/ UK Power Networks / HSS 02 004
v5.0

Audit, Inspection and Monitoring of Networks Connections Providers

Owner
Name / Jason Carmichael
Title / Head of Technical Training and Assurance
Signature
Date / 10 March 2016
Authoriser
Name / Dan Girt
Title /

Technical Assurance Manager

Signature
Date / 10 March 2016

This document forms part of the UK Power Networks Integrated Management System and compliance with its requirements is mandatory. Departure from these requirements may only be taken with the written approval of the above authoriser.

Version number / 5.0 / What has changed?
Additional section added to give further detail on the action process (Section 9). Previous Section 9 (Compliance Improvement) now moved to new Section 10. HSS 02 004a-f also reviewed. Revision to ‘b’ regarding the lighting, and clarification on when the flag relay is required and to ‘c’ to remove the necessity for anti-condensation heaters.
Why has it changed?
Following feedbackand review of the procedure to provide clarity on process.
Date published / 15/03/2017
Next review date / 10/03/2019
Prepared by / P. Akerman
Revision Record
Version number / 4.0 / What has changed?
Additional Section 9added explaining the method of driving improvement in compliance.Inspection forms for each category added (HSS 02 004 a – f) for reference.
Why has it changed?
Further review and refinement of the procedure.
Date published / 31/03/2016
Next review date / 01/03/2017
Prepared by / P. Akerman
Version number / 3.0 / What has changed?
Removed appendixes a & b and integrated content into procedure.
Added new frequency inspection table on page 8.
Why has it changed?
A review of the procedure.
Date published / 15/02/2016
Next review date / 01/03/2017
Prepared by / P. Akerman
Who needs to know?
☐All UK Power Networks Staff
☒Asset Management
☒Capital Programme
☒Connections
☒Contractors
☐Customer Services
☐Finance
☐Legal
☒G81 External website
☐HR & Communications
☒HSS&TT
☒In Business HSS
☒Safety Reps
☒ICPs (Independent Connection Providers)
☒IDNOs (Independent Distribution
Network Operators)
☐Information Systems
☐Meter Operators / ☒Network Operations
☒EPN
☒LPN
☒SPN
☐Distribution Capital Delivery
☐Logistics
☐Network Control
☒Network Operations Connections
☐Transport Services
☐Strategy and Regulation
☒UK Power Networks Services
☒Airports
☒Rail
☒HS1, DLR Commercial buildings
☒MUJV / Allenby
☒Business Development
☒Others (specify)
Commercial Services

Contents

1.0Introduction and Purpose

2.0Scope

3.0Objective

4.0References

5.0Definitions

6.0Responsibilities

7.0Records

8.0Process Detail

9.0Action Process

10.0Compliance Improvement

1.0Introduction and Purpose

This document explains the process that will be followed in relation to the inspection of all connection activities undertaken within the UK Power Networks three Licence Areas.

Connections providers are classified by UK Power Networks as any party undertaking connections activity, whether direct, indirect or third party for the adoption and subsequent ownership and management by UK Power Networks.

UK Power Networks staff, agents and contractors will be assessed and accepted for duties via the internal Worker Accreditation Process. Independent Connection Providers must have obtained all suitable accreditation including the National Electricity Registration Scheme (NERS),administered by Lloyds Register for each relevant category of work to be undertaken.

2.0Scope

This document sets out the framework within which inspections will be undertaken for all work carried out by connections providers within UK Power Networks Distribution Licence Areas, namely EPN, LPN and SPN.

The purpose of the inspection regime is toensure that safe, robust assets are installed in compliance with UK Power Networks standards and specifications.

These inspections will be carried out by the UK Power Networks Technical Assurance audit team, or their appointed representatives.

3.0Objective

The objective of the inspection process is to confirm:

  • Work carried out complies with UK Power Networks engineering standards and specifications.(Note - the UK Power Networks document library is accessible via the
    UK Power Networks Intranet or the UK Power Networks G81 Internet web pages).
  • Quality of workmanship and materials being used meets the requirements applicable to the published specifications and agreed working practices.
  • Testing and commissioning has been carried out in accordance with the applicable policies and procedures.
  • Resources carrying out the works have sufficient training and are accredited to conduct the work they are engaged to deliver.
  • Installations follow and adhere to the approved design for the project.

