Early Contractor Involvement Design and Build Contract ... 13128doc11.pdfCompetent at giving evidence at Public Information Exhibitions. 2.20 Ecologist 2.20.1 A Member of the Institute

Welsh Government: Transport and Strategic Regeneration

A477 St Clears to Red Roses Improvement Works Information

Early Contractor Involvement Design and Build Contract

Volume 2A – Works Information Appendices

Trafnidiaeth

Transport

M4 Junction 28 Improvements

June 2014

Welsh Government: Transport

M4 Junction 28 Improvements Works Information Appendices

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VOLUME 2A - WORKS INFORMATION APPENDICES

M4 Junction 28 Improvements

CONTENTS

Appendix A: Definition of Terms

Appendix B: Contractor's Project Management and Design Team

Appendix C: Format of CVs

Appendix D: Environmental

Appendix E: Order Publication Report Pro Forma (Not Used)

Appendix F: Certification

Appendix G: Environmental Compliance Process

Appendix H: Traffic Management

Appendix I: Privately and Publicly Owned Services and Supplies

Appendix J: Records

Appendix K: List of IANs Current at Invitation to Tender

Appendix L: Land Ownership Questionnaire and Covering Letter - (Not Used)

Appendix M: Delegated Authorities Key Stages 3 & 4 and 6

Appendix N: Form of Parent Company Guarantee

Appendix O: Form of Collateral Warranty

Appendix P: The Value for Money Manual – Part 4 Risk Analysis and Management



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Appendix A: Definition of Terms



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1.1 Acronyms and Abbreviations

A list of terms and abbreviations which may have been used within the documents is given

below:

AIES Assessment of Implications on European Sites

AIP Approval in Principle

CADW The Historic Environment service of the Welsh Government

CDM Construction Design Management

CDM-C CDM Coordinator

CEEQUAL Civil Engineering Environmental Quality Assessment and Award Scheme

CEMP Construction Environmental Management Plan

CPO Compulsory Purchase Order

CV Curriculum Vitae

DMRB Design Manual for Roads and Bridges

DV District Valuer

EA Employer’s Agent

EC European Community

EIA Environmental Impact Assessment

ELG Environmental Liaison Group

EnvIS Environmental Information System

ES Environmental Statement

EST Department for Economy, Science & Transport at WG

GIS Graphical information System

HSF Health & Safety File

IAN Interim Advice Notice

KS Key Stage

MCHW Manual of Contract Documents for Highway Works

MEMP Maintenance and Environmental Management Plan

NPV Net Present Value

NRW Natural Resources Wales

PAR Project Appraisal Report

PLO Public Liaison Officer

RCTPI Road Construction Tender Price Indices

SHRA Strategic Habitats Regulations Assessment

SHW Specification for Highway Works

SIAA Statement to Inform the Appropriate Assessment

SR Summary Report

SU Statutory Undertaker

SWMP Site Waste Management Plan

SWTRA South Wales Trunk Road Agency

TA Technical Approval

TAA Technical Approval Authority

TAG Technical Advisory Group

TRA Trunk Road Agency (e.g. SWTRA)



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TREBAP Trunk Road Estate Biodiversity Action Plan

WelTAG Welsh Transport Appraisal Guidance

WG Welsh Government

WI Works Information

1.2 Other Terms

The works

1.2.1.1 The works refers to the delivery of the M4 Junction 28 Improvements scheme through Key

Stages 3, 4 and 6 (subject to satisfactory performance during Key Stage 3 and 4).

The Employer

1.2.2.1 Where reference is made in the Works Information to the Employer, this shall be the Welsh

Ministers on behalf of the Welsh Government, Transport.

The Contractor

1.2.3.1 Where reference is made in the Works Information to the Contractor, this shall be the

organisation appointed to undertake the works.

The Designer

1.2.4.1 Where reference is made in the Works Information to the Designer, this shall be the

organisation identified by the Contractor in their tender as being the Designer for the works.

They shall be a sub-Contractor under the Contract unless they are part of a joint venture

consortium for this scheme.

The Project Manager

1.2.5.1 Where reference is made to the Project Manager, this shall mean The Employer’s appointed

Project Manager.

The Key Stage Consultant

1.2.6.2 Where reference is made to the Key Stage Consultant, this shall mean the Employer’s

appointed Employer’s Agent as defined in Contract Data Part One.



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Appendix B: Contractor's Project Management and Design Team



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Contractor’s Project Management and Design Team

1 General

1.1 It would be of benefit to the Project if all the key staff listed below have relevant highways

experience, including preparing and giving evidence at public Information Exhibitions and

shall be prepared to consult with Statutory Consultees and members of the public at Public

Information Exhibitions or similar required project forums.

2 Competence

2.1 Contract Director

2.1.1 Competent at managing major highway projects in the UK including Early Contractor

Involvement or design and build schemes, with emphasis on schemes which include both off-

line and on-line widening, the construction of significant structures, are of an environmentally

sensitive nature and are target cost.

2.2 Project Manager

2.2.1 Chartered Civil Engineer or equivalent. Competent at managing construction of major

highways projects in the UK preferably Target Cost, including those of an environmentally

sensitive nature, include both off-line & on-line widening, the construction of significant

structures, are Early Contractor Involvement or design and build projects, and are self-

certification for quality control.

2.3 Design Co-ordinator

2.3.1 Competent at co-ordinating the design of major highways projects in the UK, including those

of an environmentally sensitive nature, and including construction of significant structures.

2.4 Programme Planner

2.4.1 Competent at planning complex highways projects using industry standard programming

software.

2.5 Senior Estimator

2.5.1 Chartered Quantity Surveyor or equivalent. Competent at estimating and cost control, with

emphasis on major UK highway target cost contracts.

2.6 Health and Safety Co-ordinator

2.6.1 Member of the Institute of Safety and Health or equivalent qualification. Competent at



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managing health and safety on major construction sites in the UK.

2.7 CDM Co-ordinator

2.7.1 A chartered engineer or other professional with recognised qualifications in Health and Safety

and competent at managing the CDM Co-ordinator role.

2.8 Quality System Manager

2.8.1 Competent in role as Quality System Manager and holding recognised quality management

qualifications.

2.9 Traffic Management Officer

2.9.1 Competent at design and implementation of traffic management schemes on major highways

construction sites on motorway, trunk or principal road schemes in the UK.

2.10 Public Liaison Officer

2.10.1 Competent at liaising with the public for major highway schemes with the emphasis on

schemes in environmentally sensitive areas and a broad understanding of environmental

issues with knowledge of the local area.

2.11 Construction Manager

2.11.1 Competent at the management of major projects including Early Contractor Involvement or

design and build projects including those of an environmentally sensitive nature, off-line & on-

line widening, construction of significant structures, and are self-certification for quality control.

2.12 Construction Highways/Structures Team Leader

2.12.1 Chartered Civil Engineer or equivalent. Competent at managing the construction of major

highway projects in the UK including environmentally sensitive projects.

2.13 Civil Engineering Clerks of Works

2.13.1 Competent at overseeing/supervising major construction projects in the UK, preferably

highways projects.

2.14 Design Director

2.14.1 Chartered Civil Engineer or equivalent. Competent at managing major highway design and

construction projects in the UK including the statutory process, construction of significant

structures and schemes of an environmentally sensitive nature, preferably Target Cost.



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2.15 Design Project Manager

2.15.1 Chartered Civil Engineer or equivalent. Competent at the management of design of major

highway projects in the UK with particular emphasis on environmentally sensitive projects and

construction/demolition of significant structures. Competent at giving evidence at Public

Information Exhibitions

2.16 Design Team Leaders: including Geotechnics, Structures, Highways, Drainage &

Land/Orders etc.

2.16.1 Chartered Civil Engineer or other recognised professional qualification. Competent in their

discipline in the design process for major highway projects in the UK with particular emphasis

on environmentally sensitive projects.

2.17 Environmental Co-ordinator

2.17.1 Chartered Member of an appropriate environmental professional body from the list below

Chartered Institute of Water & Environmental Management

Institute of Environmental Management and Assessment

Landscape Institute

Institute of Ecology & Environmental Management

Shall be able to oversee the Environmental Compliance Process defined in Appendix G5-01

for each Key Stage. Competent at managing environmental surveys and design work,

completing EIAs, AIES, preparing Environmental Statements and AIES reports, experience of

preparing and giving evidence at Public Information Exhibitions, overseeing and auditing

implementation of environmental mitigation and compliance with environmental management

systems, in relation to major highway schemes or similar in environmentally sensitive areas.

Also experience of overseeing and reporting on sustainable construction requirements.

2.18 Environmental Clerk of Works

2.18.1 Competent in environmental management of construction, managing environmental surveys

and overseeing and auditing implementation of environmental mitigation and compliance with

environmental management systems, preferably in relation to highway schemes or similar in

environmentally sensitive areas.

2.19 Landscape Architect

2.19.1 A Chartered Member of the Landscape Institute. Competent to undertake the landscape



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assessment and design during Key Stage 3 and the detail design of the landscape proposals,

oversee their implementation, maintenance and monitoring throughout the Contract Period up

to the issue of the Environmental, Landscape and Ecological Aftercare Certificate during Key

Stage 6. Competent at giving evidence at Public Information Exhibitions.

2.20 Ecologist

2.20.1 A Member of the Institute of Ecology and Environmental Management (IEEM) or other

appropriate professional institute. Competent to undertake the ecology assessment and

design during Key Stage 3 and to undertake the detail design of the ecological proposals,

oversee their implementation, maintenance and monitoring throughout the Contract Period up

to the issue of the Environmental, Landscape and Ecological Aftercare Certificate during Key

Stage 6. Competent at giving evidence Public Information Exhibitions.

2.21 Archaeologist

2.21.1 A member of the Institute for Archaeologists (IfA). Competent to undertake the cultural

heritage assessment and Archaeological Design during Key Stage 3 and to undertake the

detailed design of the archaeological mitigation proposals, oversee their implementation,

maintenance and monitoring throughout the Contract Period up to the issue of the

Environmental, Landscape and Ecological Aftercare Certificate during Key Stage 6.

Competent at giving evidence at Public Information Exhibitions.

2.22 Noise Specialist

2.22.1 A full member of the Institute of Acoustics or equivalent. Competent to undertake the noise

assessment and design of noise mitigation during Key Stage 3 and to undertake any required

design and specification, survey and monitoring and to oversee their implementation and

relevant maintenance works during Key Stage 6. Competent at giving evidence at Public

Information Exhibitions.

2.23 Air Quality Specialist

2.23.1 A degree in Chemistry, Environmental Science or Civil Engineering. Competent to undertake

the air quality assessment and the design of air pollution mitigation during Key Stage 3 to

undertake any required design and specification, survey and monitoring and to oversee their

implementation and relevant maintenance works during Key Stage 6. Competent at giving

evidence at Public Information Exhibitions.



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2.24 Water Quality Specialist

2.24.1 A degree in Chemistry, Biology or Environmental Science/Engineering. Competent to

undertake the water quality assessment and the design of water pollution mitigation during

Key Stage 3 and to undertake any required design and specification, survey and monitoring

and to oversee their implementation and relevant maintenance works during Key Stage 6.

Competent at giving evidence at Public Information Exhibitions.

2.25 Hydrologist

2.25.1 A degree in Geology, Environmental Science or Civil Engineering. Competent to undertake

the hydrological assessment and design during Key Stage 3 and to undertake any required

design and specification, survey and monitoring and to oversee their implementation and

relevant maintenance works during Key Stage 6. Competent at giving evidence at Public

Information Exhibitions.

2.26 Arboriculturist/Silviculturist

2.27.1 Member of Arboricultural Association, Chartered Institute of Forestry Competent at amenity

woodland vegetation management, specific management actions for existing vegetation and

its retention during Key Stage 3 and overseeing implementation of vegetation management

works during Key Stage 6.

2.28 BIM Co-ordinator

2.28.1 Competent in management of complex infrastructure IT delivery; setting up, managing and

auditing CAD standards and delivery; experienced in the delivery of projects with BIM

methodologies and to current British Standards.



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Appendix C: Format of CVs



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1 Curriculum Vitae

1.1 The Contractor is required in the Quality Plan to nominate personnel and provide CVs for each

of the roles as itemised in Appendix D. These CVs shall contain the information and shall be

presented to the layout detailed in Table C1 and C2 below.

1.2 The CVs of staff members shall contain at least the information listed below.

Company Name

Name

Qualifications (dated) – professional/chartered and academic/degree etc.

Date joined the company

Current position within company

Length of time in current position

Passport size photograph (full colour)

Key skills in the form of bullet points

Career Summary which should highlight experience that will be relevant to this

project

Detailed Project Experience to include dates, name of company employed by,

appointment and brief description of responsibility

1.3 The CVs of staff members shall be no longer than 2 sides of A4 (1 page printed on both sides)

with a minimum of 9 point text to the layout shown in Tables C1 and C2 below.



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Table C1: Staff CV Page 1 (A4)

Company Name: Name:

Key skills :

(min 9 point text)

Proposed role on this project : Qualifications :

Date of joining the company :

Position within the Company :

Time in this position :

Career Summary :

½ page max (min 9 point text)

Passport sized photograph to be inserted here

Table C2: Staff CV Page 2 (A4)

Company Name : Name :

Detailed Project Experience :

(min 9 point text)



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Appendix D: Environmental



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D/1Environmental Requirements D/2 Environmental Management System

D/3 Construction Environmental Management Plan

D/4 Environmental Monitoring and Reporting

D/5 Sustainable Development and Construction

D/6 Environmental Roles and Responsibilities



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D/1 ENVIRONMENTAL REQUIREMENTS

1.1 Introduction

1.1.1 The Contractor shall ensure full integration between the engineering and environmental

aspect of the design. The Environmental Design shall comply with accepted good

practice and the objectives, standards and specifications listed in the Works Information, and

targets included in the key policy documents listed in the Works Information and commitments

made in the ES, AIES and any undertakings given at the Public Information Exhibition. The

Environmental Design shall include the Landscape, Ecology and Archaeological design and

be cross referenced to the Register of Commitments (ROC), Specification for Highways Works

3000 Appendices.

1.1.2 The Contractor shall, as part of the scheme development process, identify and propose

measures to conserve and enhance the biodiversity of species or habitats, to demonstrate

compliance with Section 40 and 42 of the Natural Environment and Rural Communities

(NERC) Act 2006.

1.2 Landscape

1.2.1 Key objectives of the landscape design shall include:

retain and make best use of existing vegetation

prioritise the early re-establishment of vegetation within the highway boundary

Integration of the engineering landform with the adjoining topography

Designing for maintenance, consideration of the maintenance costs & implications, liabilities and access arrangements

optimise protection for nearby houses or public areas through use of screening, including vegetative and structural methods

avoid loss or damage to any designated or protected landscape features

avoid loss or damage to landscape features, e.g. hedges/ hedgerows/ hedgebanks, individual and veteran trees, woodland, water features, or field systems where possible within the constraints of the design

consider innovative solutions for integrating hard structures into the landscape setting of the scheme



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1.2.2 The Contractor shall produce a design, which minimises impact and presents an integrated

design in terms of engineering (i.e. structures, earthworks, lighting, signs etc.) cultural heritage,

landscape, visual effects, land use ecology and nature conservation.

1.2.3 The Contractor shall liaise with the Employer’s soft estate manager and TRA in respect of the

maintenance implications of their landscape design.

1.2.4 The Contractor shall liaise with the TAA and TRA in respect of their landscaping proposals for

and adjacent to structures.

1.2.5 Where used, tree and shrub planting compost shall be peat free compost.

1.2.6 The Employer is committed to bio-diversity and requires plants and seeding to be of a

provenance, compatible with the local gene pool of the area in which the plants are to grow.

The Contractor shall comply with Forest Practice Note No 8, entitled ‘The use of Local Seed

Sources for planting Native Trees and Shrubs’ produced by the Forestry Commission.

1.2.7 The Contractor shall ensure that plants established in the works will match those of the same

species growing naturally in the locality, so that their appearance, growth and ecological value is

appropriate. All species shall be propagated from genetic material originating in the bio-

geographical area 303/304 shown in the Forestry Commission Regions of Provenance Map,

available from www.forestry.gov.uk/forestry/INFD-72KLDL.

1.2.8 In their method statements, the Contractor shall show how the requirements for local provenance

are to be met. Provenance certificates are to be provided to the Employer by the Contractor.

1.2.9 The Contractor shall engage a specialist landscape Contractor to carry out all planting, seeding

and aftercare works. The landscape Contractor shall be a full member of the British Association

of Landscape Industries (BALI) and have a proven track record of successful schemes carried

out for the Employer or Highways Agency.

1.2.10 The Contractor shall consider wildflower seeding and the seeding of non-verge areas.

1.2.11 The Contractor shall ensure that their landscaping design takes adequate account of the need

for access for maintenance to all elements of the scheme.

1.2.12 The Contractor shall ensure that their landscaping design takes adequate account of plant

spread, visibility requirements, signing and maintenance requirements.

http://www.forestry.gov.uk/forestry/INFD-72KLDL



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1.3 Nature Conservation

1.3.1 The Contractor shall comply with and take into account the implications of relevant legislation,

policy and guidance that affect nature conservation and biodiversity interests, to halt the losses

of important habitats and species that have occurred in the UK, both in a European and UK

context and to enhance the remainder.

1.3.2 The Contractor shall show evidence of compliance with legislation and commitment when

dealing with habitats and species that are legally protected. The Contractor’s Environmental

Coordinators shall record all correspondence, specialist reports and the outcomes of the

decision making process, to aid any audit of the decision making process, or involvement in

possible legal challenges.

1.3.3 At all stages the Contractor shall consider and integrate the conservation and biodiversity

interests with other environmental and non environmental issues that may be relevant to a

particular site. In the absence of case law, where conflicts with other non nature

conservation/biodiversity interests occur, the Contractor shall seek to comply with both sets of

legislation; where conflicts still occur the Employer’s advice should be obtained. The Contractor

should note that if European legislation is involved, this is likely to override UK legislation.

1.3.4 The Contractor shall, as part of the scheme development process , consider the following action

plans:

UK Wide Biodiversity Action Plan (UKBAP);

Local Biodiversity Action Plans (LBAP).

These action plans produced by the Welsh Local Authorities and National Parks not only include

habitats and species listed in Section 42 of the NERC Act 2006 but also include habitats and

species with no such protection.

1.3.5 The Contractor shall identify mitigation by design to retain hedgerows. The Contractor shall also

propose mitigation measures to replace or, as a last resort, translocate hedgerows if removal is

unavoidable. Additionally, where practicable, measures should be taken to restore or improve

connectivity to other hedgerows to re-establish the local field pattern.

