WEM ECC Contracts - User guide

Transcription

1 WEM ECC Contracts - User guide Introduction... 3 ECC Project Managers / Contractors Guide... 7 Contract Data Explained... 7 Pain / Gain... 8 Updating project incentivised cost forecasts Access to contracts Raise an Early Warning Notice (EWN) To respond to an Early Warning Notice (EWN) Adding Meeting Minutes after creating an EWN ECC Project Manager's Instructions Contractor receives an ECC Project Manager s Instruction Notification of Compensation Event by the Contractor or ECC PM Respond to a Contractor s Compensation Event Receiving a reply from the ECC Project Manager Quotation by Contractor Respond to a Contractor s quotation Receiving the response from the ECC Project Manager for a quotation ECC Project Managers Assessment View an ECC Project Manager s Assessment Applications for payment Contractor raises an application for payment ECC PM reviews an application for payment Extend Period for Reply Respond to Extend Period for Reply Notice of Late ECC Project Manager s Reply P a g e R e v 1. 0

2 WEM ECC Contracts - User guide Notice of Change to Forecast Review and Accept/Reject a Change to Forecast form - ECC Project Managers only ECC Project Manager & Contractor Communications Check Point Reports Explained Checkpoint Report (CPR) guidance for contractors Checkpoint Report (CPR) guidance for EA Project Managers Ending a contract Completion Certificate Construction Cost Data (CCD) Overview EA Project Manager approves the construction cost data Contractor receives a notification on the status of the construction cost data Defects Certificates Closing a Contract (ECC Project Manager) Project Support Officer guide Assigning and managing roles in the workspace Create a Contract on Asite Notification to increase the order value (NIOV) Contract Closure Appendices Feedback P a g e R e v 1. 0

3 Key WEM ECC Contracts - User guide Introduction How to use this guide This user guide covers the Asite ECC NEC module. It has been designed so that you can find the information about the task you want to carry out quickly, and at the time you are performing the task. It is not intended to be read cover to cover but used as a reference manual. With this in mind the guide has been split into two main sections: ECC Project Managers & Contractors guide Project Support Officers guide EA Project Managers should be aware of the construction cost data sheet process covered on page 63 to 69. From time to time the user guide will be updated based on system changes or feedback from the user community. The latest document can be found in the workspace named 00 KNOWLEDGE MANAGEMENT in the file path: 00 Asite and the EA\0.3 Fact sheets & training\0.3.2 Contracts\ WEM ECC Flowcharts The following flowcharts give an overview of the interactions between the forms. Select the Hyperlinks to navigate to the relevant sections in this guide. Processes and forms shown as or do not contain hyperlinks nor supporting information. Project Support Officer Processes ECC Project Manager Manager Processes Contractor Processes 3 P a g e R e v 1. 0

4 NCE by ECC PM NCE by Contractor ECC PM s Instruction EWN by ECC PM EWN by Contractor Create a Contract WEM ECC Contracts - User guide Set up the Workspace Create a WEM ECC Contract EWN by Contractor Respond to EWN by Contractor Contractor receives Action For Information EWN by ECC PM Contractor receives Action For Information ECC PM s Instruction Contractor receives Action For Information ECC PM s Assessment Contractor receives Action For Information NCE by Contractor Respond to NCE by Contractor Contractor receives Action For Information No Quotation Required? NCE by ECC PM Contractor receives Action For Information Yes Quotation by Contractor Response to Quotation by Contractor Notification to Increase Order Value Contractor receives Action For Information 4 P a g e R e v 1. 0

5 Completion/Defects Certificates and Closing a contract WEM Check Point Report Change to Forecast Late Replies Communications Application for payment WEM ECC Contracts - User guide Application for payment ECC PM receives Action Assign Status Reject Contractor receives Action For Information Accept Payment Certificate Contractor receives Action For Information ECC PM s Communication Contractor receives Action For Information Contractor s Communication ECC PM receives Action For Information Extend Period for Reply Respond to Extend Period for Reply Notice of Late ECC Project ECC PM receives Action For Information Notice of Change to Forecast Respond to Change to Forecast Notification to Increase Order Value Check Point Report Respond to Check Point Report to Forecast Completion Certificate Defects Certificate Contract Closure Pending closing Contract Closure Closed Contractor receives Action For Information Contractor receives Action For Information Contractor receives Action For Information Contractor receives Action For Information 5 P a g e R e v 1. 0

6 WEM ECC Contracts - User guide Overview System roles and access control The ability to view and access contracts is determined by your organisation s nominated association with the WEM Framework supplier organisations. For example, any individual working for the WEM Framework supplier organisation (or in the case of joint ventures for an organisation associated with the WEM Framework supplier organisation) will be able to view all contracts awarded to that supplier. A similar logic is also applied when determining access to contract data when running reports from within Asite. The ability to manage contracts is given to named individuals in the role of ECC Project Manager or Contractor. Other roles assigned to a contract the EA Project Manager. The Project Support Officer role is assigned to the workspace so they are notified when the revised price or accepted forecast increases so that they can increase the purchase order value in the EA accounts or close the purchase order in the case of contract closure. Edit access is granted to all contracts via the EA WEM Administration User Group. Within this group are project support officers, Co located cost managers and system support within Environment Agency and Asite. Natural Resources Wales contracts edit access is granted to the NRW WEM Administration User Group. Training One to one training for contract teams can be booked by contracting Kate Griffiths with your available times and dates. Training will be delivered remotely by BT Live Meeting and will take no more than an hour. You will be trained together as a contract management team. Those expected to attend the training are: ECC Project Manager Contractor EA Project Manager 6 P a g e R e v 1. 0

7 ECC Project Managers / Contractors Guide Contract Data Explained Contract Overview Tab The Contract Overview tab provides general details for the contract. There is also a summary table showing a current overview of the financial status, compensation events and the completion date. Field label Order Value Original Contract Price Cost within Implemented CEs Revised Price Unimplemented CEs Anticipated Price Change Anticipated Price Order Value Remaining from Anticipated Price Start Date Original Completion Date Total Additions (Days) within Implemented CEs Revised Completion Date Unimplemented CEs Anticipated Programme Change (Days) Anticipated Completion Date Number Implemented CEs Description The value of the purchase order on 1B1S (this field is not visible to the Contractor) The original price as stated in the contract The total value of accepted Compensation Events The Original Contract Price, plus the value of accepted Compensation Events The cost of any Compensation Events not yet accepted The Revised Price plus the cost of any unimplemented CEs The Order Value minus the Anticipated Price (this value is not visible to the Contractor) The start date of the contract as stated in the contract The completion date as stated in the contract The number of additional days due to accepted Compensation Events The completion date including any additional days for accepted Compensation Events The number of days required for Compensation Events not yet agreed The revised completion date plus the number of days for any Compensation Events not yet agreed The number of agreed Compensation Events 7 P a g e R e v 1. 0

8 Contract Activities The Contract Activities tab gives an overview of all tasks and payments for each order on the contract. Field label Order Number 1B1S Code Activity Original Price Total Additions Revised Price Anticipated Additions Anticipated Price Total Accepted Payments Accepted Forecast Payment Limit Description This is the EAs Order Number and 1B1S code used to uniquely identify the Purchase Order This is a free text field in the contract and is used to breakdown the activities to the task level which are specific to the individual contract. The price given for each task in the original contract. The value of any accepted Compensation Events for the task. The original price plus accepted Compensation Events The value of any pending Compensation Events not yet accepted or rejected. The revised price plus the Anticipated Additions The sum of all payment certificates issued to date. The Contractor s accepted expected outturn for the activity. The Payment Limit is the Revised Price or the Accepted Forecast (whichever is greater) less the accepted payment value. Pain / Gain The Pain/Gain tab will be shown for project or target incentivised contracts (Option C), otherwise it will be greyed out and inaccessible. It shows the calculation for Pain/Gain share based on the current Revised Price and Accepted Forecast. More detailed descriptions of selected fields will be shown by hovering the mouse pointer over that value.! Important This calculator does not currently include deductions for projects which are programme incentivised. To download an offline Excel version of the calculator select this link into your browser. Incentivised to Target Cost The WEM Framework states: The share range for Pain/Gain detailed in the following table will be applied and will be standard across all Lots and contract type (i.e. consultancy and construction contracts). 8 P a g e R e v 1. 0

9 Share range Supplier Share percentage Less than 85% (of agreed Contract Target) 0% From 85% to 115% 50% Greater than 115% 100% Gain Pain EA Gain 50/50 share of Gain / Pain Supplier Pain Final cost : Revised total of the Prices 85% 100% 115% For example, if the contract has been completed and cost 80% of the target cost (the Revised total of the Prices), the supplier will receive 7.5% (half of 15%) of the savings, the EA will retain the remaining 12.5% (half of 15% plus all of the remaining 5%) savings. Revised total of the Prices 100,000 this is the target Accepted Forecast 80,000 this is forecast outturn cost Saving 20,000 Supplier share 7,500 EA share 12,500 Payment Certificates 80,000 this is what has been paid to date Fees outstanding 7,500 this is the final payment Similarly, if the contract ends costing 120% of the Revised total of the Prices, the supplier will pay 12.5% (half of 15% plus all of the remaining 5%) of the pain, the EA will pay 7.5% (half of 15%). Revised total of the Prices 100,000 Accepted Forecast 120,000 Overspend - 20,000 Supplier share - 12,500 EA share - 5,000 Payment Certificates 120,000 Fees outstanding - 12,500 If the EA has paid all costs excluding Gain / Pain share, the supplier would then need to pay the EA their share of the pain, 12, P a g e R e v 1. 0

