4.2.8 Cyclic maintenance
Activities, such as grass cutting, weed control, gully cleaning, sign cleaning (see figure 52) and litter picking are carried out on a regular ongoing basis.
Such activities are classified as cyclic maintenance.
PAG considers that cyclic maintenance was carried out to a reasonable standard across the network.
A detailed study of the OC's cyclic maintenance activities is reported in section 3.1 of this report.
Figure 52Sign cleaning on A77 at Glenapp in SW
4.2.9 Recording details of routine maintenance operations
RMMS
The RMMS is a computer-based system, which is operated by the OC. The provision, operation and maintenance of an RMMS to record details of routine maintenance activities on the network is a requirement of the contract.
The main factors influencing the performance of the OCs in respect of the RMMSs were:
- RMMS hardware and communication links.
- System compliance and operation.
- OC performance.
RMMS hardware and communication links
The hardware and communication links for all OCs operated successfully throughout the year, enabling the Department and PAG to access the RMMSs when required.
System compliance and operation
Amey
- Amey completed an RMMS action plan early in the year, resulting in the closure of default notices issued previously against their non-compliant RMMSs. This action ensured the RMMSs functioned correctly throughout the year and Amey staff were trained to use it correctly.
BEAR
- BEAR's RMMSs remained compliant and operational throughout the period. Following discussion between BEAR and PAG, BEAR implemented an enhanced recording regime during the period.
OC performance
Safety inspections
The contract requires safety inspections to be carried out every 7 days on motorways, dual carriageways and other specified routes. The remaining mainly rural single carriageway routes are inspected every 28 days.
KPI 02, provided by the OCs, details their performance in terms of achieving the required frequency of safety inspections (see figure 53).
Figure 53KPI 02 Safety inspections
| NE | NW | SE | SW |
|---|
KPI 2 - Safety inspections | 100% | 100% | 94% | 96% |
|---|
Figure 53indicates:
Amey
- Amey's safety inspection frequency performance is good, but leaves some room for improvement.
BEAR
- BEAR's safety inspection frequency performance is excellent. Some concerns were raised during the year by PAG audit on the accuracy of BEAR's inspections. These were addressed by the OC.
Detailed inspections
Detailed inspections are carried out at frequencies from three months to five years. They are carried out to check the condition of the infrastructure items to allow longer term programmes of maintenance to be compiled.
KPI 03, provided by the OCs, details the percentage of detailed inspections carried out within the required timescale (see figure 54).
Figure 54KPI 03 Detailed inspections
| NE | NW | SE | WW |
|---|
KPI 3 - Detailed inspections | 100% | 100% | - | - |
|---|
Figure 54 indicates:
Amey
- Amey has not submitted its KPI data. This is currently being sought by PAG.
- However, during the period PAG identified that Amey had not carried out detailed inspections of some infrastructure items which require inspections every three years. This resulted in Amey receiving default notices. Amey reacted quickly to carry out the detailed inspections and programmed subsequent inspections for the remainder of the contract. The default notices have subsequently been closed.
- In December 2004, PAG noted that an AmeySW internal audit had identified failures to record evidence of cyclic maintenance and inventory changes. An NEI was raised covering these problems as Amey was already addressing them under its QMS. Amey is implementing an action plan to correct the failures and this will be monitored by PAG.
BEAR
- KPI data shows an excellent performance by BEAR.
Cyclic maintenance
Cyclic maintenance is now being recorded in the RMMS by all OCs in accordance with the contract requirements.
4.2.10 Dealing with emergencies
Emergency response
The OCs are responsible for taking immediate action to deal with emergencies on the network, to minimise disruption and delay to road users. Some emergencies can be dealt with by the OCs alone, but frequently they are required to assist the emergency services.
Typical emergencies include:
- Road traffic accidents.
- Flooding.
- Spillages.
- Debris removal.
- Carriageway defects.
- Landslips.
- Bridge strikes.
- Incidents due to adverse weather.
The OCs are required to respond to emergencies as quickly as possible and within specific timescales depending on the type of road and time of day.