1.3.6 The Contractor shall not commence works within any part of the site until ecological pre-

construction surveys in respect of that part of the Site have been undertaken by the Contractor

and a survey report has been submitted to the Project Manager by the Contractor. Any relevant

findings of such surveys shall be incorporated in the Contractor’s Ecological Design, the KS6

Environmental Master Plans and the Construction Environmental Management Plan (CEMP).



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1.3.7 The Contractor shall ensure that the Contractor’s Ecologist has unrestricted access to the Site

and the Contractor shall implement recommendations.

1.3.8 In the event that the Contractor identifies or becomes aware of any species protected by law, or

any structure or place used for shelter or protection by any species also protected by law, or any

species or habitats listed on the Section 42 of NERC Act 2006 list which could be directly or

indirectly affected by the works and for which appropriate protection measures have not

previously been agreed, the Contractor shall notify the Project Manager immediately and shall:

cease all works that may adversely affect such species, structure or place

provide the Statutory Environmental Bodies and the Project Manager with any further

information relating to such species, structure of place as may be requested

consult and agree mitigation and/or monitoring measures with the Statutory

Environmental Bodies and the Project Manager in relation to such species, structure

or place

obtain any necessary licences to carry out the agreed measures

1.3.9 Invasive non-native species are controlled by law under Section 14 of the Wildlife and

Countryside Act (WCA), 1981. This makes it illegal to release into the wild any animal or allow to

grow in the wild any plant which is not ordinarily resident in the UK or which is a known threat

and is listed on Schedule 9 of the Act. In the event that the Contractor identifies or becomes

aware of any invasive non-native species which could be directly or indirectly affected by the

works and for which appropriate control measures have not previously been agreed, the

Contractor shall notify the Project Manager immediately and shall:

cease all works that may adversely affect such species

provide the Statutory Environmental Bodies and the Project Manager with any further

information relating to such species as may be requested

consult and agree control measures with the Statutory Environmental Bodies and the

Project Manager in relation to such species

obtain any necessary licences to carry out the agreed measures

1.3.10 The Contractor shall take into consideration any Management Statements in the scheme design

prepared by NRW for the management of SSSIs in accordance with the Wildlife and

Countryside Act 1981 (as amended) for landowners, including Welsh Government.



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1.3.11 The Contractor shall prepare an estimate of the type (species), size and volume of timber or

other wood products that will arise from the site as a result of felling and site clearance. The

estimate of timber or wood products shall be discussed with the local Coed Cymru Officer and

the Hardwood Marketing Officer of the Forestry Commission in order to identify potential uses of,

or markets for, the timber. The Contractor shall prepare a method statement describing how the

timber from the construction works will be used or marketed in accordance with the principles of

sustainable development. The Environmental Co-ordinator shall report on the use of site timber

and other wood products in the monthly environmental reports.

1.4 Archaeology and Cultural Heritage

1.4.1 The Contractor is advised that CADW is the Executive Agency of the Welsh Government

responsible for advising on matters relating to the statutory protection of archaeology and the

built heritage. CADW will provide advice to the Employer on the archaeological impact of

trunk road schemes.

1.4.2 Glamorgan-Gwent Archaeological Trust (GGAT) is the regional archaeological curator,

responsible for the advising the planning local authority regarding the archaeological

implications of development in the area.

1.4.3 The Contractor shall be responsible for liaising with CADW and other historic environment

bodies, during all stages of the scheme and ensuring that they are advised of any discoveries

made.

1.4.4 The Contractor shall be responsible for the Cultural Heritage assessment, implementation and

publication of the Archaeological and Cultural Heritage Design and for the associated

management of all interests, including excavation, geophysical surveys, historic

building/features recording and watching briefs and any Further Archaeological Works which

may arise as part of the Archaeological Watching Brief. The Contractor’s responsibilities will

include all archaeological matters relating to the Site and off site works such as borrow pits,

haul roads, compounds and environmental works.

1.4.5 The Contractor shall submit all archaeological and cultural heritage designs and reports to the

Project Manager in accordance with the review and certification procedures.

1.4.6 The Contractor’s Archaeologist shall liaise with the Contractor’s Environmental Co-ordinator to

ensure that all heritage features are illustrated on the Environmental Master Plans and

mitigation works are implemented.

1.4.7 Where any survey, or re-survey of Cultural Heritage features records the presence of

Identified Archaeological Remains, the Contractor shall incorporate the appropriate provisions

in the Archaeological and Cultural Heritage Design.



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1.4.8 The Contractor shall not commence works within any part of the site until all pre-construction

mitigation required for archaeological features in that part of the Site has been completed. All

works relating to Identified Archaeological Remains shall be completed by the Contractor as

soon as reasonably possible and, in any event, prior to the construction of any section of the

works affecting or likely to affect it, unless a Watching Brief is the relevant mitigation measure.

1.4.9 The Contractor shall ensure that the Contractor’s Archaeologist has unrestricted access to the

Site and the Contractor shall implement the recommendations of the Contractor’s

Archaeologist in relation to archaeological surveys, protection, inspections and/or instructions.

Discovered Archaeological and Cultural Heritage Remains

1.4.10 Where Archaeological and Cultural Heritage Remains are identified within any part of the Site

and Adjacent Areas other than the Identified Archaeological and Cultural Heritage Remains

whether as a result of the carrying out of the Watching Brief or otherwise, the Contractor shall

immediately protect them (the “Discovered Archaeological and Cultural Heritage Remains”)

from damage and delineate them in such manner as to ensure that they are clearly visible to

any persons carrying out the works.

1.4.11 The Contractor shall inform CADW and the Project Manager of the discovered Archaeological

and Cultural Heritage Remains. The Contractor shall agree with CADW further archaeological

works to mitigate the effect of the works on the discovered archaeological and cultural

heritage remains and implement the agreed mitigation measures.

1.4.12 All Discovered Archaeological and Cultural Heritage Remains shall be recorded by the

Contractor in plan by means of an instrument survey and investigated by hand excavation to

such extent as is necessary to confirm their archaeological nature and to evaluate their

importance. Such plans shall be to 1:1000 scale (or larger if necessary to delineate the

Discovered Archaeological and Cultural Heritage Remains clearly) and shall show, as a

minimum, the location of the Discovered Archaeological and Cultural Heritage Remains, the

boundaries of the relevant parts of the Site and Adjacent Areas within which the Discovered

Archaeological and Cultural Heritage Remains are located, the extent of the areas stripped,

the site grid and the Chainage at 100 metre intervals. As soon as reasonably practicable after

identifying the Discovered Archaeological and Cultural Heritage Remains (and in any event

within five days of such identification), the Contractor shall submit the plans referred to above

in the form of a further Archaeological Report, to the Project Manager together with the

following:

an outline written description of the Discovered Archaeological and Cultural Heritage

Remains



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proposals for the further investigation and recording of such Discovered Archaeological and

Cultural Heritage Remains to mitigate the effect of the works on the Discovered

Archaeological and Cultural Heritage Remains

Human Remains

1.4.13 Any Human remains discovered during the Archaeological Fieldwork shall be left in place and

if removal is necessary, this shall be carried out by the Contractor under a Burial Licence

obtained from the Home Office.

Treasure

1.4.14 Under the Treasure Act 1996 “treasure” can be summarised as any object other than a coin

containing at least 10% gold or silver and at least 300 years old, coins found together which

contain 10% gold or silver (but not single coins) and groups of at least 10 coins of other

metals, provided they are at least 300 years old, any object found associated with treasure

except unworked natural objects, any object which would have been Treasure Trove before

the 1996 Act but not covered above.

1.4.15 Any finds made that are identified under this Act shall be reported by the Contractor to the

appropriate Coroner within 14 days after the day on which the Contractor made the discovery

or within 14 days after the day on which the Contractor realised the find might be treasure.

Assessment, Analysis, Archiving and Publication

1.4.16 The Contractor shall set out in the Archaeological Design a proposed post excavation

programme and list of works for the assessment, analysis, reports, publication and archiving

of the results of the archaeological works.

1.4.17 The Contractor shall, as soon as possible after the completion of the Archaeological works

procure the deposition and long term storage of each of the archives in a museum or other

appropriate repository and advise CADW.

1.4.18 The Contractor shall, within two years of the completion of all fieldwork, undertake the post

excavation activities. The Contractor shall prepare the Academic Report and the Popular

Report and procure the publication of the same. Publication shall take the form of an

Academic Report and a Popular Report.

1.5 Noise and Vibration

1.5.1 The Contractor shall make any necessary application(s) to all relevant Local Authorities, under

Section 61 of the Control of Pollution Act 1974, and obtain consent(s) to undertake the works.

Application(s) shall be made at least 28 days before commencement of any activity or works,



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which may cause noise and vibration disturbance. The application(s) shall include the

Contractor’s proposals for minimising noise and vibration from the construction works to the

level(s) agreed with the Local Authority. The Contractor shall comply with the terms of the

consent(s) obtained.

1.5.2 The Contractor shall undertake an assessment of the existing level of traffic noise, in terms of

the dB LA10,18hr and of the levels of traffic noise that are predicted within 15 years, on any

dwellings located within 300m from the new, altered or extended road, both during construction

and operation. The Contractor shall supply the results of the assessment and predictions to the

Project Manager for the purposes of assessing the need to provide grants for noise insulation to

such properties under the Noise Insulation (Amendment) Regulations 1988.

1.6 Waste Management and Material Resources

1.6.1 The Contractor shall work towards the Welsh Governments Construction and Demolition Waste

targets, which include:

90% target (by weight) for recycling and re-use of non-hazardous construction and

demolition waste by 2019-20

75% target for diverting waste away from landfill by 2019-20

1.6.2 The Contractor shall work towards the Welsh Governments Construction and Demolition Waste

priorities for reuse, recycling and landfill reduction, which include:

Reusing and recycling packaging waste

Reducing the landfilling of biodegradable wastes

Reducing waste arisings and increasing recycling of the following priority wastes: Wood,

Plastic, Metal, Insulation & Gypsum and Hazardous Waste

Reducing the quantity of waste to landfill towards zero

1.6.3 The Contractor shall work towards the following targets and requirements:

recover a minimum of 70% of construction materials and packaging

recover a minimum of 80% of demolition and strip-out materials

ensure that at least 15% of total material value derives from reused and recycled

content in new build, select the top opportunities to exceed this figure without increasing

the cost of materials, and report actual performance.

1.6.4 The Contractor shall include within the CEMP a Site Waste Management Plan (SWMP) which

shall set out proposals for the identification, segregation, handling and storage of different types

of wastes identified as arising from the works. These wastes (by quantity/type/chemical

composition/EWC code, etc.) shall be recorded and their pre-treatment and disposal route,

including the place of their final disposal shall be reported in the CEMP.



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1.6.5 The Contractor shall include within the CEMP a Materials Management Plan (MMP). This shall

be based on an appropriate risk assessment.

1.6.6 The Contractor shall ensure that materials are treated and used as set out in the MMP. At the

completion of works, the Contractor shall provide evidence that materials have been treated and

used in an acceptable manner through the preparation of a Verification Report and, if requested,

provide this to the NRW.

1.6.7 The Contractor shall, where waste exemptions apply, use suitable waste in construction instead

of using virgin raw materials. This shall be carried out in accordance with National Resources

Wales guidance The Contractor shall be responsible for undertaking all the necessary Waste

Acceptance Criteria sampling and chemical analysis and shall record and report all results of

this exercise. All waste transfer notes and other relevant records shall be maintained in

accordance with the relevant regulations and shall be made available to Welsh Government and

their advisors.

1.7 Contaminated Land

1.7.1 The Contractor shall be responsible for the identification of contaminated land (including

invasive non-native species) on or adjacent to the Site. Contaminated land is defined by Part IIA

of the Environmental Protection Act 1990, which was extended to cover radioactivity by the

Radioactive Contaminated Land (modification of enactments) (Wales) (Amendment)

Regulations 2008. In the event that the Contractor discovers areas of possible contaminated

land on the Site, they shall advise the Local Authority and the NRW and carry out all necessary

procedures.

1.7.2 In addition to the procedures outlined in 1.6 Waste Management and Material Resources, the

Contractor shall apply and comply with all relevant National Resources Wales processes and

procedures for the management of land contamination.

1.7.3 If the presence of contaminated land is confirmed and contaminated materials are identified and

classified, the Contractor shall submit proposals for dealing with the material to the Local

Authority and the NRW for consent, licence, or approval, as appropriate and comply with their

requirements. They shall be responsible for the remediation and/or disposal of contaminated

material encountered within the works. The Contractor shall include details within the MMP

contained in the CEMP – see Appendix D/3

1.7.4 The Contractor shall carry out all necessary desk studies of published data and historic records

and shall carry out sufficient survey work, intrusive and non-intrusive, including the chemical

analysis of samples of soil, groundwater, surface waters and soil gases etc. as necessary to

determine the type and spatial distribution of contamination. The Contractor shall propose an

appropriate methodology to manage any areas of contaminated land that may be disturbed or in



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any way affected by the works in the CEMP. These measures shall meet the requirements of

the Local Authority, the NRW and those of Welsh Government.

1.7.5 The Contractor shall prepare a risk assessment to demonstrate that the works will have no

detrimental effect on any residual contamination within or adjacent to the Site and to assess the

risk from residual contamination within or adjacent to the Site.

1.8 Water Environment

Groundwater

1.8.1 The Contractor shall identify or verify the extent and status of all groundwaters in and under land

used for the works, including any temporary works and land used for the extraction or deposition

of materials and land adjoining the land used for the works. The Contractor shall identify or verify

the extent and categories of source protection zones for abstraction sources for public potable

water supplies within this land and any controlled water which is designated or protected by

ecological or any other reason.

1.8.2 For discharges to ground, treatment and protection measures shall be designed by the

Contractor to provide adequate protection against the effects of both routine runoff and the risk

of spillages during both the construction and operation of the works. Formal authorisations are

not required for the discharge of highway runoff to ground but the Contractor shall obtain the

agreement of the NRW to such discharges and the treatment measures required. The

Contractor shall put forward proposals setting out how pollution of controlled waters will be

prevented during construction and shall give particular attention to surface water run-off, the

storage, handling and use of fuel oils and other chemicals during construction.

1.8.3 The Contractor shall carry out such studies as are necessary to identify elements of the works

which may have adverse effects on groundwater and in particular any impacts on water supplies

including private water supplies from wells or springs as well as permitted or licensed

abstractions. The Contractor shall consult the NRW to determine whether there is any known

and pre-existing groundwater contamination. The Contractor shall consider the impacts of any

change in the groundwater regime on any pre-existing contamination. The Contractor shall

consult with the NRW and obtain the agreement of the NRW to measures to mitigate the effects

on groundwater flows of the excavation of cuttings and other earthworks.

1.8.4 The Contractor shall obtain the agreement of the NRW to special measures to be taken within

source protection zones in respect of the excavation and deposition of the materials, the siting of

Contractor’s facilities and measures to prevent the spillage of potential pollutants.

Surface Water



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1.8.5 All necessary measures shall be provided by the Contractor to comply with the Water

Framework Directive and to ensure that discharges from the construction and operation of the

works do not prejudice the achievement of water quality objectives for the receiving waters or

have an adverse impact on any controlled water and related habitat. Particular attention shall be

paid to discharges upstream, and within the critical travel time, of abstractions for public water

supply. The Contractor shall put in place and be responsible for maintaining all necessary

measures needed to provide adequate protection against the effects of both runoff and the

spillage of fuels or other chemicals or deleterious materials during construction. Discharge flow

rates shall be limited as agreed with the NRW both to prevent flooding and to prevent local

damage to receiving waters by erosion or the deposition of sediments.

1.8.6 Discharge consents are not required for the discharge of highway runoff to surface waters, but

the Contractor shall obtain the agreement of the NRW to such discharges and the treatment

measures required. The Contractor shall obtain consents for the construction of outfalls to

surface waters from the NRW.

1.9 Access to Environmental Barriers

1.9.1 The Contractor shall provide access between environmental barriers and the highway boundary

sufficient for maintenance operations.

1.10 Environmental Licences and Consents

1.10.1 The Contractor shall have applied for the licenses and consents from the relevant organisations;

however, if potential damage to any of these environmental issues becomes evident during

construction, the Contractor shall prepare method statements and adopt best practice when

dealing with this type of emergency. The Contractor shall approach the relevant organisation to

provide advice or agree a way forward before the works are carried out, or, if this is impractical, as

soon as possible after the event. Correspondence should be exchanged between the Contractor

and the relevant organisation with the Employer copied in on all communication. The Contractor

shall restore any features damaged to their former condition.

Consents in Relation to SSSI – Consent Process

1.10.2 The Contractor shall consider any SSSI’s in the survey and design work and agree any

requirements with NRW through the ELG or separately, before publication of any required draft

Orders and ES.

1.10.3 The Contractor shall prepare any consent applications and submit it to NRW. A 28 day period

must be allowed for NRW to consider whether to assent to the works or not. As NRW may reply

with further requirements or conditions, time must also be allowed for any changes to the design of

the works as a result of NRWs response. If NRW does not reply within that time period it is

considered that NRW does not assent to the work. If NRW does not assent, and the decision is

taken that the works must proceed, the Employer should write formally to NRW giving four weeks



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notice of the decision to go ahead with the works, along with how NRW’s advice, if at all, has been

taken into account. NRW may then, if it still does not agree, decide to refer the situation to the

Welsh Government.

UK and European Protected Species and Consents Treatment during Construction

1.10.4 Where protected species become evident during construction, the Contractor shall adopt best

practice with dealing with this type of situation. The Contractor shall approach NRW to provide

advice or agree a way forward before the works are carried out, or, if this is impractical, as soon as

possible after the event. Correspondence should be exchanged between the Contractor and

NRW, and the Employer copied in on all communication. The Contractor shall restore any

damaged features to their former condition to assist with the recovery of the species affected.

Carbon Management and Accounting

1.10.5 The Contractor shall provide to the Employer an up-to-date inventory of all energy consuming

network assets to enable an estimate of energy consumption through electrical, gas and bulk

supplies during operation to be calculated. This shall include items such as street lights, lit signs,

electronic signing, Intelligent Transport Systems (ITS), traffic lights, illuminated bollards and

generators.

1.10.6 The inventory shall include an indicative annual operational carbon footprint to the Employer of all

energy consuming network assets. The annual energy estimated consumption shall be provided

in kWh and the associated carbon footprint calculated in CO2e.

1.10.7 New lighting schemes and ITS shall only be installed where they are proven to be beneficial and

required. Equipment used shall be the most energy efficient and economically viable available and

shall have reduced ongoing maintenance requirements.



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D/2 ENVIRONMENTAL MANAGEMENT SYSTEM

2.1 The Contractor shall operate a scheme specific Environmental Management System (EMS) in

compliance with BS EN ISO 14001 and ISO 14004, and the requirements of Volume 10 of the

DMRB.