10 Incentivised to Project Cost Gain Pain Final cost + Project Incentivised Costs : Revised total of the Prices + Project Incentivised Sum EA Gain The WEM Framework states: Supplier share of Gain / Pain in proportion to contract value:overall project value 85% 100% 115% Supplier Pain The Supplier may be required to share pain or gain (in proportion of their contract value to the overall project value) against a target of wider project costs. Examples of wider project costs which may be reflected in the target would be: Design Construction Service diversion Landowner compensation Other costs which the Supplier may significantly affect. This is similar to Incentivised to Target Cost except that any gain or pain made on these other costs will be included in the calculation and shared in proportion of their contract value to the overall project value. Revised total of the Prices 100,000 Accepted Forecast (Final outturn) 85,000 Saving 15,000 Original project incentivised costs 20,000 Final project incentivised costs 15,000 (actual values entered by the EA PM) Saving 5,000 Total saving 20,000 Contract proportion 83% Supplier share 7,500 EA share 12,500 Accepted Payments 80,000 Fees outstanding 7,500 In this example, the supplier has half of an 83% share (proportion of the revised total of the prices: revised total of the prices + Original incentivised costs) of the savings up to 15% - which in this example is half*83%*15%* 18,000 = 7,500. This means the EA retains the remaining 12,500 of the 20,000 saved. 10 P a g e R e v 1. 0

11 If the EA has paid the supplier all costs except the Gain / Pain share, the EA would be due to pay the supplier 7500.! Important The EA or ECC Project Manager must keep the forecasts for Project Incentivised costs up to date at all times. This is particularly important just before issuing Completion and Defects Certificates as the Contractor will be submitting forecasts for their Gain / Pain share, and then submitting payments including their share, based on these costs. Projects that are incentivised to target cost do not require any manual adjustment to the Pain/Gain calculator. Updating project incentivised cost forecasts Forecast / actual values for the project incentivised costs shown on the Pain/Gain tab can be updated at any time by the EA Project Manager or ECC Project Manager by selecting the Edit ORI button on the contract, then selecting the Pain/Gain tab and updating the forecast/actual values. Original project incentivised costs cannot be edited in the calculator. Once updated, return to the contract details tab and select Update to save these changes. Note that Contractors cannot update this information. 11 P a g e R e v 1. 0

12 Contract data The Contract data tab shows useful information for use on the contracts, such as: Which X clauses have been used; Compensation Event Clauses; Key Contract Periods; and Communication Types. Risk Register The Risk Register tab shows all risks identified with Early Warning Notices and the actions and notes from the risk reduction meetings. It will also provide a link to the incident if there is a subsequent Compensation Event or Instruction. Selecting the Risk ID or the Incident ID (if available) will open a new window with further details. Compensation Event (CE) Log The Compensation Event Log tab provides a summary of all Compensation Events on the contract. Here is a description of each of the fields shown on the log: Field label Incident Status EWN No. Notification No. Notification Date EMPs NCE Reply Due EMPs NCE Reply Date Agreed as CE Quotation / EMA No Quotation / EMA Due On Quotation / EMA Submitted On EMPs Quotation Reply Due Description This is the reference for the incident. Selecting this reference shows a log of the issue, complete with summary details and quotation. This status shows whether the Incident requires an ECC Project Manager or Contractor action or is closed The reference of the Early Warning Notice, if given for the Incident. The relevant EWN will load when selected. The reference of the Notification which triggered this incident. The relevant EWN will load when selected. The date the notification was issued The Date by which a reply for a Notification of Compensation Event is due by the ECC Project Manager The Date the ECC Project Manager replies to a Notification of Compensation Event by the Contractor Shows a if the Compensation Event has been agreed The reference of the Quotation, if provided. The relevant Quotation will load if selected The date by which a Quotation is due The date the Quotation was submitted The Date by which a reply for a Quotation is due by the 12 P a g e R e v 1. 0

13 EMPs Quotation Reply Date Un-agreed Quotation Changes Un-agreed Quotation Programme Changes (Days) Implemented Cost Changes Original Agreed CE Revised Un-agreed CE Forecast Final ECC Project Manager The Date the ECC Project Manager replies to a Quotation The price of any Compensation Events not yet agreed The number of days to implement any changes not yet agreed The cost of all agreed Compensation Events The price of the original contract The total of all agreed Compensation Events The original price plus agreed Compensation Events The cost of any Compensation Events not yet agreed This is the Revised cost plus Compensation Events not yet agreed Payment Certificates The Payment Certificate tab shows details of all payments certificates issued for the contract. Tender Info The Tender Info and Competitor Score tab shows information about the tenders received for the contract and how they scored on quality and price. This tab is not visible to the Contractor. Access to contracts Access to contract information and the ability to create forms is restricted to pre-defined roles and permissions. Those listed in the ECC Project Manager, Contractor, EA Project Manager and ECC Supervisor roles on the contract and in the workspace have permissions to create appropriate and relevant forms according to their role. More generally supplier organisations will be able to view contracts which have been awarded to either their organisation or to an organisation with which they have been specifically nominated to work with under the WEM Framework. See the Supplier Matrix to view these associations. 13 P a g e R e v 1. 0

14 Raise an Early Warning Notice (EWN) This section will explain how to create and respond to an Early Warning Notice for a WEM contract on Asite. In NEC3 contracts, the Early Warning Notice (EWN) allows the ECC Project Manager to notify the Contractor of potential issues that may occur on the contract; or vice a versa. The ECC Project Manager and Contractor may attend a Risk Reduction meeting to discuss these issues. Following this meeting the ECC Project Manager can update the EWN to the record the actions either party should undertake to minimise the risk. Early Warnings are recorded within the Risk Register of the Contract. Early Warnings can also be associated to Notifications that trigger Compensation Events (NCE) on the contract such as an ECC Project Manager s Instruction. If you are the 'ECC Project Manager' on a contract, select the symbol next to 'EWN by PM'. If you are the Contractor, select the symbol next to 'EWN by Contractor'. The EWN window will then be displayed and you should select the contract for which you wish to create a EWN. Select the contract drop-down list to locate the contract. Once a contract is selected, the form will appear. Fields marked with an ' ' icon are mandatory. First choose the Contractor or ECC Project Manager to which this notice should be sent. Further recipients can be added using the distribution function; however the person selected within the drop-down will be the primary recipient and will be assigned an action to view the Notification. Enter an Internal Ref. No (which is not mandatory) and an appropriate subject Enter the details of the notice and the consequences. Enter the probability of the notified event happening and whether this could impact the price, timescale, programme etc. and finally the number of days or hours the other party is required to attend a risk reduction meeting within. 14 P a g e R e v 1. 0

15 At the bottom of the page it's possible for ECC Project Managers or Contractors to enter further comments if required. Note that ECC Project Managers can reopen the form after it has been issued and add meeting minutes from the Risk Reduction Meeting. See Adding Meeting Minutes after creating an EWN section below for further details on this. You may also attach additional supporting documents to your early warning form from either your project workspace using the Add Docs from Folders icon or from your computer using the Attach External Documents icon. Once the form has been completed, select the 'Create' button. The notice will then be sent to the recipient named in the ECC Project Manager or Contractor field. To respond to an Early Warning Notice (EWN) The recipient ECC Project Manager or Contractor will then be notified of the early warning and required to respond in the given timescale (usually this will be set for 14 days). They will receive a notification and when in the Workspace they will see an 'incomplete action' (which will be red if overdue) next to the appropriate form: Select the number highlighted above to view your incomplete action(s). Contractors will be given a 'For Information' action. Select the words 'For Information' in the My Action column to view the form. The action will then be logged as complete. 15 P a g e R e v 1. 0

16 ECC Project Managers will be given a 'Respond' action. Select 'Respond' in the My Action column to open the form and enter the Meeting Minutes of the Risk Reduction Meeting. Select 'Update' to store these minutes and clear your action. Adding Meeting Minutes after creating an EWN The ECC Project Manager may add Meeting Minutes after they have created the EWN, if required. To do so; return to the list of EWNs by selecting the text 'EWN by ECC PM from the Workspace, select the form ID of the required EWN to open the form and select the Edit ORI button at the top of the page. Alternatively, if the Early warning has been raised by the Contractor use the Reply to Recipents icon to update the risk meeting notes. Once the form has opened enter the meeting minutes and select 'Update' in the case of EWN by ECC PM or Create in the case of EWN by Contractor. 16 P a g e R e v 1. 0