Major landslips in NW
BEAR had to deal with a number of major, high-profile landslips in NW following heavy rainfall in August 2004 (see figure 55). These affected A83, A84, A85 and A9 and the routes were closed for a number of days, with subsequent traffic disruption.
Figure 55Landslip on A83 Cairndow in NW
BEAR responded well, quickly mobilising resources to deal with the landslips. The roads were made safe and remedial works carried out as quickly as possible.
A9 and A85 landslips
In dealing with these incidents BEAR deployed professional, technical and manual resources from within NW and NE to minimise delays and facilitate the early re-opening of the routes. Figure 56 shows work at A85 Glen Ogle.
Figure 56BEAR resources mobilised following landslip at A85 Glen Ogle in NW
At the request of the Department, PAG undertook an audit to review the nature of the operations carried out by BEAR to determine if they were appropriate for the conditions encountered on site. The audit also reviewed the charges made against the emergency and remedial works to determine if they were reasonable. For convenience, all charges were processed by BEAR through NW. PAG found:
- NW was quick to mobilise resources from within BEAR and externally to deal with the landslips. The routes were made safe and remedial works were carried out promptly.
- Good records were kept of the decision making and work instructed and most of the measurements were adequately supported by documentation.
- The works carried out were appropriate for the incidents.
- In view of the exceptional nature of the works, the Department used its discretion to pay certain charges outwith the strict interpretation of the contract, e.g. travel time for resources brought in by the OC from outside the locale of the landslips. Other costs were reviewed with the OC and where appropriate adjustments were made.
BEAR reacted well to these emergencies and their professional approach helped to minimise delays to the road users. Works carried out were appropriate for the nature of the incidents and costs were reasonable.
Emergency response performance
KPI 07 is used to monitor the OCs' response times. Figure 57 shows a comparison of the OCs' year on year performance.
Figure 57KPI for emergency response times
Both NE and NW maintained their previous year's strong performance. In SW and particularly SE, performance dipped. Amey is aware of the situation and is taking steps to address this.
Hazard notices
When PAG's field engineers find hazardous situations on the network, they inform the OCs by mobile phone from the site. They then issue a hazard notice by mobile email, containing details and a picture of the problem. This is sent to the OC and copied to the Department. The OCs are obliged to deal with the problem immediately and to respond formally within 24 hours.
Hazards can be due to factors outside the OCs' immediate control and do not necessarily result from poor workmanship or management.
Typical hazards include:
- Significant potholes.
- Poor traffic management.
- Damaged gullies.
- Exposed electrical wiring.
- Flooding.
Figure 58 shows flooding across the whole carriageway on A85 near Glen Ogle, a typical hazard encountered by PAG.
Figure 58Flooding on A85 near Glen Ogle in NW
Figure 59Number of hazards notices issued by PAG
PAG issued 157 hazard notices during 2004/05. Although this is a 29% rise on last year, it is only slightly above the average annual number of hazard notices issued since the start of the current OC contracts in April 2001 (see figure 59 for details).
Throughout the year the OCs responded well to emergencies and hazard notices, with issues being dealt with professionally.
4.2.11 General management tasks
In addition to the design and management of the operations, the OCs undertake various delegated general management functions. These include:
- Development control, including technical studies and responses to planning applications.
- Co-ordination of undertakers works under the New Roads and Street Works Act.
- Co-ordination of routing for abnormal loads.
- Authorisation of tourist and other signing.
PAG has not specifically examined these management tasks in any technical detail. These have, however, been examined as part of PAG's audits of the OCs' quality systems and are reported in section 4.3.1.
4.2.12 Management and maintenance of structures
Maintaining structures
Under the contract, the OCs are required to carry out general and principal inspections of bridges and structures at two and six yearly intervals, respectively, and to prepare programmes for management and repair.
Across the network 1,077 general and 950 principal bridges and structures were programmed for inspection by the OCs. This is a major undertaking which, with the exception of a small number of bridges over railways, was completed to programme.
Figure 60A898 Erskine Bridge in SW
PAG carried out a series of audits to examine each OC's performance in these areas. The main findings were:
- All the OCs demonstrated sound management of the inspections and recording processes.