4.0References

CMA 01 005 / Monitoring and Control of Contractors’ Quality of Work
CON 00 021 / Licence Condition Standard
CON 00 023 / Content of Connection Offers Standard
CON 00 024 / Connection Charge Manual
CON 05 018 / Connections Project Closure Procedure
CON 05 107 / Undertaking Quality Checks Procedure
CON 08 005 / Competition in Connections
CON 08 005k / Standard Terms and Conditions for Construction and Adoption
CON 08 115 / ICP Self-Connection Operational Activity Procedure
HSS 01 050 / Behavioural Exchanges and Inspections
HSS 02 004a-f / Inspection Forms for activity scope
HSS 41 003 / Training, Assessment and Certification of Persons
HSS 41 008 / Authorisation of Independent Connection Providers (ICPs), Crafts Persons by UK Power Networks
HSS 41 009 / Authorisation of Independent Connection Providers (ICPs), Authorised Persons (APs) and Senior Authorised Persons (SAPs) by UK Power Networks
ISO 19011:2011 / Guidelines for Auditing Management Systems.
NOC 04 001 / Independent Connections Provider (ICP) Street Furniture Metered Connections Jointing to Mains (SFMJ2M) Procedure
NOC 04 003 / Independent Connections Provider (ICP) Unmetered Connections (UMC) Jointing to Services (UJ2S) Procedure
NOC 04 004 / Independent Connections Provider (ICP) Unmetered Connections (UMC) Jointing to Mains (UJ2M) Procedure

5.0Definitions

1st Party / Resources employed directly by UK Power Networks, and working under UK Power Networks safety management systems
2nd Party / Resources employed by UK Power Networks under an Alliance Partnership arrangement or term contract and working to their own safety management systems that are to a no less level than UK Power Networks
3rd Party / Independent connection providers that are working to the relevant safety management system and will be assessed by an independent body such as Lloyds Register where applicable
ART / Asset Registration Team
Audit / Systematic, Independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which agreed audit criteria are fulfilled
Inspection / Critical appraisal involving examination, measurement, testing, gauging, and comparison of materials or items, to ensure they are in proper quantity and condition, and if they conform to the applicable or specified requirements.
CiC / Competition in Connections
ICP / Independent Connection Provider
DNO / Distribution Network Operator
IDNO / Independent Distribution Network Operator
ESQCR / Electricity Supply, Quality and Continuity Regulations 2002
EPN / Eastern Power Networks
LPN / London Power Networks
SPN / South Eastern Power Networks
NERS / National Electricity Registration Scheme
G81 / UK Power Networks Internet web pages providing the Engineering Standards information for third parties
SORN / System Operation Reference Number
AIRLine / UK Power Networks Audit and Inspection Reporting System
WAP / Worker Accreditation Process
ISO 55001:2014 / Framework specification for an asset management system for optimised management of physical assets

6.0Responsibilities

UK Power Networks Assurance Manager

The Assurance Manageris responsible for:

  • The delivery of the connections providers’inspection schedule.
  • The completion of inspections to establish compliance with engineering standards and the requirements of ISO 55001:2014
  • The collation and control of all engineering inspections, internal and external reports and supporting evidence in a readily identified and easily retrievable format.
  • Regular reporting to UK Power Networks senior management team with regards to compliance levels and details of non-conformities.
  • Provide feedback on policies, processes and procedures to ensure best practice.
  • Ensure all engineering auditors possess the necessary competencies for their role.

Engineering Auditors

The Engineering Auditors will:

  • Undertake inspectionsas necessary using the appropriate inspection form (HSS 02 004a-f)to ensure thatfor the subject activity, correct design standards have been applied, noting any agreed deviations from the standards (design, civil, electrical, protection philosophy etc.) and that quality of workmanship is to the required standard.
  • Identify any shortfalls in the current engineering standards, procedures and processes and feedback to theengineering standards managers to enablepotential modifications or improvements to the engineering standards.
  • Identify training or re-training requirements as appropriate.
  • Record the results from all inspections as per Section 7 below.
  • Ensure all non-conformities are recorded and formally communicated to the nominated action owner.Each entry shall include the non-conformity, the corrective action, the name of the action owner and the date the action is to be completed.