17 Supporting Workflow Early Warning Notice (EWN) 17 P a g e R e v 1. 0

18 ECC Project Manager's Instructions This section will explain how to create and respond to an ECC Project Manager's Instruction for a WEM contract on Asite. The ECC Project Manager s Instruction (EI) allows the ECC Project Manager to instruct the Contractor to carry out a piece of work under the contract. Dependent on the cause of this action, the ECC Project Manager s Instruction may also trigger a Compensation Event to occur. Select the icon next to 'ECC Project Manager s Instruction' from the workspace. The contract search table will appear in a new window; first select the contract for which you wish to create an EI by selecting the drop-down list to locate the contract. Next, select the name of the person who is acting as the Contractor in the contract from the drop-down list. Further recipients can be added using the distribution function which can be found at the end of the form. The person selected within the Contractors drop-down list will be the primary recipient and will be assigned an action to view the instruction. You may enter an internal reference number in the field provided (although this is not mandatory). If your ECC Project Manager s Instruction (EI) relates to a previously raised early warning notice (EWN) recorded in the system, select the early warning reference number from the drop-down menu (again this is not mandatory). Note that EWNs can only be associated to one event, so once they have been involved in an incident they are no longer selectable in this drop-down. Selecting an EWN reference will link the incident to the selected EWN within the risk register. A link to the EWN will also be placed within the CE log and on the NCE form itself. You must then enter a subject for the EI in the field provided if this subject is not provided by a selected EWN. 18 P a g e R e v 1. 0

19 ! Important Selection of certain criteria under the section In accordance with the provisions of this contract, the Contractor is instructed as follows will cause a compensation event to occur on the contract which may alter the price and completion date of the contract. Instruction options which result in a Compensation Event: The following options if selected will invoke a compensation event to occur on the contract. These instructions will create incidents on the CE log which will be marked as Agreed as CE = Yes. 1. A change to the scope made by the ECC Project Manager pursuant to clause Any other instruction by the ECC Project Manager which invokes a compensation event under clause 60.1 other than 60.1(1) If (1) is selected items that have been Added, Deleted or Amended need to be detailed as appropriate. If (2) is selected the sub-clause(s) under 60.1 which the instruction relates to must be selected by using the plus or minus buttons. If either 1 or 2 are selected then a compensation event is deemed to have occurred and the ECC Project Manager can close the compensation event out by instructing the Contractor to submit a Quotation for the Compensation Event if required. 1 Clause 20.2 establishes the right of the ECC Project Manager to give an instruction to change the scope or a key date; therefore this selection invokes compensation event clause 60.1 (1). 19 P a g e R e v 1. 0

20 When the The ECC Project Manager hereby instructs the Contractor to submit quotation(s) for the event option is selected a timescale by which the Contractor should submit quotations is automatically calculated from the standard terms of NEC3 ECC contract (14 days). This due date can be seen by the Contractor within the ECC Project Manager s Instruction form and is also recorded on the CE log. Instruction options which DO NOT result in a Compensation Event (CE): The option Any other change or instruction arising from the fault of the Contractor if selected does not result in a compensation event occurring on the contract. This instruction will create incidents on the CE log, however these will be marked as Agreed as CE = No and the status of the incident will be automatically closed. Once you have completed the form you may also attach additional supporting documents from your project workspace by selecting add documents from folders or from your computer by selecting attach external documents. 20 P a g e R e v 1. 0

21 Choose the Create button to send the form to the Contractor. Contractor receives an ECC Project Manager s Instruction The following options when selected in the ECC Project Managers instruction could prompt the Contractor to raise a quotation for the compensation event and submit it for the ECC Project Manager s approval: 1. A change to the scope made by the ECC Project Manager pursuant to clause Any other instruction by the ECC Project Manager which invokes a compensation event under clause 60.1 other than 60.1(1) Follow the submit a quotation guidance for details on how to do this. See the workflow for other options. ECC Project Manager s Instruction (EI) Supporting Workflow 2 Clause 20.2 simply establishes the right of the ECC Project Manager to give an instruction to change the scope or a key date; therefore this selection invokes compensation event clause 60.1 (1). 21 P a g e R e v 1. 0

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23 Notification of Compensation Event by the Contractor or ECC PM This section covers the Contractor or ECC Project Manager submitting a compensation event (NCE) on Asite. This section also covers how the Contractor can subsequently submit a quotation for that event. The Notification of Compensation Event (NCE) form allows the Contractor / ECC Project Manager to notify the other party when an event has occurred on the contract which constitutes a compensation event under Clause From the project workspace home select the PM : icon next to 'NCE by Contractor' or NCE by Next you must select the contract that you wish to raise a compensation event against. Note that if you have more than one contract running within the workspace all of your contracts will be listed in the drop-down box. Next select the name of the person who is acting as the ECC Project Manager or Contractor in the contract from the drop-down list. Further recipients can be added using the distribution function at the end of the form; however, the person selected within the drop-down will be the primary recipient and will be assigned an action to reply to the NCE within the contractual period of reply. You may also enter an internal reference number in the field provided (although this is not mandatory). If your NCE relates to a previously raised early warning entered in the system then you may select the early warning reference number from the drop-down menu (again this is not mandatory). EWNs can only be associated to one event, so once they have been involved in an incident they are no longer selectable in this drop-down. Selecting an EWN reference will link the incident to the selected EWN within the risk register. A link to the EWN will also be placed within the CE log and on the NCE form itself. Note that if you do not select a EWN reference, you must enter a subject for the NCE in the field provided. 23 P a g e R e v 1. 0

24 Scroll down the form to select the clause under which you are raising the compensation event. Highlight the clause you wish to add and select the option button. The selected clause will then be populated in the box below. Next, enter the date the event started to occur and the details of the event in the fields provided. The date of notification will be automatically populated with today's date. Additional comments can be added if appropriate. A standard period for reply is generated of 7 days for the other party to review the NCE. Once you have completed the form you may also attach additional supporting documents from your project workspace by selecting add documents from folders or from your computer by selecting attach external documents. Choose the Create button to send the form to the ECC Project Manager or Contractor. 24 P a g e R e v 1. 0

25 Respond to a Contractor s Compensation Event When a Contractor sends you a Compensation Event form, you will get a notification on your project workspace homepage. Select the action number to go to the form. Next select the hyperlink respond to open the form and reply. You may choose to accept or reject the compensation event. Select the relevant response by checking the tick boxes provided. If you choose Approved from the drop-down list; you ll note that the instruction to submit a quotation is automatically selected by default but this can be unchecked and another option selected. Finally select the create button to send your reply to the Contractor. Receiving a reply from the ECC Project Manager When the ECC Project Manager replies to the Contractors NCE, you will get a notification on the system with an action For Information. To clear this action you must view the form. To view the form, select the number in your action list. This will take you to the forms page. The form that you have an action against will have an action listed in the My Action column. In this case it is the action For Information. To view the form, select the word For Information. 25 P a g e R e v 1. 0

26 The Reply from the Contractor will then appear for you to view. If rejected, the ECC Project Manager must provide reasons for the rejection. Once rejected the Incident is marked in the Agreed as CE column as No on the CE log and its status is closed. This means no Quotations or Instructions can be created against it. You may now close the window to return to the forms page. When you return to the forms page you will notice that the For Information action will have a green tick against the action. Select your Workspace Home link (top right) to return to the workspace home page. You may now raise a quotation for the agreed event. 26 P a g e R e v 1. 0

27 NCE Supporting Workflow 27 P a g e R e v 1. 0

28 Quotation by Contractor Note that within the NEC3 Contract, the ECC Project Manager may instruct the Contractor to provide quotations for a Compensation Event. This instruction can be triggered by either: An ECC Project Manager s Instruction (PMI) Notification of Compensation Event (NCE) The Quotation form allows the Contractor to submit their quotations in these cases. The quotation contains both price and completion date changes. The price changes can be broken down against tasks agreed within the original contract or add new tasks to the contract. Once submitted the ECC Project Manager must reply within the contractual period for reply to accept or reject the quotation. To raise a quotation for the compensation event select the create new form icon against the Quotation by the Contractor. Select the contract you are raising the quotation against from the drop-down list. Select the ECC Project Manager from the drop-down list. You may also enter an internal reference number (which is not mandatory). Next choose from the list of options to state what you are raising your quotation against. The system lists all NCEs or PMI still open on the contract. You then pick the relevant event. 28 P a g e R e v 1. 0

29 The Subject field is then automatically populated with the details of the selected Instruction or Notification. Next you must build up your quote. To build up your quote choose the correct IBIS number and order number combination. You can then select an existing task to enter an addition against or you can add a new task. To enter new lines select insert activity (circled in red below).! Important If you wish to add a new task (not in the original contract or previous CE quotations) you must tick the box in the column marked New. This will then bring up a blank field for you to populate. Once you have selected created your task (100 character max) add a price (+ or -) against that activity. Insert new or revised activity prices until you have completed your quotation. To remove an activity line you have entered by mistake right click the order / IBIS code field and select the blue down arrow & the text remove impacted activity to remove the line. Next enter the number of days delay to the planned completion date. Scroll down and select Create to send the quotation to the ECC Project Manager. 29 P a g e R e v 1. 0

30 Respond to a Contractor s quotation When the Contractor sends you a quotation, you have 14 days to reply and either accept or reject the quotation. Select the action number against Quotation by the Contractor Next select the respond hyperlink to open the quotation form. When the form opens you have four options. 1. To accept the quotation outright. 2. That no action will be taken against the related instruction or change decision. 3. You will be making your own assessment (via an ECC Project Manager s assessment form). 4. Instruction to submit a revised quotation. If you select the acceptance of the quotation option a full breakdown of the quotation will be displayed. Note you can subsequently deselect this option if you choose to do so and select another tick box. 30 P a g e R e v 1. 0