2.2 The EMS shall be founded upon an Environmental Policy that:

is appropriate to the Project

contains commitments to continual improvement, sustainable construction objectives

(see Appendix D/5), prevention of pollution and waste, compliance with legislation and

the requirements of Statutory Environmental Bodies

contains a framework for setting and reviewing objectives and targets

includes a monitoring and review process that audits and reports on compliance (see

Appendix D/4)

provides the basis for the future operation and maintenance of the completed scheme

2.2.1 The EMS shall be documented and communicated to all employees, including sub-Contractors,

through structured training procedures and shall be available to the public.

2.3 Planning

2.3.1 The Contractor shall establish and maintain procedures in the CEMP to identify any works that

are likely to have a significant environmental impact. The Contractor is to identify Environmental

hold points at which construction work shall cease until the Environmental Co-ordinator agrees

that work can proceed.

2.3.2 The Contractor shall identify all relevant legislation and requirements and shall regularly

update this information.

2.3.3 The Contractor shall document and maintain environmental objectives and targets with

programmes for their achievement in the ROC, which forms part of the CEMP. The objectives

and targets shall take into account:

legal, policy and other requirements

technological, financial, operational and business issues

environmental licences and consents

commitments in the ES and SIAA

the environmental significance of the impacts

Formatted: Space After: 1.2 line, Tab stops: Not at 3.17cm



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2.3.4 All updated information shall be brought to the immediate attention of the Project Manager by

the Environmental Co-ordinator and reported through updates in the CEMP.

2.4 Implementation and Operation

2.4.1 The EMS shall define and document individual roles and responsibilities and set out procedures

for communications within the Contractor’s and the Designer’s staff.

2.4.2The Contractor shall identify and provide environmental training for all staff.

2.4.3 The Contractor shall make their staff, and those of their sub-Contractors and suppliers, aware of:

the importance of conformance with the EMS

the significant environmental impacts, actual or potential, of their work activities and the

environmental benefits of improved personal performance

their roles and responsibilities in meeting the requirements of the EMS including remedial

and emergency procedures

the potential consequences of departure from operating procedures

environmental hold points at which construction work shall cease until the Environmental

Co-ordinator agrees that work can proceed

2.4.4 The EMS shall conform with and be subject to the requirements of both the Contractor’s and the

Designer’s Quality Management Systems.

2.4.5 The Contractor shall prepare statements for the methods and controls they propose to employ to

satisfy the requirement to safeguard the environment, comply with all environmental

commitments and mitigate the effects of the works. The method statements shall form part of

the CEMP.

2.4.6 The EMS (via the CEMP) should set out the proposed monitoring programme and maintenance

actions proposed to ensure that the principles of the environmental measures are maintained.

2.4.7 The Contractor shall establish and maintain environmental records relevant to the works

including training, audits and reviews.



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2.5 Monitoring, auditing and corrective action

2.5.1 The Contractor shall monitor, measure and record their environmental performance and

conformance with the EMS, in terms of its objectives and targets and relevant legislation, policy

and other requirements.

2.5.2 The monitoring shall establish:

the extent to which each of the objectives of the EMS were met

whether the EMS was successful and what improvements could have been

implemented

2.5.3 The EMS shall contain procedures for checking, auditing and corrective action. These shall

include regular meetings, internal and external audits to review the operation and effectiveness

of the EMS and auditing of the effectiveness of environment training of staff. The results shall be

reported to the Project Manager.

2.5.4 In the event of any non-compliance the Contractor shall immediately on its detection inform the

Project Manager of the occurrence and their proposals for corrective action. The Contractor shall

review and amend their procedures to minimise the risk of further non compliances and re-

submit them to the Project Manager and others as required.



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D/3CONSTRUCTION ENVIRONMENTAL MANAGEMENT PLAN (CEMP)

3.1 Introduction

3.1.1 The Contractor shall prepare the CEMP statements for the methods and controls they propose

to employ to safeguard the environment and mitigate the effects of the works and its

construction which shall include the commitments given in the following:

ES

SIAA (if required)

Relevant licences and consents

Strategic Habitats Regulations Assessment (SHRA) and Strategic Environmental

Assessment (SEA) of the National Transport Plan

3.1.2 These statements shall be submitted by the Contractor in the form of a CEMP.

3.1.3 The method statements must fulfil licence and consent requirements.

3.1.4 All Method Statements shall be submitted to the Project Manager by the Contractor, and

agreed with the Statutory Environmental Bodies as appropriate.

3.1.5 The CEMP shall meet the requirements of ISO 14001 and comply with the Contractor’s EMS

or Quality Assurance systems for delivering projects.

3.1.6 The Contractor shall commence compilation of the CEMP during KS3. During KS3 and KS4,

this document shall be known as the Pre-Construction Environmental Management Plan (Pre-

CEMP). The KS6 CEMP shall be a development of the Pre-CEMP.

3.1.7 The Contractor shall retain an electronic copy of the CEMP on site for update, review and

finalisation. The Contractor shall back up this electronic copy and make it available on an

appropriate internet based project management system for use by the Contractor’s design and

construction teams, to highlight environmental issues and help avoid or mitigate any significant

adverse impacts.

3.1.8 The CEMP shall:

record and deliver the environmental commitments, objectives and targets recorded in

the ROC, in a way that allows transparent monitoring and auditing of a project’s

environmental performance by the Contractor and the Employer, during KS3, KS4 and

KS6

be a live document for use by the Contractor, providing an environmental checklist

and compliance toolkit during planning, design and construction



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identify the project management structure and clearly identify the roles and

responsibilities with regard to managing and reporting on the construction phase

environmental aspects

a means of establishing a check list of measures which must be integrated within the

overall environmental management system

will be incorporated into the Contractor’s individual EMS, which will include

procedures for change control and for ensuring all copies in circulation are kept up to

date

demonstrate the Contractor’s ability to properly integrate the construction activities

with the requirements of environmental legislation, policy, guidance and

environmental regulatory authorities and third parties

detail how sensitive areas of the site are to be protected during the design,

construction, maintenance and monitoring of the works

include procedures for dealing with emergencies and non-compliances and

communication of these to the relevant Statutory Environmental Bodies

describe the Contractor’s proposals for ensuring that the Environmental Functions and

the corresponding Landscape and Environmental Elements attributed to each

Environmental Area are achieved, or are in the process of being achieved, during the

Contract Period

provide proposals for the survey, assessment and management of retained vegetation

through the construction phase

achieve the management objectives as stated in DMRB Volume 10

feed into the CEEQUAL assessment

3.1.9 The CEMP shall include:

Pre-CEMP

ROC

Design mitigation requirements

Method statements

‘Ghost’ licences included in the ES

Consent applications included in the ES

Timing of the works

Environmental Proposal Plans

Environmental Action Plans (see next clause)

Additional survey requirements

Site supervision requirements

Environmental protection measures

Proposals for special measures such as translocation or habitat creation

AA Compensatory Measures (if appropriate)

Monitoring and reporting procedures



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Consultation and liaison mechanisms

Review and update procedures

Arrangements for consultation with statutory authorities; non-statutory authorities;

interest groups and the public, and for co-ordination of these activities with the Project

Manager as appropriate

Environmental hold points at which construction work shall cease until the

Environmental Co-ordinator agrees that work can proceed

3.1.10 The Contractor shall be responsible for developing specific Environmental Action Plans for

inclusion in the CEMP. These Action Plans will detail the measures required to reduce the

potential for impacts on sensitive environmental features and will provide control procedures to

all staff on dealing with environmental issues during the construction phase. These shall

include the following:

Site Waste Management Plan (see clause 3.2); Materials Management Plan (see

clause 3.3)

Pollution Control and Contingency Plan (see clause 3.4)

Environmental Landscape and Ecology Aftercare and Management Plan (see clause

3.5)

Cultural Heritage Management Plan (see clause 3.6)

Noise and Vibration Management Plan (if appropriate)

Maintenance Environmental Management Plan (MEMP) (see clause 3.7)

3.1.11 In implementing the CEMP the Contractor shall provide details of how they intend to manage

the environmental aspects of the works, in terms of personnel and the specialist advice, which

they will require e.g. an ecologist, a landscape architect, an arboriculturalist, an archaeologist

etc.

3.1.12 The Contractor shall record how they are meeting the CEMP objectives with a continual

review and update of the CEMP document which shall be reported to the Project Manager by

the Environmental Co-ordinator.

3.1.13 There shall be two copies of the CEMP, one to be held on site and the other off site. Both

copies are to be kept up to date with daily site record details, meeting notes, consents,

correspondence etc. At the end of the contract period the completed CEMP is to be handed

over to the Employer.

3.1.14 The CEMP shall include, method statements, procedures or plans for undertaking the

Construction and five year Environmental Landscape and Ecological Aftercare period These

shall include measures agreed with NRW and other statutory/non-statutory organisations.



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3.2 Site Waste Management Plan

3.2.1 The Contractor shall develop a SWMP that not only meets any minimum regulatory

requirements but exceeds these requirements by setting project-specific targets for waste

reduction and recovery and measuring performance.

3.2.2 The SWMP shall identify types of waste arising from the works together with appropriate

handling and disposal procedures. It shall include appropriate procedures for documentation

and record keeping in relation to the identification and transfer of wastes from the works, and

shall include a record of the sources of disposed materials.

3.2.3 The Contractor shall agree with the Employer, targets for reducing waste arising from the use

of the following materials that are considered to significantly reduce the ecological footprint

within the Construction and Demolition sector: Wood, Plastic, Metal, Insulation & Gypsum and

Hazardous Waste.

3.2.4 The Contractor shall have a nominated person that shall have practical responsibility for

ensuring that all waste documentation is complete and submitted as appropriate.

3.2.5 The Contractor shall prepare the SWMP alongside detailed design and submit the initial

SWMP to the Employer prior to work starting on site.

3.2.6 The SWMP shall include the following as a minimum:

Basic details (location of project, names of those involved etc)

Identity of “nominated contact”

Identity of “waste champion” to raise profile of waste management on a project

Initial estimates of waste and how it will be managed

Reasoned justification for waste management decisions

Evidence of updates after project commences – the plan must be kept up to date, with

updates not less than every six months – more often if there are significant changes

Actuals - actual waste arisings

Reasons for difference from initial plan

Lessons learned - evidence of having reviewed the plan at the close of the project to

consider how waste management practice could be improved



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3.2.8 The SWMP shall clearly identifying the following information:

the estimated total mass of waste and the estimated recovery rate before mitigating

actions, with a list of actions to reduce waste and increase the level of recovery

(distinguishing construction, demolition/strip-out and excavation wastes as

appropriate)

a revised estimate of the total mass of waste and the estimated recovery rate after

mitigating actions, and forecast performance indicators for:

tonnes of waste to landfill per £100k construction value

tonnes of waste per £100k construction value

3.2.9 The Contractor shall ensure that the SWMP is put into effect on site and will have

responsibility for maintaining and updating the plan, and keeping all necessary records, and

may be subject to regulatory action if they fail to undertake the necessary work.

3.2.10 The Contractor shall maintain and monitor the SWMP once work commences on site,

updating it with actual information relating to the waste managed. Failure to keep the plan up

to date will be a breach of the contract.

3.2.11 Throughout the lifetime of the project, the nominated person responsible for the SWMP shall

take reasonable steps to keep it up to date. Failure to keep the plan up to date will be a breach

of the contract. There are two elements to this requirement:

The actual waste arisings must be recorded on the plan at regular intervals

If there are significant changes, the plan must be updated to reflect the new position.

This will include changes in the expected amount of waste, how it will be managed, or

the persons occupying any of the key roles. The reasons for any changes should be

recorded on the plan.

3.2.12 The SWMP should be a living document. However, in order to avoid disproportionality, a

maximum permitted interval (six months) between updates to reflect actuals and changes will

be permitted.

3.2.13 The Contractor shall submit to the Employer, an electronic copy of the final SWMP, on

completion of the Project.



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3.3 Materials Management Plan

3.3.1 A MMP must be produced that documents how all of the materials to be excavated are to be

dealt with. The Contractor shall follow the MMP throughout the execution of the works.

3.3.2 All materials subject to excavation, disposal, treatment and/or reuse must be tracked

throughout and evidence generated to provide an auditable trail.

3.3.3 The MMP must be produced prior to excavation, and shall provide:

Details of the parties that will be involved with the implementation of the MMP

A description of the materials in terms of potential use and relative quantities of each

category

The specification for use of materials against which proposed materials will be

assessed, underpinned by an appropriate risk assessment related to the place where

they are to be used

Details of where and, if appropriate, how these materials will be stored

Details of the intended final destination and use of these materials

Details of how these materials are to be tracked

Contingency arrangements that must be put in place prior to movement of these

materials

Verification Plan

3.3.4 The Contractor should obtain further details on the MMP (such as a template, tracking system

and verification plan) through The Definition of Waste: Development Industry Code of Practice,

Version 2, March 2011, available to download on the CL:AIRE website (www.claire.co.uk/cop).

3.4 Pollution Control and Contingency Plan

3.4.1 The CEMP shall include a Pollution Control and Contingency Plan. The plan shall include,

without limitation, the following:

identification and categorisation of surface waters vulnerable to site works and an

assessment of the earthworks that are likely to give rise to sediment-laden run-off, the

routes this is likely to take and the methods to prevent damage from silt

fuel handling (including oil) precautions during the works, in particular, near rivers,

streams and watercourses

incident notification procedures involving both the Project Manager and relevant third

parties (such as Statutory Environmental Bodies, LA’s, Police & etc.)

procedures for notifying local residents of works which may cause a nuisance

procedures for investigating environmental incidents and proposals for improving

environmental performance



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requirements for pollution control equipment

procedures for control of mud and dust and the frequency for road cleaning and dust

suppression required at different times of the year

procedures for protection of ground water including water supply boreholes and wells

the measures to be taken to protect watercourses and associated wildlife including

spillages and sediment-laden run-off

performance standards for site run-off

An agreed procedure for the resolution of conflicting issues e.g. where police

requirements conflict with pollution protection measures

3.5 Environmental Landscape and Ecology Aftercare and Management Plan

3.5.1 The CEMP shall include an Environmental Landscape and Ecology Aftercare and

Management Plan to be implemented by the Contractor for five years following the completion

of Environmental Design Works. The plan shall include, without limitation, the following:

protection, management and maintenance of existing retained vegetation

protection, management and maintenance of new planting, and seeding

protection, management and maintenance of ecological measures, including habitat

and species protection measures

habitat creation areas

details of areas where Japanese Knotweed or other pernicious weeds may be buried

for monitoring purposes

summary schedule of activities and monitoring required including timetable

procedure for monitoring compliance

procedures for reporting on completion and establishment of measures during the

aftercare period e.g. reporting programme, site inspections, involvement of TRA,

reporting on success and establishment.

3.5.2 On completion of the five year Environmental, Landscape and Ecological Aftercare and

Management period the Contractor shall arrange a formal inspection of the works with the

Project Manager, the Employer, the TRA or Service Provider and the Local Authority. They

shall also arrange inspection of any areas of off site planting with relevant landowners. They

shall undertake all works arising out of these inspections prior to applying for completion.

3.5.3 Where the Contractor intends to carry out any thinning, coppicing or works to mature trees

which screen the route from adjacent properties, the Contractor shall take all necessary

measures to give reasonable prior notice to persons who may be affected by such operations.

The notice shall set out the nature of the operations and the times at which they are to be

carried out.



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3.5.4 Any thinning, coppicing or works to mature trees which screen the route from adjacent

properties shall be phased to ensure that the route continues to be screened from the relevant

adjacent properties wherever possible during and after such operations.

3.6 Cultural Heritage Management Plan

3.6.1 The Contractor shall prepare a Cultural Heritage Management Plan. The plan shall include,

without limitation, the following:

procedures for advance works, if required

procedures for watching brief

protection of archaeological features

phasing of archaeological activities on site

production of archaeological reports

3.7 Maintenance Environmental Management Plan (MEMP)

3.7.1 The Contractor shall prepare a MEMP setting out a proposed strategy for the future

maintenance and management of all Environmental Areas (including landscape and

ecological areas) for the 10-year period commencing at the issue of the Maintenance

Certificate. The MEMP shall be agreed with the TRA and submitted to the Employer six weeks

before the issue of the environmental, landscape and ecology aftercare and management

certificate.

3.7.2 The MEMP shall:

Identify and describe how the Environmental Functions and corresponding Landscape

and Environmental Elements attributed to each individual plot will be achieved, within

the 10 year period of the MEMP and with any 20 year objectives

include a record of the previous maintenance operations and management systems

undertaken during the preceding five year maintenance period, together with any

problems encountered and recommendations for remediation. This shall include the

location and treatment of any items encountered which could possibly become a

maintenance problem in the future such as soft areas, buried watercourses, buried

Japanese Knotweed, contaminated ground.

Link to other adjacent 10 year MEMPs, if any

3.7.3 The MEMP shall include, but shall not be limited to, the following:

strategies for the regular maintenance of all Environmental Areas

a timetable for the implementation of each regular maintenance operation during a

typical 12 month period, together with an overall 10 year timetable showing any



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variation to the regular maintenance tasks during the period of the MEMP and with

any 20 year objectives

a timetable showing the anticipated date at which the Environmental Function

attributed to each Environmental Area will be achieved during the 20 year period of

the MEMP. (Note: This shall include the date at which any existing Environmental

Area has already achieved its Environmental Function during the Contract Period,

together with any additional performance criteria over and above that contained within

the relevant section of DMRB Volume 10)

a timetable showing the regular monitoring requirements for each Environmental

Area, including those in relation to habitats and species and/or water quality, as

agreed with the relevant Statutory and Non-Statutory bodies, i.e. NRW

any supporting information as considered appropriate by the Contractor including

agreements made with third parties, (copy correspondence to be included)

conclusions of the Environmental Performance Reports (see Appendix D/4)

3.7.4 The MEMP shall form part of a package of information that will be transferred to the

Employer’s appointed Managing Agent. This shall include, but shall not be limited to, the

following:

Relevant CEMP sections

Environmental Statement

Baseline studies as appropriate

ROC that Network Operations are expected to meet as part of the maintenance

regime

Recommendations for ongoing maintenance and monitoring

Assessment of Implications on European Sites

Licences and consents

As built drawings showing areas planted or created, including species mix/density of

planting

Key Performance Indicators

3.7.5 The MEMP shall be concise and cross-referenced to other relevant records, in particular to as

built drawings. It shall be in one volume complete with numbered pages, a list or contents, and

numbered appendices and in electronic format compatible with other scheme information.