Corrective Action Owner

The corrective action owners shall ensure that:

  • Each action assigned to them is completed on time and this information is passed back to the engineering auditor where applicable.
  • Major non-conformities are completed prior to connection to the network, with demonstrable objective evidence available for further inspection if necessary.

7.0Records

The results of all inspections will be stored on the UK Power Networks database specified for this purpose. This will allow ongoing compliance reports to be compiled, and trend analysis of levels of compliance to be determined.

These records will provide the data for compliance evaluation, the subsequent calculation of inspection frequency and will be made available to the connections provider.

8.0Process Detail

UK Power Networks will monitor a sample of the connections activities undertaken by its connections providers against engineering standards and agreed industry good practice, to a schedule and frequency as determined in the criteria in the following sections.

Before the inspection process is instigated, it is expected that the following activities will have been agreed and completed:

  1. All supporting documentation relevant to the task will have been completed and issued to the persons conducting the works.
  2. To have submitted and where applicable, had accepted by UK Power Networks the complete design for the works, or partial design if agreed by all parties. For Street Furniture activity, in accordance with the relevant agreement, specific permission for each task has been granted in writing in advance by UK Power Networks.
  3. If UK Power Networks has been employed to provide a design, all necessary construction details have been submitted and agreed.
  4. All buildings inspected and signed off by a UK Power Networks building inspector where applicable.
  5. A programme of works submitted, identifying all required works and proposed final connection dates or whereabouts details for unmetered connection activities.
  6. Provided, by name, a list of subcontractors and craftsmen approved for the relevant scheme of works (through the Lloyds Accreditation Process) if the connection is to be via a contestable final connections agreement, or demonstrable letter of acceptance including resource names for unmetered connections.
  7. Any site specific requirements have been reported (e.g. safety training, access provision etc.).

Inspection Frequency

UK Power Networks will manage an inspection and monitoring regime, based upon calculated risk to the network and previous instances of non – conformity, as depicted below.

Risk Analysis of Activities

Activity / Risk Level
UMC / Low
LV Services
LV Connection
Link Box / Medium
LV Cable Laying
11KV Cable Laying
33/132KV Cable Laying
HV Connection
11KV Sub Station / High
33KV Sub Station
132KV Sub Station
Commissioning of HV & EHVAssets

A three tiered occurrence of inspections shall also be employed, with Level 1 being the most comprehensive and Level 3 resulting in the least comprehensive. This will be based upon the activity and results from previous inspections as recorded in theUK Power Networks database system.

A new connections provider will be subjected to a level 1 inspection regime for a minimum of their first ten projects, thereafter they will be inspected at a level appropriate with their level of performance.

A Pass rate of less than 25% shall attract a Level 1 inspection regime.

Between 25% and 75% will result in a Level 2 approach, and a Pass rate of greater than 75% shall be inspected at Level 3.

Inspection Frequency based upon Inspection Pass Rate or Conformance Levels.

Inspection Pass Rate / Less than 25% / Conformance Level / Major Non-conformities. / Level 1
25% to 75% / Minor Non-conformities. / Level 2
Greater than 75% / Opportunities for Improvement. / Level 3

From the results of the two tables above, an inspection frequency will be implemented using the table below to calculate the rate of inspection.

Conformance Level / Activity Risk Level / Expected Levels of Project Inspections
Level 3 / Low / 0% - 1%
Medium / 1% - 10%
High / 10% - 30%
Level 2 / Low / 1% - 10%
Medium / 10% - 30%
High / 20% - 70%
Level 1 / Low / 10% - 30%
Medium / 20% - 70%
High / 50% – 100%

Connections provider performance and activity risk level will be reassessed on a quarterly basis to determine the ongoing level of the rate of inspection which may result in potential movement between the levels.

Inspection Allocation

An appointed auditor from UK Power Networks mayvisit the site to determine compliance of the work completed to the published engineering standards, good industry practice and accepted design submission. According to the complexity of the given project, these inspections will either be classed asinterim or final inspection. For contestable final connections, where only one visit is anticipated to site, the inspection, if carried out by UKPower Networks will be deemed as a final.

