Asset Support Contract Model Service Information Annex 6 ...assets.highways.gov.uk/about-us/.../ASC...6_Information_Systems.pdf · Annex 6 – Information Systems ASC, Issue 1, Revision

ASC Model Contract Service Information

Annex 6 – Information Systems

ASC, Issue 1, Revision 1 April 2011Page A6-1

Asset Support Contract

Model Service Information

Annex 6Information Systems




SERVICE INFORMATION FOR ASC

ANNEX 6

CONTENTS AMENDMENT SHEET

Amend . No.

IssueDate Amendments Initials Date

1 Reference to AMOR Part 13amended to 14 on page A6-12Structures Management and

Information Systems

KM 27/04/11




LIST OF CONTENTS

6 INFORMATION SYSTEMS.....................................................................................4

6.1 General Requirements.......................................................................................4

6.2 Provider Information Systems..........................................................................5

6.3 Employer Information Systems........................................................................5

6.4 Access Requirements to Information Systems provided by the Employer 5

6.5 Access Requirements to Information Systems provided by the Provider.....7

6.6 Provider Security and User Access.................................................................7

6.7 Software and Licences......................................................................................7

6.8 New Account Management and Ongoing Account Management...................7

6.9 Liaison and cooperation between Employer and Provider............................8




6 INFORMATION SYSTEMS

6.1 General Requirements

6.1.1 This Annex sets out the requirements in respect of Information Systems,including Systems that:

(1) Are developed, procured, provided and made available to theEmployer by the Provider for the purposes of performing theinformation requirements under this contract;

(2) are developed, procured and provided by the Provider relating to itsown corporate business and operations of performing theinformation requirements under this contract;

(3) are provided or made available by the Employer for use by theProvider for the purposes of performing the informationrequirements under this contract; and

(4) are likely to be provided or made available by the Employer for useby the Provider for the purposes of performing the informationrequirements under this contract.

6.1.2 To the extent that the Provider is required to create or maintain anyinformation under this contract on a computer or otherwise in electronicformat, the Provider ensures that, at all times:

(1) such a format is agreed with the Employer;

(2) such information is maintained to allow fast and efficient electronictransfer of information to the Employer or agreed third parties(including Contractors) without additional expenditure by theEmployer or the need for complex or expensive procedures orprocesses, and in any event in such format as complies with theEmployer's requirements for such transfer;

(3) such information is backed-up and copies are held in off-site storagein accordance with procedures agreed with the Employer; and

(4) it implements and complies with (and ensures that itsSubcontractors implement and comply with) all procedures forinformation back-up and off-site storage referred to in thisparagraph.

6.1.3 The Provider maintains all its Information Systems so as to enable their:

(1) segregation from any other computer or electronic storage devices,Systems, materials or information of the Provider; and




(2) transfer to the Employer or an Incoming Provider;

efficiently and without additional expense or delay immediately ontermination or expiry of this contract.

6.2 Provider Information Systems

6.2.1 The Provider, at the access date:

(1) has in place and provides or makes available to the Employerappropriate Information Systems (and relevant hardware required touse such Information Systems) of the type set out in Table 6.1, tocomply with the Employer information requirements and the contractmanagement information requirements; and

(2) has in place Information Systems (electronic or otherwise) of thetype set out in the non-exhaustive list in Table 6.2, to comply withthe Provider information requirements concerning its own corporatebusiness and operations.

6.3 Employer Information Systems

6.3.1 Unless otherwise agreed with the Employer, the Provider uses andinterfaces with the Employer’s Current Systems (Table 6.3) and NewSystems (Table 6.4) when available.

6.4 Access Requirements to Information Systems provided by theEmployer

6.4.1 Gateway access requirements

(1) The Business Information Gateway or its successor (the Gateway) isthe interface through which:

• the Provider is required to access the Highways Agency Business ITNetwork (HABIT) and the Employer Information Systems held withinHABIT; and

• the Employer may access one or more of the Provider InformationSystems and documents.

6.4.2 Unless otherwise agreed with the Employer, the Provider connects to theGateway, using a Virtual Private Network specified by the Employer.