- Certificates for completion and maintenance of works and operations were generally completed correctly and filed in the appropriate file, although certificate registers were not always up-to-date.
- As-built drawings were submitted to the Department within the required timescales, with improvements particularly noted in SE and SW over the past year.
- In NE and NW, routine maintenance activities were not being recorded in the trunk road bridges database ( TRBDb), although changes to construction details were entered correctly. BEAR is working to improve the situation.
- In NW, an NEI was raised for the lack of progress in delivering the bridge maintenance programme.
Across the network, repair timescales for bridge parapets remains an area of concern, although the issue is largely outwith the OCs' control. This is most notable for aluminium parapets where there are particular difficulties in sourcing specialist materials. This is exacerbated as the fabrication industry has rationalised to one large manufacturer who holds all the licences for the manufacture and installation of the systems from former suppliers. The Department is working with this manufacturer to explore ways to speed up the repair process.
An additional audit was carried out in NE at the Department's request to examine design revisions and details of damage to crown property schemes. This recorded several observations that have since been addressed by BEAR.
4.3 Quality
4.3.1 Quality management
OC quality systems
The OCs are required by the contracts to operate quality systems which comply with the requirements of the internationally recognised standard, BSENISO 9001. The standard advocates use of the process approach to continually improve the effectiveness of quality management systems so that customer satisfaction is enhanced through meeting customer requirements.
The quality systems are also required to demonstrate that OCs are complying with all aspects of the contracts.
Diagram showing continual improvement process used in a quality system
In addition to the internal auditing requirements of the standard, the contracts require that independent CQMs are appointed by the OCs to audit at specified intervals and report to the Department.
PAG audited the OCs throughout the year in accordance with a strategy agreed with the Department.
All of the OCs have adopted an open and co-operative attitude to auditing and this has contributed to the effectiveness of the auditing programme. This co-operation has extended to dealing with issues arising from audits. In most situations the OCs recognise improvements are necessary and initiate appropriate action. Where disputes arise, these are discussed and if necessary referred to the Department for resolution.
BEAR
- BEAR has been steadily making progress towards registration of its QMS to BSENISO 9001 by third party assessors. Final preparations have been made and a successful outcome is anticipated towards the end of 2005.
- The IMS team, which develops and monitors the BEARQMS, uses the Q-Pulse computerised data management system to manage its activities and provide documents and information to the staff.
- In general, PAG has observed that BEAR's QMS is continually improving and is integral to the management of the OC's activities.
- PAG has reported in previous years that BEAR's management of sub-contractors required improvement and this year substantial progress has been observed. However, follow-up audits have shown that continued efforts are required, particularly with regard to sub-contractor evaluation and performance analysis.
- A follow-up audit on BEAR's OI process showed the revised procedure, introduced as part of the action plan from an earlier audit, had not been fully implemented in NE. An overall improvement in the process was observed, however PAG will monitor to confirm the implementation is completed in NE.
- PAG audited BEAR to assess its ability to hand over records within 28 days of a request from the Department, as required by the contract. This indicated BEAR would be able to comply with the request and, subsequently, records for NW were handed over when required.
- BEAR's duties under the contract include providing the Department with advice on development control, undertaking duties in relation to tourist signing and various other functions delegated under the contract. Audits of these activities found that in NE they were being implemented effectively, but in NW record keeping required immediate attention. BEAR took action by re-organising provision of the services and re-allocating resources.
Amey
- Amey operates its QMS as a component of its IMS, which is accredited to BSENISO 9001.
- During this year, Amey has consolidated and made further improvements. The quality management team was also strengthened with additional resources.
- The AmeyQMS is on an intranet which is available to all staff, supplemented with specific documentation for these contracts.
- Follow-up audits of Amey's OI process found improvements, but further monitoring by PAG of the effectiveness of the revised procedures is underway.
- Amey is required, upon request under the contract, to provide certain records and files to the Department within a specified timescale. PAG audits indicated Amey would be able to comply. This was demonstrated in SW when records were handed over on request.
