INTERIM ADVICE NOTE 182/14A. Major Schemes: Enabling Handover into Operation and Maintenance

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1 INTERIM ADVICE NOTE 182/14A Major Schemes: Enabling Handover into Operation and Maintenance Summary This document provides advice on the process, requirements, and maintenance associated with delivery of Major Schemes. Instructions for Use This document applies to all Major Schemes. It is to be used by all those responsible for the delivery of the scheme. IAN 182/14A

2 Table of Contents 1 INTRODUCTION... 1 Purpose... 1 Implementation... 1 Document structure... 1 Roles and Responsibilities... 2 Relationship to other documents... 2 Alignment with Project Control Framework... 3 Key policies and principles... 4 Handover on a scheme or sectional basis STAGE A: PRE-WORKS... 7 Roles and responsibilities during pre-works... 7 Key considerations during pre-works... 8 Engage early in preparation for handover... 9 Setting out the Detailed Local Operating Agreement Implications on health and safety file Planning for asset maintenance during construction Planning for incident management during construction Managing asset information Instigating the technology site data process STAGE B: CONSTRUCTION Roles and responsibilities during construction Key considerations during construction Handover process requirements Health and safety file requirements during construction Civils asset data handover during construction Implementing the technology site data process Systems testing and commissioning STAGE C: ASSET READINESS Roles and responsibilities for asset readiness Key considerations during asset readiness Considerations for the handover process Interim health and safety information and implications on sectional handover. 28 Systems commissioning STAGE D: OPERATIONAL REGIME TESTING Roles and responsibilities during operational regime testing Key considerations during operational regime testing Provision of Health and Safety information RCC readiness System performance monitoring period Site data commissioning Smart motorways: transitioning options Consent to Implement Operational Monitoring IAN 182/14A

3 Interim Scheme Specific Maintenance (ISSM) Calibrating Smart Motorways STAGE E: ACCEPTANCE INTO OPERATION AND MAINTENANCE Roles and responsibilities for Acceptance into Operation and Maintenance Key considerations during acceptance into operation and maintenance Finalising the health and safety file Asset Data Scheme handover Outstanding defects and faults Smart Motorways calibration Operational monitoring STAGE F: POST HANDOVER Roles and responsibilities for post handover Key considerations during post handover Project closeout Updating the health and safety file during the defects liability period Smart Motorways post opening optimisation Site data implications during post handover List of Annexes ANNEX A GLOSSARY OF ACRONYMS AND TERMS ANNEX B OVERVIEW OF KEY THEMES PER STAGE IAN 182/14A

4 1 INTRODUCTION Purpose 1.1 This Interim Advice Note (IAN 182) provides guidance to all those involved in the delivery of major schemes and their acceptance into operation and maintenance. It sets out best practice and key considerations regarding a number of activities and responsibilities that are important to achieving successful scheme handover. The focus is on providing clarity around known issues, areas of complexity and key risk items. Implementation 1.2 The guidance set out within this IAN shall be used forthwith by all Highways England major schemes. This IAN provides guidance for the handover of schemes to Highways England for operation and maintenance and not to Local Authorities or third parties. Document structure 1.3 All major schemes broadly follow the scheme delivery lifecycle depicted in Figure 1; however the applicability and scope of stage D is very much dependent on the type of scheme and generally only applies to technology schemes. Further explanation of each stage is provided at the start of every chapter. Figure 1: Scheme lifecycle 1.4 This document follows the scheme lifecycle with each of the stages in the scheme lifecycle forming a chapter of this document. Successful scheme handover relies on carrying out the right tasks at the right time and this document is structured in this way to support scheme handover. Every chapter includes a summary of key points that need to be considered within that stage. Further detail about these key points, and broader guidance, is then included in the main content of each section. IAN 182/14A Page 1 of 53

5 Roles and Responsibilities Interim Advice Note 182/14A 1.5 An example RACI (Responsible, Accountable, Consulted, and Informed) matrix is also included in each chapter, identifying some of the key tasks which require clarity over roles and responsibilities. 1.6 The Highways England project manager is responsible for production of the scheme RACI tables in line with the requirements of their scheme at the commencement of each stage. The RACI tables shall be agreed with the Senior User and key stakeholders contained within the RACI tables. 1.7 Table 1 provides further explanation of the RACI matrices. The glossary contains an explanation of the key stakeholders referred to throughout this document; in particular, schemes shall recognise the Senior User as the single most important stakeholder where scheme handover is concerned.. Reference Responsible ("R") Accountable ( A ).Consulted ("C") Informed ("I") Description This person is responsible for action/implementation and typically the individual(s) who actually complete the task, the doer. However in some circumstances this person may delegate parts of the work to others, including other organisations. Under these circumstances, they retain responsibility for ensuring that the task is completed. Responsibility can be shared, with the degree of responsibility on each person determined by the 'Accountable' person The individual who is ultimately answerable for the function/activity. Includes yes or no authority and veto power. Only one A can be assigned to a function and this accountability cannot be delegated to another role The individual(s) to be consulted prior to a final decision/action. Communication should be two way, there being a requirement on whoever is consulted to respond to the information provided The individual(s) who needs to be informed after a decision/action is taken. The communication is one way. There is no requirement for an informed person to respond Table 1: RACI definitions "R" the person(s) who will do the task, may be one person or a team "A" the person who ensures the task happens, only one person "C" the person(s) who are consulted "I the person(s) who are informed Relationship to other documents 1.8 The scheme delivery process is governed and supported by a wide range of formal documentation which must be used in conjunction with this IAN. Much of this documentation falls into one of these groups: Guidance on technology commissioning and handover - MCH document suite Standards on the handover of civil infrastructure IAN 182/14A Page 2 of 53

6 Asset data updates in accordance with Asset Data Management Manual (ADMM) requirements together with Building Information Modelling (BIM) requirements Project Control Framework (PCF) Products Health and safety regulation and standards Figure 2 shows how IAN 182 links to other documentation. Figure 2: Documents related to IAN 182 Alignment with Project Control Framework 1.9 The PCF sets out the formal management and governance arrangements for delivering major schemes. Some projects are not bound by the requirements of PCF, but nevertheless, aspects of it still remain relevant. Therefore where reference is made to PCF products throughout this document, project managers will need to consider whether the same principles being advocated apply to the project management approach being used on the project PCF contains a significant amount of advice through product templates and guidance notes. The intention of this IAN is to support delivery in conjunction with the PCF and therefore the following diagram shows the interrelationship between the PCF and scheme delivery lifecycles. IAN 182/14A Page 3 of 53