6.4.3 The Provider:

(1) Applies to the Employer for authorisation to connect to the Gatewayand connects to the Gateway in a manner to be specified by theEmployer;




(2) procures and pays for the installation and ongoing costs ofconnection of any of its premises or Information Systems to theGateway through a telecommunications network, taking into accountthe data volume and the number of the Provider’s staff that itexpects to use the link;

(3) arranges suitable support and business continuity for connection tothe Gateway;

(4) facilitates the installation and maintenance of the Gateway by theEmployer’s contractors;

(5) employs appropriate requirements and procedures, and trains it staffto operate the Current Systems;

(6) attends training in connection with the implementation, and whereappropriate, the Provider facilitates the implementation of NewSystems and any other systems required by the Employer; and

(7) does not alter any documents provided by the Employer through theGateway (which are the exclusive property of the Employer) withoutthe prior acceptance of the Service Manager.

6.4.4 The Provider acknowledges that:

(1) the network technology underlying the Gateway is subject to changefrom time to time; and

(2) access through and continued membership of the Gateway shall bedependent on the Provider complying with (and the Provider shallcomply with):

• Applicable user access requirements;

• Her Majesty’s Government Manual for Protective Security; and

• other technical and security requirements set out in Annex 4(Confidentiality and Security), and the Asset Maintenance andOperational Requirements (AMOR).

6.4.5 The connection point to the Gateway situated at the Provider’s premisesshall be located in a secure room and protected from theft, damage,unauthorised or malicious use. The location shall remain fixed for theduration of the contract unless the Provider requests and the ServiceManager approves a new location.

6.4.6 Other access requirements

(1) Employer Information Systems not covered by clause 6.4.1 may beaccessed through the Internet via third party hosts and using




relevant software applications installed on Provider systems. Theyare not subject to the same security and related accessrequirements that apply to Employer Information Systems accessedthrough the Gateway.

(2) The Provider may request authorisation and other details regardinginternet access to such Employer Information Systems from theService Manager.

(3) For guidance, the right column in Table 6.3 and 6.4 indicateswhether access to the Employer Information Systems is required viathe Gateway.

6.5 Access Requirements to Information Systems provided by the Provider

6.5.1 The Provider provides the Employer remote access to the ProviderInformation Systems and related documents:

(1) Either through the Gateway; or

(2) through another interface agreed by the Employer.

6.5.2 Any access required by the Employer to systems provided by the Providermust be made available via the Gateway or by other remote accessmethods agreed by the Service Manager.

6.6 Provider Security and User Access

6.6.1 The Provider ensures that all persons who use Employer InformationSystems for or on behalf of the Provider comply with the securityrequirements set out in Annex 4 (Confidentiality and Security), and theAMOR.

6.6.2 The Provider is responsible for determining any formal application andsecurity clearance requirements to enable the Employer to access anyInformation Systems provided by the Provider. The Provider informs theEmployer of those requirements, including timescales, not later than eightweeks before the access date.

6.7 Software and Licences

6.7.1 The Provider grants, or procures the grant of, licences required to allow theEmployer to use the Information Systems developed, procured or otherwiseprovided by the Provider to the Employer.

6.7.2 The Provider has in place or procures its own licences required to usecommon software applications that it may require to be able to interfacewith, or to access Employer Information Systems.

6.7.3 The Provider applies to the Employer for licences to allow the Provider touse certain Information Systems provided or made available by theEmployer.




6.8 New Account Management and Ongoing Account Management

6.8.1 In relation to new and ongoing Information System account management,the Provider complies with the relevant requirements in the AMOR.

6.9 Liaison and cooperation between Employer and Provider

6.9.1 The Employer is adopting an Information Technology Infrastructure Librarybest practice approach for Information Communication and Technology(ICT) services. The Provider will be expected to demonstrate a formalapproach to its ICT service management through the development of anICT strategy and make its ICT strategy available to the Employer.

ASC Model Contract Service InformationAnnex 6 – Information Systems


Table 6.1: Systems provided by the Provider to meet Employer and ContractManagement Information Requirements

InformationSystem Description Reference / Comment

Routine andPlannedMaintenanceSystem

The Provider will maintain a database torecord their routine and plannedmaintenance on the network.

The database system will have the followinginteroperable functions and capabilities;

• The ability to capture, store andreport asset inventory and defectdata for all assets managedthrough the contract

• A Works Order System to manageroutine and planned maintenance

• The ability to export the data in anagreed format for upload into anEmployer system when requestedby Employer

The Provider is responsible for ensuring thatall data held in this system that are MasterData Sets in an Employer’s system are up todate and the Employer’s system remains themost up to date record of these data

ADMM Provider Requirements

EnvIS Format Data System

A system to capture Environmental data andprovide the export files as detailed in therelevant requirements.

DMRB Vol 10 Section 0, replaced inEngland with IAN 84/10

IncidentResponse(IR)DataCapture System

System to enable the capture of AIR datacapture information and its transfer to theEmployer.

