management through a case studies of companies. He suggested the use of
the business process reengineering method for modelling FM processes (Redlein and Fleischmann
2006). Research on FM process mapping work focused on the development of FM process protocol
approach (Fleming, Lee et al. 2008), the development of reference processes for internal control and
use in IT applications (Redlein and Giller 2008) and the introduction of integrated best-practice
process model (Buettner, Torben et al. 2008).

Numerous studies have attempted to explain the application of FM processes and its relation to the
organisation. Hinks (1998) investigated a conceptual framework for describing the relationship
between the FM processes and FM IT, and a model for the dynamic mechanisms of their co-
operation. He suggested a more strategic co-ordination of FM IT and FM process could improve the
situation for individual organisation (Hinks 1998). The SPICE FM project is one of the example of
process improvement which modified for FM to managing customer requirements, service planning
and assessing facilities management process capabilities in the health sector (Amaratunga, Sarshsar et
al. 2002). The other research in this healthcare sector is the OPIK research project which designs a
step by step process for analysing FM processes. The standard processes have been designed for
typical FM services to introduce professional facilities management methods in hospital (Lennerts,
Able et al. 2003; Lennerts, Able et al. 2005; Lennerts, Abel et al. 2008). Hamid et al (2008) seek to
understand the application of facilities management process in higher education institutions in the UK
focusing on maintenance and operations in supporting the overall aims and objectives of the
organisation (Hamid, Baldry et al. 2008a; Hamid, Baldry et al. 2008b). Svensson (1998) studied how
to develop suitable information structures to support main processes of facilities management. The
approach chose to create these structures was to develop a generic FM process model and a building
product model (Svensson 1998). In conclusion, facilities management processes represent contrasting
approaches and methodologies for modelling and representing facilities management processes. Some
authors take a more strategic view and suggest a top-down deductive process to derive facilities
management processes (Atkin and Bjork 2008; Fleming, Lee et al. 2008; Hamid, Baldry et al. 2008a).
Others take a more detailed, technical and operational view and adopt a more inductive approach to
delivering facilities services (Lennerts, Able et al. 2005; Redlein and Fleischmann 2006; Buettner,
Torben et al. 2008).

3. The need for a Facilities Management Process Protocol

There are several well recognised models of the construction process namely the Royal Institute of
British Architect (RIBA) Plan of Work (1964) and the British Property Federation (BPF) manual
(1983). The other process models that been recently developed are based and replicated from the
particular element of these model (Cooper, Kagioglou et al. 1998). They pointed out the RIBA Plan of
Work was designed from architectural perspectives and is not generic enough for wide construction
works. The formation of British Property Federation manual reflects to a result of growing concern at
the increasing problems within the construction industry and be used by all those involved in a

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construction project. However, BPF approach is much seeing in the development of house building
sector. Cooper, Aouad et al. (2005) suggested the need for a more holistic and flexible process to
enable the industry to develop a construction product in the 21st century especially through the used of
front end involvement and cross functional teams. They suggested the development of generic design
and construction process protocol. The Generic Design and Construction Process Protocol (GDCPP)
approach focused on comprehensive holistic construction process (Cooper, Kagioglou et al. 1998;
Kagioglou, Cooper et al. 2000). Even though the GDCPP has included facilities management as one
of the activity zones, the process protocol for FM itself can broaden the scope and activities of FM in
more detailed and elaborated specific activities that contribute to the organisation through business
process rather than from design and construction context.

The FM Process Protocol adopts and broadens The University of Salford’s Generic Design and
Construction Process Protocol (GDCPP) which provides common definitions, documentation and
procedures to allow the multiple organisations involved in construction project delivery to work
together (Cooper, Kagioglou et al. 1998).

The reason for the need of facilities management process protocol can be summarised as follow:

(1) To create an alignment of the facilities management processes with the aims and objectives of
the organisation

(2) The need to understand and the develop the processes that enable organisations to articulate
their needs and specifying facilities that meet the demand

(3) To give an understanding of the FM processes objectives this has not been well understood in
the industry. FM contribution at the higher level or strategic and tactical level of the
organisation.