7 Figure 3: Relationship between PCF and the Scheme lifecycle 1.11 This IAN must not be used as an alternative to, or replacement for, any requirements set out in PCF or the scheme Works Information. Key policies and principles 1.12 The overarching policies and principles that relate to the handover of a major scheme into operation and maintenance are as follows: Scheme designers and construction suppliers are required to design for maintenance in accordance with IAN 69; successful handover starts with designing an asset that can be safely taken in to maintenance. The construction supplier delivering the scheme is responsible for the scheme up until it has been accepted into operation and maintenance by the Senior User. Those responsibilities include all aspects set out in the Works Information and Detailed Local Operating Agreement (DLOA), and relate to construction, commissioning, testing, maintaining, incident management and handing over the scheme. Highways England has implemented the UK Government Construction Strategy of 2011, which requires fully collaborative 3D BIM; with all project and asset information, documentation and data being electronic. Integration of the design and construction of an asset with the operation phase should lead to improved asset performance. Unless alternative arrangements are agreed with the Senior User (via a DLOA), throughout the delivery of the scheme, maintenance of existing and new assets (e.g. technology and civil infrastructure) is the responsibility of the construction supplier delivering the scheme. Incident management is carried out in accordance with the DLOA and the scheme Incident Management Plan. Stages B through to stage D shall remain the responsibility of the construction supplier during which the DLOA and scheme Incident Management Plan apply. IAN 182/14A Page 4 of 53

8 IAN 182/14A Page 5 of 53 Interim Advice Note 182/14A A scheme is only be considered accepted into operation and maintenance, when the Senior User is satisfied that all the acceptance criteria and requirements (see chapter 6) have been successfully achieved by the construction supplier delivering the scheme. Regular liaison with the Senior User throughout the project will help to prevent any of these criteria/requirements being an issue at handover. Handover is governed by the Project Control Framework and requires the Senior User sign-off of the civil, technology and operational handover certificates in Stage 6 of the PCF lifecycle. Where a scheme is being delivered that impacts a Design, Build, Finance and Operate (DBFO) route, then the DBFO Company shall be consulted/informed in the same way as the Maintenance Service Providers (MSPs) and Senior User. Additional consideration will be required by the scheme in liaising with the DBFO company due to the specific DBFO contractual requirements and implications All liaison for handover shall be via the Senior User. There are currently different contracting arrangements in place for different operational areas within Highways England such as the Asset Delivery Model, Managing Agent Contractors (MAC) or Asset Support Contracts (ASC). It is recognised, therefore, that the some of the supporting roles may be undertaken differently depending on how a particular area operates. To address this the RACI charts shall be reviewed for the appropriate roles in accordance with the delivery model. Although this IAN is applicable to major schemes, smaller technology schemes may benefit from implementing aspects detailed in the IAN to better enable handover into maintenance and operation 1.13 An overview of all key considerations which follow the main themes throughout this document is contained in Appendix B. The overview is intended to be a brief summary of the key themes at each stage The document recommends the use of best practice in a number of areas. It is the responsibility of the Highways England project manager to use best judgement as to whether these measures are employed on the scheme although the scheme is expected to deliver the outcomes and requirements in this document. Handover on a scheme or sectional basis 1.15 Handover can be provided in two distinct ways, on a scheme basis as one entity, or on a sectional basis as multiple entities. Sectional handover recognises that in some instances it is either not possible or desirable to hand over a scheme as one, and there is benefit in sub-dividing it, to for example, bring about early realisation of benefits. This sub-division can be defined in a number of ways such as using marker posts, junctions or carriageway references, but it shall take into account practicalities for defining operational and maintenance boundaries The definition for sectional handover for use in this document is as follows; the scheme is formally handed into operation and maintenance on a sectional basis with stages B to E of the scheme lifecycle being formally completed for each section of the scheme before the entire scheme is closed out.

9 1.17 It must be noted that this differs from the definition used in MCH 1349F which refers to sectional handover in the context of handing over only discrete elements of a scheme into operational service (e.g. civils and structures infrastructure, then technology infrastructure), before formal handover Sectional handover and handover documentation shall be agreed at an early stage between the delivery team, the Senior User and maintainers to minimise any operational impacts. The scheme shall detail and agree with the Senior User and maintainers any technology handover proposals which are different to those set out in MCH1349. IAN 182/14A Page 6 of 53

10 2 STAGE A: PRE-WORKS Interim Advice Note 182/14A 2.1 This stage spans from the early development of a scheme from options identification, preliminary design through to having a pre-construction design in place and a construction supplier commissioned. The contracts put in place, design philosophy and approach to delivery defined in this stage all provide the framework that will define handover activities later in the lifecycle. Roles and responsibilities during pre-works Task Construction Supplier Scheme Designer NRTS Representative Technology Maintainer and Service Delivery Manager IAN 182/14A Page 7 of 53 MSP Service Delivery Manager Highways England Project Manager Senior User Lead Operations Manager and RCC Operations Manager Agree DLOA R C C C C A C C C C C Obtain Pre-construction Information (PCI) Agree H&S file format/content (in accordance with the approach to handover and acceptance criteria) Engage MSPs to agree maintenance and incident management approach during construction (as part of DLOA and scheme Incident Management Plan) Agree on programme for asset data handover (as part of DLOA) Agree approach to handover (as part of DLOA and works information) Conduct Road Safety Audit (RSA) Stage 1 and 2 as per HD19 Develop the BIM Execution Plan in line with the Employer s Information Requirements (EIR) (as part of the Preliminary Design and Pre-Construction Design) Develop the Project Information Model (PIM) (as part of the Preliminary Design and Pre-Construction Design) NTIS Representative C C C C C A C R C C C C C A C C R C R C C C A C C C R C I C C A C I C R C C C C A C C I C I C C/ I* C/I* C/ I* Scheme Principal Designer Road Safety Auditor A I C I R C R C C C A C R C C R C C C A C R C Prepare Optimisation Plan R C C A I C C Table 2: Roles and responsibilities during pre-works ITD Representative

