Flood Risk Management (Scotland) Act 2009: local authority functions under part 4 guidance

4.9 Appendix I - List of Key Stages

This is an abstract from the Selkirk FPS - Invitation to Tender giving the key stage requirements as an example to assist others.

The list of the stages is given below:

Stage 1: Appoint Consultant

Stage 2: Review Studies

Stage 3: Option Assessment + Public Consultation 1

Stage 4: Outline Design of Preferred Scheme + Public Consultation 2

Stage 5: FPS Order Process

Stage 6: Detailed Design

Stage 7: Procure Contractor

Stage 8: Construction and Maintenance

N.B. - The numbering and references to appendices in the text below do not relate to the numbering in the rest of this Guidance.

2.1. STAGE REQUIREMENTS

2.1.1 Stage 1 - Procure Consultant

This stage is for the procurement of a Consultant to take forward preparation and implementation of the Scheme. The stage ends when the Consultant is appointed.

2.1.2 Stage 2 - Review Existing Studies to Determine All Further Work Required for Full Option Assessment and Detailed Design

2.1.2.1 The Selkirk Flood Study Cost Benefit Analysis report dated May 2006 gives the results of a reduced scope cost benefit analysis for flood defence options for Selkirk. This takes the form of two independent investigations, one based on flooding from the Ettrick Water, which is caused by less intense but prolonged rainfall in the catchment, and the other on flooding from the Long Philip Burn, which is caused by intense localised storms in the upper catchment. The recommendations of this report are:

• the most cost-effective solution for defending Selkirk against flooding for the 200 year event, from the Ettrick Water, is direct defences and
• the most technically feasible solution for defending Selkirk against flooding for the 200 year event, from the Long Philip Burn, is upstream attenuation with limited direct defences in the lower catchment.

This study was however limited in that it did not include any environmental or social appraisal of options. The study is therefore not sufficiently robust to take forward the recommended options and it will be necessary for the Consultant to undertake a full option assessment to determine the preferred option to take forward for implementation.

2.1.2.2 The Consultant will review the Selkirk Flood Study and Cost Benefit Analysis reports and the other previous reports detailed in section 2.3 above along with associated existing historical and modelling information (all provided on an "information only basis"). The Consultant will then determine what further investigation work will be required to undertake a full option assessment as detailed in section 2.8.3 below. The Consultant will be responsible for scoping, procuring, managing and interpreting this further investigation work.

2.1.2.3 The Consultant will be required to take full responsibility for the design of the Scheme.

2.1.2.4 The Consultant will be required to hold a risk workshop with the Project Board on completion of his review of the previous flood studies. He will be required to produce a risk log (or register), product breakdown structure, product descriptions of each product, product flow chart and an updated time plan for project management purposes.

2.1.2.5 A hydrodynamic model of the Ettrick Water, Yarrow Water and Long Philip Burn, in an ISIS format, is available to the Employer. This was used in the preparation of the Selkirk Flood Study and Cost Benefit Analysis reports. A copy of the model is given in Appendix 8, in CD format. This forms part of the tender documentation but the information provided is confidential, must not be copied and is to be returned with the Tender. Tenderers must determine whether or not the model can be developed for use in option assessment.

A two-dimensional model of Selkirk Riverside is also available to the Employer. This was used in the preparation of the Selkirk Riverside Development Assessment and Master Planning and is available on the same basis as above.

2.1.2.6 A LIDAR survey of the river corridors of the Ettrick Water, Yarrow Water and Long Philip Burn and possible attenuation sites has been carried out. A plan showing the extent of the survey is given in Appendix 8. The data in CD format will be made available to Tenderers if requested. A copy of the model will be provided to the Consultant who is appointed to take forward the Scheme.

2.1.2.7 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.2 of the Employer's Requirements will be paid for as a lump sum.

2.1.3 Stage 3 - Option Assessment plus Public Consultation 1 and Landowner Consultation 1

2.1.3.1 The Consultant will develop options and undertake a technical, environmental, social, economic and risk assessment of all the viable options that would fulfil the strategy and objectives of the Scheme. In addition the Consultant will undertake an assessment of the "do nothing" option even though it is not considered a viable option, as this will provide a baseline against which the other options will be compared.