31 Once you have made your selection select Create to send your reply to the Contractor. Receiving the response from the ECC Project Manager for a quotation When the ECC Project Manager replies to a quotation, you will receive an action in your forms actions list. To clear this action you must view the form. To view the form, select the number in your action list. This will take you to the forms page. The form that you have an action against will have an action listed in the My Action column. To view the form, select the word For Information. Scroll down the page to view the reply in full. In this case the ECC Project Manager has accepted the quotation. 31 P a g e R e v 1. 0

32 To exit the screen either close the Internet Explorer window (or tab) you are in or scroll down the page and select the Close Window icon (bottom right). Select the 'Workspace Home' link at the top right of the page to return to your workspace home page. ECC Project Managers Assessment Note that within the NEC3 Contract, the ECC Project Manager may choose to submit an ECC Project Manager s assessment. This instruction can be triggered by either: ECC Project Manager s Instruction Notification of Compensation Event The ECC Project Manager s assessment form allows the ECC Project Manager to make their own price / time estimate of the event. The assessment contains both price and completion date changes. The price changes can be broken down against activities agreed within the contract. Once submitted the Contractor must view the ECC Project Manager s assessment to clear the action. Select the create new form icon against the ECC Project Manager s Assessment to raise an ECC Project Manager s Assessment for the event. 32 P a g e R e v 1. 0

33 Select the contract you are raising the assessment against from the drop-down list. Select the Contractor from the drop-down list. You may also enter an internal reference number (which is not mandatory). Next choose from the list of options to state what you are raising your assessment against. In this case it was a notification of a compensation event. The Subject field is then automatically populated with the details of the selected Instruction or Notification. Next you must build up your price assessment by choosing the correct IBIS number and order number combination. You can then select an existing task to enter an addition against or you can add a new task combination. To enter new lines select insert activity (circled in red below). Next you must build up your quote. To build up your quote choose the correct IBIS number and order number combination. You can then select an existing task to enter an addition against or you can add a new task. To enter new lines select insert activity (circled in red below).! Important If you wish to add a new task (not in the original contract or previous CE quotations) you must tick the box in the column marked New. This will then bring up a blank field for you to populate. 33 P a g e R e v 1. 0

34 Once you have created your task (100 character max), add a price (+ or -) against that activity. Insert new or revised activity prices until you have completed your quotation. To remove an activity line you have entered by mistake right click the order / IBIS code field and select the blue down arrow & the text remove impacted activity to remove the line. Next enter the number of days delay to the planned completion date. Scroll down and select Create to send the assessment. View an ECC Project Manager s Assessment To view an ECC Project Managers Assessment select the action number against 10 ECC Project Managers Assessment. Next select the respond hyperlink For Information to open the assessment form. When the form opens you have cleared the for information action. The form will list the details of the ECC Project Manager s assessment. Applications for payment Different options under the contract have different payment breakdown structures. Option A Under option A payment becomes due when a specific activity is wholly complete. Part payment of activities is not allowed under option A. The activities are defined in the pricing data in contract data part 2 of the contract. Option C & E 34 P a g e R e v 1. 0

35 Under option C & E payment is based on actual costs incurred by the Contractor which are assessed at an agreed period (usually once a month) by the ECC Project Manager. The breakdown structure for option C & E contracts is as follows: 1. Staff costs 2. Direct work items 3. Direct work items fee percentage 4. Subcontract work items 5. Subcontract work items fee percentage 6. Pain / Gain 7. Retention 8. Delay damages 9. Other deductions The percentage of fee to be applied varies from contract to contract and is defined in the contract document in contract data part 2 and is also stored in the online contract data and is used to automatically apply the correct fee percentage due under the contract.! Important When the ECC PM issues the completion certificate, no applications for payment can be made until the Contractor has submitted and the EA Project Manager has approved the construction data sheet. If the Contractor does try and issue an application for payment during this time period a warning message will be displayed and they will not be able to create the application for payment form. Contractor raises an application for payment To raise an application for payment select the icon next to 09 Application for payment. Once the form has loaded you must select the contract that you want to revise the forecast for. Note that if you have more than one contract running within the workspace; all those contracts will be listed in the drop-down box. 35 P a g e R e v 1. 0

36 Next select the name of the person who is acting as the Contractor or ECC Manager in the contract from the drop-down list. Further recipients can be added using the distribution function. However the person selected within the drop-down list will be the primary recipient and will be assigned an action once the form has been completed Next enter an Internal Ref No (this isn t mandatory). You must then select a month and year which your application for payment relates to. Enter the IBIS / order number combination for the activity you are charging for and then either select the activity (if an option A contract) or select the cost type (if an option C or E contract). Finally enter a cost value in pounds sterling and pence. Note to add a new line select insert activity (circled in red above). Continue to do this until your application for payment has been constructed. The last field is where you can enter some notes or comments. This is not a mandatory field. Finally select the create button to send to the ECC Project Manager for review. ECC PM reviews an application for payment When a contractor sends you an application for payment you will receive a notification via . To view this form select the action number in the workspace to view a list of all application for payments requiring your response. 36 P a g e R e v 1. 0

37 Select Respond in the My Action column. A new window will then load with details of the application for payment. Note you can amend the application for payment by adding delay damages, retention values or other deductions. If it is an option A contract you can remove an activity which you deem to be incomplete. To remove a line right click the first field in the row you wish to remove and a blue down arrow will appear, select this down arrow and remove impacted activity to delete the payment line. Next you need to select the acceptance or the rejection tick box. 37 P a g e R e v 1. 0

38 Finally select create to send your decision to the Contractor. Contractor is sent a payment certificate If the ECC Project Manager accepts the application for payment, a payment certificate is automatically sent to the Contractor. 38 P a g e R e v 1. 0

39 Extend Period for Reply This section will explain how an ECC Project Manager or Contractor may create an Extend Period for Reply form. This form allows either party to request an extension to the reply period of a Notification of Compensation Event or a Quotation. To create the form, select the icon next to Extend Period for Reply. Once the form has loaded you must select the contract that you want to revise the forecast for. Note that if you have more than one contract running within the workspace; all those contracts will be listed in the drop-down box. Next select the name of the person who is acting as the Contractor or ECC Manager in the contract from the drop-down list. Further recipients can be added using the distribution function. However the person selected within the drop-down list will be the primary recipient and will be assigned an action once the form has been completed Next enter an Internal Ref No (this isn t mandatory), followed by an appropriate subject. If you are an ECC Project Manager you must then choose to extend the notification of compensation event (NCE) or quotation you are requesting an extension for. If you are a Contractor you only have the option to extend the reply for a quotation. Next choose the appropriate NCE or quotation and the number of days extension you are requesting. Additional comments can be entered into the Comments field as required. 39 P a g e R e v 1. 0

40 Select Create to submit the form to the Contractor or ECC Project Manager for their review. They will be given an action to Respond by approving or rejecting the request; you will be notified once they do so. Respond to Extend Period for Reply You will receive an action requiring you to view the Extend Period for Reply form and either accept or reject it. Select the action number in the workspace to view a list of all Extend Period for Reply forms requiring your response. The list will then load. Select Respond in the My Action column. A new window will then load with details of the request. Once you have reviewed the details of the form, select whether you agree or disagree with the request to extend the period of reply followed by the Create button. The ECC Project Manager or Contractor will then be notified of your decision and if the other party agrees the period of reply will be extended. 40 P a g e R e v 1. 0

41 Notice of Late ECC Project Manager s Reply This section will explain how a Contractor may create a Notice of Late ECC Project Manager s Reply. This form allows the Contractor to inform the ECC Project Manager that they have not responded within the period specified in the contract. Under the NEC contracts, the ECC Project Manager has 14 days from the date of this notice to respond or their lack of response can be treated as acceptance of the respective NCE or Quotation. To create the form, select the icon next to Notice of Late ECC Project Manager s Reply. Once the form has loaded you must select the contract for which you want to create the notice. Next, enter an Internal Ref No (this isn t mandatory), followed by the name of the person who is acting as the ECC Project Manager in the contract from the drop-down list. Further recipients can be added using the distribution function. However the person selected within the drop-down list will be the primary recipient and will be assigned an action once the form has been completed. Enter an appropriate subject into the Subject field. You must then choose whether it is an NCE or quotation you are notifying the ECC Project Manager about. The appropriate contract clause will be shown. Next select the NCE or quotation and the number of days the ECC Project Manager has to respond. Additional comments can be entered into the Comments field as required. 41 P a g e R e v 1. 0

42 Select Create to submit the form to the ECC Project Manager. They will be notified and informed that they are required to respond or their lack of response will be treated as Acceptance of the NCE or quotation. 42 P a g e R e v 1. 0

43 Notice of Change to Forecast! Important Notice of change to forecast forms are required under option C only. This section will explain how to create and respond to a Notice of Change to Forecast (NCF). Contractors must submit any changes to their regular forecast updates via an on line form. At contract set up, the change to forecast value is always the same value as the original contract price. To create a revised change to forecast select the Forecast': icon next to 'Notice of Change to Once the form has loaded you must select the contract that you want to revise the forecast for. Note that if you have more than one contract running within the workspace; all those contracts will be listed in the drop-down box. Next, select the name of the person who is acting as the ECC Project Manager in the contract from the drop-down list. Further recipients can be added using the distribution function. However the person selected within the drop-down list will be the primary recipient and will be assigned an action once the form has been completed. You may also enter an internal reference number in the field provided (although this is not mandatory). If your revised forecast relates to a previously raised early warning entered in the system then you may select the early warning reference number from the drop-down menu (this is not mandatory). Details of any communications about the change to forecast can be recorded in the relevant communications field. Below these fields are the currently accepted forecasted values. The values in the 'Revised Forecast Price ' column can be edited in this form (highlighted below). 43 P a g e R e v 1. 0