11 IAN 182/14A Page 8 of 53 Interim Advice Note 182/14A Key: R: responsible, A: accountable, C: consulted and I: informed. C/I* - Determined by Audit Team Leader. Key considerations during pre-works 2.2 The following summarises the issues that are to be considered at this stage: Key Considerations During Pre-Works DLOA The construction supplier shall engage the key stakeholders in setting out a DLOA, including the scheme Incident Management Plan. This must be done to understand local constraints and conditions, and to agree a conflict resolution and escalation process. Handover The approach to handover, and roles and responsibilities required for the associated activities, must be clearly defined. The implications of whether implementation and handover is conducted on a scheme or sectional basis shall be considered and the approach defined and agreed. Safety or operational requirements and decisions (including the audit trails that underpin them) must be clearly documented within the handover documentation. Health and Safety PCI shall be gathered by the Principal Designer in accordance with IAN105. Asset maintainers shall engage with the designers to identify all hazards and evaluated risks which are recorded within the PCI and the associated Hazard Elimination Schedules (HES). The requirements for the health and safety file and the processes for managing its preparation shall be set out within the pre-construction information. H&S File proformas and handover trackers are to be established early, and then continuously updated throughout the scheme lifecycle. Maintenance and Operations Maintenance and incident management arrangements shall be agreed, to at least the same levels of the existing contract maintenance requirements for that area, for periods of the scheme lifecycle during construction, interim scheme specific maintenance and acceptance into operational maintenance. Asset Data If asset data required for scheme development is not sufficient within Highways England s primary asset data systems, additional reviews and validations shall be undertaken to determine the extent of further surveys required in consultation with the suitably appointed person in that region or area, as defined in the ADMM or as appropriate in the maintenance management model. Asset data generated and modified by the scheme designer or construction supplier shall be managed in a way that facilitates efficient transfer of the data to Highways England s asset data systems. BIM

12 The requirements for BIM will be included as part of the contract documentation. The Principal Designer shall lead the collaborative production of the scheme prototype 3D model. The methods and procedures for creating the information models shall be in accordance with the EIR and the supplier s BIM Execution Plan. The data and information definition (Level of Detail [LoD]) shall be recorded in the Model Production Delivery Table and shall meet the requirements of the DMRB and Works Information. The Principal Designer, designer and construction supplier (when appointed) shall commence early engagement with the maintenance community, to ensure that the PIM and associated data (ADMM) is developed in the correct formats from the outset to ensure a smooth transition of data. Site Data The Site Data Designer is to begin liaison with relevant parties, allowing sufficient time in advance of a site data load to meet programme requirements. Changes to the technology roadside equipment will require a site data change. Smart Motorways Calibration For every Smart Motorways scheme, an Optimisation Plan (COM1) is required as set out in MCH This shall act as a plan for calibration activities to be carried out during the Commissioning period of the smart motorway scheme and be prepared in advance of any scheme works. Suitable arrangements are to be made for collecting traffic data prior to the scheme works, to enable calculation of initial thresholds. Table 3: Key considerations during pre-works Engage early in preparation for handover 2.3 Early and ongoing engagement with stakeholders throughout the scheme lifecycle is critical to facilitating efficient and effective handover. Handover discussions between the scheme, Senior User and MSPs shall be initiated from the outset of the scheme. It is best practice for the construction supplier to appoint the role of handover manager to drive handover into maintenance and operation. Items which are to be discussed include: Handover roles and responsibilities: Roles and responsibilities for handover activities must be clear to facilitate budgeting and effective execution of activities; clearly defined in a DLOA. Agreement of approach to handover with stakeholders: The construction supplier shall seek early agreement between stakeholders as to the approach and strategy for handover. It is essential for the construction supplier to define with stakeholders: handover activities, interdependencies (critical path) between activities, scope and acceptability standards for products (by receiving Highways England and MSP region). Handover trackers shall then be set up to monitor progress against the strategy and record agreements relating to progress against milestones. IAN 182/14A Page 9 of 53

13 IAN 182/14A Page 10 of 53 Interim Advice Note 182/14A Liaise with Highways England and MSPs to ensure resource availability: Highways England and MSPs have finite resources so careful planning and close liaison is required by the construction supplier to ensure that Highways England and MSP staff and engineers are available for inspections and document reviews when needed, for example, by giving them advance notice and adequate review periods. The Highways England project manager should ensure that relevant funding support is available to the MSP. Consider implications of sectional handover: Implications of the approach to handover need to be fully considered e.g. for sectional handover an additional RSA Stage 3 would be required (e.g. RSA Stages 1, 2, 3 for each section and interim/full RSA Stage 3 for overall scheme). Further consideration shall also be given to the temporary operational regimes for sectional handover and additional modifications to assets to facilitate the temporary regime, for example the implications on the use of Advanced Direction Signs (ADS) as discussed under the next bullet. Early agreement of the delineation of works for sectional handover: Delineation of works must be agreed on a local basis Highways England and MSPs need to know the location of the boundaries for each section. In some cases traffic management may overlap into a handed over section in an adjacent link and the ADS may need to be temporarily modified to reflect the temporary operational regime (i.e. temporary lane drop prior to through junction running layout). If sections are defined by junction-tojunction, there is a need to consider the impact on complex junctions and interchanges carefully. Agreement of handover products (scope, templates, media etc): The construction supplier must agree with Highways England and MSPs the scope of handover products e.g. handover document structures, handover templates with placeholders, formats, media and programmes for submission. Agreement of these products will increase the efficiency of pulling together the handover information as Highways England and MSPs will receive the correct information, in the format they require, when they need it. Agreement regarding the MRSS and maintenance access arrangements: Discussions shall be held with the Senior User and MSPs to gain agreement to the Maintenance and Repair Strategy Statement (MRSS) and maintenance access arrangements. They are to demonstrate these arrangements to Highways England and the MSPs and communicate how schemes are designing for maintenance. Sharing of designs and new infrastructure / technology / operational solutions: Engagement shall include sharing of designs and discussing new assets / technologies to enable better outcomes for asset maintenance. Some technology assets, especially recently developed technologies, may have bespoke handover requirements and these shall be identified and discussed at an early stage. New items introduced to the scheme can create new training needs (and lead in times could be significant e.g. 6 to 9 months), alongside new maintenance or spares requirements. Frequent liaison will prevent the disruption caused by surprises and allow time for pre-planning and enhancing the handover