2.1.3.2 The option assessment will take account of any possible secondary flooding behind flood defences arising from the drainage network or groundwater.

2.1.3.3 The option assessment will be undertaken in accordance with the Flood and Coastal Defence Project Appraisal Guidance ( FCDPAG) appraisal framework, latest guidance including supplementary guidance notes, produced by the Department of Environment, Food and Rural Affairs (Defra). Details of this guidance can be found on the Defra website at:- https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/69419/pb13278-erosion-manage-090619.pdf. This series of documents was produced for England and Wales and it is important that it is read in a Scottish context. In addition the Flood and Coastal Defence Project Appraisal Guidance, Economic Appraisal ( FCDPAG3) and Approaches to Risk ( FCDPAG3) have been replaced in Scotland by the Flood Prevention Schemes: Guidance for Local Authorities, Economic Appraisal (Chapter 5) and Approaches to Risk (Chapter 6) respectively, produced by the Scottish Executive, now the Scottish Government. Chapters 5 and 6 will therefore be used in place of FCDPAG3 and FCDPAG4.

2.1.3.4 The Consultant will undertake an Environmental Scoping Study.

2.1.3.5 The Consultant will undertake a Geotechnical Desk Study.

2.1.3.6 This assessment will require survey work to be undertaken as detailed in section 2.10 below.

2.1.3.7 The Consultant will, as part of this option assessment process, undertake extensive consultation with most, if not all, of the parties and bodies listed in Appendix 8. This list is, however, not exhaustive and there may be other parties and bodies which require to be consulted. This consultation will allow the Consultant to arrive at the drivers which will influence the preferred option.

2.1.3.8 The Consultant will, as part of this option assessment process, consult with landowners who may be affected by the options.

2.1.3.9 The Consultant will also, as part of this option assessment process, hold a public exhibition in Selkirk and review the public's response to the options.

2.1.3.10 The Consultant will then compare options, taking account of the consultation process and recommend the option considered to be the preferred option to be taken forward to the Outline Design stage.

2.1.3.11 All of this assessment and comparison work will be reported in an Option Assessment Report which will be in the form given in the Flood and Coastal Defence Project Appraisal Guidance, Overview ( FCDPAG1) - Annex A: Suggested contents of an Appraisal Report.

2.1.3.12 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.3 of the Employer's Requirements will be paid as a lump sum except for topographical survey, ground investigation environmental survey and inspection and assessment of structures and consultations. Topographical survey, ground investigation, Phase 1 Habitat survey and inspection and assessment of structures work will be paid on a percentage fee basis with adjustment for the actual total cost of the contract being above or below the estimated cost. Consultations will be paid for separately under other items in the Tender. The Consultant will also be paid separately for the printing of contract documents and drawings.

2.1.4 Stage 4 - Outline Design of Preferred Scheme plus Public Consultation 2 and Landowner Consultation 2

2.1.4.1 The Consultant will undertake sufficient detailed design work to allow the preferred scheme to be taken forward to Flood Protection Scheme ( FPS) Order stage with confidence.

2.1.4.2 The Consultant will undertake a technical, environmental, economic and risk assessment of the preferred scheme in accordance the Flood and Coastal Defence Project Appraisal Guidance ( FCDPAG) framework and Flood Prevention Schemes: Guidance for Local Authorities as per section 2.8.3.3 above.

2.1.4.3 This assessment will require survey work to be undertaken as detailed in section 2.10 below.

2.1.4.4 The Consultant will, as part of this preferred scheme assessment process, undertake further consultation with the parties and bodies listed in Appendix 8 as per section 2.8.3.4 above.

2.1.4.5 The Consultant will, as part of this option assessment process, consult with landowners who will be affected by the preferred scheme.

2.1.4.6 The Consultant will also, as part of this option assessment process, hold a second public exhibition in Selkirk and review the public's response to the preferred scheme.