44 Once these values have been amended, Contractors must enter a reason for the change to the accepted forecast. Once you have completed the form you may also attach additional supporting documents from your project workspace or from your computer. Choose the Create button to send the form to the ECC Project Manager. Review and Accept/Reject a Change to Forecast form - ECC Project Managers only Once the notice of change to forecast form has been submitted by the Contractor, the ECC Project Manager will receive an action within Asite to review and accept or reject the forecast. From the workspace select the number in the incomplete actions column. This will show a list of incomplete actions against this form type; select 'Respond' in the 'My Action' column. This will load the form showing the revised forecast information submitted by the Contractor for you to review. Underneath the forecast is a field for entering your justification for accepting 44 P a g e R e v 1. 0

45 or rejecting their change. Once you have entered this justification, select 'Accepted' or 'Rejected' from the status drop-down. Select the 'Create' button to send your response. Any accepted forecast will be reflected in the contract activities tab in the contract data. 45 P a g e R e v 1. 0

46 ECC Project Manager & Contractor Communications This section will explain how to create and respond to an ECC Project Manager s or Contractor s Communication on Asite. The Communication forms allow either party on a contract to send all other available NEC3 contract communication types for which there aren t specific forms. The fields and functionality are the same for both forms. If you are the ECC Project Manager on a contract, select the symbol next to PMs Communication. If you are the Contractor, select the symbol next to Contractor s Communication. The Communication form window will then be displayed. Select the contract drop-down list to locate the contract. Once a contract is selected the form will appear. Fields marked with an ' ' icon are mandatory. First choose the Contractor or ECC Project Manager to which this communication is to be sent. Further recipients can be added using the distribution function; however the person selected within the drop-down will be the primary recipient and will be assigned an action to view the form. Enter an Internal Ref. No (which is not mandatory) and select the Communication type from the available options. Enter an appropriate subject in the field, followed by the details of the Communication in the Comments field. You may increase the number of days by which the other party is required to respond otherwise the contractual limit of 14 days will apply. You may also attach additional supporting documents to your Communication form from either your project workspace or from your computer. 46 P a g e R e v 1. 0

47 Once the form has been completed, select 'Create'. The notice will then be sent to the recipient named in the ECC Project Manager or Contractor drop-down form. The other party will be required to view the communication to complete their For information action. Check Point Reports Explained This section will explain Check Point Reports in WEM ECC contracts on Asite; what they are, how to create them and how to respond. As a project team, you can exchange your monthly checkpoint reports (CPRs) (i.e. monthly progress reports) via the NEC Manager. The advantage of doing it this way is that once the Project Manager accepts the CPR, the contract forecasts and issues log items are automatically updated in their monthly programme report in PPMT, if the contract is linked to the project report in PPMT. PPMT is the Environment Agency s programme reporting tool. This method of exchanging CPRs saves the Project Manager time when updating their reports every month. It also has an advantage for the supplier; because even if the financial forecasts submitted in the CPR are rejected by the Project Manager there is still a record of the forecast within the system should a dispute arise. So the process makes things much more transparent for all parties. The CPR is divided into five tabs: 47 P a g e R e v 1. 0

48 48 P a g e R e v 1. 0

49 Project / package details tab Field Name Original Contract Value Revised Contract Value Accepted Fees / Payments Fee Balance Checkpoint Start Date Checkpoint End Date Sort Milestone Data Sort Type Description This is the original contract price at the start of the contract. This is the sum of the original contract price plus the sum of all agreed compensation events (i.e. the revised contract price). This is the value of payments that have been accepted on the contract previously. This is the revised contract price less the accepted payments. This is the date the supplier has set as the start of the CPR period. This is the date the supplier has set as the end of the CPR period. This is the way the supplier has chosen to sort the contract milestones. This is the way the supplier has set the milestone sort ; either ascending or descending. Expenditure tab Within the Expenditure tab are two further tabs: Actuals/Forecast Summary At the top of both of these tabs are five fields showing current information for Spend to Date, Revised Price or Accepted Forecast (whichever is higher), the Check Point Report Actuals/Forecast (as entered in the fields below), the difference between the two previous values and finally the total for the current year (as entered in the fields below). The Actuals/Forecast tab shows the actual and forecast payments for the contract. Payments for prior years are summed into a single field. Current year payments and forecasts are broken up monthly, the next year's forecast is entered quarterly and years two and three require yearly forecasts. For packaged contracts you will see multiple rows; one for each IBIS code linked to the contract. 49 P a g e R e v 1. 0

50 The summary tab contains these same values formatted so they can be viewed more easily. If the contract is packaged then the actuals/forecasted values are summed for each period. Actual and forecast payments once accepted by the Project Manager are automatically updated in the corresponding PPMT project report. Milestones tab Suppliers can add as many milestones as required and they should reflect the agreed milestones for the contract. Planned, forecast and actual milestones need to be recorded. Notes can also be entered regarding each milestone, used for example to explain the reason for a change to a milestone forecast or a planned date.! Important If the supplier subsequently amends a planned date after a CPR is accepted, the background of the planned date field will change to amber to alert the Project Manager that a planned date has been changed. If a forecast or actual date is later than the planned date then the milestone date text will change to red. 50 P a g e R e v 1. 0

51 ! Important These milestones are not the same as project milestones recorded in the PPMT project report. They should reflect a greater level of detail relating to the work being done under this particular contract. Other fields in the tab are: Field Name Description Activities during Period Any activities or products (e.g. reports, surveys or assets) Products completed during Period completed during the period should be listed in these two fields. Quality Work carried out during Period Any quality work carried out during the period should be recorded such as proof reading of reports, technical reviews or health and safety assessments. Issue log tab The supplier can add new or update previous CPR issue log items as required in this tab. CPR issue log items once accepted by the Project Manager are automatically updated in the corresponding PPMT project report if the contract is linked to the PPMT project report. Most of the fields in this tab are self-explanatory; however the definitions for severity and priority are given below: Priority Immediate The issue requires action as soon as possible. The issue will affect activities on the project's critical path. Soon Later The issue may be delayed slightly while 'Immediate' issues are being addressed. The issue may affect activities on the project's critical path. The issue may be delayed while 'Soon' issues are being addressed. The issue does not affect activities on the project's critical path. Severity 51 P a g e R e v 1. 0

52 Critical This issue will have a high impact on the success of the project and is likely to stop it proceeding. Unacceptable effects will be experienced by the business/end users. Medium This issue will have a noticeable impact on the success of the project. Effects will be detrimental, however the business/end users may continue. Minor This issue will have a low impact on the success of the project. Effects may be dealt with as they occur and the business/end users may continue. Work package update tab The supplier can add work package information as required into this tab. Field Name Description Update since Last Report The supplier can describe the progress of the work package, including a detailed explanation of any changes to expenditure forecasts. Key Risks In this field the supplier can list all of the key risks relating to delivery of the work package. 52 P a g e R e v 1. 0

53 Checkpoint Report (CPR) guidance for contractors To create a CPR select the symbol next to ' Check Point Report': A new window will appear. Select the contract you wish to report on from the drop-down list. Once you have selected the contract, a CPR will be shown which you can subsequently update. You first need to set a start and an end date for the report. You can also specify how milestones data should be sorted in the Milestones tab. 53 P a g e R e v 1. 0

54 Your forecast is entered into the Expenditure tab; previously accepted payments will automatically appear with a grey background and are not editable. Fields with yellow or white backgrounds can be amended. If the contract is packaged, i.e. split into multiple 1B1S Codes and Order Numbers, then each of these will appear as a different row for you to populate separately. Costs for this year are to be populated monthly, in the next year it is to be forecasted quarterly and in the second and third years it is to be populated annually. Summary values at the top of the screen will be updated accordingly as you create your forecast. The Milestones tab allows you to enter milestone details. To create multiple milestones select the 'Insert New Milestone' button and a new Milestone will be added. 54 P a g e R e v 1. 0

55 Below the milestones information, you should enter details of your activities in the Check Point Report period, any products completed and any quality work. Issues can be entered into the Issue Log tab. Additional Issues can be entered by selecting 'Insert New Issue Type' button below the last issue. Below the issue log table, enter details of any efficiencies realised, the work planned and products to be completed for the next period. Finally, in the Workpackage Update tab, enter relevant updates since the last report, and any key risks identified. Saving the CPR without submitting for review 55 P a g e R e v 1. 0

56 The CPR will be automatically saved every minute. If you wish to save this form as a draft manually, go to the Project/Package Details tab, change the Status drop-down to DRAFT and select the 'Save Draft' button to the bottom right of the screen. Sending the completed CPR to the ECC Project Manager To send your CPR to the ECC Project Manager, first navigate to the project / package details tab. Ensure the status is changed to To be Reviewed and then select the 'Create' button (or the 'Update' button if you have previously saved the form as a draft) to the bottom right of the screen. The ECC Project Manager will be notified automatically that they have a CPR to review. Once the ECC Project Manager accepts or rejects the CPR you will be sent a For information action to notify you of their decision. To complete this action select 'For information'. The CPR will appear and the action will be completed. 56 P a g e R e v 1. 0