14 IAN 182/14A Page 11 of 53 Interim Advice Note 182/14A strategy. The designer shall consider nature of the scheme design, especially where maintenance access is restricted or there are risks that can be mitigated by the application of roadside devices compliant with the Remote Maintenance Access Service (RMAS). Where RMAS is identified as an appropriate measure, the designer shall ensure that the roadside devices installed are compliant with TR2597 and TR1100 and that the supporting communications network is suitable to support communications. Agreement of approach to new asset equipment: Where non-standard equipment or non HATMS systems are proposed, discussion with MSPs is needed to address any lack of familiarity with the equipment and limited information on failure rates. Items to be discussed and agreed upon include: spares lists, training and maintenance requirements. An accurate estimate of required spares shall be based on failure rates of standard technologies. Where new technology is provided for the first time, the scheme shall test the equipment successfully on the National Roads Telecommunications Service (NRTS) Permanent Test Network (PTN) to mitigate the risk of issues arising, and before NRTS will allow their network to be used for operations. In addition, HE prefer all highway electrical equipment to be connected to unmetered (UMS) roadside electricity supplies. Before a DNO will consider an application for UMS electricity connections, all the proposed equipment shall possess an UMSUG Charge Code. Equipment manufacturers shall contact the UMSUG Technical Secretary at Elexon to discuss the application for a Charge Code for their equipment. Consideration of health and safety of Traffic Officer Service and MSP responders. The designer, in consultation with the Traffic Officer Service, emergency services and MSPs, shall assess the risk and impact upon these and other identified parties as part of the safety governance process which is set out in GD04. Setting out the Detailed Local Operating Agreement 2.4 The DLOA is a critical tool for ensuring that the key stakeholders involved in delivery and handover of a scheme have a common, and agreed, understanding of all parties responsibilities. Key stakeholders would usually include the construction supplier, Senior User, lead operations manager, Senior Responsible Owner (SRO), Principal Designer, MSP and technology maintainer. There will be complexities and challenges in agreeing scheme specific arrangements, and so it is usually helpful to use a pre-existing template to aid the discussions. Operational input from the Senior User is imperative to the development of the DLOA. A DLOA PCF product template is available to provide a consistent starting point for schemes in their development of DLOAs. The DLOA shall be kept as a live document at every stage to reflect changes in circumstances and agreements. 2.5 The DLOA sets out responsibilities for incident management developed during stage A. The scheme Incident Management Plan clearly outlines the procedures and communication lines for RCC and on road patrols, for dealing with incidents that occur within the Free Recovery areas during construction. The scheme shall confirm with the Traffic Officer Service that procedures are

15 IAN 182/14A Page 12 of 53 Interim Advice Note 182/14A in place to undertake the activities identified in the scheme Incident Management Plan. Implications on health and safety file 2.6 The requirements for the health and safety file are set out in IAN105 and the Construction (Design and Maintenance) regulations The development of the H&S File shall be incremental, rather than being seen as an activity to be carried out immediately prior to handover. Incremental development and frequent review with Senior User and MSPs is also important because assets can be brought into operation before scheme construction is formally complete but only if there is appropriate H&S information to enable safe operation. 2.8 Irrespective of the overall approach to scheme delivery and handover, the approach to developing and handing over the H&S File must be aligned, and reflected in the project H&S trackers. Consideration must be given as to how the health and safety information contained within the H&S File is distributed between relevant asset holders. This may result in separate H&S Files produced for different assets holders, such as infrastructure, communications and technology and Local Authorities where pertinent. Health and safety file proformas 2.9 H&S File proformas are provided within the PCF. The proforma documents enable a consistent structure to be adopted in the electronic production of H&S Files At this stage, design teams shall record content on their design philosophies, decisions, hazard elimination, pre-existing risks, residual risks and associated information into the relevant discipline area of whichever structure is adopted. Once completed, the documentation is treated as live and continuously updated as required during the design, construction and delivery phases. Health and safety file handover trackers 2.11 The H&S File PCF product incorporates a number of handover trackers. These trackers monitor, and subsequently demonstrate the completion of works to the standard required for effective handover and support a consistent approach for all major schemes. The most relevant trackers are: BD62 Structures Tracker; MCH 1349 Technology Tracker; Highways Tracker (covering the remaining aspects of the highway); Outstanding Works schedule and the Handover/Joint Inspection schedule. Planning for asset maintenance during construction 2.12 The DLOA records the agreement between the construction supplier, Senior User, MSPs, Lead Operations Manager and Senior Responsible Officer regarding which assets require maintenance responsibility to be transferred from the existing maintenance arrangements to the scheme, and the arrangements that will be put in place to maintain any equipment that remains on the network during the construction works. It sets out the approach to conducting condition surveys, defines the obligations of all parties during the construction phase, and describes how the handover process will be