3.7.6 The Contractor shall provide an environmental database in EnvIS compatible format (GIS

based, format to be agreed with the TRA at the end of the five year aftercare period, for issue

to the Project Manager and TRA.



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3.8 Checking/Auditing and Corrective Action

3.8.1 The Contractor shall monitor, measure and review the environmental performance project

against the commitments, objectives and targets/key performance indicators identified in the

Contractor’s CEMP (contained in the ROC). The CEMP shall contain procedures for checking,

auditing and corrective action. These shall include regular meetings, internal and external

audits to review the operation and effectiveness of the CEMP. The results shall be reported to

the Project Manager by the Environmental Co-ordinator at the monthly progress meetings.

3.8.2 In the event of any non-compliance the Contractor shall immediately, on its detection, inform

the Project Manager of the occurrence and their proposals for corrective action. The

Contractor shall review and amend their procedures to minimise the risk of further non

compliances and re-submit them to the Project Manager and others as required prior to

carrying out any further affected works.

3.8.3 At the beginning of the maintenance period or before completion and handover for use, the

Contractor should confirm with the Employer that all commitments listed in the ROC, other

than those relating to maintenance, have been actioned or, if not, reasons submitted with a

proposal for implementation for approval by the Employer.



Version 10 D28

D/4 ENVIRONMENTAL MONITORING AND REPORTING

4.1 Environmental Monitoring

4.1.1 The Contractor shall monitor the environmental performance of the Project against the

commitments, objectives and targets identified in the Register of Environmental Commitments

(REC).

4.1.2 The Contractor shall undertake adequate survey and monitoring to:

determine if the environmental measures have achieved or are achieving their

intended purpose

identify successes, failures or weaknesses in the application of those measures

identify remedial measures required to achieve the environmental requirements

what further environmental measures the Contractor needs to take to comply with the

environmental requirements in the REC

enable the Contractor to produce the environmental progress and performance

reports required under the Contract

meet the monitoring requirements of the National Transport Plan, including the SEA

and SHRA

4.1.3 The monitoring data collected shall be recorded and analysed on a systematic basis in order

to:

Monitor the performance in respect of achieving the requirements of the

Environmental Statement, the AIES and any licences or consents (if relevant)

to assist in the forward planning of maintenance work in respect of Environmental

Areas

4.1.4 The Contractor shall monitor the performance of the completed environmental measures

during Construction and the Environmental, Landscape and Ecology Aftercare and

Management period in accordance with the monitoring proposals set out in the EMS produced

at KS3. The monitoring proposals shall be developed by the Contractor in consultation with

the appropriate Statutory Environmental Bodies and the Employer.

4.1.5 Following each monitoring visit, the Contractor shall submit to the Project Manager a report

summarising the survey and monitoring undertaken and covering the items detailed above.

These shall be summarised in annual Environmental Monitoring Reports (During

Construction), Environmental Performance Reports (Post Construction) and then a Handover

Environmental Performance Report at the end of the five year aftercare period. The Handover

Environmental Performance Report will inform the maintenance and management programme

for the period covered by the MEMP.



Version 10 D29

4.1.6 The Contractor shall undertake adequate ecological surveys and monitoring to establish

whether ecological habitat creation identified in the ES and AIES has been successful and

whether species have returned following completion of the works.

4.1.7 The monitoring work shall include photographic records as necessary and meet the

requirements of the ES, the AIES and any licences or consents (if relevant). It shall include

the following:

Biannual monitoring of the effectiveness of the water quality, drainage, hydrology and

ground water measures. This shall include the results of quarterly monitoring of water

quality of surface waters (chemical and invertebrate monitoring) and groundwater (if

appropriate)

Annual monitoring of ecological mitigation measures

Annual botanical monitoring of any areas of habitat creation

Biannual monitoring of hard and soft landscape features and elements to assess

integration and establishment

In addition, the monitoring work shall include the elements listed in the table under clause

4.2.

4.1.8 The results of all monitoring shall be set out on drawings and schedules which shall include:

the condition, height and species composition of the plants and vegetation within

Environmental areas (where relevant)

the presence of any species and habitats within the Environmental Areas which are

protected by Law

Any special circumstances which may affect the management and maintenance of the

Environmental areas (including, without limitation, highway maintenance operations,

ground condition, aspect and slope)

4.1.9 The Contractor shall undertake consultations with the Project Manager, Statutory

Environmental Bodies and other interested parties on the performance of the mitigation

measures. The consultations shall identify measures or actions required to meet the design

objectives and commitments. These shall be implemented by the Contractor and where

appropriate carried forward into the MEMP.



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4.2 Environmental and Sustainable Construction Monitoring Requirements

Monitoring Element

Topic Data Source

Sustainable Construction Objective

Reason for Monitoring

Baseline Agreed Target Actual Comments Date

Materials required to build the project

Materials CEMP - Contractor

(5) Conserve resources and minimise waste

* National Transport Plan Monitoring

* Towards Zero Waste Monitoring

__ tonnes __ tonnes __ tonnes

Recycled or secondary materials used.






Imported Materials - Quantities of sustainable materials






Imported Materials - Quantities of non-sustainable materials






Proportion of construction materials used on scheme that are recycled/ secondary





__% __% __%

Proportion of materials used/

Materials Contractor No __ tonnes __ tonnes __ tonnes



Version 10 D31

Monitoring Element

Topic Data Source




sourced locally

Quantities of General Waste

Materials Contractor (5) Conserve resources and minimise waste



Tonnes (Based on No. of skips)



Quantities of Timber Waste







Quantities of Scrap Metal







Quantities of COSHH Waste







Quantities of Plastic Waste







Quantities of Insulation and Gypsum Wastes









Version 10 D32

Monitoring Element

Topic Data Source




Carbon generated by scheme – carbon footprint

Greenhouse gas emissions

(4) Adapt to and mitigate for climate change

* Environment Strategy

* Carbon Reduction

__tCO2e __tCO2e

Details of interventions that mitigate effects of climate change e.g. flood compensation storage

Impacts of climate change



Number of pollution incidents

Air pollution

Project/scheme level monitoring

(1) Protect and avoid pollution to water, air and land

National Air Quality Archive data

Volumes of soil conserved and reused

Geology and Soil




Volumes of soil lost or contaminated

Geology and Soil




Water consumption (e.g. for site compounds, wheel washing etc)

Water Project level data/ monitoring


Number of pollution incidents

Water Project level monitoring


* Water Framework Directive

National Resources Wales data or



Version 10 D33

Monitoring Element

Topic Data Source




EIA water quality samples

Number of discharges that meet/fail to meet standards

Water Project level monitoring


* Water Framework Directive

National Resources Wales data or EIA water quality samples

Scale of impact of discharges that fail to meet standards

Record or impact on cultural heritage

Cultural Heritage

Archaeological watching brief (if applicable)

(2) Promote and enhance landscape and cultural heritage


Desktop study from EIA

Archaeological Watching Brief Report

% complete Annual reporting on damage, protection, conservation and recording of effects on cultural heritage assets

Effects on designated sites

Biodiversity

Project level monitoring

3) Preserve, protect and enhance biodiversity


*TREBAP Monitoring

TREBAP monitoring reports, EIA surveys

Effects on species

Biodiversity


3) Preserve, protect and enhance biodiversity


*TREBAP Monitoring

TREBAP monitoring reports, EIA surveys

Effects on habitats

Biodiversity


(3) Preserve, protect and enhance biodiversity


*TREBAP Monitoring

TREBAP monitoring reports, EIA



Version 10 D34

Monitoring Element

Topic Data Source




surveys

Power consumption – Total

Energy Project level monitoring


* Carbon Reduction

*Environment Strategy

__kWh __kWh

Power consumption – Proportion sourced from renewable energy



* Carbon Reduction


__% __%

Fuel (petrol, diesel, oil etc)



* Carbon Reduction


Community severance from transport

Local residents.


(6) Minimise disturbance to people and the community

Delays to road users

Road users


(6) Minimise disturbance to people and the community



Version 10 D35

Environmental Reporting

4.2.1 All annual environmental reports shall be provided as a paper copy and electronically in two

formats – the source format (e.g. Word, Excel & etc.) and Portable Document Format (.pdf).

The reports shall include photographs, drawings, tables and schedules.

Monthly Progress Reports – Environmental Issues (During Construction)

4.2.2 Environmental issues shall be reported by the Contractor at the monthly progress meetings.

These shall include the following:

The results of environmental monitoring and surveys

The progress of environmental measures implemented to date

An updated Environmental and Sustainable Construction Monitoring Requirements

table

Aspects of environmental managements of the site

A record of liaison, consultation and visits to the site by Statutory Environmental

Bodies and other interested parties

Notification of any environmental/pollution incidents or non-compliances

Environmental Monitoring Reports (During Construction)

4.2.3 On each anniversary following the start of construction of the works, the Contractor shall

submit an Environmental Monitoring Report to the Project Manager and to the Employer. This

shall draw together the Environmental Issues recorded in the Monthly Progress Reports.

4.2.4 The report shall contain a statement about the principles, objectives and statutory

requirements of the environmental assessment and commitments given in the published ES

and SIAA, stating the procedures applied in terms of the EMS and ROC.

4.2.5 The report shall provide factual monitoring information collected during the construction phase.

It shall contain a summary of the detailed environmental design undertaken during the period,

a description of the mitigation measures implemented to date and their effectiveness, the

results of all environmental monitoring and surveys carried out, details of the environmental

managements of the site, a record of liaison, consultation and visits to the site by Statutory

Environmental Bodies and other interested parties and notification of any

environmental/pollution incidents or non-compliances.

4.2.6 The report shall contain an annual summary of the Environmental and Sustainable

Construction Monitoring Requirements table.

4.2.7 The report shall link to the original baseline and/or pre-construction surveys if appropriate.



Version 10 D36

4.2.8 The report shall describe in detail the results of the findings of the Contractor’s monitoring of

the performance of the environmental measures and their EMS.

4.2.9 In particular it shall identify any deficiencies in the mitigation measures undertaken and the

Contractor’s proposals/actions taken to rectify these, and proposals for how such deficiencies

could be avoided in future.

4.2.10 The report shall also identify where mitigation measures have been successful and include

copies of any related correspondence from environmental or other bodies.

4.2.11 For consistency, the reports shall be named “Environmental Monitoring Report 20## (year),

Construction Year # (1, 2, 3 etc.)”

Environmental Performance Reports (Post Construction)

4.2.12 On each anniversary of the completion of the works during the five year Environmental,

Landscape and Ecology Aftercare and Management period, the Contractor shall submit an

Environmental Performance Report to the Project Manager and to the Employer.

4.2.13 The report shall describe in detail the results and findings of the Contractor’s monitoring of the

performance of the environmental measures and their EMS.

4.2.14 In particular it shall identify any deficiencies in the mitigation measures undertaken and the

Contractor‘s proposals/actions taken to rectify and suggestions as to how such deficiencies

could be avoided in future.

4.2.15 The report shall also identify where mitigation measures have been successful and include

copies of any related correspondence from environmental or other bodies.

4.2.16 For consistency, the reports shall be named “Environmental Performance Report 20## (year),

Environmental, Landscape and Ecology Aftercare and Management Year # (1, 2, 3 etc.)”

Handover Environmental Performance Report

4.2.17 At the end of the Environmental, Landscape and Ecology Aftercare and Management period

the Contractor shall submit to the Project Manager and the Employer, duplicate copies of a

Handover Environmental Performance Report.

4.2.18 This report shall draw together the information provided in the Environmental Performance

Reports and conclude on the overall performance of the Environmental Management Plan.

4.2.19 In particular it shall include any measures necessary as part of a continuing maintenance

commitment and any undertakings given to the Statutory Environmental Bodies, adjoining

landowners and others.



Version 10 D37

4.2.20 The report shall form a supplementary part of the Health & Safety Files presented to the

Employer and will be included in the MEMP to be passed to the TRA at the end of the five

year Environmental, Landscape and Ecology Aftercare and Management period.



Version 10 D38

D/5 SUSTAINABLE DEVELOPMENT AND CONSTRUCTION

5.1.1 The Contractor shall build sustainable development in to each key stage of the Project to meet

the following sustainable construction objectives:

1. Protect and avoid pollution to water, air and land – to avoid, reduce and, if

possible, remedy adverse effects on water, air and land.

2. Promote and enhance landscape and cultural heritage – to avoid, reduce

and, if possible, remedy adverse effects on landscape and cultural heritage,

enhancing where possible.

3. Preserve, protect and enhance biodiversity – to avoid, reduce and remedy

adverse effects on biodiversity, enhancing where possible.

4. Adapt to and mitigate for climate change – to ensure resilience to the impacts

of climate change, and to reduce the contribution towards the causes of climate

change.

5. Conserve resources and minimise waste – to avoid, reduce, conserve and

optimise the use of natural resources, minimise waste and improve disposal

routes.

6. Minimise disturbance to people and the community – to avoid and reduce

impact upon local residents and road users.

5.1.2 The Contractor shall design the works and develop, practice and maintain working methods

that implement best sustainable construction procedures.

5.1.3 The Contractor shall indicate the level of compliance with the sustainable construction

objectives through reporting of the Environmental and Sustainable Construction Monitoring

Requirements in Appendix D/4.



Version 10 D39

D/6 ENVIRONMENTAL ROLES AND RESPONSIBILITIES

Environmental Co-ordinator 6.1.1 The Contractor's Environmental Co-ordinator shall have a prominent role in the project

delivery and co-ordinate the activities of the environmental specialists through the

Environmental Assessment process and be responsible for the production and update of:

The Environmental Statement

The Environmental Proposal Plans

The AIES (if appropriate)

Licences and consents (where relevant)

The CEMP including its ongoing review and update throughout the contract period

Environmental elements of the Register of Commitments

Environmental elements of the Specification for Highways Works Appendices

The MEMP

6.1.2 The Contractor's Environmental Co-ordinator shall be responsible for compiling and reporting

on sustainable construction objectives at progress meetings for audit by the Welsh

Government.

6.1.3 The Environmental Co-ordinator shall be responsible for co-ordination and attending as

necessary meetings and consultations relating to the environmental and sustainable

construction aspects of the works. These shall include:

Design meetings

The monthly employer progress meetings

Environmental Liaison Group meetings

Technical Working Group Meetings as appropriate

6.1.4 The Environmental Co-ordinator shall review the engineering design output to ensure all

environmental issues and commitments are addressed.

6.1.5 The Environmental Co-ordinator shall be responsible for undertaking Contractor's staff

induction courses on Environmental Matters.

6.1.6 The Environmental Co-ordinator and their specialists shall prepare and give evidence at any

Public Information Exhibitions for the scheme. The Environmental Co-ordinator shall be

responsible for ensuring that the commitments resulting from the statutory procedures are

included in the CEMP and detailed design.

6.1.7 The Environmental Co-ordinator shall ensure throughout KS 3, 4 and 6 of the Contract Period,

full integration between the engineering and environmental aspects of the design. This shall



Version 10 D40

involve acting as the coordinator and interface between:

the design team and environmental specialists during KS 3 and 4

the site team and environmental specialists during KS 6.

6.1.8 The Environmental Co-ordinator shall ensure throughout KS 3, 4 and 6 of the Contract Period,

adherence to environmental guidance and quality standards to ensure integration and

continuity. This shall be through the coordination and integration of the whole design and

construction process.

6.1.9 The Environmental Co-ordinator shall:

Be a full-time member of the Designers site staff. They shall spend at least one full (7.5

hour) day on site every week during KS 6 and shall be supported by the Environmental

Clerk of Works (ECOW)

Have the authority to direct members of the Contractor’s site staff on environmental

issues

Have the authority to halt works that they or the ECOW believes to be detrimental to the

environment, not in accordance with commitments made by the Welsh Government or

in contravention of any consents and licences granted for the purpose of undertaking

works within, adjacent or affecting environmental areas

Not be replaced except with the written approval of the Welsh Government

Be familiar with the process of highway design, construction, and supervision and have

an appropriate level of knowledge of good industry practice

Be responsible for the production of the CEMP and its continual update and also be

responsible for the handover of the MEMP to the TRA on completion of the aftercare

period.

Be responsible for the production of clear and concise Method Statements required to

meet licence conditions and requirements for European Protected Species, UK

Protected Species, Discharge Consents and other measures made to comply with

statutory provisions

Responsible for overseeing and auditing the implementation of the EMS, CEMP,

environmental mitigation measures and aftercare

Responsible for ensuring that adequate environmental training is provided for the

Contractor’s staff

Assist in the development and delivery of environmental training for site personnel and

subcontractors

Report on compliance with sustainable construction objectives, targets and records

Report on compliance and monitoring of commitments resulting from the statutory

procedures, including any from a Public Inquiry (if appropriate)

Ensure consistency and compliance with legislation, policy and guidance



Version 10 D41

Provide advice and liaise with the construction team to ensure that environmental risks

are identified and appropriate controls are developed and included within method

statements

Provide a schedule and procedures for monitoring and reporting

Provide an Environmental Monitoring Report for each year of construction and

Environmental Performance Report for each year of the aftercare period

6.1.10 The Environmental Co-ordinator shall be able to demonstrate an in depth understanding of the

relevant environmental legislation and requirements for consents and licences and the

constraints that they impose upon the operation and timing of works.

6.1.11 The Environmental Co-ordinator shall prepare a monthly progress report covering

environmental issues which shall be presented at monthly Progress Meetings during

construction (see Appendix D/4).

6.1.12 The Contractor shall provide 30 days notice of an intention to remove or substitute the

Environmental Co-ordinator, or any of the other members of the Environmental Team. The

Contractor shall provide a replacement Environmental Co-ordinator (or other member of the

Environmental Team as appropriate) who is/are acceptable to the Project Manager, prior to

the end of the 30 day period and shall ensure a proper scheme briefing is provided for

continuity.

Environmental Clerk of Works

6.1.13 The ECOW shall support the Environmental Co-ordinator during construction and after care.

They are the Environmental Coordinator’s representative on site and are responsible for

overseeing construction activities to ensure all environmental commitments are met and

compliance with the conditions of all licences and permits. They shall be a member of the

Designer’s site staff, be based on site full time and shall:

Have the authority to direct members of the Contractor’s site staff on environmental

issues

Not be replaced except with the written approval of the Welsh Government

Be familiar with the process of highway design, construction, and supervision

Be experienced in environmental site supervision and have an appropriate level of

knowledge of good industry practice

Undertake site inspections where necessary

Be responsible for ensuring all relevant licences, consents and method statements are

in place prior to construction activities

Be responsible for maintaining and updating the CEMP and the environmental elements

of the Register of Commitments



Version 10 D42

Shall promote awareness of the SWMP, identifying opportunities to improve waste

management on site and monitoring performance

Be responsible for overseeing and auditing the implementation of the CEMP and

environmental mitigation measures on site during KS6.