57 Checkpoint Report (CPR) guidance for EA Project Managers Before starting to exchange CPRs via the NEC Manager you must first link your monthly PPMT project report and your NEC contract. Once the two forms are linked and a payment certificate is issued this value will automatically be updated in your project report expenditure tab against the corresponding month and year. This means payments certificates issued will be updated in PPMT automatically. The background of these fields in the PPMT expenditure tab will change to grey in the project report. These fields cannot be edited. To link your expenditure row in PPMT with an NEC contract; open the latest draft of your PPMT project report in edit mode and navigate to the expenditure tab. Next, enter the purchase order number for the contract you wish to link in the field provided (highlighted in yellow below) and select search. Next, use the toggle arrow (circled in red above) to select the contract name from the dropdown menu. Once you have selected your contract you have two options. You can overwrite an existing expenditure row by selecting the button named O which will appear in the expenditure details field. This will remove all the data on that row and replace it with the NEC contract s data. Alternatively you can add a new blank expenditure row and select A to apply the contract s expenditure data to a new blank row. 57 P a g e R e v 1. 0

58 Select the update button on your project report to save the changes.! Important This is a one off exercise, so once complete it does not have to be repeated for this contract. From now on, every time a payment certificate is issued the system will automatically update this value in your PPMT project report. Once you have linked your NEC contracts to your PPMT project report you can also start to use the checkpoint report process. So when you accept the CPR, the payment forecasts and new or revised issue log items will automatically be updated in your PPMT project report. Change the Status of a Checkpoint Report (CPR) When a supplier sends you a CPR for action you will get an assign status action in your project workspace in the NEC forms action list. Select the action number to go to the CPR form list. Next select the words 'Assign Status' under the 'My Actions' column. When you are ready to accept or reject the CPR; select the Edit ORI icon at the top of the page. You will then be presented with a Edit view, select the value of the report to Accepted or Rejected, or to revert it to DRAFT status If you reject the CPR, the forecast values will not be updated in your PPMT report. If you accept the CPR the following information will be updated in your project report in PPMT: Payment forecasts Issue log items Forecasts in this context mean any value which is manually entered by the supplier in the CPR. Note the supplier cannot amend actual payments in the CPR; these are automatically 58 P a g e R e v 1. 0

59 updated at the point of the CPR s creation. 'Actual' values are automatically updated in PPMT linked contracts whether you issue a payment certificate. This completes the Check Point Report process. 59 P a g e R e v 1. 0

60 Ending a contract The following workflows provide an overview of the processes required following the completion of the services under a ECC contract.! Important A contract can only be closed on Asite once all of these processes have been followed and there are no outstanding payments due to or from the supplier. For Option C contracts, this means that the Estimated Final Account as shown in the Pain / Gain calculator should equal zero. For Option A and E contracts, this means that the supplier s accepted forecast matches the total sum of payment certificates issued. This workflow shows the processes following completion of the Services by the Contractor, up to the issue of the Defects Certificate, at the end of the Defects Period. If any work is carried out during the Defects Period, this is carried out and charged for as normal. Completion to end of Defects period Services Defects period Consultant Employer Completion Certificate Initial assessment of Pain / Gain share (Option C only) Approve forecast? Submit forecast (Option C include Pain / Gain share) Usually 12 months Approves fees Submit fees Defects Certificate This next workflow shows the processes following completion of the Defects period with any and all defects having been corrected. This stage should take no longer than 12 weeks. Under the ECC contract, suppliers may take no more than 8 weeks to calculate fees (sometimes less, depending on the nature of the work and wording of the specific contract), and then have a further 4 weeks to submit. 60 P a g e R e v 1. 0

61 End of Defects period to Contract pending closure Defects period Closure Consultant Employer Defects Certificate Final assessment of Pain / Gain share (Option C only) Approve forecast? Submit forecast (Option C include Pain / Gain share) Approves final fees Submit final fees <= 12 weeks Estimated Final Account = 0? No Yes Contract Closure (Pending closing) Once the Contract status has been changed to Pending closing, no further activities or forms may be created under the contract. This final workflow shows the closing stages of the contract, once the ECC Project Manager (the EA PM) has created the Contract Closure form and there are no outstanding payments to be made. Contract closure Closure PSO Close 1B1S purchase order Contract Closure (Closed) Consultant Employer Contract Closure (Pending closing) Days 61 P a g e R e v 1. 0

62 Completion Certificate This section will explain how to create a Completion Certificate for a WEM contract on Asite. Completion certificates are issued once the works have been substantially completed and the defects period is commencing. If you are the 'ECC Project Manager' on a contract, select the Certificate' in the workspace: symbol next to 'Completion Next select the contract for which you wish to create a Completion Certificate. Select the Contract drop-down list to locate the contract. If the list of contracts is too long to allow you to locate the contract easily, you can filter this list by entering either the Contract Id, Description or Project Name into the search fields and selecting 'Search'. Once a contract is chosen, the following fields will appear. Those marked with an ' ' icon are mandatory. First select the Contractor you wish to send the Completion Certificate to from the drop-down box. If appropriate, enter an Internal Reference No (this is not mandatory) and Subject for the certificate. The Date of Notification will be automatically populated with today's date, but you must enter the actual Date of Completion of the works or services. An easy way to do this is by using the 62 P a g e R e v 1. 0

63 selecting the calendar icon next to the field and selecting on the completion date, which will then be populated in the field. Finally, you must select whether this Certificate applies to the whole of the services or works, or just a section (or sections) of it, where the contract has specified sectional completion (Clause X5). Select the 'Create' button and the form will be submitted to the Contractor.! Important When the ECC PM issues the completion certification certificate no applications for payment can be made until the Contractor has submitted and the Employer has approved the construction data sheet. If the Contractor does try and issue an application for payment during this time period a warning message will be displayed and they will not be able to create the form. 63 P a g e R e v 1. 0

64 Construction Cost Data (CCD) Overview! Important When the ECC PM issues the completion certification certificate no application for payments can be assessed or payment certificates issued until the Contractor has submitted and the Employer (EA Project Manager) has approved the construction cost data sheet(s). All construction cost data must be submitted at cost level 3. All construction costs must be populated. Cost data entered is reviewed for accuracy and completeness. Inaccuracies & incomplete data will cause the CCD form to be rejected. The form layout is divided in five tabs; asset cost data, ancillary cost data, in direct costs and free issue materials. The last tab is an error log which will identify any validation errors which may be contained in the form. To refresh the error log; select the validate errors button (circled below in red). As you enter data into the form the summary costs will only recalculate when you select the recalculate button (circled above in blue.)! Important For contracts that have packaged up the work of several projects, a separate construction cost data sheet for each project will need to be submitted. Each project will be defined by a separate project code (e.g. IMAN001256). Note that for any materials which have been purchased by the Environment Agency should be recorded under the free issue materials tab. Contractors are expected to enter the type of materials used, the unit of measure (UOM) and the number of units. The cost field will be entered by the Employer at a later stage. 64 P a g e R e v 1. 0

65 Do not roll up the costs of all assets of one type into one entry (e.g. 2 bridges rolled up into one bridge entry). When populating an asset you may be asked for a unit of measure (e.g. M³) and a value ( ). This is the total m³ of the asset and total cost, not the unit rate. Where complex construction exists the asset should be categorised where the majority of the cost lies. E.g. A wall built with masonry and concrete would be classed as masonry if the majority of the cost lies there. Any questions regarding how to record your construction cost data should be directed in the first instance to the project s Cost Consultant. If they cannot help then queries should be directed to the PCT Manager Jamie Fry. Creating a construction cost data sheet To create a construction cost data sheet select the create new form icon next to the text 01. Construction Cost Data A blank form will open. First select your contract name from the drop down box provided. Next select the IBIS project code for the construction data you are providing. Once you have selected the contract name and IBIS code the form will appear and you can start to enter your data. 65 P a g e R e v 1. 0

66 To add a new cost line select the words add asset type circled above in red. To remove a line right click the first field in the row you wish to remove and a blue down arrow will appear, select this down arrow and remove record to delete the cost line. Once you have completed all of your data select the create button to send the form to the EA Project Manager to approve. You ll notice the status of the form is To be reviewed which means the form is awaiting the approval of the EA Project Manager. If you select the save draft option your data will be saved and you can go back and complete the form at a later date by opening the form and selecting the form ID DRAFT. 66 P a g e R e v 1. 0

67 Creating a Construction Cost Data Sheet in MS Excel You can create your construction cost data sheet offline in MS Excel and then import it into the online form. First you must download the latest template. To do this, go to the reporting tab in Asite. This is situated to the top right of your home page (the first screen which is displayed after log in). When the next screen opens you should see a report listed called EA_PCT_CCD_Template. Select this text to start the report generation. A new window will appear in your browser. When a button appears in the window the report is ready to download. Select this button to start downloading the template to your desktop. 67 P a g e R e v 1. 0