2.1.4.7 This assessment will be reported in a Preferred Scheme Assessment Report. This report will include an Environmental Assessment Report and an Environmental Statement. These reports and statement along with the Option Assessment Report will support the FPS Order process.

2.1.4.8 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.4 of the Employer's Requirements will be paid as a lump sum except for topographical survey, ground investigation, inspection and assessment of structures and ecological survey contracts. Topographical survey, ground investigation, inspection and assessment of structures and ecological survey contracts will be paid on a percentage fee basis with adjustment for the actual total cost of the contract being above or below the estimated cost. Consultations will be paid for separately under other items in the Tender. The Consultant will also be paid separately for the printing of contract documents and drawings.

2.1.5 Stage 5 - FPS Order Process complete with Deemed Planning Consent plus CAR Licence Process

2.1.5.1 Following approval by the Employer, the Consultant will develop the Preferred Scheme outline design into a Flood Protection Scheme meeting the requirements of the proposed Flood Risk Management (Scotland) Act 2009 including the preparation of all documentation, drawings and notices.

2.1.5.2 The Consultant will provide all the documentation, drawings and notices required to enable the Employer to publicise the Scheme and submit it to the Scottish Government including serving and displaying relevant documents, drawings and notices as required by the proposed Flood Risk Management (Scotland) Act 2009.

2.1.5.3 Thereafter, the Consultant will assist the Employer in attempting to resolve any objections to the Scheme. The Consultant may be required to provide information and drawings for negotiations with the objector(s) and may be asked to become involved in the negotiations.

2.1.5.4 In the event that a Public Inquiry is held to consider any objections which are not withdrawn, the Consultant will assist the Employer to prepare for the Public Inquiry by providing information, documents and drawings. The Consultant may also be required to attend meetings with the Employer's legal representative and to appear as a witness for the Employer at the Public Inquiry.

2.1.5.5 The Consultant will prepare and submit an application to Scottish Environment Protection Agency for a licence for the Scheme under the Controlled Activities Regulations ( CAR) and will provide any additional information required or undertake any further consultation necessary in order to obtain the licence.

2.1.5.6 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.5 of the Employer's Requirements will be paid in two parts:

The fulfilment of the Employer's Requirements up to and including submission of the Scheme to the Scottish Executive will be paid as a lump sum. The Consultant will be reimbursed separately for printing the documents, notices and drawings required in terms of the proposed Flood Risk Management (Scotland) Act 2009.

Payment for assisting the Employer in attempting to resolve objections to the Scheme will be on an hourly rate basis. The Consultant will be reimbursed separately for printing drawings, etc. requested by the Employer for use in consultations with objectors. If a Public Inquiry is required the Consultant will be paid on an hourly rate basis for assisting the Employer and appearing at the Inquiry.

Payment for submitting an application for a CAR licence plus any further consultation will be on an hourly rate basis.

2.1.6 Stage 6 - Detailed Design and Tender Documentation plus Land Acquisition

2.1.6.1 The Consultant will review the Scheme proposals as confirmed by the Scottish Government along with other relevant documentation such as those required under the Reservoirs Act. The Consultant will undertake final detailed design work and prepare tender documents and drawings for procurement of the works contract under the NEC3 Conditions of Contract.

2.1.6.2 This will include any advance contract such as further topographical survey and ground investigation work.

2.1.6.3 The Consultant will consult with Employer, Scottish Government, Appropriate Bodies, Landowners and Public.

2.1.6.4 The Consultant will produce all necessary land plans and accommodation works drawings and schedules to assist the Employer in obtaining entry to land to allow construction of the Scheme. All estate management and legal work will be arranged by the Employer.

2.1.6.5 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Sections 2.8.6.1 and 2.8.6.2 of the Employer's Requirements will be paid on a percentage fee basis with adjustment for the actual cost of the Works Contract being above or below the estimated cost. The Consultant will be reimbursed separately for printing the necessary contract documents and drawings

Sections 2.8.6.3 and 2.8.6.4 of the Employer's Requirements will be for on an hourly rate basis. The Consultant will be reimbursed separately for printing the necessary drawings and schedules.