16 managed during the scheme lifecycle and acceptance into operation and maintenance. It shall also reflect activities such as inspections of unaffected assets by the scheme to be retained by the MSP Careful consideration is required where the incumbent MSP is contracted by the construction supplier to provide scheme maintenance. To support this, the interim handover of H&S information must be sufficiently developed to fulfil the H&S duty of care and enable the MSP to undertake their works in a safe manner. The stakeholders, including MSP, will have to agree the H&S information is sufficient to undertake any works. However, care must be taken if the MSP undertakes any works before the completion and handover of the H&S File. A joint review of the H&S File for the whole scheme could be undertaken to mitigate any issues. If exceptions are agreed regarding the information required, a clear plan for the completion of this information and implications for non-compliance shall also be agreed Schemes shall liaise with the Senior User and MSPs to consider their forward maintenance plan and collaboratively plan works to enable best use of traffic management. In this instance, the construction supplier will retain Principal Contractor responsibilities, as defined in CDM regulations, with access to undertake planned maintenance controlled as defined in the scheme access arrangements. Maintenance responsibilities 2.15 Maintenance responsibilities need to be agreed at a detailed level so it is clear which party has responsibility for each asset at any particular point in the scheme lifecycle. This is particularly important at scheme boundaries and interfaces, where access arrangements and protocols are likely to be required to enable Highways England and the MSP and construction supplier to fulfil their respective duties. Agreement shall be reached as to how maintainers will attend a maintenance issue outside of the scheme boundary but still within the approach temporary traffic management (TTM). These maintenance arrangements are to be agreed and recorded through the DLOA and set out clearly in the Construction Phase Plan (CPP) produced by the construction supplier prior to the commencement of works The construction supplier is responsible for maintenance in line with contract maintenance requirements (e.g. Asset Maintenance and Operational Requirements (AMOR)) during construction and interim scheme specific maintenance (ISSM) up to the point of acceptance into operational maintenance; however there may be exceptions required as to the scope of the construction supplier's responsibilities which are agreed in the DLOA. The construction supplier may have the capability to deliver maintenance directly, or alternatively may wish to contract a third party (e.g. MSP, the technology maintainer or others) to provide the maintenance on their behalf. When determining who provides the services, the construction supplier shall demonstrate value for money and competency to safely provide the services to the Highways England project manager The construction supplier is not responsible for maintenance related to severe weather (e.g. winter service); these services will continue to be provided by the MSPs. IAN 182/14A Page 13 of 53

17 IAN 182/14A Page 14 of 53 Interim Advice Note 182/14A 2.18 Due to the evolving nature of schemes, maintenance requirements vary throughout the scheme lifecycle. The level of maintenance which must be provided by the construction supplier as detailed in the DLOA and CPP also varies as the scheme progresses; there are three distinct phases as follows: During stages B and C: maintenance during construction During stage D: interim scheme specific maintenance During stage E: handover to Senior User for operational maintenance Level of maintenance 2.19 The maintenance of the strategic road network under normal operation is governed by the specific contract requirements for that area under which maintenance, incident management and operation responsibilities are discharged (eg AMOR, TMMM). In principle, all scheme maintenance must be carried out by the construction supplier to at least the same level of service as that provided by the MSPs within each region Schemes shall liaise with the Senior User to obtain details of the specific service level being provided by MSPs and agree how this is interpreted and varied through the construction phase of a scheme. Where ambiguity exists (for example technology being installed that is currently not covered within MSP maintenance), the construction supplier shall provide suitable levels of service as regionally agreed with the Senior User, based on the overall availability of assets Table 4 defines the level of maintenance the construction supplier delivering the scheme shall provide, as defined in the DLOA, at each stage of the scheme lifecycle for (1) pre-existing and (2) new assets. Stage Maintenance during construction (Stage B C) Interim Scheme Specific Maintenance (Stage D - E) Asset type (1) Pre-existing vs (2) New (1) Pre-existing (1) Pre-existing (2) New Under test In operational use (e.g. manual settings initially, followed by MIDAS queue protection and other subsequent operational regimes after appropriate monitoring periods.) Table 4: Level of maintenance Level of Maintenance In accordance with the DLOA, Maintenance Specification for MSP(s) and/ or relevant levels of service agreed by the Senior User/ ROB. In accordance with the DLOA, Maintenance Specification for MSP(s) and/ or relevant levels of service agreed by the Senior User/ ROB. To a level agreed between construction supplier and the Senior User to support activities during operational regime testing. In accordance with the DLOA, Maintenance Specification for MSP(s) and/ or relevant levels of service agreed by the Senior User/ ROB Note: (1) Pre-existing is defined as assets that were available prior to start of works and remain in operation during the course of the works.

18 (2) New is defined as assets that were installed as part of a scheme. Planning for incident management during construction 2.23 During stage A the scheme specific Incident Management Plan shall be developed by the construction supplier and agreed with the Emergency Services. The scheme Incident Management Plan sits alongside the DLOA and provides detailed information on how incidents will be managed during construction works. It sets out what the construction supplier will provide (e.g. Traffic Safety Control Officers, Tactical Incident Response team, free recovery operator, CCTV and traffic management control rooms) and how they will interface with the other parties involved in incident management. It includes procedures for different incident types, including reverse access The scheme Incident Management Plan sets out the stage at which incident management will be transferred to business as usual which for smart motorways are set out in the National Operating Agreement (NOA) Any desktop exercises to test the scheme Incident Management Plan are carried out during stage A. Managing asset information 2.26 Core information about civils assets on the strategic road network is contained in Highways England s primary asset data systems, as defined by the ADMM. Construction suppliers must provide compatible data with these primary asset data systems to enable efficient exchange of information; guidance on this is provided through the ADMM For technology assets, MCH 1399 sets out the requirements to provide information about the assets being removed or added as part of a scheme. The construction supplier must provide information in line with MCH 1399 as early as practicable in the scheme development and seek further clarification from Highways England s Logging Environment (HALOGEN) and Highways England s Technology Performance Management System (HATPMS) services Initial asset specific H&S information shall be uploaded into the associated Highways England database where applicable as well as included within the health and safety file, for example the H&S access or egress information associated with a structure shall be uploaded into SMIS. Data requirements for Highways England s primary asset data systems 2.29 During this stage scheme designers and construction suppliers shall agree how asset data will be created and transferred back to Highways England and the MSP at handover. With regard to Computer Aided Design (CAD) drawings and BIMs there are two key considerations to bring about efficiency: Classification and Data schema/attributes: The use of structured classification and attributing conventions in the data underlying CAD drawings (refer to IAN184) and/or models as those used in Highways England s primary asset data systems, will facilitate more efficient compilation of the datasets required for handover. Further information on IAN 182/14A Page 15 of 53