Be responsible for identifying training needs and providing environmental training

including inductions, tool box talks etc. for the Contractor’s site staff

Be able to demonstrate an understanding of the relevant environmental and ecological

legislation and requirements for consents and licences and the constraints that they

impose upon the operation and timing of works

Ensure consistency and compliance with legislation, policy and guidance during the

construction period

Monitor construction activities to ensure that identified and appropriate control measures

are effective and in compliance with the CEMP

Manage the environmental monitoring programme and review of the routine reports

Provide advice and assistance to site personnel on environmental matters

Undertake monitoring when required

Ensure correct procedures are followed in the event of an environmental incident

Assist the site foreman in maintaining environmental records

Dissemination of waste reduction and waste management procedures to all relevant

personnel on site

Site Foreman

6.1.14 The site foreman will report on environmental activities to the site environmental

representative and will be responsible for the following:

Implement and maintain environmental controls on site

Attend to any spills or environmental incident that may occur on site

Report any activity that has resulted, or has the potential to result, in an environmental

incident immediately to the site environmental representative / environmental manager

Complete daily environmental log

Maintain waste register and ensure correct waste management procedures are being

implemented

Environmental Specialists

6.1.15 A team of Environmental Specialists will support the project on a part-time basis. Their role

will be to undertake the required Watching Briefs during construction and to assist the project

team with specific issues as they arise during the project.



Version 10 F1

Appendix E: Order Publication Report Pro Forma (Not Used)



Version 10 F2

Appendix F: Certification



Version 10 F3

1.1 General Procedures

1.1.1 Certification is required to cover the design and the construction of the works. Compliance with

these procedures shall not relieve the Contractor of their responsibilities.

1.1.2 The Contractor shall self certify the works. The design submissions shall be submitted by the

Contractor with appropriate design and check certificates to the Project Manager for

verification and comment.

1.1.3 At the start of KS 6 the Contractor shall submit to the Project Manager CVs for the proposed

design team leaders and checkers for each discipline. These members of staff shall be the

only accepted signatures on design and check certificates for each discipline unless further

CVs are submitted.

1.1.4 Design team leaders and checkers shall:

be suitably qualified to undertake the work

at all relevant times be appointed and properly authorised to carry out the work

at all times comply with the Certification Procedure

1.1.5 The Contractor shall ensure that the following certificates are available as appropriate in

relation to the work, goods and materials included in the works:

Certificates of conformity with quality management schemes

Certificates of conformity with product certification schemes (where the product is not

marked)

British Board of Agrément Roads and Bridges certificates

Statutory type approval certificates

Departmental type approval certificates

Departmental registration certificates

Departmental technical approval certificates (design and check certificates) for lighting

columns

Manufacturers’ and suppliers’ test certificates



Version 10 F4

1.2 Key Stage 3 and 4 Certification

1.2.1 A list of Certificates to be submitted by the Contractor for KS 3 and 4 is included at the back

of this Appendix together with model templates.

1.3 Key Stage 6 Certification

1.3.1 A list of Certificates to be submitted by the Contractor for KS 6 is included at the back of this

Appendix. Model templates shall be developed by the Contractor and agreed with the

Project Manager at the end of KS 4.

1.4 Submission Review

1.4.1 Submission reviews will be undertaken by the Project Manager. They will be a high level

over view of principles and will focus primarily on the design input statement. They will

include a review of the Contractor’s internal checking and verification processes. They will

not be a check of the submissions.

1.4.2 Separate Design Input Certificates, Design Certificates and Check Certificates shall be

submitted by the Contractor for all parts of the Design or Design Elements.

1.4.3 A design input statement and certificate shall be submitted to the Project Manager by the

Contractor for review a minimum of four weeks before commencement of any part of the

design. The design input statement shall include:

Proposed methodology

Relevant documents including standards, advice notes, guidance etc.

Proposed consultations and required, consents, agreements, licences etc.

Elements of high risk or complexity

Checking/verification procedures

List of deliverables

1.4.4 Design and check certificates shall be submitted to the Project Manager by the Contractor for

review on completion of the design. A copy of the design input statement shall be included

with the design data.

1.4.5 The Contractor shall submit to the Project Manager two copies of each certificate together with

original signatures along with electronic copies of all relevant data, drawings, schedules,

numbered appendices etc.

1.4.6 The Project Manager shall have three weeks from receipt of submission packages and

certificates to review the submission and inform the Contractor that the certificate is either:



Version 10 F5

Received; if the Employer has a high level of confidence that the Contractor and their

Designer have understood the key requirements of the works and the submission

complies with the Works Information.

Received with Comments; if the Employer has a medium level of confidence that the

Contractor and their Designer have understood the key requirements of the works and

the submission complies with the Works Information and the comments noted need to

be addressed by the Contractor before progressing the works

Returned; if the Employer has a low level of confidence that the Contractor and their

Designer have understood the key requirements of the works and the works cannot

progress until a high level of confidence is attained, i.e. subsequent revised submissions

must achieve a ‘Received’ status.

1.4.7 The Contractor shall respond to the Project Manager on any comments made on design

submissions and if appropriate these will be accompanied by revised certificates and data.

1.4.8 Execution of any part of the works requiring certification shall not commence until the relevant

certificates have been received or received with comments by the Project Manager.

1.4.9 The Contractor shall propose to the Project Manager a Certificate referencing procedure,

allowing for revisions to address comments, which will facilitate efficient processing and

recording of submissions for each discipline.

1.4.10 The Contractor shall maintain and provide to the Project Manager a Certificate Register

recording the current status of all Design Certificates and Design Check Certificates.

1.5 Structures Submissions

1.5.1 The relevant Design and Check Certificates and Technical Approval (Approval in Principle) for

structures (Temporary or Permanent) shall be prepared in accordance with Technical

Memorandum BD2.

1.6 Geotechnical Submissions

1.6.1 Geotechnical certification is to be as defined in HD22.

1.7 Temporary Works

1.7.1 All of the Contractor's temporary works proposals not covered by "Approval in Principle" shall,

have a Temporary Works Certificate. The Contractor shall submit two copies of each

certificate, with original signature to the Project Manager. The Contractor shall not commence

any temporary works for which a certificate is required until this procedure is complete.



Version 10 F6

1.8 Take Over Certificate, Works Completion Certificate and Works Maintenance Certificate

1.8.1 A Take Over Certificate shall be submitted by the Contractor where the Employer has elected

to use part of the works in advance of completion. A Works Completion Certificate and Works

Maintenance Certificate signed by the Designer and the Contractor shall be submitted by the

Contractor for notification of completion of the works and on expiration of the Period of

Maintenance respectively. The Contractor shall submit two copies of each Certificate with

original signatures to the Project Manager.

1.9 As-Built Records and Certification

1.9.1 An as-built record certificate signed by the Contractor’s and Designer shall accompany as-

built submissions.

1.10 Safety Audit Certificates

1.10.1 The Contractor’s Road Safety Audit Team Leader shall submit a Road Safety Audit Certificate

with each Audit Report, to certify that the audit has been carried out.

1.11 Environmental Monitoring and Implementation Certificates

1.11.1 Environmental Monitoring and Implementation Certificates signed by the Environmental Co-

ordinator and the Contractor shall be submitted by the Contractor on completion of the

following :

Completion of the Environmental and Landscape works

Completion of the relevant aftercare period

1.11.2 The Contractor shall submit two copies of each Certificate with original signatures to the

Project Manager.



Version 10 F7

2 List of Certificates

2.1 General

2.1.1 A list of general Certificates is below:

Road Safety Audit Certificate

2.2 Key Stages 3 and 4

2.2.1 A list of KS 3 and 4 Certificates is below:

Design Certificate

Check Certificate

Programme Certificate

Quality Certificate

2.3 Key Stage 6

2.3.1 A list of KS 6 Certificates is below:

Design Input Certificate

Design Certificate

Check Certificate

Programme Certificate

Quality Certificate

Temporary Works Certificate

Take Over Certificate

Works Completion Certificate

Works Maintenance Certificate

As-Built Record Certificate

Environmental Monitoring and Implementation Certificate

Structures Design Check and Technical Approval in accordance with BD2

Geotechnical Certification in accordance with HD2



Version 10 F8

ROAD SAFETY AUDIT CERTIFICATE Certificate No: - SAC ………

1. We hereby certify to the Employer that the design of the works has been the subject of the

Safety Audit in accordance with Stage [1]* [2]* [3]* [4]* of the Departmental Standard HD 19, and a copy of the Safety Audit Report referenced below is attached to this Certificate * delete as appropriate

Signed: ………..………………………………… Firm …………………….……………………… TEAM LEADER (for the Safety Audit Team) Name: ………...………………………………… Date ………..………………….…….…………



Version 10 F9

KEY STAGE 3 & 4 DESIGN CERTIFICATE Certificate No: - DC ( ) # ………

1. We hereby certify to the Employer in respect of the Design of the following part of the Design

or Design Element; namely: ……………………………………………………………….. (Name of Part of the Design or Design Element)

that reasonable professional skill and care has been taken by us with a view to securing that the part of the Design or Design Element:-

(i) Complies with the Works Information;

(ii) Has been accurately translated into the drawings and other design documents bearing the unique numbers listed below; and

(iii) Is not detrimental to the whole Design or Design Element.

Signed: ………..………………………………… Firm …………………….……………………… DESIGNER (Team leader for Designer)

Name: ………...………………………………… Date ………..………………….…….………… Signed: ………..………………………………… Firm …………………….……………………… CONTRACTOR (Contractor’s Representative)

Name: ………...………………………………… Date ………..………………….…….…………

2. This Certificate is:

(a) Received* (b) Received with comments as follows* (c) Returned*

* delete as appropriate

Signed: ………..………………………………… Firm …………………….……………………… On behalf of the EMPLOYER Name: ………...………………………………… Date ………..………………….…….…………



Version 10 F10

KEY STAGE 3 & 4 CHECK CERTIFICATE Certificate No: - CC (…)………

1. We hereby certify to the Employer in respect of the Design Check of the following further

divided part of the Design or Design Element; namely:

……………………………………………………………….. (Name of Part of the Design or Design Element) that reasonable professional skill and care has been taken by us in carrying out the Design Check of the Design or Design Element with a view to securing that the part of the Design or Design Element: -

(i) Complies with the Works Information;

(ii) Has been accurately translated into the drawings and other Design documents bearing the unique numbers listed below; and

(iii) Is not detrimental to the whole Design or Design Element.

Signed: ………..………………………………… Firm …………………….……………………… CHECKER (Team leader for Checker) Name: ………...………………………………… Date ………..………………….…….………… Signed: ………..………………………………… Firm …………………….……………………… CONTRACTOR (Contractor’s Representative)

Name: ………...………………………………… Date ………..………………….…….…………

2. Receipt acknowledged




Version 10 F11

KEY STAGE 3 & 4 PROGRAMME CERTIFICATE Certificate No: - PC ………

1. We hereby certify to the Employer that the Programme attached represents a reasonable

reflection of the necessary activities, including design and certification, to be carried out by the times stated for the satisfactory completion of Key Stages 3 & 4 of the Contract.

Signed: ………..………………………………… Firm …………………….……………………… DESIGNER (Designer’s Project Manager) Name: ………...………………………………… Date ………..………………….…….………… Signed: ………..………………………………… Firm …………………….……………………… CONTRACTOR (Contractor’s Representative) Name: ………...………………………………… Date ………..………………….…….…………

2.This Certificate is:

(d) Received* (e) Received with comments as follows* (f) Returned*





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KEY STAGE 3 & 4 QUALITY CERTIFICATE Certificate No: - QC ………

1. We hereby certify to the Employer that the Design Quality Plan has been prepared and is in

all aspects in compliance with the requirements of the Contract and represents both the intentions and direction of the Designer and the Contractor regarding quality as formally

expressed by senior management, and the specific quality policy, resources and sequence of activities to be used by the Designer and the Contractor for this Contract.

Signed: ………..………………………………… Firm …………………….……………………… DESIGNER (Designer’s Project Manager)

Name: ………...………………………………… Date ………..………………….…….………… Signed: ………..………………………………… Firm …………………….……………………… CONTRACTOR (Contractor’s Representative)

Name: ………...………………………………… Date ………..………………….…….…………

2.This Certificate is:

(g) Received* (h) Received with comments as follows* (i) Returned*





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Appendix G: Environmental Compliance Process



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Appendix H: Traffic Management



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1 Traffic Management

1.1 The Contractor shall appoint a senior member of their staff, experienced in traffic management

to act as Traffic Safety and Control Officer (TSCO). The TSCO shall be responsible for

formulating, implementing, inspecting and maintaining all traffic safety and management

measures.

1.2 The Contractor shall arrange monthly Traffic Liaison meetings to include the TRA, Network

Operations and the Police.

1.3 All temporary traffic management proposals shall be agreed in advance with the Employer. The

Contractor shall submit to the Project Manager a programme of intended traffic management

measures and complete set of corresponding traffic management drawings at least four weeks

prior to the commencement of the works on site.

1.4 Temporary traffic control will not typically be permitted during 'embargo' periods. ‘Embargo’

periods are agreed with Welsh Tourism Authorities and published annually by Welsh

Government. The 'embargos' cover holiday periods and other major events sensitive to

temporary traffic management. The current WG ‘embargo’ letter is provided at the end of this

appendix.

1.5 The Contractor must make their own enquiries of the periods of notice and procedures for

Orders on non-trunk roads to the local highway authority.

2 Traffic Management requirements

2.1 The Contractor shall maintain two-way traffic on the A467 and A48 Roads. One-way traffic with

traffic control or road closure will only be permitted for bridge construction or demolitions. Such

closures shall be kept to an absolute minimum and will only be permitted with the agreement of

the Employer at the times indicated in the table below. There will be events during which

reduction below two-way traffic will not be permitted. The Employer will confirm these to the

Contractor at the end of KS 4.

Day One-way traffic Road closure

Monday - Friday 10.00 – 15.00

20.00 - 06.00

20.00 - 06.00

Weekends 20.00 Friday – 06.00 Monday 20.00 Friday – 06.00 Monday

2.2 The Contractor shall be responsible for the maintaining the cleanliness and effective drainage of

the public highway upon which any works, including traffic management, are to be undertaken

during the construction of the works, together with the public highway approaches for a distance

Formatted: Indent: Left: 0 cm, Hanging: 1.27 cm, SpaceAfter: 1.2 line



Version 10 H3

of 500 metres on either side of such affected lengths of trunk road and 100 metres on either side

of affected lengths of non-trunk roads.

2.3 The Contractor shall ensure that access is available, when required, for the highway authority to

carry out any structural and winter maintenance works on existing highways.

2.5 All temporary traffic signs shall be bilingual and must be checked and approved by the Employer

(via the Employer’s Agent) before installation. The Contractor must allow four weeks for the

Employer to consider and approve before they are required to install any such signs.

2.6 The Contractor shall ensure that all their temporary diversions, detours and permanent works over

which the public has a right of way during construction of the works, are cleared of snow, gritted

and otherwise maintained in a safe condition during cold weather.

2.7 In the event of the Contractor carrying out night working on or adjacent to the trunk road the

working area shall be flood lit. The Contractor shall take all reasonable steps to avoid dazzle to

trunk road traffic and nuisance to surrounding property.

2.8 The Contractor shall liaise with the local highway authority regarding their requirements for

keeping open side roads affected by the works.

2.9 The Contractor shall provide details of their proposed emergency diversion route. These details

are to include all bilingual signing, and should be agreed with the Employer, Emergency

Services, TRA and the Local Authorities.

2.10 The Contractor shall provide a temporary CCTV system providing full coverage of traffic

management during construction. The CCTV system images shall be continuously monitored by

the Contractor for incidents and also linked to Traffic Wales control room at Junction 32 M4.

2.11 The Contractor shall provide 24 hour breakdown recovery during construction.

2.12 The Contractor or their sub-contractors shall not be permitted to use the residential roads in

the area as access or delivery routes to the works.

Formatted: Indent: Left: 0 cm, Hanging: 1.27 cm, SpaceAfter: 1.2 line



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Appendix I: Privately and Publicly Owned Services and Supplies



Version 10 I2

1 STATUTORY AUTHORITIES’ PLANT

1.1 Copies of plans of plant in the vicinity of the works provided by the Statutory Authorities are

included in Volume 3 Site Information. These plans do not include privately owned services or

service connections to properties.

1.2 The names, addresses and telephone numbers of the Statutory Authorities serving in the locality

are listed below.

1.3 No guarantee is given to the accuracy or completeness of the plans or list.

Names Address. Contact /Tel No

BT Openreach

PP 103m Telephone Exchange Factory Road

Newport NP20 5FA

Paul Cullen 01173 760150

Wales & West Utilities

Wales & West House Spooner Close Celtic Springs Coedkernew

Newport NP10 8FZ

Jeff Smale 02920 278683

Western Power Distribution

Phoenix House Llansalmlet Swansea SA7 9HW

Andy Niblet 01633 628217

Dwr Cymru

Developer Services PO Box 3146

Linea Fortran Road

St Mellons CF30 0EH

Mark Calluster 0800 917 2652

Virgin Media

1 Dove Wynd Strathclyde Business Park

Bellshill ML4 3AL

Richard Collings 0800 408 0088



Version 10 J1

Appendix J: Records



Version 10 J2

1 Records

1.1 The Contractor shall provide Records for the works in accordance with the requirements

below:

All information shall be provided electronically in two formats – the source format (e.g. Word,

Excel & etc.) and Portable Document Format (.pdf). Two copies of source document format

and two copies of .pdf format shall be provided. The source format for AutoCAD drawings

shall be .dwg and all drawings shall be “bound” with the associated Xref files. The documents

shall be provided on CDs or DVDs. The CDs/DVDs shall be referenced and indexed in order

to enable rapid retrieval of relevant information.

Alternatively the Contractor may propose alternative electronic forms of submission which may

be used with the agreement of the Employer.

1.2 Roadworks

The original set of full size prints of the “as built” drawings or two copies of a CD

containing the relevant files in a format agreed with the Project Manager.

Two copies of the Roadworks Maintenance Manuals and on CD as above

Two copies of the Roadworks Geotechnical Feedback Report on CD as above

As built drawings shall show full details of the works as constructed, and shall contain

the necessary identifiers to cross reference with specific information in the

maintenance manual. They shall include:

The final works layout at 1:500 scale

All changes by the Employer or the Contractor

Brief pavement construction details. Full pavement details should be indicated

in the maintenance manual.

Earthworks details including capping layer thickness and any special treatment

necessary at or below sub-grade level, location and treatment of any

contaminated land

Drainage details showing all drainage runs, culverts and outfalls. If levels are

not indicated on drawings, schedules should be prepared and included as part

of as built records. Types of pipes and geotextiles used by Contractor,

pumping stations, pollution traps, petrol interceptors and flap valves, including

access routes or arrangements; location of surface water drainage and

channels.