AMOR Part 3

Land OwnershipSystem

Electronic management Information Systemfor registered land ownership

Memorandum TR138D – Notes onthe Preparation of Land Plans andReference Schedules

AccidentsDatabase

An accident recording, analysis andreporting System to support the Employer’sSafety Strategy

AMOR Part 3

ElectronicDocument andRecordsManagement

The Provider shall operate an InformationSystem for the management of electronicdocuments and records (including e-mails)which are created and maintained on behalfof the Employer. Documents and recordsare defined in The Agency Records Policy, acopy of which can be obtained from theEmployer

The Provider shall seek agreement throughthe Employer, regarding the developmentand implementation of an InformationSystem for electronically managing both theelectronic and physical records which theProvider creates and maintains on behalf ofthe Employer. This Information System isrequired for the capture, retention anddisposal of all electronic format documentsand other records



Table 6.2: Examples of Information Systems as provided by the Provider to fulfilthe requirements of the Provider’s own business and effective delivery of thecontract

System Comment

Quality ManagementSystem

It is expected that the Provider will implement a quality management InformationSystem which will ensure consistency and improvement of working practices. TheProvider should align its quality management Information System to meet thequality requirement used by the Employer

Table 6.1: Systems provided by the Provider to meet Employer and ContractManagement Information Requirements

InformationSystem Description Reference / Comment

Street WorksRegister

The Provider is to manage and operate aSystem to meet the requirements of the NewRoads and Street Works Act 1991 or asamended by the Traffic Management Act2004.

NRSWA 1991 Section 53 asamended by TMA

System forAbnormalindivisible Loads

The Provider in discharging its duties set outin paragraphs 6.2.1 of the ServiceInformation, shall provide and make use ofan electronic System (the “AIL System”): Itis also expected that the Provider willimplement a system for managing abnormalindivisible loads taking into account theongoing development of the ESDAL System

AMOR Part 2

Other datasystems

The Provider will employ appropriate datasystems and data management processesto manage any data that are currently notmanaged by the Employer’s IT Systems butare required under the contract as specifiedin Annex 25. These will include but not belimited to:

• Crash Cushions

• End Terminations (P4s)

ADMM Provider Requirements



Table 6.2: Examples of Information Systems as provided by the Provider to fulfilthe requirements of the Provider’s own business and effective delivery of thecontract

System Comment

CollaborationSystem

It is expected that the Provider will exploit collaboration technologies

Change ControlSystem

This Information System will manage changes to processes and Systems

CustomerRelationshipManagement System(CRM)

This Information System will manage the CRM strategy to ensure long lastingrelationships with the Provider’s customers

The CRM Information System will seek to improve customer service by performingfunctions such as identifying what customers value the most and providing aneffective mechanism to handle problems and complaints

Human ResourceManagement System(HRMS)

It is expected that the Provider will use a HRMS to manage issues such asrecruitment, skill sets, employee history and payroll

FacilitiesManagement System

The Provider shall use an Information System to ensure that the Provider’s officeestate is managed effectively and efficiently to provide Provider staff with a safe,healthy and secure environment

FinancialManagement System(FMS)

The Provider will use a FMS to produce timely in-year and year-end managementand accounting information

Project ManagementSystem

System to assist in the planning and organisation of activities in order to meet theProvider’s objectives

Table 6.3: Current Systems provided by the Employer to meet the contractmanagement information requirements

Current InformationSystem Description Reference /

Comment

AccessVia

Gateway(Y/N)





Comment

AccessVia

Gateway(Y/N)

Highways AgencyTraffic InformationSystem (HATRIS)

Stores historical traffic flow and journeytime/speed data collected on the motorwayand all-purpose trunk road network. HATRIScurrently contains two distinct databases:

• TRADS (Traffic Flow DatabaseSystem). This contains hourlycount data from inductive loops atapproximately 1000 locationsacross the Employer’s network

• JTDB (Journey Time Database). This contains average speeds andtotal flow for each 15 minute periodthroughout the year for eachjunction to junction link on theEmployer’s core network. Journeyspeed data is currently taken fromfour sources - MIDAS, NTCC andTrafficMaster ANPR cameras, andITIS GPS vehicles

N

eContrack An internet hosted and centrally populatedPerformance Management InformationSystem for use in determining AreaPerformance Indicators (API’s)

N

“MotivatingSuccess” - A Toolkitfor PerformanceMeasurement

a. maintenanceb. major projectsSystem to measure performance ofa. maintenance contracts orb major construction projects