Additionally, the results from the connections providers own inspection regime shall be considered as evidence to demonstrate compliance. This will be supported with detailed and unambiguous photographic confirmation based upon an assessment of the activity risk, with the criteria for inspection being at a commensurate level to that of UK Power Networks own audit / inspection criteria.

This will be via prior mutual agreement between relevant parties, and shall be subject to non-prejudicial inspections from the UK Power Networks assurance team to maintain consistency.

Interim Inspections

The inspection may be deemed an interim inspectionif the full scope of the works is incomplete, for example the civil aspect or earthing complete but electrical installation incomplete, whereby the result of the inspection will either constitute a ‘Passed Inspection’, if all aspects of the completed work fulfil the aforementioned criteria, or a ‘Failed Inspection’ if they do not.

For projects of a larger scale (Major Connections Load Distribution or Distributed Generation at voltage levels above 11kV) multiple interim inspections may be necessary to adequately monitor all aspects of the works being undertaken.

Final Inspections

A final inspection is undertaken whereby the full scope of works is complete and all conditions relating to the connection have been met.

All testing and commissioning has been completed as applicable, with supporting documentation available and all installed assets will be in a state of readiness for energisation.

Other Inspections

Other activities may result in differing designations to those noted above. Safety inspections may also occur from UKPower Networks to ensure safe working practices are being adhered to, as may commissioning inspections if this is the main activity being conducted at the time of the inspection.

Additionally, post energisation inspections will be undertaken where non-conformities have arisen, or the opportunity was not available to inspect the works prior to energisation.

Observations may be communicated to the relevant parties responsible for the works and recorded where potential improvements for the provider are identified to mitigate against compliance risks, or where an area of concern may need further inspection at a later date.Observations may also be raised where non-conformities or opportunities for improvement have been noted that are outside the scope of the current inspection, but may need remedial actions to prevent future compliance risks.

Results from Inspection Activities

A ‘Pass’ shall be achieved if all aspects of the completed work fulfil the necessary criteria, such as the work is compliant to the approved design and fulfils the requirements of the relevant engineering standards of UKPower Networks.

A ‘Conditional Pass’ may be granted for minor defects which can and will be rectified on the same day as the final audit and do not qualify as a major failing as highlighted above. Note that a ‘Conditional Pass’ is not granted for interim audits. The completed, installed assets at that time will either be compliant with the published specification or not.

Examples of a ‘Conditional Pass’ may include but not be limited to:

  • Minor civil issues, surrounding area requires finishing, floors or walls require painting etc.
  • Correct safety signage and labelling missing from enclosures.
  • Site Responsibility Schedules not available on site.

A ‘Failed Inspection’ may result if a substantial amount of the aforementioned criteria has not been met, and connection to the network cannot proceed until remedial actions are undertaken to rectify the issues highlighted.

Examples of a ‘Failed Inspection’ may include but not be limited to:

  • Hazardous or unsafe working practices or equipment. These will be reported and work will be stopped immediately.
  • Works not complying with regulatory requirements such as ESQCR.
  • Site construction or installed assets not in accordance with accepted design or engineering standards, or task-specific permission issued.
  • Installed plant or apparatus failing insulation resistance tests.
  • Works incomplete at the time of a final inspection.

The connections provider will be informed of any defects and the corrective actions required at the time of the inspection if they are on site. The results of a ‘Failed Inspection’ may necessitate cancellation of the planned connection to the network, and might require a further inspection to be undertaken once remedial actions have been completed.

In the event of a ‘Failed’ Inspection or ‘Conditional Pass’ the auditor may not need to re-visit the site, provided photographic evidence is received from the connections provider no later than close of business the day before the connection date, clearly demonstrating all remedial work is complete.

Remedial actions may also be verified by other parties who may be associated with the works. This will also be verified by the connecting engineer that works have been complete in accordance with the evidence received.

Determination of Results for Compliance

Where major issues that result in necessary corrective actions are completed to maintain a connection to the networkfor the purpose of assessing the ongoing inspection frequency of the connections provider, the audit will be considered a ‘Failed Inspection’.