The position of all underground services. The precise location and depth of

spare ducts and their intended future use.

Road Lighting including column positions and electrical details



Version 10 J3

Road signs including types, legend size and locations, anchorages etc.

Fencing and highway boundaries

Road markings

Kerbing, kerb types and paved verges

Details of sightlines/visibility splays

Locations of designated landscape areas within the highway boundary

Details of access rights obtained for highway maintenance and third parties

Boundary drawings including details of adjacent land ownership

1.4 Environmental Design

1.4.1 The following environmental design records are required:

Drawings and specifications of Environmental Design incorporated into the works

Records of planting soil depths, plant species, ground treatment and plant protection

works

Details of any agreements with landowners for such measures

Copies of relevant correspondence with landowners/authorities relating to agreements

reached about mitigation measures

Essential mitigation fences and other boundary treatments identifying who is

responsible for maintenance

As built drawings of Environmental Design, prepared in EnvIS format/or to a format

agreed with the TRA.

1.5 Quality Records

1.5.1 The Contractor shall provide in a suitable folder a complete record of all changes instructed

by the Employer Certificates submitted and returned signed by the Project Manager or the

Employer during the Contract. This will form a complete record of all certification of the

design and construction of the works for all agreed Contractor’s changes provided for the

works.



Version 10 J4

1.6 Maintenance Manuals

1.6.1 Roadworks Manual

1.6.1 This document shall identify areas where special maintenance may be necessary and to

allow monitoring of the performance of the pavement and associated features. It shall be

provided by the Contractor and contain the following:

A record of design (including pavement design) that could have a bearing on future

maintenance works. Details such as assumed traffic flows used to determine

pavement thicknesses should be included.

Details of the various pavement types and thicknesses used in the Contract, including

sub-base and capping, together with CBRs taken or assumed at sub-formation.

Overlaid areas and the condition of existing foundations shall be specifically noted.

Material test results shall be listed and appended.

Location and treatment of any items encountered which could possibly become a

maintenance problem in the future such as soft areas, buried water courses or

unusual or unforeseen conditions that arose during construction.

A brief description of the different material types used in embankments and their

locations (a more detailed description should be given in the Geotechnical Feedback

Report). Any geotechnical problems that necessitated special treatment or need

monitoring Areas which required special drainage treatment or required observation

after construction should be specifically noted.

Record of all features requiring particular attention by the Maintaining Authority, with

guidance on the type and frequency of the maintenance envisaged by the Contractor.

Record of where the road has been constructed through contaminated ground and

any special precautions that are required when working in the area both from an

engineering and health and safety point of view. Detailed location plans should be

included of any hazardous areas such as those likely to generate methane.

Drainage runs which do not have a self cleansing velocity. Potential problems with

drainage outlets and lengths of water courses outside the highway boundary where

the Employer has a commitment to maintain them. Specific reference shall be made

to pollution control measures which have been incorporated into the works. These

shall include emergency instructions, methods of operation and access details.

Any other items or areas for which the Employer will have specific maintenance

responsibility, e.g. landscape areas, boundary fences, drainage features, mammal

proof fencing etc.

Areas of ‘Special Engineering Difficulty’ as described under the New Roads and

Street Works Act 1991 shall be specifically noted in the Roadwork Maintenance

Manual.

Full records shall also be included of any trials which have been carried out on Site.



Version 10 J5

1.7 Structures Manuals

1.7.1 The Contractor shall provide Records for the works in accordance with the provisions of BD

62/07.

1.8 Maintenance Environmental Management Plan

1.8.1 At the end of the Maintenance period the Contractor shall produce a MEMP. It shall

incorporate the Environmental Performance Reports. The requirements for these reports are

described in Appendix D.

1.9 Roadworks Geotechnical Feedback Report

1.9.1 This report shall include the following:

Earthworks: general description of earthworks problems and their solutions, weather

conditions, plant used, haul conditions, comparison of predicted and actual quantities

of acceptable and unacceptable material, topsoil and planting details etc.

Cuttings: location of all materials excavated (and any replacement) and their

subsequent destination in the works (with dates). Instability problems, unusual ground

conditions, ground water conditions and problems etc.

Embankments: source and location of all materials placed (with dates), plant used,

foundations treatment and settlements, instability problems, etc.

Sub-grade / Pavement: problems with sub-grade preparation. Placement methods

(and problems) for all pavement layers.

Drainage: details of effectiveness of any temporary drainage methods. Installation

details and any problems with permanent drainage design and construction.

Imported Materials: details of all imported materials source, use, location in the works,

suitability, performance etc.

Structure Foundations: records, effectiveness and problems of soil and ground water

conditions encountered, including temporary works. Pile logs, pile tests and other

relevant test details. Settlement records with dates of each major stage including

backfill of abutments and approach fills (give geometry). Settlement control stations,

as built foundation dimensions etc.

Testing: summary of Site Laboratory testing Moisture Conditions Value, Dry Density,

Moisture Content, Particle Size Distribution, Atterberg Limits etc. with comment on

results and effectiveness.

Instrumentation: give as built details, including location, purpose, readings with dates

and effect of resulting action. Performance and usefulness of installation, etc.

Comment on need to continue monitoring or removal from Site.

Summary: give summary of problems experienced and design changes with any

changes in design/specification adopted with reasons. Identify any aspects requiring



Version 10 J6

monitoring or special maintenance. Comment as to how similar problems might be

avoided in future.

1.9.2 Note these items may be presented on longitudinal profiles. Photographs should be

included in the report to illustrate particular points.

1.10 Commissioning of Equipment, Plant and Machinery

1.10.1 The Contractor shall supply all testing and test certificates required by the Employer before

commissioning of any equipment, plant, machinery and the like which is incorporated into

the works. The Contractor shall identify and provide any specialised training to the

Employer’s agent authority of features/equipment of the works which require particular

maintenance or operational procedures.

1.11 Health & Safety File - Construction (Design and Management) Regulations 2007 (CDM

2007)

1.11.1 The Contractor shall prepare the Health & Safety File. The final completed Health & Safety

File shall be presented to the Project Manager in paper and electronic format for the

Employer’s retention.



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2 Welsh Government Standard Specification for Digital Project Health & Safety File -

Construction Handover Documentation

2.1 Introduction

The Candidate is required to include in their detailed proposal for the co-ordination and

submission of a comprehensive Digital Project Health & Safety File (DPHSF). This shall be

a comprehensive information source and guide for the Welsh Government (WG) & Projects

Division, its maintenance agents and end users, providing a complete understanding of the

works, its intended performance, its systems, and enabling it to be operated and maintained

efficiently and safely.

2.2 DPHSF Coordinator – Role & Responsibility

2.2.1 The DPHSF and all its specified elements and requirements are to be collated and

managed by a specialist DPHSF Coordinator and are to be reviewed for any

amendments/additions with the WG, CDM Coordinator and the Main Contractor prior to

handover and installation to WG Roads & Projects.

2.2.2 The DPHSF Coordinator is to demonstrate and provide a proven structured and strategic

approach for the management, production, delivery and support of the DPHSF.

2.2.3 The DPHSF Coordinator shall provide a full professional technical service/solution which will

produce a comprehensive and project specific DPHSF in a format approved by the WG.

2.2.4 The DPHSF Coordinator should be able to demonstrate their track record and capability

(ISO 9001) with regards to electronic document management and construction handover

information within the construction industry. The DPHSF Coordinator to detail the

procedures and mechanisms they plan to use to collect the required information for the

DPHSF from the various parties (project members).

2.2.5 The DPHSF Coordinator to provide a workflow diagram of the process they intend to use to

manage the Construction Documentation Handover. The DPHSF Coordinator to provide a

methodology for the efficient production and release of the DPHSF Format for the project at

completion. The DPHSF Coordinator to detail the procedures and mechanisms they plan to

use to ensure the integrity of the collected information.

2.3 Digital Project Health & Safety File Software Application

2.3.1 The DPHSF is to be delivered in a proven software application format approved by the WG.

Further, the DPHSF shall be formatted to allow subsequent updating of information. The

DPHSF shall also incorporate detailed asset registers / digital images of all fabric

components and services components. Furthermore the software shall allow secure



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(password protected) comprehensive control and tracking of the Handover Documentation

to enable viewing / printing / access / editing / searching / updating and administration of the

file. The DPHSF is to have relevant metadata assigned to all construction handover

documentation on the project and to structure all documents into a multi-level hierarchy for

the project. The DPHSF will have documents grouped, categorised or classified within the

project based on a WG standard approach, Documents are grouped by projects and by

section and sub-sections as per the index or table of contents agreed for the project – by

WG, the DPHSF system should cater for 20 concurrent users.

2.3.2 The software system/application shall provide for the potential future migration of data to a

more advanced enterprise software application which is capable of providing remote

internet/intranet access and acting as a platform technology for compliance with current and

future regulations, the data format and structure shall comply with best practices and

standards.

2.4 Phased Draft Reviews and Handover / Installation of Digital Project Health & Safety

File

2.4.1 Complete draft of the DPHSF must be submitted to the Contracting Authority four weeks

before the final date for completion. The draft DPHSF must be reviewed by the Main

Contractor & CDM-C and amended in light of any comments before a final revision is

submitted to the WG EST. The DPHSF Coordinator will not proceed with production of the

final copies of the File until authorised to do so by the CDM-C. The scheduled handover

programme shall be as follows:

1. A Draft DPHSF will be issued to the Main Contractor and CDM-C for review and comment

at least four weeks before the final date for completion. This draft will include the latest list of

any outstanding items so that these items can be agreed, documented, closed out and

included.

2. A Final Draft DPHSF will be delivered to the CDM-C and WG EST for final review and

sign off before a final revision of the DPHSF is submitted to the WG.

3. A Final revision DPHSF signed off will be handed over and installed on the WG network

by the DPHSF Coordinator

2.4.2 The DPHSF must be handed over to the WG EST on the day of completion of the

permanent works. If any items are outstanding on the day of completion, they must be

clearly itemised and listed along with a date when these items will be provided, these issues

will be classified as defects. This DPHSF Defects List must be provided in writing to the

relevant Design Team members CDM-C and WG before Completion, for the Welsh

Government’s approval. If this list of defects is not approved by the WG EST then the WG

reserves the right to instruct the Design Team in relation to certification.



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3 The Digital Project Health & Safety File Shall Consist of The Following Four Sections,

Sub-Sectioned as Appropriate:

SECTION 1: GENERAL PROJECT INFORMATION: Content as described below. The

information shall be provided to the DPSF coordinator from the Main Contractor and Design

Team.

SECTION 2: WORKS FABRIC INFORMATION: Content as described below plus certain as-

built drawings and other information provided to the DPSF coordinator from the Main

Contractor and the Design Team.

SECTION 3: WORKS OPERATIONS [SERVICES INSTALLATIONS]: Content as described

below, the information is provided to the DPSF coordinator through the Contractor by the

Services Contractors subject to approval by the Services Consultants.

SECTION 4: PROJECT DRAWINGS & REPORTS: Content as described below.

3.1 SECTION 1: GENERAL PROJECT INFORMATION must include:

A detailed description of the scheme

Details of all Statutory Certificates and Legal Documentation for the scheme plus copies

of all consents and approvals obtained

Site Location maps and drawings

Names address telephone/fax numbers, e-mail/website address of all design team

members / nominated subcontractors / domestic subcontractors / suppliers /

manufacturers

3.2 SECTION 2: WORKS FABRIC INFORMATION (All Works Packages) must include:

Design brief / specifications overview / summary of how the works were constructed and

how it is intended to achieve its performance and other objectives including specialist

reports such as site surveys, topological surveys, asbestos survey reports, soil tests –

site investigation reports, tree surveys etc.

Structural description and specifications along with surveys and, reports detailing all

allowable loadings / restrictions / pressures and structural maintenance requirements

Details of all construction packages relating to all subcontractors – provision of a

detailed description / scope of works for each specific works package / construction

elements as well as specifics on materials or procedures which may present significant



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residual hazards with respect to cleaning, maintenance repair or deconstruction /

recycling / demolition, this information must also be provided for all contractor designed

work and performance specified work

Fittings and component schedules: all final revision / as built fitting and component

schedules to include but not limited to the following: signage schedule / finishes

schedules / specialist equipment details

Planned preventative maintenance and cleaning procedure and frequency for each

element / component

Site drainage report including drainage CCTV / other testing results

Copies of manufacturers current project literature specific for all products for which the

particular proprietary brand has been chosen by the Contractor including data sheets

and manufacturers recommendations for cleaning and maintenance

Copies of all guarantees warranties and maintenance agreements offered by

subcontractors and manufacturers

Copies of all product compliance test certificates and reports

The sustainability strategy including drawings, illustrations, diagrams, systems and

components etc.

A list of any design risks / residual risks / hazards / maintenance considerations /

disposal and recycling which will be relevant to the future operations and maintenance

of the scheme

Digital images of all site areas – progress photos shall also be taken at intervals to be

agreed with the contracting authority

3.3 SECTION 3: WORKS OPERATIONS [SERVICES INFORMATION] must include:

Mechanical and electrical specifications – final revision

A full description of each of the systems installed written to ensure that the Employer’s

technical services department fully understand the scope and facilities provided

A description on the operation of all systems including services capacity and restrictions

/ starting up operating and shutting down instructions for all equipment and systems

installed. Control sequences for all systems installed.



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Diagrammatic drawings of each system indicating principal items of plant, equipment,

valves etc. Legend for all colour-coded services.

Plant Schedules (Plant / Asset Register - system by system) of plant equipment, stating

their unique reference number, make, model, location, area served, as-built drawing

reference

The name address and telephone number of the manufacturer of every item of plant

and equipment together with catalogue list numbers

Manufacturer’s specific technical literature for all items of plant and equipment

assembled specifically for the project excluding irrelevant matter and including detailed

drawings, electrical circuit details, and operating and maintenance instructions

A copy of all test / commissioning certificates (including but not limited to electrical

circuit tests, corrosion tests, type tests, works tests, start and commissioning tests) for

the various elements of the installations

A copy of all manufacturers, guarantees, warranties, and maintenance agreements

offered by subcontractors and manufacturers

Recommendations as to the preventative maintenance frequency and procedures to be

adopted to ensure the most efficient and environmentally beneficial operation of the

systems

Planned maintenance programmes, service life costs / plan, repair replacement,

deconstruction, recycling or disposal procedures for items of plant / equipment

A list of all plant that requires re-testing including when re-testing is required

Emergency and safety procedures for all installed plant including telephone numbers for

emergency services

As Built Electrical Drawings (in .dwg and PDF format): The drawings shall clearly show

all systems, plant, terminal points such as luminaries, sockets, isolators, etc. and

distribution, circuit orientation and references. All plant shall be clearly referenced and

shall be readily identifiable.

As Built Mechanical Drawings (in .dwg and PDF format): The drawings shall clearly

show all systems, plant, valves, dampers, etc. All plant and valves shall be clearly

referenced and be readily identifiable and show a legend for all colour-coded services.



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The Candidate and their Contractor shall ensure that any services or systems, which

are buried within a structure, or underground, are precisely located on the drawings,

along with the precise position of entry of services to buildings, isolating valves and

cocks

Sample digital images for each key item of Mechanical, Electrical and Lift installations

for use as cross reference photos within the various sections of the O&M Manuals

3.4 SECTION 4: PROJECT DRAWINGS & REPORTS must include:

Complete Register of all ‘’As Built” drawings Civil / Structural, Services, Specialist, etc.

and Reports

o Note that each drawing register shall be provided electronically in spreadsheet

or tabular format and shall include the following information in the following

column order:

1. Drawing Number

2. Drawing Title / Description – this must contain enough key information

about the content to allow the drawing register to be searched efficiently

by Employer when locating drawings on a day to day basis

3. Drawing Revision

4. Drawing Date – in XX/XX/XXXX format

o Note that the Filename of each drawing shall be the drawing number

All Architectural, Civil / Structural, Services, Specialist, ‘’As Built” drawings to be in .dwg

and PDF Format

As-built drawings (in .dwg and PDF Format) recording details of construction for all

Contractor designed work and performance specified work

Underground Site Services

o Note that a separate drawing will be required for each service e.g. gas,

drainage, telecommunications etc.

o Drawings should be produced in a format that will allow the viewing of individual

services, together with the option to show any combination of services on a

drawing. Layering, line types etc. to be agreed in advance with Employer



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o Note that Employer requires the Contractor to provide a final draft of each of the

underground services drawings for their review and comment before the

Contractor issues the final revision of these drawings

o Note that All underground "as built" site services drawings shall be delivered in

.dwg and PDF Format



Version 10 K1

Appendix K: List of IANs Current at Invitation to Tender



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INDEX OF INTERIM ADVICE NOTES- AS AT SEPTEMBERNOVEMBER 20143 (not adopted in Wales removed)

No. Title Issue date

IAN 184/14 Highway Agency Data & CAD Standard Sep 14

IAN 183/14 Environmental Management Plans June 14

IAN 182/14 Major Schemes: Enabling Handover into Operation and Maintenance Apr-14

IAN 181/xx Impact protection vehicles (Project 1x) Pending

IAN 180/14 Remote control TTM signs (Project1u)

PendingJune 14

IAN 179/14 High level signs

PendingJune 14

IAN 178/xx Reservoir pavements for drainage attenuation Pending

IAN 177/13 Introduction of the Construction Products Regulation (EU) 305/2011 July 13

IAN 176/13 Guidance Note for the Production of an Appraisal Specification Report Jun 13

IAN 175/13 Updated advice on risk assessment related to compliance with the EU Directive on ambient air quality and on the production of Scheme Air Quality Action Plans for users of DMRB Volume 11, Section 3, Part 1 Air Quality (HA207/07)

Jun 13A

IAN 175/13 CRA

Compliance Risk Analysis Tool Ver 1.0 Jun 13

IAN 174/13 Updated advice for evaluating significant local air quality effects for users of DMRB Volume 11, Section 3, Part 1 Air Quality (HA207/07)

Jun 13

IAN 173/13 Implementation of BD 97/12 - The Assessment of Scour and Other Hydraulic Actions at Highway Structures

Feb 13

IAN 172/13 Ash dieback – Chalara fraxinea Jan 13

IAN 171/12 Risk-based Inspection Intervals Oct 12

IAN 171/12 RAQ Risk-based Inspection Intervals (Risk Assessment Questionnaire) Oct 12

IAN 170/12 v3

Updated air quality advice on the assessment of future NOx and NO2 projections for users of DMRB Volume 11, Section 3, Part 1 'Air Quality’