- Audits of Amey's process for liaison with NADICS found it was effective, with regular meetings taking place. Occasions when Amey is unable to update the NADICS roadworks diary facility due to its unavailability are expected to decrease when the system is upgraded.
- Amey's compliance with its obligations for development control, traffic counter loops and other administrative and delegated functions was audited by PAG. These audits found overall compliance with the requirements.
4.3.2 Environmental management
The OCs are required by the contract to implement an EMS in accordance with BSENISO 14001.Each OC has established documented environmental management systems that are generally effective in preventing pollution and encourage reducing, recycling and re-using waste.
The OCs' records indicated their work on the network complied with environmental legislation.
BEAR
- BEAR's EMS is well documented and makes efficient use of the Q-Pulse data management system for storing records, reports and procedures.
- The management team is conversant with the requirements and is committed to the continual development and improvement of the EMS as part of the IMS.
- BEAR's commitment is demonstrated by its plan to establish a recycling plant adjacent to A9 for the re-use of road material arising from A9 Drumochter to Tomatin road reconstruction scheme. The provision of this facility would, of course, be subject to local planning authority approval.
- However, BEAR needs to ensure environmental awareness is communicated to its employees at regular intervals. There were some lapses in performance and operational procedures identified at audit, in particular the maintenance of plant, waste control and the storage of chemicals and oils.
- An EMS requires the organisation to review its activities periodically to assess their effect on the environment and to implement measures to reduce the impact of those considered as significant. It was disappointing, therefore, that BEAR had not carried out a review for some time.
Amey
- Amey's EMS is also well documented and procedures are accessible to all personnel via the Amey intranet site. Access to records and reports was also readily available.
- Recent management changes, unfortunately, showed deterioration in the good performance observed during the previous year. PAG, however, is confident that Amey is committed to implementing rapid improvements in the EMS and to its continual development.
- On a positive note, Amey actively promotes reduction in energy use and recycling of materials arising from road maintenance works. It has introduced systems for closely monitoring the consumption of road and operational plant fuels, including idling times of vehicles using global positioning systems. Drainage filter material is also cleaned and re-used which reduces the consumption of primary aggregates for road maintenance.
- Areas of weakness included the control, storage and disposal of wastes and the storage of chemicals and oils at depots. This indicated a need for increased environmental awareness training which is being addressed by Amey.
- Amey had also not reviewed, for some time, its activities to confirm those that could have a significant impact on the environment. Targets had therefore not been adjusted to ensure continual improvement is achieved.
4.3.3 Resolving problems and improving performance
Where the OCs fail to meet contract requirements it is important action is taken quickly to improve performance. Through regular monitoring, the Department and PAG work with the OCs to deal with performance issues.
Process for resolving problems
When performance issues are identified, the OCs are required to use their quality systems to correct the issue and prevent recurrence. If the OCs fail to do this, or the actions taken are not effective, a notification of emerging issue ( NEI) may be issued to the OC by PAG.
If the issue remains unresolved, or if it is considered sufficiently serious, there is provision for the Department to issue default notices. These require the OC to undertake remedial action within a specified period and can result in omitting amounts from payment.
NEIs
The NEI process is an agreed extension of PAG's role. It formalises initial discussions with the OCs and enables PAG to take a more proactive role in resolving problems and improving performance.
In effect, the NEI process sits between ORIs/audit findings and default notices. It raises the profile of an issue to focus on its resolution. If PAG's involvement with the OC does not achieve a satisfactory outcome, a recommendation for further action is made to the Department. The NEI process also assists the Department in formally raising issues of concern at an early stage before a default notice is required.
This year was the first full year of the NEI process. During this period the process was reviewed and streamlined. At the start of 2004/05 there were 17 NEIs open. 22 NEIs were closed in 2004/05 including many issued in the previous year. At the end of the year, 14 were receiving attention (see figure 61). PAG and the Department will seek to speed up closure of NEIs in 2005/06.