68 ! Important Save the file to your desktop before you start entering data in the MS Excel workbook. Once you have entered all of your construction cost data in the spreadsheet, save a back up copy to your desk top. Select the button delete all tabs button on the instructions tab and save the file in.xls format ( ) and using a different naming convention to your back up copy. Next go to the online form and select the create new form icon next to the text 01. Construction Cost Data A blank form will open. Select the import.xls icon at the top right of the screen. An option to browse for your file will appear. Once you have selected the.xls file you wish to import; select the import button. A blank form will appear. Select your contract name from the drop down box provided. 68 P a g e R e v 1. 0

69 Next select the IBIS project code for the construction data you are providing. Once you have selected the contract name and IBIS code the form will appear with the data you have imported. Finally select the create button to send the form to the EA Project Manager to approve. EA Project Manager approves the construction cost data A construction cost data sheet is due to be submitted by the contractor as soon as the completion certificate is issued by the ECC Project Manager. If your contract packaged up more than one project a cost data sheet needs to be submitted for each project. When the contractor sends through the construction cost data sheet(s) you must review the data and either accept the submission if the data is accurate or reject the submission if the data is not accurate. Note if the Contractor used free issue materials (e.g. items purchased by the EA such as sheet piles) you must enter the cost of these materials as part of your review process. See the construction cost data overview section for more general guidance on construction cost data sheets. To review the data simply select on the action number next to the form title This will list the forms you have to review. Select the assign status action to open the form in print view. Next select the edit ORI icon. If your project has free issue materials please select the free issue materials tab and enter the cost of those materials. 69 P a g e R e v 1. 0

70 Once you have reviewed the data you can change the status to rejected in which case the contractor would have to create a new form and submit it again. Note if you choose to reject the form you are required to record a reason for rejection. Or you can change the status to approve the form in which case this task is complete.! Important Once you have changed the status make sure you are on the asset cost data tab before you select to create the form and send the contractor your decision. Note that CLCMs and the PCT Manager review these submissions after you have approved them and may raise queries with you if the data appears to be incorrect. Contractor receives a notification on the status of the construction cost data If the EA PM approves your submission you will be sent a for information action via the system. This completes this task. If the EA PM rejects your submission you will be sent a for information action and you must create a new form and resubmit your data again. Defects Certificates This section explains how to create a Defects Certificate for a WEM contract on Asite. Defects Certificates are issued once the defects period has ended at Gateway 5. A certificate may be issued whether or not all defects have been resolved. If you are the 'ECC Project Manager' on a contract, select the Certificate' in the workspace: symbol next to 'Defects Select the contract for which you wish to create a Defects Certificate in the contract drop-down list. If the list of contracts is too long to allow you to locate the contract easily, you can filter 70 P a g e R e v 1. 0

71 this list by entering the contract ID, description or project name into the search fields and selecting 'Search'. Once a contract is chosen, the form will appear. Those marked with an ' ' icon are mandatory. First select the Contractor you wish to send the Defects Certificate to from the drop-down box. If appropriate, enter an Internal Reference No (this is not mandatory) and Subject for the certificate. The Date of Notification will be automatically populated with today's date, but you must enter the actual defects date of the works. An easy way to do this is by using the selecting the calendar icon next to the field and selecting on the completion date, which will then be populated in the field.! Important In the defects field you can either list each defect one by one or attach a file to the form with a list of outstanding defects by selecting the attach external documents icon which is at the bottom of the form. The Defects Status drop-down allows you to state whether there are outstanding defects at the Defects Date. Finally, you must select whether this Certificate applies to the whole of the services or works, or just a section (or sections) of it, where the contract has specified sectional completion (Clause X5). 71 P a g e R e v 1. 0

72 Select the 'Create' button and the form will be submitted to the Contractor. Closing a Contract (ECC Project Manager) This section explains how to close a WEM contract on Asite. Contracts are closed at Gateway 6, after the Defects Certificate has been issued and there are no outstanding payments due to or from the supplier. If you are the 'ECC Project Manager' on a contract, select the Closure' in the workspace: symbol next to 'Contract Next select the contract for which you wish to close in the contract drop-down list. If the list of contracts is too long to allow you to locate the contract easily, you can filter this list by entering the contract ID, description or project name into the search fields and selecting 'Search'. Once a contract is chosen, the following fields will appear. Those marked with an ' ' icon are mandatory. 72 P a g e R e v 1. 0

73 First select the Contractor you wish to send the Contract Closure to from the drop-down box. If appropriate, enter an internal reference number (this is not mandatory) and Subject for the certificate. The Order Number and Date of Notification will be automatically populated but you must enter the actual Defects Date. An easy way to do this is by selecting the calendar icon next to the field and selecting on the correct date, which will then be populated in the field. The contract status will be set to 'Pending closing' and shouldn t be changed. This will alert the Project Support Officer for the contract to close the 1B1S code. Select the 'Create' button and the form will be submitted and saved in the workspace. The Contractor will then be given a for information action to view the closure form. Any fees the Contractor subsequently submits for this order will be rejected.! Important If the message below appears this means there is still an outstanding balance showing in the pain / gain tab of the contract in the field fees outstanding. Payment certificates must be issued to clear this balance before closure can take place. 73 P a g e R e v 1. 0

74 Project Support Officer guide Assigning and managing roles in the workspace Before loading the contract into the workspace, you need to assign the contract team to roles within the workspace.! Important In order to invite new users to a workspace or amend existing role permissions you must have the role of Project Manager or Workspace Administrator within the workspace. Workspace role name NEC - Project Support Officer NEC - Contract Mgt Support NEC ECC - Project Manager NEC ECC - Contractor Purpose Allows the PSO to be notified of the need to increase the order when the accepted forecast or revised price increases beyond the order value recorded in the contract. See the guide below on creating yourself a group. This role allows system and project support edit access contracts within the workspace. The Contract Mgt / Administration User Group is assigned to this role in order to give this group of individual access. This role allows the person to be assigned the role of the ECC Project Manager in the contract. This role allows the person to be assigned the role of the Contractor in the contract. NB: When searching for individuals you may need to search for the user under their own organisation name rather than the single entity name (e.g. for the single entity GBV JV Ltd search for the named individual under the organisations Galliford Try or Black & Veatch). Refer to the table of WEM supplier groups and their naming conventions for details on how the single entities and organisations relate to each other. Project Manager NEC - ECC Supplier View Only This role can approve construction cost data sheets including completing the costs of free issue materials. This role allows supplier framework managers and administration staff to access the contract. The EA - WEM Framework Contract View User Group is automatically assigned in the workspace template to this role. This allows organisation groups to be automatically assigned access to the workspace and view only access to the contract when you set up the contract in the workspace. 74 P a g e R e v 1. 0

75 NEC-ECC-Client View Only Creating yourself a group Internal managers, clients and the commercial team who may need view only access to contracts. You can also add your local team group to this role. The AOS Commercial Team group is assigned to this role in order to give access to CSMs & CLCMs. As a Project Support Officer who supports a number of Project Managers on tens of projects, you can create yourself a group within Asite and then assign the role of PSO to the group within the workspace. The benefit of doing this is that if you move jobs or go on holiday, you only need to reassign the role to your replacement once via the group. If you were to simply assign yourself as a named user within the workspace, you would need to update each affected project workspace separately. Creating and assigning yourself as a group is more efficient. To create a group on Asite you must have access to the groups portlet on your Asite homepage; My Home. If you do not have access to this portlet, support@asite.com and request they give you access. Add a new group To add a new group within the portlet, select the Add User Group button. A new screen will appear where you can give your group a name and a description and select Save to create your group. 75 P a g e R e v 1. 0

76 The groups screen will appear, enter the name of the group and select Search User Groups to find the group you have just created. Next you need to assign yourself to the group. Select the spanner icon and then the Assign members option. A new screen will open on the current tab which displays a list of people that have been assigned to the group. In this scenario this screen will be blank as you have not assigned anyone to your group. Select the available tab and enter your name into the fields provided and select search users. Your name and address will appear. Select the tick box next to your name and select the Update Associations button.! Important Anyone being added to a group will be sent an invitation which they must accept before they can gain access to the group. You ll notice that your name will appear in italics in the current tab. This indicates that you have not yet accepted the invitation to join the group. Once you accept the invitation, your name will appear normally. 76 P a g e R e v 1. 0

77 Amending an existing group To amend an existing group that you have created; enter the name of the group you wish to amend within the groups portlet and select the Search User Groups button. The search results will appear. Select the spanner icon and select the assign members option. A new screen will open on the current tab which displays a list of people you have assigned to the group. To remove a person from the group, simply de-select the box next to their name and select Update Associations. 77 P a g e R e v 1. 0

78 To add a new person to the group select the available tab and enter their address into the field provided and select search users. Your name and address will appear. Select the tick box next to your name and select the update associations button.! Important If you are adding anyone to the group other than yourself, you must enter their address to search for them. Searching for them under their name will not return a result. Anyone added to a group will be sent an invitation which they must accept before they can gain access to the group. You ll notice that the name of the person you have just added name will appear in italics in the current tab. Their name will continue to appear in italics until they accept the invitation to the group. 78 P a g e R e v 1. 0