Nov 13

IAN 170/12 HA LTCalc

Highways Agency Long Term Gap Analysis Calculator Nov 12

IAN 169/12 Rev.1

Temporary Cover Plates over Bridge Expansion Joints Jul 13

IAN 168/12 Strategy for the repair/replacement of Bridge Expansion Joints Oct 12

IAN 167/12 Rev.1

Guidance for the removal of road lighting Jul 13

IAN 166/13 Highways Agency Road Death Investigation (RDI) Guidance (Version 2 Jan 2013)

Jun 12

IAN 165/12 Managed Motorways - Commissioning And Handover Guidance Apr 12

IAN 164/12 Rev.1

Managed Motorways - All Lane Running – Economic Assessment Aug 12

IAN 163/12 Alternative Entry Taper at relaxation scheme temporary traffic management on high speed roads

May 12

IAN 162/12 Highways Agency policy for the use of Variable Signs and Signals (VSS) Jan 12

IAN 161/13 Managed Motorway Requirements – All Lane Running Aug 13

IAN 160/12 Rev.1

Appraisal of Technology Schemes Apr 13

IAN 159/12 Guidance Note for Traffic Consultants on the Economic Assessment of MM-HSR Schemes

Aug 12

IAN 158/12 Maintenance Assessment Procedure May 12

IAN 157/11 Thin Surface Course Systems - Installation And Maintenance Dec 11



Version 10 K3


IAN 156/12 Revision of Aggregate Specification for Pavement Surfacing Sept 12

IAN 155/12 The use of Ultra Thin Surfacing on the HA Network - Amendment to Appendix 7/1 requirements

Sept 12

IAN 154/12 Revision of Clause 903, Clause 921 and Clause 942 Sept 12

IAN 153/11 Guidance on the Environmental Impact Assessment of Materials Oct 11

IAN 152/11 Road Safety Audits – compliance with EC Directives Dec 11

IAN 151/11 NDD Safety Work Instructions Oct 11

IAN 150/14 Rev 112

Temporary Traffic Management Signs Simplification - guidance at road works using relaxation layout traffic management

Nov 12July

14

IAN 149/11 Existing Motorway Minimum Requirements July 11

IAN 147/11 Drainage data management (SD 15 and HD 43) July 12

IAN 146/xx Directional Signs on Motorway and All Purpose Trunk Roads - General Requirements and Design

Pending

IAN 145/xx Directional Signs on Motorway and All-Purpose Trunk Roads - At Grade and Compact Grade Separated Junctions

Pending

IAN 144/xx Directional Signs on Motorway and All-Purpose Trunk Roads - Grade Separated Junctions

Pending

IAN 143/11 Supplementary Advice and requirements for the Provision for Non-Motorised Users and Accessibility during planning, design, construction and handover of Improvement Schemes

May 11

IAN 142/11 Temporary Barrier Decision Tool (TBDT) Apr 11

IAN 141/11 Assessment of Implications (of Highways and/or Roads Projects) on European Sites (Including Appropriate Assessment) and the Planning Act 2008

Mar 11

IAN 140/11 HAIL Changeover May 11

IAN 139/11 Managed Motorways Project Safety Risk Work Instructions Mar 11

IAN 138/xx Site Waste Management Plans Pending

IAN 137/10 The use of stepped speed limits at roadworks Nov 10

IAN 136/10 Structural safety reporting Nov 10

IAN 134/10 Interim Guidance for Highways Agency on Planning Act 2008 Nov 10

IAN 132/10 Selection of the appropriate Electricity Supplier for new and upgraded electricity connections (Exit Points) for roadside equipment

Mar 11

IAN 131/11 Deflection of Permanent Formwork May 11

IAN 129/10 Travel Demand Management Guidance – High Occupancy Vehicle Gates Jun 10

IAN 128/12 Highways Agency Supply Chain Health and Safety Incident Reporting Apr 12

IAN 127/10 Rev.1

The use of foamed concrete Mar 11

IAN 126/09 Environmental Impact Assessment: Reporting of Determination and Publication of Notices

Oct 09

IAN 125/09 Supplementary guidance for users of DMRB Volume 11 ‘Environmental Assessment’

Oct 09

IAN 124/11 Eurocodes: Implementation of Eurocodes for the design of new and existing highway structures

July 11

IAN 122/09 Rapid Condition Assessment of Hard Shoulder Pavements. Interim guide to data and maintenance advice

Jun 09

IAN 121/09 Advice regarding implementation of Integrated Traffic Management Jun 09

IAN 118/xx Consolidation of Motorway Signalling Technology Standards Pending

IAN 117/08 Rev.2

Certification of combined kerb and drainage products Jun 10

IAN 116/08 Nature conservation advice in relation to bats Oct 08

IAN 115/08 Rev.1

Requirements and Guidance for Works on the Hard Shoulder and Road Side Verges on High Speed Dual Carriageways

Nov 12

IAN 113/08 Temporary Automatic Speed Camera System for the Enforcement of Mandatory Speed Limits at Roadworks (TASCAR)

July 08



Version 10 K4


IAN 112/08 Managed Motorway Implementation Guidance - Through Junction Hard Shoulder Running [PR 100/08]

Jun 08

IAN 111/09 Managed Motorways implementation guidance - Hard shoulder running Nov 09

IAN 105/08 Implementation of Construction (Design and Management) 2007 and the withdrawal of SD 10 and SD 11

Jan 08

IAN 97/07 Assessment and upgrading of existing parapets Aug 07

IAN 96/07 r1 Guidance On Implementing Results Of Research On Bridge Deck waterproofing July 07

IAN 95/07 Revised guidance regarding the use of BS8500(2006) for the design and construction of structures using concrete

May 07

IAN 91/07 Interim Advice on the identification of 'Particularly at Risk' Supports Mar 07

IAN 86/07 Amendments To Design Requirements For Portal And Cantilever Sign/Signal Gantries

Jun 07

IAN 85/07 Design Of Passively Safe Portal Signal Gantries Jun 07

IAN 83/06 Principal and General Inspection of Sign/Signal Gantries, and Gantries with low handrails or open mesh flooring

Jun 06

IAN 73/06 Rev.1

Design of Pavement Foundations Feb 09

IAN 71/06 Marker Posts On Lay-By Segregation Islands Feb 06

IAN 70/06 Implementation Of New Reinforcement Standards (BS 4449:2005, BS 4482:2005, BS 4483:2005 and BS 8666:2005)

Jan 06

IAN 69/05 Designing for Maintenance Dec 05

IAN 68/05 Infrastructure changes to improve emergency access to and egress from the trunk road network in England

May 06

IAN 65/05 Design Of Vehicle Recovery Operations At Road Works Apr 05

IAN 64/05 Driver Information At Road Works Apr 05

IAN 63/05 r3 Asbestos

Asbestos Management Applicable To The Strategic Road Network Mar 11

IAN 63/05 r3 GAMP

HA Strategic Network – General Asbestos Management Plan Mar 11

IAN 59/04 Replacement Of SA 10/01, The New Roads And Highway Works Act 1991

IAN 56/04 Maintenance Of Traffic Signs With Dew Resistant Coatings Aug 04

IAN 53/04 Concrete Half-Joint Deck Structures Feb 04

IAN 49/13 Use of Warning Signs For New Asphalt Road Surfaces Feb 13

IAN 48/03 Measures To Minimise The Risk of Sulphate Attack (Including Thaumasite) - New Construction and Structures Under Construction

Jan 03

IAN 47/02 Post Tensioned Grouted Duct Concrete Bridges Dec 02

IAN 41/02 European Cement Standards Jan 02

IAN 05/96 BD 24/92 The Design of Concrete Highway Bridges and Structures. Use of BS 5400: Part 4:1990

July 96

IAN 04/96 BD 44/95 The Assessment of Concrete Highway Bridges and Structures July 96

IAN 03/96 BA 50/93 Post Tensioned Concrete Bridges June 96

IAN 01/95 TD 37/93 Scheme Assessment Reporting Oct 95



Version 10 K5

INDEX OF WALES ONLY INTERIM ADVICE NOTES AS AT SEPTEMBERMAY2014


177/14 (W) Introduction of the Construction Products Regulation (EU) 305/2011 April 14

157/14 (W) Thin Surface Course Systems – Installation and Maintenance May 14

156/14 (W) Revision of Aggregate Specification for Pavement Surfacing May 14

154/14 (W) Revision of SHW Clause 903, Clause 921 and Clause 942 May 14

135/10 (W) Landscape and Visual Effects Assessment 11/04/14

172/13 (W) Ash dieback – Chalara fraxinea 30/09/13

152/11 (W) Road Safety Audit – Compliance with EC Directive 2008/96/EC 01/12/11

126/09 (W) Environmental Impact Assessment: Reporting of the Determination and Publication of Notices

30/07/11

125/09 (W) Supplementary guidance for users of design manual for roads and bridges (DMRB) Volume 11 'Environmental Assessment'

29/07/11

123/10 (W) Use of Eurocodes for the design of highway structures 28/07/11

116/08 (W) Nature conservation advice in relation to bats 27/07/11

105/08 (W) Implementation of Construction (Design and Management) Regulations 2007 and the withdrawal of SD 10/05 and SD 11/05

26/07/11

97/07 (W) Assessment and Upgrading of Existing Vehicle Parapets 25/07/11

96/07 (W) Guidance on Implementing Results of Research on Bridge Deck Waterproofing 24/07/11

95/07 (W) Revised guidance regarding the use of BS8500 (2006) for the design and construction of structures using concrete

23/07/11

91/07 (W) Interim Advice on the Identification of ‘Particularly at Risk’ supports 22/07/11

86/07(W) Amendments to design requirements for Portal and Cantilever Sign / Signal Gantries

21/07/11

85/07 (W) Design of Passively Safe Portal Signal Gantries 20/07/11

83/06 (W) Principal and General Inspection of Sign / Signal Gantries, and Gantries with Low Handrails or Open Mesh Flooring

19/07/11

73/06 (W) Revision 1

(2009)

Design Guidance for Road Pavement Foundations (Draft HD25) 18/07/11

70/06 (W) Implementation of New Reinforcement Standards 17/07/11

64/05 Driver Information Signs at Road Works 16/07/11

56/04 Maintenance of Traffic Signs with Dew Restraint Coatings 15/07/11

53/04 Concrete Half-Joint Deck Structures 14/07/11

49/03 Use of Warning Signs for new Asphalt Road Surfaces 13/07/11

48/03 Measures to minimise the risk of sulphate attack (including thaumasite) in new construction and structures under construction

12/07/11

47/02 Post-Tensioned Grouted Duct Concrete Bridges 11/07/11

41/02 European Cement Standards 06/07/11

IA.5 The Design of Concrete Highway Bridges and Structures. Use of BS 5400: Part 4: 1990

05/06/11

IA.4 The Assessment of Concrete Highway Bridges and Structures 04/06/11

IA.3 Post-tensioned Concrete Bridges, BA 50/93 03/06/11

IA.1 Scheme Assessment Reporting Procedures 01/06/11



Version 10 M1

Appendix L: Land Ownership Questionnaire and Covering Letter (Not Used)



Version 10 M2

Appendix M: Delegated Authorities Key Stages 3 & 4 and 6



Version 10 M3

NEC Professional Services Contract – M4 Junction 28 improvements

Items Delegated to Authority of Employers Agent (KS Consultants) acting as Employers Agent for Key Stages 3 & 4

(Clauses appropriate to PSC ECC Options C & E)

Key Core or Option

Subject title Cl. Sub-cl. Marginal Heading Action Delegated Yes/No

Restrictions

Core General 11 11.2 (1)

The programme Acceptance of latest programme No EA to provide comment on programme to EST.

Core General 13 13.4 Communications Reply to communications Yes

Core General 13 13.5 Communications Extension of period of reply Yes

Core General 13 13.8 Communications Withhold acceptance of submission by the contractor.

Yes EA to communicate to EST.

Core General 15 15.1 Early Warning Issue / receipt of early warning notices.

Yes EA to issue schedule of early warning notices to EST on a monthly basis.

Core General 15 15.2 Early Warning Instructing to attend a risk reduction meeting.

Yes

Core General 15 15.4 Early Warning Recording risk register. Yes

Core General 16 16.1 Ambiguities and inconsistencies

Notification and/or instruction to resolve ambiguity or inconsistency.

Yes EA to inform EST at monthly meetings

Core General 17 17.1 Illegal and impossible requirements.

Instruction to change scope if has illegal / impossible requirements.

Yes EA to communicate to EST.

Core General 18 18.1 Prevention Instruction of how to deal with an unforeseeable event.

Yes EA to obtain authorisation of EST

Core Main Responsibilities

20 20.2 The Employer's obligations

Instruction which changes the scope or a key date.

Yes

EA to communicate to EST scope and key dated changes with cost implications of less than £10k. Scope or Key date changes greater than £10k must be approved by EST in advance.


22 22.1 People Acceptance of replacement key person.

Yes EA to notify EST.



Version 10 M4




Key Core or Option


Restrictions


22 22.2 People Instructing the removal of a contractors' employee from project.

No EST to seek EA comment.

Core Time 30 30.2 Starting, Completion Deciding the date of completion & certifying.

Yes

Core Time 32 32.2 Revising the programme

Acceptance of revised programme.

Yes EA must communicate to EST.

Core Time 33 33.1 Instructions to stop or not start work

Instructing to stop or not start work.

Yes EA must seek approval of EST.

Core Quality 41 41.1 Correcting Defects Notification of any defects found. Yes

Core Payment 50 50.1 Assessing the amount due

Assessing the amount due. Yes

Core Payment 51 51.1 Payment Certifying a payment. Yes

Core Payment 51 51.3 Payment Correcting payment amounts. No EA to advise EST on assessment of invoice

Core Compensation Events

61 61.1 Notifying compensation events

Notifying CE and instructing submission of a quotation.

Yes



Instruction to submit quotation for proposed instruction.

Yes



Deciding a notified event does not have cost, programme etc. effects.

Yes



Deciding that an EWN should have been given.

Yes



Stating assumptions on uncertain compensation events.

Yes


62 62.1 Quotations for compensation events

Instruct contractor to provide alternative quotations.

Yes



Version 10 M5




Key Core or Option


Restrictions



Reply to CE. Yes



Extension of time to submit / reply to quotation.

Yes


64 64.1 The Employer's assessments

Assessing a compensation event. Yes



Assessing CE with reference to programme.

Yes



Notifying consultant of assessment.

Yes


65 65.1 Implementing compensation events

Implementing a CE by notifying the consultant.

Yes

Main Option

Option C: Target contract

52 52.2 Accounts and records Inspection of time charge and expenses.

Yes

Main Option


53 53.2 Activity schedule Acceptance of activity schedule Yes

Main Option


92 92.3 Payment on termination

Assessment of consultants share. No EST to seek EA comment.

* EA refers to KSA Consultant (Employers Agent)

* EST refers to Economy, Science & Transport (The Employer)



Version 10 M6


Items Delegated to Authority of Employers Agent (KS Consultant) acting as Project Manager/Supervisor for Key Stage 6

(Clauses appropriate to NEC ECC Option C)

Key Core or Option

Subject title Cl. Sub-cl. Marginal Heading Action Delegated

Yes/No Restrictions

Core General 11 11.2 (1) The programme Acceptance of latest programme No PM to provide comment on programme to EST.

Core General 13 13.4 Communications Reply to communications Yes

Core General 13 13.5 Communications Extension of period of reply Yes

Core General 13 13.8 Communications Withhold acceptance of submission by the contractor.

Yes PM to communicate to EST

Core General 16 16.1 Early Warning Issue / receipt of early warning notices. Yes PM to issue schedule of early warning notices to EST.

Core General 16 16.2 Early Warning Instructing to attend a risk reduction meeting.

Yes

Core General 16 16.4 Early Warning Recording risk register. Yes PM to inform EST of significant increase in risk

Core General 17 17.1 Ambiguities and inconsistencies

Notification and/or instruction to resolve ambiguity or inconsistency.

Yes

Core General 18 18.1 Illegal and impossible requirements.

Instruction to change scope if has illegal / impossible requirements.

Yes PM to communicate to EST

Core General 19 19.1 Prevention Instruction of how to deal with an unforeseeable event.

Yes PM to obtain approval of EST


20 20.2 The Employer's obligations

Instruction which changes the scope or a key date.

Yes EA to advise EST and obtain approval of EST over the lesser of £250,000 or 5% of Tender Cost


24 24.1 People Acceptance of replacement key person. No PM to recommend approval/rejection to EST



Version 10 M7




Key Core or Option


Yes/No Restrictions


24 24.2 People Instructing the removal of a contractors' employee from project.

Yes PM to seek prior approval of EST if practical.


26 26.2 Subcontracting Acceptance of a sub contractor Yes PM must communicate to EST


26 26.3 Subcontracting Acceptance of sub contracting conditions. Yes PM must communicate to EST

Core Time 30 30.2 Starting, Completion

Deciding the date of completion & certifying. Yes

Core Time 32 32.2 Revising the programme

Acceptance of revised programme. Yes PM must communicate to EST.

Core Time 34 34.1 Instructions to stop or not start work

Instructing to stop or not start work. Yes PM must seek approval of EST if practical.

Core Quality 40 40.2 Quality management system

Acceptance of policy statement and quality plan.

Yes

Core Quality 43 43.1 Correcting Defects Notification of any defects found. Yes

Core Quality 45 45.2 Correcting Defects Assessing cost of unresolved defects. Yes

Core Payment 50 50.1 Assessing the amount due

Assessing the amount due. Yes

Core Payment 51 51.1 Payment Certifying a payment. Yes

Core Payment 51 51.3 Payment Correcting payment amounts. Yes



Version 10 M8




Key Core or Option


Yes/No Restrictions



Notifying CE and instructing submission of a quotation.

Yes



Instruction to submit quotation for proposed instruction.

Yes



Deciding a notified event does not have cost, programme etc. effects.

Yes



Deciding that an EWN should have been given.

Yes



Stating assumptions on uncertain compensation events.

Yes



Instruct contractor to provide alternative quotations.

Yes



Reply to CE. Yes Subject to the limitations on value



Instruct contractor to submit revised quotations.

Yes



Extension of time to submit / reply to quotation.

Yes Communicated to EST



Version 10 M9




Key Core or Option


Yes/No Restrictions



Assessing a compensation event. Yes Communicated to EST



Assessing CE with reference to programme. Yes Communicated to EST



Notifying contractor of assessment. Yes


65 65.1 Implementing compensation events

Implementing a CE by notifying the contractor.