Procurement SupplyChain Management

N

Accident IncidentReporting System(AIRSweb)

The AIRSweb incident reporting InformationSystem, allowing the completion of a singleincident report online, which can besubmitted to several organisations

N





Comment

AccessVia

Gateway(Y/N)

Highways AgencyPavementManagementSystem (HAPMS)

HAPMS is a set of IT systems that hold thefollowing data sets:

• Approved network master data set

• pavement inventory master data set

• pavement construction master dataset

• pavement condition master data set

• inventory master data set

• traffic data

• accident data

HAPMS also provides the following businesscapabilities:

• Analysis and reporting of data bothin map-based and textual formats

• integrated tools for the whole lifecost optimisation, of proposedpavement maintenance schemes

ADMM ProviderRequirements

Y

Scheduled RoadWorks (SRW)

Tool for recording and managing laneclosure information

AMOR Part 2

StructuresManagementInformation System(SMIS)

SMIS provides operational support tostructures management throughout thelifecycle of the structure

BD 62

AMOR Part 14


Y

SAS tools forDrainage, Geos andStructures

Tools for the whole life cost optimisation ofmaintenance at a Scheme level.

The Provider shall at its own cost use theSAS tools for Drainage Geotechnical andStructures assets as directed by theEmployer in support of specific proposals forindividual Schemes.


Highways AgencyGeotechnical DataManagementSystem (HAGDMS)

Internet hosted and GIS based geotechnicalinventory.


AMOR Part 7

N





Comment

AccessVia

Gateway(Y/N)

Highways AgencyDrainage DataManagementSystem (HADDMS)

Shares the facilities developed for HAGDMSand exists on the same platform. Thisprovides integrated geotechnical/drainageinformation.


AMOR Part 5

N

Project AppraisalReport (PAR)

Allows appraisal details of Local NetworkManagement Schemes to be submitted tothe Employer

Model ServiceInformation Annex 19

N

WebDAS Database of departures from the Employer’srequirements and aspects not covered byrequirements, including SHW specificationdepartures.

AMOR Part 0

CHE Memorandum157/05

DMRB Vol1

Y

Software for Whole-life EconomicEvaluation ofPavements(SWEEP)

SWEEP is a module of HAPMS. It hasfacilities to provide whole life cost estimatesand evaluations for a number of schemeoptions including a do nothing comparison

Y

Highways AgencyTraffic ManagementSystem (HATMS)

Motorway control and communicationsInformation System.

N

National OnlineMotorway AssetDatabase (NOMAD)

Holds details of all communication and otherelectrical equipment on the motorwaynetwork.

N

Cultural HeritageDatabase

Part of HAGIS. Database of CulturalHeritage items.

Part of HAGDMS Y

Winter MaintenanceReporting System(WRF)ICECAST/ICELOG

Provides the Employer with information onthe state of the network and weather relatedincidents

AMOR Part 4 N





Comment

AccessVia

Gateway(Y/N)

Electronic ServiceDelivery forAbnormal Loads(ESDAL)

Allows hauliers to notify abnormal loadmovements on line to the relevant road andstructure owners as well as the police. Eachnotification and route is stored on ESDAL toenable structure owners to assess theproposed route using automated routeappraisal software. Online collaborationwith the haulier is also provided.

Structure data in ESDAL is automaticallyupdated from SMIS at regular intervals andthere is a facility to allow structure owners tomange their structures interactively throughthe web site, adding or amending attributessuch as weight or height constraints.

There is an additional facility to allowconstraints such as road works to be addedto the road network. These can be postdated if necessary.

ESDAL caters for all notices receivedpursuant to Schedule 9 [Service] of the RoadVehicles (Authorisation of Special Types)General Order 2003 and documentaryevidence of advice given to operators andindemnities received from operators.

For further information visithttp://www.highways.gov.uk/esdal

N

HANET Web based Internet-hosted InformationSystem for viewing CCTV camera pictures

N

DevCon Permits Employer logging, processing,control and monitoring of all planningapplications received within the Employer, toensure they are dealt with within the requiredtimescales of planning applications

There is a viewing layer available in HAGISwhich will allow read only access for theProvider.