79 Inviting new people to your workspace If a new person joins the contract team, you will need to invite them to your workspace for the first time. If they already have access to the workspace then skip this step and go to Assign roles to existing workspace members. To invite a new person to the workspace; go to the ADMIN drop-down menu within the project workspace. Select the option Invite Users to Workspace. The Invite Users to Workspace page is displayed: Complete the person s first and last name and address in the fields provided. Select the role they need to be assigned to. If you are unsure which contract role to assign them see the roles table above. You can add a message and finally select the Invite button to send. You can invite more than one person at the same time by selecting the add button (circled in amber above). Once you have selected the Invite button, the person will be sent an invitation to the workspace by . You will receive a notification from Asite once they have accepted your invitation. Once accepted they will be assigned to the role you selected in the invitation. You can trace the status of your invitation by switching to the status tab. This screen shows all of the workspace invites you have sent and whether they have been accepted. Invitations 79 P a g e R e v 1. 0

80 can be resent, for example if it has been missed by the recipient, by selecting the Resend button. Assign roles to existing workspace members If the person already has a role within your workspace, but you d like to assign them an additional role; select the Admin drop-down box. Select Manage User Role Memberships and the Manage User Role Memberships page is displayed. 80 P a g e R e v 1. 0

81 Enter the person s address in the box circled blue above and select Search. By selecting Advanced Search to the right of the Search button, you can choose to search by a person s name. Any person matching the address entered will then be displayed: Select the tick box just left of the person s name and select the Add Selected button next to the role you wish to assign them. If you are unsure which contract role to assign them see the roles table above. Finally select Save to keep changes and send out an notification informing the individual they have been assigned to a new role.!important If you are assigning a group to a role you may want to deselect the instant notify tick box to stop a notification going out to all the people within the group. Removing people from workspace roles 81 P a g e R e v 1. 0

82 To remove a person from a role, use the ADMIN drop-down menu to select Manage User Role Memberships. This opens the role membership window. Scroll down the list of roles to find the person you wish to remove. Check the box next to the person or group to remove and select. Read the warning message and press continue. To save the changes select located at the bottom right of the screen. Create a Contract on Asite This section will explain how to create a WEM ECC Contract on Asite from the MS Excel contract template file. Follow the information in the guide and ECC completion tabs of the contract template to give you two versions of the WEM ECC Excel contract file: A complete.xlsm version of the contract for attaching to the online form. Important! Save a copy of the full Macro-enabled format (.xlsm) version prior to producing the reduced file version. A reduced size version for importing in Excel workbook format (.xls or.xlsx). Note this is an incomplete version of the contract and should be disposed of post import. Important! Before uploading the contract you must ensure you have assigned the correct workspace roles to the parties requiring access. See assigning and managing roles in the workspace for information on how to do this. Importing your data Once you are ready to upload your contract, select the create new form icon next to '01 WEM ECC Contracts Data & Report' to bring up a blank contract form. 82 P a g e R e v 1. 0

83 Next select the Import xls icon. Select Browse to navigate to your saved import file (this file must be.xls or.xlsx) and select the file. Finally select the 'Import' button to import your data. Once the data has imported select the Lot 4 framework organisation from the list (see supplier matrix table for further details). All the information from the imported file will then be displayed on the form. Important! Ensure that you have the correct supplier reference entered. Some suppliers may use different references for tendered contracts than for awarded contracts, so to allow them to report accurately it's important that this is kept up to date. Important! You must also ensure that the tendered fee percentages have been correctly imported from the contract (ECC7 Contract Data Part 2, Cells F49, F50). These values are 83 P a g e R e v 1. 0

84 used automatically calculate the Contractor s fee (option E & option C) when he submits his application for payment so it is important that this value is correct. No fee is applied to option A contracts; where this is the case this value is set at zero and the field is hidden. The Order Value field will be populated with the sum of the purchase orders imported from the Excel file. This value is hidden from suppliers throughout the contract. The task breakdown for the contract will be imported from the MS Excel sheet; it is also possible to add additional tasks and orders at this stage if required. If the contract is Option A or Option E then there are no incentivisation options available to you; 'No incentivisation' will be entered in the Incentivisation Options drop-down box and the 'Pain/Gain' tab will be greyed out and inaccessible. If you are working with Option C contracts, then you have two incentivised options: Incentivised to project cost Incentivised to target cost For contracts that are 'Incentivised to project cost', the incentivisation information will be imported from the Excel form and displayed in a table. If required, additional incentivisation items can be added by selecting the 'Insert Expenditure Type' button and entering the required fields. Option C contracts that are not incentivised to project cost will be incentivised to target cost. The Pain/Gain tab will show the forecasted pain/gain calculations as the contract progresses. Contract Management Team The next section to be completed is the contract management team. This section must be completed in full. To find a user enter at least 3 letters of their name or organisation into the top-most field, highlighted in red below, and press the tab key or select anywhere outside the field using your mouse. 84 P a g e R e v 1. 0

85 Select the required person from the drop-down field below 'User Name' and then select 'Assign' next to their role(s). To remove someone listed as ECC Project Manager or Contractor, select the field where you want the name removed. A blue down arrow should appear next to their name. Select this arrow and then the 'Remove ECC Project Manager' or 'Remove 'Contractor' option. 85 P a g e R e v 1. 0

86 Attaching the Completed Excel contract Only information required in the management of the contract is imported to Asite. Some information is not imported. It is therefore necessary to attach the completed MS Excel contract file to the Asite contract so that it can be easily referred to. To save the Excel file with the contract, select 'Attach External Documents' at the bottom of the page. From this window select the 'Browse' button and navigate to your saved completed contract file. Select the file and then select the 'Start Upload' button. You should then see this file listed at the bottom of the page.! Important Ensure that this file has the '.xlsm' file extension. If not, it may be that you have incorrectly attached the import version (.xls or.xlsx) of the contract file which is not a complete record of the contract. Historic CE Information Tab This tab allows the PSO to enter information about Compensation Events that have been agreed offline prior to the contract being set up on Asite. The status of historic CEs should be closed and Agreed as a CE set to YES. Compensation events can be increases / decreases in costs of activities defined in the original contract or they can be new activities not previously defined. If the former applies simply 86 P a g e R e v 1. 0

87 select the activity from the pick list. If the latter applied select the new tick box to add a new activity. Important! You must enter the correct activity and value for the contract for any approved compensation events. Ask the ECC Project Manager for these values when setting up the contract. Following the transfer of all WEM ECC contracts to Asite this tab will be disabled as contract management teams will be using Asite s NEC Manager to administer Compensation Events. Historic Payments Tab This tab allows the PSO to enter information about payment certificates that have been issued offline prior to contract set up on Asite. Enter the details of the payment into the fields provided. To insert multiple Activities onto a single payment certificate, select Insert New Activity. For each additional payment certificate, select Insert new Fee Note Information. Different options under the contract have different payment breakdowns. Option A Under option A payment becomes due when a specific activity is wholly complete. Part payment of activities is not allowed under option A. Therefore you construction your payment history by activities agreed either in the original contract or subsequent compensation events. Option C & E Under option C & E payment is based on actual costs incurred by the Contractor which are assessed at an agreed period (usually once a month). The breakdown structure for option C & E contracts is as follows: 87 P a g e R e v 1. 0

88 1. Staff costs 2. Direct work items 3. Direct work items fee percentage 4. Subcontract work items 5. Subcontract work items fee percentage 6. Pain / Gain 7. Retention 8. Delay damages 9. Other deductions The percentage of fee to be applied varies from contract to contract and is defined in the contract document in contract data part 2 and is also stored in the online contract data. Once you have completed entering the historic payments, return to the Contract Details tab and select Update. Tender Info and Competitor Score Tab If you have been sent any competitor and tendering information select the 'Tender Info and Competitor Score' tab. Complete this tab with the information you have been provided with from Procurement or your Project Manager. Additional competitors can be added by selecting the 'Insert new Tender Score & Prices' arrow. Select the 'Create' button to submit the form; you must be on the Contract details tab to do this. You will then be returned to the list of Contracts where you will see the screen refresh and your newly created contract listed. Notification to increase the order value (NIOV) When the accepted forecast or revised price increases the individual in the role of Project Support Officer will get a notification to increase the order value on IBIS on your workspace homepage. They will also get an notification if they have configured this option in their workspace settings. To review the NIOV, simply select the action number in your workspace home: This will bring up the search results. 88 P a g e R e v 1. 0

89 Select the form ID to open the form and review the details of the pending action. This notification prompts you to raise the order via IBIS. Once the order increase has been approved within IBIS you need to carry out two actions. First go into the contract in edit mode and update the order value by selecting the Edit Order Value button and then select Update to save the changes. Next go into the NIOV form in print view. Select the NIOV status pending. A new window will appear. Set the status as Closed, enter a reason for status change and select Submit to save the changes. 89 P a g e R e v 1. 0

90 You ll notice that in the search results the status will have changed to closed and your Assign Status action will have cleared. Contract Closure After the completion certificate has been issued and after the defects period has passed, the ECC Project Manager will send you a contract closure form. This form is prompting you to request that the purchase order(s) detailed in the closure form be closed on IBIS. It is critical that you do this as this is the only robust way to ensure that no further payments are made against the purchase order for the contract.! Important Once you receive the closure notification you should carry out a final check to ensure that the payment certificates on Asite match the accepted invoices on IBIS. To do this run a report in EA Payables Regional Enquiry England in IBIS against the order number to get a full list of accepted invoices. Note that checking this against the project ledger can be difficult as often payments are split over a number of order lines; running a report from EA Payables Regional Enquiry England gives you a list of payments as they were invoiced. Once you have confirmed the two values match you can close your purchase order. 90 P a g e R e v 1. 0