Yes

Core Rights to material

71 71.1 Vesting Marking of Equipment Yes Communicated to EST

Core Indemnity, insurance & liability

81 81.1 Insurance cover Receipt and issue of insurances Yes Confirmation provided to EST that appropriate Insurances are in place

Core Termination 90 90.1, 90.3 & 90.4

Termination Issue of termination of contractors services. No EA to provide recommendations

Core Termination 92 92.1 & 92.2

Payment on termination

Assessment of payment value. Yes

Main Option Option C: Target contract

21 21.4 The consultant's obligations

Receipt of total time charges and expenses from contractor.

Yes


24 24.4 Subcontracting Instruction to submit subcontract contracts. Yes


52 52.3 Records Inspection Inspection of Contractors accounts and records

Yes



Version 10 M10




Key Core or Option


Yes/No Restrictions


53 53.1, 53.3, 53.4

Contractors Share Assessment of Contractors Share Yes


54 54.2 Activity schedule Acceptance of Revised Activity Schedule Yes


54 54.3 Activity schedule Rejection of Revised Activity Schedule Yes


63 63.15 Assessing Compensation Events

Agreement to the use of the Shorter Schedule of Cost Components

Yes


93 93.4, 93.6

Payment on termination

Assessment of contractors share. No EA to Provide EST with assessment

Dispute Resolution

Option W2 W2 W2.1 Dispute resolution Referring to an adjudicator. No

EA shall provide all the information necessary for the Employer to undertake an adjudication whether as referer or recipient of a notice.

* EA refers to KSA Consultant (ECC Project Manager)

* EST refers to Economy, Science & Transport (The Employer)



Version 10 N1

Appendix N: Form of Parent Company Guarantee



Version 10 N2

[Name of Contractor to be inserted] and

[Name of Sub Contractor to be inserted]

FORM OF PARENT COMPANY GUARANTEE

Relating to the provision of professional services for the detailed design and

construction of the [Insert Scheme Name]

Trafnidiaeth Transport

M4 Junction 28 Improvements May 2014



Version 10 N3

FORM OF PARENT COMPANY GUARANTEE

THIS GUARANTEE is made as a deed the day of

BETWEEN

1. (…………) whose registered office is at (ADDRESS) (“the Guarantor”);

2. The Welsh Ministers whose principal place of business is at Crown

Buildings, Cathays Park, Cardiff CF10 3NQ

3. [ ] whose registered office is at [ ] ("the Contractor")

RECITALS

A. The Employer has entered into a contract dated [ ] ("the Contract" which

term shall include any variation of such contract or supplemental agreement in

connection therewith agreed between the Employer and the Contractor) with the

Contractor to carry out and complete [the works ……….] for a price, as defined in the

Contract, of […………] pounds, [£…………] in accordance with the Contract

B. The Guarantor has agreed to guarantee to the Employer the due and proper

performance by the Contractor of the Contractor’s obligations arising under the

Contract upon the terms of this Deed.

IT IS HEREBY AGREED that in consideration of the Employer entering into the

Contract with the Contractor and the payment of One Pound (receipt of which is

hereby acknowledged by the Guarantor):-



Version 10 N4

OPERATIVE PROVISIONS

1. Unless the context otherwise requires words and expressions in this Guarantee

have the same meetings as set out in the Contract.

2. The Guarantor guarantees unconditionally and irrevocably as a primary

obligation to the Employer and not as a surety that the Contractor shall perform all of

his obligations or liabilities contained in and in accordance with the Contract.

3. If the Contractor shall fail to so perform any of his obligations under the Contract

or any of his liabilities arising out of or in connection with the same, the Guarantor

shall:

3.1 forthwith perform such obligations or liabilities on the same terms or

conditions as contained in the Contract or cause a third party acceptable

to the Employer to so perform such obligations or liabilities on the same

terms and conditions, the due or forthwith performance of which the

Guarantor shall guarantee by virtue of this Guarantee as if such third party

were the Contractor. The Contractor hereby acknowledges the

Guarantor’s right to take over performance of the Contract as set out in

this clause; and

3.2 the Guarantor shall, upon the Employer’s demand, pay to the Employer

all losses, damages, expenses or costs suffered or incurred by reason of

the Contractor’s default (including any suffered or incurred in enforcing

rights or other proceedings reasonably pursued against the Contractor

and/or the Guarantor)



Version 10 N5

4. Notwithstanding anything to the contrary contained in this Guarantee in no

circumstances shall the liability and/or the obligations of the Guarantor to the

Employer under this Guarantee (whether as to extent or duration) exceed the liability

and/or the obligations of the Contractor to the Employer under the terms of the

Contract determined on the basis that the Contract has full force and effect;

5. The variation, amendment, extension or suspension of the Contract or the

giving of time by the Employer or any negligence or forbearance by the Employer in

enforcing its obligations either under the Contract or under this Guarantee or any

other indulgence, concession or arrangement granted, made or entered into by the

Employer shall not in any way prejudice the Guarantor's obligations under this

Guarantee to the Employer, in whole or in part, pursuant to the terms thereof.

6. The Guarantor acknowledges and agrees that:-

6.1 no change in the status, function, control or ownership of the Contractor;

6.2 the liquidation, receivership, administration, insolvency, reorganisation or

dissolution or any equivalent or analogous event relating to the Contractor,

nor any disclaimer of the Contract by a liquidator; and

6.3 no other act or omission which (but for this provision) might have operated

to release, exonerate or discharge the Guarantor or otherwise reduce,

extinguish or adversely affect any liability of the Guarantor under the terms

of this Deed;

shall in any way release, exonerate or discharge the Guarantor from any liability

under the terms of this Deed or reduce, extinguish or otherwise adversely affect any

such liability, and the Guarantor hereby waives notice to it of any such event.

7. The Guarantor hereby authorises the Contractor and the Employer to make any

amendment or variation to the Contract, the due performance of which amendment

or variation shall be likewise guaranteed in accordance with the terms of this

Guarantee.



Version 10 N6

8. Subject to the terms of this Guarantee, the rights and liabilities of the Guarantor

under this Guarantee shall be co-extensive with the rights and liabilities of the

Contractor under the Contract. For such purposes the terms and conditions of the

Contract are deemed to be incorporated within this Guarantee.

9. The Employer may assign the benefit of this Guarantee without the prior written

consent of the Guarantor provided that this Guarantee is only assigned as part of the

Contract. The Guarantor shall not assign or part with any interest whatsoever.

10. Any notice or other communication required under this Guarantee shall be given

in writing and shall be deemed to have been properly given if compliance is made

with Section 196 of the Law of Property Act 1925 (as amended by the Recorded

Delivery Service Act 1962).

11. No person who is not a party to this Guarantee shall have a right to enforce any

term of the Guarantee by virtue of the provisions of the Contracts (Rights of Third

Parties) Act 1999.

12. The Guarantee shall come into force on the day it is dated. This Guarantee

shall continue in effect until all the obligations and liabilities of the Contractor under or

in connection with the Contract have been performed and complied with and

notwithstanding any change in the shareholding by the Guarantor in the Contractor

but in any event this Guarantee shall expire in full not later than [insert date - being

12 years after the Completion Date].



Version 10 N7

13. This Guarantee is subject to English law and the jurisdiction of the Courts of

England and Wales.

Delivered as a deed on the date of this document.

Executed by (COMPANY) acting by two directors

or one director and the company secretary:

Director – Signature:…………………………………….

Print Name:……………………………………..............

Director/Secretary – Signature:………………………..

Print Name:………………………………………………

“The seal of THE WELSH MINISTERS

The application of the Seal of the Welsh Ministers is AUTHENTICATED by [leave blank – to

be completed by signatory] who is duly authorised for that purpose by the Director of Legal Services by authority of the Welsh Ministers under Section 90 (2) of the Government of Wales Act 2006”

Signed

.....................……………………….(Name)



Version 10 O1

Appendix O: Form of Collateral Warranty



Version 10 O2

[Name of Contractor to be inserted] and

[Name of Sub Contractor to be inserted]

SUB-CONTRACTOR’S DEED OF WARRANTY

Relating to the provision of professional services for the detailed design and

construction of the [Insert Scheme Name]

Trafnidiaeth Transport

M4 Junction 28 Improvements May 2014



Version 10 O3

THIS AGREEMENT is made the day of 20[ ]

BETWEEN:-

1. [] (Company Registration No. []) of/whose registered office is at [] (“the Sub-

Contractor”); and

2. The Welsh Ministers whose principal place of business is at Crown Buildings,

Cathays Park, Cardiff CF10 3NQ (“the Employer”);

(“the Beneficiary”, which term shall include all permitted assignees under this

Agreement); [and

3. [] (Company Registration No. []) of/whose registered office is at [] (“the Contractor”);

and

WHEREAS:

AThe Beneficiary has appointed the Contractor under a contract (“the Highway Contract”

which term shall include any enforceable agreements reached between the Beneficiary and

the Contractor and which arise out of and relate to the same) dated [] to design and

construct and complete] [description of the works] (“the Works” which term shall include

any changes to the Works in accordance with the Highway Contract referred to in this

recital A) [and known or to be known as [insert scheme Name]] (“the Project”)

BBy a sub-contract dated [] (“the Sub-Contract” which term shall include any enforceable

agreements reached between the Contractor and the Sub-Contractor and which arise out of

and relate to the same) the Contractor has engaged the Sub-Contractor in connection with

[insert scheme Name]] (“the Subcontract Works” which term shall include any changes to

such works in accordance with the Sub-Contract referred to in this recital B).

C It is a condition of the Sub-Contract that the Sub-Contractor will enter into this Agreement with the Beneficiary.



Version 10 O4

In consideration of the payment of one pound (£1.00) by the Beneficiary to the Sub-Contractor receipt of which the Sub-Contractor acknowledges and without prejudice to the rights and obligations of the parties to this Agreement under any other contract IT IS HEREBY AGREED as follows:- 1.

1.1 The Sub-Contractor warrants that it has complied and will continue to comply with

the Sub-Contract (and, where relevant, the Highway Contract) and that it has

carried out and will continue to carry out and complete the Sub-Contract Works in

accordance with all of the terms and conditions of the Sub-Contract (and, where

relevant, the terms and conditions of the Contract).

1.2 The Sub-Contractor further covenants with the Beneficiary and warrants that:-

(i) to the extent that the Sub-Contractor has been or will be responsible for the

design of the Sub-Contract Works they have exercised and will continue to

exercise all the skill, care and diligence to be expected of properly qualified

and competent Architect, Engineer or other appropriate professional designer

with experience in carrying out such work for projects of a similar size, scope,

nature, complexity and value to the Sub-Contract Works;

(ii) the Sub-Contract Works will satisfy in every respect any relevant performance

specification or any requirement included in, referred to or to be implied from

the Sub-Contract and will be suitable in every respect for the purposes

included in or reasonably to be inferred from the Sub-Contract; and

(iii) all workmanship and services and all materials and goods supplied by or on

behalf of the Sub-Contractor in relation to the Sub-Contract Works shall

comply with terms or conditions normally implied by statute or by law in

relation to such matters; and

(iv) the Sub-Contract Works will fully comply with the statutory requirements

included in, referred to or to be implied from the Sub-Contract.

2

2.1 Without prejudice to the generality of Clause 1, the Sub-Contractor further warrants

that it has not specified or used and will not specify or use in the Sub-Contract Works:

2.1.1 products, goods or materials generally known at the time of specification to be

deleterious to health and safety or to the durability of buildings and/or other structures



Version 10 O5

and/or finishes and/or plant and machinery in the particular circumstances in which

they are used; and/or

2.1.2 products, goods or materials which do not accord with British or European Union

Standards and/or Codes of Practice current at the time of specification or such

equivalent standards or requirements and good building practice; and/or

2.1.3 products, goods or materials which do not accord with the guidelines contained in the

edition of the publication "Good Practice in the Selection of Construction Materials"

(Ove Arup & Partners) current at the time of specification.

2.2 If in the performance of its duties under the Sub-Contract the Sub-Contractor

becomes aware that it or any other person has specified or used, or authorised or

approved the specification or used by others of any such products or materials

prohibited by clause 2.1 of this Agreement, the Sub-Contractor will notify the

Beneficiary in writing forthwith.

3

3.1 The copyright in all drawings, reports, models, specifications, bills of quantities,

calculations and other documents and information (whether created or stored

electronically or otherwise) prepared or under preparation by or on behalf of the Sub-

Contractor in connection with the Sub-Contract Works (together referred to in this

Clause 3 as “the Documents”) shall remain vested in the Sub-Contractor but the

Beneficiary and its appointee shall have an irrevocable royalty-free and non-exclusive

licence to copy and use the Documents and to reproduce the designs and content of

them for any purpose related to the Works or to the Project including, but without

limitation, the construction, completion, extension, maintenance, letting, promotion,

advertisement, reinstatement, refurbishment and repair of the Works and/or the

Project. Such licence shall be transferable to third parties without the consent of the

Sub-Contractor being required and shall include the right to grant sub-licences.

3.2 The Sub-Contractor shall not be liable for any use by the Beneficiary or its appointee

of any of the Documents for any purpose other than that for which the same were

prepared by or on behalf of the Sub-Contractor.

3.3 Where the copyright in any of the Documents is not vested in the Sub-Contractor, the

Sub-Contractor shall procure that the person in whom the copyright is vested grants

to the Beneficiary a licence similar to that granted in clause 3.1 (or the Sub-



Version 10 O6

Contractor shall itself grant a sub-licence having the same effect, if it has the right to

do so) in relation to all such Documents.

3.4 The Sub-Contractor shall provide to the Beneficiary upon request copies of the

Documents, the Beneficiary paying to the Sub-Contractor the reasonable copying

charges.

4

4.1 The Sub-Contractor shall from the date of the Sub-Contract take out and maintain

(promptly paying all premiums) professional indemnity insurance with well established

insurers of good repute in an amount of [(£)] [for any one claim] [for any occurrence

or series of occurrences arising out of any one event] [in the aggregate in any one

period of insurance] [(save that such insurance shall be in the aggregate in respect of

claims relating to pollution or contamination)] for a period of 12 years from the date of

Completion of the Works (or of Completion of a Section of the Works where the

Highway Contract is modified for completion by phased sections) under the Highway

Contract, provided always that at the date of this Agreement and thereafter such

insurance is available at commercially reasonable rates. The Sub-Contractor shall

immediately inform the Beneficiary if such insurance is not or ceases to be available

at commercially reasonable rates in order that the Sub-Contractor and the Beneficiary

can discuss the means of best protecting the Sub-Contractor and the Beneficiary in

the absence of such insurance. As and when it is reasonably requested to do so by

the Beneficiary or its appointee, the Sub-Contractor shall produce for inspection

documentary evidence that its professional indemnity insurance is being maintained.

5

5.1 This Agreement may be assigned twice by the Beneficiary by way of absolute legal

assignment to any party without the consent of the Sub-Contractor being required

and such assignment shall be effective upon written notice thereof being given to the

Sub-Contractor. Any assignment thereafter shall require the Sub-Contractor’s

consent (such consent not to be unreasonably withheld or delayed).

5.2 The Sub-Contractor shall not contend or argue that any person to whom the benefit of

this Agreement may be assigned or otherwise dealt with by the Beneficiary pursuant

to clause 5.1 shall be precluded or prevented from recovering under this Agreement

any loss or damage resulting from any breach of this Agreement by the Sub-

Contractor (whenever it happens) by reason of the fact that such person is an



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assignee only or otherwise not the Beneficiary or because the loss or damage

suffered has been suffered by such person only and not by the Beneficiary or

because the loss or damage suffered is not the same as or is different from that

which has been or would have been suffered by the Beneficiary

6

6.1 Any notice to be given by the Sub-Contractor hereunder shall be deemed to be duly

given if it is delivered by hand at or sent by registered post or recorded delivery to the

Beneficiary at the above address; and any notice given by the Beneficiary hereunder

shall be deemed to be duly given if it is delivered by hand at or sent by registered

post or recorded delivery to the above mentioned address of the Sub-Contractor or to

the principal business address of the Sub-Contractor for the time being and, in the

case of any such notices, the same shall if sent by registered post or recorded

delivery be deemed to have been received forty eight hours after being posted.

7

7.1 The liability of the Sub-Contractor under this Agreement shall not be released

diminished or in any other way affected by

7.2 any independent enquiry, testing or investigation into any relevant matter which may

be made or carried out by or on behalf of the Beneficiary or the failure to carry out

any such independent enquiry, testing or investigation; and/or

7.3 any approval, consent, perusal or endorsement given or made by or on behalf of the

Beneficiary or the failure to give or make any such approval, consent, perusal or

endorsement

8

8.1 No variation to the Sub-Contract, nor any waiver of rights or compromise by the

Contractor under or in respect of the Sub-Contract or any acceptance of any part of

the Sub-Contract Works not being in accordance with the Sub-Contract, shall limit or

reduce the rights of the Beneficiary under this Agreement unless done with the

Beneficiary’s express written consent.



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9

9.1 No action or proceedings for any breach of this Agreement shall be commenced

against the Sub-Contractor after the expiry of 12 years from the date of Completion of

the Works under the Highway Contract or, where the Highway Contract is modified

for completion by phased sections, no action or proceedings for any breach of this

Agreement shall be commenced against the Sub-Contractor in respect of any Section

after the expiry of 12 years from the date of Completion of such Section.

10

10.1 Save as expressly stated herein the Contracts (Rights of Third Parties) Act 1999 shall

not operate to create rights in favour of anyone other than the parties to this

Agreement.

11

11.1 The construction validity and performance of this Agreement shall be governed by the

law of England and Wales and the parties agree to submit to the non-exclusive

jurisdiction of the English and Welsh Courts.

“EXECUTED AS A DEED BY APPLYING THE SEAL OF THE WELSH MINISTERS The application of the Seal of the Welsh Ministers is AUTHENTICATED by [leave blank – to

be completed by signatory] who is duly authorised for that purpose by the Director of Legal Services by authority of the Welsh Ministers under Section 90 (2) of the Government of Wales Act 2006”

Signed

.....................……………………….(Name)



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AND AS A DEED BY THE SUB-CONTRACTOR

hereinbefore mentioned namely []

by affixing hereto its common seal

in the presence of:-

………………………………………… Director

………………………………………… Director/Secretary

OR ------------------------------------------------------------------------------------------------------ acting by a director and its secretary/two directors whose signatures are here subscribed

namely……………………………………………………..

[Signature]…….…………………………………………. Director

AND AS A DEED BY THE CONTRACTOR

hereinbefore mentioned namely []

by affixing hereto its common seal

in the presence of:-

………………………………………… Director

………………………………………… Director/Secretary

OR ------------------------------------------------------------------------------------------------------

acting by a director and its secretary/two directors whose signatures are here subscribed

namely……………………………………………………..

[Signature]…….…………………………………………. Director

and………………………………………………………...

[Signature]……..………………………………………… Director/Secretary



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Appendix P: The Value for Money Manual – Part 4 Risk Analysis and Management



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