19 IAN 182/14A Page 16 of 53 Interim Advice Note 182/14A the naming and attributing conventions required is available in the ADMM Additional Information and Data Dictionary documentation. Assets must be unique identified: To enable asset data to be updated efficiently into Highways England s primary asset data systems refer to the ADMM, principles of updating asset data for a major project during development (pre-works) and construction. Where existing assets are removed or modified, the existing asset system ID must be obtained from the appropriate prime asset data management system and the status changed to suit. The process by which the IDs are agreed with Highways England and the MSPs, shall be defined and captured in the PIM model. BIM 2.30 The PIM model will be free from interface conflicts between disciplines and shall result in a buildable, maintainable scheme. The model s data/attributes at this stage shall be in accordance with the DMRB and Handover Requirements and clearly be set out in Employers Information Requirements and BIM Execution Plan. A coordinated Scheme 3D Model should be utilised to review maintainability with Highways England and the MSP and inform the RSA at an early a stage as possible. This model should also be utilised to prepare all parties for operational readiness The PIM shall be created by the designer with the end in mind, delivery of handover data in accordance with the ADMM will be facilitated by working to IAN184 Data & CAD Standard where particular reference shall be made to sections detailing LCAD layer names and asset coding and non-graphic data Pre-existing, additional and residual hazards identified during the pre works phase shall be captured within the PIM model. Asset data required for scheme development 2.33 The scheme designer and construction supplier require relevant and available asset data in order to enable the design and Works Information to be developed. It further enables the compilation of the pre-construction information required for identifying hazards and constraints that will impact the programming and methods of work. The Principal Designer together with the Highways England and the MSP shall assess the adequacy of the available pre-construction information and identify any significant gaps, then in consultation with Highways England s Asset Custodian (as defined in the ADMM) and Highways England project manager take the necessary steps to fill these gaps The data held within Highways England s primary asset data systems may not be complete, current or accurate enough for the purposes of the major scheme. Therefore the scheme designer and/or construction supplier will need to undertake a review and validation exercise to determine if further surveys are required. Planning for asset data handover 2.35 The amount of data to be handed over from the construction supplier as a result of carrying out the scheme works is likely to be substantial. Therefore as part of the preparations for handover, the construction supplier shall agree

20 IAN 182/14A Page 17 of 53 Interim Advice Note 182/14A with the Senior User and MSP a programme for transferring scheme data. This programme shall also recognise the resource demands on Highways England and/or the MSP in being able to review and approve the data being provided ahead of accepting the scheme into maintenance If the scheme is being handed over in a sectional approach, the scheduling of data handover will need to reflect the fact that acceptance into operation and maintenance is dependent on Highways England and the MSP having an agreed programme in advance as to when this data is required for Highways England s primary asset data systems ahead of this transfer of responsibility The scope of data required for handover is detailed in a number of standards and guidance documents which are summarised in the ADMM. Instigating the technology site data process 2.38 Site data consists of information about the technology equipment on the road network, such as locations and relationships between pieces of equipment or software configurations (for example MIDAS speed / flow thresholds required to automatically set variable speed limits on variable message signs (VMS) and signals) Most schemes require changes to site data, to reflect changes to the roadside equipment. The scheme shall be aware of these differences and that any inconsistencies in site data could potentially impose delay to delivery and costly rework. As such, suitable emphasis shall be placed on building quality and accuracy using correct procedures and suitably experienced staff to deliver a right first time approach in order to minimise the impact on operations This is facilitated through close liaison by the Site Data Designer (SDD), who usually works for the scheme designer, and close interaction with the Technology Commissioning Plan, which sets out which assets are being decommissioned/ commissioned and the programme for implementation. The process for changing site data is described in MCH 1596, MCH 2543 (ERTs) and MCH1885 (CCTV). These documents are available from the Site Data Centre (SDC) website ( along with other information including a simple guide to site data, and the tools required. Scheduling site data changes 2.41 The SDD shall produce a draft schedule of site data changes required throughout the scheme. Each site data change is given a National Site Data Change Number (NSDCN). NSDCNs are released in "groups" or Site Data Loads (SDLs) and each group typically includes NSDCNs for various schemes and within a scheme. Due to the lead time for planned site data changes, and the frequency of groups (up to four per year), it is essential that the draft schedule be as detailed and accurate as possible. For schemes under PCF, this schedule is published and maintained in the PCF product Site Data Change Request. Raising NSDCNs 2.42 The SDD raises draft NSDCNs for all scheduled changes. This involves completing a simple form on the SDC website. Raising a draft NSDCN

21 automatically generates a unique number for the change. Each draft NSDCN needs to be raised sufficiently in advance of the date required for the data load. For further details, refer to the SDC Website. Outline site data design 2.43 The SDD designs and specifies the site data changes using the scheme design. As part of this work, the SDD can download copies of site data from the SDC website to determine the status of the data prior to the scheme It is rare that a design is fully complete by the time the SDD starts work on the data, so ongoing liaison with the scheme designer and construction supplier is essential to ensure that the data is cognisant of the situation on site. Experience suggests that the existing data is used as a starting point, and that the information is built up in a schedule of devices. The initial schedule can also help to inform any site surveys of existing assets. Initiating third party liaison 2.45 Although the site data design is produced by the SDD, IP addresses are allocated and updated by NRTS. As such, there is a responsibility on the SDD to keep NRTS informed of the design throughout its development. Additionally each RCC has a forum (the Site Data Action Group (SDAG)) whose primary responsibility is to review, coordinate, schedule and allocate NSDCNs to site data groups. SDAG meetings are essential and they are held at least every quarter, and also on an ad hoc basis as required. The SDD must initiate liaison with the SDAG as early as possible The scheme designer shall liaise with the RCC to manage RCC based activities during the scheme, and as part of this the SDD initiates the liaison on site data issues; the contact point for this is the National Technology Relationship Manager (NTRM). Enabling MIDAS traffic counting 2.47 An NSDCN is implemented during the pre-works to enable MIDAS sites in the scheme area for traffic counting. This enables the collection of actual traffic data for a 56-day period before construction starts to baseline the flows Note: This change is only required if there are insufficient sites already enabled, as data is generally available, and can be used to derive initial speed / flow thresholds data. Given the 56-day period, the scheme designer shall identify as early as possible whether a change is required and ensure suitable data is collected before the works start. IAN 182/14A Page 18 of 53