Sections 2.8.6.5 of the Employer's Requirements will be paid as a lump sum.

2.1.7 Stage 7 - Procure Contractor

2.1.7.1 The Consultant will produce a prospectus and pre-qualification questionnaire for the works contract which will be available to send out to prospective Tenderers after publication of the Contract Notice in the Official Journal of the European Union.

2.1.7.2 The Consultant will assist the Employer in preparing the relevant Contract Notice for inserting in the Official Journal of the European Union and the selection of suitable Tenderers which will involve the assessment of pre-qualification submissions.

2.1.7.3 The tender documents will be issued by the Employer but the Consultant will assist by dealing with relevant enquiries during the tender period. The Consultant will assist in the tender evaluation process and will submit a report on tenders to the Employer. The Employer will be responsible for awarding the contract.

2.1.7.4 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.7 of the Employer's Requirements will be paid for on an hourly rate basis.

2.1.8 Stage 8 - Construction and Maintenance

2.1.8.1 Following award of the works contract the Consultant will issue contract documents and construction drawing and supervise the construction of the Scheme. The Consultant, acting as the Engineer's Representative, will establish a temporary site office and provide sufficient suitably qualified and experienced full time staff to carry out all relevant duties as follows:

• Supervising and inspecting the construction of the works
• Examining the Contractor's programme and method statements
• Informing the Employer of the progress and cost of the works and updating time and cost plans
• Arranging and chairing regular site progress meetings and producing the minutes of such meetings
• Undertaking monthly and final measurements and submitting such measurements to the Employer so that timely payments can be made to the Contractor.
• Assessing, evaluating and advising the Employer on any variations to the works contract.
• Assessing, evaluating and advising the Employer on the justification of and action to be taken on compensation events submitted by the Contractor including the consequences on contract cost and programme.
• Providing the Employer with record drawings and documents on completion of the works.
• Carrying out post-construction monitoring of the works during the maintenance period.

2.1.8.2 The Consultant will consult with Employer, Scottish Government, Appropriate Bodies, Landowners and Public.

2.1.8.3 The Consultant will provide updated project management information, as per Section 2.6, at the end of this stage.

Section 2.8.8 of the Brief will be paid on a percentage fee basis with adjustment for the actual cost of the Works Contract being above or below the estimated cost

2.1.9 All Stages - Designer Duties and Responsibilities under Construction (Design and Management) Regulations

2.1.9.1 The Consultant will be the Designer for the Scheme under the Construction (Design and Management) Regulations 2007 and will undertake the duties and responsibilities of that role at all stages of the Scheme. This will include identification of health and safety hazards and risks. The Consultant should preferably eliminate these risks through design but if this is not possible he should suggest means of mitigating the risks.

2.1.9.2 The " CDM Coordinator" for the Scheme under the Construction (Design and Management) Regulations 2007 will be appointed by Scottish Borders Council.

[NOTE: superseded by CDM2015]

Section 2.8.9 of the Employer's Requirements will be paid as a lump sum for each stage of the project.

2.2. PROGRAMME

2.2.1 The Consultant, in complying with the terms these Employer's Requirements, will allow for the following outline programme:

Stage 1	Appoint Consultant	Aug 2009
Stage 2	Review Studies	Aug 2009 - Sep 2009 (2 months)
Stage 3	Option Assessment + Public Consultation 1	Sep 2009 - Apr 2010 (7)
Stage 4	Outline Design of Preferred Scheme + Public Consultation 2	Apr 2010 - Sep 2010 (5)
Stage 5	FPS Order Process	Sep 2010 - Jul 2011 (10)
Stage 6	Detailed Design	Sep 2010 - Jul 2011 (10)
Stage 7	Procure Contractor	Jul 2011 - Dec 2011 (5)
Stage 8	Construction and Maintenance	Dec 2011 - Nov 2013 (23)

Note: The above outline programme assumes that it will not be necessary to hold a Public Inquiry to consider objections to the Scheme.