Agenda 9. Date of meeting 21 February 2014 Date of report 4 February Report by Assistant Chief Executive (Operations) 1.

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1 Subway Modernisation: Award of contract for Independent Competent Person for Rolling Stock, Signalling and Control System, Control Room and Associated Equipment Delivery Date of meeting 21 February 2014 Date of report 4 February 2014 Report by Assistant Chief Executive (Operations) 1. Object of report The purpose of this report is to recommend approval to the Partnership for the appointment of Racon as SPT Independent Competent Person (ICP). This appointment is required for verification of procedures and safety processes during delivery of new rolling stock vehicles, signalling equipment and associated systems. 2. Background 2.1 As part of SPT s Subway Modernisation Programme, a turnkey package is being procured for the provision of a new fleet of trains, signalling system, control room, communications and associated equipment which will support a fully automated driverless system. 2.2 Contract award for the turnkey package is likely to be summer 2014 and following a period of mobilisation, delivery of the project will commence thereafter. During the delivery of such a complex system SPT will be required to adhere to several regulatory and statutory obligations. The appointment of the ICP complies with the regulatory responsibility stipulated by the Office of Rail Regulation (ORR) - the national regulatory authority for Britain s railways. 2.3 The Subway falls within the Railway and Other Guided Transport Systems (Safety) Regulations (ROGS) managed by the ORR. Under these regulations SPT is the duty holder for the Subway and consequently the scope of this project must be delivered in compliance with the statutory duties of ROGS. 2.4 ROGS dictates that the risks and changes from semi-automatic train operation to a fully automated driverless system are managed by SPT as the duty holder. SPT is therefore responsible for ensuring that such a major change to the way the Subway is operated and introduced safely. ROGS requires the appointment of an ICP to fulfil this obligation. The role of the ICP is to objectively assess that the project has taken the necessary measures to reduce risks and verify the safety of any works being carried out. This cumulates in the production of a Safety Verification scheme (SVS) for agreement with SPT. The SVS is a requirement of ROGS that provides documented evidence that any new or significant risk projects being introduced onto the railway are Page 1 of 5

2 suitably and sufficiently risk managed in a manner that controls the risk so far as reasonably practicable. 2.5 The appointment will consist of a lead ICP role and a supporting team of experienced experts to review documentation, control engineering changes and ensure compliance against SPT s requirements. The appointed team will represent expertise and experience in the following technical elements: Metro Rolling Stock CBTC signalling Control Systems Communications Railway operations particularly automatic metros System Engineering Safety Engineering Civil Construction Project Management Human Factors EMC Platform Screen Doors 2.6 In developing the SVS, the ICP will sit independently to the project delivery team and will report directly to the Director of Subway who is ultimately responsible for the safe operation of the Subway. See Appendix 1 for standard ICP process illustrating organisational structure and information flow during project delivery. 2.7 The ICP will work in accordance with the new trains delivery programme. However, at this stage the details of this are unknown and will only be finalised when the new trains contract is awarded. On this basis the tender for the ICP is based on daily rates with the programme of works being refined once the new trains programme is available. The estimated budget for the four year programme is k. Workload will be managed on a monthly basis to ensure that this budget is adhered to. 2.8 As a key stakeholder the project team have been engaging with the ORR who have communicated that they are keen to see the appointment of the ICP made as we near the point of the new trains contract award. It is standard that an ICP is appointed at or post contract award however the nature of the procurement process for new trains being adopted by SPT involves competitive dialogue meaning that we are far more informed on the solutions being presented than would normally be the case at this stage. The ORR therefore has the view that an early appointment is key in allowing the ICP to deliver their responsibilities as it will allow for mobilisation and information gathering to occur prior to contract award. This is also recognised by the project team and deemed as critical for advance preparation to the delivery of the project. Page 2 of 5

3 3. Outline of proposals 3.1 Initiating Tender On 10 December 2013, SPT issued an invitation to submit tender submissions to all seven contractors on Lot 6b (Independent Expertise on new Trains, Signalling and Control Systems) of the Design and Technical Services Framework. 3.2 Tender assessment A total of five tender submissions were received and they were assessed on predetermined cost/quality criteria (40%:60%) to determine the most economically advantageous tenders. As noted above, the price element was based upon the tendered daily rates. The quality criteria was based upon: Relevant experience Key issues Resource and workload management Methodology Current workload Presentation Therefore the quality of each bid was a key determinant for the assessment and resulting recommendation for appointment. This was also reflected in the 60% weighting provided to the quality elements. The tenders were assessed by staff from SPT s Rolling Stock project team as well as Subway Health & Safety and Assurance teams. The resulting quality/cost scores are shown below. Quality score equates to 60% of total score. Cost score equates to 40% of total score. Consultant (Sub Consultant) Cost Score Quality Score Combined Score Racon (Lloyds Register) Interfleet Systra (Frazer Nash) Mott McDonald Halcrow The tender assessment concluded that Racon s quality score was higher than other tenderers. Racon has secured the services of Lloyd s Register Rail Ltd who have direct and relevant experience of acting in similar assessor and verification roles for Dubai Metro (driverless) and Taiwan International Airport Link. This experience is enhanced by the knowledge Racon has of the SPT operation and project delivery risks. Page 3 of 5

4 The supporting team presented bring significant expertise from the specialists proposed for all of the technical elements required. Overall the proposal demonstrated a good understanding of the potential issues during the delivery phase and Racon has tailored their methodology and team accordingly. 4. Conclusion The tender assessment for the ICP has concluded that Racon are the most economically advantageous tenderer. 5. Partnership action The Partnership is recommended to approve the award of contract to Racon for the role of SPT Independent Competent Person for Rolling Stock, Signalling and Control System, Control Room and Associated Equipment Delivery. As noted above this is based upon on daily rates and work will be defined and contained within the overall budget of k over the next 4 years. 6. Consequences Policy consequences Legal consequences Subway modernisation meets the strategic priority of Revitalising the Subway Network. Financial consequences The appointment is contained within the 2014/15 capital budget Subway Modernisation: New Trains - Rolling Stock, Signalling, Control & Communications. Personnel consequences Social inclusion consequences Risk consequences Name Eric Stewart Name Gordon Maclennan Title Assistant Chief Executive Title Chief Executive (Operations) For further information, please contact Charles Hoskins, Director Projects on Page 4 of 5

5 Appendix 1 Standard ICP Process Page 5 of 5