22 3 STAGE B: CONSTRUCTION 3.1 In this stage designs are finalised, works commence on site and infrastructure is put in place. Roles and responsibilities during construction Task Undertake maintenance and incident management during construction as per DLOA Construction Supplier Scheme Designer NRTS Representative IAN 182/14A Page 19 of 53 Technology Maintainer and Service Delivery Manager MSP Service Delivery Manager Highways England Project Manager Lead Operations Manager and RCC Operations Manager NTIS Representative R C C C A I I Maintain the scheme H&S file R C C C C A R C Update Site Data during construction C R C C A I I C C Update asset data during construction Ensure requirements are met for handover to enable asset transfer R R/ C* Scheme Principal Designer ITD Representative C A I I C C R C C I I A I C C Perform SAT1 R I C I A I Update of Project Information Model R/ R C C A R C (PIM) C* Table 5: Roles and responsibilities during construction Key: R: responsible, A: accountable, C: consulted and I: informed. R/C* - As required by the Works Information Key considerations during construction 3.2 The following summarises the issues that shall be considered at this stage: Key Considerations During Construction DLOA and Incident Management Plan The construction supplier shall undertake maintenance and incident management as set out in the DLOA and scheme Incident Management Plan. The construction supplier shall confirm with the Traffic Officer Service that procedures and support are in place to meet the requirements in the scheme Incident Management Plan. The construction supplier is responsible for ensuring surveys and inspection of works for updates to asset databases shall be conducted as early as possible with NRTS, Highways England and MSPs, to ensure appropriate requirements have been met and to support preparations for handover.

23 Handover Interim Advice Note 182/14A The construction supplier shall produce handover documentation in accordance with MCH 1349 and civils asset data requirements set out in the ADMM. Records required for handover are kept up-to-date as a business as usual activity. Health and Safety The Principal Designer shall ensure the H&S File and tracker are kept up to date by the construction supplier as a live document set, for consistency and to minimise the potential for data duplication. Asset Data Where the construction supplier takes ownership for maintenance of existing assets during the scheme, they must follow the requirements set out in the ADMM to ensure maintenance records are kept up to date. BIM The requirements for BIM are included as part of the contract documentation. It is expected that the construction supplier and scheme designer will collaboratively develop the scheme Project Information Model. Clear roles and responsibilities for the data therein shall be defined in the EIR and the scheme BIM Execution Plan, supported by good change control procedures with an emphasis on efficiency, minimal rework and manual data entry. Site Data The construction supplier shall give careful consideration to the removal of assets and decommissioning of devices that will be temporarily disconnected and their site data requirements. This may require moving assets on to a temporary communications network to enable operation (and visibility to operators) during works. Commissioning Site Acceptance Tests (SAT) provide assurance that the infrastructure and systems have been designed and installed to an acceptable standard, and are able to be operated effectively. The construction supplier reconfirms the plans for the asset readiness (stage C) and operational regime testing (stage D) at this stage with the Lead Operations Manager. NRTS requirements will need to be met ready for asset transfer as NRTS circuit activation shall be in place prior to commencement of asset readiness testing. Table 6: Key considerations during construction Handover process requirements 3.3 The construction supplier shall ensure that records required for handover are kept up-to-date as a business as usual activity. These records shall be submitted to Highways England and the MSPs in accordance with an agreed programme to allow thorough reviews so that any required amendments can be made prior to handover. IAN 182/14A Page 20 of 53

24 3.4 Best practice handover trackers are be used to improve the organisation, efficiency and clarity of handover progress. The preparation of handover documentation such as the H&S File (as-built drawings), operation and maintenance manuals (ADMM & MCH 1349) shall commence in, and be ongoing throughout this stage. 3.5 Schemes shall plan the commissioning and handover of technology in accordance with MCH 1980 (Process for the Commissioning and Handover of Technology Schemes). The construction supplier shall met the requirements set out in MCH 1349 (Operational & Maintenance Requirements for Technology Systems and Equipment) in advance of handover at acceptance into operation and maintenance (stage E). 3.6 Risks to handover: Key risk items which are likely to impact the handover programme if not closely managed include: Completion of H&S File and other handover requirements all require careful management. Completion of MCH 1349 and ADMM, including, but not limited to, test certificates, training, maintenance and commissioning spares, defects and faults. Completion of the relevant as-built drawings required for the H&S File; schemes shall allocate sufficient resource to complete to programme. Agreements regarding land ownership and maintenance boundaries, which are known to create legacy issues. Engagement with land owners is imperative to ensure requirements for handover are understood and complete by stage E. 3.7 The PCF handover schedule shall be reviewed and activities programmed such that all handover requirements are complete by stage E. 3.8 The requirements for BIM is included as part of the contract documentation. It is expected that the Principal Designer will continue to maintain their ownership of the PIM models working closely with the construction supplier and designer to ensure that the information and data is kept updated. The construction supplier will coordinate management and modelling roles and responsibilities with the scheme designer. Any contractor design will be stipulated in the Specification Appendix 1/10. All methods and procedures for creating the information models will be in accordance with the EIR and suppliers BIM Execution Plan. The data and information definition (LoD) will be recorded in the Model Production Delivery Table and will meet the requirements of the DMRB and Works Information. 3.9 Any information handed over by the project may be subject to verification or certification and may not be accepted into maintenance. A process for demonstrating completeness of the data will require the approval of Highways England SES-AIG The construction supplier shall provide an Inspection and Test Plan and a procedure for the production of marked up drawings for review and acceptance by the project manager and /or nominated delegate. IAN 182/14A Page 21 of 53