Figure 61Number of NEIs issued and open at end of 2004/05
Unit | NEIs issued in 2004/05 | NEIs open at end of 2004/05 |
|---|
NE | 8 | 6 |
|---|
NW | 5 | 5 |
|---|
SE | 2 | 1 |
|---|
SW | 4 | 2 |
|---|
Total | 19 | 14 |
|---|
Issues were raised across the breadth of the management functions and operations. In addition there were two issues raised with all four OCs:
- Permanent repair of category 1 carriageway defects (see section 2.3).
- Data logger records from winter gritter runs.
These have been long term issues and discussion between the OCs, PAG and the Department is ongoing.
Another issue - the overall management and closure of ORIs - was noted in all four OCs. There was regular communication between PAG and the OCs to resolve this. Amey in SW has implemented a new monitoring procedure in its QMS to improve its ORI responses.
Five other issues were reported across most of the network:
- Replacement of roadmarkings after patching.
- Grass cutting.
- Weed control.
- Signs obscured by foliage.
- Financial close out of schemes.
In most instances, when NEIs were raised, the OCs focused their attention on resolving them and generally this was successful. However, in some instances it was necessary to escalate the NEI to default notice.
The NEI process is regarded by all parties as useful in highlighting and resolving issues. It aims to prevent performance deteriorations to a level where a default notice would have to be issued.
Default notices
Default notices are issued by the Department to an OC as a contractual notification that it has not met a particular requirement of the contract. The default notice may contain details of how the OC should put things right and when the Department expects this to be done. The Department is also able to withhold payment from the OC for failures which are subject to default notices.
The OCs' progress in remedying default notices is closely monitored by the Department and PAG. PAG produces regular reports on default notices and these are circulated to high levels in the Scottish Executive.
In 2004/05, 11 default notices were issued. This shows a considerable reduction from the previous year's 24 notices. While this indicates an improvement in the OCs' performance, the NEI procedure introduced last year has also influenced results by resolving issues without the need to resort to default notices. The number of default notices issued in each year of the contracts is shown in figure 62.
Figure 62Default notices issued each year
Overall progress has therefore been encouraging.
BEAR
BEAR has shown an overall improvement, with the number of default notices issued to NW reducing from five to two. There was no change in NE with the same number of notices issued as last year. Of the five notices issued to BEAR this year, three have been resolved and are now closed (see figure 63).
Figure 63Subjects of default notices issued to BEAR in 2004/05
NE |
|---|
Surfacing work which was sub-standard | 1 |
|---|
Not carrying out routine work required by the contract | 1 |
|---|
Lack of supervision of sub-contracted work | 1 |
|---|
Total default notices issued in NE | 3 |
|---|
NW |
|---|
Sub-standard surfacing work | 1 |
|---|
Financial scheme completion | 1 |
|---|
Total default notices issued in NW | 2 |
|---|
Amey
Amey has also shown improvement over the year in both SE and SW. SE received two notices in the year, down from eight in the previous year. SW was subject to four notices being issued, again down from eight the previous year, see figure 64.
Figure 64Subjects of default notices issued to Amey in 2004/05
SE |
|---|
Failure to complete inspections required by the contract | 1 |
|---|
Financial scheme completion | 1 |
|---|
Total default notices issued in SE | 2 |
|---|
SW |
|---|
Financial scheme completion | 1 |
|---|
Delay in completing investigation instructed by the Department | 1 |
|---|
Failure to complete required inspections | 1 |
|---|
An issue relating to the reinstatement of roadmarkings | 1 |
|---|
Total default notices issued in SW | 4 |
|---|
Overall progress on closing out default notices has been good. Over the period of the contract, 115 default notices have been issued and only four remained open at the end of 2004/05 - all with BEAR. It is, however, disappointing to note that two of these were raised in the first two years of the contract. The other two were raised this year. Discussions are ongoing between all parties to resolve these issues.
Process for resolving problems
When performance issues are identified, the OCs are required to use their quality systems to correct the issue and prevent recurrence. If the OCs fail to do this, or the actions taken are not effective, a notification of emerging issue ( NEI) may be issued to the OC by PAG.
If the issue remains unresolved, or if it is considered sufficiently serious, there is provision for the Department to issue default notices. These require the OC to undertake remedial action within a specified period and can result in omitting amounts from payment.