(4) To shows the importance of facilities to be managed strategically in achieving the business
goal of the organisation through business process management approach

(5) The process protocol for FM itself can broaden the scope and activities of FM in more
detailed and elaborated specific activities that contribute to the organisation through business
process

(6) To create the FM lifecycle and shows the different between project process and business
process

(7) The FM process protocol attempts to supports the development of European standards in the
field and specifically a forthcoming standard in FM Processes

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 4. Research Methodology

During the development of the process protocol for facilities management a number of research
methods have been used:

1. Literature reviews that focussed on current facilities management practice;

2. Review and analysis of contemporary facilities management processes and practices;

3. Consultations with facilities management experts;

4. The facilitation of a workshop attended by private and public sector Facilities Managers.

5. Process modelling including various modelling tools and techniques.

6. Iterative development using internal workshop sessions, brainstorming activities and using
feedbacks from several Centre of Facilities Management (CFM) industrial partners.

The results to date of this work will be described in the framework for facilities management process
protocol sections.

5. Pri nciples

The six principles of Generic Design and Construction Process Protocol (GDCPP) has been adopted
and considered to provide the basis for facilities management process protocol. The six principles are
as follow: (a) whole project view (b) a consistent process; (c) progressive design fixity; (d) co-
ordination; (e) stakeholder involvement and teamwork and (f) feedback.

6. Framework for Facilities Management Process Protocol

The generic facilities management processes have been developed by researchers at University of
Salford considering the FM definition in BS EN 15221-1:2006:5. The FM Process Protocol aims to
aid transparency and identify, gather and assimilate emerging knowledge in a coordinated way. The
FM Process Protocol adopts and broadens the University of Salford’s Generic Design and
Construction Process Protocol (GDCPP). According to Fleming et al. (2008) the methodology used
for FM process protocol ‘enables all the information relating to the sub processes to be represented
as a series of process maps and when viewed holistically, presents an integrated generic
decomposition of the processes on the high level map’. The FM process protocol has described how
an existing generic process map has been adopted for developing and structuring a process for
facilities management and provides a high level overview of how the stages, phases and activity zones
will be structured as figure 1 below.

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 Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Stage 6

Activity Zones

Stakeholder/

Phase 4 - Facilities Management Strategy Development

Phase 9 – Maintain and Operate Support Infrastructure

Relationship

Phase 3 – Facilities Management Definition

Phase 6 – Develop Support Infrastructure

Phase 8 – Implement Support Capability

Phase 1 - Organisational Understanding

Phase 5 – Define Support Infrastructure

management

Phase 7 – Integrating Business Support

Phase 0 - Organisational Preparedness

Phase 2 - Organisational Definition

Programme
Management

Resource management

Project/ change Legacy Archive

Figure 1: The FM Process Protocol

The identified high level activities are contained within Table 1.

Table 1: The identified high level activities associated with FM

Asset management Innovation management Project management

Benefit realisation management Knowledge management Quality management
Business definition Legal management Regulatory management
management
Business planning and Lifecycle management Resource management
development
Change management Maintenance management Risk management
CSR management Media management Service delivery management
Environment management Performance management Stakeholder management
Financial management Primary and secondary process Standards and terminology
alignment management management
Health and Safety management Process management Strategic, tactical and
operational management
HR resource management Procurement and logistic Value management
management
ICT management Programme management
(source: Fleming, Lee et.al 2008)

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The high level activities identified were initially grouped from a strategic, tactical and operational
facilities management perspective into six stages that represent business cycles as shown in Figure 2
below.

6. Maintain and
operate support 1. Identifying
infrastructure Business
Requirements

5. Implementation
The Six Stages of
of infrastructure
the FM Process
and capability 2. Developing FM
Protocol
Policy and
Strategy
4. Developing and
Integrating
Business Support
3. Alignment

Figure 2: The Six Stages of the FM Process Protocol (source: Fleming, Lee et.al 2008)

7. Six Stages of FM Process Protocol

The high level activities were initially grouped from a strategic, tactical and operational facilities
management perspective into six stages (refer appendix 3.1) that represent business cycles as follow:

7.1 S tage 1 - Identifying Business Requirement

This stage aims to provide guidance on how to achieve a thorough understanding of the client
organisation (Fleming, Lee et al. 2008). The processes that should be analysed at this stage are as
follow:

i. Organisational review to identify primary processes and activities

ii. Reviews internal and external organisational factors that may impact the organisation

iii. Identify and review business organisational strategy

iv. Define the primary and non primary business activity

v. Identify and assessed organisational stakeholder requirements

vi. Consider organisational management, drivers, deliverables and critical issues

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 vii. Identify the support requirements of the primary business activities.