Y

Streetworks.Electronic Transferof Notices (ETON)

System for the posting of streetwork notices NRSWA 1991 asamended by TMATechnicalSpecification forETON

N

Noise Assessmentand InsulationSystem (NAIS)

GIS based tool for predicting noise impactson the environment surrounding the trunkroad network

N





Comment

AccessVia

Gateway(Y/N)

Motorway AccessPass ProvisionApplication(MAPPA)

System to manage applications formotorway passes

N

HA PartnerNET An internet collaboration site for theEmployer and its partners

N

NTCC DesktopService

Desktop tool providing road performanceinformation (flows, delays, accidents,planned and actual closures)

N

System forManagement (SfM)

The Employer’s finance and accountingInformation System which supports majorbusiness transaction processingrequirements

Y

Highways AgencyManagementInformation System(HAMIS)

Portal Information System providing accessto HAGIS

Y

HAGIS Stores information using the latest digitalmapping, which allows users to viewgeographical data for a specific area of theUK by zooming in and out and using thebuilt in GIS tools

Y

Highways Agency EnvironmentalInformation System(HA)EnvIS

EnvIS consists of specific environmentaldata supplied by Providers, the HA and otherbodies which is collated and displayed in aread only format in the Highways AgencyGeographical Information System (HAGIS).This data is used to assist in managing theenvironment, within and surrounding thetrunk road network, and in the review andreporting of the environmental performanceof both Providers and the Employer.

DMRB Vol 10 Section0

Replaced in Englandwith IAN 84/10

Y

EnergyProcurementStrategy (EPS)inventory data

An ACCESS database containing details oflighting units on the road network and isused to determine energy consumptionprovided by the various energy suppliers.Refer: EPS National Unmetered EnergyContract Inventory Maintenance ProceduresNotes for Providers in accordance with EPSNational Unmetered Energy ContractInventory Maintenance

N





Table 6.4: New Systems to be used by the Provider when available

New InformationSystem Description Reference /

Comment

AccessVia

Gateway(Y/N)

Roads InformationFramework (RIF)

In development but likely to be acomprehensive read only road performancereporting and analysis system to drawtogether roads data such as flows, events,journey times, congestion etc which will helpmore effective management of the strategicand local road network (esp. aimed atrelieving congestion).

Y

Electronic ServiceDelivery forAbnormal Loads(ESDAL)

To provide an assisted route planning andautomated notification system for themanagement of Abnormal Indivisible Loads(AILs) throughout Great Britain or anapproved proprietary system.

For the latestinformation visithttp://www.highways. gov.uk/esdal

Note: It is likely thatESDAL will includesome of theProvidersrequirement toprovide a System forManaging AbnormalIndivisible Loads(Table 6.1above).

Please refer to theAMOR.

N





Comment

AccessVia

Gateway(Y/N)

Green Claims System to enable the electronic submissionof Green Claims information.

Service InformationAnnex 23

Y

Integrated AssetManagementInformation System(IAM IS)

In line with the Integrated AssetManagement (IAM) Strategy the Employer iscurrently reviewing its asset data held in itsown systems including but not limited toHAPMS, SMIS, HAGDMS and HADDMS,and Routine and Planned Maintenance dataheld by Providers on behalf of the Employer.

As part of the IAM strategy the Employerplans to integrate its asset data into a singledata source to ensure consistent asset datafor use by the Employer, its Providers andother asset data stakeholders.

An implementation strategy has yet to befinalised; however, the Provider must beprepared for possible parallel running ofsome legacy Employer and Providersystems, and the IAM IS. The Provider mustalso be prepared, with reasonablenotification, for an immediate or phasedswitch over to IAM IS from legacy systems.

The Provider may also be required to extractand transform Routine and PlannedMaintenance data to a specified data fileformat from their systems, this will includebut not be limited to defect data capturedduring the Providers inspection regime,asset data not currently held within thelegacy data systems and works order data.

Should the Provider continue to capturethese data and manage them in their ownasset management systems then this shallcontinue to be done so at their own cost.

The IAM IS system is intended to be areplacement for existing Employer andProvider systems outlined in this Annexwhich the Provider is required to populatewith accurate and timely data as per section6.3 of this Annex, Annex 24, Annex 25 andthe ADMM Provider Requirements

Partially through theADMM ProviderRequirements

Y





Comment

AccessVia

Gateway(Y/N)

Decision SupportTools (DSTs)

The Employer intends to introduce DecisionSupport Tools (DSTs) for asset maintenanceplanning. If and when requested to by theEmployer, the Provider shall use the DSTsprovided at its own cost to supportproposals for future capital schemes. TheProvider shall provide the Employer onrequest with evidence to demonstrate its useof the DSTs and to support its proposals.


[Note to compiler: Include New Systems known to be in development or likely to beintroduced during the Contract Period]