4.3.4 Key performance indicators
Introduction
KPIs are included in the contracts to provide an indication of the OCs' performance in meeting specific requirements of the contract. They are not used as a contractual performance measure.
PAG assessment for reasonableness
A considerable volume of data has accumulated over the past four years of the contracts. All of the OCs have progressively improved their record keeping, resulting in more robust data being generated.
Most OCs provided almost complete data sets for this year's KPIs. The notable exception being KPI 03 - detailed inspections completed - where Amey provided no data.
OC performance
Comments on significant performance issues, from the data submitted, are noted below:
- KPI 01 - permanent repair of category 1 defects.
Figure 65KPI 01 - permanent repair of category 1 defects
Full details are given in section 2.3.
- KPI 03 - detailed inspections completed
Figure 66KPI 03 - detailed inspections completed
This KPI relates to the OCs' completion of inspections of the network in accordance with the required programme. Full details are given in section 4.2.9.
- KPI 07 - emergency response times
The OCs emergency response performance is discussed in detail in section 4.2.10.
- KPI 18 - operations completed within timescale
Figure 67KPI 18 - operations completed within timescale
This KPI covers all operations carried out by the OCs.
- NE and NW show a small decline in performance.
- SE and SW maintained a similar performance to last year.
- KPI 25 - planning applications
Figure 68KPI 25 - planning applications
This KPI relates to the OCs' comments on planning applications being submitted to the Department within the required timescale.
- In NE and NW, the data indicates a decline in performance and a lack of consistency.
- In SE, Amey recorded very good performance.
- In SW, performance was similar to last year.
- KPI 26 - submission of reports, programmes and minutes
Figure 69KPI 26 - submission of reports, programmes and minutes
KPI 26 relates to reports and other documents prepared by the OCs being submitted to the Department within the required timescales.
- BEAR recorded perfect performance.
- Amey also recorded very good performance.
- KPI 27 - response to public correspondence, enquiries and complaints
Figure 70KPI 27 - response to public correspondence, enquiries and complaints
KPI 27 relates to the time taken for the OCs to reply to public correspondence.
- BEAR in NE and NW improved from last year and reported consistently good performance.
- In SE and SWAmey still requires to improve performance.
- KPI 28 - draft responses for the Department
Figure 71KPI 28 - draft responses for the Department
KPI 28 relates to the time taken for the OCs to submit briefings to the Department on ministerial and general correspondence.
- BEAR performance was broadly similar to last year.
- In SW, Amey's performance was significantly better than last year.
- As reported last year, Amey's performance in SE shows large variations which are likely to be due to the small number of responses during each period.
4.3.5 Project partnering
The partnering ethos between the Department, the OCs and PAG continues to enhance the working relationship between the parties.
The aim of partnering is to:
- Recognise common goals.
- Recognise each team's goals.
- Achieve mutual success.
Partnering has been taken forward by a number of formal initiatives and an informal partnering attitude is also prevalent. Both formal and informal partnering significantly improve the success of the contracts by encouraging positive communication. The aim is to promote a 'virtual team', moving away from the more adversarial approach traditionally associated with the construction industry.
Partnering and BEAR
A strategic network board set up previously, to discuss strategic partnering and innovations issues, met this year. The board consists of senior management from the Department, BEAR and PAG.
Partnering and Amey
A strategic network board set up previously has continued to meet throughout the year to look at strategic issues that could influence the running of the contract.
The board consists of senior management from the Department, Amey and PAG.
A partnering and innovations forum, set up previously by Amey, continued to meet up on a quarterly basis. The forum, consisting of managers from all three organisations and an independent facilitator, is tasked with improving partnering at operational level. It actively encourages innovation across the contract.
In 2003/04, the partnering and innovations forum carried out a survey of staff across all three organisations. A similar survey was carried out in 2004/05. The results were encouraging, indicating positive progress in a number of areas since the previous year.
The forum also continued to produce the partnering newsletter 'Roundabout' on a quarterly basis. The aim of the publication is to promote the positive work of the 'virtual team'. It includes factual reports on projects as well as staff news and features from all organisations.
A82 pass of Glencoe in NW