7.2 Stage 2 - Developing FM Policy and strategy

At this stage some degree of understanding should have been reached to determine FM policy and
strategy. The element to be analysed and considered at this stage are as follow:

i. Developing strategic FM processes

ii. Organise FM organisation and the development

iii. Aligning FM strategy with organisations strategy

iv. Define support strategy concept such as defines benefits management, define business
continuity, define corporate social and environmental responsibility, consider
performance and innovation, define support objectives, define cost and space optimisation
and define portfolio management

7.3 Stage 3 - Alignment Stages

This stage aligns the FM policy and strategy with the organisational requirements. The following
support objectives are defined such as cost, space, optimisation, corporate social responsibility,
portfolio management, business continuity, benefits management, performance and innovation.

7.4 Stage 4 - Developing and Integrating Business Support

This stage develops the support capability after the business identification and definition activity has
occurred. The support capability can be developed based on the needs of the primary business
activities and where appropriate it is integrated into the business infrastructure to provide dynamic
seamless support. The element to be analysed at this stage are as follow:

i. Identify and assess the existing support capability

ii. Initiate development of support infrastructure and capability

iii. Consider support vehicle such as consider support strategy concept, assess maintenance
options, consider support policies and standards, consider performance and consider
planning maintenance services

7.5 Stage 5 - Implementation of support infrastructure and capability

The implementation of support infrastructure and capability consists of monitoring of project

management, communication, performance management, stakeholder management, change
management, customer relationship management and risk management.

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 7.6 Stage 6 - Maintain and operate support infrastructure

This stage monitors support requirements and capabilities to ensure that the support infrastructure is
continually aligned and integrated with the primary business activities. It monitor performance and
evaluate services that are being provided. The element to be analysed at this stage are as follow:

i. Maintain and operate support infrastructure

ii. Monitor alignment and integration of support infrastructure with primary business
activities

iii. Maintain support strategy

iv. Maintain support policies and standards

v. Maintain stakeholder management and framework

Each stage was then populated with further levels of detail which was arranged in a hierarchy of three
levels. The three level of process are separated by a black line consists of: (a) Generic process (Level
1); (b) Secondary level (Level 2); and (c) Detailed level (Level 3). A single line connects a process at
one level with its group of sub-processes at the level below to denote decomposition.

Processes can have a logical dependency within a level and this is shown by an arrow as illustrated in
figure 3. They were presented for feedback to FM experts who suggested that the key issues had been
identified.

Deliverables
Process Level 1

Level 2
Sub Process Sub Process

Activity Activity Activity Level 3

Figure 3: FM Process Protocol levels

As shown in Figure 1 and 2 the FM process protocol consists of ten phases that embrace the
principles of the six stages while providing a further level of detail regarding the sequencing of the
FM Process Protocol’s enactment. An activity zone is structured set of sub-processes involving tasks

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which guide and support work towards a common objectives. This activity zones generally overlap
and are interactive (Cooper, Kagioglou et al. 1998). According to Fleming, Lee et al. (2008) the
identified FM activities ‘were clustered into activity zones that consider; the relationships of all the
stakeholders to the FM process; the issues relating to the management of the programmes of FM
activity such as quality and risk; the management of resources; business, planning, development and
implementation issues; lifecycle issues; statutory compliance and social responsibility and finally
process management issues’. The activity zones will line the FM Process Protocol’s y-axis as shown
in Figure 1 above. Of the activity zones associated with the model not all will be discussed here.
However the role of Stakeholder relationship management, business planning development and
Process/ Change management activity zones will be described.

Stakeholder (Relationships) Management

This activity zone acts on behalf of the stakeholders to ensure that FM is undertaken in the most
effective fashion. The activities that it consist of are: Stakeholder identification, classification and
management, Stakeholder relationship Management (Community Relationship Management,
Customer Relationship Management, Client relationship Management, User relationship
Management, Human Resource Relationship Management).

Business Planning and Development:

Effective Facilities Management must be undertaken in alignment with the business it is supporting.
This activity zone deals with all aspects of business planning and development. The activities that it
consists of are: Business Planning, Business Development, Change Management, Business Strategy

Process Management

It is important to ensure that the process is undertaken correctly, by the right people, in the right order
and to the right standard. This activity zone will manage how the process is developed, managed and
executed. The primary activity that it consists of is: Process Management activity.

8. Conclusions

The paper has briefly described the development of a process protocol for facilities management and
the six stages upon which the process protocol is based. The concepts introduces are new in a
facilities management field. In order for any new processes to be adopted, the key principles and
underlying structure must be understood to enable organisation to ‘buy in’. This illustrates the need
for further work on the level of the sub processes and on the implementing of a process protocol for
facilities management within the industry.

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