25 Enabling transfer of assets to NRTS requirements 3.11 The primary NRTS documents that relate to acceptance and transfer of infrastructure are GYS/RGD/TSP/0056 and GYS/RGD/TSP/0080. (Note: The reader must check for latest versions and any successor documents to ensure full compliance with NRTS requirements) These requirements are discussed with NRTS and completed in readiness for asset transfer early in the construction phase; i.e. before NRTS start work. The construction supplier will need to be able to provide the relevant documentation for the assets (e.g. ducts / chambers) which NRTS will be taking on in order to install communications cabling GYS/RGD/TSP/0080 Civil Roadside Infrastructure and Cabling also defines the Design and Acceptance Criteria in more detail. Works associated with NRTS activities (e.g. ducted network) need to be prioritised and completed as early as practicable in this stage to enable technology installation works to be programmed effectively. Schemes shall conduct thorough internal checks to ensure NRTS requirements are met before inviting NRTS to site to witness infrastructure installation and testing, in order to prevent abortive or additional site visits Note: There may be a requirement from the RCC to provide CCTV connections to the construction supplier s temporary CCTV system. The construction supplier shall use existing CCTV camera connections that have been (or will be) interrupted during the works where possible in preference to requesting new service delivery points. Where this is not possible, the construction supplier shall engage with NRTS at the earliest opportunity to request temporary service delivery points. Inspections 3.15 Asset inspections are to be carried by the construction supplier in accordance with the maintenance contract requirements. Any recorded or updated asset information shall be updated by the construction supplier in accordance with ADMM. The scope of inspections shall be agreed well in advance of handover with the Senior User. For all assets, early surveys and inspections shall be considered so that the asset databases can be updated well in advance of handover Inspections to confirm asset and maintenance condition and suitability for handing over into maintenance shall be done jointly by the construction supplier and Highways England or the MSP. This allows issues to be identified in sufficient time, so that they can be resolved prior to the planned handover time. This is of increased importance within an All Lane Running (ALR) environment as any inspections post stage D will need to be undertaken at night with a Lane 1 traffic management closure It is good practice to undertake handover inspections early in the programme to allow snagging issues to be mitigated. However, there is a risk that the asset status / condition could change before handover; therefore achieving final agreements shall only be undertaken as set out with Highways England and the MSP in accordance with the DLOA. IAN 182/14A Page 22 of 53

26 Health and safety file requirements during construction 3.18 The H&S File continues to be updated during construction in accordance with IAN 105. An interface meeting shall be established to agree any technical, handover or interface management issues. This will include the consultees shown within the RACI but will need support from operational asset specialists. The DLOA could be used to establish the staff that are required from all stakeholders The H&S File and interim handover trackers shall be developed by the construction supplier in cooperation with the Principal Designer and integrated as part of the project management meetings. Civils asset data handover during construction 3.20 Where the construction supplier takes ownership for maintenance of existing assets during the scheme as agreed in the DLOA, Highways England needs to ensure its maintenance records retain their integrity. The ADMM sets out the requirement for construction suppliers to capture this data. Implementing the technology site data process 3.21 Several approval levels of NSDCN need to be completed. The Site Data Designer (SDD) shall maintain a site data change schedule in addition to maintaining an outline site data design, NSDCNs and third party liaison. Adding new devices for commissioning 3.22 Site data changes are needed to add new and modified technology devices resulting from the main works. Devices are added as non commissioned so that they are visible to operators but not available for use during construction. This enables operators to become familiar with the new scheme layout. This means during this period there will be a mismatch between the system and what is on the road, therefore implications such as the device being shown as faulty will need to be managed by liaison with the RCC operators. The SDD will need to agree this approach with the Lead Operations Manager and National Technology Relationship Manager to ensure the situation is acceptable and manageable To perform any relevant Site Acceptance Tests (SAT), the device will need to be enabled via the HATMS Engineers Terminal. The site data should include initial 3 lane, 4 lane or link flow state thresholds. A further NSDCN is required after commissioning to change the status of the device to commissioned. These thresholds are to be determined in line with MCH 2584: Guidance for the calibration and optimisation of Managed Motorway systems ((Product COM2) and provided to the scheme designer for inclusion within the new site data Note: Whilst the scheme is responsible for the threshold calculation and calibration activities (refer to MCH 2584 Product COM1 through to COM7) the key role of Scheme Calibration Engineer, as defined in MCH 2584, may be provided by the construction supplier or the scheme designer. IAN 182/14A Page 23 of 53

27 Managing existing technology assets prior to main construction works 3.25 A site data change is needed for most major schemes to deal with the impact of the start of the main works, when NRTS bypasses communications to all devices within the scheme. A decommissioning change involves: devices which are to be removed or temporarily disconnected. Where devices are to be retained during the scheme works (and where this has not been done already) this may mean moving them to a temporary communications solution. where required, relocating controlling devices outside of the NRTS bypassed areas, to keep devices outside the scheme area operational The changes will also apply to modernisation works in the central reserve The SDD shall ensure that data is loaded as soon as possible after the changes have occurred on site and liaise with the Lead Operations Manager to ensure they are aware of the situation during the period where there is a mismatch between site data and the roadside. Systems testing and commissioning 3.28 Following the installation of the technology infrastructure and systems during the construction period, they are subject to a series of Site Acceptance Tests (SATs). These provide assurance that the infrastructure and systems have been designed and installed to an acceptable standard and are able to be operated effectively. The scheme remains a construction site to which the DLOA and scheme Incident Management Plan apply Sufficient time shall be allowed in the construction programme by the construction supplier to allow for all testing and commissioning activities to be effectively completed The commissioning activities are provided in three stages SAT1, SAT2 and SAT3. Figure 4 provides a graphical illustration of this sequence of SAT activities throughout the scheme lifecycle. IAN 182/14A Page 24 of 53

28 Figure 4: Sequence of SAT activities 3.31 SAT1 is conducted in this stage. It is made up of the local commissioning activities that involve individual groups of technology devices being tested. This is likely to be tests involving outstation equipment and roadside devices on site. At this stage NRTS activation, and subsequently the service delivery point provisions, are not required. The construction supplier shall also confirm plans with the Lead Operations Manager in relation to asset readiness (stage C) and operational regime testing (stage D) SAT2 is conducted in stage C. It comprises the testing of single or groups of devices from a remote location, including NRTS provided longitudinal circuits. SAT2 is dependent upon having part(s) or all of the longitudinal cable network installed and tested SAT3 is conducted in stage D. It is the final end to end testing of the whole system, including the in-station and its associated site data, the complete NRTS circuits, and the end devices and outstations. All operational critical issues will need to be resolved before proceeding to operational regime testing. IAN 182/14A Page 25 of 53